Part I

Financial Statements and Schedule of Expenditures of Federal Awards

Report of Independent Auditors

To the Board of Overseers of Harvard College:

Report on the Consolidated Financial Statements

We have audited the accompanying consolidated financial statements of Harvard University (the “University”), which comprise the consolidated balance sheet as of June 30, 2016, and the related consolidated statements of changes in net assets with general operating account detail, changes in net assets of the endowment and cash flows for the year then ended, and the related notes to the financial statements.

Management’s Responsibility for the Consolidated Financial Statements

Management is responsible for the preparation and fair presentation of the consolidated financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of consolidated financial statements that are free from material misstatement, whether due to fraud or error.

Auditors’ Responsibility

Our responsibility is to express an opinion on the consolidated financial statements based on our audit. We conducted our audit in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the consolidated financial statements are free from material misstatement.

An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the consolidated financial statements. The procedures selected depend on our judgment, including the assessment of the risks of material misstatement of the consolidated financial statements, whether due to fraud or error. In making those risk assessments, we consider internal control relevant to the University’s preparation and fair presentation of the consolidated financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the University’s internal control. Accordingly, we express no such opinion. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the consolidated financial statements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion.

Opinion

In our opinion, the consolidated financial statements referred to above present fairly, in all material respects, the consolidated financial position of Harvard University as of June 30, 2016, and the changes in its net assets and its cash flows for the year then ended in accordance with accounting principles generally accepted in the United States of America.

PricewaterhouseCoopers LLP, 101 Seaport Boulevard, Boston, MA 02210 T: (617) 530 5000, F: (617) 530 5001, www.pwc.com/us

Other Matters

We previously audited the consolidated statement of financial position as of June 30, 2015, and the related consolidated statements changes in net assets with general operating account detail, changes in net assets of the endowment and of cash flows for the year then ended (not presented herein), and in our report dated October 29, 2015, we expressed an unmodified opinion on those consolidated financial statements. In our opinion, the information set forth in the accompanying summarized financial information as of June 30, 2015 and for the year then ended is consistent, in all material respects, with the audited consolidated financial statements from which it has been derived.

Other Information

Our audit was conducted for the purpose of forming an opinion on the consolidated financial statements as a whole. The accompanying schedule of expenditures of federal awards for the year ended June 30, 2016 is presented for purposes of additional analysis as required by Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance) and is not a required part of the consolidated financial statements. Such information is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the consolidated financial statements. The information has been subjected to the auditing procedures applied in the audit of the consolidated financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the consolidated financial statements or to the consolidated financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. In our opinion, the schedule of expenditures of federal awards is fairly stated, in all material respects, in relation to the consolidated financial statements as a whole.

Other Reporting Required by Government Auditing Standards

In accordance with Government Auditing Standards, we have also issued our report dated November 1, 2016 on our consideration of the University’s internal control over financial reporting and on our tests of its compliance with certain provisions of laws, regulations, contracts and grant agreements and other matters for the year ended June 30, 2016. The purpose of that report is to describe the scope of our testing of internal control over financial reporting and compliance and the results of that testing and not to provide an opinion on internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the University's internal control over financial reporting and compliance.

November 1, 2016

2

balance sheets with summarized financial information as of June 30, 2015

June 30 In thousands of dollars 2016 2015 ASSETS: Cash $ 113,738 $ 109,698 Receivables, net (Note 6) 248,204 239,962 Prepayments and deferred charges 151,053 132,483 Notes receivables, net (Note 7) 381,191 377,837 Pledges receivables, net (Note 8) 2,134,220 2,245,199 Fixed assets, net (Note 9) 6,529,540 6,184,352 Interests in trusts held by others (Notes 4) 355,835 363,175 Investment portfolio, at fair value (Notes 3, 4 and 5) 51,632,578 54,659,156 Securities pledged to counterparties, at fair value (Notes 3, 4 and 5) 15,357,995 10,874,966 TOTAL ASSETS 76,904,354 75,186,828

LIABILITIES: Accounts payable $ 343,289 $ 313,737 Deposits and other liabilities 824,244 807,318 Securities lending and other liabilities associated with the investment portfolio (Notes 3, 4, 5 and 12) 25,057,362 21,183,731 Liabilities due under split interest agreements (Note 11) 791,202 910,084 Bonds and notes payable (Note 12) 5,176,702 5,543,398 financial statements Accrued retirement obligations (Note 13) 1,243,846 957,002 Government loan advances (Note 7) 70,296 69,432 TOTAL LIABILITIES 33,506,941 29,784,702 3 NET ASSETS, attributable to non-controlling interests in the pooled general investment account (Notes 3 and 4 ) 986,083 833,583

NET ASSETS, attributable to the University 42,411,330 44,568,543

TOTAL LIABILITIES AND NET ASSETS $ 76,904,354 $ 75,186,828

harvard university Temporarily Permanently June 30 Unrestricted restricted restricted 2016 2015 NET ASSETS, attributable to the University: General Operating Account (GOA) (Note 10) $ 3,738,877 $ 2,406,861 $ 97,983 $ 6,243,721 $ 6,494,452 Endowment (Note 10) 5,847,379 22,482,876 7,335,488 35,665,743 37,615,545 Split interest agreements (Note 11) 51,640 450,226 501,866 458,546 TOTAL NET ASSETS, attributable to the University $ 9,586,256 $ 24,941,377 $ 7,883,697 $ 42,411,330 $ 44,568,543 The accompanying notes are an integral part of the consolidated financial statements. statements of changes in net assets with general operating account detail with summarized financial information for the year ended June 30, 2015 For the year ended Temporarily Permanently June 30 In thousands of dollars Unrestricted Restricted Restricted 2016 2015 OPERATING REVENUE: Student income: Undergraduate program $ 300,691 $ 300,691 $ 291,865 Graduate and professional degree programs 530,978 530,978 504,344 Board and lodging 183,185 183,185 172,440 Continuing education and executive programs 381,068 381,068 345,488 Scholarships applied to student income (Note 14) (397,524) (397,524) (384,208) Total student income 998,398 0 0 998,398 929,929

Sponsored support (Note 15) Federal government – direct costs 435,778 435,778 418,832 Federal government – indirect costs 161,458 161,458 159,133 Non-federal sponsors – direct costs 88,698 $ 124,119 212,817 194,969 Non-federal sponsors – indirect costs 23,737 11,665 35,402 32,887 Total sponsored support 709,671 135,784 0 845,455 805,821

Gifts for current use (Note 16) 147,335 273,834 421,169 435,649

Investment income:

Endowment returns made available for operations (Note 10) 301,007 1,405,237 1,706,244 1,594,227 financial statements GOA returns made available for operations 133,351 133,351 124,805 Other investment income 12,707 3,865 16,572 16,119 Total investment income 447,065 1,409,102 0 1,856,167 1,735,151 4 Other income (Note 17) 655,700 655,700 619,000 Net assets released from restriction 1,773,434 (1,773,434) 0 0 TOTAL OPERATING REVENUE 4,731,603 45,286 0 4,776,889 4,525,550

OPERATING EXPENSES: Salaries and wages 1,806,280 1,806,280 1,710,768 Employee benefits (Note 13) 530,047 530,047 499,793 Services purchased 582,583 582,583 503,331 Space and occupancy 345,345 345,345 330,066 Depreciation (Note 9) 338,173 338,173 323,149 harvard university Supplies and equipment 256,826 256,826 252,838 Interest (Note 12) 235,303 235,303 251,657 Scholarships and other student awards (Note 14) 142,070 142,070 135,693 Other expenses (Note 18) 463,598 463,598 455,794 TOTAL OPERATING EXPENSES 4,700,225 0 0 4,700,225 4,463,089

NET OPERATING SURPLUS 31,378 45,286 0 76,664 62,461

NON-OPERATING ACTIVITIES: Income from GOA Investments 18,707 18,707 21,838 GOA realized and change in unrealized (depreciation)/appreciation, net (Note 3) (115,457) (115,457) 194,942 GOA returns made available for operations (133,351) (133,351) (124,805) Change in pledge balances (Note 8) (67,866) (67,866) 33,477 Change in interests in trusts held by others (8,430) (8,430) (7,975) Gifts for facilities and loan funds (Note 16) 116,911 $ 313 117,224 134,133 Change in retirement obligations (Note 13) (245,722) (245,722) (84,105) Net loss from discontinued operations (Note 2) 0 (50,753) Other changes 5,245 5,245 (21,787) Transfers between GOA and endowment (Note 10) 24,356 67,806 (934) 91,228 152,958 Transfers between GOA and split interest agreements (Note 11) 10,942 85 11,027 20,891 Non-operating net assets released from restrictions 113,934 (114,868) 934 0 0 TOTAL NON-OPERATING ACTIVITIES (332,288) 4,495 398 (327,395) 268,814

GENERAL OPERATING ACCOUNT NET CHANGE DURING THE YEAR (300,910) 49,781 398 (250,731) 331,275 Endowment net change during the year (335,960) (2,021,296) 407,454 (1,949,802) 1,186,289 Split interest agreements net change during the year (Note 11) 10,824 32,496 43,320 (160,251) NET CHANGE DURING THE YEAR, attributable to the University (636,870) (1,960,691) 440,348 (2,157,213) 1,357,313 NET ASSETS CHANGE DURING THE YEAR, a ttributable to non-controlling interests in the pooled general investment account 152,500 152,500 187,154 NET CHANGE DURING THE YEAR 1 (484,370) (1,960,691) 440,348 (2,004,713) 1,544,467 Net assets, beginning of year1 11,056,709 26,902,068 7,443,349 45,402,126 43,857,659 NET ASSETS, END OF YEAR 1 $ 10,572,339 $ 24,941,377 $ 7,883,697 $ 43,397,413 $ 45,402,126 1 Net assets attributable to the University and non-controlling interests in the pooled general investment account. The accompanying notes are an integral part of the consolidated financial statements. statements of changes in net assets of the endowment with summarized financial information for the year ended June 30, 2015

For the year ended Temporarily Permanently June 30 In thousands of dollars Unrestricted Restricted Restricted 2016 2015 Investment Return (Note 3): Income from general investments $ 22,568 $ 108,507 $ 131,075 $ 199,156 Realized and change in unrealized (depreciation)/appreciation, net (143,981) (613,086) (757,067) 1,757,498 Total investment return (121,413) (504,579) 0 (625,992) 1,956,654 Endowment returns made available for operations (Note 10) (301,007) (1,405,237) (1,706,244) (1,594,227) Net investment return (422,420) (1,909,816) 0 (2,332,236) 362,427

Gifts for endowment (Note 16) 10,396 166,693 $ 314,894 491,983 338,487 Transfers between endowment and the GOA (Note 10) (24,356) (67,806) 934 (91,228) (152,958) Capitalization of split interest agreements (Note 11) 3,562 17,409 20,971 24,720 Change in pledge balances (Note 8) (90,890) 48,012 (42,878) 621,163 Change in interests in trusts held by others (Note 10) 6,674 (5,584) 1,090 (5,376) Other changes (7,154) (22,139) 31,789 2,496 (2,174) Net assets released from restrictions 107,574 (107,574) 0 0 0 NET CHANGE DURING THE YEAR (335,960) (2,021,296) 407,454 (1,949,802) 1,186,289 Net assets of the endowment, beginning of year 6,183,339 24,504,172 6,928,034 37,615,545 36,429,256

financial statements NET ASSETS OF THE ENDOWMENT, end of year $ 5,847,379 $ 22,482,876 $ 7,335,488 $ 35,665,743 $ 37,615,545 The accompanying notes are an integral part of the consolidated financial statements.

5 harvard university statements of cash flows with summarized financial information for the year ended June 30, 2015

For the year ended June 30 In thousands of dollars 2016 2015 CASH FLOWS FROM OPERATING ACTIVITIES: Change in net assets $ (2,004,713) $ 1,544,467 Adjustments to reconcile change in net assets to net cash (used in) operating activities: Change in non-controlling interests in the pooled general investment account (152,500) (187,154) Depreciation 338,173 323,149 Depreciation for discontinued operations 2,152 Realized and change in unrealized depreciation/(appreciation), net 905,297 (1,982,970) Change in fair value of interest rate exchange agreements 19,118 9,058 Change in interests in trusts held by others 7,340 13,351 Change in liabilities due under split interest agreements (118,882) 151,093 Gifts of donated securities (200,806) (117,075) Proceeds from the sales of gifts of unrestricted securities 80,363 16,297 Gifts of donated securities in other investments 5,882 Gifts for restricted purposes (501,319) (331,896) Loss on disposal of assets 11,408 30,684 Write-off of assets and liabilities for discontinued operations 15,806 Gain on sale of property (10,347) Forgiveness of notes payable (10,000) financial statements Change in accrued retirement obligations 286,844 119,641 Changes in operating assets and liabilities: Receivables,net (8,242) 6,520 6 Prepayments and deferred charges (18,570) (631) Pledges receivable, net 110,979 (654,441) Accounts payable 18,556 (17,355) Deposits and other liabilities 16,926 64,198 NET CASH (USED IN) OPERATING ACTIVITIES (1,214,493) (1,005,106)

CASH FLOWS FROM INVESTING ACTIVITIES: Loans made to students, faculty, and staff (51,311) (48,982) Payments received on student, faculty, and staff loans 47,423 44,979 Change in other notes receivable 534 2,642 harvard university Proceeds from the sales and maturities of investments 88,023,222 87,914,830 Purchase of investments (91,802,151) (89,347,046) Change associated with repurchase agreements (94,950) 214,444 Additions to fixed assets (692,798) (560,493) Proceeds from sale of property 10,790 NET CASH (USED IN) INVESTING ACTIVITIES (4,559,241) (1,779,626)

CASH FLOWS FROM FINANCING ACTIVITIES: Change in overdrafts included in accounts payable 8,582 5,348 Proceeds from issuance of debt 5,707 260 Debt repayments (372,403) (46,371) Proceeds from the sales of gifts of restricted securities 120,443 100,778 Gifts for restricted purposes 501,319 331,896 Non-controlling interests in the pooled general investment account contributions and distributions, net (38,293) 17,754 Change in repurchase and reverse repurchase agreements 5,551,555 2,396,492 Change in government loan advances 864 569 NET CASH PROVIDED BY FINANCING ACTIVITIES 5,777,774 2,806,726

NET CHANGE IN CASH 4,040 21,994 Cash, beginning of year 109,698 87,704 CASH, end of year $ 113,738 $ 109,698

Supplemental disclosure of cash flow information: Accounts payable related to fixed asset additions $ 72,474 $ 70,060 Cash paid for interest $ 246,464 $ 255,345 The accompanying notes are an integral part of the consolidated financial statements. 1. university organization

Harvard University (the “University”) is a private, not-for- Harvard College (the “Corporation”), a governing board profit institution of higher education with approximately of the University, has oversight responsibility for all of the 7,330 undergraduate and 14,460 graduate students. University’s financial affairs. The Corporation delegates Established in 1636, the University includes the Faculty substantial authority to the Schools and departments for the of Arts and Sciences, the John A. Paulson School of management of their resources and operations. Engineering and Applied Sciences, the Division of Continuing Education, ten graduate and professional The University includes Harvard Management Company Schools, the Radcliffe Institute for Advanced Study, a variety (HMC), a wholly owned subsidiary founded in 1974 to of research museums and institutes, and an extensive library manage the University’s investment assets. HMC is system to support the teaching and research activities of governed by a Board of Directors that is appointed by the Harvard community. The President and Fellows of the Corporation.

2. summary of significant accounting policies

Basis of presentation in the accompanying financial statements in the categories The accompanying consolidated financial statements that follow: have been prepared on the accrual basis of accounting and include the accounts of the University and affiliated unrestricted net assets are not subject to donor-imposed

notes to financial statements organizations controlled by the University. Significant inter- restrictions. Funds invested in fixed assets and unrestricted affiliate accounts and transactions have been eliminated. endowment funds comprise 95% of the University’s 7 unrestricted net assets as of June 30, 2016. In addition, this Funds transferred to the University on behalf of specific category includes unrestricted gifts and endowment income beneficiaries (agency funds) are recorded as assets and balances, University-designated loan funds, and other liabilities in the Balance Sheets and are not included in the unrestricted current funds. Statement of Changes in Net Assets with General Operating Account Detail. temporarily restricted net assets are subject to legal or donor-imposed stipulations that will be satisfied either

harvard university The financial statements include certain prior year by actions of the University, the passage of time, or both. summarized comparative information in total, not by net These net assets include gifts donated for a particular asset classification. This information is not presented in purpose, amounts subject to time restrictions such as sufficient detail to conform to generally accepted accounting funds pledged for future payment, or amounts subject to principles (GAAP). Accordingly, such information should legal restrictions such as portions of otherwise unrestricted be read in conjunction with the University’s financial capital appreciation and income, which must be reported statements for the year ended June 30, 2015, from which as temporarily restricted net assets until appropriated for the summarized information is derived. spending in accordance with Massachusetts law.

Discontinued operations permanently restricted net assets are subject to donor- On May 31, 2015, the New England Primate Research Center imposed stipulations that they be invested to provide a (NEPRC) ceased operations following a two-year wind down perpetual source of income to the University. Generally, period during which primates were moved to other sites, donors of these assets require the University to maintain including the other National Primate Research Centers. The and invest the original contribution in perpetuity, but closure of the Southborough, MA facility resulted in a $50.8 permit the use of some or all investment returns for general million loss from discontinued operations, which includes a or specific purposes. $15.8 million loss on impairment of fixed assets, for the year Revenues from sources other than contributions are ended June 30 2015. These losses are classified as “Net loss generally reported as increases in unrestricted net assets. from discontinued operations” in the non-operating section Expenses are reported as decreases in unrestricted net of the accompanying Statement of Change in Net Assets with assets. Gains and losses on investments are reported as General Operating Account Detail. There are no comparable increases or decreases in unrestricted net assets, unless losses in fiscal year 2016. their use is restricted by donor stipulations or by law. Net asset classifications Investment returns earned by restricted donor funds are For the purposes of financial reporting, the University initially classified as temporarily restricted net assets and classifies resources into three net asset categories pursuant then reclassified to unrestricted net assets when expenses to any donor-imposed restrictions and applicable law. are appropriated or incurred for their intended purpose. Accordingly, the net assets of the University are classified Expirations of temporary restrictions on net assets are reported as reclassifications from temporarily restricted to Use of estimates unrestricted net assets and appear as “Net assets released The preparation of financial statements in accordance from restrictions” and “Non-operating net assets released with GAAP in the United States of America requires from restrictions” in the Statements of Changes in Net Assets. management to make estimates and assumptions that affect reported amounts and disclosures. Actual results could Unconditional pledges are reported as increases in the differ from those estimates. appropriate categories of net assets in accordance with donor restrictions. New accounting pronouncements Net operating surplus Effective July 1, 2015, the University adopted Accounting Revenues earned, expenses incurred, and returns made Standard Update (ASU) No. 2014‑11, Transfers and Servicing available for operations for the purpose of teaching, (Topic 860) – Repurchase-to-Maturity Transactions, conducting research, and the other programs and services Repurchase Financings, and Disclosures, which changes of the University are the components of “Net operating the accounting for repurchase- and resale-to-maturity surplus” in the Statement of Changes in Net Assets with agreements by requiring that such agreements be General Operating Account Detail. recognized as financing arrangements, and requires that a transfer of a financial asset and a repurchase agreement Collections entered into contemporaneously be accounted for separately. The University’s vast array of museums and libraries ASU No. 2014-11 also requires additional disclosures about contains priceless works of art, historical treasures, literary certain transferred financial assets accounted for as sales works, and artifacts. These collections are protected and and certain securities financing transactions. The effects of preserved for public exhibition, education, research, and adopting this amendment are addressed in Note 3. notes to financial statements the furtherance of public service. They are neither disposed 8 of for financial gain nor encumbered in any manner. Effective July 1, 2015, the University adopted ASU 2015‑03, Accordingly, such collections are not recorded for financial Interest – Imputation of Interest (Subtopic 835-30): Simplifying statement purposes. the Presentation of Debt Issuance Costs. The new guidance requires that debt issuance costs be netted against the Insurance programs carrying value of the liability, consistent with debt discounts The University, together with the Harvard-affiliated or premiums. The effects of adopting this amendment are teaching hospitals, has formed a captive insurance addressed in Note 12, and the 2015 presentation has been harvard university harvard university company, Controlled Risk Insurance Company (CRICO), to adjusted to conform to this new presentation. provide limited professional liability, general liability, and medical malpractice insurance for its shareholders. The Effective July 1, 2015, the University elected to retroactively University self-insures a portion of its professional liability adopt ASU No. 2015-07, Fair Value Measurement (Topic 820): and general liability programs and maintains a reserve for Disclosures for Investments in Certain Entities That Calculate incurred claims, including those related to Harvard Medical Net Asset Value per Share (or Its Equivalent). Under the new School activities occurring away from the affiliated teaching guidance, investments measured at net asset value (NAV), hospitals. The CRICO provided malpractice coverage applies as a practical expedient for fair value, are excluded from the with no deductible for medical professionals practicing fair value hierarchy. In addition, when the NAV as practical within Harvard’s University Health Services department, expedient is not applied to eligible investments, certain other the School of Dental Medicine, and the T.H. Chan School disclosures regarding nature and risks of investments are no of Public Health. The University also maintains reserves longer required. The effects of adopting this amendment are for the self-insured portion of claims related to automobile addressed in Notes 4 and 13. liability, property damage, and workers’ compensation; In January 2016, the Financial Accounting Standards Board these programs are supplemented with commercial excess (FASB) issued ASU 2016-01, Recognition and Measurement insurance above the University’s self-insured limit. In of Financial Assets and Financial Liabilities, which address addition, the University is self-insured for unemployment, certain aspects of recognition, measurement, presentation the primary retiree health plan, and all health and dental and disclosure of financial instruments. This guidance plans for active employees. The University’s claims allows an entity to choose, investment-by-investment, liabilities are recognized as incurred, including claims that to report an equity investment that neither has a readily have been incurred but not reported, and are included in determinable fair value, nor qualifies for the practical operating expenses. expedient for fair value estimation using NAV, at its cost Tax-exempt status minus impairment (if any), plus or minus changes resulting The University is a tax-exempt organization under from observable price changes in orderly transactions Section 501(c)(3) of the Internal Revenue Code. for the identical or similar investment of the same issue. Impairment of such investments must be assessed in July 2015, the FASB approved a one-year deferral of this qualitatively at each reporting period. Entities must disclose standard, with a new effective date for fiscal years beginning their financial assets and liabilities by measurement category after December 15, 2017, which is fiscal year 2019 for the and form of asset either on the face of the statement of University. The University is evaluating the impact this will financial position or in the accompanying notes. The ASU have on the consolidated financial statements. is effective for fiscal year 2020 for the University. The provision to eliminate the requirement to disclose the fair In February 2016, the FASB issued ASU 2016-02, Leases, value of financial instruments measured at cost (such as the which, requires a lessee to recognize a right-of-use asset and fair value of debt) has been early adopted by the University a lease liability, initially measured at the present value of for fiscal 2016. The University is currently evaluating the lease payments, in its balance sheet. The guidance also the impact of the new guidance on the consolidated expands the required quantitative and qualitative disclosures financial statements. surrounding leases. The ASU is effective for fiscal year 2020 for the University. Early adoption is permitted. The In May 2014, the FASB issued ASU 2014-09, Revenue from University is evaluating the impact of the new guidance on Contracts with Customers at the conclusion of a joint effort the consolidated financial statements. with the International Accounting Standards Board to create common revenue recognition guidance for U.S. GAAP and In August 2016, the FASB issued ASU 2016-14, Presentation international accounting standards. This framework ensures of Financial Statements for Not-for-Profit Entities, which makes that entities appropriately reflect the consideration to which targeted changes to the not-for-profit financial reporting they expect to be entitled in exchange for goods and services, model. The new ASU marks the completion of the first notes to financial statements by allocating transaction price to identified performance phase of a larger project aimed at improving not-for-profit financial reporting. Under the new ASU, net asset reporting 9 obligations, and recognizing that revenue as performance obligations are satisfied. Qualitative and quantitative will be streamlined and clarified. The ASU is effective for disclosures will be required to enable users of financial fiscal year 2019 for the University and early adoption is statements to understand the nature, amount, timing, and permitted. The University is evaluating the impact of the uncertainty of revenue and cash flows arising from contracts new guidance on the consolidated financial statements. with customers. The original standard was effective for fiscal years beginning after December 15, 2016; however, harvard university 3. investments

Investments are presented at fair value in accordance with The University utilizes a number of wholly owned GAAP. The University’s investment valuation policies and subsidiary entities to support its investment activities. procedures are discussed in detail in Note 4. The consolidated financial statements include all assets, liabilities, income, and expenses associated with these Cash and short-term investments are recorded at cost, which entities. All intercompany accounts and transactions have approximates fair value, and include cash in bank accounts, been eliminated during consolidation. institutional money market funds, and other temporary investments held for working capital purposes with The University separately reports the fair value of assets for maturities of three months or less. Cash and short-term which counterparties have the right to pledge or exchange investments do not include cash balances held as collateral the collateral they have received; investment portfolio by the University. Cash and short-term investment balances assets that are unencumbered are included in “Investment designated for investment purposes are included in the portfolio, at fair value” in the Balance Sheets. “Investment portfolio, at fair value” in the Balance Sheets. The majority of the University’s investments are managed Dividend income is recognized net of applicable by HMC in the GIA, a pooled fund that consists primarily withholding taxes on the ex-dividend date. Non-cash of endowment assets. Certain other investments are dividends are recorded at the fair value of the securities managed separately from the GIA. These other investments received. Interest income and expenses are recorded net consist primarily of cash, short-term investments, and fixed of applicable withholding taxes on the accrual basis of income securities (principally US government securities) accounting. The University amortizes bond premiums and held for the University’s working capital and liquidity needs; accretes bond discounts using the effective yield method publicly traded securities associated with split interest and when cash collection is expected. agreements; and public and private investments donated to the University. The University’s investment holdings as of June 30, 2016 and 2015 are summarized in the following table (in thousands of dollars):

2016 2015 Investment portfolio, at fair value: Pooled general investment account assets1 $ 64,994,597 $ 62,961,440 Other investments2 1,995,976 2,572,682 Investment assets3 66,990,573 65,534,122

Pooled general investment account liabilities 25,021,206 21,166,693 Interest rate exchange agreement 36,156 17,038 Investment liabilities 25,057,362 21,183,731

TOTAL INVESTMENTS 41,933,211 44,350,391

Non-controlling interests attributable to the pooled general investment account 986,083 833,583 TOTAL INVESTMENTS, NET $ 40,947,128 $ 43,516,808 1 Includes securities pledged to counterparties of $15,357,995 and $10,874,966 at June 30, 2016 and 2015, respectively. 2 As of June 30, 2016, other investments consisted primarily of repurchase agreements and US government securities of $1,025,559 and split interest agreement assets outside of the GIA of $535,218. As of June 30, 2015, other investments consisted primarily of repurchase agreements and US government securities of $1,459,301 and split interest agreement assets outside of the GIA of $558,434. 3 Investment assets include cash and cash equivalents that consist principally of deposits that have maturities of 90 days or less. Cash and cash equivalents classified as investments were $1,001,104 and $711,186 at June 30, 2016 and 2015, respectively. notes to financial statements A summary of the University’s total return on investments for fiscal 2016 and 2015 is presented below (in thousands of dollars): 10 2016 2015 Return on pooled general investment account: Realized and change in unrealized (depreciation)/appreciation, net $ (945,217) $ 2,003,651 Net investment income 150,843 225,532 Total return on pooled general investment account 1, 2 (794,374) 2,229,183 Return on other investments: Realized and change in unrealized appreciation/(depreciation), net 39,920 (20,681) Net investment income 27,816 27,869

Total return on other investments 67,736 7,188 harvard university Realized and change in unrealized (depreciation) on interest rate exchange agreement, net (22,767) (12,744) TOTAL RETURN ON INVESTMENTS $ (749,405) $ 2,223,627 1 Net of all internal and external management fees and expenses. 2 Includes total return on consolidated investments of $307.8 million and $624.2 million of which the University’s portion was $117.0 million and $454.7 million at June 30, 2016 and 2015, respectively.

The University’s investment strategy incorporates a page 22 have been disaggregated based on the exposure diversified asset allocation approach and maintains, within of the investment to these markets. Exposure to each defined limits, exposure to the movements of the global asset class is achieved through investments in individual equity, fixed income, real estate, commodities, and private securities, direct investments in special purpose vehicles, equity markets. The pooled GIA assets and liabilities on and/or through vehicles advised by external managers. The pooled GIA assets and liabilities as of June 30, 2016 and 2015 are summarized as follows (in thousands of dollars):

2016 2015 POOLED GENERAL INVESTMENT ACCOUNT ASSETS: Investment assets:1 Domestic common and convertible equity $ 5,303,559 $ 6,313,333 Foreign common and convertible equity 1,828,114 2,591,172 Domestic fixed income 12,006,907 8,557,087 Foreign fixed income 3,625,651 3,206,849 Emerging market equity and debt 2,950,409 3,743,452 High yield 341,553 477,832 Absolute return 6,064,707 6,164,896 Private equities 7,125,969 7,257,750 Natural resources 3,955,384 4,283,935 Real estate 10,654,489 8,653,859 Inflation-indexed bonds 1,950,290 1,105,023 Due from brokers2 430,715 1,106,554 Total investment assets 56,237,747 53,461,742 Repurchase agreements3 6,938,860 7,621,408 Cash and short-term investments 861,949 597,076 Other assets4 956,041 1,281,214 POOLED GENERAL INVESTMENT ACCOUNT ASSETS 64,994,597 62,961,440

POOLED GENERAL INVESTMENT ACCOUNT LIABILITIES: Investment liabilities:

notes to financial statements Equity and convertible securities sold, not yet purchased 94,104 611,107 Fixed income securities sold, not yet purchased 4,520,021 5,670,279 5 11 Due to brokers 254,798 96,777 Total investment liabilities 4,868,923 6,378,163 Reverse repurchase agreements6 14,900,986 10,581,215 Other liabilities7 5,251,297 4,207,315 POOLED GENERAL INVESTMENT ACCOUNT LIABILITIES 25,021,206 21,166,693

Non-controlling interests attributable to the pooled general investment account 986,083 833,583 POOLED GENERAL INVESTMENT ACCOUNT NET ASSETS 8 $ 38,987,308 $ 40,961,164

1

harvard university Certain prior year amounts have been reclassified to better align with investment exposure and conform to current year presentation. 2 Includes collateral advanced under securities borrowing agreements of $100,848 and $691,240 as of June 30, 2016 and 2015, respectively. 3 Includes pending repurchase agreements that settled subsequent to the balance sheet date of $122,520 as of June 30, 2015. 4 As of June 30, 2016, other assets consisted primarily of receivables for transactions that settled subsequent to the balance sheet date of $480,039, before eliminating inter-company balances, and assets consolidated under ASC 810 of $485,147. As of June 30, 2015, other assets consisted primarily of receivables for transactions that settled subsequent to the balance sheet date of $693,016, before eliminating inter-company balances, and assets consolidated under ASC 810 of $626,322. 5 Includes collateral held under securities lending agreements of $55,029 and $66,004 as of June 30, 2016 and 2015, respectively. 6 Includes pending reverse repurchase agreements that settled subsequent to the balance sheet date of $27,185 as of June 30, 2015. 7 As of June 30, 2016, other liabilities consisted primarily of payables for the purchase of securities of $721,172, before eliminating inter-company balances, and liabilities consolidated under ASC 810 of $4,122,246. As of June 30, 2015, other liabilities consisted primarily of payables for the purchase of securities of $471,500, before eliminating inter-company balances, and liabilities consolidated under ASC 810 of $3,230,275. 8  The cost of the total investment assets, net of proceeds received from short positions, was $46,283,649 and $39,499,150 as of June 30, 2016 and 2015, respectively.

As of June 30, 2016 and 2015, the GIA was comprised of the following components (in thousands of dollars):

2016 2015 POOLED GENERAL INVESTMENT ACCOUNT Endowment1 $ 33,863,945 $ 35,703,136 General Operating Account 3,788,288 3,893,044 Split interest agreements 755,923 806,219 Other internally designated funds 579,152 558,765 TOTAL POOLED GENERAL INVESTMENT ACCOUNT NET ASSETS $ 38,987,308 $ 40,961,164 1 Includes only the portion of the endowment invested in the GIA and excludes pledges, interests in trusts held by others, other non-GIA investments, and GIA income. The asset allocation of the University’s investment The University Balance Sheets display both the assets portfolio involves exposure to a diverse set of markets. The and corresponding liabilities generated by repurchase, investments within these markets involve various risks such reverse repurchase, securities borrowing, and securities as price, interest rate, market, sovereign, currency, liquidity, lending transactions. The University enters into these and credit risks. Additionally, the GIA’s direct investments transactions under agreements containing master netting in natural resources and real estate expose the University arrangements. The University requires the fair value to a unique set of risks such as operational, environmental, of the collateral exchanged under these agreements and political risks. Furthermore, as of June 30, 2016, to be equal to or in excess of the total amount of the 20% of the GIA NAV was made up of four diversified agreement, including interest where applicable. Collateral fund managers and one direct investment manager. The is exchanged as required by fluctuations in the fair value University anticipates that the value and composition of its of these instruments. In the event of a counterparty investments may, from time to time, fluctuate substantially default, the University generally has the right to close out in response to any or all of the risks described herein. all transactions traded under such agreements and to net amounts owed or due across all transactions and offset such The University has various sources of liquidity at net payable or receivable with collateral posted by one party its disposal within its investment pools, including or the other. approximately $3.6 billion in cash and cash equivalents (including repurchase agreements of $2.7 billion) at The following table presents information about the offsetting June 30, 2016 in the GIA and the GOA. In addition, the of these instruments and related collateral amounts as of University estimates that as of June 30, 2016, it could June 30, 2016 and 2015 (in thousands of dollars): notes to financial statements liquidate additional unencumbered US government securities of $2.9 billion within one business day (typical 12 settlement terms) to meet any immediate short-term needs of the University.

As of June 30, 2016 As of June 30, 2015

Gross asset Net Gross asset Net amounts1 Collateral exposure2 amounts1 Collateral3 exposure2

Repurchase agreements $ 7,443,773 $ 7,443,773 $ 0 $ 8,580,607 $ 8,580,607 $ 0 harvard university Securities borrowing agreements 100,848 100,848 0 691,240 691,240 0 TOTAL REPURCHASE AND SECURITIES BORROWING AGREEMENTS $ 7,544,621 $ 7,544,621 $ 0 $ 9,271,847 $ 9,271,847 $ 0

Gross liability Net Gross liability Net amounts1 Collateral exposure2 amounts1 Collateral4 exposure2 Reverse repurchase agreements $ 14,900,986 $ 14,900,986 $ 0 $ 10,581,215 $ 10,581,215 $ 0 Securities lending agreements 55,029 55,029 0 66,004 66,004 0 TOTAL REVERSE REPURCHASE AND SECURITIES LENDING AGREEMENTS $ 14,956,015 $ 14,956,015 $ 0 $ 10,647,219 $ 10,647,219 $ 0 1 The University does not offset repurchase and securities borrowing agreements and reverse repurchase and securities lending agreements that are subject to master netting arrangements or similar arrangements on the University’s Balance Sheets. Refer to Note 5 for information related to offsetting of derivatives. 2 Net exposure excludes any over-collateralized amounts. 3 Includes securities in transit of $124,221 as of June 30, 2015, that settled within one to two business days subsequent to the transaction date. 4 Includes securities in transit of $27,134 as of June 30, 2015, that settled within one to two business days subsequent to the transaction date. The following table presents information about the collateral pledged and maturity dates for reverse repurchase and securities lending transactions as of June 30, 2016 (in thousands of dollars):

As of June 30, 2016 Remaining contractual maturity of agreements Overnight and Continuous Up to 30 days Total Reverse repurchase agreements: Domestic fixed income $ 3,292,021 $ 7,228,071 $ 10,520,092 Foreign fixed income 3,531,153 3,531,153 High yield 59,550 59,550 Inflation-indexed bonds 68,846 721,345 790,191 TOTAL REVERSE REPURCHASE AGREEMENTS 3,420,417 11,480,569 14,900,986

Securities lending agreements: Emerging market equity and debt 27,564 27,564 High yield 27,465 27,465 TOTAL SECURITIES LENDING AGREEMENTS 55,029 55,029

TOTAL REVERSE REPURCHASE AND SECURITIES LENDING AGREEMENTS $ 3,475,446 $ 11,480,569 $ 14,956,015

The University has consolidated, under ASC 810, certain Other liabilities on page 22 include debt outstanding on non-controlling interests relating to its investments consolidated portfolio investments of $3,429.9 million and notes to financial statements in natural resources and real estate assets. These non- $2,629.0 million as of June 30, 2016 and 2015, respectively. controlling interests represent the minority interest This debt is categorized as Level 3 in the ASC 820 fair value 13 portion of these assets controlled by the University that are hierarchy as defined in Note 4. Based on the structure, required to be presented on the University’s balance sheet duration, and nature of the debt being consolidated, the under GAAP. The net increase in non-controlling interests amounts approximate the fair value of the debt as of each year over year of $152.5 million is due to $190.8 million reporting period. This debt is utilized for purposes specific in appreciation on existing non-controlling interests to natural resources and real estate assets held by the and $50.7 million of contributions made by minority investment portfolio, and is non-recourse to any other assets partners offset by $89.0 million in distributions to the held by the University. harvard university minority partners.

4. fair value of investment assets and liabilities

The University endeavors to utilize all relevant and Over the counter (OTC) derivative products classified as due available information in measuring fair value. Investments to/from brokers include option, swap, credit default, interest are valued in accordance with ASC 820, and under the rate, and forward contracts. These types of instruments guidelines prescribed by the HMC investment valuation are primarily valued using industry standard models with policy, which is reviewed and approved by the HMC Board independent market inputs, or by broker quotes. Inputs of Directors on an annual basis. such as prices, spreads, curves, and/or broker quotes are evaluated for source reliability and consistency with Instruments listed or traded on a securities exchange are industry standards. Counterparty marks obtained and valued at the last quoted price on the primary exchange utilized to determine daily collateral requirements are also where the security is traded. Where there is no readily used to corroborate input reasonability. The University available closing price on the valuation date, long positions considers current market conditions including interest are valued at the bid price and short positions are valued at rate and credit risks in its evaluation of inputs, pricing the ask price. Restrictions that are attached to a security are methodologies, and models utilized to determine fair values. factored into the valuation of that security, reflective of the estimated impact of those restrictions. Investments in non- Investments managed by external advisors include exchange traded debt and equity instruments are primarily investments in private equity, real estate, natural resources, valued using inputs provided by independent pricing absolute return, and other externally managed funds. The services or by broker/dealers who actively make markets in majority of these investments are not readily marketable these securities. and are reported at fair value utilizing the most current information provided by the external advisor, subject to The University’s investments have been categorized based assessments that the information is representative of fair upon the fair value hierarchy in accordance with ASC 820, value and in consideration of any additional factors deemed which prioritizes the inputs to valuation techniques used to pertinent to the fair value measurement. The University measure fair value of investment assets and liabilities into evaluates its external advisors through a manager due- three levels: diligence program executed by HMC, which includes an analysis of an advisor’s use of and adherence to fair value level 1 Unadjusted quoted prices in active markets that principles. In situations where the information provided are accessible at the measurement date for identical, by the external advisor is deemed to not be representative unrestricted assets or liabilities; of fair value as of the measurement date, the University will evaluate specific features of the investment and level 2 Quoted prices in markets that are not considered to utilize supplemental information provided by the external be active or financial instruments for which all significant advisor along with any relevant market data to measure the inputs are observable, either directly or indirectly; investment’s fair value as of that date. level 3 Prices or valuations that require inputs that are Direct investments in real estate, natural resources, significant to the fair value measurement, unobservable specifically timberland and agriculture, as well as and/or require the University to develop its own private equity are primarily valued using a combination assumptions. of independent appraisals and/or one or more industry standard valuation techniques (e.g., income approach, Per ASU No. 2015-07 investments measured at net asset notes to financial statements market approach, or cost approach). The income approach value, as reported by external managers, as a practical is primarily based on the investment’s anticipated future expedient for the fair value, are excluded from the fair 14 income using one of two principal methods: the discounted value hierarchy. cash flow method or the capitalization method. Inputs and estimates developed and utilized in the income approach The level of an asset or liability within the fair value may be subjective and require judgment regarding hierarchy is based on the lowest level of any input that significant matters such as estimating the amount and is significant to the fair value measurement. Transfers timing of future cash flows and the selection of discount between levels are recognized at the beginning of the year. and capitalization rates that appropriately reflect market harvard university and credit risks. The market approach derives investment value through comparison to recent and relevant market transactions with similar investment characteristics. The cost approach is utilized when the cost of the investment is determined to be the best representation of fair value. This method is typically used for newly purchased or undeveloped assets. The valuation process encompasses a wide range of procedures that in the aggregate allow the University to assert as to the adequacy of the fair values reported as of the measurement date. The HMC Board of Directors discusses the valuation process and results with HMC management, and makes determinations on significant matters impacting valuation that may arise from time to time. The following is a summary of the levels within the fair value hierarchy for those investment assets and liabilities subject to fair value measurement as of June 30, 2016 and 2015 (in thousands of dollars): 2016 2015 Level 1 Level 2 Level 3 Total Level 1 Level 2 Level 3 Total INVESTMENT ASSETS:1 Cash and short-term investments $ 1,001,104 $ 1,001,104 $ 711,186 $ 711,186 Domestic common and convertible equity 86,354 86,354 1,018,938 $ 86,958 1,105,896 Foreign common and convertible equity 119,179 119,179 830,074 830,074 Domestic fixed income 12,561,479 $ 53,242 $ 10,000 12,624,721 9,128,709 28,110 9,156,819 Foreign fixed income 778,927 2,874,363 3,653,290 1,512,530 1,727,753 3,240,283 Emerging market equity and debt 1,687,492 66,367 1,753,859 2,255,442 254,636 2,510,078 High yield 132,983 197,236 6,624 336,843 54,208 374,841 $ 35,197 464,246 Absolute return 98,929 98,929 175,556 175,556 Private equities 185,372 185,372 278,042 278,042 Natural resources 1,393 3,637,561 3,638,954 1,406 3,946,937 3,948,343 Real estate 37,840 7,495,659 7,533,499 5,465,543 5,465,543 Inflation-indexed bonds 1,966,233 1,966,233 1,117,971 1,117,971 Due from brokers 7,839 154,281 184,282 346,402 45,913 298,823 103,444 448,180 Other investments 21,621 3,306 3,147 28,074 10,893 2,631 20,326 33,850 Repurchase agreements 7,443,773 7,443,773 8,580,607 8,580,607 Interests in trusts held by others2 355,835 355,835 363,175 363,175 INVESTMENT ASSETS SUBJECT TO FAIR VALUE LEVELING $ 18,402,444 $ 10,792,568 $ 11,977,409 41,172,421 $ 16,687,270 $ 11,354,359 $ 10,388,220 38,429,849 Investments measured using the practical expedient 24,949,883 25,262,493 Securities borrowing agreements 100,848 691,240 Other assets not subject to fair value 1,139,793 1,546,581 notes to financial statements TOTAL ASSETS3 $ 67,362,945 $ 65,930,163

15 INVESTMENT LIABILITIES: Equity and convertible securities sold, not yet purchased $ 94,104 $ 94,104 $ 611,107 $ 611,107 Fixed income securities sold, not yet purchased 4,264,293 $ 255,729 4,520,022 3,924,873 $ 1,745,406 5,670,279 Due to brokers4 57,079 176,736 $ 18,646 252,461 13,295 66,920 $ 462 80,677 Reverse repurchase agreements 14,900,986 14,900,986 10,581,215 10,581,215 Liabilities due under split interest agreements2 791,202 791,202 910,084 910,084 Other liabilities subject to fair value 3,429,887 3,429,887 2,629,035 2,629,035 INVESTMENT LIABILITIES SUBJECT harvard university TO FAIR VALUE LEVELING $ 4,415,476 $ 16,124,653 $ 3,448,533 23,988,662 $ 4,549,275 $ 13,303,625 $ 2,629,497 20,482,397 Securities lending agreements 55,029 66,004 Other liabilities not subject to fair value 1,821,410 1,578,280 TOTAL LIABILITIES3 $ 25,865,101 $ 22,126,681 1 Certain prior year amounts have been reclassified to better align with investment exposure and conform to current year presentation. 2 Amounts excluded from investments and included separately on the University’s Balance Sheets. 3 For purposes of reporting by level under the fair value hierarchy, some assets and liabilities are shown gross that are otherwise reported net in the table on page 22. 4 Includes fair value of interest rate exchange agreement on the University’s debt portfolio of $36,156 and $17,038 as of June 30, 2016 and 2015, respectively.

The following is a rollforward of Level 3 investments for the year ended June 30, 2016 (in thousands of dollars): Net change Beginning Net realized in unrealized Transfers Transfers Ending balance as of gains/ appreciation/ Purchases/ Sales/ into out of balance as of 1 2 2 July 1, 2015 (losses) (depreciation) contributions distributions Level 3 Level 3 June 30, 2016 INVESTMENT ASSETS: Domestic fixed income $ 10,000 $ 10,000 High yield $ 35,197 $ 165 $ 15,032 40,887 $ (84,657) 6,624 Absolute return 175,556 217 (74,544) 2,265 (4,565) 98,929 Private equities 278,042 141,859 (234,546) 205,002 (205,002) $ 17 185,372 Natural resources 3,946,937 103,991 (364,940) 210,422 (258,849) 3,637,561 Real estate 5,465,543 116,483 1,520,446 1,026,030 (627,409) $ (5,434) 7,495,659 Due from brokers 103,444 13,638 93,091 155,469 (195,575) 14,326 (111) 184,282 Other investments 20,326 296 (17,475) 3,147 Interests in trusts held by others 363,175 (7,340) 355,835 TOTAL ASSETS SUBJECT TO FAIR VALUE LEVELING $ 10,388,220 $ 376,649 $ 929,724 $ 1,650,075 $ (1,376,057) $ 14,343 $ (5,545) $ 11,977,409

INVESTMENT LIABILITIES: Due to brokers $ 462 $ (24,287) $ 78,662 $ (133,739) $ 83,222 $ 14,326 $ 18,646 Other liabilities subject to fair value 2,629,035 (28,944) (452,725) 1,282,521 3,429,887 TOTAL LIABILITIES SUBJECT TO FAIR VALUE LEVELING $ 2,629,497 $ (24,287) $ 49,718 $ (586,464) $ 1,365,743 $ 14,326 $ 3,448,533 1 Total change in unrealized appreciation/(depreciation) relating to Level 3 investment assets and investment liabilities still held by the University at June 30, 2016 is $(341,862) and is reflected in “Realized and change in unrealized (depreciation)/appreciation, net” in theStatements of Changes in Net Assets. 2 During the fiscal year, certain transfers into Level 3 represent instances of deviation from the practical expedient whereas certain transfers out of Level 3 represent a return to the practical expedient. Certain securities, included in Due from/to brokers, valued using single broker quotes were transferred into Level 3. Certain securities, included in Due from brokers, no longer valued using single broker quotes were transferred out of Level 3. The following is a rollforward of Level 3 investments for the year ended June 30, 2015 (in thousands of dollars): Net change Beginning Net realized in unrealized Transfers Transfers Ending balance as of gains/ appreciation/ Purchases/ Sales/ into out of balance as of 1 2 2 July 1, 2014 (losses) (depreciation) contributions distributions Level 3 Level 3 June 30, 2015 INVESTMENT ASSETS:3 Domestic fixed income $ 3,932 $ (159) $ 73 $ (1,296) $ (2,550) $ 0 High yield 12,483 (2,670) 1,533 $ 53,673 (32,372) $ 2,550 35,197 Absolute return 199,609 500 (76,553) 77,565 (25,565) 175,556 Private equities 191,011 15,613 (25,935) 130,001 (14,476) (18,172) 278,042 Natural resources 4,415,026 528,660 (388,171) 493,836 (1,102,414) 3,946,937 Real estate 4,053,221 58,686 1,124,028 827,627 (461,756) 11,909 (148,172) 5,465,543 Due from brokers 7,984 (593) (9,305) 108,438 (63,313) 60,233 103,444 Other investments 20,511 42 (227) 20,326 Interests in trusts held by others 376,526 (13,351) 363,175 TOTAL ASSETS SUBJECT TO FAIR VALUE LEVELING $ 9,280,303 $ 600,079 $ 612,092 $ 1,691,140 $ (1,701,192) $ 74,692 $ (168,894) $ 10,388,220

INVESTMENT LIABILITIES: Due to brokers $ 17,196 $ 1,464 $ (39,011) $ (16,811) $ 37,624 $ 462 Other liabilities subject to fair value 2,018,829 (38,507) (138,439) 787,152 2,629,035 TOTAL LIABILITIES SUBJECT TO FAIR VALUE LEVELING $ 2,036,025 $ 1,464 $ (77,518) $ (155,250) $ 824,776 $ 2,629,497 1 Total change in unrealized appreciation/(depreciation) relating to Level 3 investment assets and investment liabilities still held by the University at June 30, 2015 is $1,302,246 and is reflected in “Realized and change in unrealized (depreciation)/appreciation, net” in theStatements of Changes in Net Assets. 2 During the fiscal year, the University changed the asset class designation for certain Level 3 investments to better align with investment exposure. Additionally, certain transfers into Level 3 represent instances of deviation from the practical expedient whereas certain transfers out of Level 3 represent a return to the notes to financial statements practical expedient. Certain securities, included in Due from brokers, valued using single broker quotes were transferred into Level 3. 3 Certain prior year amounts have been reclassified to better align with investment exposure and conform to current year presentation. 16

Investments that trade in inactive markets, but are valued from third parties, have been classified as Level 3 in based on quoted market prices, broker/dealer quotations, accordance with the fair value hierarchy under ASC 820. or independent pricing services supported by observable inputs are primarily classified within Level 2. These may The University is a limited partner in private equity and include non-exchange traded equity and fixed income real estate partnerships, and other external investment

securities, securities subject to restriction, and certain OTC managers, which include commitments to make periodic harvard university derivatives. Other investments, including OTC derivatives contributions in future periods. The amounts of these valued using broker quotes or other industry standard expected disbursements as of June 30, 2016 and 2015 are models, where unobservable inputs may have been obtained disclosed below (in thousands of dollars):

As of June 30, 2016 As of June 30, 2015 Remaining Remaining unfunded Estimated unfunded Estimated Fair value1 commitments remaining life2 Fair value1 commitments remaining life2 Private equities $ 5,670,822 $ 4,084,380 4 – 10 $ 5,945,381 $ 2,886,558 4 – 10 Real estate 2,424,358 1,714,591 4 – 10 2,178,485 1,409,809 4 – 10 Other externally managed funds3 2,266,998 1,416,297 2 – 8 1,658,033 1,569,692 2 – 8 TOTAL $ 10,362,178 $ 7,215,268 $ 9,781,899 $ 5,866,059 1 Represents the fair value of the funded portion of investments with remaining unfunded commitments. 2 The estimated remaining lives of these funds, expressed in years, are forward-looking projections based on the University’s estimates and could vary significantly depending on the investment decisions of external managers, changes in the University’s investment portfolio, and other circumstances. 3 Investments in externally managed funds primarily include exposures to absolute return and natural resources.

The nature of these partnership interests is that University has assessed factors including, but not limited distributions are received through the liquidation of the to, the external advisor’s adherence to fair value principles underlying assets of the partnership over its remaining in calculating the capital account balance, the existence life. The fair value of the investments in these asset classes of transactions at NAV at the measurement date, and has generally been estimated using the University’s the existence or absence of certain restrictions at the capital account balance with each partnership, unless the measurement date. Investments in externally managed University has deemed the NAV to be an inappropriate funds generally have limited redemption options for representation of fair value. To evaluate the fair value of investors and, subsequent to final closing, may or may not the University’s externally managed investments, the permit subscriptions by new or existing investors. These entities may also have the ability to impose gates, lockups, may change over time, which may have a material effect on and other restrictions on an investor’s ability to readily the valuation of these types of investments in the future. redeem out of their investment interest in the partnership. Additionally, there may be interrelationships between the unobservable inputs utilized in any valuation model, and The valuation procedures performed on direct investments significant changes in any of those inputs, in isolation or are based on industry standard processes for each respective in the aggregate, may trigger changes in other inputs or asset class. The inputs utilized in any valuation model in the estimated fair value for each respective investment may be significant and unobservable, and require a certain asset. The University has not assessed the sensitivity to degree of judgment. The University examines market data unforeseeable changes in significant unobservable inputs; and collaborates closely with industry experts to attempt to rather the range of inputs described below illustrate those arrive at the best estimation of fair value for each respective inputs utilized by management in arriving at fair value for asset. While the inputs described below represent the range these direct investments as of the measurement date. of inputs utilized as of the measurement date, these inputs

As of June 30, 2016 As of June 30, 2015 Level 3 investments Range of Level 3 investments Range of subject to fair value inputs utilized in subject to fair value inputs utilized in Significant unobservable input by asset class1 (in thousands of dollars)2 valuation model3 (in thousands of dollars)2 valuation model3 Natural resources: $ 3,637,561 $ 3,845,097 Income approach discount rate 5.5% – 18.0% 5.5% – 15.0% Price per planted hectare $2,106 – $161,206 $3,673 – $132,207 Price per gross hectare $447 – $33,855 notes to financial statements Real estate: 7,479,377 5,230,378 17 Income approach discount rate 5.8% – 19.8% 5.8% – 20.4% Capitalization rate 2.5% – 10.0% 2.8% – 10.0% Net operating income growth rate 2.1% – 5.6% 2.0% – 7.7% Recent financing – discount 20.0% Private equities: 147,571 Income approach discount rate 6.0% – 15.25% EBITDA multiple 8.0x – 10x Equity valuation multiple 6.0x – 8.5x Net income multiple 7.0x Revenue per unit $0.40 harvard university Absolute return: 78,789 87,128 Book value multiplier 0.7x 1x Other liabilities subject to fair value (3,429,887) (2,629,035) Loan to value 3.7% – 87.7% 2.3% – 86.3% Market interest rate 2.0% – 18.7% 1.7% – 10% NET AMOUNT $ 7,913,411 $ 6,533,568

1 The fair value of investments may be determined using multiple valuation techniques. 2 Included within Level 3 investments is $615,465 and $1,225,155 as of June 30, 2016 and 2015, respectively, which were valued using other inputs including, but not limited to single source broker quotations, third party pricing and prior transactions. 3 The range of inputs encompasses a variety of investment types within each asset class.

5. derivatives

The University uses a variety of financial instruments with use of industry standard analytical tools that measure the off-balance sheet risk involving contractual or optional market exposure of each position within a strategy. The commitments for future settlement, which are exchange strategies are monitored daily, and positions are frequently traded or executed OTC. Certain instruments are cleared adjusted in response to changes in the financial markets. and settled through central clearing counterparties, while others are bilateral contracts between two counterparties. In connection with its derivative activities, the University These instruments are used to increase or decrease generally maintains master netting agreements and exposure to a given asset class, with the goal of enhancing collateral agreements with its counterparties. These the returns of these asset classes. The market risk of a agreements provide the University the right, in the event particular strategy is influenced by the relationship between of default by the counterparty (such as bankruptcy or a the financial instruments with off-balance sheet risk and failure to pay or perform), to net a counterparty’s rights and the offsetting positions recorded in the Balance Sheets. The obligations under the agreement and to liquidate and offset University manages exposure to market risk through the collateral against any net amount owed by the counterparty. The following table presents information about the University’s derivatives by primary risk exposure for the years ended June 30, 2016 and 2015 (in thousands of dollars):

For the For the year ended year ended As of June 30, 2016 June 30, 2016 As of June 30, 2015 June 30, 2015 Gross Gross Gross Gross derivative derivative Net profit/ derivative derivative Net profit/ Primary risk exposure assets liabilities (loss)4 assets liabilities (loss)4 Equity instruments: Equity futures $ 1,778 $ 11,111 $ (47,007) $ 25,676 $ 3,537 $ (5,529) Equity options 157,782 141,404 (41,090) 88,398 29,119 2,869 Equity exchange agreements 195,941 125,851 (231,112) 84,286 112,477 (132,958) TOTAL EQUITY INSTRUMENTS 355,501 278,366 (319,209) 198,360 145,133 (135,618)

Fixed income instruments: Fixed income futures 28,780 83,232 (26,753) 15,851 22,710 3,817 Fixed income options 8,270 2,470 13,067 2,200 7,419 13,705 Interest rate exchange agreements1 2,103,301 2,078,179 (303,236) 1,707,173 1,470,383 (37,044) Interest rate caps and floors 61,628 69,614 (10,547) 220,138 179,050 7,018 TOTAL FIXED INCOME INSTRUMENTS 2,201,979 2,233,495 (327,469) 1,945,362 1,679,562 (12,504)

Commodity instruments: Commodity futures 50,233 48,100 (15,476) 18,525 17,029 71,047 Commodity options 13 (673) 3,600 22,570 notes to financial statements Commodity exchange agreements 87 1,680 28,358 3,318 10,191 TOTAL COMMODITY INSTRUMENTS 50,333 48,100 (14,469) 50,483 20,347 103,808 18

Currency instruments: Currency forwards 10,874,893 10,861,727 26,263 3,443,981 3,436,484 141,823 Currency options 35,316 33,441 11,570 101,529 82,340 14,156 Currency exchange agreements 6,329 3,366 (1,284) 10,819 3,544 12,708 TOTAL CURRENCY INSTRUMENTS 10,916,538 10,898,534 36,549 3,556,329 3,522,368 168,687

CREDIT INSTRUMENTS 70,338 42,252 30,181 51,169 66,790 9,971 harvard university harvard university SUBTOTAL 13,594,689 13,500,747 $ (594,417) 5,801,703 5,434,200 $ 134,344

Counterparty netting2 Exchange traded (89,271) (89,271) (40,076) (40,076) Centrally cleared (349,572) (349,572) (218,265) (218,265) Bilateral OTC (12,862,135) (12,862,135) (5,145,086) (5,145,086) TOTAL COUNTERPARTY NETTING (13,300,978) (13,300,978) (5,403,427) (5,403,427)

NET AMOUNTS INCLUDED IN THE BALANCE SHEETS 3 293,711 199,769 398,276 30,773

Collateral Cash collateral received/posted 10,007 129,670 80,842 8,689 Securities collateral received/posted5,6 226,359 329,801 318,734 289,330 TOTAL COLLATERAL 236,366 459,471 399,576 298,019

NET AMOUNT 57,345 (259,702) (1,300) (267,246)

NET AMOUNT IN ACCORDANCE WITH ASC 2107 $ 57,345 $ 0 $ 0 $ 0

1 For the year ended June 30, 2016, includes a gross derivative liability of $36,156 and a net loss of $22,767, related to an interest rate exchange agreement on the University’s debt portfolio. For the year ended June 30, 2015, includes a gross derivative liability of $17,038 and a net loss of $12,744, related to an interest rate exchange agreement on the University’s debt portfolio. These positions are further discussed in Note 12. 2 GAAP permits the netting of derivative assets and liabilities and the related cash collateral received and paid when a legally enforceable master netting agreement exists between the University and a derivative counterparty. Refer to Note 3 for information related to offsetting of certain other collateralized transactions. 3 Included within the “Investment portfolio, at fair value” and “Securities lending and other liabilities associated with the investment portfolio” line items of the Balance Sheets. 4 Included within “Realized and change in unrealized (depreciation)/appreciation, net” within the Statements of Changes in Net Assets. 5 Includes securities posted to meet initial margin requirements on exchange traded futures and centrally cleared derivatives. 6 Includes collateral in transit of $106,960 and $87,598 as of June 30, 2016 and 2015, respectively, that settled within one to two business days subsequent to the transaction date. 7 Excludes any over-collateralized amounts in accordance with ASC 210. The following section details the accounting for each recorded relating to periodic payments received or made type of derivative contract, as well as the University’s on swap contracts and with respect to swaps that are closed intended purpose for entering into each type of prior to termination date. When the University enters into a derivative instrument. swap transaction, it may make or receive a payment equal to the value of the swap on the entry date and amortizes such Options payments to realized gain or loss over the outstanding term The University purchases and sells put and call options of the swap. The terms of the swap contracts can vary, and to take advantage of expected volatility in the price of they are reported at fair value based on a valuation model or underlying instruments. When purchasing an option, the a counterparty provided price. University pays a premium, which is recorded as an asset and subsequently marked-to-market to reflect the current In the normal course of its trading activities, the University value of the option. When the University sells (writes) an enters into credit default, interest rate, and total return option, the premium received is recorded as a liability and swap contracts. subsequently marked-to-market to reflect the current fair value of the option written. Premiums paid or received from Credit default contracts options that expire unexercised are treated as realized losses The University enters into credit derivatives to simulate and gains, respectively. When an option is closed before long and short bond exposure that is either unavailable or expiration or exercise, the University records a realized considered to be less attractively priced in the bond market, gain or loss equal to the difference between the proceeds or to hedge exposure obtained in the bond market. The paid/received upon closing and the original premium University also uses these derivatives to reduce risk where it notes to financial statements paid/received. has exposure to the issuer, or to take an active long or short 19 position with respect to the likelihood of an event of default. During fiscal years 2016 and 2015, the University The underlying debt security on which the derivative is transacted approximately 2,100 and 1,500 equity and structured can be based on a single issuer, a “basket” of fixed income option trades with an average transaction issuers, or an index. During fiscal years 2016 and 2015, the size of approximately 108,500 and 12,700 contracts, University transacted approximately 1,100 and 700 credit respectively. During the same period the University default contracts, respectively. These contracts had average transacted approximately 300 and 400 currency option notional amounts of approximately $8.0 million and

harvard university contracts with average USD equivalent notional amounts of $18.0 million in fiscal years 2016 and 2015, respectively. approximately $40.7 million and $36.7 million per contract, respectively. Additionally, the University transacted In instances where the University has purchased credit approximately 100 and 300 commodity option trades with protection on an underlying debt security, the University an average transaction size of approximately 300 and 1,100 is obligated to pay the seller of the credit protection a contracts, respectively. periodic stream of payments over the term of the contract in return for a contingent payment upon the occurrence of Swap contracts a credit event with respect to the issuer of the debt security. The University enters into swap contracts, which are The contingent payment may be a cash settlement or a contracts between two parties to exchange future cash physical delivery of the debt security in return for payment flows at periodic intervals based on a notional principal of the face amount of the obligation. The amount paid for amount, to increase or decrease its exposure to changes in purchased protection is typically a nominal percentage of the level of interest rates, underlying asset values and/or the notional amount. In instances where the University has credit risk. Payments are exchanged at specified intervals, sold credit protection on an underlying debt security, the accrued daily commencing with the effective date of the University receives a fixed rate of income throughout the contract and recorded as realized gains or losses. Gains term of the contract, which typically is between one month or losses are realized in the event of an early termination and five years, and in some instances up to ten years. In the of a swap contract. Risks of loss may include unfavorable case where the University sold credit protection, if a credit changes in the returns of the underlying instruments or event occurs, the University may cash settle the contract or indexes, adverse fluctuations of interest rates, failure of the pay the purchaser of credit protection the full notional value counterparty to perform under the terms of the agreement, of the contract in exchange for the debt security. and lack of liquidity in the market. As of June 30, 2016, the University’s purchased and Collateral in the form of securities or cash may be posted to written credit derivatives had gross notional amounts of or received from the swap counterparty in accordance with $1,157.8 million and $1,565.9 million, respectively, for total the terms of the swap contract. Realized gains or losses are net written protection of $408.1 million in notional value. As of June 30, 2015, the University’s purchased and The table below summarizes certain information regarding written credit derivatives had gross notional amounts credit protection purchased and written as of June 30, 2016 of $1,935.7 million and $1,761.3 million, respectively, and 2015 (in thousands of dollars): for total net purchased protection of $174.4 million in notional value.

As of June 30, 2016 Purchased protection Written protection Years to maturity – notional Total Offsetting Net Net Credit rating Purchased Purchased written purchased written written on underlying notional1 fair value < 5 years 5-10 years notional notional2 notional fair value A- to AAA $ 221,250 $ (4,278) $ 65,000 $ 65,000 $ 12,000 $ 53,000 $ 494 BBB- to BBB+ 566,524 (8,076) 756,390 756,390 43,000 713,390 11,940 Non-investment grade 218,553 (4,299) 727,000 $ 17,500 744,500 96,500 648,000 4,908 TOTAL $ 1,006,327 $ (16,653) $ 1,548,390 $ 17,500 $ 1,565,890 $ 151,500 $ 1,414,390 $ 17,342

As of June 30, 2015 Purchased protection Written protection Years to maturity – notional Total Offsetting Net Net Credit rating Purchased Purchased written purchased written written on underlying notional1 fair value < 5 years 5-10 years notional notional2 notional fair value A- to AAA $ 1,201,179 $ (27,837) $ 105,000 $ 105,000 $ 5,000 $ 100,000 $ 770 BBB- to BBB+ 451,340 (3,669) 834,764 834,764 5,000 829,764 (3,632) notes to financial statements Non-investment grade 125,599 5,195 821,568 821,568 147,568 674,000 1,167 20 TOTAL $ 1,778,118 $ (26,311) $ 1,761,332 $ 1,761,332 $ 157,568 $ 1,603,764 $ (1,695) 1 Amounts shown are net of purchased credit protection that directly offsets written credit protection, as discussed in the note (2) below. 2 Offsetting purchased credit derivatives represent the notional amount of purchased credit derivatives to the extent they hedge written credit derivatives with identical underlying debt securities.

Credit ratings on the underlying debt security, together Total return swaps with the period of expiration, are indicators of payment/ The University enters into total return swaps to manage its harvard university harvard university performance risk. For example, the seller of credit exposure to market fluctuations in various asset classes. protection is least likely to pay or otherwise be required to Total return swaps involve commitments to pay interest in perform where the credit ratings are AAA and the period exchange for a market linked return, both based on notional of expiration is “< 5 years”. The likelihood of payment or amounts. To the extent the total return of the security or performance is generally greater as the credit ratings fall index underlying the transaction exceeds or falls short and period of expiration increases. of the offsetting interest rate obligation, the University will receive a payment from or make a payment to the Interest rate contracts counterparty, respectively. During fiscal years 2016 and The University enters into interest rate swaps to hedge 2015, the University transacted approximately 50 and 200 certain investment positions against interest rate commodity swap contracts with average notional amounts fluctuations; to benefit from interest rate fluctuations; to of approximately $1.8 million and $5.9 million; 1,800 and obtain better interest rate terms than it would have been 1,500 equity swap contracts with average notional amounts able to get without the swap; or to manage the interest, cost, of approximately $7.9 million and $5.2 million; and 100 and risk associated with its outstanding and/or future debt. and 200 currency swap contracts with average notional Interest rate swaps involve the exchange by the University amounts of approximately $29.0 million and $30.0 million, with another party of its respective commitments to pay or respectively. In addition, during fiscal year 2016, the receive interest at specified intervals based on a notional University transacted approximately 60 credit swaps with amount of principal. During fiscal years 2016 and 2015, average notional amounts of approximately $27.0 million. the University transacted approximately 3,200 and 4,700 interest rate swap and cap/floor contracts with average notional amounts of approximately $248.0 million and $251.0 million, respectively. Forward currency contracts Counterparty credit exposure The University enters into forward currency contracts in Financial instruments with off-balance sheet risk involve connection with settling planned purchases or sales of counterparty credit exposure. The policy of the University is securities, or to hedge the currency exposure associated to require collateral to the maximum extent possible under with some or all of the University’s portfolio securities. A normal trading practices. Collateral, generally in the form forward currency contract is an agreement between two of debt obligations issued by the US Treasury, is exchanged parties to buy and sell a currency at a set price on a future on a daily basis as required by fluctuations in the market. date. The value of a forward currency contract fluctuates In the event of counterparty default, the University has the with changes in forward currency exchange rates. Forward right to use the collateral held to offset any losses ensuing currency contracts are marked-to-market daily and the from the default event. Specific credit limits are established change in fair value is recorded by the University as an for counterparties based on their individual credit ratings. unrealized gain or loss. During fiscal years 2016 and 2015, Credit limits are monitored daily by the University and the University transacted approximately 17,700 and 12,400 are adjusted according to policy, as necessary. Some of forward currency contracts with average USD equivalent the financial instruments entered into by the University notional amounts of approximately $4.6 million and contain credit-risk-related contingency features that allow $2.8 million, respectively. the parties to the agreement to demand immediate payment for outstanding contracts and/or collateral. If material Futures contracts credit-risk-related contingency features were triggered on The University uses futures contracts to manage its June 30, 2016 no additional collateral would have been due to counterparties whereas at June 30, 2015, $2.6 million in

notes to financial statements exposure to financial markets, including hedging such exposures. Buying futures tends to increase the University’s additional collateral would have been due to counterparties 21 exposure to the underlying instrument, while selling for derivative contracts. futures tends to decrease exposure to the underlying instrument. Upon entering into a futures contract, the University is required to deposit an amount of cash or securities with its prime broker in accordance with the initial margin requirements of the broker or exchange. Futures contracts are marked-to-market daily based on harvard university settlement prices established by the board of trade or exchange on which they are traded, and an appropriate payable or receivable for the change in fair value is recorded by the University. Gains and losses are realized when the contracts expire or are closed. During fiscal years 2016 and 2015, the University transacted approximately 15,900 and 23,500 futures trades with an average transaction size of approximately 160 and 170 contracts, respectively.

6. receivables

The major components of receivables, net of reserves for 2016 2015 doubtful accounts of $11.3 million and $12.8 million as Federal sponsored support $ 63,773 $ 62,831 Publications 51,072 47,865 of June 30, 2016 and 2015, respectively, were as follows Executive education 40,468 28,163 (in thousands of dollars): Tuition and fees 19,504 21,119 Non-federal sponsored support 15,842 14,323 Gift receipts 8,333 19,458 Other 49,212 46,203 TOTAL RECEIVABLES, NET $ 248,204 $ 239,962 7. notes receivable

Notes receivable are recorded initially at face value plus accrued interest, which approximates fair value. Notes receivable, and related allowance for doubtful accounts, were as follows (in thousands of dollars): 2016 2015 Receivable Allowance Net Receivable Allowance Net Student Loans: Government revolving $ 77,846 $ 2,033 $ 75,813 $ 78,743 $ 2,165 $ 76,578 Institutional 88,115 2,207 85,908 88,105 2,384 85,721 Federally insured 389 389 425 425 Total student loans $ 166,350 $ 4,240 $ 162,110 $ 167,273 $ 4,549 $ 162,724 Faculty and staff loans 207,096 179 206,917 202,837 422 202,415 Other loans 18,763 6,599 12,164 18,204 5,506 12,698 TOTAL $ 392,209 $ 11,018 $ 381,191 $ 388,314 $ 10,477 $ 377,837

Government revolving loans are funded principally with The University assesses the adequacy of the allowance federal advances to the University under the Perkins Loan for doubtful accounts by evaluating the loan portfolio, Program and certain other programs. These advances including such factors as the differing economic risks totaled $70.3 million and $69.4 million as of June 30, associated with each loan category, the financial condition 2016 and 2015, respectively, and are classified as liabilities of specific borrowers, the economic environment in which in the Balance Sheets. Interest earned on the revolving the borrowers operate, the level of delinquent loans, the notes to financial statements and institutional loan programs is reinvested to support value of any collateral, and, where applicable, the existence additional loans. The repayment and interest rate terms of any guarantees or indemnifications. In addition to 22 of the institutional loans vary considerably. these factors, the University reviews the aging of the loans receivable and the default rate in comparison to prior Faculty and staff notes receivable primarily consists of years. The allowance is adjusted based on these reviews. mortgage and educational loans. Mortgages include shared The University considers the allowance at June 30, 2016 appreciation loans and loans that bear interest at the and 2015 to be reasonable and adequate to absorb potential applicable federal rate. In addition, certain mortgages bear credit losses inherent in the loan portfolio. interest at the current market rate, which may be subsidized harvard university for an initial period. The educational loans are primarily zero-interest loans.

8. pledges receivable

Unconditional promises to donate to the University in the Pledges receivable included in the financial statements as future are initially recorded at fair value (pledge net of of June 30, 2016 and 2015 are expected to be realized as discount) and subsequently amortized over the expected follows (in thousands of dollars): payment period, net of an allowance for uncollectible 2016 2015 pledges. The University’s indicative 1- to 5-year taxable Within one year $ 313,278 $ 327,074 unsecured borrowing rate is used to discount pledges Between one and five years 1,253,113 1,308,295 More than five years 732,062 780,981 receivable upon receipt. Discounts of $77.2 million and Less: discount and allowance for $95.0 million for the years ended June 30, 2016 and 2015, uncollectible pledges (164,233) (171,151) respectively, were calculated using rates ranging from 1.1% TOTAL PLEDGES RECEIVABLE, NET $ 2,134,220 $ 2,245,199 to 1.8%. Pledges receivable as of June 30, 2016 and 2015 have Because of uncertainties with regard to realizability been designated for the following purposes (in thousands and valuation, bequest intentions and other conditional of dollars): promises are only recognized as assets if and when the 2016 2015 specified conditions are met. Non-bequest conditional General Operating Account balances: pledges totaled $65.8 million and $76.9 million as of Gifts for current use $ 638,719 $ 689,841 Non-federal sponsored awards 131,368 108,272 June 30, 2016 and 2015, respectively. Facilities and loan funds 240,283 280,358 Total General Operating Account balances 1,010,370 1,078,471

Endowment 1,123,850 1,166,728 TOTAL PLEDGES RECEIVABLE, NET $ 2,134,220 $ 2,245,199

9. fixed assets

Fixed assets are reported at cost or, if a gift, at fair value The major categories of fixed assets as of June 30, 2016 and as of the date of the gift, net of accumulated depreciation. 2015 are summarized as follows (in thousands of dollars): Depreciation is computed using the straight-line method over the estimated useful lives of the assets. notes to financial statements Estimated useful life 23 2016 2015 (in years) Research facilities $ 2,235,809 $ 2,181,191 * Classroom and office facilities 1,776,972 1,734,276 35 Housing facilities 1,729,232 1,556,081 35 Other facilities 406,626 386,686 35 Service facilities 686,274 629,851 35 Libraries 479,899 465,673 35 Museums and assembly facilities 740,647 667,451 35 Athletic facilities 198,559 192,347 35 harvard university Land 783,864 671,582 n/a Construction in progress 680,602 682,452 n/a Equipment 1,224,016 1,160,853 ** SUBTOTAL AT COST 10,942,500 10,328,443 Less: accumulated depreciation (4,412,960) (4,144,091) FIXED ASSETS, NET $ 6,529,540 $ 6,184,352

* Estimated useful lives of components range from 10 to 45 years. ** Estimated useful lives of equipment range from 3 to 8 years.

Certain University facilities are subject to restrictions as Equipment includes general and scientific equipment, to use, structural modifications, and ownership transfer. computers, software, furniture, and vehicles. Included in the fixed asset balances are restricted facilities with a net book value of $255.6 million and $226.4 million The University has asset retirement obligations of as of June 30, 2016 and 2015, respectively. $101.3 million and $86.6 million, which are included in “Deposits and other liabilities” in the Balance Sheets as of The costs of research facilities are separated into the June 30, 2016 and 2015, respectively. shell, roof, finishes, fixed equipment, and services. These components are separately depreciated. 10. endowment and general operating account net assets

The University’s endowment consists of approximately The University is also the beneficiary of certain irrevocable 13,212 separate funds established over many years for trusts held and administered by others. The estimated fair a wide variety of purposes. Endowment fund balances, values of trust assets, which include the present values including funds functioning as endowment, are classified of expected future cash flows from outside trusts and the and reported as unrestricted, temporarily restricted, or fair value of the underlying assets of perpetual trusts, are permanently restricted net assets in accordance with recognized as assets and increases in net assets when the donor specifications and state law. Net unrealized losses required trust documentation is provided to the University. on permanently restricted endowment funds are classified as a reduction to unrestricted net assets until such time The fair values of these trusts are provided by the external as the fair value equals or exceeds historic dollar value. trustees and are adjusted annually by the University. Unrestricted net assets were reduced by $5.4 million These are included as Level 3 investments in the fair value and $1.1 million for such losses in fiscal 2016 and 2015, hierarchy table in Note 4. respectively. Although funds functioning as endowment are not subject to donor restrictions, decisions to spend their The endowment consisted of the following as of June 30, principal require the approval of the Corporation. All but 2016 and 2015 (in thousands of dollars): a small fraction of the endowment is invested in the GIA (Note 3).

2016 2015 notes to financial statements Temporarily Permanently Unrestricted restricted restricted Total Total 24 Endowment funds $ (5,362) $ 19,016,581 $ 6,494,018 $ 25,505,237 $ 27,005,421 Funds functioning as endowment 5,852,741 2,861,228 8,713,969 9,121,799 Pledge balances 588,794 535,056 1,123,850 1,166,728 Interests in trusts held by others 16,273 306,414 322,687 321,597 TOTAL ENDOWMENT $ 5,847,379 $ 22,482,876 $ 7,335,488 $ 35,665,743 $ 37,615,545

The University’s endowment distribution policies are Each year the Corporation also approves certain harvard university designed to preserve the value of the endowment in real decapitalizations from the endowment to support strategic, terms (after inflation) and generate a predictable stream of mission-critical activities or objectives that are typically available income. Each fall, the Corporation approves the one‑time or time-limited and therefore, are excluded endowment distribution for the following fiscal year. from net operating surplus. These decapitalizations totaled $128.4 and $192.9 million in fiscal 2016 and The endowment distribution is based on presumptive 2015, respectively. These additional decapitalizations, in guidance from a formula that is intended to provide combination with the endowment distribution, resulted budgetary stability by smoothing the impact of annual in an aggregate payout rate of 5.1% in both fiscal 2016 investment gains and losses. The formula’s inputs reflect and 2015. expectations about long-term returns and inflation rates. For fiscal 2016, the endowment distribution approved by the General 0perating account Corporation (prior to decapitalizations) was equal to 4.8% The GOA consists of the general or current funds of the of the fair value of the endowment invested in the GIA as University as well as the assets and liabilities related to of the beginning of the fiscal year. The total endowment student and faculty loans and facilities. The GOA accepts, distribution made available for operations was $1.7 billion manages, and pays interest on deposits made by University and $1.6 billion in fiscal 2016 and 2015, respectively. departments; invests surplus working capital; makes loans; and arranges external financing for major capital projects. It is used to manage, control, and execute all University financial transactions, except for those related to investment activities conducted by HMC. The GOA consisted of the following as of June 30, 2016 and 2015 (in thousands of dollars):

2016 2015 Temporarily Permanently Unrestricted restricted restricted Total Total General Operating Account $ 3,738,877 $ 2,406,861 $ 97,983 $ 6,243,721 $ 6,494,452

The temporarily restricted net assets consist primarily of unexpended income, gifts, and pledges. The permanently restricted net assets are loan funds.

11. split interest agreements

Under split interest agreements, donors enter into trust measured using the practical expedient in the fair value arrangements with the University in which the University hierarchy table in Note 4. Associated liabilities are recorded receives benefits that are shared with other beneficiaries at the present value of estimated future payments due to and institutions. Split interest agreement (SIA) investment beneficiaries and other institutions. These liabilities are assets are invested primarily in the GIA and publicly traded calculated using the University’s current taxable unsecured securities, a small segment is managed by an external borrowing rate of 1.4% and 1.8% as of June 30, 2016 and advisor, and all are recorded in the “Investment portfolio, 2015, respectively. notes to financial statements at fair value” in the University’s Balance Sheets. Additional 25 disclosures are included in Notes 3 and 4. The publicly The changes in split interest agreement net assets for fiscal traded securities are included as Level 1 and externally 2016 and 2015 were as follows (in thousands of dollars): managed investments are included in investments 2016 2015 Temporarily Permanently restricted restricted Total Total Investment return: Investment income $ 2,956 $ 9,305 $ 12,261 $ 16,237

harvard university Change in realized and unrealized appreciation, net (13,308) (41,898) (55,206) 17,399 Total investment return (10,352) (32,593) (42,945) 33,636

Gifts (Note 16) 1 11,679 7,153 18,832 14,797 Payments to annuitants (15,190) (47,822) (63,012) (62,861) Transfers to endowment (3,562) (17,409) (20,971) (24,720) Transfers between SIA and the GOA (10,942) (85) (11,027) (20,891) Change in liabilities and other adjustments 39,191 123,252 162,443 (100,212) NET CHANGE DURING THE YEAR 10,824 32,496 43,320 (160,251) Total split interest agreement net assets, beginning of year 40,816 417,730 458,546 618,797 TOTAL SPLIT INTEREST AGREEMENT NET ASSETS, end of year $ 51,640 $ 450,226 $ 501,866 $ 458,546 1 Shown at net present value. The undiscounted value of these gifts was $34,597 and $39,478 for the years ended June 30, 2016 and 2015, respectively.

Split interest agreement net assets as of June 30, 2016 and 2015 consisted of the following (in thousands of dollars):

2016 2015 Split interest agreement investments (Note 3) Charitable remainder trusts $ 847,850 $ 901,990 Charitable lead trusts 116,896 118,751 Charitable gift annuities 213,262 227,770 Pooled income funds 115,060 120,119 Total split interest agreement investments 1,293,068 1,368,630

Liabilities due under split interest agreements: Amounts due to beneficiaries (742,808) (780,566) Amounts due to other institutions (48,394) (129,518) Total liabilities due under split interest agreements (791,202) (910,084)

TOTAL SPLIT INTEREST AGREEMENT NET ASSETS, end of year 1 $ 501,866 $ 458,546

1 The fiscal year 2016 amount includes an out-of-period adjustment, which is recorded in the “Split Interest Agreements Net Change during the ear”Y line in the Statement of Changes in Net Assets with General Operating Account Detail. 12. bonds and notes payable

Bonds and notes payable as of June 30, 2016 and 2015 were as follows (in thousands of dollars):

Fiscal year Years to One-year Outstanding principal of issue final maturity1 yield2 20163 20154 Tax-exempt bonds and notes payable:

Variable-rate demand bonds and CP: Series R – daily 2000-2006 16 0.1% $ 131,200 $ 131,200 Series Y – weekly 2000 19 0.2% 117,792 117,786 Commercial paper 2016 <1 0.2% 284,475 289,021 Total variable-rate bonds and notes payable 0.2% 533,467 538,007

Fixed-rate bonds: Series N 1992 4 6.3% 79,549 79,432 Series 2005A 2005 20 4.8% 92,216 Series 2005B 2006 16 4.8% 103,398 Series 2005C 2006 19 4.9% 128,449 Series 2008B 2008 22 4.9% 214,772 215,036 Series 2009A 2009 20 5.5% 917,975 947,894 Series 2010A 2010 18 4.6% 481,512 493,055 Series 2010B 2011 24 4.7% 639,956 643,509 Total fixed-rate bonds 5.1% 2,333,764 2,702,989 notes to financial statements Total tax-exempt bonds and notes payable 4.2% 2,867,231 3,240,996 26 Taxable bonds and notes payable:

Variable-rate bonds and notes payable: Commercial paper 2012 <1 0.3% 164,622 158,915 Total variable-rate bonds and notes payable 0.3% 164,622 158,915

Fixed-rate bonds: Series 2008A 2008 22 5.6% 242,058 242,015 Series 2008C 2008 2 5.3% 124,780 124,597 Series 2008D 2009 23 6.3% 995,078 994,393 harvard university Series 2010C 2011 24 4.9% 296,134 295,975 Series 2013A 2013 21 3.4% 400,302 400,199 Total fixed-rate bonds 5.4% 2,058,352 2,057,179

Total taxable bonds and notes payable 5.0% 2,222,974 2,216,094

Other notes payable Various Various Various 86,497 86,308 TOTAL BONDS AND NOTES PAYABLE 4.6% $ 5,176,702 $ 5,543,398 1 The weighted average maturity of the portfolio on June 30, 2016 was 14.6 years. 2 Exclusive of interest rate exchange agreement. Inclusive of this agreement, the overall portfolio rate was 0.07% higher (4.66% vs. 4.59%). 3 Series N, 2008A, 2008D, 2009A and 2010C principal amounts are net of $0.4 million, $0.1 million, $2.0 million, $18.4 million and $1.6 million of discounts, respectively. Series 2008B, 2010A and 2010B principal amounts include premiums of $5.9 million, $30.9 million and $41.9 million, respectively. Series 2009A, 2010A, 2010B, 2008A, 2008C, 2008D, 2010C and 2013A principal amounts are net of underwriter’s discounts of $3.0 million, $1.5 million, $2.2 million, $0.8 million, $0.3 million, $2.9 million, $2.1 million and $1.4 million, respectively. Series Y, EE, N, 2009A, 2010A, 2010B, 2008C, 2010C and 2013A principal amounts are net of cost of issuance fees of $0.1 million, $0.3 million, $0.1 million, $0.5 million, $0.3 million, $0.8 million, $0.1 million, $0.1 million and $0.3 million, respectively. 4 Series N, 2008A, 2008D, 2009A and 2010C principal amounts are net of $0.5 million, $0.1 million, $2.3 million, $18.2 million and $1.8 million of discounts, respectively. Series 2005A, 2005B, 2005C, 2008B, 2010A and 2010B principal amounts include premiums of $3.4 million, $3.2 million, $3.1 million, $6.2 million, $33.8 million and $45.6 million, respectively. Series 2005A, 2005B, 2005C, 2009A, 2010A, 2010B, 2008A, 2008C, 2008D, 2010C and 2013A principal amounts are net of underwriter’s discounts of $0.2 million, $0.2 million, $0.4 million, $3.3 million, $1.6 million, $2.3 million, $0.8 million, $0.5 million, $3.3 million, $2.2 million and $1.5 million, respectively. Series Y, EE, N, 2005A, 2005B, 2005C, 2009A, 2010A, 2010B, 2008C, 2010C and 2013A principal amounts are net of cost of issuance fees of $0.1 million, $0.3 million, $0.1 million, $0.1 million, $0.1 million, $0.2 million, $0.6 million, $0.3 million, $0.8 million, $0.1 million, $0.1 million and $0.4 million, respectively. Interest expense related to bonds and notes payable was The University is rated Aaa by Moody’s Investors Service $233.8 million and $249.2 million for fiscal 2016 and and AAA by Standard & Poor’s Global Ratings. The 2015, respectively. The interest expense in the Statement of Standard & Poor’s rating was re-affirmed in July 2016 and Changes in Net Assets with General Operating Account Detail the Moody’s Investors Service rating was re-affirmed in includes additional components related to capital leases. September 2016. Excluding maturity of commercial paper, unamortized discounts and premiums, underwriter’s discounts and As of June 30, 2016, the University had $249.0 million cost of issuance fees, scheduled principal payments are of variable-rate demand bonds outstanding (excluding (in thousands of dollars): commercial paper) with either a daily or weekly interest rate reset, as noted in the bonds and notes payable table Fiscal year Principal payments on page 37. In the event that the University receives notice 2017 $ 29,724 2018 29,716 of any optional tender on its variable-rate demand bonds, 2019 654,857 or if the bonds become subject to mandatory tender, 2020 122,059 the purchase price of the bonds will be paid from the 2021 92,080 Thereafter 3,759,721 remarketing of such bonds. However, if the remarketing TOTAL PRINCIPAL PAYMENTS $ 4,688,157 proceeds are insufficient, the University will have a general obligation to purchase the bonds tendered with cash In July 2015, the University redeemed the full outstanding on hand. par amount of $315.6 million of the Series 2005 bonds using cash on hand. Interest rate exchange agreements notes to financial statements In fiscal 2016, the University had in place one interest rate 27 In August 2015, the University obtained reauthorization of exchange agreement, used to manage the interest cost and its tax-exempt commercial paper program. risk associated with a portion of its outstanding debt.

In fiscal 2016, the University entered into a $1.0 billion The fair value of the interest rate exchange agreement was unsecured, revolving credit facility with a syndicate of banks, $(36.2) million and $(17.0) million as of June 30, 2016 and which expires in January 2017. In fiscal 2015, the University 2015, respectively and is recorded in “Securities lending and entered into a $1.0 billion unsecured, revolving credit facility other liabilities associated with the investment portfolio” on

harvard university with the same syndicate of banks, which remains in place the University’s Balance Sheets. and expires in January 2020. There was no outstanding balance on either of these credit facilities at June 30, 2016.

13. employee benefits

The University offers current employees a choice of established a trust to hold plan assets for its defined benefit health plans, a dental plan, short-term and long-term pension plans. The fair value of the trust’s assets was disability plans, life insurance, tuition assistance, and $803.7 million and $814.4 million as of June 30, 2016 and a variety of other benefits such as subsidized passes for 2015, respectively. During fiscal years 2016 and 2015, the public transportation and for Harvard athletic facilities. University made cash contributions to the defined benefit In addition, the University has retirement plans covering pension plan of $11.4 million and $11.0 million, respectively. substantially all employees. The University recorded expenses for its defined contribution plans of $131.2 million and $124.1 million for The University uses a measurement date of June 30 for its fiscal 2016 and 2015, respectively. pension and postretirement health plans. Postretirement health benefits Pension benefits The University provides postretirement health coverage All eligible faculty members and staff are covered by and life insurance to substantially all of its employees. As retirement programs that include a defined benefit of June 30, 2016, the University had internally designated component, a defined contribution component, or a and invested $571.6 million to fund the postretirement combination of the two. health benefit accrued liability of $941.8 million. As of June 30, 2015, the University had internally designated and In accordance with the Employee Retirement Income invested $550.9 million to fund the postretirement health Security Act (ERISA) requirements, the University has benefit accrued liability of $809.5 million. The following table sets forth the pension and postretirement plans’ funded status that is reported in the Balance Sheets as of June 30, 2016 and 2015 (in thousands of dollars):

Pension benefits Postretirement health benefits 2016 2015 2016 2015 Change in projected benefit obligation: Projected benefit obligation, beginning of year $ 961,868 $ 943,176 $ 809,499 $ 731,957 Service cost 10,254 10,577 35,292 35,494 Interest cost 44,069 41,842 39,644 34,840 Plan participants’ contributions 3,477 3,165 Plan change1 (26,369) Gross benefits paid (45,388) (45,305) (25,542) (20,708) Actuarial loss 134,887 11,578 105,814 24,751 PROJECTED BENEFIT OBLIGATION, end of year 2 1,105,690 961,868 941,815 809,499

Change in plan assets: Fair value of plan assets, beginning of year 814,365 837,772 Actual return on plan assets 23,282 10,898 Employer contributions 11,400 11,000 Gross benefits paid (45,388) (45,305) FAIR VALUE OF PLAN ASSETS, end of year 803,659 814,365 0 0

UNFUNDED STATUS $ (302,031) $ (147,503) $ (941,815) $ (809,499) 1 The postretirement plan change of $(26.4) million reflects plan changes for union employees, effective January 1,2016, that increased cost-sharing and the length of service needed for the maximum subsidy. notes to financial statements 2 Measurement of the University’s pension benefit obligation including assumed salary increases (required by GAAP). 28

The accumulated pension benefit obligation (ABO) is a Net periodic benefit cost measurement of the University’s pension benefit obligation, Components of net periodic benefit cost recognized based on past and present compensation levels and does in operating activity and other amounts recognized in not include assumed salary increases. The ABO was non-operating activity in unrestricted net assets in the $928.3 million and $801.9 million at June 30, 2016 and Statements of Changes in Net Assets with General Operating 2015, respectively. The funded status disclosed above has Account Detail are summarized as follows for the years harvard university been prepared in accordance with pension accounting rules. ended June 30, 2016 and 2015 (in thousands of dollars): When measured on an IRS funding basis, which informs the University’s required cash contribution amount, the plan was overfunded at January 1, 2016.

Pension benefits Postretirement health benefits 2016 2015 2016 2015 Components of net periodic benefit cost: Service cost $ 10,254 $ 10,577 $ 35,292 $ 35,494 Interest cost 44,069 41,842 39,644 34,840 Expected return on plan assets (49,529) (50,168) Amortization of: Actuarial loss/(gain) 3,656 2,964 (4,604) (7,351) Prior service (credit)/cost 288 364 (4,483) (4,483) Total net periodic benefit cost recognized in operating activity 8,738 5,579 65,849 58,500

Other amounts recognized in non-operating activity in unrestricted net assets: Current year net actuarial loss 161,134 50,848 105,814 24,751 Current year net prior service cost (26,369) Amortization of: Prior service (cost)/credit (288) (364) 4,483 4,483 Actuarial (loss)/gain (3,656) (2,964) 4,604 7,351 Total other amounts recognized in non-operating activity1 157,190 47,520 88,532 36,585 Total recognized in Statements of Changes in Net Assets with General Operating Account Detail $ 165,928 $ 53,099 $ 154,381 $ 95,085

1 These amounts totaling $245.7 million in fiscal 2016 and $84.1 million in fiscal 2015 include gains and losses and other changes in the actuarially determined benefit obligations arising in the current period but that have not yet been reflected within net periodic benefit cost/(income) and are included in the “Change in Retirement Obligations” line in the Statements of Changes in Net Assets with General Operating Account Detail. Cumulative amounts recognized as non-operating changes in unrestricted net assets are summarized as follows for the years ended June 30, 2016 and 2015 (in thousands of dollars):

Pension benefits Postretirement health benefits 2016 2015 2016 2015 Net actuarial loss/(gain) $ 228,266 $ 70,788 $ (35,665) $ (146,083) Prior service cost/(credit) 2,043 2,331 (62,111) (40,225) Cumulative amounts recognized in unrestricted net assets $ 230,309 $ 73,119 $ (97,776) $ (186,308)

The estimated net actuarial loss and prior service cost In fiscal year 2015, the University updated its mortality for the defined benefit plan that will be amortized from assumption to determine the June 30, 2015 year end unrestricted net assets into net periodic benefit (income)/ obligation for the pension and postretirement health cost in fiscal 2017 are $15.7 million and $0.3 million, plans. Other assumptions and health care cost trend rates respectively. The estimated net actuarial gain and used in determining the year end obligation as well as estimated prior service credit for the postretirement health the net periodic benefit (income)/cost of the pension and benefit that will be amortized from unrestricted net assets postretirement health plans are summarized as follows for into net periodic benefit (income)/cost in fiscal 2017 are fiscal 2016 and 2015: ($0.0) million and ($6.7) million, respectively. Postretirement Pension benefits health benefits 2016 2015 2016 2015 Weighted-average assumptions used to determine benefit obligation as of June 30: notes to financial statements Discount rate 3.85% 4.65% 3.90% 4.75% Compensation increase trend: 29 Initial rate 3.00% 3.00% 3.00% 3.00% Ultimate rate 4.00% 4.00% 4.00% 4.00% Years to ultimate rate 5 1 5 1

Health care cost trend rate: Initial rate n/a n/a 6.00% 6.50% Ultimate rate n/a n/a 4.75% 4.75% Years to ultimate rate n/a n/a 7 8

harvard university Weighted-average assumptions used to determine net periodic benefit (income)/cost: Discount rate 4.65% 4.50% 4.75% 4.60% Expected long-term rate of return on plan assets 6.75% 7.00% n/a n/a Compensation increase trend: Initial rate 3.00% 3.00% 3.00% 3.00% Ultimate rate 4.00% 4.00% 4.00% 4.00% Years to ultimate rate 0 1 0 1

Health care cost trend rate: Initial rate n/a n/a 6.50% 7.00% Ultimate rate n/a n/a 4.75% 4.75% Years to ultimate rate n/a n/a 8 9

As an indicator of sensitivity, a one percentage point change in assumed health care cost trend rate would affect 2016 as shown in the following table (in thousands of dollars):

1% point 1% point increase decrease Effect on 2016 postretirement health benefits service and interest cost $ 18,643 $ (14,032) Effect on postretirement health benefits obligation as of June 30, 2016 297,865 (162,050)

The expected return on pension plan assets is determined given the percentage weighting allocated to each asset class. by utilizing HMC’s capital markets model, which takes After calculating the expected real return, an assessment into account the expected real return, before inflation, for is made to accommodate the expected inflation rate for the each of the pension portfolio’s asset classes, as well as the forthcoming period. The final expected return on assets is correlation of any one asset class to every other asset class. the aggregate of the expected real return plus the expected This model calculates the real returns and correlations inflation rate. and derives an expected real return for the entire portfolio, Plan assets The actual asset allocation of the investment portfolio for the pension plan at June 30, 2016 and 2015, along with target allocations for June 30, 2017, is as follows:

2017 Target June 30, 2016 June 30, 2015 Asset allocation by category for pension plan: Equity securities 20 – 40% 34.7% 31.5% Fixed income securities 30 – 50 46.2 45.1 Real estate 0 – 5 1.5 2.6 Absolute return 10 – 30 14.5 16.5 Cash 0 – 10 3.1 4.3 TOTAL OF ASSET ALLOCATION CATEGORIES 100.0% 100.0%

The University’s investment strategy for the pension expects to continue this strategy in future years. The portfolio is to manage the assets across a broad and investment program is also managed to comply with all diversified range of investment categories, both domestic ERISA regulations. and international. The objective is to achieve a risk-adjusted return that is in line with the long-term obligations that the The following is a summary of the levels within the fair University has to the pension plan beneficiaries. During value hierarchy for the pension plan assets subject to fiscal year 2016, the University maintained its allocation to fair value measurement as of June 30, 2016 and 2015 (in fixed income securities to manage the interest rate volatility thousands of dollars):

associated with its pension obligations. The University notes to financial statements

2016 2015 30 Level 1 Level 2 Level 3 Total Level 1 Level 2 Level 3 Total PLAN ASSETS: Cash and short-term investments $ 34,681 $ 34,681 $ 44,577 $ 44,577 Domestic common and convertible equity 17 17 207 207 Foreign common and convertible equity 76,015 76,015 86,335 86,335 Domestic fixed income 52,460 $ 278,108 330,568 39,706 $ 240,170 279,876 Foreign fixed income 23,126 23,126 21,047 21,047 Emerging market equity and debt 29,396 10,035 39,431 51,852 11,165 $ 925 63,942

Due (to)/from broker 1,123 3 1,126 (1,072) (259) (1,331) harvard university PLAN ASSETS SUBJECT TO FAIR VALUE LEVELING $ 193,692 $ 311,272 504,964 $ 221,605 $ 272,123 $ 925 494,653 Investments measured using the practical expedient 294,946 313,219 Other assets not subject to fair value 3,749 6,493 TOTAL PLAN ASSETS $ 803,659 $ 814,365

The following is a rollforward of Level 3 investments for the year ended June 30, 2016 (in thousands of dollars):

Net change Beginning Net realized in unrealized Transfers Transfers Ending balance as of gains/ appreciation/ Purchases/ Sales/ into out of balance as of July 1, 2015 (losses) (depreciation) contributions distributions Level 3 Level 3 June 30, 2016 PLAN ASSETS: Emerging market equity and debt $ 925 $ (925) $ 0 PLAN ASSETS SUBJECT TO FAIR VALUE LEVELING $ 925 $ (925) $ 0

The following is a rollforward of Level 3 investments for the year ended June 30, 2015 (in thousands of dollars):

Net change Beginning Net realized in unrealized Transfers Transfers Ending balance as of gains/ appreciation/ Purchases/ Sales/ into out of balance as of July 1, 2014 (losses) (depreciation) contributions distributions Level 3 Level 3 June 30, 2015 PLAN ASSETS: Emerging market equity and debt $ 0 $ 925 $ 925 PLAN ASSETS SUBJECT TO FAIR VALUE LEVELING $ 0 $ 925 $ 925 Expected future benefit payments Employer contributions of $14.3 million are expected for The following table summarizes expected benefit payments fiscal 2017 to fund the pension benefit plan. and subsidies for pension and other postretirement benefits for the University (in thousands of dollars):

Expected benefit payments Fiscal year Pension Postretirement health 2017 $ 51,664 $ 22,009 2018 51,919 24,249 2019 54,596 26,382 2020 57,214 28,618 2021 59,764 30,896 Thereafter 329,218 193,924

14. student financial aid

Financial aid granted to students in fiscal 2016 and 2015 is summarized as follows (in thousands of dollars):

2016 2015 Scholarships and other student awards: Scholarships applied to student income $ 397,524 $ 384,208 notes to financial statements Scholarships and other student awards paid directly to students 142,070 135,693 Total scholarships and other student awards 539,594 519,901 31

Student employment 73,723 70,322 Student loans 25,975 26,527 Agency financial aid* 19,164 18,550 TOTAL STUDENT FINANCIAL AID $ 658,456 $ 635,300 * Represents aid from sponsors for which the University acts as an agent for the recipient. harvard university 15. sponsored support

Total expenditures funded by US government sponsors or Sponsored grants and contracts normally provide for by institutions that subcontract federally sponsored projects the recovery of direct and indirect costs. The University to the University were $597.2 million and $578.0 million in recognizes revenue associated with direct costs as the fiscal 2016 and 2015, respectively. The University’s principal related costs are incurred. Recovery of related indirect source of federal sponsored funds is the Department of costs is generally recorded at fixed or predetermined Health and Human Services. The University also has rates negotiated with the federal government and other many non-federal sources of sponsored awards and grants, sponsors. Predetermined federal indirect cost rates have including corporations, foundations, state and local been established for the University Area, T.H. Chan School governments, foreign governments, and research institutes. of Public Health and the Medical School (including the School of Dental Medicine) through fiscal year 2019. Funds received for federally sponsored activity are subject to audit.

16. gifts

Gifts are classified as unrestricted, temporarily restricted, Additionally gifts are categorized by purpose as “Current or permanently restricted net assets in accordance with use”, “Non-federal sponsored grants”, “Endowment funds”, donor specifications. “Split interest agreements”, or “Facilities and loan funds”. Gifts received for the year ended June 30, 2016 are summarized as follows (in thousands of dollars):

2016 Donor redesignations/ Gifts received other changes Total Current use $ 424,685 $ (3,516) $ 421,169 Non-federal sponsored grants 137,900 (2,116) 135,784 Endowment funds* 488,599 3,384 491,983 Split interest agreements** 18,832 18,832 Facilities and loan funds 117,418 (194) 117,224 TOTAL GIFTS $ 1,187,434 $ (2,442) $ 1,184,992

* Gift receipts include non-cash gifts of $5.9 million for the year ended June 30, 2016. ** Shown at net present value. The undiscounted value of these gifts was $34,597 for the year ended June 30, 2016.

Gifts received for the year ended June 30, 2015 are summarized as follows (in thousands of dollars):

2015 Donor redesignations/ Gifts received other changes Total Current use $ 418,875 $ 16,774 $ 435,649 Non-federal sponsored grants 123,492 (1,746) 121,746 Endowment funds* 360,986 (22,499) 338,487 Split interest agreements** 14,797 14,797

Facilities and loan funds 128,565 5,568 134,133 notes to financial statements TOTAL GIFTS $ 1,046,715 $ (1,903) $ 1,044,812 32 * Gift receipts include non-cash gifts of $0.8 million for the year ended June 30, 2015. ** Shown at net present value. The undiscounted value of these gifts was $39,478 for the year ended June 30, 2015.

17. other income

2016 2015

The major components of other income for the years harvard university ended June 30, 2016 and 2015 were as follows (in thousands Publication and royalties from copyrights $ 215,176 $ 208,374 of dollars): Rental and parking1 143,412 143,930 Services income 101,660 105,599 Health and clinic fees 50,292 45,722 Sales income 34,940 38,806 Interest income 10,031 9,724 Other student income 5,625 5,865 Other 94,564 60,980 TOTAL OTHER INCOME $ 655,700 $ 619,000 1 The University is the lessor of space and facilities under operating leases, the income from which is included in rental and parking.

18. other expenses

The major components of other expenses for the years 2016 2015 ended June 30, 2016 and 2015 were as follows (in thousands Subcontract expenses under sponsored projects $ 156,286 $ 142,852 of dollars): Travel 94,158 90,644 Publishing 47,103 45,913 Taxes and Fees 31,263 30,583 Advertising 28,099 26,485 Postage 18,987 19,884 Telephone 13,742 13,618 Insurance 12,466 16,471 Other 61,494 69,344 TOTAL OTHER EXPENSES $ 463,598 $ 455,794 19. functional classification of operating expenses

Operating expenses are allocated functionally on a 2016 2015 direct basis. Interest, depreciation, and operations and Instruction $ 1,255,694 $ 1,193,258 Research 918,257 875,900 maintenance expenses are allocated based on square footage. Institutional support 779,006 735,606 Academic support 579,671 541,309 Operating expenses by functional classification for the years Auxiliary services 577,487 547,275 Libraries 251,334 239,255 ended June 30, 2016 and 2015 were as follows (in thousands Student services 196,706 194,793 of dollars): Scholarships and other student awards 142,070 135,693 TOTAL EXPENSES $ 4,700,225 $ 4,463,089

20. commitments and contingencies

Lease commitments Utilities purchase commitments The University is the lessee of equipment and space under The University has entered into Power Purchase operating (rental) and capital leases. Rent expense related Agreements (PPAs) with a series of utilities providers to to leases was $64.7 million and $61.7 million in fiscal 2016 purchase natural gas and electricity for various quantities and 2015, respectively. and time periods. As of June 30, 2016, future obligations under the PPAs are as follows (in thousands of dollars): notes to financial statements Future minimum lease payments under these operating 33 and capital leases (in thousands of dollars): 2017 $ 23,038 2018 18,827 Operating Capital 2019 15,022 2017 $ 66,683 $ 9,799 2020 7,975 2018 58,792 9,720 2021 6,234 2019 52,616 13,756 Thereafter 16,945 2020 41,248 8,929 TOTAL UTILITY FUTURE PURCHASE OBLIGATIONS $ 88,041 2021 32,407 8,147 Thereafter 270,184 153,159 harvard university TOTAL FUTURE MINIMUM PAYMENTS $ 521,930 $ 203,510 General The University is a defendant in various legal actions Fixed asset-related commitments arising from the normal course of its operations. While it is The University has various commitments for capital not possible to predict accurately or determine the eventual projects involving construction and renovation of certain outcome of such actions, management believes that the facilities, real estate acquisitions, and equipment purchases, outcome of these proceedings will not have a material for which the outstanding commitments as of June 30, 2016 adverse effect on the University’s financial position, totaled approximately $644.1 million. changes in net assets, or cash flows.

Environmental remediation The University has evaluated subsequent events through The University is subject to laws and regulations concerning November 1, 2016, the date the financial statements environmental remediation and has established reserves were issued. Subsequent to year end, the University issued for potential obligations that management considers to be Tax-Exempt Series 2016A in the par amount of $1.5 billion probable and for which reasonable estimates can be made. and Taxable Series 2016B in the par amount of $1.0 billion These estimates may change substantially depending for the purpose of refinancing existing debt. This is not on new information regarding the nature and extent of accounted for in the accompanying financial statements or contamination, appropriate remediation technologies, disclosed in the accompanying notes. and regulatory approvals. Costs of future environmental remediation have been discounted to their net present value. Management is not aware of any existing conditions that it believes are likely to have a material adverse effect on the University’s financial position, changes in net assets, or cash flows.

Schedule of Expenditures of Federal Awards

Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Research and Development Cluster Direct Awards Agency for International Development Entrepreneurial Finance Lab Research Initiative 98.001 AID-OAA-G-12-00005 $ 465 $ - Reducing Imbalanced Fertilizer Use in Bangladesh 98.001 AID-OAA-F-13-00016 27,825 - Subtotal of 98.001 98.001 28,290 - Rapid diagnosis of frail and sick newborns with a handheld vital sign monitor 98.Unknown AID-OAA-F-14-00005 126,036 70,212 The Higher Education Network Ring Initiative (HENRI) 98.Unknown AID-497-A-11-00002 522 - Subtotal of 98.Unknown 98.Unknown 126,558 70,212 Total Agency for International Development Direct Award 154,848 70,212 Corporation for National and Community Service Harvard Kennedy School SIB Lab 94.024 14PSHMA001 741,400 - Subtotal of 94.024 94.024 741,400 - Total Corporation for National and Community Service 741,400 - Department of Agriculture Developing a Framework for Measuring the Value of Consumer Confidence in the Food Supply 10.250 58-3000-4-0038 10,982 - Subtotal of 10.250 10.250 10,982 - A Novel Intervention Nanotechnology For Fresh Produce Surface Disinfection Using Engineered Water Nanostructures 10.310 2013-67021-21075 142,793 - The effects of a changing environment on populations of the native pollinator, Augochlorella aurata 10.310 2012-67012-19721 5,080 - Understanding the contributions of remotely sensed chlorophyll fluorescence for domestic and international crop monitoring programs 10.310 2016-67012-25208 13,469 - Subtotal of 10.310 10.310 161,342 - Total Department of Agriculture 172,324 - Department of Commerce Collaborative Research: Variability, stochastic dynamics, and compensating model errors of the Atlantic Meridional Ocean Circulation in coupled IPCC models 11.431 NA13OAR4310130 (11,002) - Estimating convection's moisture sensitivity function using DYNAMO observations 11.431 NA13OAR4310154 83,701 - Quantifying carbon signatures across urban-to-rural gradients: Advancing the capacity for monitoring, reporting, and verification through observations, models, and remote sensing 11.431 NA14OAR4310180 79,957 - Subtotal of 11.431 11.431 152,656 - Instrumentation to Improve the Precision of Astronomical Photometry: Building the Tools for Addressing the Dark Energy Crisis 11.609 60NANB12D139 (27) - Subtotal of 11.609 11.609 (27) - IANA Stewardship Transition Review 11.Contract SB1335-16-SE-0091 18,342 - Subtotal of 11.Contract 11.Contract 18,342 - Total Department of Commerce 170,971 - Department of Defense Fast Sparse Coding: A New Approach to Accelerate the Intelligence Cycle Computations 12.300 N00244-15-1-0050 151,574 - A Computational Approach to Human Moral Judgment 12.300 N00014-14-1-0800 298,359 - Bi-Layer Thermal Barrier Coatings Based on the Yttrium-Tantalate Zirconia System 12.300 N00014-15-1-2715 748 - Bi-Layer Thermal Barrier Coatings Based on the Yttrium-Tantalate Zirconia System 12.300 N00014-12-1-0993 38,470 - Confirmatory GWAS Analysis of the Samples in the Marine Recruit Archive 12.300 N00014-15-1-2518 749,925 - Designing Composite Coatings that Provide a Dual-Defense Against Fouling 12.300 N00014-15-1-2157 128,785 - Dimensionality Reduction Methods for Machine Learning 12.300 N00014-14-1-0632 12,889 - Efficient Bayesian Computation for Massive Data Sets - Theory and Methods 12.300 N00014-16-1-2663 27,937 - Full Color Visualization of High Speed Interfacial Phenomena at Multi- Phase Interfaces 12.300 N00014-14-1-0748 1,540 - Human genetic polymorphisms regulating cell and molecular pathways in NIHL 12.300 N000141210170 2,725 - Integrated NIR test platform for NIHL studies 12.300 N00014-13-1-0794 337,356 - Kinetic self-assembly of DNA tiles and bricks 12.300 N00014-13-1-0593 320,547 - Measuring and understanding information and behavioral patterns for planning and executing non-kinetic course of actions 12.300 N00014-14-1-0485 46,176 - Nanostructured Surfaces for Integrated Optoelectronics, Plasmonics, and Quantum Optics 12.300 N00014-16-1-2825 2,675 - NIR effect on exosome-mediated inflammation in a cellular model of DCS 12.300 N00014-16-1-2411 19,260 - Pass-through to BCH: Identifying and countering early risk factors for violent extremism among Somali refugee communities resettled in North America 12.300 N00014-13-1-0243 173,643 173,643 Practical and Scalable Quantum Simulators for Chemistry and Materials 12.300 N00014-16-1-2008 131,910 - Programmable synthesis of DNA nanostructures for spatial and temporal control 12.300 N00014-16-1-2410 27,012 - Protein Sensors for Voltage and magnetism 12.300 N00014-11-1-0549 180,097 - Quantifying the efficiency of MCMC methods in High Dimensional Bayesian Problems 12.300 N000141410188 55,874 - Quantum Opto-Mechanics with Atoms and Nanostructured Diamond: QOMAND 12.300 N00014-15-1-2761 638,872 167,381 Quantum Sensing and Metrology: Novel Methods and Applications 12.300 N00014-15-l-2846 526,322 - Randomized Dimensionality Reduction Methods for Machine Learning 12.300 N00014-15-1-2388 114,201 - Scalable Bayesian Computation: Using Derandomization to Efficiently Characterize Uncertainty in Probabilistic Models 12.300 FA8750-14-2-0117 43,705 - Scaling up complexity of DNA brick structures 12.300 N00014-16-1-2182 336,306 - Subtotal of 12.300 12.300 4,366,908 341,024 Coherent Molecular Profiling Using Nano- Structured Environments 12.351 HDTRA1-10-1-0046-DOD35CAP 19,358 - Subtotal of 12.351 12.351 19,358 - Identification, Characterization, and Utilization of Adult Meniscal Progenitor Cells 12.420 W81XWH-13-1-0244 336,827 - An Herbal Derivative as the Basis for a New Approach to Treating Post-Traumatic Osteoarthritis 12.420 W81XWH-15-1-0397 213,466 - BC120436 A New Cell-Free System to Study BRCA1 Function 12.420 W81XWH-13-1-0063 265,243 - Behavioral-Based Predictors of Workplace Violence in the Army STARRS 12.420 W81XWH-12-2-0113 1,149,081 177,619 Elucidating the Role of Stromal Factors in HER2 Therapy Resistance in Breast Cancer 12.420 W81XWH-14-1-0222 90,750 - Epigenetic subtypes of triple negative breast cancer 12.420 W81XWH-14-1-0213 305,150 - Identification of Premotor Parkinson disease 12.420 W81XWH-14-1-0131 752,420 109,596 Inhibition of metastases by disrupting platelet-cancer cell interactions using ex vivo modified platelets 12.420 W81XWH-15-1-0305 105,353 9,816 New Methods of Low-Field Magnetic Resonance Imaging for Applications to Traumatic Brain Injury 12.420 W81XWH-11-2-0076 25,045 - PC131803 Molecular Epidemiology Investigation of Obesity and Lethal Prostate Cancer 12.420 W81XWH-14-1-0250 62,747 - Role of Klotho in osteoporosis and renal osteodystrophy 12.420 W81XWH-13-1-0200 433,750 -

The accompanying notes are an integral part of this schedule.

34 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Sexual Trauma and Post-Traumatic Stress Disorder among Warfighters in Army STARRS 12.420 W81XWH-13-1-0037 610,106 - TS150020 12.420 W81XWH-16-1-0127 231 - Unbiased Combinatorial Genomic Approaches to Identify Alternative Therapeutic Targets within the TSC Signaling Network 12.420 W81XWH-12-1-0179 (4,002) - Understanding Microbial Sensing in Inflammatory Bowel Disease Using Click Chemistry 12.420 W81XWH-15-1-0368 288,722 - Understanding Microbial Sensing in Inflammatory Bowel Disease Using Click chemistry 12.420 W81XWH-15-1-0367 84,232 - Subtotal of 12.420 12.420 4,719,121 297,031 6.2.3 Quantum Computation and Communication 12.431 W911NF-15-1-0256 131,768 - A Quantum Microscope for Characterization of Advanced Materials 12.431 W911NF-15-1-0391 256,881 - Analyzing the Large System Limit of Stochastic Proximal Gradient Methods for Online Estimation 12.431 W911NF-16-1-0265 14,899 - Causality Graphs, Approximate Kolmogorov Information, Modeling, Prediction, and Network Inference 12.431 W911NF-14-1-0508 330,864 - Charge Density Waves in Mesoscopic 2-Dimensional Materials for Nanoelecronics 12.431 W911NF-14-1-0638 205,549 - Continuation Study: A Systems Approach to Understanding Post-Traumatic Stress Disorder 12.431 W911NF-16-2-0015 153,804 - Exploring New Approaches for Coupling Spin Qubits 12.431 W911NF-15-1-0203 292,726 - Imaging and Control of Biological Transduction using NV-DIamond 12.431 W911NF-15-1-0548 568,965 208,260 Integrated Human Organ-on-Chip Microphysiological Systems 12.431 W911NF-12-2-0036 6,713,774 1,701,005 Measuring, Understanding, and Responding to Covert Social Networks: Passive and Active Tomography 12.431 W911NF-11-1-0036 1,112,884 659,731 Mechanically Actuated Peptide-polymer thin films for selective capture and release 12.431 W911NF-13-1-0242 170,812 - Nano- and Bio-Electronics: CMOS-Enabled Massively-Parallel Intracellular Nanowire Array as a New Neuroscience Tool and its Biotic-Abiotic Hybrid Application for Micro-Neuroprosthesis Technology 12.431 W911NF-15-1-0565 81,153 - Research Area 4: Electronics: Mott Transistor: Fundamental Studies and Device Operation Mechanisms 12.431 W911NF-14-1-0669 7,364 - Scalable Biomarker Discovery for Diverse High-Dimensional Phenotypes 12.431 W911NF-11-1-0429 5,202 - Self-Assembly of RNA Brick Structures 12.431 W911NF-12-1-0238 119,752 - Statistical Structural Health Monitoring in the Presence of Environmental Variability and Uncertainty 12.431 W911NF-15-1-0172 109,893 - Structural and Electrical Properties of Metastable Oxide Phase Created Under Extreme Oxygen Pressures 12.431 W911NF-14-1-0348 8,521 - The Human Microbiome as a Multipurpose Biomarker 12.431 W911NF-11-1-0473 (2,817) - Subtotal of 12.431 12.431 10,281,994 2,568,996 Active Metasurfaces for Advanced Wavefront Engineering and Waveguiding 12.800 FA9550-14-1-0389 1,451,080 1,006,343 Beam-shaped single mode spiral lasers 12.800 FA9550-08-1-0047-DOD35CAP (6,566) - Catalysts for Lightweight Solar Fuels Generation 12.800 FA9550-13-1-0028 174,395 - Chiral Nanophotonics 12.800 FA9550-16-1-0156 25,860 - Cyborgcell: Molecular-Nanoscale Circuits for Active Control of Cells 12.800 FA9550-15-1-0401 361,696 - Equipment for Laser Cooling of Molecules 12.800 FA2386-14-1-3023 20,488 - Facility for High Spatial and Spectral Resolution Optical Imaging of Metasurfaces 12.800 FA9550-15-1-0355 187,152 - High-Throughput Experimentally and Computationally Guided Discovery of Next Generation High-Temperature Shape Memory Alloys 12.800 FA9550-16-1-0180 6,022 - Integrating Programming Language and Operating System Information Security Mechanisms 12.800 FA9550-12-1-0262 143,913 - Laser Cooling of Polyatomic Molecules 12.800 FA9550-15-1-0446 125,557 - Nano Electronics on Atomically Controlled van der Waals Quantum Heterostructures 12.800 FA2386-15-1-4003 48,274 - Nanoelectronics Innervated Cells, Cell Networks and Three-Dimensional Biomaterials 12.800 FA9550-14-1-0136 310,338 - Pump-Probe Study of fs-Laser Hyperdoping and Texturing of Silicon for Advanced Non-equilibrium Materials 12.800 FA9550-14-1-0150 156,241 - Quantum Control of Light and Matter: from the Macrosopic to the Nano Scale 12.800 FA9550-10-1-0208 168,452 - The Production and Study of Antiprotons and Antihydrogen 12.800 FA9550-10-1-0107-DOD35CAP (379) - The Production and Study of Antiprotons and Cold Antihydrogen 12.800 FA9550-15-1-0275 133,616 - Ultra-Subwavelength Graphene Plasmonic THZ Circuits and Metamaterials 12.800 FA9550-13-1-0211 230,552 - Ultracold Molecular Assembly and Quantum Chemistry 12.800 FA9550-15-1-0260 101,474 - Wavefront engineering with phase discontinuaties: designer interfaces for high performance planar optical components 12.800 FA9550-12-1-0289 (688) - Subtotal of 12.800 12.800 3,637,477 1,006,343 Active Context 12.910 W911NF-15-1-0544 518,107 121,308 Continuous Directed Evolution of Synthethic Regulatory Elements for Use in Mammalian Cells 12.910 HR0011-11-2-0003 12,542 - Development of Diamond Nanoscale Magnetometer Using Quantum Assisted Sensing and Readout 12.910 HR0011-11-C-0073 1,278,982 637,753 Diamond Micro-Combs and Applications 12.910 W31P4Q-15-1-0013 601,958 67,422 Discovery of Tolerance-Mediating Gut Microbial Metabolites 12.910 HR0011-16-2-0013 38,384 - Executable Knowledge 12.910 W911NF-14-1-0367 893,280 212,332 Multiscale Analysis of Spike-Timing Dependent Plasticity in Heterogeneous Circuits of Neurons 12.910 W31P4Q-15-1-0002 153,617 - Programmatic modelling for reasoning across complex mechanisms 12.910 W911NF-14-1-0397 1,102,088 396,417 Safe Genomically Recoded Organisms 12.910 HR0011-13-1-0002 167,151 - Smart Exoskeleton Suit: Biomechanically Synergistic Body Support and Protection System 12.910 W911QX-12-C-0084 403,432 - Spleen-on-a-Chip Sepsis Therapeutic Device 12.910 N66001-11-1-4180 2,098,518 131,469 Towards a Living Foundry: Continuous Directed Evolution of Components for Engineering Biology 12.910 N66001-12-C-4207 55,601 - Translation and Selection of Functional Sequence-Defined Synthetic Polymers 12.910 N66001-14-2-4053 1,002,525 7,411 Ultrahigh-Throughput Virus-Host Cell PicoReactor System for Predictive Modeling of Viral Evolution 12.910 HR0011-11-C-0093 223,506 138,644 Subtotal of 12.910 12.910 8,549,691 1,712,756 Behavioral Approach to Simplified Learning from Space-Time Data 12.Contract N66001-15-C-4028 277,638 - Bioactive Peptide libraries for rapid identification of Novel therapeutics 12.Contract HDTRA1-12-C-0038 51,264 - Biologically Inspired Soft Smart Exosuit for Injury Prevention and Performance Augmentation 12.Contract W911NF-14-C-0051 2,460,744 105,957 Continuum Models for Multi-Agent Cooperative Control 12.Contract W911NF-12-1-0350 42,000 - DARPA A2P: Connecting the Micro and Meso Scales through Pop-up Book Microelectromechanical Systems MEMs 12.Contract FA8650-15-C-7548 297,835 - De Novo lipogenesis, fat intake and prostate cancer survival 12.Contract W81XWH-11-1-0529 6,996 - Engineering Self-Organizing Systems: Investigating Top-Down Synthesis of Resilient Collectives Using an Experimental 1000 Robot Platform 12.Contract W911NF-15-1-0078 168,328 - Equipment for Integrated Hearing Loss Susceptibility Test Platform 12.Contract N00014-16-1-2101 130,583 - Examining Individual Differences in the Cognitive Processes and Brain Networks Supporting Social Cognition in the Contextualized Soldier 12.Contract W911QY-14-C-0009 195,690 - Fundamental Research: Quantum Communication and Teleportation over long distances 12.Contract W911NF-14-2-0099 174,174 - Integrated Microfluidic DLT Device for Sepsis Therapy 12.Contract HR0011-13-C-0025 2,971,439 258,818 New Diagnostic Platform for Biodefense 12.Contract HDTRA1-14-C-0037 661,297 - Range Safety Officer-GWAS Pilot Study 12.Contract N62645-14-C-4027 (9,031) -

The accompanying notes are an integral part of this schedule.

35 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Reverse Engineering Host Resilience 12.Contract W911NF-16-C-0050 330,410 - Towards Re-Programming the Gut Microbiome 12.Contract HR0011-15-C-0094 1,674,338 277,517 Subtotal of 12.Contract 12.Contract 9,433,705 642,292 An Herbal Derivative as the Basis for a New Approach to Treating Post-Traumatic Osteoarthritis 12.Unknown W81XWH-15-1-0396 239,292 - Programming Cells to Produce Nanoparticles with Controllable Features 12.Unknown No Award Number 45,552 - Subtotal of 12.Unknown 12.Unknown 284,844 - Total Department of Defense 41,293,098 6,568,442 Department of Education Partnering in Education Research (PIER): A Predoctoral Interdisciplinary Training Program 84.305 R305B150010-16 141,704 - Student Outcomes of Integrative Mental Health Services 84.305 R305A140253-15 503,982 11,852 Subtotal of 84.305 84.305 645,686 11,852 Developing more effective test-based accountability by improving validity under high-stakes conditions 84.305A R305A110420-14 159,593 8,870 Digital Messaging for Improving College Enrollment and Success 84.305A R305A140121-15 1,101,312 574,522 Subtotal of 84.305A 84.305A 1,260,905 583,392 National Center for Teacher Effectiveness: Validating Measures of Effective Math Teaching 84.305C R305C090023 (27,404) 11,226 Subtotal of 84.305C 84.305C (27,404) 11,226 Understanding and Measuring Treatment Effect Heterogeneity in Large Scale Experiments and Pseudo-Experiments in Education 84.305D R305D150040 113,181 - Subtotal of 84.305D 84.305D 113,181 - Project READS: Using Data to Promote Summer Reading and Close the Achievement Gap for Low-SES Students in North Carolina 84.396B U396B100195 784,964 466,396 Subtotal of 84.396B 84.396B 784,964 466,396 Total Department of Education 2,777,332 1,072,866 Department of Energy Brazil-USA Collaborative Research: Modifications by Anthropogenic Pollution of the Natural Atmospheric Chemistry and Particle Microphysics of the Tropical Rain Forest During the GoAmazon IOPs 81.049 DE-SC0011115 179,380 - Correlated Electrons in Graphene at the Quantum Limit 81.049 DE-SC0012260 184,581 - Dynamic Self-Assembly, Emergence, and Complexity 81.049 DE-FG02-00ER45852 230,625 - Early Career: Catalyst design for small molecule activation of energy consequence 81.049 DE-SC0008313 91,530 - Evolution in Cloud Population Statistics of the MJO: From AMIE Field Observations to Global Cloud-Permitting Models 81.049 DE-SC0008464 6,901 - Fluxes of CO2, CH4, CO, BVOCs, NOx, and O3 in An Old Growth Amazonian Forest: Ecosystem Processes, Carbon Cycle, Atmospheric Chemistry, and Feedbacks on Climate 81.049 DE-SC0008311 100,699 86,515 Harnessing Chemo-mechanical Energy Transduction to Create Systems that Selectively Catch and Release Biomolecules 81.049 DE-SC0005247 471,842 128,860 Imaging Electrons in Atomically Layered Materials 81.049 DE-FG02-07ER46422 188,849 - Improving models to predict phenological responses to global change 81.049 DE-SC0008680 12,682 - INTEGRATED MESOSCALE ARCHITECTURES FOR SUSTAINABLE CATALYSIS (IMASC) 81.049 DE-SC0012573 2,611,108 324,771 Jet physics and quantum field theory for the Large Hadron Collider 81.049 DE-SC0013607 187,347 - Microbial Ecology, Proteogenomics and Computational Optima 81.049 DE-FG02-02ER63445 2,835,516 290,004 Modeling the temporal dynamics of nonstructural carbohydrate pools in forest trees 81.049 DE-SC0012416 25,582 - Molecular-scale Understanding of Selective Oxidative Transformations of Alcohols Promoted by Au and Au-based Alloys 81.049 DE-FG02-84ER13289 61,281 - Particle Physics and Cosmology Research 81.049 DE-SC0007881 (315,438) - Physical and Thermodynamic Properties of Secondary Organic Materials for Modeling 81.049 DE-SC0012792 33,858 - Proton-Coupled Electron Transfer Mechanisms of Small Molecule Activation 81.049 DE-SC0009758 258,999 - Pursuing Dark Energy with Large Galaxy Redshift Surveys: Baryon Acoustic Oscillations and Beyond 81.049 DE-SC0013718 99,481 - Research in High Energy Physics 81.049 DE-SC0007881 1,961,989 - Research Theoretical in High Energy Physics 81.049 DE-SC0007870 311,202 - SISGER: Transport and Imaging of Mesoscopic Phenomena in Single and Bilayer Graphene 81.049 DE-SC0001819 486,686 244,259 SISGR: Room Temperature Single-Molecule Detection and Imaging by Stimulated Raman Scattering Microscopy 81.049 DE-SC0001548 130,066 - The ARM Climate Research Facility in the Amazon Basin 81.049 DE-SC0006680 41,075 - The c-AbJ Signaling Network in the Radio-Adaptive Response 81.049 DE-SC0009428 (14,431) - Towards 3rd generation organic tandem solar cells w/ 20 percent efficiency: Accelerated discovery and rational design of carbon-based photovoltaic materials thru massive distrib. volunteer computing 81.049 DE-SC0008733 207,836 - Unravel lipid accumulation mechanism in oleaginous yeast through single cell systems biology study 81.049 DE-SC0012411 528,058 177,160 Water Splitting by Thin Film Metal-Oxo Catalysts 81.049 DE-SC0009565 208,687 - Subtotal of 81.049 81.049 11,125,991 1,251,569 From Z to Planets: Phase II 81.112 DE-NA0002937 169,235 12,085 Hydrogen and its Isotopes at Ultra-High Pressure 81.112 DE-FG52-10NA29656 151 - Pressing for Metallic Hydrogen 81.112 DE-NA0001990 141,970 - Subtotal of 81.112 81.112 311,356 12,085 From Z to Planets 81.115 DE-NA0001804 106,204 46,314 Subtotal of 81.115 81.115 106,204 46,314 Novel slippery coatings for extreme energy-savings associated with fluid handling in oil pipelines and water circulation systems 81.135 DE-AR0000326 657,303 297,126 Organic Acid Flow Battery for Grid Storage 81.135 DE-AR0000348 1,112,977 235,090 Subtotal of 81.135 81.135 1,770,280 532,216 Local strain Measurements in ceramic-metal bonded parts 81.Contract 1461376 17,402 - Subtotal of 81.Contract 81.Contract 17,402 - Oak Ridge Institute For Science And Education - IC Fellowship (Kehaylas) Research Advisor stipend and lab allowance 81.Unknown No Award Number 13,119 - Subtotal of 81.Unknown 81.Unknown 13,119 - Total Department of Energy 13,344,352 1,842,184

The accompanying notes are an integral part of this schedule.

36 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Department of Homeland Security Non-Invasive Identification of LVH/Cardiomegaly in Firefighters 97.044 EMW-2011-FP-00663 192,822 57,587 Subtotal of 97.044 97.044 192,822 57,587 TSA Meta Leadership Training 97.Contract 2116206TWE018 99,719 - Subtotal of 97.Contract 97.Contract 99,719 - Feeding America's Bravest: Mediterranean Diet-Based Interventions to Change Firefighter's eating Habits and Improve Cardiovascular Risk Profilies 97.Unknown EMW-2014-FP-00612 334,027 162,507 Subtotal of 97.Unknown 97.Unknown 334,027 162,507 Total Department of Homeland Security 626,568 220,094 Department of Housing & Urban Development Prospective Evaluation of a Comprehensive Smoke-Free Public Housing Policy in a Multi-State Setting 14.902 MAHHU0025-14 242,139 12,291 Subtotal of 14.902 14.902 242,139 12,291 Total Department of Housing & Urban Development 242,139 12,291 Department of Justice Community Corrections: An Executive Session on the Future of Correctional Policy 16.560 2012-R2-CX-0048 280,307 - Research Assistantship Program, VAIW 16.560 2015-IJ-CX-0014 51,173 - Subtotal of 16.560 16.560 331,480 - Total Department of Justice 331,480 - Department of State Building University Capacity in Responsible Science in a Scientific Collaboration Context for the BMENA BioScience Forum 19.033 S-LMAQM-14-CA-1182 241,257 - Subtotal of 19.033 19.033 241,257 - Models of Mutual Aid for Internet Robustness 19.221 S-NEAAC-15-CA-1008 360,703 - Subtotal of 19.221 19.221 360,703 - Total Department of State 601,960 - Department of the Interior Digitization of Harvard-Adam Dziewonski Analog Seismograms from 1933 to 1953 for Improved Seismicity Constraints in the Northeastern United States 15.807 G16AP00021 5,237 - Subtotal of 15.807 15.807 5,237 - Application of a biotechnology technique for accurate identification and regional localization of mammalian materials in Native American cultural heritage 15.923 P13AP00078 411 - Subtotal of 15.923 15.923 411 - Algorithms for Representation and Inference informed by the Acquisition of Data from Neuroscience Experiments (ARIADNE) 15.Contract D16PC00002 1,601,296 91,886 Cortical Architecture and Algorithms for Machine Listening 15.Contract D16PC00008 737,438 - Subtotal of 15.Contract 15.Contract 2,338,734 91,886 Total Department of the Interior 2,344,382 91,886 Department of Transportation Rapid Identification of Crude Oil Properties Using W-Ink (Follow-On) 20.Contract DTFR5315C00025 302,402 49,116 Subtotal of 20.Contract 20.Contract 302,402 49,116 Center of Excellence for Research in the Intermodal Transport Environment (RITE) 20.Unknown 10-C-RITE-HU 1,211 - Subtotal of 20.Unknown 20.Unknown 1,211 - Total Department of Transportation 303,613 49,116 Department of Veterans Affairs Ultraviolet Nursing Home Influenza Prevention (UNHIP) Field Study 64.Contract VA241-13-D-0153 636 - Subtotal of 64.Contract 64.Contract 636 - Total Department of Veterans Affairs 636 - DHHS Impact Evaluation of Combination HIV Prevention Interventions in Botswana 93.067 1U2GGH001911-01Revised 1,936,827 1,273,823 Impact Evaluation of Combination HIV Prevention Interventions in Botswana 93.067 5U01GH000447-03REVISED 468,009 468,009 Impact Evaluation of Combination HIV Prevention Interventions in Botswana 93.067 5U01GH000447-04 REVISED 3,032,211 1,856,484 Subtotal of 93.067 93.067 5,437,047 3,598,316 Lung Cancer Disparities Center: Jointly Addressing Race and Socioeconomic Status 93.077 3P50CA148596-05S2 275,048 211,508 The evolutionary and molecular mechanisms underlying sperm performance in an emerging mammalian model 93.077 5K99HD071972-02 REVISED (1,782) - Subtotal of 93.077 93.077 273,266 211,508 THE MDEPINET MEDICAL COUNTER MEASURES STUDY 93.103 1U01FD004493-01 REVISED 394,079 106,866 Subtotal of 93.103 93.103 394,079 106,866 Epidemiological MCH/SPH Institute 93.110 6T03MC07648-10-02 26,122 - Maternal and Child Health Training Grant 93.110 6T76MC00001-58-01 5,381 - Training Grant in Maternal and Child Health 93.110 5T76MC00001-61-00 331,984 - Subtotal of 93.110 93.110 363,487 - 28th Annual Conference International Society for Environmental Epidemiology 93.113 1R13ES027337-01 106 - Air pollution and Parkinson Disease: a GIS-based approach 93.113 5K01ES019183-05 63,267 - Arsenic Exposure, ER stree and Type 2 Diabetes 93.113 4R01ES022230-04 344,057 - BPA, Phthalates and Stress: Mechanisms and Interactions for Childhood Obesity 93.113 5R01ES021357-04S1 896,168 316,095 Cardiovascular Health and Air Pollution: A National Study 93.113 5R01ES024332-02 288,320 28,961 Causal Inference with Interference for Evaluating Air Quality Policies 93.113 1R01ES026217-01 171,138 - Chronic effects of weather fluctuations: population susceptibility and adaptation over time and space 93.113 5R21ES024012-02 271,447 - Comprehensive Translational Science Analytics Tools for the Global Health Agenda 93.113 5DP1ES025459-02Revised 704,964 - COPD and Response to Traffic Related Particles 93.113 4R01ES019853-05 521,268 177,344 Crossover Study on Human Exposure to Phthalates and Male Fertility 93.113 5R01ES017285-05Revised 203,831 117,401 Data-Driven identification of environmental factors in cardiovascular diseaase 93.113 4R00ES023504-03 140,767 - Data-Driven identification of environmental factors in cardiovascular diseaase 93.113 5K99ES023504-02 REVISED 46,746 - Dioxins and Male Pubertal Growth and Development 93.113 3R01ES014370-10S1 333,744 136,263 DNA Methylation as a Biomarker of Exposure and Effect for Particles and Metals 93.113 5R01ES015172-09 678,747 273,616 Early and late-life metal exposures and Alzheimer's disease 93.113 5R01ES024165-03 487,433 162,302 Effects of Arsenic on Adolescent Growth and Metabolic Health 93.113 5R03ES024907-02 104,331 - Effects of environmental stressors on mitochondrial-cellular cross-talk 93.113 5R21ES025615-02 231,026 - Environmental Chemicals, Exosomal miRNAs in Ovarian Follicles, and IVF Success 93.113 5R21ES024236-02 115,666 19,834

The accompanying notes are an integral part of this schedule.

37 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Environmental Obesogens and Weight Change in the POUNDS LOST Trial 93.113 5R01ES022981-03 557,358 3,798 Epidemiology of Immunotoxicant Exposure in Children 93.113 5R01ES012199-10 300,632 160,539 Epigenetic Regulation by Large Non-Coding RNAs in the p53 Mediated DNA Damage Response 93.113 5R01ES020260-05 245,368 130,037 Epigenomic drivers of human muscle progenitor cells in development and disease 93.113 5R01ES024935-02 280,211 - Flame Retardants, Thyroid Function, and Psychomotor Skills in Children 93.113 1R21ES024841-01A1 118,612 74,306 Glucose Metabolism in Adults Prenatally Exposed to Diabetogenic Pollutants 93.113 4R01ES021477-04 327,569 163,024 Graduate Training in Biostatistics 93.113 4T32ES007142-34 462,618 - Gut Microbiome in Adults with Early Life Exposures to Environmental Chemicals 93.113 5R21ES023376-02REV 186,938 90,342 HSPH NIEHS Center for Environmental Health 93.113 3P30ES000002-53S1 1,955,152 - HSPH NIEHS Center for Environmental Health 93.113 5P30ES000002-50Revised (2,858) - Human Exposure to Bisphenol A, Phthalates and Fertility, Pregnancy Outcomes 93.113 5R01ES009718-18 636,327 26,180 Immunotoxicity in Humans with Lifetime Exposure to Ocean Pollutants 93.113 5R01ES021993-04 180,439 87,355 Impact of Obesity on Airway Responses to Air Pollution 93.113 5R01ES013307-10Revised 14,330 - Impact of Obesity on Airway Responses to Air Pollution 93.113 5R01ES013307-12 305,136 25,757 Increasing the power of GxE detection by using multi-locus genome-wide predictors 93.113 5R21ES025052-02 REVISED 128,122 26,991 Influence of genetic variation on manganese neurotoxicity and Parkinson's disease 93.113 5K99ES024340-02Revised 99,597 - Integrative genomic analysis on the role of lncRNAs in the DNA damage response to environmental toxins 93.113 4K25ES022984-04 182,069 - Interdisciplinary Training in Genes and the Environment 93.113 5T32ES016645-08 317,042 - Liability threshold modeling of genes and environment in case-control studies 93.113 5R21ES020754-03 166,677 16,315 Manganese Transport and Toxicity 93.113 3R01ES014638-11S1 652,147 - Maternal and Paternal Flame Retardant Exposure, Impact on Fertility and Pregnancy 93.113 5R01ES022955-03 561,428 249,888 Measurement Errors in Environmental Epidemiology 93.113 5R01ES009411-09rev (24,384) 56,382 Mitochondriomic Biomarkers of Air Pollution Exposure and Respiratory Function Decline 93.113 1F32ES024068-01 (722) - Molecular and Epigenetic Mitochondriomics of Air Particles, Lead and Cognition 93.113 5R01ES021733-04 430,160 51,001 Obesity and asthma: microbiome-metabolome interactions 93.113 5R21ES024032-02 162,019 - Platelet Mitochondrial Epigenetics: New CVD Markers of Particle and Metal Effects 93.113 5R21ES022694-02REV 30,015 - Pollutant-related diabetes in the Nurses' Health Study II 93.113 4R01ES021372-04 618,292 30,529 Population-Based Study of Environmental Risk Factors for ALS 93.113 5R01ES019188-05 341,029 34,402 Prenatal Exposure to Endocrine Disrupters, DNA Methylation, and Childhood Obesity 93.113 5K99ES023450-02 10,535 - Prenatal Programming of Neonatal Asthma Susceptibility 93.113 5R01ES017588-05revised (196) - Prospective Study of Air Pollution and Psychiatric Disorders 93.113 5R21ES019982-02 26,149 7,599 Semiparametric Methods for Gene-environment Interaction 93.113 5R01ES020337-04 378,581 - Summer Intern Program (SIP) in Environmental Health Sciences 93.113 5R25ES020722-05 39,133 - The Cardiopulmonary Effects of Particulate Exposure 93.113 5R01ES009860-12 149,061 - The roles of UV, neoantigens, and epitope spreading in vitiligo and melanoma 93.113 5F30ES025626-02 38,072 - Theory and Methods for Sufficient Cause Interactions 93.113 5R01ES017876-05Revised 68,148 - Training Program in Environmental Epidemiology 93.113 2T32ES007069-36Revised 316,434 - Training Program in Environmental Epidemiology 93.113 5 T32 ES007069-30 (4,298) - Training Program in Environmental Epidemiology 93.113 5T32ES007069-35 258,711 - Transgenerational Susceptibility to Asthma from Air Pollution Exposure 93.113 5R21ES023281-02 192,830 - Vulnerability and Adaptation to Heat and Air Pollution in a Changing Climate 93.113 5R21ES022585-02Revised 138,599 14,669 Subtotal of 93.113 93.113 16,446,108 2,480,930 A Cognitive Approach to Refine and Enhance Use of a Dental Diagnostic Terminology 93.121 5R01DE021051-05 REVISED 334,282 172,041 A whole systems approach to implementing standardized dental diagnostic terms 93.121 4R01DE023061-04 REVISED 511,337 265,835 Anti-Inflammatory Mesenchymal Stem Cell Therapy for Dental Applications 93.121 1K08DE025292-01A1 29,334 - Engineering Skeletal Muscle With Biodegradable Hydrogels 93.121 5R01DE013349-15 REVISED 703,640 86,484 Epigenetic Regulation of HSV Infection of Oral Cells 93.121 5R56DE023909-02 REVISED 135,114 - Improving the Quality of Dental Care by Implementing a Clinicial Checklist 93.121 5R21DE023408-02 REVISED 116,800 - Polymeric Matrices With Defined Cell Adhesion 93.121 5R01DE013033-18 341,628 - Probing the cAMP signaling microdomain of the primary cilium 93.121 1R21DE025921-01 21,683 - Role of a Novel Secreted Protein Tyrosine Kinase in Development 93.121 5R21DE024312-02 232,041 - Role of the Bradykinin Pathway in Craniofacial Development 93.121 5F30DE022989-04 41,007 - The Role of Salivary Mucin in Preventing Cariogenic Streptococcus Biofilm Formation 93.121 5F30DE024917-02 37,303 - The Use of Novel Implantable Cancer Vaccines for the Treatment of Oral Cancer 93.121 5K99DE023577-02 REVISED 11,677 - Tooth Movement derived by PDL Cellular Manipulations 93.121 1K99DE025053-01A1 REVISED 77,063 - Subtotal of 93.121 93.121 2,592,909 524,360 Harvard Prevention Research Center on Nutrition and Physical Activity - Category 1 93.135 3U48DP001946-05S1Rev 6,677 - Subtotal of 93.135 93.135 6,677 - Safety and Health Management of Hazards Associated with Emerging Technologies. 93.143 5R25ES023635-03 185,489 21,499 Superfund Metal Mixtures, Biomarkers and Neurodevelopment 93.143 5P42ES016454-04 REVISED 77,564 (745) Subtotal of 93.143 93.143 263,053 20,754 Accurate analysis of genome structural variation using large-scale sequence data 93.172 5U01HG006510-04 REVISED 363,951 157,367 Causal Transcriptional Consequences of Human Genetic Variation (CTCHGV) 93.172 5P50HG005550-05 REVISED 381,770 180,584 Center for Genomically Engineered Organs 93.172 1RM1HG008525-01 2,457,064 83,599 Detecting natural selection by comparing African-ancestry populations 93.172 5R03HG006170-02rev (53,125) - Electronic Sequencing in Graphene Nanopores 93.172 5R01HG003703-10 REVISED 323,820 - Fast and powerful extensions of mixed model methods for GWAS 93.172 5F32HG007805-02Revised 51,669 - Flybase: A Drosophila Genomic and Genetic Database 93.172 5U41HG000739-24 3,987,940 1,317,703 Heritability of complex traits via IBD and IBS in related and unrelated individuals 93.172 5R03HG006731-02 7,837 - Identifying Genome-scale Interaction Effects in Human Traits and Diseases 93.172 1R21HG007687-01A1REVISED 102,534 - Large-Scale High-Confidence Binary Protein Interaction Network for Drosophila 93.172 4R01HG007118-04 979,869 769,434 Massively Parallel Phenotypic Characterization of Non-coding Genetic Variation 93.172 5K99HG008179-02 105,037 - Mechanisms of Transcriptional Control Revealed by Nascent Transcript Sequencing 93.172 4R01HG007173-04 494,166 - Methods for Genome-wide Association Studies in Admixed Populations 93.172 5R01HG006399-05 423,332 36,920

The accompanying notes are an integral part of this schedule.

38 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Multi-allelic copy number variation of the human genome 93.172 5R01HG006855-04 362,196 - Patient-Centered Information Commons (PIC) 93.172 5U54HG007963-03 3,919,605 1,173,229 Powering whole genome sequence-based genetic discovery for common human diseases 93.172 1U01HG009088-01 2,489 - Systematic Exploration of the Human Interactome 93.172 5U41HG006673-05 962,594 - The Flybase Diversity Action Plan 93.172 5R25HG007630-02 255,468 253,468 Training in Bioinformatics and Integrative Genomics 93.172 5T32HG002295-13 REVISED 647,911 - Visualization of (Epi)Genomic Data for Discovery of Disease-Associated Variants 93.172 5K99HG007583-02 REVISED 22,467 - Visualization of (Epi)Genomic Data for Discovery of Disease-Associated Variants 93.172 5R00HG007583-04 185,719 - Subtotal of 93.172 93.172 15,984,313 3,972,304 Cellular and Molecular Mechanisms of Ear Morphogenesis 93.173 5R01DC007195-10 REVISED (17,586) - Characterizing Odor Maps in the Olfactory Bulb and Cortex 93.173 5R01DC011558-05 321,695 - Functional characterization of Netrin-1 in the spiral ganglion 93.173 5F31DC014603-02 35,217 - Functional integration of adult-born neurons into the mammalian brain 93.173 4R01DC013329-04 270,417 - Genetic Dissection of Auditory Circuit Assembly 93.173 5R01DC009223-07 495,327 - Improved binaural stimulation strategy for bilateral cochlear implants 93.173 5F31DC014873-02 32,799 - In Toto Imaging and genomics to Decode Ear Hair Cell Formation and Regeneration 93.173 5R01DC010791-05 Revised (414) - Interrogating the Neural Representations of Innately Aversive Predator Odors 93.173 5F31DC013696-02 29,120 - Mechanics of Hearing Workshop 93.173 1R13DC013514-01 REVISED (1,765) - Mechanisms of sound encoding in the Drosophila brain 93.173 5F32DC013928-02 REVISED 28,761 - Molecular and anatomical correlates of spiral ganglion neuron heterogeneity 93.173 5F32DC014371-02 54,906 - MOLECULAR AND CELLULAR MECHANISMS OF A NEURONAL NETWORK FOR OLFACTORY LEARNING 93.173 5R01DC009852-08 575,509 - Molecular Basis of Inherited Deafness 93.173 5R01DC002281-18 229,368 - Molecular Mechanisms of Auditory Transduction 93.173 2R01DC000304-31 265,819 - Molecular Mechanisms of Auditory Transduction 93.173 5R01DC000304-30 REVISED 119,439 - Network anatomy of olfactory processing 93.173 5R03DC013622-03 252,232 60,836 Neuromodulation of sensory processing by the serotonin system 93.173 5R01DC014453-02 562,036 - Non-sensory cells as a potential source for signaling molecules in the cochlea 93.173 1R21DC014916-01A1 37,226 - Olfactory circuits that control behavior 93.173 5R01DC013289-03 331,151 - Optogenetic Stimulation in a Model of the Auditory Brainstem Implant 93.173 5F31DC014871-02 32,799 - Optogenetic studies of mouse olfaction 93.173 5R01DC011291-05 REVISED 73,428 - Sensory and Reward Codes in Olfactory Cortex 93.173 1F31DC014602-01 19,185 - Sensory processing of social and defensive chemosignals 93.173 4R01DC013087-04 140,108 - Synaptic and Circuit Mechanisms of Olfactory Processing 93.173 5R01DC008174-10 366,525 - The role of MafB in auditory synapse development 93.173 5F32DC012695-03 REVISED 31,926 - The role of short-term plasticity at the calyx of Held for auditory processing 93.173 5F30DC013716-03 36,202 - Training for Speech and Hearing Sciences 93.173 4T32DC000038-25 853,322 - Subtotal of 93.173 93.173 5,174,752 60,836 Health Policy Training Program 93.225 5T32HS000055-23 390,367 - Subtotal of 93.225 93.225 390,367 - A Translational Framework for Methodological Rigor to Improve Patient Centered Outcomes in End of Life Cancer Research 93.226 5K18HS021991-02 50,728 - Comparative Effectiveness and Safety of Depression Treatments during Pregnancy 93.226 5R01HS018533-05Revised 936 - Engineering highly reliable learning lab 93.226 1P30HS024453-01Revised 250,938 19,253 Measuring Effects of Antihypertensive Medication Adherence on BP levels through Bayesian Dynamic Linear Models 93.226 7R03HS022112-02 REVISED 4,815 - Medicaid Policy, Coverage, and Access to Care Among Low-Income Americans Under Health Reform 93.226 4K02 HS021291-04 156,131 - Payment Increases and Physician Supply of Care for Medicaid Beneficiaries 93.226 1R36HS024455-01 16,948 - The Effects of Competition on Health Insurance Generosity in Medicare Advantage 93.226 1R36HS023477-01 REVISED 1,199 - Subtotal of 93.226 93.226 481,695 19,253 Genetics of Sleep in Zebrafish 93.233 5R01HL109525-08 REVISED 273,104 - Subtotal of 93.233 93.233 273,104 - Assessing causality Is post-traumatic stress disorder cardio-toxic 93.242 5R01MH101269-03 571,820 56,827 Comparative Safety of commonly prescribed Psychotropic Drugs in pregnant Women 93.242 5R01MH100216-03 558,096 320,877 Comprehensive Classification Of Neuronal Subtypes By Single Cell Transcriptomics 93.242 5U01MH105960-03 1,912,329 1,028,478 Context dependent modulations of dopamine signaling 93.242 1R01MH110404-01 5,560 - Developing Risk Algorithms of Internalizing Disorder Etiology and Course 93.242 1K01MH106710-01A1 REVISED 101,189 - Development of Tonic and Phasic Neural Systems Mediating Affect and Anxiety 93.242 5R00MH087813-05 1,486 - Dissecting the role of anterior cingulate cortex projections to the amygdala in observational learning 93.242 1F31MH107151-01A1 REVISED 17,728 - Effects of a single-session implicit theories of personality intervention on recovery from social stress and long-term psychological functioning in early adolescents. 93.242 1F31MH108280-01 25,669 - Effects of HIV and ARV Exposure on Child Health and Neurodevelopment in Botswana 93.242 3R01MH087344-05S1Revised 84,466 44,041 Event-related Neuroimaging of Human Memory Formation 93.242 5R01MH060941-16 349,161 - Experimental examinations of the mechanisms that generate the responses of midbrain dopamine neurons 93.242 4R01MH101207-04 493,003 - Functional roles of long noncoding RNAs during neuronal development 93.242 5R01MH102416-03 REVISED 364,026 - Health Policy Training Program 93.242 4T32MH019733-22 355,812 - Healthy Options: Group psychotherapy for HIV-positive depressed perinatal women 93.242 4R01MH100338-04 475,951 374,883 Identifying critical functions of DISC1 disrupted in major mental illness 93.242 5F30MH103890-02 47,526 - Identifying Risk Factors for PTSD by Pooled Analysis of Current Prospective Studies 93.242 7R01MH101227-02Revised 506,660 202,868 Imprinting a Connectome: Developmental Circuit Approach to Mental Ilness 93.242 5P50MH094271-05 1,552,630 - Influences on Psychiatrist Prescribing of Antipsychotics 93.242 5R01MH093359-03 REVISED 249,620 91,509

The accompanying notes are an integral part of this schedule.

39 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Mental Health Coverage and Payment in Private Health Plans 93.242 5R01MH094290-04 471,899 131,209 METTL23 is essential for human cognitive function 93.242 5F30MH102909-03 35,257 - Molecularly defining the neural circuitry of fear in the amgydala 93.242 1R21MH104785-01A1 92,417 - Neural circuits for computing dopamine prediction errors 93.242 5F30MH100729-02 5,638 - Neural circuits that regulate dopamine neuron activity 93.242 4R01MH095953-05 491,033 - Neuronal Epigenomic Changes in Neurodevelopment and Disease 93.242 5R01MH094663-05 444,133 - Neuronal mechanisms of attention: changes in sensitivity and decision criterion 93.242 5F31MH103895-03 23,187 - Neuropsychiatric Genome Scale and RDOC Individualized Domians (N-GRID) 93.242 5P50MH106933-03 3,929,716 1,893,167 New approaches to understand neuronal microcircuit dynamics for working memory 93.242 5R01MH107620-02 468,509 - Novel Statistical Approaches to Mental Health Phenotype Analysis in GWA Studies 93.242 5R01MH081862-06 94,041 10,156 Optimizing cognitive training to improve functional outcome in clinical high risk 93.242 5R01MH105246-02 163,710 72,348 Optimizing Delivery of ART/PrEP for HIV Prevention through Qualitative Research 93.242 4R01MH101027-04 488,902 151,369 Peptide Modulation of Striatal Patch and Matrix Subdivisions 93.242 4R01MH100568-04 465,596 - Ph.D. Training in Neuroscience 93.242 4T32MH020017-19 635,229 - Physiological Genomics of Central Vasopressin Circuits Across Gender 93.242 1K01MH109712-01A1 9,494 - Posttraumatic Stress Disorder and Cognitive Decline in Women 93.242 7R21MH102570-02Revised 228,364 170,510 Real time fMRI feedback and auditory processing in schizophrenia 93.242 5R21MH094509-02 REVISED 163,986 71,769 Schizophrenia International Research Society Scientific Conference 93.242 5R13MH082446-06 REVISED 3,485 - Synaptic Basis of Sleep Cycle Control 93.242 5R01MH039683-31 426,229 38,847 Technology Diffusion Pathways 93.242 4U01MH103018-04 595,383 - The algorithms used by the genome to interpret neural activity 93.242 4R01MH101528-04 527,282 - The biochemical correlates of sleep homeostasis 93.242 4R01MH099180-04 332,960 - Training Program in Psychiatric Genetics and Translational Research 93.242 5T32MH017119-30Revised 315,444 - Training Program in Psychiatric Genetics and Translational Research 93.242 5T32MH017119-28 2,325 - Youth FORWARD: Capacity Building in Alternate Delivery Platforms and Implementation Models for Bringing Evidence-Based Behavioral Interventions to Scale for Youth Facing Adversity in West Africa 93.242 1U19MH109989-01 15,359 - Subtotal of 93.242 93.242 18,102,310 4,658,858 Lung Disease in Chinese Textile Workers 93.262 5R01OH002421-22Revised 247,827 18,417 The Harvard School of Public Health Center for Work, Health and Wellbeing 93.262 5U19OH008861-09REV 1,160,849 1,039,213 The HSPH Education and Research Center for Occupational Safety and Health 93.262 T42OH008416-11 REVISED 1,568,111 - Subtotal of 93.262 93.262 2,976,787 1,057,630 Alcohol and Cell Adhesion 93.273 4R01AA012974-15 325,392 45,822 Behavioral Couples Group Therapy for Alcoholic Patients: Clinical and Cost Outcomes 93.273 5R01AA017865-05 58,616 25,364 The gut microbiota and ethanol 93.273 5R21AA023207-02 244,564 - Subtotal of 93.273 93.273 628,572 71,186 Behavioral Couples Therapy for Female Drug-Abusing Patients 93.279 5R01DA025618-05 REVISED 160,989 - Compartment-specific signaling of striatal oploid peptides in reward-guided behavior 93.279 5K99DA034648-02 REVISED 18,900 - Developmental gene networks of 5HT neurons in addiction, aggression, and anxiety 93.279 5R01DA034022-03 607,185 17,588 Drug abuse and jobs: racial disparities in labor force participation and outcomes 93.279 5R03DA038697-02 97,211 - Epigenetic Regulation of Serotonin:Relevance to HIV and Methamphetamine Abuse 93.279 5R21DA030177-03 REVISED (4,819) - Function-specific serotonergic neurons, discrete brain targets, and addiction 93.279 5R21DA036056-02 156,222 98,241 Integration and Dynamics of Neuromodulator Action in the Striatum 93.279 5F32DA035543-02 56,926 - Intergenerational impacts of parent marijuana use on adolescent health behavior 93.279 5F31DA039586-02 41,232 - Modulation of Sensory Representations in the Ventral Striatum 93.279 5F31DA036922-02 29,120 - Monitoring Neural Activity in Freely Behaving Zebrafish Larvae with Bioluminescence 93.279 5R01DA030304-04 50,519 - Substance Abuse at the Schizophrenia International Research Congress 93.279 5R13DA036925-03 11,464 6,000 Substance Use Disorder Treatment under New Payment and Delivery System Models 93.279 5R01DA035214-03 469,936 198,293 Generation and characterization of tools for target-specific de novo DNA methylation 93.279 4R01DA036898-04 358,669 - Subtotal of 93.279 93.279 2,053,554 320,122 Mentoring in Qualitative Methods for Patient-Oriented Research on HIV Care 93.281 5K24MH090894-05 111,179 32,854 Subtotal of 93.281 93.281 111,179 32,854 Automated Procedure Guidance with Ultrasound Imaging Catheters 93.286 5R21EB018938-02 228,894 104,495 Biomaterial based breast cancer vaccine 93.286 4R01EB015498-04 254,738 - Building the Hematopoietic Stem Cell Niche 93.286 5R01EB014703-04 516,772 165,851 Continuous Evolution of Proteins with Novel Therapeutic Potential 93.286 9R01EB022376-10 507,611 - In vivo Handheld Coherent Raman Scattering (CRS) Microscopy for Glioma Imaging 93.286 5R01EB017254-03 REVISED 429,943 300,068 Mechanotransduction analysis in a microengineered lung-on-a-chip 93.286 5R01EB020004-02 486,934 304,790 New Chemical Methods for Molecular Imaging to Impact Clinical Care 93.286 5R01EB013042-04 REVISED 159,378 143 Subtotal of 93.286 93.286 2,584,270 875,347 Functional Activity and Inter-organismal Interactions in the Human Microbiome 93.301 5R01HG005969-03Revised (107) - Subtotal of 93.301 93.301 (107) - Addressing Mental Health Disparities in Refugee Children: A CBPR Collaboration 93.307 3R24MD008057-03S1 295,577 69,837 Disparities in Exposure and Health Effects of Multiple Environmental Stressors Across the Life Course 93.307 5P50MD010428-02 630,299 197,990 Harvard School of Public Health MHIRT Training Program Grant 93.307 5T37MD001449-19Revised 253,636 - Understanding Disparities in Patient-Centered Hospital Care 93.307 5R01MD006230-03Rev 253,806 - Subtotal of 93.307 93.307 1,433,318 267,827 4D Nucleome Network Data Coordination and Integration Center 93.310 1U01CA200059-01 REVISED 574,933 35,506 A Road Map to the Neocortex 93.310 5DP1MH099906-05 812,881 - Biocompatible Chemistry for In Vivo Metabolite Modification 93.310 1DP2GM105434-01 443,696 - Biomedical Data Science Online Curriculum on HarvardX 93.310 5R25GM114818-02 118,887 52,533 Biophysical approaches to complex navigational behaviors in larval Drosophila melanogaster 93.310 8DP1GM105383-05 REVISED 246,571 - Coordinating Center for the Undiagnosed Diseases Network 93.310 5U01HG007530-03 REVISED 3,108,495 375,519

The accompanying notes are an integral part of this schedule.

40 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Dissecting bacterial cell wall synthesis using in vivo single molecule tracking 93.310 1DP2AI117923-01 554,372 - Dynamic cellular architecture of bacteria by system-wide super-resolution imaging 93.310 5R01GM096450-05 112,304 - Engineering Bioimaging Probes Based on Triggered Molecular Geometry 93.310 1DP2OD007292-01 REVISED 40 - High Resolution Connectomics of Mammalian Neural Circuits 93.310 5R01NS076467-05 1,546,870 57,123 Innovative reporters to characterize heterogeneous states among cells 93.310 5R21DA039582-02 230,614 - Investigating the Role of Alternative Splicing Regulatory Networks in Nervous System Development and Function 93.310 5DP5OD009153-05 443,789 - Modeling the Aging Epigenome 93.310 5DP1AG044161-05 473,496 - Molecular mechanisms of adiponectin signaling and PAQR function 93.310 1DP5OD021345-01 383,381 - New tools for understanding the blood brain barrier 93.310 5DP1NS092473-03 688,110 - Optical Sensing of Voltage, pH, and Small Molecules Using Microbial Rhodopsins 93.310 1DP2OD007428-01 REVISED 183,555 - Pharmaco Response Signatures and Disease Mechanism 93.310 5U54HL127365-03 2,608,378 467,773 Physician Determinants of Health Care Spending, Quality, and Patient Outcomes 93.310 5DP5OD017897-03 REVISED 404,377 - Probing Dynamics of The Human Genome by Single Cell Sequencing 93.310 4DP1CA186693-04 1,160,781 - Quantification and prediction of treatment efficacy for HIV cure strategies 93.310 5DP5OD019851-02 164,812 - Revealing fear: new methods to study neural circuits, behavior and disease 93.310 1DP2OD007109-01 123,796 - Single cell analysis of metabolism using genetically-encoded fluorescent sensors 93.310 4DP1EB016985-05 786,054 - Small-Molecule Catalysts for the Stereoselective Synthesis of Oligosaccharides 93.310 5U01GM116249-02 267,563 - Super-resolution imaging via programmable autonomous blinking 93.310 5R01EB018659-03 576,701 92,125 The inheritance of position: It's not just who you are, it's where you are 93.310 5DP1GM106412-04 918,284 - Using mobile phones for social and behavioral sensing of mood disorder patients 93.310 1DP2MH103909-01 609,676 25,285 Watching a vertebrate brain learn and behave in a virtual environment 93.310 5DP1NS082121-05 REVISED 669,865 - Subtotal of 93.310 93.310 18,212,281 1,105,864 Harvard Clinical and Translational Science Center 93.350 4KL2TR001100-04 1,834,461 1,834,461 Harvard Clinical and Translational Science Center 93.350 4TL1TR001101-04 539,796 - Harvard Clinical and Translational Science Center 93.350 3UL1TR001102-04S2 22,577,299 14,436,673 Human Cardio-Pulmonary System on a Chip 93.350 5UH3TR000522-04 REVISED 1,120,300 - Subtotal of 93.350 93.350 26,071,856 16,271,134 ARC: Building Awareness, Respect, and Confidence through Genetics 93.351 1R25OD021895-01 22,407 - NanoSight System for Particle Tracking Analysis in Biological Fluids 93.351 1S10OD020086-01Revised 143,585 - Research Training in Veterinary and Comparative Pathology 93.351 5T32OD011064-38 (147) - Upgrade Siemens MAGNETOM Trio to MAGNETOM Prisma Fit 3T Human MRI System 93.351 1S10OD020039-01 REVISED 600,000 - Subtotal of 93.351 93.351 765,845 - Novel Epigenomic Biomarkers of Prenatal Risk Factors, and Childhood Obesity 93.361 5R01NR013945-03 452,468 283,063 Subtotal of 93.361 93.361 452,468 283,063 Development of Validated Drosophila in Vivo RNAI Models of Human Diseases 93.389 3R24OD011176-04S1 254,258 - Subtotal of 93.389 93.389 254,258 - Bone metabolism and bone metastases in prostate cancer 93.393 4R01CA179129-04 428,407 18,444 Cancer Epidemiology Cohort in Male Health Professionals 93.393 4UM1CA167552-05 2,194,229 512,882 Circadian Disruption and Risk of Prostate Cancer in a Multiethnic Cohort 93.393 1R01CA202690-01 83,919 11,696 Clustered semi-competing risks analysis in quality of end-of-life care studies 93.393 5R01CA181360-03 385,548 100,033 Comparative and Cost-Effectiveness of Preventing HPV-Related Diseases 93.393 5R01CA160744-04 168,284 - Comparative Modeling to Inform Cervical Cancer Control Policies 93.393 1U01CA199334-01 624,432 340,601 Conferences on Emerging Statistical Issues in Biomedical Research 93.393 5R13CA124365-10 16,750 - Discovery, Biology and Risk of Inherited Variants in Breast Cancer 93.393 5U19CA148065-04REVISED 375,101 213,755 Early life risk factors and risk of colorectal neoplasia 93.393 5R03CA197879-02 75,705 - Energy Balance-Related Hormones and Prostate Cancer Incidence and Progression 93.393 5R01CA133891-05 17,900 - Explaining Variations in End-of-Life Care Intensity 93.393 5R01CA164021-03 154,547 62,468 Gastric Cancer Prevention: Evaluating U.S. Risk Factor Trends and New Technology 93.393 5K07CA143044-05 109,032 - Gene-environment EBV Interactions in the Etiology of Nasopharyngeal Carcinoma (NPC) 93.393 5R01CA115873-06Revised 102,833 84,721 Genomic targets of oncoproteins and tumor suppressors 93.393 2R01CA107486-09A1 182,023 - Gut microbiota and inflammatory monocytes in colorectal cancer 93.393 5R01CA154426-05 279,619 - Jim Crow and health disparities: exploring age-period-cohort effects 93.393 5R21CA168470-02rev (10) - Leveraging GxE interaction to understand pancreatic cancer and altered metabolism 93.393 1UH2CA191284-01 109,463 11,463 Life Course Cancer Epidemiology Cohort in Women 93.393 4UM1CA176726-04 3,108,040 1,924,617 Long-term trends in breast cancer DNA copy number alterations and disparities 93.393 1R03CA193078-01A1 2,144 - Long-Term Trends in Breast Cancer Tumor Profiles and Disparities 93.393 5R21CA166115-02 44,926 26,031 Measurement Errors in Cancer Epidemiology 93.393 5R01CA050597-18rev (4,891) - Measuring and Improving Colonoscopy Quality Using Natural Language Processing 93.393 5R01CA168959-05 662,252 438,556 Mechanisms of Eukaryotic Translation Initiation 93.393 5R01CA068262-20 89,704 - Molecular Biology of Oncogenic Papillomaviruses 93.393 1R35CA197262-01 502,804 - Papillomavirus E2 Functions: Cellular Regulation and Effectors 93.393 5R01CA116720-09 REVISED 221,037 - Population-based assessment of cancer trial generalizability in the elderly 93.393 5R01CA132900-05 REVISED (144) - Premonopausal Hormone Levels and Risk of Breast Cancer 93.393 5R01CA067262-16rev (436) - Prioritizing follow-up of GWAS loci using genetic and functional annotation data 93.393 5R21CA182821-02Revised 123,609 48,418 Quantifying and Characterizing the shared genetic contribution to common cancers 93.393 1U01CA194393-01 46,340 1,256 Reducing Skin Cancer Risk in Childhood Cancer Survivors 93.393 4R01CA175231-04 716,787 338,537 Risk Factors for Breast Cancer in Younger Nurses 93.393 5R01CA050385-25Revised (19,019) - Risk Factors for Breast Cancer in Younger Nurses 93.393 5R01CA050385-27 720,448 569,215 Small Molecule Screen Targeting p53 proteolysis in HPV positive cancers 93.393 5R21CA175473-02 31,130 22,402 Social Networks and the Spread of Cancer Care Practices 93.393 5R01CA174468-03 329,246 40,159 Statistical Informatics for Cancer Research 93.393 5P01CA134294-08 654,146 43,196 Statistical Methods for Analysis of Massive Genetic and Genomic Data in Cancer Research 93.393 1R35CA197449-01 801,696 7,545 Statistical Methods for Correlated and High-Dimensional Biomedical Data 93.393 5R37CA076404-18Revised 24,095 - The genetic architecture of breast cancer risk factors and breast cancer 93.393 5R03CA173785-02 6,505 5,044

The accompanying notes are an integral part of this schedule.

41 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

The Obesity Paradox in Renal Cell Carcinoma 93.393 1R03CA195098-01A1 6,877 - Validity of Diet and Activity Measures in Men 93.393 5U01CA152904-04Rev 46,739 51,533 Whole Genome Amplification and Sequencing of Single Cancer Cells 93.393 5R33CA174560-03 457,718 114,917 Workshop for Junior Biostatisticians in Health Research 93.393 1R13CA196188-01REVISED 15,000 - Subtotal of 93.393 93.393 13,894,535 4,987,489 A p53/NFkB-mediated metabolic mechanism for chemotherapy protection 93.395 5R01CA183074-03 399,408 - Mechanistic Pharmacology of Anti-Mitotics and Apoptosis Regulation 93.395 5P01CA139980-05 102,158 28,717 Modulation of p53 function by tyrosine kinase networks 93.395 5R01CA167814-04 397,851 - Synthesis and Study of Natural and Non-natural Antiproliferative Agents 93.395 2R01CA047148-29 348,689 - Synthesis and Study of Natural and Non-natural Antiproliferative Agents 93.395 5R01CA047148-28 244,120 - Subtotal of 93.395 93.395 1,492,226 28,717 Analysis of Intratumoral Crosstalk in Clonal Populations of OvarianTumor Cells 93.396 5R01CA181543-03 366,793 - Decoding and targeting the PI3K-mTOR signaling network in cancer 93.396 1R35CA197459-01 755,120 4,561 Epithelial layer jamming in breast cancer cell migration 93.396 1U01CA202123-01Revised 363,617 121,108 MDM2 and MDMX function together as the p53 E3 ligase 93.396 5R01CA085679-14 313,727 - Metabolic control of cell growth by the mTOR signaling network 93.396 5R01CA181390-02 (67,146) 8,552 Regulatory mechanisms and role of the PI3K-TSC-mTOR signaling network in tumors 93.396 2R01CA122617-10Rev 283,818 - SCH: INT: Collaborative Research: Intelligent Information Sharing: Advancing Teamwork in Complex Care 93.396 1R01CA204585-01 15,184 - Structural and Mechanistic Studies of Regulation of let-7 biogenesis by Lin28' 93.396 4R01CA163647-05 414,938 - Structure and function in Notch Signaling 93.396 5R01CA092433-13 319,521 18,309 Visual Analysis of Genomic and Clinical Data from Large Patient Cohorts 93.396 5U01CA198935-02 376,983 59,344 Visualizing healthcare system dynamics in biomedical Big Data 93.396 5U01CA198934-02 477,311 137,135 Subtotal of 93.396 93.396 3,619,866 349,009 Harvard Transdisciplinary Research in Energetics and Cancer 93.397 5U54CA155626-05Revised 1,993,733 1,264,820 Subtotal of 93.397 93.397 1,993,733 1,264,820 A chemical biology approach towards understanding the anti-cancer innate immunity 93.398 1K99CA190896-01 REVISED 34,841 - Adaptive regulation of cancer cell fate following oncogene inhibition 93.398 5K99CA194163-02 85,478 - Alternative End-Joining in DNA Repair and Chromosomal Translocations 93.398 5F30CA189740-03 35,792 - Analyzing the Efficacy of Galectin-1 ligand inhibition in Adoptive T Cell Therapy 93.398 5F31CA171520-03 35,355 - Androgen receptor expression and signaling and breast cancer risk and progression 93.398 1F31CA192462-01 REVISED 35,566 - Behavioral Economics and Improving Chemotherapy Decisions for Advanced Cancer 93.398 5K24CA181510-02 152,871 - Biostatistics/Epidemiology Training Grant in Biostatistics 93.398 5T32CA009337-35 528,638 - Characterizing Cell Survival Pathways Downstream of mTORC1 in Cancer 93.398 5F31CA186295-03 31,761 - Chemical suppressors of the neural crest lineage for the treatment of melanoma 93.398 5F31CA180313-03 29,083 - Defining the CD44-STAT3 axis in the pathogenesis of triple-negative breast cancer 93.398 4F30CA180340-04 48,083 - Dissecting CRBN-substrate interactions in the mechanism of lenalidomide 93.398 5F30CA199988-02 33,567 - Dissecting response and resistance to CDK4/6 inhibition in ER+ breast cancer 93.398 5F31CA195751-02 31,844 - Dissecting the Functional Roles of Two BH3-Binding Sites on Pro-Apoptotic BAX 93.398 5F31CA189651-02 REVISED 23,805 - EGFR T790M-mediated drug resistance in non-small cell lung cancer 93.398 5F31CA192623-02 35,220 - Elucidating the role of bisphosphonates in the inhibition of breast cancer 93.398 1F31CA195797-01A1 3,896 - Elucidation of the impact of commonly co-altered genes on chemosensitivity using a novel model of high-grade serous ovarian cancer 93.398 5F32CA196008-02 56,623 - Estrogen signaling and epigenetics in breast tumorigenesis 93.398 5F30CA192477-02 35,743 - Harvard Education Program in Cancer Prevention Control 93.398 5R25CA057711-22 454,931 17,870 Hemizygous deletion of esential genes enables a novel therqpeutic vulnerability in cancer 93.398 5F30CA192725-02 47,116 - High resolution measures of behavioral cancer risk factors from mobile technology 93.398 1K99CA201542-01 24,281 - Induction of tumor suppressor p16INK4A by human papillomavirus 16 E7 oncoprotein 93.398 5F31CA180012-03 28,771 - Investigating Branched Chain Amino Acid Metabolism in Pancreatic Cancer 93.398 5F30CA183474-03 48,587 - Investigating host protein interactions of the Human Papillomavirus E2 protein 93.398 5F31CA189512-02 31,388 - Investigating Merkel Cell Polyomavirus Small T Antigen-Host Interactions 93.398 5F31CA177274-03 29,083 - Investigating the Mechanism of B-myb Dependent Gene Expression 93.398 5F31CA189328-02 36,261 - Investigating the role of ARID1A inactivation in colon cancer pathogenesis 93.398 5F31CA199994-02 33,484 - Investigation of a candidate chemotherapy-induced nausea sensory circuit 93.398 5F30CA177170-02 REVISED 30,900 - Linking oncogenic signaling to tumor metabolism 93.398 5K99CA194192-02 91,789 - Mechanisms of extracellular matrix mediated drug resistance 93.398 5K99CA180221-02 43,366 - Molecular analysis of the function of BRCA1-TONSL complexes 93.398 5F30CA167895-04 27,061 - mTORC1 Regulation by Amino Acids 93.398 5F31CA173942-03 23,220 - Nutritional Epidemiology of Cancer Education and Career Development Program 93.398 5R25CA098566-10Revised 1,659 - Oncolytic Herpes Simplex Virus Interactions with Glioblastoma Stem Cells 93.398 5F31CA192453-02 25,300 - Perturbation of a cellular microRNA by human papillomavirus type 16. 93.398 5F31CA180516-03 29,083 - Probing the Role of TIM-4 in Cross-Presentation of Tumor-Associated Antigens 93.398 5F31CA171339-03 1,873 - Program for Training in Cancer Epidemiology 93.398 5T32CA009001-38 20,635 - Program for Training in Cancer Epidemiology 93.398 5T32CA009001-41 508,368 - Quantitative and Spatial Optimization for Designing Cancer Therapeutics 93.398 5F32CA168274-03 10,600 - Race/Ethnicity and Mammographic Density: Genetic and Lifestyle Factors 93.398 5K01CA188075-02Revised 60,303 - Regulation of Glutamine Metabolism by SIRT3 in Tumor Cells 93.398 5F31CA183575-02 25,300 - Role of Akt isoforms in PTEN-deficient breast cancer 93.398 1F31CA195701-01 REVISED 1,910 - Smo inhibitor resistance in Shh-subtype medulloblastoma: mechanisms and treatment 93.398 5F31CA183145-02 24,158 - The Biochemical Contributions of Ovulation to Fallopian Tube Tumorigenesis 93.398 1F31CA176995-01A1 REVISED 3,746 - The differential regulation of poly(ADP-ribose) in cancer and its role in protein 93.398 5K99CA175176-02 REVISED 2,174 - The Molecular Atlas Project 93.398 1F32CA204038-01 8,000 - The Role of Driver Mutations in Lung Cancer Response to Anti-PD-1 Therapy 93.398 5F31CA196035-02 36,589 - The role of Folliculin, tumor suppressor mutated in BHD, in mTOR nutrient sensing 93.398 5F30CA180754-02 REVISED 1,646 - The Role of Mechanics in Tumor Progression and Malignancy 93.398 5F32CA153802-03 REVISED (26,786) - The Role of SWI/SNF Alternative Splicing in Cancer 93.398 5F31CA183558-03 29,410 -

The accompanying notes are an integral part of this schedule.

42 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Subtotal of 93.398 93.398 2,952,372 17,870 Harvard Prevention Research Center on Nutrition and Physical Activity - Category 1 93.542 5U48DP001946-04REVISED 153,946 - Harvard Prevention Research Center on Nutrition and Physical Activity - Category 1 93.542 5U48DP001946-05Revised 8,713 - Subtotal of 93.542 93.542 162,659 - A defend and destroy approach to curing HIV 93.837 1U19HL129903-01 1,579,839 1,008,659 A ubiquitin-conjugating enzyme critical for terminal erythroid differentiation 93.837 5F30HL124980-02 27,083 - Circulating Dietary and Metabolic Fatty Acids, Major CVD Outcomes, and Healthy Aging 93.837 2R01HL085710-06A1Revised (338) (338) CVD Epidemiology Training Program in Behavior, the Environment and Global Health 93.837 5T32HL098048-05 8,601 - CVD Epidemiology Training Program in Behavior, the Environment and Global Health 93.837 5T32HL098048-08 243,515 - Deconstructing Roles of Sensory Neuron Subtypes in Respiration and Airway Defense 93.837 1F31HL132645-01 3,896 - Defining Genetic Architecture and Pathways of DCM 93.837 2R01HL080494-09 549,232 - Defining Genetic Architecture and Pathways of DCM 93.837 5R01HL080494-07 REVISED (89,908) - Developing integrative methods to improve GWAS inference using epigenomic data 93.837 5F31HL126581-02 35,660 - Diet quality and cardiometabolic disparities among Latino ethnic subgroups 93.837 5K01HL120951-03 136,794 - Dietary Etiologies of Heart Disease 93.837 2R01HL035464-26 69,595 3,361 Dietary Etiologies of Heart Disease 93.837 5R01HL035464-25REV 141,865 68,293 Dietary Fat and HDL Metabolism 93.837 5R01HL095964-05 (1,726) - Dietary Patterns and Risk of Cardiovascular Disease 93.837 4R01HL060712-15 377,612 178,349 Estimating Effects of Interventions in Longitudinal Data 93.837 5R01HL080644-09REVISED 62,217 - Genetic Markers of CHD in Type 2 Diabetes 93.837 5R01HL071981-08Rev (37) - Genetic Signals in Ventricular Hypertrophy 93.837 5R01HL084553-08 450,596 - Genome-wide interactions with diet patterns on long-term weight change 93.837 1R21HL126024-01Revised 21,959 - Global Cardiovascular Disease Policy Model for Screening Prevention and Treatment 93.837 5R01HL104284-04 512,357 - HDL Proteins and Coronary Heart Disease 93.837 5R01HL123917-03 1,048,588 144,462 Human Pluripotent Stem Cell and Progenitor Models of Cardiac and Blood Diseases 93.837 7U01HL100408-07 REVISED 1,560,907 198,920 Identifying Ways to Reduce Readmissions Among Minority-Serving U.S. Hospitals 93.837 5R01HL113567-03Rev 152,311 - Long Term Outcomes of Open Versus Endovascular AAA Repair 93.837 5R01HL105453-03 163,042 164,465 Macrophage Regulation of the Hematopoietic Stem Cell Niche 93.837 5K99HL119559-02 REVISED 1,495 - Mapping Transcriptional Networks in Cardiac Development 93.837 5U01HL098166-06 731,848 520,726 Mechanically controlled release of hematopoietic factors from mesenchymal stromal cells for blood regeneration 93.837 5K99HL125884-02 REVISED 58,116 - Mechanism and inhibition of SREBP-dependent cholesterol/lipid metabolism 93.837 4R01HL116391-04 739,109 329,507 Mechanisms of DNA interstrand cross-link repair 93.837 2R01HL098316-05 46,258 - Mediterranean diet, Metabolites, and cardiovascular Disease 93.837 4R01HL118264-04 532,184 378,685 NHLBI Summer Training Experience to Increase Diversity in Health-Related Research 93.837 5R25HL121029-03 111,822 - Preterm delivery and risk of maternal cardiovascular disease in the Nurses' Health Study II 93.837 1F31HL131222-01 Revised 19,732 - Regulation of Cardiac Development in Health and Disease 93.837 5UM1HL098166-08 1,368,820 483,037 Statistical and Computational Methods for Large-Scale Sequencing Studies 93.837 K99HL130593 53,026 - Statistical methods for analysis of single-cell variability 93.837 5R01HL131768-02 110,176 5,462 Stem Cell Models of Familial Combined Hypolipidemia 93.837 5R01HL118744-03 REVISED 153,935 - The Role of Diabetes in Fibrosis and Peripheral Artery Disease 93.837 5F30HL118775-03 REVISED 45,681 - The role of immunometabolic pathways in atherosclerosis 93.837 5R01HL125753-02 REVISED 509,169 - Vitamin D supplementations as adjunct to anti-tuberculosis drugs in Mongolia 93.837 5R00HL089710-06Revised 23,078 - Sensory biology of respiratory control neurons in the vagus nerve 93.837 1R01HL132255-01 68,539 - Subtotal of 93.837 93.837 11,626,648 3,483,588 Mechanics of Monolayer Migration 93.838 5R01HL107561-05 367,131 98,893 Mechanism and Function of Beta-2 Adrenergic Receptor Degradation in the Lung 93.838 4R01HL114769-04 464,842 82,771 Molecular Epidemiology of ARDS 93.838 5R01HL060710-13 865,712 569,422 Physics of collective cellular migration in lung health and disease 93.838 5P01HL120839-03 2,819,578 959,035 Plasma Gelsolin and Host Defense After Lung Injury 93.838 4R01HL115778-04Revised 497,150 - The resident cell in the asthmatic airway: a victim of its physical microenvironment 93.838 5R01HL102373-04rev (6,506) - Training in Interdisciplinary Pulmonary Sciences 93.838 5T32HL007118-40 512,362 - Trial of Vitamin D Supplementation to Prevent TB Infection in Schoolchildren 93.838 5R01HL122624-02 REVISED 738,339 299,067 Subtotal of 93.838 93.838 6,258,608 2,009,188 11,12-Epoxyeicosatrienoic acid regulation of hematopoietic stem cell engraftment 93.839 1F31HL129517-01 26,067 - A novel program of ubiquitination in global remodeling of the erythroid proteome 93.839 5R01HL125710-02 392,376 85,344 A synthetic biology approach to targeting erythropoietin-based therapeutics 93.839 5F32HL122007-03 REVISED 60,449 - Identifying factors that promote clonal dominance in zebrafish hematopoiesis 93.839 5F31HL126338-02 29,380 - Integrin-Based Mechanisms in Terminal Erythroid Maturation 93.839 5R01HL116327-04 480,359 - Subtotal of 93.839 93.839 988,631 85,344 Adult Bone Mass Regulation by Type 2 BMP Receptors 93.846 5R01AR064227-03 573,004 - Assessment and Evaluation of Hill-type Muscle Models for Predicting In Vivo Force 93.846 5R01AR055648-07 297,468 23,844 Biogenesis of Extracellular Matrix 93.846 4R01AR036819-32 575,526 - BMP2 signaling of the development of osetoarthritis 93.846 5R21AR063955-02 (29,147) - Characterization of the Insulin to Autophagy Pathway in Muscles 93.846 5R01AR057352-05 REVISED (73,684) - Characterization of the Insulin to Autophagy Pathway in Muscles 93.846 5R01AR057352-07 325,424 - Epigenetic regulation of skeletal patterning and morphogenesis during development 93.846 1K01AR069197-01 30,963 - Igf signaling control of chondrocyte hypertrophy in bone development and repair 93.846 5F32AR067097-02 REVISED 55,154 - Mechanisms and function of the microtubule podosome connection in osteoclasts 93.846 4R01AR062054-05 549,147 - Mechanisms of sensory neuron control over skin immune responses 93.846 5F31AR063546-03 4,588 - Molecular and Cellular Mechanisms of Vascular Anomalies 93.846 5P01AR048564-10 177,291 20,334 Muscle Tregs in health and disease 93.846 1R01AR070334-01 59,096 - R-Spondin3 as a target for anabolic bone therapy 93.846 5R01AR064724-03 496,788 - Regulation of Quiescence and Activation in Skin Stem Cells 93.846 5R00AR063127-04 395,533 - Regulation of Skin Inflammation by Nociceptive Sensory Neurons 93.846 5R01AR068383-02 182,190 -

The accompanying notes are an integral part of this schedule.

43 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Role of GATA6 in regulating hedgehog signaling in the growth plate 93.846 4R01AR060735-04 305,731 - Role of the first secreted tyrosine kinase in bone development, homeostasis, and repair. 93.846 3R01AR066717-02S1 565,402 - Role of Zfp521 in bone formation and anabolic responses 93.846 5R01AR057769-05 642 - Subtotal of 93.846 93.846 4,491,116 44,178 A novel pathway for small molecule delivery to Peyer's patch follicles 93.847 5F31DK105596-02 29,961 - Adipose-issue Tregs: Important Players In The Immunological Control Of Metabolis 93.847 5R01DK092541-04 (813) - Adipose-tissue Tregs: important players in immunological control of metabolism 93.847 5R01DK092541-06 378,860 - Aire, a zinc-finger protein that controls autoimmunity 93.847 2R01DK060027-16 94,158 - Aire, a zinc-finger protein that controls autoimmunity 93.847 4R37DK060027-15 292,571 - Analysis of Pancreatic B-cell Survival in Long-Lasting Type 1 Diabetes Patients 93.847 5F31DK098931-03 27,099 - Benefits of dietary essential amino acid restriction 93.847 5R01DK090629-04rev (85,544) - Biomarkers for diabetes using stem cell-derived beta cells 93.847 1UC4DK104159-01 299,203 - Cell and Molecular Dynamics of Hematopoiesis In Vivo 93.847 5R24DK103074-02 497,242 112,820 Charting vagal circuits containing glucagon-like peptide 1 receptor 93.847 1R01DK103703-01A1 REVISED 205,527 - Control of metabolic homeostasis in diabetes by sirtuins 93.847 5R01DK103295-02 335,713 - Developmental processes shaping the luminal surface and stem cell zones in the gut 93.847 5F32DK103563-03 52,562 - Developmental Regulation of Bone Morphogenesis 93.847 5P01DK056246-15 1,280,204 972,360 Dietary Interventions, Metabolites, and Risk of Type 2 Diabetes 93.847 5R01DK102896-02 605,675 392,071 Dissecting Yap Activity in the Regulation of Adult Liver Ductal Progenitors 93.847 1F31DK107049-01A1 23,390 - Empowerment as a mechanism for change in childhood obesity prevention 93.847 1R01DK108200-01A1REV 413,748 73,044 Functional studies of KLF14, a putative master regulator of metabolism 93.847 1R01DK099571-01A1 REVISED 197,469 - Human Cell-Based Models of Primary Adipocyte Disorders 93.847 4R01DK095384-05 165,931 - Identification of Novel Regulators of Fetal Hemoglobin Expression 93.847 5F30DK103359-02 33,683 - Immune signaling in skeletal muscle oxidative metabolism 93.847 1F31DK107256-01A1 7,831 - Inflammatory and stress signaling networks in metabolic disease 93.847 5R01DK052539-16REVISED (11) - Inflammatory and stress signaling networks in metabolic disease 93.847 5R01DK052539-19 598,373 - Islet on a chip 93.847 1UC4DK104165-01 1,713,938 723,558 Linking hypothalamic and amygdalar circuits underlying attention to food cues 93.847 1F31DK105678-01A1 29,247 - Lipids, Inflammation and Insulin Action 93.847 5R01DK064360-09Revised 24,793 - Network analysis of Signal Transduction 93.847 5R01DK088718-05 (4,575) 838 Nitrergic Neuro-smooth Muscle Transmission in the Gut 93.847 5R01DK062867-09 REVISED 4,697 - NKT cell mediated immunoregulation by symbiotic gut microbial glycosphingolipids 93.847 1K01DK102771-01A1 77,042 - Obesity Genes, Energy Regulation in Response to Weight-Loss Diets 93.847 5R01DK091718-04 46,960 10,692 Pediatric Artificial Pancreas System for Enhanced Diabetes Management In Young Children with Type 1 Diabetes 93.847 7DP3DK104057-02 REVISED 23,233 - Physiology of Lipid Droplets and Triglyceride Storage 93.847 5R01DK101579-04 663,509 - PPAR Delta Functions in Liver 93.847 5R01DK075046-09 214,152 - Reducing disparities in diabetes through expanded insurance coverage 93.847 5R01DK090435-04Revised 154,095 - Regenerating Beta Cells by Lineage Reprogramming 93.847 5U01DK089536-05 REVISED (958) - Regulation of de novo lipogenesis through BAD-dependent glucose signaling 93.847 5F31DK105595-02 29,158 - Reprogram gastric tissue to functional insulin-secreting cells 93.847 1R01DK106253-01A1 86,212 - Resolving the role of nicotine-mediated phosphorylation on pancreatic fibrosis 93.847 5K01DK098285-03 115,546 - Role of DGAT in Triacyglycerol Metabolism 93.847 7R01DK056084-13REVISED 260,718 - Sculpting the Enteric Microbiota with CRISPR-Cas Systems 93.847 5K99DK102669-02 REVISED 113,377 - Systemic regulation of energy homeostasis using a Drosophila Leptin model 93.847 5K99DK101605-02 65,863 - The Effect of Autophagy on the Generation and Function of Gut Regulatory T Cells 93.847 5F31DK105653-02 34,457 - The Regulation of the Parathyroid Gland 93.847 5R01DK097105-04 501,232 - Training Grant in Academic Nutrition 93.847 5T32DK007703-20Rev 10,866 - Training Grant in Academic Nutrition 93.847 5T32DK007703-22 188,204 - Trial of Vitamin D in HIV Progression 93.847 4R01DK098075-04 474,807 336,634 Tuft cells in intestinal homeostasis 93.847 5F32DK098826-03 17,361 - Uncovering the transcription factor networks in early human cell specification 93.847 5F32DK095537-03 38,364 - Weight-Loss Diet Intervention on Cardiometabolic Factors of Gut Microbiota 93.847 1R01DK100383-01A1 77,410 23,515 Subtotal of 93.847 93.847 10,412,540 2,645,532 Molecular Controls over Neurogenesis, Subtype Development, and Diversity of Cortical Output Projection Neurons 93.853 2R01NS045523-12A1 22,572 - Action and interaction of ionotropic and metabotropic neurotransmission 93.853 4R01NS046579-13 487,613 - Adult Neurogenesis after Stroke: The role of SDF-1 in mechanisms of neural repair 93.853 5F30NS070589-03 REVISED 28,205 - Behavioral Measures of Ongoing Pain in Rodents 93.853 5F31NS084716-02 REVISED 8,793 - C9ORF72 in Motor System Biology and ALS 93.853 5R01NS089742-03 560,088 - Cell biological mechanisms of paclitaxel-induced axonal degeneration 93.853 1F31NS089152-02 27,705 - Cellular mechanisms of dietary therapy for epilepsy 93.853 4R01NS055031-09 322,342 - Cellular models of hypocretin neuron loss in narcolepsy 93.853 1K99NS083713-02 17,586 - Core Facilities for Analysis of Neural Circuit Structure and Function 93.853 5P30NS062685-08 753,241 - Development of novel transsynaptic tracers for use in the central nervous system 93.853 4R01NS083848-04 375,144 - Development of the Functional Touch Circuit 93.853 1F32NS093792-01 REVISED 47,304 - Dissecting the role of cellular transport in neurodegeneration using A.nidulans 93.853 5F31NS083142-02 REVISED 21,739 - Dopaminergic modulation of brain circuits that control movement 93.853 5K99NS087098-02 REVISED 69,607 - Dynamic control of sensory processing by an active network of interneurons 93.853 5F32NS087708-02 56,644 - Electrical Stimulation of Immediate Early Genes 93.853 4R37NS028829-27 REVISED 688,930 - Exploring the Regenerative Capacity of Neurons in the Axolotl Brain 93.853 5F31NS089336-03 29,120 - Exploring the role of neuronal activity-dependent enhancers in brain development and plasticity 93.853 5F32NS086270-03 56,357 - Functional Genomic Analysis of Neural Activity-Regulated Enhancer Deactivation 93.853 1F30NS095458-01 17,554 - Fundamental Neurobiology 93.853 5T32NS007484-15 340,299 - Genetic Dissection of Direct and Indirect Touch Pathways 93.853 1F32NS095631-01 32,970 - Genome-Wide Light-Inducible Tuning of Transcriptional Network Dynamic 93.853 5R01NS073124-06 REVISED 200,210 107,894

The accompanying notes are an integral part of this schedule.

44 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

HMS/CHB Center for Neuroscience Research 93.853 5P30NS072030-05 656,061 - Imaging cellular energy metabolism in vivo using fluorescent biosensors 93.853 5F32NS093784-02 52,884 - Investigating the mechanism of TNFalpha mediated cell death in oligodendrocytes 93.853 4R01NS082257-04 380,675 - Investigating the role of MeCP2 in activity-dependent gene expression 93.853 5F32NS089186-02 REVISED 38,776 - Lagging or Leading Linking Substantia Nigra Activity to Spontaneous Motor Sequences 93.853 5U01NS094191-02 302,380 - Mechanisms Underlying the Suppression of Transcytosis at the Blood Brain Barrier 93.853 5F31NS090669-02 34,351 - Metabolomics and risk of Parkinson's Disease 93.853 1R01NS089619-01A1Revised 502,751 214,377 MicroRNA-Dependent Regulation of Synaptic and Behavioral Plasticity in Drosophila 93.853 1P01NS090994-01A1 34,150 - Molecular development and diversity of callosal projection neurons 93.853 1R56NS093376-01A1 91,769 - Molecular Dissection of Active Zone Functions in Neurotransmitter Release 93.853 5R01NS083898-03 341,292 - Molecular Mechanisms of CTIP2 Function in Corticospinal Motor Neuron Development 93.853 4R01NS075672-05 285,610 - Neural circuits in zebrafish: form, function and plasticity 93.853 1U01NS090449-01 1,902,891 89,614 Neuroimaging and Neuropsychological Biomarkers of Vascular Risk Factors 93.853 5R01NS086882-03 352,553 63,727 Neuronal Activity-Dependent Regulation of MeCP2 93.853 5R01NS048276-10 (71) - Neuronal Activity-Dependent Regulation of MeCP2 93.853 5R01NS048276-12 496,273 - Neurotrophic Factor Regulation of Gene Expression 93.853 5R01NS045500-29 697,279 - Neurotrophin signals controlling development of the peripheral nervous system 93.853 5R01NS034814-22 258,433 - Novel EM technologies for imaging neural network anatomy 93.853 5R21NS085320-02 (58,790) - Novel lipoprotein particles, brain abnormalities, and risk of dementia and stroke 93.853 5R01NS089638-02 568,387 91,224 Novel optrodes for large-scale electrophysiology and site-specific stimulation 93.853 1U01NS094190-01 263,350 56,778 OGlcNAc as a regulator of mitochondrial motility in diabetic neuropathy 93.853 5F31NS084629-03 30,956 - Optogentic dissection of basal forebrain neurons involved in sleep homeostasis 93.853 5R21NS079866-02 REVISED 36,627 - Parietal cortex networks for sensorimotor processing during navigation 93.853 5R01NS089521-02 259,570 - Pooling of Prospective Studies of Diet, Lifestyle and ALS 93.853 5R01NS072494-03 (1,863) - Projection neuron control over interneuron positioning into neocortical circuitry 93.853 5R01NS078164-03 332,429 - Prospective study of biomarkers and risk factors for ALS incidence and progression 93.853 5R01NS045893-10 603,111 305,708 Prospective Study of Vitamin D and Multiple Sclerosis 93.853 5R01NS046635-07REV 273,371 252,732 Quantifying Synaptic Reorganization in the Developing Cerebellum Using Serial- Section Scanning Electron Microscopy Data 93.853 5F31NS089223-02 31,326 - Regulation of Cortical Circuit Development by Sonic Hedgehog Signaling 93.853 5K01NS089720-02 267,859 - Regulation of feedforward retinogeniculate development by cortical feedback 93.853 5F31NS083437-03 11,771 - Regulation of Synapse Morphogenesis in Drosophila 93.853 5R01NS069695-07 347,663 - Regulation of synaptic specificity by two Ig-domain containing families 93.853 1K01NS094545-01 192,336 - Regulation of Synchrony and Input Layer Excitability by Purkinje Cell Collaterals 93.853 5R01NS092707-02 278,012 - Role of cortical interneurons in synchronization of brain electroencephalogram 93.853 5R01NS064193-04 REVISED 13,999 - Role of nNOS cortical neurons in slow wave activity production and cognition 93.853 5R21NS092926-02 129,341 - Scalable Assays for Morphological Analysis of Mammalian Neurons 93.853 5R01NS077907-04 81,339 - Sensory-motor processing in a developing nervous system 93.853 5R01NS082525-02 REVISED 436,695 160,281 Short-Term Synaptic Plasticity in the CNS 93.853 2R01NS032405-22 136,078 - Short-Term Synaptic Plasticity in the CNS 93.853 5R01NS032405-21 355,556 - Signal Transduction in Axon Guidance 93.853 5R01NS069913-05 360,668 - Synaptic Choices in the Retinotectal System 93.853 4R37NS029169-26 REVISED 575,955 - Synaptic mechanisms of touch processing in Drosophila 93.853 5F32NS089259-02 REVISED 28,260 - Systematic discovery and functional analysis of the PARKIN modified proteome 93.853 4R37NS083524-12 436,736 - The Role of Semaphorins in Axon and Blood Vessel Guidance 93.853 5R01NS064583-05 REVISED 85,375 - Thermosensory encoding in the Drosophila larva 93.853 5F32NS077835-03 REVISED (547) - Training in Neurostatistics and Neuroepidemiology 93.853 2T32NS048005-12 111,250 - Training in Neurostatistics and Neuroepidemiology 93.853 3T32NS048005-10S1 (1,129) - Transgenic zebrafish for neurobiology 93.853 5R24NS086601-03 361,585 - Tuning of Inhibitory Synaptic Transmission at the Presynaptic Active Zone 93.853 5F31NS089077-03 34,462 - Using silk as a biocompatible viral delivery system in the brain 93.853 5R21NS093498-02 215,636 - vGLUT2-Tomato mice: a novel tool to study Basal Forebrain Glutamate Neurons 93.853 5R21NS093000-02 154,009 - Vitamin D, cigarette smoking, EBV infection and risk of MS progression 93.853 5R01NS071082-04Rev 13,427 - Vitamin D, Epstein-Barr virus infection, and cigarette smoking and risk of multiple sclerosis among women in the Finnish Maternity Cohort and their offspring 93.853 5R01NS073633-05 578,600 22,312 Voltage-Dependent Ion Channels Controlling Firing Patterns of Central Neurons 93.853 5R01NS036855-19 576,248 - Zebrafish models of muscular dystrophies 93.853 5F31NS081928-03 REVISED 1,873 - Subtotal of 93.853 93.853 18,713,611 1,364,647 A forward genetic screen to identify determinants of malaria stage conversion 93.855 5R21AI105328-02 33,114 3,469 A new Statistical Framework to Tame Selection Bias in Health Sciences 93.855 5R21AI113251-02 229,719 417 Accurate and Efficient Measures for HIV Incidence 93.855 5R01AI097015-04 314,202 - Activation of NF-kB by the cytoplasmic domains of HIV and SIV gp41 93.855 1R56AI104415-01A1 16,133 13,579 Analytic Methods for HIV Treatment and Co-Factor Effects 93.855 5R37AI032475-23REV 249,585 (4,796) Antagonizing miRNAs in a strategy to cure HSV latency 93.855 5R21AI105896-02 8,521 13,060 Bacterial Meeting 2016-2021 93.855 1R13AI124565-01 1,525 - Biostatistics/Epidemiology Training Grants in AIDS 93.855 5T32AI007358-25 2,282 - Biostatistics/Epidemiology Training Grants in AIDS 93.855 5T32AI007358-28 427,443 - Boston Bacterial Meeting 2015 93.855 1R13AI115970-01 1,305 - Botswana-Harvard School of Public Health AIDS Initiative Partnership CTU 93.855 5UM1AI069456-10Revised 1,278,238 991,659 Chemical Tools for the Study of Dengue Virus Entry 93.855 5R01AI095499-03 416,676 87,732 Control of macrophage activation by Akt signaling and metabolic input 93.855 1R21AI119763-01A1 83,899 - Coordinate Regulation of Bacterial Virulence Factors 93.855 5R01AI026289-28 286,856 - Cytoadherence and sequestration in malaria transmission stages 93.855 5R01AI077558-04REV 97,982 - Cytotoxic T Cell Mediated Immunity to Chlamydia 93.855 4R01AI039558-20 444,534 - Decoding the roles of critical genes of unknown function in M. tuberculosis 93.855 4U19AI107774-04 2,730,373 1,833,238 Defining physiological correlates of the human malaria infectious reservoir 93.855 1R21AI117304-01A1Revised 13,621 -

The accompanying notes are an integral part of this schedule.

45 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Defining the role of ClpX in mycobacterial cell cycle progression 93.855 1F31AI120616-01 19,100 - Determining unique gene control mechanisms and expression patterns in children with cerebral malaria 93.855 1R56AI104974-01A1 82,477 16,266 Discovery of antibiotics active against multidrug resistant bacteria 93.855 5R21AI117025-02 162,746 - Dissecting the role of Escherichia coli peptidoglycan synthase activators 93.855 1F31AI122363-01 3,896 - Dissecting the role of YceG in E. coli cell wall biogenesis 93.855 5F31AI110046-03 REVISED 27,223 - Doctoral Training Program in Tropical Diseases 93.855 5T32AI049928-13 273,410 - Dynamic Strategies for the clinical management of HIV disease 93.855 4R01AI102634-04 744,658 - Early Infant Treatment 93.855 5U01AI114235-03 1,041,313 815,155 Ecological and genetic contributions to the spread of resistance in pneumococcus 93.855 4R01AI106786-04 521,262 - Elucidating a role for Calcium signaling in activation of the Nlrp3 inflammasome 93.855 4R01AI102964-04 278,518 - Elucidating the role of cis-regulatory elements in mediating V(D)J recombination 93.855 5F31AI117920-02 REVISED 29,582 - Elucidation of structure and dynamics of bacterial biofilms by particle tracking 93.855 5F30AI110053-03 47,924 - Epidemiology and modeling of the population dynamics of influenza and antimicrobial resistance in gonorrhea 93.855 5K01AI101010-03-Revised 25,299 - Epidemiology of Infectious Diseases 93.855 5T32AI007535-17 164,417 - Epidemiology of Infectious Diseases and Biodefense 93.855 5T32AI007535-15revised 881 - Evolutionary medicine in the development of antimalaria drugs 93.855 5R01AI106734-03 359,549 - Factors Mediating Host Resistance to Chlamydia trachomatis 93.855 5R01AI062827-09 230,896 - Function and mechanism of the HCV p7 channel and its therapeutic potential 93.855 1R56AI112960-01 106,333 - Functional analysis of erythrocyte determinants of malaria infection 93.855 5R01AI091787-05 354,295 - Functional characterization of Trypanosoma cruzi-host cytoskeletal interactions 93.855 5R21AI113121-02 220,228 - Generation and Function of NK Cell Memory (Project 1 - Disaggregated project) 93.855 4R01AI111595-04 609,113 - Genetic Analysis of Toxinogenesis in Vibrio Cholerae 93.855 5R01AI018045-36 537,858 - Genetic Analysis of Vibrio parahaemolyticus Pathogenicity 93.855 5F31AI120665-02 34,747 - Genetic Variation and Evolution of Artemisinin Resistance 93.855 4R01AI099105-04 701,863 - Genetically modified HSC-HPC for management of aggressive demyelinating diseases 93.855 5R21AI103701-02 219,501 - Genetics of Herpesvirus Transformation 93.855 5R01AI063106-31 REVISED 59,994 - Genomic epidemiology of Neisseria gonorrhoeae with elevated MICs to cefixime 93.855 5K08AI104767-04 219,512 11,900 Gut microbiome influences on autoimmune disease 93.855 1R56AI110630-01 3,399 - Harvard University Center for AIDS Research 93.855 5P30AI060354-12 REVISED 4,219,918 3,027,246 HIV cure studies: risk, risk perception, and ethics 93.855 1R01AI114617-01A1 REVISED 129,492 81,040 HIV cure studies: risk, risk perception, and ethics 93.855 7R01AI114617-02 187,941 - Human Cytomegalovirus Nuclear Egress: Molecular Mechanisms and Drug Targeting 93.855 3R01AI026077-29S1 526,352 - Human Cytomegalovirus Nuclear Egress: Molecular Mechanisms and Drug Targeting 93.855 5R01AI026077-27 92,967 - Human Decidual Leukocytes and Their Placental Ligands 93.855 5R01AI053330-10 (96,181) - Identification and Inference for Longitudinal Causal Mediation Analysis in HIV Research 93.855 4R01AI104459-04 269,154 32,352 Identifying and validating new antibiotic targets in cell wall synthesis pathways 93.855 4R01AI099144-05 950,306 - Identifying the ligand for the activating NK cell receptor KIR3DS1 and its protective role in HIV-1 disease progression 93.855 5F31AI116366-02 34,948 - Imaging autoimmune disease 93.855 5P01AI054904-10 87,537 86,703 ImmGen: Gene Expression and Regulation in Immune Cells 93.855 5R24AI072073-09 1,191,566 38,540 Immunology and Infectious Diseases 93.855 5T32AI007638-15 4,831 - Improving Maternal and Newborn Health Using the HIV/AIDS Program Platform in Tanzania (MNH+) 93.855 7R01AI093182-06 555,753 244,383 In Vivo Function of the B7 Family of Costimulators 93.855 5R37AI038310-21 265,910 - In vivo role of CTLA-4 in Costimulation and Autoimmunity 93.855 5R01AI040614-18 229,131 - Inactivation of ambient virues using Engineered Water Nanostructures 93.855 5R21AI119481-02 163,401 - Innovative Platforms for Antimicrobial Therapy and Vaccine Development 93.855 5U19AI109764-03 REVISED 4,895,337 110,142 Integrated discovery and development of innovative TB Diagnostics 93.855 5U19AI109755-03 REVISED 6,102,355 4,306,774 Interferon gamma-mediated restriction of Shigella flexneri replication 93.855 5R21AI097691-02 (4,542) - International Herpes Vaccine Project 93.855 5R01AI057552-09 REVISED 224,406 - Interrogating the Cellular Mechanisms of Host-Pathogen Interactions during IBD 93.855 5F32AI108144-03 REVISED 54,388 - Knowledge-based Vaccines Built on Paradigm Changes in Antigen Presentation 93.855 5R01AI089915-06 307,435 - Listeria Monocytogenes Infection of the Brain 93.855 5R21AI103806-02 173,291 - Mechanisms and Immunological consequences of Host-Virus Interactions 93.855 5P01AI112521-03 1,738,849 944,443 Mechanisms and Population Genomics of Pneumococcal Antigenic Diversity 93.855 5R01AI048935-14 713,443 47,248 Mechanisms by which DNA sequence directs AID-mediated mutagenesis of Ig loci 93.855 5F30AI114179-02 36,053 - Mechanisms of ARF6 function in Shigella entry 93.855 5F31AI112272-02 55,989 - Mechanistic Studies of the Function of Desmosterol Homeostasis in HCV Replication 93.855 5F32AI106178-03 REVISED 26,366 - Merging Microfluidics and Metagenomics for Novel High-throughout Virus Discovery 93.855 5R21AI101291-03 49,978 48,501 Methods to Advance the HIV Prevention Research Agenda 93.855 4R37AI051164-14 230,875 - Methods to Advance the HIV Prevention Research Agenda 93.855 5R37AI051164-13 REVISED 287,376 70,516 Methods to find and model predictors of the causal effect of HAART 93.855 5R01AI100762-04 300,321 - Modeling atomic structure of the EmrE multidrug pump to design inhibitor peptides 93.855 5R03AI111416-02 75,148 - Molecular Basis of Viral Infectivity 93.855 5T32AI007245-33 REVISED 438,756 - Molecular Genetics of HSV DNA Polymerase Gene 93.855 5R01AI019838-30 282,994 - Molecular Mechanisms of Rhabdovirus Entry 93.855 5R01AI081842-05 69,180 - Mycobacterial single cell drug susceptibility 93.855 5F32AI104287-03Revised 58,647 - Naive T cell homeostasis: Treg selection and survival 93.855 5R37AI051530-14 502,804 - Natural Wolbachia infections for the control of Anopheles mosquitoes 93.855 5R21AI117313-02 227,402 - New methods for the design and evaluation of large HIV prevention interventions 93.855 5R01AI112339-03 464,374 38,885 Novel Strategy for HIV Drug Resistance Monitoring in Developing Countries 93.855 5R01AI089350-04 218,504 205,240 Nuclear Sensing of Herpesviral DNA 93.855 5R01AI106934-03 346,624 - Outer Membrane Biogenesis: New Antibiotic Targets 93.855 5R01AI081059-08 491,436 - P. aeruginosa Virulence Determinants 93.855 5R37AI021451-28 77,396 - Peptidoglycan Biogenesis in Escherichia Coli 93.855 5R01AI083365-07 537,441 - Phosphorylation and acetylation of secreted bacterial proteins: a new regulatory paradigm 93.855 5F32AI109850-02 57,962 -

The accompanying notes are an integral part of this schedule.

46 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Plasma Gelsolin as Immunotherapeutic for Antibiotic-Resistant Pneumonia 93.855 1R01AI125152-01 19,164 - Poliovirus Cell Entry Pathways 93.855 5R01AI020566-32 518,558 - Probing with a panel of beta-lactams to find genetic resistance factors in MRSA 93.855 5F31AI114131-02 30,569 - Program for AIDS Clinical Research Training (PACRT) 93.855 4T32AI007433-25 496,666 - Randomized Trial of High-Dose Rifampin in Patients with New Smear-Positive TB 93.855 5U01AI091429-03 REVISED 707,381 462,314 Regulation of Host Innate Immunity Against Viral Infection 93.855 5R01AI087846-05 REVISED 7,727 - Regulation of P. aeruginosa fitness by small non-coding RNAs 93.855 1R21AI125972-01 17,024 - RNA Processing in Non-Segmented Minus-Strand RNA Viruses 93.855 3R01AI059371-10S1 REVISED 699 - RNA Processing in Non-Segmented Minus-Strand RNA Viruses 93.855 5R37AI059371-12 530,251 - Role of host fatty acid metabolism in Trypanosoma cruzi amastigote growth 93.855 5R01AI114622-02 414,996 - Role of TBK1 polyubiquitination in innate antiviral immunity 93.855 5R01AI089829-05 334,538 - SDMC - IMPACT Leadership Group 93.855 5UM1AI068616-10Revised 7,683,628 3,312,522 Sensory Transduction in Bacterial Chemotaxis 93.855 5R01AI016478-37 807,099 - Small Molecule Inhibitors of Enveloped Virus Entry 93.855 5U19AI109740-03 REVISED 4,603,893 1,973,416 Specification of Treg cells: FOXP3 functional facets 93.855 5R01AI116834-02 439,976 - Staphylococcus Aureus Carriage and the Nasal Microbiome 93.855 5R21AI112991-02 172,675 - Statistical and Data Management Center (SDMC), AIDS Clinical Trials Group 93.855 5UM1AI068634-10Revised 14,434,982 6,659,666 Statistical Methods in AIDS Research 93.855 5R01AI024643-26 161,098 54,034 Structural Basis of Immune Cell Receptor Function 93.855 5R01AI037581-20 274,238 - Structure and Mechanism of Programmed Ribosomal Frameshifting in SARS coronavirus 93.855 4R01AI104711-04 319,694 - T Cell Activation in Lymph Nodes 93.855 5R01AI069259-11 163,861 - T Cell Costimulatory Pathways: Functions and Interactions 93.855 5P01AI056299-12 2,196,947 1,595,930 Targeting cell separation systems of gram-negative bacteria 93.855 4R33AI111713-03 119,744 - Targeting cell separation systems of gram-negative bacteria 93.855 5R21AI111713-02 84,077 - Targeting steroid hormone signaling in Anopheles mosquitoes for malaria control 93.855 1R01AI124165-01 21,388 - Targeting the reproductive interactome of the malaria vector Anopheles gambiae 93.855 4R01AI104956-04 618,385 26,271 The Evolutionary Dynamics of Plasmid Uptake in Pathogenic Bacteria 93.855 5F32AI102520-05 REVISED (12,087) - The molecular mechanism of Aire: partnering with DNA-PK 93.855 5R01AI088204-05 190,485 - The processes mediating capsid transport during HCMV nuclear egress 93.855 5F31AI120651-02 29,158 - The role of fatty acid binding protein aP2 in the pathogenesis and treatment of asthma 93.855 5R01AI116901-02 514,470 - The role of nociceptor neurons in bacterial host defense and inflammation 93.855 5K22AI114810-02 154,074 - The role of putative membrane proteases in S. aureus cell division 93.855 1F32AI118160-01 REVISED 3,368 - The translation apparatus of Leishmania: from basic analysis to pursuit of novel drug targets 93.855 5R01AI108718-03 362,766 118,225 Training Program in Immunological Tolerance and Autoimmunity 93.855 5T32AI118692-02 181,353 - Viral and host mechanisms that tilt the HSV lytic/latent balance 93.855 4P01AI098681-04 1,753,934 484,692 VopE of Vibrio cholerae mediates mitochondrial dynamics by the Miro GTPase 93.855 1F32AI115962-01 REVISED 274 - Subtotal of 93.855 93.855 79,926,669 27,750,762 Mapping the pathway of membrane beta-barrel protein folding by the Bam complex. 93.859 1F31GM116210-01A1 5,844 - A comparative structural study of ATP-dependent chromatin remodeling complexes 93.859 5R01GM092895-05 REVISED 18,094 - Accelerated Determination of 3D Structures of Proteins and Complexes 93.859 7R01GM106303-04 REVISED 141,025 - Advanced Tools for Reconstructing Population History 93.859 2R01GM100233-05 66,037 - Aggression in Drosophila: circuitry involved; learning and memory accompanying aggression; and establishing the circuitry of high-level aggression in the brain 93.859 1R35GM118137-01 25,916 - Aminergic regulation and neuroanatomy of social status in Drosophila 93.859 1F32GM109777-01 REVISED (69) - Amyloid aggregation and prion formation in bacteria 93.859 1R01GM115941-01A1 32,424 - An alignment free network approach to analyzing highly recombinant malaria parasite antigens 93.859 5R21GM100207-02rev 10,261 5,930 Application of Asymmetric Anion Binding to Palladium-Catalyzed Alkene Functionalization 93.859 5F32GM110951-02 REVISED 53,456 - Atomic Resolution in Biological Electron Microscopy 93.859 4P01GM062580-15 1,139,607 512,573 BAX Activation and Oligomerization 93.859 5F32GM113406-02 54,194 - Bayesian Methods for Comparative Effectiveness Research with Observational Data 93.859 5R01GM111339-02 REVISED 501,124 - Biochemical Studies of Mitosis 93.859 2R01GM026875-39 569,316 - Biochemical Studies of Mitosis 93.859 5R01GM026875-38 REVISED 429,382 - Bmal1 and Hif1alpha partition metabolic regulation in inflammatory macrophages 93.859 1F31GM117854-01 3,896 - BMAL1 Complexes of the Circadian Clock 93.859 5R01GM095945-04 (79,579) - Calibration and Simulation of the Botswana Combination Prevention Project 93.859 1R01GM116525-01 330,227 43,442 Catalyst-Controlled Stereo- and Regioselective Glycosidation Reactions 93.859 1F32GM117787-01 17,247 - Cell Cycle proteomics in Xenopus 93.859 5R01GM103785-04 REVISED 635,168 - Cell Cycle Regulation 93.859 5R01GM039023-29 487,296 - Cellular and Developmental Biology 93.859 4T32GM007226-41 648,704 - Cellular functions of plasma membrane organization by eisosomes 93.859 5R01GM095982-05Rev 140,170 - Characterization of Disulfide-Bond Formation in Mycobacteria 93.859 5F32GM108443-02 4,934 - Characterizing the Co-evolution of Protein-protein and Regulatory Interactions 93.859 5F32GM116217-02 48,147 - Chemical Biology of Ant-Associated Defensive Bacteria 93.859 1F32GM117661-01 3,939 - Chemical biology of bacterial symbionts 93.859 4R01GM086258-08 502,783 29,163 Chemical Biology of Microbial Interspecies Signaling 93.859 5R01GM082137-08 173,989 - Chemical Genetic and Biochemical Studies of Mitotic Proteolysis 93.859 4R01GM066492-13 REVISED 324,528 - Chiral Catalysts Designed to Catalyze Organic Reactions 93.859 2R01GM043214-26 REVISED 370,936 - Chiral Catalysts Designed to Catalyze Organic Reactions 93.859 5R01GM043214-25 REVISED 326,048 - Chromosome Dynamics in Bacillus Subtills 93.859 5R01GM086466-07 333,715 - Continuous Evolution of Bond-Forming Catalysts 93.859 5F32GM109686-02 REVISED 40,085 - Correlation of electronic structure to iron catalyzed C-H bond functionalization 93.859 5R01GM115815-02 440,493 - Deciphering GPCR signal transduction through NMR structure and dynamics studies 93.859 1K99GM115814-01 78,588 - Defining the cellular functions of the conserved transcription complex Spt6/Iws1 in the control of gene expression 93.859 1F32GM119291-01 4,937 - Designing Biological Circuits 93.859 4R01GM036373-32 297,264 -

The accompanying notes are an integral part of this schedule.

47 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Determination of the molecular basis of choanoflagellate multicellularity induction by bacteria 93.859 1F32GM116205-01 43,724 - Development and Application of Disiloxanes as a New Class of Hard Anion-Binding Organocatalysts 93.859 5F32GM113414-02 REVISED 52,317 - Development and validation of a precision genome editing platform 93.859 5F32GM112366-02 51,091 - Development of modern late-stage fluorination reactions with [18F] 93.859 5R01GM088237-07 281,837 - Direct Stimulation of Bacterial Metabolism with Applied Electrical Current 93.859 5F32GM105122-02 4,579 - Directed Evolution of Improved Orthogonal Aminoacyl-tRNA Synthetases Through Phage Assisted Continuous Evolution (PACE) 93.859 1F32GM106621-01A1 31,395 - Discovery of Potential Therapeutic Agents from Insect-Associated Symbiotic Bacter 93.859 5F32GM108415-02 45,376 - Dissecting dynein motor function using DNA nanotechnology 93.859 5R01GM100947-03 REVISED 18,863 - Dissecting the establishment and regulation of human pluripotency 93.859 5P01GM099117-05 REVISED 1,906,826 882,633 Drosophila Transgenic RNAi Resource Project 93.859 5R01GM084947-08 878,378 - Dynamic regulatory mechanisms of robust pattern formation in the neural tube 93.859 5R01GM107733-02 REVISED 472,429 - Dynamics of Signaling Pathways: Mechanism and Function 93.859 4R01GM083303-09 362,747 24,283 Elucidating mechanisms of mitochondrial gene expression at nucleotide resolution 93.859 5F32GM106531-03 5,465 - Enantioselective Prins-type cyclizations via small molecule H-bonding catalysis 93.859 5F32GM116405-02 41,854 - Engineering Protein Stability Through Phage-Assisted Continuous Evolution 93.859 1F32GM119228-01 8,962 - Enhancing Diversity in Academic Medicine through Faculty Networks 93.859 3R01GM111563-03S1 415,258 15,694 Enzyme Delivery With Supercharged Proteins to Address Citrullinemia 93.859 5F32GM106601-02 REVISED 4,325 - Evolution of Meiotic Mechanisms in Divergent Cytological Environments 93.859 5F32GM105293-03 35,162 - Facile Access to Quaternary Stereocenters Through Anion Binding Catalysis 93.859 5F32GM116421-02 41,895 - Factors Controlling Transcription and Chromatin in Yeast 93.859 5R01GM032967-33 REVISED 494,906 - Feedback Control of the Cell Cycle 93.859 2R01GM043987-25A1 REVISED 153,230 - Fine-mapping heritability at known disease loci with correlated markers 93.859 5F32GM106584-02 40,526 - Function and mechanism of the HCV p7 channel and its therapeutic potential 93.859 1R01GM116898-01 REVISED 156,276 - Functional analysis of systemic factors regulating germline stem cells 93.859 5F32GM113395-02 REVISED 51,883 - Functional analysis of the conserved transcription elongation factor Spn1 93.859 5F31GM112370-03 29,319 - Functional characterization of an insulin-like peptide network that regulates learning 93.859 5R01GM108962-02 REVISED 524,078 345,609 Functional Coupling of Steps in Genes Expression 93.859 5R01GM043375-25 584,133 - Functional Genomic Analysis by RNAi Screening in Drosophila Cells 93.859 2R01GM067761-13 407,500 - Functional Genomic Analysis by RNAi Screening in Drosophila Cells 93.859 5R01GM067761-12 REVISED 248,782 - Genetic Mechanisms of Axis Formation in Vertebrates 93.859 2R37GM056211-18 REVISED 129,870 - Genetic Mechanisms of Axis Formation in Vertebrates 93.859 3R01GM056211-17S1 216,708 - Genetics and Genomics PhD Training Grant 93.859 5T32GM096911-05 228,068 - Genome-wide validation of posttranscriptional variation in selection and disease 93.859 5F30GM114940-02 32,055 - Genomic Functions of Nucleosome Dynamics 93.859 5R01GM098349-02 REVISED (254) - Global characterization of ubiquitin information networks with mass spectrometry 93.859 4R01GM067945-13 514,014 - Harvard Chemical Biology Graduate Program 93.859 5T32GM095450-05 319,145 - Harvard Systems Biology Graduate Program 93.859 3T32GM080177-07S1 273,682 - Harvard Systems Biology Graduate Program 93.859 5T32GM080177-05 (181) - High-throughput screening and stem cell modeling of causal eQTL variants 93.859 5R01GM104464-03 REVISED 223,061 18,915 HMS Laboratory of Systems Pharmacology 93.859 5P50GM107618-03 2,474,306 149,728 Hormonal Modulation of Aggression in Drosophila 93.859 5R01GM074675-08 115,999 - How do Amine Neurons Work 93.859 5R01GM099883-04 436,313 - Illegitimate Recombination by Drug Resistance Elements 93.859 2R01GM025326-36A1 285,149 - Illegitimate Recombination by Drug Resistance Elements 93.859 5R01GM025326-35 (12,329) - Information Processing by Post-translational Modification 93.859 5R01GM105375-02 REVISED 400,387 82,001 Integrating Chemistry and Evolution to Illuminate Biology and Enable Novel Therapeutics 93.859 1R35GM118062-01 152,288 - Interdisciplinary training: Statistical Genetics/Genomics and Computational Biology 93.859 5T32GM074897-12 257,085 - Joint Interdisciplinary Training Program in Biostatics and Computational Biology 93.859 5T32GM074897-10Revised 10,274 - Joint Program in Molecules, Cells and Organisms 93.859 3T32GM007598-39S1 910,674 - Kinetics of macromolecular complex assembly and regulation 93.859 1F32GM116231-01A1 7,863 - Limits and trade-offs of feedback control 93.859 5R01GM081563-07 353,168 - MBRS IMSD Program at the Harvard School of Public Health 93.859 5R25GM055353-16REVISED 47,487 - Mechanism and Inhibition of Bacterial Transglycosylases and Transpeptidases 93.859 5R01GM076710-08 REVISED 118,050 - Mechanism and Inhibition of Enzymes that Assemble Bacterial Cell Wall 93.859 2R01GM076710-09 149,059 - Mechanism of Action of Yeast Silencing Complexes 93.859 5R01GM061641-13 169,976 - Mechanism of CRL4-Cdt2, an S phase-specific ubiquitin ligase 93.859 5R01GM080676-08 288,540 - Mechanism of the eukaryotic replicative DNA helicase 93.859 5R01GM062267-13 117 - Mechanisms of Lipid Droplet Protein Targeting 93.859 5R01GM097194-06Revised 287,189 - Mechanisms of Selective Autophagy 93.859 5R01GM095567-06 REVISED 480,445 166,881 Mechanisms of Vertebrate Hedgehog Signaling 93.859 5R01GM092924-05 291,688 - Mechanisms of yeast transcriptional initiation 93.859 2R01GM030186-34 623,075 - Mechanisms of yeast transcriptional initiation 93.859 5R01GM030186-33 172,045 - Mechanistic analysis of post-translation membrane protein insertion into the ER 93.859 4R01GM099943-05 392,437 - Mechanistic investigation of the roles of transcription pausing in co-transcriptional RNA 93.859 5F32GM102999-03 REVISED 24,617 - Medical Scientists Training Program 93.859 3T32GM007753-38S1 2,580,826 - Meiotic Chromosome Synapsis and Recombination in Yeast 93.859 5R01GM044794-25 REVISED 120,876 (25,740) Meiotic Chromosome Synapsis and Recombination in Yeast 93.859 5R01GM044794-27 939,678 115,000 Membrane protein structures by solution NMR 93.859 5U54GM094608-05 350,098 136,272 Membrane Remodeling and Protein Trafficking in Bacteria 93.859 5R01GM073831-09 REVISED 122,761 - Microbial adaptation and the statistics of epistasis and pleiotropy 93.859 4R01GM104239-04 523,083 - Microbial Diversity in Mechanisms of Disulfide Bond Formation and Reduction 93.859 5R01GM041883-25 REVISED 256,553 - Microtubule Dynamics and Mitotic Mechanism 93.859 5R01GM039565-29 455,980 - MIDAS Center for Communicable Disease Dynamics 93.859 5U54GM088558-07Revised 2,731,609 707,318 Minority Physicians and Research Careers: Applying the Theory of Planned Behavior 93.859 5R01GM098549-04 15,105 14,011

The accompanying notes are an integral part of this schedule.

48 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Modeling individual-to-collective behavior in mound-building termites 93.859 5R01GM112633-02 330,870 56,465 Modeling scientific workforce dynamics using social network analysis 93.859 5U01GM112623-02 REVISED 452,092 147,639 Molecular Biophysics Training Grant 93.859 5T32GM008313-28 684,203 - Molecular Chaperones and Protein Degradation 93.859 4R01GM051923-20 521,923 - Molecular Genetic Analysis of Extracellular RNAs in C. elegans 93.859 5R01GM089795-07 REVISED 447,480 - Molecular Genetics of Biofilm Formation 93.859 5R01GM058213-18 375,779 - Molecular Genetics of the Bithorax Complex 93.859 5R01GM028630-30 268,545 - Molecular mechanisms of germline DNA repair and DNA damage response 93.859 5R01GM105853-03 527,394 - mRNA Capping Enzyme 93.859 5R01GM056663-16 REVISED 60,883 - mRNA Capping Enzyme 93.859 5R01GM056663-18 401,848 - Multi-generational epigenetic inheritance and germline immortality 93.859 5R01GM104232-05 REVISED 403,305 - New Approaches for the Delivery of Proteins and Nucleic Acids Into Cells 93.859 5R01GM095501-04 REVISED (6,970) - New Tools for the Study of O-GlcNAc Transferase in Disease 93.859 1F32GM117704-01 17,924 - NMR and Computational Studies of Biomolecules 93.859 4P01GM047467-24 2,121,331 837,167 NMR and Computational Studies of Biomolecules 93.859 5P01GM047467-20 REVISED (1,702) - Novel mechanisms for oxysterols in cell-cell signaling 93.859 5R01GM110041-03 465,506 - Organogenesis of the Pharynx in C Elegans 93.859 3R37GM056264-18S1 290,548 - Organogenesis of the Pharynx in C Elegans 93.859 4R37GM056264-20 34,420 - Phages and Genomic Variation in Vibrio Cholerae Evolution 93.859 5R01GM068851-12 425,421 150,371 Pipelines into Biostatistics: Training in Quantitative Public Health 93.859 4T36GM093773-04 183,464 - Polynuclear iron complexes as functional mimics of the nitrogenase FeMo-cofactor 93.859 5R01GM098395-05 171,339 - Population mixture in evolutionary and medical genetics 93.859 5R01GM100233-04 201,085 - Protein Transport Across Membranes 93.859 5R01GM052586-22 534,899 - Protein/Protein Interactions in Prokaryotic Gene Control 93.859 3R01GM044025-25S1 711,444 - Proton-Coupled Electron Transfer in Biomimetic and Natural Systems 93.859 5R01GM047274-24 413,679 - Quantitative methods for systems-level analyses of regulation and signaling dynamics 93.859 5R01GM096193-05 REVISED 46,428 - Regulation of Cytoplasmic Dynein 93.859 5R01GM107214-02 REVISED (12,180) - Regulation of Mitochondrial Release from Microtubules during Cell Division 93.859 5F31GM108199-03 22,636 - Regulation of translesion synthesis by the bacterial replisome 93.859 5R01GM114065-02 335,994 - Replication Initiation in Bacteria and Eukaryotes 93.859 5R01GM084162-03 REVISED (104) - Reprogramming using small molecules 93.859 5R01GM096067-04 282,952 - RNAi-Mediated Heterochromatin Assembly 93.859 4R01GM072805-12 381,635 - Robust Approaches to the Development and Evaluation of Prognostic Classifiers 93.859 5R01GM079330-07 86,693 - Role of RNA polymerase in bacterial differentiation 93.859 2R01GM018568-44 248,093 - Role of RNA polymerase in bacterial differentiation 93.859 5R01GM018568-43 546,196 - Role of synonymous codons as gene regulators in bacteria and cancer cells 93.859 5K99GM107113-02 3,868 - Single-molecule studies of ATP-dependent chromatin remodeling 93.859 4R01GM105637-04 102,580 - Small regulatory RNA functions in the nucleus 93.859 5R01GM088289-08 REVISED 558,314 - Statistical methods to infer structure and impact of ancient admixture 93.859 5K99GM111744-02 31,648 - Stochastic Partitioning and Degradation of Macromolecules 93.859 5R01GM095784-04 10,594 - Structural Basis for SCAP/SREBP Interaction 93.859 5F32GM103005-03 9,362 - Structure and Biochemistry of TRPA1:a noxious chemical and temperature sensor 93.859 5F31GM109741-02 6,583 - Structure and interactions of the Voltage-Dependent Anion Channel(VDAC) 93.859 5R01GM075879-09 (377) - Structure, Function and Inhibition of Human O-GlcNAc Transferase 93.859 2R01GM094263-05 123,711 - Structure, Function and Inhibition of Human O-GlcNAc Transferase 93.859 3R01GM094263-04S1 REVISED 375,373 - Studies of transcriptional redundancy by pair-wise depletion of coactivators 93.859 5F32GM106548-02 REVISED 22,134 - Studies on the Biological Mechanisms of Antibiotics 93.859 3R01GM066174-14S1 642,723 - Studies on the Biological Mechanisms of Antibiotics 93.859 5R01GM066174-12 4,065 - Study of biological evolution of structure and function in proteins 93.859 5R01GM068670-12 482,864 - Study of phenotypic and fitness effects of non-functional protein interactions in crowded cellular milieu 93.859 5R01GM111955-03 302,915 - Substrate Recognition by the Bam Complex 93.859 5F32GM108258-02 53,673 - Synaptonemal Complex Assembly and Function in Meiosis 93.859 5R01GM072551-09 1,246 - Synaptonemal complex assembly and function in meiosis 93.859 5R01GM072551-11 368,512 - Synthesis and Discovery Enabled by Small Molecule-Nucleic Acid Conjugates 93.859 5R01GM065865-12 484,965 66,684 The Chemical Biology of Naturally Occurring Redox-Active Small Molecules 93.859 5F32GM103010-02 9,053 - The Combinatorial Effect of p53 Dynamics and Modifications on Cell Fate Decisions 93.859 5F32GM105205-03 33,166 - The Effects of Glucokinase Polymerization During Metabolic Transitions 93.859 5F31GM116441-02 31,240 - The first secreted Tyrosine kinase 93.859 1R01GM115417-01 189,486 - The mechanism of vertebrate DNA replication termination 93.859 2R01GM080676-09 36,513 - The Mechanisms of Lipid Droplet Formation and Regulation 93.859 5R01GM099844-05 REVISED 253,261 - The population genetics of antibiotic resistance in multi-drug environments 93.859 5R01GM081617-09 303,968 - The RNA polymerase II transcription complex 93.859 5R01GM046498-25 304,709 - Thiourea Catalyzed Enantioselective Fluorination 93.859 5F32GM109563-02 REVISED 17,593 - Training in Pharmacological Sciences 93.859 3T32GM007306-41S1 435,046 - Ubiquitin chain editing by the mammalian proteasome 93.859 5R01GM095526-04 74,383 - Using Quantitative Proteomics to Elucidate the Signaling Consequences of Microtubule Disruption 93.859 1F31GM117882-01 13,711 - Using Quantitative Proteomics to Understand Mitotic Spindle Composition and Function 93.859 5F31GM116451-02 39,588 - Visualizing DNA break repair: single-molecule studies of non-homologous end joining 93.859 1R01GM115487-01 227,545 - Visualizing the Bacterial Replisome at Single-Molecule Resolution 93.859 5F32GM113516-02 51,330 - Subtotal of 93.859 93.859 51,622,279 4,482,039 A Cohort Study of Preterm Delivery in Relation to Partner Abuse, Mood and Anxiety 93.865 5R01HD059835-05Revised 259,226 122,848 A gesture training for low-income parents to improve child vocabulary development 93.865 5R21HD078771-03 173,572 - Birth Outcomes Surveillance in Botswana 93.865 5R01HD080471-03 511,235 319,942 Bounds for Direct and Indirect Effects with Applications to Perinatal Epidemiology 93.865 5R03HD060696-02 1,110 -

The accompanying notes are an integral part of this schedule.

49 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Cognition in Infancy 93.865 5R01HD023103-29 REVISED 15,383 - Control of placental infection by decidual NK cell secreted granulysin 93.865 1R21HD087689-01 56,399 - Embryonic gene regulatory networks from spatially resolved transcriptomes 93.865 1R01HD085905-01 REVISED 374,595 - Forces in Asymmetric Spindle Positioning in Mouse Oocytes 93.865 5R21HD080057-02 267,920 - FUNCTIONAL ANALYSIS OF NOVEL SIGNALING PEPTIDES DURING EMBRYOGENESIS 93.865 5K99HD076935-02 13,968 - Genetic regulation of ovariole development in Drosophila 93.865 3R01HD073499-03S1 378,631 - Genetics of long non-coding RNAs in zebrafish 93.865 5R01HD076708-03 307,608 - Hedgehog Signaling and Organogenesis of the Limb 93.865 5R37HD032443-20 REVISED 1,621 - Impact of supplemental immunization activity campaigns on health systems 93.865 5R03HD082443-02 32,635 - In toto Image Analysis of Tissue Mechanics during Vertebrate Ear Development 93.865 4K25HD071969-04 107,442 - Integrating Forces and Signals in Tissue-Level Patterning of the Developing Digestive Tract 93.865 1R01HD087234-01 65,841 - Intergenerational impact of war: A prospective longitudinal study 93.865 3R01HD073349-04S1 584,003 224,080 Lineage and cell migration in patterning the limb primordium 93.865 5R01HD045499-10 REVISED 102 - Lopinavir/ritonavir + zidovudine to prevent perinatal HIV in Thailand 93.865 5R01HD056953-05Revised 194,220 - Malaria in Pregnancy: Nutrition and Immunologic Effects 93.865 3R01HD057941-05S1 11,838 8,871 Maternal Traumatic Stress and Child Development: Epigenetic Links 93.865 1R21HD085849-01Revised 54,721 18,146 Microcircuits underlying murine parental behavior 93.865 5R01HD082131-02 353,778 - Neural Mechanisms Controlling Infant-Directed Behavior 93.865 5F32HD078040-02 REVISED 67,114 - Patterning and Morphogenesis of the Vertebrate Gut 93.865 5R01HD047360-10 REVISED 890 - Pediatric HIV/AIDS Cohort Study (PHACS) Data and Operations Center 93.865 3U01HD052102-12S1Revised 11,580,261 8,158,801 PHACS - Data and Operations Center 93.865 5U01HD052102-10Revised 6,325,698 6,028,878 Phthalates in Drugs and Male Genital Malformation 93.865 5R01HD059861-04Revised 9,358 - Predoctoral Training Program in Reproductive Epidemiology, Perinatal and Pediatric Epidemiology 93.865 5T32HD060454-05Revised 29,835 - Prenatal Iron Supplements: Safety and Efficacy in Tanzania 93.865 3U01HD061232-05S1 (6,653) - Short Breastfeeding and Cotrimoxazole among HIV-Exposed Infants in Botswana 93.865 3R01HD061265-05S1 407,289 217,503 Studies of Direct Pluripotent Stem Cell Programming 93.865 1R21HD087723-01 77,507 - Systems analysis of cell type differentiation in xenopus development 93.865 4R01HD073104-05 621,615 49,973 The genetics and neurobiology of parental care in wild mice 93.865 5K99HD084732-02 93,592 - The Impact of Microfinance on Health: Experimental Evidence from India 93.865 4R01HD069546-04 463,399 50,033 The Ventral Medulla and the Sudden Infant Death Syndrome 93.865 7P01HD036379-18 1,343,966 971,056 Toddler and Apelin Signaling During Zebrafish Gastrulation 93.865 5F31HD081925-03 34,909 - Trial of Vitamin D in Maternal HIV Progression and Child Health 93.865 5R01HD083113-02 222,478 117,257 Subtotal of 93.865 93.865 25,037,106 16,287,388 Age-associated chromatin changes in hematopoiesis 93.866 5K25AG037596-05 REVISED 118,319 - Aging Memory 93.866 4R01AG008441-25 164,186 - Aging, Stress Resistance and REST/spr transcription factors 93.866 1K99AG050830-01A1 16,514 - An Innovative Language Controlled Tablet-Based Cognitive Test: Harmonizing Dementia Screening across High and Low Literacy Countries 93.866 5R01AG051144-02 138,371 - AP1-Dependent Regulation of Bone Mass and Energy Expenditure in the Hypothalamus 93.866 5R01AG040222-05 370,671 - Archiving the occupational cohorts in the Work, Family, and Health Network 93.866 5R03AG046393-02 88,766 - Associative learning and brain structure in individuals at risk for dementia 93.866 5K23AG034258-05 REVISED 91,776 - ATPIF1 inhibition as a therapeutic strategy for mitochondrial dysfunction 93.866 5F30AG046047-03 47,672 - Comparative Effectiveness of Treatment Regimens in Lung Cancer 93.866 5R21AG047175-02 REVISED 169,239 - Deciding about Dialysis: Improving Decision-Making Among Older Adults with ESRD 93.866 5K23AG049088-02 87,559 - Defining the Essential Function of Heat Shock Factor and the Consequences of its Age-Associated Decline 93.866 5R21AG050134-02 191,392 - Dissociating Intrinsic and Extrinsic Motor Learning in Alzheimer's Disease 93.866 4R01AG041878-05 276,594 123,200 Estimating the Potential Medicare Savings from Comparative Effectiveness Research 93.866 4R37AG036791-06 663,803 652,139 Evaluating the Health Benefits of Workplace Policies and Practices - Phase II 93.866 5U01AG027669-08REVISED 22,934 - GDF11: an age-variant hormonal regulator of tissue homeostasis and repair 93.866 1R56AG052979-01 34,473 - Genome Engineering an IPSC Model of Alzheimer's Disease 93.866 1RF1AG048056-01 REVISED 417,858 14,668 Health and Aging in Africa: Longitudinal Studies of INDEPTH Communities 93.866 3P01AG041710-03S1 878,402 258,972 Human Capital of Disabled Workers 93.866 7R01AG046290-03 448,772 269,008 Impact of social cohesion on functional recovery after earthquake and tsunami 93.866 4R01AG042463-04 454,950 166,937 Investigating the neuroinflammatory role of RIP1 kinase 93.866 5R01AG047231-03 410,982 - Low-Value Medical Care: The Role of Provider Organizations 93.866 5F30AG044106-02 48,820 -

The accompanying notes are an integral part of this schedule.

50 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Mapping Progranulin's Bioactivity: Implications for Disease and Potential Therapies 93.866 5K99AG047339-02 140,056 - MD-PhD Training Program in Aging and the Social/Behavioral Sciences 93.866 5T32AG051108-02 95,390 - Mechanisms Specific to the Beneficial Effects of Dietary Restriction 93.866 4R01AG044346-04 374,842 21,361 Mechanistic Analysis of Age-Induced Changes in Protein Homeostatis 93.866 5F31AG044967-03 REVISED 20,087 - Medicare in a Restructured Delivery System 93.866 2P01AG032952-06A1 1,395,417 43,562 Network-based Health Interventions in Rural Honduras 93.866 5F30AG046978-03 46,892 - Protection against renal ischemic injury by short term dietary restriction 93.866 5R01AG036712-05 32,881 - Regulation and function of Growth Differentiation Factor 11 during development and aging 93.866 1R01AG048917-01A1 70,997 - Regulation and function of Growth Differentiation Factor 11 during development and aging 93.866 1R56AG048917-01 316,878 - Regulation of mitochondrial metabolism by SIRT4 93.866 3R01AG032375-05S1 36,070 - Regulation of Skeletal Muscle Regeneration During Aging by Growth Differentiation Factor 11 93.866 5F32AG050395-02 55,579 - Requirement of hydrogen sulfide for the benefits of dietary sulfur amino acid restriction 93.866 5K99AG050777-02 109,789 - Reversing age-related dysfunction of skeletal muscle stem cells 93.866 5R01AG033053-06 111,628 - SIRT1 as a regulator of health and lifespan of mammals 93.866 5R37AG028730-09 248,673 - Social protection, work and family strain: cumulative disadvantage effects in the US and Europe 93.866 5R01AG040248-05 132,726 43,510 Specialization in Nursing Home Care 93.866 5R01AG047194-02 344,047 - Targeting a Novel Regulator of Brain Aging and Alzheimer's Disease 93.866 5R01AG046174-03 1,127,005 521,597 Targeting novel AMPK effectors in the regulation of healthy aging 93.866 1F32AG044944-01Rev 27,412 - TBONE and phosphonates in mineralization during aging 93.866 5K99AG047255-02 85,716 - The Center for the Global Demography of Aging 93.866 5P30AG024409-11REVISED 468,486 - The Longitudinal Aging Study in India 93.866 4R01AG042778-04 2,125,975 1,585,930 The Role of Aging in Regulatory T cells during Skeletal Muscle Regeneration 93.866 4F30AG046045-04 55,283 - The Role of Cortical Projection Neurons Susceptible to Progressive Degeneration with Age 93.866 5K99AG047335-02 67,466 - The variability of the lifespan phenotype in C. elegans 93.866 5R01AG034994-05 REVISED 37,189 - Training in the Molecular Biology of Neurodegeneration 93.866 4T32AG000222-25 540,804 - Ubiquitin-mediated proteolysis and cell cycle control 93.866 4R01AG011085-23 356,255 149,415 Welfare Effects of Balancing the Federal Social Security and Health Care Budgets 93.866 5R01AG048037-02 744,402 199,172 Subtotal of 93.866 93.866 14,309,998 4,049,471 Cell surface molecules that require arrangement of retinal neurons and arbors 93.867 5R01EY022073-04 REVISED 8,894 - Cell-Cell Signaling in Development and Regeneration of Visual Connections 93.867 4R01EY011559-24 490,099 - Characterization of a newly-discovered cell type family in the retina 93.867 5F32EY025119-02 REVISED 58,247 - Combinatorial roles of cadherins in retinal circuit assembly 93.867 2R01EY022073-05 509,828 - CORE GRANT FOR VISION RESEARCH 93.867 4P30EY012196-19 868,318 162,346 Cortico-Cortical Feedback 93.867 2R01EY011379-19 189,015 - Cortico-Cortical Feedback 93.867 5R01EY011379-18 296,231 - Development of Category-Selective Domains in Inferotemporal Cortex 93.867 5F32EY024187-03 56,290 - Functional Effects of Cortico-cortical Feedback 93.867 5F32EY025523-02 56,520 - Gene therapy to support cone metabolism in retinitis pigmentosa 93.867 5R01EY023291-03 235,490 - Internal Signals in the Parietal Visual Pathway 93.867 5R01EY012106-15 351,986 - Linking sequence and copy number variation to eye diseases by regulatory genomics 93.867 7R01EY024230-03 173,857 - Mechanisms of Morphogen Secretion in Visual System Development and Disease 93.867 5R01EY024093-03 REVISED 418,023 - Molecular control of neuronal shape and connectivity in the developing retina 93.867 1R01EY024884-01A1 110,422 - Molecular patterning and specification of the fovea during retinal development 93.867 5F32EY023911-02 4,190 - Neuronal Dynamics of Visual Attention and Eye Movements 93.867 5F32EY022529-03 8,985 - Physiological Mechanisms of Intensity Encoding in Ganglion Cell Photoreceptors 93.867 5F31EY025466-02 REVISED 29,042 - Representing object ensembles in the human brain: Where, when and what 93.867 5R01EY022355-03 185,147 - Research Training in Visual Neuroscience 93.867 5T32EY007110-28 176,947 - Revealing IPS organization through its role in location and feature processing 93.867 5F32EY022874-03 5,125 - Reverse Correlation Mapping in Face Patches 93.867 5R01EY016187-10 495,895 - Role of Fat3 at the intersection of neuronal morphology and synapse localization 93.867 5F32EY024184-02 REVISED 22,478 - Screen for determinants of synaptic specificity in outer retina. 93.867 5R21EY025421-02 292,273 - The normal development of inferotemporal cortex 93.867 5R01EY025670-02 301,787 - The role of Fat3 in amacrine cell dendrite development. 93.867 5R21EY022725-02 REVISED (34,410) - Transcriptional Control of Retinal Bipolar Neuron Diversification 93.867 5F32EY024833-02 54,465 - Visual Psychophysics of Human Face Processing 93.867 5R01EY013602-10 REVISED (68) - Subtotal of 93.867 93.867 5,365,076 162,346 Boston-Area Research Training Program in Biomedical Informatics 93.879 4T15LM007092-25 949,524 - Novel integrative method to detect biomakers of breast cancer resistance 93.879 5K99LM011595-02 REVISED 10,321 - On the Origins of Therapies: Innovation, Imagination, and the Evolution of Coronary Artery Surgery, 1910-1970 93.879 1G13LM012053-01 40,812 - Predictive optimal anticlotting treatment for segmented patient populations 93.879 5R01LM011566-03 144,517 98,553 Subtotal of 93.879 93.879 1,145,174 98,553 Ryan White HIV/AIDS Program 2015 93.924 1T22HA289160100 11,239 - Subtotal of 93.924 93.924 11,239 - 2/2-Air Pollution and Health GeoHealth Hub Research and Capacity Building-US 93.989 1U2RTW010108-01REVISED 40,572 - Building Research Capacity to Improve Mental Health in China across the Lifespan 93.989 5D43TW009081-05 REVISED 167,418 90,563 Enabling Biotechnologies to Generate Novel Phosphoglycolipid Antibiotics 93.989 5R03TW009424-03 43,007 43,007 Fogarty HIV Research Training Program for Low and Middle-Income Countries 93.989 4D43TW009610-04 316,933 - Novel therapeutic agents from the bacterial symbionts of Brazilian invertebrates 93.989 5U19TW009872-02 REVISED 1,009,757 575,800 Tanzania AIDS and TB ICOHRTA 93.989 5U2RTW008254-05 5,200 - Tanzania Infectious Disease Research Training Program 93.989 5D43TW007886-08Revised 240,956 54,357

The accompanying notes are an integral part of this schedule.

51 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

The economic impacts of community-based integrated health care systems in rural Rwanda 93.989 5K01TW008773-06 REVISED 51,814 - Training Tanzanian Researchers for HIV/AIDS Implementation Science 93.989 5D43TW009775-02 124,140 43,330 Subtotal of 93.989 93.989 1,999,797 807,057 Genetic Modeling for SMA Therapeutic Pathways 93.853, 93.310 5P01NS066888-05 337,710 134,521 Subtotal of 93.853, 93.310 93.853, 93.310 337,710 134,521 A Systems Approach to Measuring and Modeling Toxic Responses 93.Contract HHSF223201400052C 284,466 - An Examination of Behavioral Healthcare Integration in Medicare Accountable Care Organizations 93.Contract HHSP23320130051C 161,626 - Application of Statistical Methods and Standardization of Circulating Vitamin D Data from 21 cohorts in the Pooling Project of Breast and Colorectal Cancer 93.Contract HHSN261201500386P 67,096 - Application of Statistical Methods to Calibrate and Season-Adjust Circulating Vitamin D Data Collected for the Pooling Project of Breast and Colorectal Cancer 93.Contract HHSN261201400566P 18,008 - Diabetes Risk Across Womens Lifespan: A Study of Long-Term Health Implications of Glucose Intolerance in Pregnancy 93.Contract HHSN275201000020C 935,494 333,630 Diabetes Risk Across Womens Lifespan: A Study of Long-Term Health Implications of Glucose Intolerance in Pregnancy 93.Contract HHSN275201500003C 398,115 - Feasibility Study of FDA CFSAN Use of HSPH Longitudinal Data 93.Contract HHSF223201510390P 5,000 - Inter-professional Case-based Pain Medicine Curriculum for Students of Dentistry, Medicine, Pharmacy, Psychology, and Nursing in Boston, MA 93.Contract HHSN271201500075C 57,814 - Organ-on-Chips Tools for Testing of Radiation Countermeasures 93.Contract HHSF223201310079C 1,285,365 121,495 Physico-Chemical, Pharmacokinetic and Toxicological Studies of Engineered Nanoparticles emitted from Photocopiers and Printing Equipment 93.Contract 200-2015-M-87419 77,305 - Subtotal of 93.Contract 93.Contract 3,290,289 455,125 Total DHHS 381,379,330 106,446,656 EPA Air Pollution Mixtures: Health Effects Across Life Stages 66.509 RD-83479801-6 1,100,104 95,804 Effects of Changes in Climate and Land Use on U.S. Dust and Wildfire Particulate Matter 66.509 83587501 60,181 - Integrated Modeling Approaches to Support Systems-Based Ecological Risk Assessment 66.509 RD-83579501-0 150,215 66,136 Regional Air Pollution Mixtures: The Past and Future Impacts of Emission Controls and Climate Change on Air Quality and Health 66.509 83587201-0 177,069 - Subtotal of 66.509 66.509 1,487,569 161,940 EPA Fellowship for Katherine Travis 66.514 FP-91761601-1 8,624 - Immunotoxicity Risks Associated with Exposures to Perflourinated Compounds (PFCs) 66.514 FP-91765101-2 8,632 - Subtotal of 66.514 66.514 17,256 - Computational Analyses of Susceptibility 66.Contract EP-15-W-000007 14,920 - Subtotal of 66.Contract 66.Contract 14,920 - Total EPA 1,519,745 161,940 Institute of Museum and Library Services Peabody Museum Archaeological Collections Digital Imaging and Cataloguing Project 45.301 MA-05-11-0312-11 1,107 - Subtotal of 45.301 45.301 1,107 - Optically Recovering Sound Recordings from Aluminum Transcription Discs 45.312 LG-52-14-0170-14 17,567 - Subtotal of 45.312 45.312 17,567 - Total Institute of Museum and Library Services 18,674 - Medicare Payment Advisory Commission (MedPAC) Medicare Payment Advisory Commission (MedPAC) - Phase 2 of development of healthy days at home population-level quality measure 99.Contract No Award Number 20,533 - Subtotal of 99.Contract 99.Contract 20,533 - Total Medicare Payment Advisory Commission (MedPAC) 20,533 - NASA A higher resolution Galactic dust map: Mapping Galactic dust with the Wide-field Infrared Survey Explorer (WISE) 43.001 NNX12AE08G 75,951 - A Tropospheric Chemistry Module for Earth System Models and Data Assimilation Systems: Application to Chemical Data Assimilation of Satellite Observations in the GEOS DAS 43.001 NNX11AN17G 194,177 - Air Quality Applied Sciences Team Membership 43.001 NNX11AI40G 294,670 - An examination of Earth's seasonal heat budget 43.001 NNX14AN64H 10,414 - Analytic models for outcomes of collisions between icy bodies for outer solar system planet formation and evolution 43.001 NNX12AK25G 104,393 87,143 Astrophysical Probes of Dark Matter Interactions 43.001 NNX16AI12G 11,397 - Atmospheric Loss During High Angular Momentum Giant Impacts 43.001 NNX13AO67H 43,778 - Atmospheric Tomography Mission (ATom): Imaging the Chemistry of the Global Atmosphere 43.001 NNX15AJ23G 463,047 - Chandra Cycle 17: Understanding the Rotation/Activity Relation: A New Low-Mass, Extreme-Spin Sample 43.001 GO6-17020X 44,439 - Characterizing the Cooler KOIs: Studying the Planet Population around Mid-M Dwarfs 43.001 NNX15AW50G 575 - Coastal Upwelling in a Warmer World: Understanding Interannual Variability and Predicting Future Response to Atmospheric Warming 43.001 NNX14AH39G 93,418 - Cosmological Hydrodynamics on a Moving Mesh 43.001 NNX12AC67G 154,761 - Cycle 15 GO Program: Measuring the Explosion Geometry of Short GRBs:Implications for Energetics and Rates 43.001 GO4-15055X 23,846 - Development of a Data-Assimilation Framework for Integrating 25 Years of Surface and Airborne Observations to Assess Patterns of Net CO2 Exchange from Arctic Ecosystems 43.001 NNX13AK83G 246,485 51,097 Elemental and isotopic fractionations and mixing in the proto-lunar disk 43.001 NNX15AH66G 278,338 - Energy Source and Pre-Explosion Progenitor Evolution of Super-Luminous SNE 43.001 NNX15AJ54G 27,630 - Evolution of sub-cellular metabolism in photosynthetic eukaryotes: Isotopic investigation of the partitioning of nitrogen between chloroplasts and mitochondria 43.001 NNX16AJ52G 20,096 - Extracting distances from WFIRST/AFTA light curves and spectra 43.001 NNX15AJ55G 68,957 - FERMI GI Program - Cycle 7: Rapid Spectroscopy of FERMI GRBS: Redshifts, Energetics, and Host Galaxies 43.001 NNX14AQ20G 36,447 - Following the Kepler Planets with the HARPS-N Spectrograph to Determine the Transition from Rocky to Neptune-like Worlds 43.001 NNX15AC90G 126,394 62,091 Gamma-Ray Bursts: Progenitors to Probes 43.001 NNX15AE50G 67,427 - Giant impacts on terrestrial planets: a high-resolution 3D study of magma ocean formation and atmospheric blowoff 43.001 NNX11AK93G 8,880 8,880 High Accuracy Measurements of CO2, CH4, N2O, and CO From Suborbital Platforms, and Related Measurements 43.001 NNX13AH36G 223,158 - High Resolution Energetic X-ray Imager (HREXI) 43.001 NNX14AD59G 359,663 31,955 High-resolution constraints on North American and global methane sources using satellites 43.001 NNX14AO74G 130,506 - Improving predictions of terrestrial carbon, water, and energy cycling using novel plant phenology observation and modeling 43.001 NNX13AL24H 28,689 - Investigating a Dynamo Bimodality in Fully Convective Stars with X-rays 43.001 NNX15AG29G 38,841 -

The accompanying notes are an integral part of this schedule.

52 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Investigation of Tropospheric Chemistry-Climate Interactions in Hindcasts of the Recent Past 43.001 NNX13AO08G 212,166 - Isotopic Constraints on the Giant Impact Hypothesis 43.001 NNX12AH65G (28,311) - Linking Terrestrial Biosphere Models with Imaging Spectrometry Measurements of Ecosystem Composition, Structure, and Function 43.001 NNX12AP33G 50,222 - Management of the GEOS-Chem Chemical Transport Model and Application to Improve Understanding of Tropospheric Ozone 43.001 NNX15AB09G 156,435 - Measuring the IMF and Detailed Abundance Patterns from the Integrated Light of Old Stellar Systems 43.001 NNX15AK14G 174,983 - Mobilization of water during planetary collisions: Shock thermodynamics experiments on icy mixtures and hydrated minerals 43.001 NNX11AQ24G 125,419 - Moving Mesh Cosmology with Magnetohydrodynamics 43.001 NNX15AR88H 26,000 - Multi-Scale Plasma Flows around Black Holes (Harvard node) 43.001 NNX14AB47G 80,894 - New Frontiers for Turbulence in the Intercluster Medium: A Multiwavelength Study of the Velocity Power Spectrum with Chandra, Hubble, and Astro-H 43.001 PF4-150119 97,066 - New Laboratory Bromine Kinetics for Improving Models and Projections of Stratospheric Ozone 43.001 NNX15AD87G 218,694 - Radiative Forcing of Climate Using A-Train Data and Infrared Spectral Fingerprinting 43.001 NNX15AC29G 278,108 - Regolith X-ray Imaging Spectrometer (REXIS) 43.001 NNX12AG65G 181,809 - Revealing The Outer Solar System Using Occultations Of Stars 43.001 NNX10AH40G 17,366 17,366 SEAC4RS mission support using the nested GEOS-Chem chemical transport model 43.001 NNX12AC05G 128,217 - Study of the Madden-Julian Oscillation with isotope-enabled regional and global models 43.001 NNX13AN47G 167,525 95,356 Swift Cycle 9: A Renaissance of GRB Radio Studies with the Jansky VLA 43.001 NNX13AO98G 1,853 - Swift Cycle 9: Explosion mechanisms and energy sources powering super-luminous supernovae 43.001 NNX14AF59G 659 - Testing the Borealis Impact Hypothesis: An investigation of mantle and crustal signatures from a giant impact 43.001 NNX11AE96G 2,353 - The ADS All Sky Survey 43.001 NNX12AE11G 14,172 6,474 The isotopic consequences of microbial sulfur disproportionation 43.001 NNX15AP58G 141,109 - The plasma phase transition in hydrogen for gas giants: structure and formation 43.001 NNX14AP17H 20,391 - Unravelling the Formation History of the Milky Way 43.001 NNX15AR83H 20,000 - Use of OMI Formaldehyde (HCHO) and Glyoxal (CHOCHO) Observations to Quantify and Map Emissions of Nonmethane Volatile Organic Compounds (NMVOCs) 43.001 NNX14AE83G 312,131 - Using Aircraft Stratospheric Water Vapor Measurements Coupled with Complementary Satellite Data, Ground-based Radar and Model Results to Study the Influence of Deep Convection over North America 43.001 NNX14AR33G 209,582 - Using NASA aircraft observations to improve understanding of biogenic VOC chemistry and aerosols over the eastern US, and to increase the value of related satellite observations 43.001 NNX14AP42G 276,368 - UV Absorption Cross Sections and Equilibrium Constant of ClOOCl Determined from New Laboratory Spectroscopy Studies of ClOOCl and ClO 43.001 NNX15AF60G 145,485 - Validation and Application of OCO-2 data in the Northeastern United States 43.001 NNX15AG91G 91,307 - Very high resolution global modeling of tropospheric ozone for air quality and climate applications 43.001 NNX14AR66G 89,844 - Wavelength-Dependent Complex Indices of Refraction of Different Types of Secondary Organic Materials 43.001 NNX12AG95G 88,290 - Wavelength-dependent refractive indices of secondary organic material 43.001 NNX13AM94H 28,468 - Subtotal of 43.001 43.001 6,504,982 360,362 Crowd Innovation Laboratory at Harvard University NASA Open Innovation Research 43.003 NNX16AC77A 109,202 - Theoretical and Experimental Analysis of the Performance of Quantum Annealers 43.003 NNX14AF62G 64,361 - Subtotal of 43.003 43.003 173,563 - Physics of Colloids in Space 43.007 NNX13AQ48G 201,920 - Subtotal of 43.007 43.007 201,920 - A LIBS Boroscope for Evaluation of Mars Sample Return Core Candidates 43.008 NNX13AM67H 57,236 - Subtotal of 43.008 43.008 57,236 - Augmentation of the Glue Visualization System, with Special Emphasis on Spectral-Line Data Cubes 43.Contract NAS5-03127 197,996 - NASA Algorythm Institute 43.Contract NNH10CD71C 426,742 273,662 Subtotal of 43.Contract 43.Contract 624,738 273,662 ATTREX: A Venture Class Mission to Understand the Role of the Tropical Tropopause Layer in Earth's Climate 43.Unknown NNX10AO82A 76,479 - Clusters of Galaxies in the last 5 Billion Years: from the Brightest Cluster Galaxy to the Intra-Cluster Light 43.Unknown HST-AR-13897.002-A 29,588 - Cycle 21 Program: Zooming In on the Progenitors of Ultra-Luminous Supernovae with HST 43.Unknown HST-GO-13326.02-A 24,761 - Cycle 23 Program GO-14216: RAISIN2: Tracers of cosmic expansion with SN IA in the IR 43.Unknown HST-GO-14216.001-A 27,567 - Dissecting the integrated light of a massive elliptical galaxy with pixel-to-pixel fluctuations: is the IMF bottom-heavy 43.Unknown HST-GO-12523.004-A 20,434 - Establishing a Network of DA White Dwarf SED Standards 43.Unknown HST-GO-12967.01-A 2,933 - Establishing a Network of Next Generation SED standards with DA White Dwarfs 43.Unknown HST-GO-13711.010-A 22,169 - Hydrogen Escape from an Earth-size Exoplanet: a Reconnaissance Study 43.Unknown HST-GO-14462.002-A 947 - Probing Fundamental Physics with Cosmological Data Sets 43.Unknown HST-HF2-51340.001-A 13,637 - RAISIN: Tracers of cosmic expansion with SN IA in the IR 43.Unknown HST-GO-13046.01-A 5,595 - SN 1987A -- Bridging the Gap for HST's Legacy 43.Unknown HST-GO-13181.01-A (36) - Staring into the Beasts' Lair: HST Observations of the Host Galaxies of Pan-STARRS Ultra-luminous Supernovae 43.Unknown HST-GO-13022.01A 1,474 - The Compositional Role of Asteroids as Building Blocks of Planets 43.Unknown HST-HF-51319.01-A 3,676 - The Role of Stellar Feedback from Small to Large Scales 43.Unknown HST-HF2-51342.001-A 16,847 - Subtotal of 43.Unknown 43.Unknown 246,071 - Total NASA 7,808,510 634,024 National Endowment for the Humanities Medicine at Ground Level: State Medical Societies, State Medical Journals, and the Development of American Medicine. 45.149 PW-228226-15 107,877 18,941 Women's Worlds in Qajar Iran (NEH HCRR) 45.149 PW-234647-16 14,647 - Women's Worlds in Qajar Iran (NEH HCRR) 45.149 PW-51546-14 97,885 - Subtotal of 45.149 45.149 220,409 18,941 Berthold of Nuremberg's 13th-Century Reconfiguration of Hrabanus Maurus's 9th-Century Treatise on the Cross 45.160 FA-58135-15 50,399 - Subtotal of 45.160 45.160 50,399 - Interpreting the Colonial Experience at Magdalena de Cao Viejo, Chicama Valley, Peru, 1578-1770 45.161 RZ-51150-10 14,867 - Subtotal of 45.161 45.161 14,867 - Containment: A Film about the Nuclear Landscape Now and for the Next 10,000 Years 45.164 TR5048513 1,066 - Subtotal of 45.164 45.164 1,066 -

The accompanying notes are an integral part of this schedule.

53 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Automating Data Extraction from Chinese Texts 45.169 HJ-50173-14 48,256 33,150 Extending WorldMap to Make It Easier for Humanists and Others to Find, Use, and Publish Geospatial Information 45.169 HK-50091-13 77,960 - Subtotal of 45.169 45.169 126,216 33,150 Total National Endowment for the Humanities 412,957 52,091 National Science Foundation A Novel Safer Formulation Concept for Flame Generated Engineered Nanomaterials 47.041 1235806 5,824 - Alan T. Waterman Award 47.041 CMMI-1251729 260,368 - Calmodulin-based allosteric switches as a modular platform for peptide biosensors 47.041 CBET-1158784 302 - CAREER: BuckliOrigami: Soft, Active and Foldable Structures Through Instabilities and Large Deformation 47.041 CMMI -1149456 85,579 - CAREER: Optimization, Control, and Incentive Design for Power Networks with High Levels of Distributed Energy Resources 47.041 ECCS-1553407 24,472 - Casting Inorganic Nanostructure Arrays with 3D DNA Crystal Molds 47.041 CMMI-1333215 159,921 - Collaborative Research: A Combustion Powered, Flapping, Wing Micro Air Vehicle 47.041 CMMI-1537715 43,008 - Collaborative Research: Geometric Shape Error Control for High-Precision Additive Manufacturing 47.041 CMMI-1334178 31,183 - Collaborative Research: Mechanistic and Predictive Genotoxicity Assessment of Nanomaterials 47.041 CBET-1437209 49,787 - Collaborative Research: Ultrashort pulse generation and mid-infrared frequency combs from quantum cascade lasers 47.041 ECCS-1230477 (1,914) - Developing Computational Models to Guide the Design of Chemomechanically Responsive, Reconfigurable Surfaces 47.041 CMMI-1124839 (2,536) - EAGER: Limited Communications Demand Control in Power Grid 47.041 ECCS-1548204 94,876 - EFRI 2-DARE: Quantum Optoelectronics, Magnetolectronics and Plasmonics in 2-Dimensional Materials Heterostructures 47.041 EFMA-1542807 436,633 - Experimental Electro-Mechanics of Dielectric Elastomers 47.041 1333835 160,604 - GOALI: Stable Nanomechanical Oscillators with Large fQ Product 47.041 ECCS-1507508 202,241 - Harnessing the Nano-Optics of Nanowires for Novel Photonic Devices 47.041 ECCS-1307561 (25,825) - I-Corps: Robotic Hands for Warehousing and Automation 47.041 IIP-1445364 3,089 - I/UCRC: Collaborative Research: Center for Spatiotemporal Thinking Computing and Applications 47.041 CNS-1338914 189,752 - NNCI: The Center for Nanoscale System (CNS) at Harvard University 47.041 ECCS-1541959 467,518 - Nonlinear microscopy for egg/embryo viability 47.041 IIP-1540498 38,154 - NSF EAGER: High-Throughput Bioprinting of Vascularized Living Tissues 47.041 CMMI-1548261 164,119 - PFI:AIR - TT: High-Reliability Robot Grasping for Per-Item Distribution 47.041 IIP-1500178 69,397 - Principles of DNA-Like Self-Assembly at Macroscopic Scales 47.041 CMMI-1434560 124,913 - Stretchable, Tough, Water-Retaining Hydrogels for Non-Traditional Applications 47.041 CMMI-1404653 130,358 - SUSCHEM: Aquous organic redox chemistry for renewal energy storage 47.041 CBET-1509041 95,236 - TiO2 ultrafast all-optical devices 47.041 ECCS-1201976 (17,662) - Understanding How Motile Cells Make Decisions When Subject to Multiple Chemical and Physical Cues 47.041 CMMI-1536616 62,257 - Subtotal of 47.041 47.041 2,851,654 - Collaborative Research: A field-experimental test for evolutionary trait-mediated indirect effects in food webs 47.047 DEB-0949531 23,735 - Subtotal of 47.047 47.047 23,735 - Algebraic geometric approaches to biological complexity 47.049 1462629 93,694 - Antihydrogen and Antiproton Studies 47.049 PHY-1310079 1,298,892 - Bayesian Partition Models for Detecting Influential and Interactive Variables 47.049 DMS-1007762 (4,495) - Building a theoretical and methodological framework for collaborative statistical inference and learning: multi-party and multiphase paradigms 47.049 DMS-1208799 33,232 - CAREER: Bimetallic Pd and Ag Catalysts for Electrophilic Trifluoromethylation 47.049 CHE-0952753 82,513 - CAREER: Chemically-Enabled Strategies for the Discovery and Characterization of Novel Enzymatic Function 47.049 CHE-1454007 127,512 - CAREER: Dynamics of neural circuits governing locomotory decisions in C. elegans 47.049 PHY-0952766 172,094 - CAREER: Iron mediated catalytic C-H bond functionalization 47.049 CHE-0955885 (167) - CAREER: Quantum field theory in diverse dimensions, supersymmetry, and quantum gravity 47.049 PHY-1352084 86,344 - CAREER: Sharing Deep CMB Maps for Cosmological Discovery 47.049 AST-1255358 276,045 - CAREER: Spin Resolved Imaging of Correlated Electron Systems Including Cuprates and Pnictides 47.049 DMR-0847433 738 - Center for Integrated Quantum Materials 47.049 DMR-1231319 3,810,046 2,205,172 Charge Tunneling in Organic Matter 47.049 CHE-1506993 154,505 - Chiral Molecular Beams, Quantum Tunneling and Improved Microwave Spectroscopy 47.049 CHE-1506868 150,751 - Classical and Quantum Aspects of Black Holes and Horizons 47.049 PHY-1205550 48,268 - Classical and Quantum Geometric Langlands Correspondence 47.049 DMS-1063470 101,674 - Collaborative Research: Abacus: A New State-of-the-Art Cosmological N-body Code 47.049 AST-1313285 94,873 - Collaborative Research: Advanced Statistical Methods and Computation for Emerging Challenges in Astrophysics and Astronomy 47.049 DMS-1208791 (6,130) - Collaborative Research: Biophysical Analysis of Magnetosome Development in Magnetotactic Bacteria Under Ambient Conditions 47.049 PHY-1504610 65,043 - Collaborative Research: Combined Theoretical/Experimental approach to understanding irradiation-induced morphology evolution 47.049 DMR-1409700 117,258 - Collaborative Research: Connecting Atomistic and Continuum Amorphous Solid Mechanics via Non-equilibrium Thermodynamics 47.049 DMR-1409560 51,748 - Collaborative Research: Detailed Elemental Abundance Patterns in Early-Type Galaxies 47.049 AST-1524161 151,003 - Collaborative Research: DMREF: Designing, Understanding and Functionalizing Novel Supercondutors and Magnetic Derivatives 47.049 DMR-1435487 148,656 - Collaborative Research: Homotopy Theory: Applications and New Dimensions 47.049 DMS-0906194 10,147 - Collaborative Research: Institute for Theoretical, Atomic, Molecular and Optical Physics 47.049 PHY-1205635 300,279 - Collaborative Research: Large-Aperture Experiment to Detect the Dark Age (LEDA) 47.049 AST-1106059 170,878 - Collaborative Research: Optical Confirmation, Redshifts, and Richness for Galaxy Clusters Discovered with the South Pole Telescope 47.049 AST-1009012 9,650 - Collaborative Research: Perception and Use of Infrared Radiation by Insects 47.049 PHY-1411123 31,828 - Collaborative Research: Principled Science-Driven Methods for Massive, Intricate, and Multifaceted Data in Astronomy and Astrophysics 47.049 DMS-1513492 34,757 - Colloids as Models for Crystals and Glasses 47.049 DMR-1206765 96,699 - Compact wave function methods for chemical systems 47.049 CHE-1464862 31,663 - Complex Dynamics and Moduli Spaces 47.049 DMS-1305116 221,179 - Complex Manifold Theory and Kaehler Geometry 47.049 DMS -1001416 (41) - Concluding conference of the Special Program on Nonlinear Equations: Progress and Challenges in Nonlinear Equations 47.049 DMS-1600414 32,516 - Criticality and Order in Quantum Matter 47.049 DMR-1360789 176,718 - Current Developments in Mathematics Conference 47.049 DMS-1443462 6,246 - DMREF: Biologically Inspired Optimized Materials And Technologies Transformed by Evolutionary Rules (BIOMATTER) 47.049 DMR-1533985 297,483 67,139 DMREF: Self Assembly with DNA-Labeled Colloidal Particles and DNA Nanostructures 47.049 DMR-1435964 468,270 193,064 DMREF/Collaborative Research: Graphene Based Origami and Kirigami Metamaterials 47.049 DMR-1435999 29,024 -

The accompanying notes are an integral part of this schedule.

54 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

DMREF/GOALI/Collaborative Research: High-Throughput Simulations and Experiments to Develop Metallic Glasses 47.049 DMR-1435820 135,643 - Electron Magnetic Moment, Fine Structure Constant, Mass Ratios, Laser Spectroscopy and QED 47.049 PHY-1068219 487,805 - Elliptic Fibrations and String Theory 47.049 DMS-1406925 40,097 - Fiber-laser Astro-comb as a Robust Wavelength Calibrator for Astrophysical Spectrographs 47.049 AST-1310981 125,078 96,458 Fluctuations and Control in Cells 47.049 1517372 77,659 - Fractional Quantum Hall Physics with Ultracold Atoms 47.049 PHY-1506203 85,403 - FRG Collaborative Research: Generalized Geometry, String Theory and Deformations 47.049 DMS-1159412 144,688 - FRG: Collaborative proposal: In and Around Theory X 47.049 DMS-1158983 64,800 - Gamma-Ray Bursts: From Progenitors to Probes 47.049 AST-1411763 195,675 - Gamma-ray Bursts: From Progenitors to Probes 47.049 AST-1107973 14,055 - Gauge Theory and Geometry in Dimensions Three and Four 47.049 DMS-0904589 1,791 - Gauge theory and spatial graphs 47.049 DMS-1405652 161,701 - Geometric PDEs and Algebraic Geometry 47.049 DMS-1506652 33,229 - Geometric structures in field and string theory 47.049 PHY-1306313 87,400 - Hidden Particles in Weak Scale Physics and Beyond 47.049 PHY-1415548 53,936 - High-Fidelity, Long-Term Coherent Memory with Bose-Einstein Condensates for Implementation of Quantum Repeater Architectures 47.049 PHY-1104347 18,795 - Hydrogen at Ultra-High Pressure 47.049 DMR-1308641 132,408 - Imaging Electron States in Nanostructures 47.049 DMR-1105341 5,031 - In-sequence coding of stochastic gene expression via synonymous mutations 47.049 PHY-1409321 245,816 - Integrated photonic chips for generating entangled photon triplets 47.049 PHY-1415236 176,563 - Interactions of Particles, Fields and Strings 47.049 PHY-1067976 4,574 - Interactions of Particles, Fields and Strings 47.049 PHY-1418114 243,769 - Interference Selection and the Statistics of Evolution in Microbes 47.049 PHY-1313638 186,623 - L-functions and Arithmetic 47.049 DMS-1601028 21,603 - Low-Loss, Impedance-Matched Dirac-Cone Metamaterials for Integrated Optics 47.049 DMR-1360889 206,728 - Mapping Dust in 3-D with Pan-STARRS 47.049 AST-1312891 135,323 - Materials Research Science and Engineering Center 47.049 DMR-0820484 (64,798) - Materials Research Science and Engineering Center 47.049 DMR-1420570 2,196,061 - Mathematical methods to infer mechanisms from single cell data 47.049 1562497 22,477 - Mechanistic Studies of the Photoactivation of Metal- Hydride, Halide and Oxo Bonds 47.049 CHE-1464232 164,254 - Metal Platforms for the Photoactivation of Metal-Hybride, -Halide and -Oxo Bonds 47.049 CHE-1332783 7,363 - Microfluidic Printing of Interspersed and Interpenetrating Multicomponent Ceramic Architectures 47.049 DMR-1305284 131,689 - MINERVA: A dedicated observatory for exoplanet science 47.049 AST-1516242 97,851 - MRI: Acquisition of True 3D Laser Lithography System with Sub-Micrometer Resolution 47.049 DMR-1428694 32,183 - Nanoporous Hybrid Photo-catalysts for Sustainable Chemical Processes 47.049 CHE-1362616 156,589 - Nanoscale Imaging of Topological Superconductivity in Heterostructures 47.049 DMR-1410480 116,354 - Nanoscale Studies of Topological Insulators 47.049 DMR-1106023 742 - New Algebraic Structures in Topology 47.049 DMS-1510417 265,558 - New Reactions and Strategies in Synthesis 47.049 CHE-1152205 4,339 - Non- equilibrium dynamics of quantum many - body systems 47.049 DMR-1308435 56,801 - Nonequilibrium Physics of Spindle Assembly: Understanding the Response of the Spindle to Perturbations 47.049 PHY-1305254 171,217 - Nonlinear Analysis on Sympletic, Complex Manifolds, General Relativity, and Graphs 47.049 DMS-1308244 138,891 - Novel statistical models for text mining with applications to Chinese history and texts 47.049 DMS-1208771 40,443 - Number Theory and Geometry 47.049 DMS-1100511 3,289 - Number Theory and Geometry 47.049 DMS-1502161 55,591 - Number Theory and Related Fields 47.049 DMS-1302409 54,456 - OP: Quantum Physics with Nanaophotonics Systems 47.049 PHY-1506284 870,682 - Optimal Shrinkage Estimation for Heteroscedastic Data 47.049 DMS-1510446 110,518 - Particle Physics in the Era of Data 47.049 PHY-1216270 255,140 - Physics with New Atomic Systems: Quantum Interactions, Cooling and Applications 47.049 PHY-1067990 7,703 - Physics with New Molecular Systems: Quantum Interactions, Cooling and Applications 47.049 PHY-1505961 134,729 - Population and Ordering Dynamics in Bacterial Intestinal Infection 47.049 PHY-1205494 73,045 - Quantum Optical Physics with Nanaophotonics Systems 47.049 PHY-0969816 (120,955) - Random Matrices and Disordered Systems 47.049 DMS-1307444 180,725 - Research and Education in Physical Mathematics 47.049 DMS-1411694 61,729 - REU Site Team Research in Computational and Applied Mathematics (TRiCAM) 47.049 DMS-1460870 263,229 - REU Site: Biomaterials Research Initiative Dedicated to Gateway Experiences (BRIDGE) 47.049 DMR-1005022 (646) - REU Site: Biomaterials Research Initiative Dedicated to Gateway Experiences (BRIDGE) 47.049 DMR-1262895 106,023 - SAVI: Student Research Network in the Physics of Living Systems (PoLS) 47.049 PHY-1219334 231,701 - Scanning-releasing the full-sky-century database to DASCH for TDA 47.049 AST-1313370 187,706 - Set Theory 47.049 DMS-1460238 54,517 - Shimura Varities and Galois representations 47.049 DMS-1301921 103,944 - Soft Materials: Synthesis and Properties 47.049 DMR-1310266 143,197 - Spin, Heat and Charge Transport in Quantum Hall Edge Modes 47.049 DMR-1206016 61,171 - Structural transitions, energetics, and folding pathways of colloidal clusters 47.049 DMR-1306410 91,736 - Studies in Representation Theory 47.049 DMS-1300185 64,673 - Study of Plasmon-Assisted Cell Transfection 47.049 PHY-1205465 159,274 - SusChEM: Engineered protein-based biofilms as functional advanced materials 47.049 DMR-1410751 197,983 - The local Langlands correspondence via endoscopy, geometry, type theory, and their interplay 47.049 DMS-1557343 41,749 - Theoretical Problems in Soft Matter and Quantitative Biology 47.049 DMR-1306367 222,620 - Three-Dimensional Radiation GRMHD Simulations of Accretion Flows Around Black Holes 47.049 AST-1312651 144,684 - Time-dependent density functional theory for open quantum systems 47.049 CHE-1152291 4,080 - Topology, Geometry and Physics 47.049 DMS-1401192 142,895 - Towards a Predictive Theory of Galaxy Formation: Cosmological Gas Accretion and Galactic Outflows 47.049 AST-1312095 297,314 -

The accompanying notes are an integral part of this schedule.

55 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Understanding Supernovae for Cosmology and for Themselves 47.049 AST-1211196 222,641 - Understanding Supernovae for Cosmology and for Themselves 47.049 AST-1516854 6,433 - Unraveling Reactions Mechanisms on Au-titania Nanostructures: Probing Interface Effects 47.049 CHE-0956653 (102) - Visualizing flagella while tracking bacteria 47.049 PHY-1057408 84,123 - Subtotal of 47.049 47.049 20,113,197 2,561,833 A window on ancient systems: Understanding the environmental distributions of hopanoids using compound-specific multi-isotope analysis and metagenomics 47.050 EAR-1349126 118,079 - Anthropogenic Influence on Oxidative Capacity and BVOC Oxidation During GoAmazon 2014 47.050 AGS-1628491 102,906 - Atmospheric blocking: dynamics and responses to climate change 47.050 AGS-1552385 88,443 - Ca Isotope Variations in Oceanic Basalts 47.050 EAR-1144727 26,311 - CAREER: Quantifying the flux and isotope effects associated with sulfur-bearing intermediate species within dissimilatory sulfate reduction 47.050 EAR-1149555 104,040 - Collaborative Research: Combined Influence of Snow Cover and El Nino/Southern Oscillation (ENSO) on North African/Mediterranean Temperature and Precipitation 47.050 AGS-1303604 36,580 - COLLABORATIVE RESEARCH: Calibrating the Cryogenian in the Yukon 47.050 EAR-1148058 12,073 - Collaborative Research: Characterization of Microbial Transformations in Basement Fluids, from Genes to Geochemical Cycling 47.050 OCE-1061934 (5,197) - Collaborative Research: Coupled Ocean-Atmosphere Recycling of Refractory Dissolved Organic Carbon in Seawater 47.050 OCE-1536608 46,170 - Collaborative research: Deep eastern ocean boundary currents from local submesoscale potential vorticity dynamics to global climate implications 47.050 OCE-1535800 112,688 - Collaborative Research: Developing a Three-Dimensional Seismic Reference Earth Model (REM-3D) in Collaboration with the Community 47.050 EAR-1345101 7,690 - Collaborative Research: Do symmetric and asymmetric segments on the Mid-Atlantic Ridge have distinct geochemical signatures 47.050 EAR-1061264 130,046 - Collaborative Research: Ecosystem dynamics of Western Pacific hydrothermal vent communities associated with polymetallic sulfide deposits 47.050 OCE-1536653 132,449 - Collaborative Research: Experimental calibration of the isotopic content of marine sulfate 47.050 OCE-1536574 30,776 - Collaborative Research: Functional evolution of the mammalian backbone; insights from the forerunners of mammals 47.050 EAR-1524523 104,603 - Collaborative Research: Isotopic Fractionation in Snow (IFRACS) 47.050 AGS-1260380 135,261 - Collaborative Research: Oxygen, ecology and the Cambrian Radiation of Animals 47.050 EAR-1325128 1,678 - Collaborative Research: P2C2--ICE age Chemistry And Proxies (ICECAP) Phase 2 47.050 AGS-1102880 20,489 - Collaborative Research: P2C2--Recent Northeastern United States Temperature Records in the Context of the Late Holocene 47.050 AGS-1460795 62,042 - Collaborative Research: Phylogenomics of palaeognathous birds and the genomic basis of flightlessness 47.050 1355343 186,278 20,625 Collaborative Research: Quantifying Greenhouse Gas Emissions in Urban Areas 47.050 AGS-1265614 26,296 - Collaborative Research: Science Observation with BICEP3 CMB Polarization Experiment 47.050 PLR-1313287 149,771 - Collaborative research: Sea level responses to sediment erosion and deposition over the past 3 million years 47.050 EAR-1527351 5,211 - Collaborative research: Sea-level variability during the Common Era 47.050 OCE-1458907 48,534 - COLLABORATIVE RESEARCH: Testing proposed rapid true polar wander in the Neoproterozoic Zavkhan Volcanics of Mongolia and the Banxi Group of South China 47.050 EAR-1547537 4,497 - COLLABORATIVE RESEARCH: The role of iron-oxidizing bacteria in the sedimentary iron cycle: ecological, physiological and biogeochemical implications 47.050 OCE-1459252 131,391 - CSEDI Collaborative Research: Anelastic properties of the Earth from seismic to tidal timescales 47.050 EAR-1464033 68,957 - DESCEND2: A workshop to address the future of deep sea research 47.050 OCE-1551838 74,477 - Directly quantifying the isotopic fractionation associated with the key enzymes in microbial sulfate reduction 47.050 EAR-1225980 6,894 - EAGER: Development of a Novel Double-resonance Fiber-laser-induced Fluorescence Instrument for Long-term, High-sensitivity, Interference-free Measurements of Hydroxyl Radical (OH) 47.050 AGS-1625380 38,639 - EAGER: Evaluating the efficacy of the DSV-2 Alvin in scientific operations via a scientific verification cruise (SVC) 47.050 OCE-1360660 16,489 - FESD Type I: VOICE - Volcano, Ocean, Ice, and Carbon Experiments 47.050 AGS-1338832 593,073 219,548 Field and Laboratory Study of Rural Volatile Organic Compounds (VOCs) Oxidation and Secondary Organic Aerosol (SOA) Formation Utilizing Measurements of Formaldehyde and Glyoxal 47.050 AGS-1628530 88,996 - Hydrologic controls on temperature extremes in managed landscapes 47.050 EAR-1521210 85,996 - Immunotoxicity in Humans with Lifetime Exposure in Ocean Pollutants 47.050 OCE-1321612 124,725 83,001 INSPIRE Track 1: Microbial Sulfur Metabolism and its Potential for Transforming the Growth of Epitaxial Solar Cell Absorbers 47.050 OCE-1344241 232,209 - Inuit Collaborative Workshop in Preparation for the Smithsonian Exhibit 47.050 1551190 10,585 - Long-Term Human Ecodynamics in Coastal Peru: A Case Study of Polar-Tropical Teleconnections 47.050 PLR-1152156 7,949 - Materials physics of rapidly sheared faults and consequences for earthquake rupture dynamics 47.050 EAR-1315447 42,828 - MRI: Acquisition of Mesoscale Network of Surface Sensors and Solar-tracking Spectrometers 47.050 AGS-1337512 170 - P2C2: Paleo Perspectives on Temperature Extremes 47.050 AGS-1304309 66,189 - RAPID: Formaldehyde Measurements as Tracer of Local Processing of Reactive Volatile Organic Carbon During the Atmospheric Measurements of Oxidants in Summer Study 47.050 AGS-1643306 46,381 - Semisolidity and Reactivity of Atmospheric Organic Aerosol Particles 47.050 AGS-1249565 85,187 - Statistical State Dynamics of Turbulent Systems 47.050 AGS-1246929 123,141 - Studies of Mantle Dynamics and Evolution 47.050 EAR-1215061 8,622 - Thermo-Mechanics and Hydrology of Western Antarctic Ice Stream Margins 47.050 PLR-1341499 67,484 40,609 Travel Support for Young Scientists to Attend the 7th International GEOS-Chem Meeting (IGC7) held at Harvard University; Cambridge, MA; May 4-7, 2015 47.050 AGS-1459489 8,424 - Subtotal of 47.050 47.050 3,616,520 363,783 21st International Conference on DNA Computing and Molecular Programming 47.070 CCF-1514883 10,567 - AF: Large: Collaborative Research: Algebraic Proof Systems, Convexity, and Algorithms 47.070 CCF-1565264 6,787 - AF: Medium: Algorithmic Complexity in Computation and Biology 47.070 CCF-1509178 111,360 - AF: Medium: Algorithmic Crowdsourcing Systems 47.070 CCF-1301976 297,836 - AF: Small: Algebraic Tools for Coding, Complexity and Combinatorics 47.070 CCF-1565641 73,743 - AF: Small: Data Synchronization : Theory, Algorithms, and Practice 47.070 CCF-1320231 49,232 - AF:Chaining methods and their applications to computer science 47.070 CCF-1618373 300 - AF:Small:Pseudorandomness for Space-Bounded Computation and Cryptography 47.070 CCF-1420938 203,733 - BIGDATA: F: DKA: Randomized methods for high-dimensional data analysis 47.070 IIS-1447471 69,953 - BIGDATA: IA: DKA: Collaborative Research: High-Throughput Connectomics 47.070 IIS-1447344 280,783 - BSF:2014389: Networked Markets 47.070 CCF-1540428 6,474 - CAREER: Algorithmic Foundations for Social Data 47.070 CCF-1452961 27,271 - Career: Evolutionary Data Systems 47.070 IIS-1452595 89,406 - CAREER: Foundations of Markets as Information Aggregation Mechanisms 47.070 CCF-0953516 (8) -

The accompanying notes are an integral part of this schedule.

56 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

CAREER: Practical, expressive, language-based information security 47.070 CCF-1054172 120,692 - CAREER: Programming Nucleic Acids Self-Assembly 47.070 CCF-1054898 67,650 - CAREER: Quantifying diffusion and dynamics on healthcare, innovation and communication networks 47.070 IIS-1149662 56,179 - CAREER: Sketching Algorithms for Massive Data 47.070 CCF-1350670 54,470 - CER: Factors Influencing College Success in Information Technology (FICSIT) 47.070 CNS-1339200 169,968 19,436 CGV: Medium: Collaborative Research: Understanding Translucency: Physics, Perception and Computation 47.070 IIS-1161564 189,018 - CGV:Small:Collaborative Research:From Virtual to Real 47.070 IIS-1116619 (532) - CIF: Small: Sampling and Inference Methods for Spatiotemporal Single-Photon Imaging 47.070 CCF-1319140 98,416 - Citation++: Data citation, provenance, and documentation 47.070 ACI-1448123 56,793 - Collaborative Research: Molecular Programming Architectures, Abstractions, Algorithms, and Applications 47.070 CCF-1317291 325,267 38,881 CPS: Synergy: Multi-Robot Cyberphysical System for Assisting Young Developmentally-Delayed Children in Learning to Walk 47.070 CNS-1329363 270,067 130,483 CPS: TTP Options: Synergy: Human-Machine Interaction with Mobility Enhancing Soft Exosuits 47.070 CNS-1446464 288,832 75,129 CSR: Medium: Collaborative Research: The Commutativity Rule for Scalable System Software 47.070 CNS-1302359 147,583 - CSR: Medium: Collaborative Research: Workload-Aware Storage Architectures for Optimal Performance and Energy Efficiency 47.070 CNS-1302334 118,208 - Deep Annotation: Measuring Human Vision to Improve Machine Vision 47.070 IIS-1409097 175,443 - DIP: Collaborative Research: Social Robots as Mechanism for Language Instruction, Interaction, and Evaluation in Pre-School Children 47.070 IIS-1123085 (896) - HCC: Medium: Collaborative Research: Data-Parallel Hash Tables: Theory, Practice and Applications 47.070 IIS-0964473 (18,757) - HCC:Large:Collaborative Research: Beyond Flat Images: Acquiring, Processing, and Fabricating Visually Rich Material Appearance 47.070 IIS-1012454 (16,178) - ICES: Small: Using Web Crawling and Complex Network Analysis to Understand Institutional Activity and Connectivity 47.070 CCF-1216028 4,057 - III: Medium: Design and analysis of experiments on networked populations 47.070 IIS-1409177 201,865 - INDP: Collaborative Research: Coding for All: Interest-Driven Trajectories to Computational Fluency 47.070 IIS-1348898 100,704 - NRI-Large: Collaborative Research: Soft Compliant Robotic Augmentation for Human-Robot Teams 47.070 IIS-1226075 96,067 - NRI-Small: Rapid on site development of soft disposable robots 47.070 IIS-1317744 148,783 - NRI: Instructional Materials for Soft Co-Robot Design to Improve Motivation and Learning in STEM Classrooms 47.070 IIS-1526327 61,913 - NSF Expeditions in Computing PI Meeting 47.070 CCF-1339709 (468) (468) RI: Large: Collaborative Research: Reconstructive Recognition: Uniting statistical scene understanding and physics-based visual reasoning 47.070 IIS-1212928 101,020 55,410 RI: Medium: Collaborative Research: Novel microLIDAR Design and Sensing Algorithms for Flapping-Wing Micro-Aerial Vehicles 47.070 IIS-1514306 87,864 - RI: Small: Parallel Methods for Large-Scale Probabilistic Inference 47.070 IIS-1421780 8,836 - Scalable Bayesian Inference for Interpretable Time-Series Models 47.070 ACI-1544628 73,666 - SHF: Medium: Collaborative Research: Principled Optimizing Compilation of Dependently Typed Languages 47.070 CCF-1407790 (30,104) - SHF: Small: Collaborative Research: Reusable Tools for Formal Modeling of Machine Code 47.070 CCF-1217891 32,438 - SHF: Small: Exploration of energy-optimized computing architectures using integrated voltage regulators 47.070 CCF-1218298 114,865 - SHF: Small: Higher-order Contracts for Distributed Applications 47.070 CCF-1421770 111,158 - SHF:Medium:Collaborative Research:Scaling Up Programmable and Algorithmic DNA Self-Assembly 47.070 CCF-1162459 51,172 - SI2-SSI: Collaborative Research: Bringing End-to-End Provenance to Scientists 47.070 ACI-1450277 148,075 - STAR Metrics Workshop on Software and Data Citation and Attribution 47.070 1621324 19,007 - TWC: Frontier: Privacy Tools for Sharing Research Data 47.070 CNS-1237235 1,367,133 55,957 TWC: Large: Collaborative: Computing Over Distributed Sensitive Data 47.070 CNS-1565387 2,797 - TWC: Medium: Collaborative: Privacy-Preserving Distributed Storage and Computation 47.070 CNS-1228598 138,540 - TWC: Small: Language-level Control of Authority 47.070 CNS-1524052 25,424 - Workshop on Formal Methods for Security (November 2015) 47.070 CNS-1551249 60,289 - XPS: FULL: CCA: Collaborative Research: Automatically Scalable Computation 47.070 CCF-1438983 40,375 - XPS: FULL: CCA: Collaborative Research: Automatically Scalable Computation 47.070 CCF-1533737 57,635 - Subtotal of 47.070 47.070 6,352,771 374,828 ADOLESCENT AND ADULT OUTCOMES OF EARLY LIFE LACTOCRINE PROGRAMMING OF TEMPERAMENT: NEUROENERGETICS AND SOCIAL BEHAVIOR 47.074 IOS-1456174 184,978 178,478 Biogeographic and ecological diversification of trees across the Indonesian archipelago: developing indigenous leadership in biodiversity informatics 47.074 DEB-1020868 225,977 - BRAIN EAGER: Functional dynamics of whole brain activity, behavior, and development from birth to adulthood 47.074 IOS-1452593 23,385 - CAREER: Developmental network architecture underlies patterning precision and robustness 47.074 1452557 85,574 - CAREER: Insect Flight in Turbulent Environments 47.074 IOS-1253677 67,924 - CAREER: Scalable Computational Models for Mulicellular Systems Biology 47.074 DBI-1053486 58,618 - CAREER:Quantitative principles of multi-input signaling in eukaryotic cells 47.074 MCB-1349248 116,692 - Collaborative Proposal: A New Model for Chemical Ecology: Integrating Chemistry, Genetics and Behavior to Understand the Role of Individual Scent in a Colonial Nesting Seabird 47.074 IOS-1258784 196,569 - Collaborative Research and NEON: MSB Category 2: PalEON - a PaleoEcological Observatory Network to Assess Terrestrial Ecosystem Models 47.074 EF-1535623 90,727 29,794 Collaborative Research: A Functional Perspective on Adaptive Radiation: Explaining Differences in the Adaptive Radiations of Mainland and Island Anolis Lizards 47.074 IOS-1354620 19,858 - Collaborative Research: ABI Development: Kurator: A Provenance-enabled Workflow Platform and Toolkit to Curate Biodiversity Data 47.074 DBI-1356438 238,539 - COLLABORATIVE RESEARCH: AN INTEGRATIVE APPROACH TO THE PERFORMANCE AND EVOLUTION OF HIGH PERFORMANCE SUCTORIAL DISKS IN FISHES 47.074 IOS-1257946 95,109 - Collaborative Research: Continental-Scale Monitoring, Modeling and Forecasting of Phenological Responses to Climate Change 47.074 EF-1065029 378,136 60,712 Collaborative Research: Digitization TCN: Fossil Insect Collaborative: A Deep-Time Approach to Studying Diversification and Response to Environmental Change 47.074 DBI-1304992 159,535 - Collaborative Research: Digitization TCN: InvertEBase: Reaching Back to See the Future: Species-rich Invertebrate Faunas Document Causes and Consequences of Biodiversity Shifts 47.074 EF-1401450 18,220 - Collaborative Research: Digitization TCN: Mobilizing New England Vascular Plant Specimen Data to Track Environmental Changes 47.074 EF-1208835 386,455 - Collaborative Research: Environmental and Internal Influences on the Activities of the Clavin- and Reductive Citric Acid Cycles in Hydrothermal Vent Symbiosis Riftia pachyptila 47.074 IOS-1257755 11,806 - Collaborative Research: forecasting and Forestalling Tipping Points in an Aquatic Ecosystem 47.074 DEB-1144056 37,703 - Collaborative Research: IDBR: TYPE A: Development of Squishy Robot Hands for a Delicate, Effective and Non-Intrusive Approach to Studying Deep Coral Reefs 47.074 DBI-1556164 4,707 - Collaborative Research: Interacting influences of climate, land use, and other disturbances on regime shifts in forest ecosystems: Holocene dynamics in the northeastern US 47.074 DEB-1146207 186,273 18,639 Collaborative Research: Meeting: Vascular Transport in Plants - Research Frontiers and Priorities (Washington, DC March 2015) 47.074 IOS-1445226 214 -

The accompanying notes are an integral part of this schedule.

57 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Collaborative Research: Phylogeny and diversification of the orb weaving spiders (Araneae) 47.074 DEB-1457539 250,788 - Collaborative Research: Phylogeny and Floral Evolution of Malpighiaceae 47.074 DEB-1355064 103,884 - Collaborative Research: Physiology of Long Distance Assimilate Transport 47.074 IOS-1456845 75,932 - Collaborative Research: The Aquilegia Petal as a Model for the Elaboration and Evolution of Organ Shape 47.074 IOS-1456217 141,035 - Collaborative Research: The Genetics of Convergence at Multiple Levels: Evolution of Colorful Dewlaps in Anolis 47.074 DEB-1119731 57,046 - Collaborative Research: Understanding the potential for a climate change-driven critical transition from forest to chaparral 47.074 DEB-1353301 143,136 - Comparative Genomics of a Species Radiation: Sequencing the Apple Tribe 47.074 IOS-1416825 99,355 - Computational rapid identification and putative characterization of understudied microbial community gene products 47.074 MCB-1453942 114,048 - Damage Sensing and Processing by the Bacterial Nucleotide Excision Repair Pathway 47.074 MCB-0918161 (104) - Developmental Mechanisms of Beak Shape Evolution in Galapagos Finches 47.074 IOS-1257122 42,148 - Digitization PEN: Facilitating a Shared Image Library and Occurrence Database for Ants of the Southwest as Part of the SCAN TCN 47.074 DBI-1305024 20,177 - Digitization TCN: Collaborative Research: North American Lichens and Bryophytes: Sensitive Indicators of Environmental Quality and Change 47.074 EF-1114957 33,938 - Digitization TCN: Collaborative: The Microfungi Collections Consortium: A Networked Approach to Digitizing Small Fungi with Large Impacts on the Function and Health of Ecosystems 47.074 DBI-1502767 1,687 - DIMENSIONS: Collab. Res: The climate cascade: functional and evolutionary consequences of climatic change on species, trait, and genetic diversity in a temperate ant community 47.074 DEB-1136646 138,554 - Dimensions: Collaborative Research: Functional Diversity of Microbial Trophic Guilds Defined Using Stable Isotope Ratios of Proteins 47.074 DEB-1136484 26,853 - DIMENSIONS: COLLABORATIVE RESEARCH: The phylogenetic and functional diversity of extracellular electron transfer across all three domains of life 47.074 DEB-1542506 11,141 - Dissecting the Molecular Mechanisms Underlying Organization of the Bacterial Chromosome 47.074 MCB-1148818 145,079 - DISSERTATION RESEARCH: Evolution of Angiosperm Seed Development: perspectives from Nymphaea thermarum (Nymphaeales) 47.074 DEB-1500963 744 - DISSERTATION RESEARCH: Evolutionary Dynamics in Rapidly Evolving Populations 47.074 DEB-1501580 19,896 - DISSERTATION RESEARCH: Exploring convergence within pitcher plant microcosms 47.074 DEB-1400982 11,916 - DISSERTATION RESEARCH: Mapping the Molecular Basis of Pleiotropy Across Diverse Environmental Conditions 47.074 DEB-1501657 21,401 - Dissertation Research: Molecular mechanisms underlying striking craniofacial variation in New World Leaf-Nosed bats (Phyllostomidae) 47.074 DEB-1501690 3,660 - DISSERTATION RESEARCH: Temperature-Dependent Biogeography and Limits of Thermal Tolerance in Anolis carolinensis 47.074 DEB-1311484 (3) - DISSERTATION RESEARCH: The phylogenetic consequences of mutualism and antagonism in the coevolution of palm flower weevils 47.074 DEB-1601356 1,367 - DISSERTATION RESEARCH: Validation of positive selection on gene regulation at the genome-wide scale 47.074 DEB-1401237 14,365 - EAGER-NEON: Scaling up terrestrial plant phenology from individuals to Continental scale 47.074 DEB-1550740 14,027 - EAGER: Creating Gene Network Prediction Tools Applicable to Plants and Animals 47.074 IOS-1257554 12,912 - ERA SynBio: A Unified Nucleic Acid Computation System (UNACS) for Organisms 47.074 MCB-1540214 141,380 - ERASynBio: Intensification of the Synthetic Biology Design Cycle 47.074 MCB-1445570 12,790 - Filtered Push: Continuous Quality Control for Distributed Collections and Other Species-Occurrence Data 47.074 DBI-0960535 (10,328) 2,452 Floral development, conservation genetics, and horizontal gene transfer in the world's largest flowers, Rafflesiaceae 47.074 DEB-1120243 86,046 - FSML: Walk-up towers for research, education, communication, and outreach at the Harvard Forest 47.074 DBI-1224437 9,969 - Functional significance of the competition between vapor and liquid transport in transpiring leaves 47.074 IOS-1456836 72,137 - HFR LTER V: New Science, Synthesis, Scholarship, and Strategic Vision for Society 47.074 DEB-1237491 900,161 232,170 Ideas Lab Collaborative Research: Using natural odor stimuli to crack the olfactory code 47.074 IOS-1555914 798 - Inductive Mechanisms in Arthropod Germ Line Specification 47.074 IOS-1257217 130,717 - Microbial control of carbon fixation 47.074 MCB-1409586 133,545 - Molecular basis of developmental variation in Arabidopsis arenosa 47.074 IOS-1146465 30,285 - Physiological adaptations for a deadly diet: bioaccumulation mechanisms of defensive chemicals in a poison frog 47.074 IOS-1557684 30,603 - RCN-SEES: Integrating Land-Use Scenarios, Ecosystem Services, and Linkages to Society (Scenarios, Services, and Society - S3) 47.074 DEB-1338809 165,102 - RCN: EDEN (Evo-Devo-Eco Network): A research coordination network to promote technique and community development across the Evo-Devo-Eco field 47.074 IOS-0955517 56,427 - RCN: MicroMORPH: Microevolutionary Molecular and Organismic Research in Plant History 47.074 DEB-1449863 78,161 - Resources for mixed model association mapping of complex traits 47.074 1349449 118,358 - REU Site: A forest full of Big Data: the Harvard Forest Summer Research Program in Ecology 2015-2019 47.074 DBI-1459519 125,062 - REU Site: Cellular and Molecular Biology and Genetics 47.074 DBI-1263215 64,413 - The distributed regulatory network that integrates local and systemic signals to regulate heat shock response 47.074 MCB-1413134 311,887 - The interplay of genes and ecology in the social behavior of a halictid bee 47.074 IOS-1257543 78,108 - Theoretical and Experimental Study of Functional Association of Proteins 47.074 MCB-1243837 58,127 - Subtotal of 47.074 47.074 6,685,729 522,245 2014 Cooperative Election Study 47.075 SES-1430505 305,010 222,990 2016 Cooperative Congressional Election Study 47.075 SES-1559125 29,344 - A Life History Perspective on Social Integration after Prison 47.075 SES-1424089 66,005 - A new history and geography of human genes informed by ancient DNA 47.075 BCS-1032255 509,775 60,871 CAREER: Dynamic Decision Theory and Bounded Rationality 47.075 SES-1255062 66,844 - CAREER: Flexible Resource Allocation and Efficient Coding in Human Vision 47.075 BCS-0953730 32,393 - CAREER: Psychological and Neurodevelopmental Mechanisms of Social Influence on Adolescent Decision-Making 47.075 BCS-1452530 119,022 - CAREER: The Developmental Origins of Human Cooperation 47.075 BCS-1253676 115,445 - CAREER: Using Field Experiments to Identify Barriers to Labor Market Success and Human Capital Accumulation 47.075 SES-1454476 26,838 - Catalyzing a Cross-disciplinary, Cross-university Urban Research Agenda in the Age of Digital Data 47.075 SMA-1338446 118,116 - Cleaning, Organizing, and Uniting Linguistic Databases (the COULD project) 47.075 SMA-1429961 1,926 - Collaborative Research: A New Design for Identifying Persuasion Effects and Selection in Media Exposure Experiments via Patient Preference Trials 47.075 SES-1526953 49,952 - Collaborative Research: Center for Historical Information and Analysis (CHIA) 47.075 BCS-1244667 6,686 - Collaborative Research: Experimental Research on Religious Scripture and Political Behavior in the Muslim World 47.075 SES-1324157 33,573 - Collaborative Research: The Psychological Difficulties and Benefits of Deliberative Reflection 47.075 BCS-1423755 58,622 - Collaborative Research: Typology and Theory of Anaphora 47.075 BCS-1424054 37,253 - Conference on the Cognitive Penetrability of Perception 47.075 SES-1353782 9,229 - Cooperative Congressional Election Study, 2012 to 2016 Panel Survey 47.075 SES-1154420 (1) - DDR: The Process and Consequence of the Work of 911 Dispatchers 47.075 SES-1539822 5,776 - Doctoral Dissertation Improvement Grant: Social Adaptation In Cross Cultural Contexts 47.075 BCS-1444994 179 - Doctoral Dissertation Improvement Grant: Sociopolitical Complexity in Northern Mesopotamia 47.075 BCS-1405344 3,596 - Doctoral Dissertation Improvement: Growth, immune function, and the energetics of childhood 47.075 BCS-1340958 11,403 - Doctoral Dissertation Research in Economics: The Effect of the Minority Introduction to Engineering and Science (MITES) Program 47.075 SES-1260898 13,452 -

The accompanying notes are an integral part of this schedule.

58 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Doctoral Dissertation Research: A Legal Anthropological Analysis of Secularism and Religious Freedom 47.075 BCS-1322939 3,479 - Doctoral Dissertation Research: Impacts of maternal disease ecology on milk immunofactors and infant immune system development 47.075 BCS-1455455 3,450 - Doctoral Dissertation Research: The Rise of Iron in the Land of the Golden Fleece: The Technology and Organization of Metal Production in Late Bronze Age and Early Iron Age Colchis 47.075 BCS-1338893 6,203 - Dynamic Choice in an Uncertain World 47.075 SES-1258665 69,275 - Emergent Forms of Expression in Postsocialist Contexts 47.075 BCS-1420937 63,899 - Endangered species as food; interdisciplinary approaches to stemming biodiversity loss and food security 47.075 1557834 92,532 - Erbil Plain Archaeological Survey 47.075 BCS-1261118 36 - IBSS: Global Urbanization and Housing Affordability: Poverty, Property, and the City 47.075 SMA-1520103 99,378 - Identifying cross-disciplinary pathways to translational science 47.075 SMA-1360042 49,859 - INSPIRE:Executive Function and Conceptual Change 47.075 BCS-1247396 195,213 - Life in the Gray Zone: Governance of New Biology in Europe, South Korea, and the United States 47.075 SES-1058762 58,686 - Preferences in Matching Market Design 47.075 SES-1459912 49,183 - RAPID: Characterizing El Nino Runoff And Sedimentation in Small Drainage Basins: A Geoarcheological Study 47.075 BCS-1611881 7,681 - RAPID: Measuring the Intent of Leaders through Censorship Behavior 47.075 SES-1500086 186,877 51,287 Resolving Pliocene and Pleistocene Hominin Ontogeny With Synchrotron Virtual Histology 47.075 BCS-1126470 2,693 - Standard Research Grant: A Comparitive Study of Three Models of Innovation in Their Transnational Implementation 47.075 SES-1457011 94,017 - Standard Research Grant: The Fukushima Disaster and the Politics of Nuclear Power in the United States and Japan 47.075 SES-1257117 31,118 - Statistical decisions and policy choice 47.075 SES-1354144 35,624 - Statistical Methods for Causal Inference in Geographic Regression Discontinuity Designs 47.075 SES-1461435 11,002 - Subject Preference and Ergativity 47.075 BCS-1144223 5,309 - The developmental genetic basis for evolutionary variation in the hominin shoulder 47.075 BCS-1518596 25,073 8,823 The Effects of Sadness Versus Gratitude on Economic Decision Making and Addictive Behavior 47.075 SES-1559511 54,386 - The Psycholinguistics of Morality 47.075 SMA-1513815 78,608 - Subtotal of 47.075 47.075 2,844,019 343,971 Bringing Team-Based, Project-Based Learning to Scale 47.076 DUE-1504664 19,260 - CAREER: Learning About Complex Causality in the Classroom 47.076 DRL-0845632 55,340 - CAREER: Soft Robotics for Upper Extremity Rehabilitation 47.076 CBET-1454472 30,651 - CAREER:Statistical Modeling of Single Cell States Informative 47.076 1452964 114,568 - Collaborative Research: Innovative Technology-Enabled Astronomy for Middle Schools II (TEAMS II) 47.076 DRL-1433431 149,503 89,613 Collaborative Research: Thinking Spatially About the Universe- A Physical and Virtual Model for Middle School Science 47.076 DRL-1503395 264,951 34,877 Collective Robotics for Life Scientists 47.076 DUE-1353236 1,486 - Core Systems for Learning Mathematics 47.076 DRL-1348140 202,092 - Developing Common Core Classrooms Through Rubric-Based Coaching 47.076 DRL-1348144 409,277 53,306 EAGER: Assessing Established and Alternative Citation, Attribution and Impact Metrics for Scientific Software through Data Mining and Direct Tracking Methods 47.076 ACI-1448069 123,855 - EAGER: Student Outcomes in a Computer Science MOOC (SOCSMOOC) 47.076 DUE-1352696 118,746 11,191 EcoMOBILE: Blended real and virtual immersive experiences for learning complex causality and ecosystems science 47.076 DRL-1118530 392,085 - EcoXPT: Affordances for experimentation in an immersive world to support the learning of ecosystem science and complex causality 47.076 DRL-1416781 744,288 25,469 Effects of ADVANCE in the STEM Disciplines: Faculty Diversity, Women in Leadership, and Institutional Transformation 47.076 DGE-1444586 42,936 - Exploring Methods for Improving Teachers' Mathematical Quality of Instruction 47.076 DRL-1221693 68,207 18,461 Graduate Research Fellowship Program 47.076 DGE-1144152 10,912,459 - Investigating the Effect of Professional Development, Mathematical Knowledge for Teaching, and Instruction on Student Outcomes 47.076 DRL-0918383 503,823 155,540 IUSE: A Pedagogical Framework for Undergraduate Project-Based Engineering Design Courses 47.076 DUE-1524902 101,697 - MOSART HSLS: Misconceptions Oriented Standards-based Assessment Resource for Teachers of High School Life Science 47.076 DRL-1316645 483,375 - Outcome Predictions of Students in Massive Open Online Courses (OPSMOOC) 47.076 DRL-1337166 59,101 - Outreach Programs and Science Career Intentions (OPSCI) 47.076 DUE-1161052 341,129 - Professional Development Models and Outcomes for Science Teachers (PDMOST) 47.076 DRL-1417438 333,552 97,646 Strengthening the Research Base that Informs STEM Workforce and Curriculum Improvement Efforts 47.076 DRL-1348669 167,909 - SURVEY OF U.S. MIDDLE SCHOOL MATHEMATICS TEACHERS AND TEACHING 47.076 DRL-1417731 1,282,295 535,646 Visualizing Protein Interactions and Dynamics: Evolving a visual language to support learning in undergraduate science education 47.076 DUE-1220512 179,739 81,299 Subtotal of 47.076 47.076 17,102,324 1,103,048 Collaborative Research: Evaluating the Competing Impacts of Global Emissions Reductions and Climate Change on the Distribution and Retention of selected POPs in the Arctic Ocean 47.078 1203496 54,059 - Collaborative Research: Imaging the Beginning of Time from the South Pole: Observations with the Full SPUD Array 47.078 PLR-1145172 872,696 378,939 COLLABORATIVE RESEARCH: METHYLMERCURY INTERACTIONS WITH MARINE PLANKTON 47.078 ANT-1260464 54,139 - Subtotal of 47.078 47.078 980,894 378,939 National Science Foundation - BIGDATA: Mid-Scale: ESCE: DCM: Collaborative Research: DataBridge - A Sociometric System for Long-tail Science Data Collections 47.080 OCI-1247602 92,368 - CDI Type II: Bridging the Computational Semantic Gap: A Demand-Driven Framework for Portal-Based Chemistry, Astronomy and Neurobiology 47.080 OIA-1125087 181,096 - Subtotal of 47.080 47.080 273,464 -

The accompanying notes are an integral part of this schedule.

59 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

An integrated study of the biogeochemical cycling and human health implications of In, Ga, Ge, and Te, elements critical to emerging energy technologies 47.081 1215894 95,998 6,277 Subtotal of 47.081 47.081 95,998 6,277 Thermal Decomposition/incineration of Nano-Enabled Productos (NEPs): Environmental Health and Safety Implications 47.Contract 1436450 179,090 - Subtotal of 47.Contract 47.Contract 179,090 - Total National Science Foundation 61,119,395 5,654,924 Total Research and Development Cluster Direct Award 515,384,247 122,876,726

Pass-through Program Agency for International Development College of William & Mary - Transparency in the Distribution of Food Aid: Two Social Experiments in Indonesia 98.001 740681-V 36,413 - International Medical Corps - Building a Better Response: Strengthening Non-Governmental Organization (NGO) Capacity and Engagement in the International H 98.001 AID-OFDA-A-12-00002/2017 388,963 82,457 Tufts University - Feed the Future Innovation Lab for Collaborative Research on Nutrition - Africa 98.001 AID006 54,385 - Tufts University - Feed the Future Innovation Lab for Collaborative Research on Nutrition - Asia 98.001 AID-OAA-L-10-00005 150,891 49,013 Subtotal of 98.001 98.001 630,652 131,470 University of Washington - Evaluating antiretroviral (ARV)-based prevention In HIV-1 serodiscordant couples In Kenya and Uganda 98.Contract UWSC7068 64,197 - Subtotal of 98.Contract 98.Contract 64,197 - South Africa Partners, Inc. - Albertina Susulu Executive Leadership Program in Health (ASELPH) 98.Unknown AID-674-A-13-00002 76,146 - University Research Co., LLC - Applying Science to Strengthen and Improve Systems (ASSIST) 98.Unknown FY13-S04-8800-00 301,426 - University Research Co., LLC - Translating Research into Action (TRAction) 98.Unknown FY10-S01-6990 422,318 - Subtotal of 98.Unknown 98.Unknown 799,890 - Total Agency for International Development Sub Award 1,494,739 131,470 Central Intelligence Agency University of Illinois at Urbana - Champaign - 3D Printing of Novel Devices Integrating Multiple Functional Materials 99.Unknown 2012-03669-01 (803) - Subtotal of 99.Unknown 99.Unknown (803) - Total Central Intelligence Agency Sub Award (803) - Department of Agriculture Duke University - A pilot program to increase selection of frequently consumed healthier SNAP-eligible ready to heat foods 10.253 343-0550 17,971 2,293 Subtotal of 10.253 10.253 17,971 2,293 University of New Hampshire - Cracking the code of a northern forest carbon cycle: an integrated analysis using data, models and assessment of uncertainties 10.652 15-055 363 - Subtotal of 10.652 10.652 363 - Woods Hole Research Center - Integrated Belowground Greenhouse Gas Flux Measurements and Modeling 10.Unknown WHRC-EGO566-01 54,653 - Subtotal of 10.Unknown 10.Unknown 54,653 - Total Department of Agriculture Sub Award 72,987 2,293 Department of Commerce Massachusetts Institute of Technology - High Productivity on a Coastal Bank: Physical and Biological Interactions 11.417 5710003631 24,615 - Subtotal of 11.417 11.417 24,615 - University of Texas - Austin - South West Academy of Nanoelectronics (SWAN) 2.0 11.Unknown UTA13-000445 269,041 - Subtotal of 11.Unknown 11.Unknown 269,041 - Total Department of Commerce Sub Award 293,656 - Department of Defense University of Pittsburgh - Stimuli Responsive, Reloadable, Drug Eluting, Smart Hydrogels for Graft Targeted Immunosuppression in Vascularized Composite Allotransplantation 12.240 0046763 (411417-1) 87,505 - Subtotal of 12.240 12.240 87,505 - Columbia University - Imaging how a neuron computes 12.300 1 (GG008784) 71,945 - Drexel University - Fish Fins as Multifunctional Propulsive and Sensory Systems for Autonomous Operations in the Complex Underwater Environment 12.300 N00014-Harvard 564 - Drexel University - Neuromechanics of sensory-mediated gait control in fish swimming 12.300 204135-Harvard 105,852 - Massachusetts Institute of Technology - Provably-Stable Vision-Based Control of High-Speed Flight through Forest and Urban Environments 12.300 5710002910 174,783 - Naval Research Laboratory - Innervated Blood-Brain-Barrier Tissue for the Study of Neuroinvasion by VEEV 12.300 N00173-16-2-C007 423,275 - Princeton University - MURI: Slippery Liquid-Infused Porous Surfaces (SLIPS) for Turbulent Drag Reduction at High Reynolds Number 12.300 2060 159,266 - Regents of the University of California - Santa Barbara - Dielectric Enhancements For Innovative Electronics 12.300 KK1132 (9,649) - Regents of the University of Minnesota - Roll-to-Roll, High Speed Printing of Multi-functional, Distributed Sensor Networks for Enhancing the Brain-Machine Interface 12.300 A002181206-DOD35CAP 62,753 - Trustees of Boston University - Utilizing Synthetic Biology to Create Programmable Micro-Bio-Robots 12.300 4500000551 114,980 - University of Pennsylvania - Large Area 3D Optical Metamaterials with Turnability and Low Loss 12.300 555991 162,810 - University of Pittsburgh - Nanoscale Terahertz, Infrared and Plasmonics Platform Using Graphene - Complex Oxide Heterostructures 12.300 0035700 (409185-1) 5,035 - University of Pittsburgh - Nanoscale Terahertz, Infrared and Plasmonics Platform using Graphene-Complex Oxide Hetereostructures 12.300 0035700(409185-5) 315,293 - University of Tennessee - Assessing the Potential Consequences of Subsurface Bioremediation: Fe-Oxide Bioreductive Processes and the Propensity for Contaminant-Colloid Co-Transport and Media Structural 12.300 8500021880 (16,422) - University of Virginia - EN-MAE Bio-inspired flexible propulsors for fast, efficient swimming: What physics are we 12.300 GG11763 146905 172,270 - Subtotal of 12.300 12.300 1,742,755 - Children's Hospital Boston - Development of novel local analgesics for management of acute tissue injury pain 12.420 RSTFD0000651291 81,555 - Florida State University - New Approach to the Measurements of Suicide-Related Cognition 12.420 R01671 174,977 72,233 Johns Hopkins School of Public Health - Realizing the translational potential of telomere length variation as a tissue-based prognostic marker for prostate cancer 12.420 2001706122 67,814 - Subtotal of 12.420 12.420 324,346 72,233 Arizona State University - Translating Biochemical Pathways to Non-Cellular Environment 12.431 13-951 128,263 57,858 Board of Trustees of the University of Illinois - Adaptive Exploitation of Non-Commutative Multimodal Information Structure 12.431 2015-05174-02 51,540 - Duke University - Evolutionary Mechanics of Impulsive Biological Systems: Guiding Scalable Synthetic Design 12.431 313-0588 162,249 - Massachusetts Institute of Technology - Managing Uncertainty: Principles for Robust and Dextrous Continuum Mechanics 12.431 5710003877 154,878 - Massachusetts Institute of Technology - Novel States of Light and Matter Mediated by Collective Rydberg Excitations 12.431 5710003824 57,016 - Massachusetts Institute of Technology - Multi-Qubit Enhanced Sensing and Metrology 12.431 5710003135 758,397 -

The accompanying notes are an integral part of this schedule.

60 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Regents of the University of California - San Diego - Dynamic Artificial Cells Composed of Synthetic Bioorthogonal Membranes 12.431 28401353 208,048 - Regents of the University of California - Santa Barbara - Continuation Study: A Systems Approach to Understanding Post-Traumatic Stress Disorder 12.431 KK1620-a 374,404 - Regents of the University of California - Santa Barbara - Quantum BioImaging with Diamond Spins (QuBIDS) 12.431 KK1201 44,176 - Regents of the University of Minnesota - MURI: Multiscale Mathematical Modeling and Design Realization of Novel 2D Functional Materials 12.431 A004135001 295,017 - Trustees of Boston University - Synthetic Mammalian Gene Regulatory Circuits for In Vivo Biomedical Applications 12.431 4500000572 189,459 32,763 University of Chicago - Fundamental Issues in Non-equilibrium Dynamics (MURI) 12.431 FP054294-B 185,215 - University of Maryland, College Park - Center for Distributed Quantum Information 12.431 Z8401003 536,877 - University of Maryland, College Park - MURI:Atomtronics: Material and Device Physics of Quantum Gases 12.431 Z841802 61,701 - University of Pittsburgh - Four-dimensional Printing: Design, Assembly, and Modeling of Responsive, Temporally Programmable Materials 12.431 0036744 (409347-1) 102,020 - Yale University - High-Resolution Quantum Control of Chemical Reactions 12.431 C13J11491(J00210) 80,680 - Subtotal of 12.431 12.431 3,389,940 90,621 Henry M. Jackson Foundation for the Advancement of Military Medicine - Army Study to Assess Risk and Resilience in Service Members (STARRS 2) 12.750 2878 863,405 - Subtotal of 12.750 12.750 863,405 - Cornell University - Plant-mimetic functional materials for thermal management and suppression of freezing 12.800 70777-10397 66,278 - Georgia Institute of Technology/Georgia Tech Research Corporation - Dynamic High-Pressure Behavior of Hierarchical Heterogeneous Geological Materials 12.800 RC697-G1 89,373 - Georgia Institute of Technology/Georgia Tech Research Corporation - Multi-functional Light-Matter Interfaces based on Neutral Atoms and Solids 12.800 RC413-G4 645,712 - Massachusetts Institute of Technology - Advanced Quantum Materials: A New Frontier for Ultracold Atoms 12.800 5710003646 746,435 - Massachusetts Institute of Technology - FATE: Foldable and Adaptive Two-Dimensional Electronics 12.800 5710003988 142,446 - Massachusetts Institute of Technology - Optimal Measurements for Scalable Quantum Technologies 12.800 5710003649 109,779 - Regents of the University of California - San Diego - Applications of Quantum Computing in Aerospace Science and Engineering 12.800 10323836 - SUB 106,391 - Regents of the University of California - Santa Barbara - Quantum Memories in Photon - Atomic - Solid - State Systems 12.800 KK1225 91,409 - Rice University - Science and Emerging Technology of 2D Atomic Layered Materials and Devices 12.800 R18644 219,243 - Stanford University - Integrated Hybrid Nanophotonic Circuits 12.800 29017980-51649-A 114,146 - Stanford University - Large Scale Integrated Nanophotonics 12.800 29676680-51649-E 163,288 - University of Illinois at Urbana - Champaign - TEMPLATE-DIRECTED DIRECTIONALLY SOLIDIFIED EUTECTIC METAMATERIALS 12.800 2012-02298-04 (A0080) 164,107 - University of Pennsylvania - Geometry and Topology of Complex Networks 12.800 561009 127,004 - Subtotal of 12.800 12.800 2,785,611 - Columbia University - Development and Application of Silicon-Chip-Based Mid-infrared Frequency Combs 12.910 1-GG012379-03 214,710 - Duke University - SPARQC: Scalable Platform for Agile extended-Reach Quantum Communications 12.910 15-DARPA-1041 242,186 185,505 Regents of the University of California - Santa Barbara - Quantum Information Processing with Spins in Diamond 12.910 KK9135 (8,447) - Regents of the University of Michigan - An Algorithm for Cellular Reprogramming 12.910 3003810373 44,208 - The J. David Gladstone Institutes - Engineering Therapies that Evolve to Autonomously Control Epidemics (seedling) 12.910 R02116-A 170,866 - University of Illinois at Urbana - Champaign - Cognitively-Based Unsupervised Grammar Induction for Low-Resource Languages 12.910 2015-03967-02 72,258 - University of Virginia - A Micro-Cellular Solids Approach to Thermo-Structural Materials with Controlled Architectures 12.910 GG11379-136859 1,640 - Subtotal of 12.910 12.910 737,421 185,505 Beth Israel Deaconess Medical Center - Development of Ultrasound to Measure In-vivo Dynamic Cervical Spine Mechanics for Injury Prevention 12.Contract 1026018 453 - Charles River Analytics Inc. - Probabilistic Representation of Intent Commitments to Ensure Software Survival (PRINCESS) 12.Contract SC1512202-PRINCESS 5,251 - Charles Stark Draper Laboratory, Inc. - Nano-Litz: Braided Nano-wires for High Performance RF Components 12.Contract SC001-0000000949 202,332 - Charles Stark Draper Laboratory, Inc. - Nano-Litz: Braided Nano-wires for High Performance RF Components 12.Contract SC001-0000000950 214,917 - EOS Photonics, Inc. - Low-Cost-By-Design Mid-Wave Infrared Semiconductor Surface Emitting Lasers 12.Contract 6399302 (34) - HRL Laboratories, LLC - Eliminating Charge Noise in GaAs Spin Qubits 12.Contract M1144-702082-BS 4,676 - International Business Machines Corporation - DARPA-BAA-12-24, Power Efficiency Revolution For Embedded Computing Technologies (PERFECT) 12.Contract A20314 476,146 - Kitware, Inc. - The Visualization Design Environment 12.Contract A19029 164,690 - Lincoln Laboratory - Materials Development for 3D Printing of Low-Loss RF Devices 12.Contract 7000297417 35,870 - Lincoln Laboratory - Optimization of Distributed Space Systems 12.Contract 7000292526 (13,284) - Lincoln Laboratory - Precursor and film growth development for the deposition of superconducting plugs 12.Contract 7000335656 52,851 - Lincoln Laboratory - Photonic Device Development at Harvard University 12.Contract 7000136946 117,433 - Los Alamos National Laboratory - Integration of Novel Technologies for Organ Development and Rapid Assessment of Medical Countermeasures (INTO-RAM) 12.Contract 312659 148,075 - Nano Terra - A Novel Strategy for Treating Peripheral Nerve Injury 12.Contract No Award Number 51,448 - NVIDIA Corporation - MATCH: Modular Approach To Circuits and Hardware 12.Contract No Award Number 6,760 - Nano Terra - Simple Real-time Detectors for VX 12.Contract No Award Number 58,445 - Regents of the University of California - Santa Barbara - Task 27: Bio-Inspired Synchronization and Sensors for Distributed Mobile Gunfire Detection Enhancing Situational Awareness 12.Contract KK1635 105,845 - Southern Methodist University - Obtaining Multipath and Non-line-of-sight Information by Sensing Coherence and Intensity with Emerging Novel Techniques 12.Contract G001534-7502 11,880 - Stanford University - SAGE - Software Actuated Genome Engineering on a Droplet Transport Platform 12.Contract 60034777-105980-A (241) - UES, Inc. - Printed Flexible Electronics 12.Contract S-875-040-017 (202) - UES, Inc. - Printed Flexible Electronics 12.Contract S-999-122-002 27,448 - Universal Technology Corporation - Determining the elastic constants of a material using micro-scale measurements 12.Contract 14-S7133-01-C1 39,337 - University of Utah - CRA: Computationally-Guided Design of Energy Efficient Electronic Materials (CDE3M) 12.Contract 10028801-HARVARD-APP 101,973 - Weidlinger Associates Inc. - Increased Capability and Interface for Computational Code for Implosion: Parameters, Procedures, Constitutive Model Calibration and Modeling GUI 12.Contract 21312011 18,936 - Subtotal of 12.Contract 12.Contract 1,831,005 - Children's Hospital Boston - Rapidly Deployable Device for Minimally Invasive Dynamic Augmentation of the Ventricular Ejection 12.Unknown RSTDF0000652913 47,435 - Columbia University - Nano-electronics on Atomically Controlled van der Waals Quantum Hetertostructures 12.Unknown 1(GG009606) 4,777 - Dana-Farber Cancer Institute - A systems Biology Approach to Link Nuclear Factor kappa B Activation with Lethal Prostate Cancer 12.Unknown 3075903 15,383 - Johns Hopkins University - Fusion and Inference from Multiple and Massive Disparate Distributed Dynamic Data Sets 12.Unknown 2001907410 (7,000) - Subtotal of 12.Unknown 12.Unknown 60,595 - Total Department of Defense Sub Award 11,822,583 348,359

The accompanying notes are an integral part of this schedule.

61 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Department of Education Regents of the University of California - Berkeley - Investigating How and Under What Conditions Effective Professional Development Increases Student Achievement in Elementary Science 84.305 8819 5,139 - Subtotal of 84.305 84.305 5,139 - Brown University - Using Teacher Evaluation Data to Drive Instructional Improvment: Evidence from the Evaluation Partnership Program in Tennessee 84.305E 815 49,957 - Subtotal of 84.305E 84.305E 49,957 - Strategic Education Research Partnership - Catalyzing comprehension through discussion and debate 84.305F No Award Number 285,719 - Subtotal of 84.305F 84.305F 285,719 - American Institutes for Research - Impact Evaluation of Math Professional Development 84.Contract 01040-03278 80,632 - ICF International, Inc - A Randomized Experiment Using Report Card Content to Nudge Attendance 84.Contract 14TJSK0003 19,952 - Manpower Demonstration Research Corporation - Impact Evaluation of Multi-tiered Systems of Support for Behavior 84.Contract No Award Number 116,305 - University of Colorado at Boulder - Center for the Study of Interactive Knowledge Utilization 84.Contract 1551538 349,852 - Subtotal of 84.Contract 84.Contract 566,741 - Total Department of Education Sub Award 907,556 - Department of Energy Board of Regents of the University of Arizona - The utility of multiple ecological data streams in constraining the Community Land Model 81.049 173307 26,164 - California Institute of Technology - DOE EFRC: Light-Materials Interactions in Energy Conversion 81.049 67N-1093448 (272) - California Institute of Technology - DOE EFRC: Light-Materials Interactions in Energy Conversion 81.049 67N-1095805 273,772 - Johns Hopkins University - Systems Biology of Autotrophic-Heterotrophic Symbionts for Bioenergy 81.049 2002373313 130,574 - Massachusetts Institute of Technology - Center for Excitonics 81.049 5710003733 448,548 - Northwestern University - Center for Bio-Inspired Energy Science (CBES) 81.049 SP0027267-PROJ0007134 230,061 - Subtotal of 81.049 81.049 1,108,847 - Massachusetts Institute of Technology - Next Generation Sulfide Materials; Optimizing CZTS and Developing SnS by Systematic Defect Engineering 81.087 5710003141 14,031 - Subtotal of 81.087 81.087 14,031 - International Business Machines Corporation - An Intelligent Multi-modal CH4 Measurement System (AIMS) 81.135 4915012643 38,982 - Massachusetts Institute of Technology - Engineering high yield pathways for methane activation and conversion to liquid fuels 81.135 5710003630 169,614 - SiEnergy Systems, LLC - Direct Hydrocarbon Fuel Cell-Battery Hybrid Electrochemical System 81.135 491 187,834 - Subtotal of 81.135 81.135 396,430 - Aerodyne Research, Inc. - Compact High Precision Field Instrument for All Major Greenhouse Gases 81.Contract A20208 49,158 - Brookhaven National Laboratory - WBS 1.2.1 NSW ATLAS Phase I upgrade project 81.Contract 304913 331,600 - Brookhaven National Laboratory - LSST Science Rafts 81.Contract 270164 96,214 - Department of Energy - Development of a Virtual Human Heart to Predict the Pharmacology of Novel Drugs 81.Contract B618243 76,023 - Fermi National Accelerator Laboratory - NOvA Experiment Operations 81.Contract 621383 41,550 - International Business Machines Corporation - Improving the Efficiency of Copper Zinc Tin Sulfide Solar Cells 81.Contract 4913900074 120,867 - Lawrence Berkeley National Lab - Scalable Statistics and Machine Learning for Data-Centric Science 81.Contract 7086227 114,687 - Lawrence Livermore Laboratory - Direct ink writing of multifunctional materials and sensors 81.Contract B606991 159,781 - Lawrence Livermore Laboratory - Fabrication and Scale-up of Capsules for Carbon Capture 81.Contract B612803 87,243 - National Renewable Energy Laboratory - Center for Next Generation of Materials by Design: Incorporating Metastability 81.Contract ZGJ-4-42246-01 516,194 - Oak Ridge National Laboratory - Adaptive biosystems imaging 81.Contract 4000132153 6,813 - Pacific Northwest National Laboratory - GoAMAZON Research Campaign 81.Contract 224972 2,094 - UChicago Argonne, LLC - Joint Center for Energy Storage Research (JCESR) 81.Contract 3F-31143 194,438 - Subtotal of 81.Contract 81.Contract 1,796,662 - Brookhaven National Laboratory - US Atlas Muon Subsystem Research Program 81.Unknown 95589 (12,201) - Brookhaven National Laboratory - Upgrade Construction Project for WBS 1.2 New Small Wheel Subsystem 81.Unknown 241383 161,324 - Lawrence Berkeley National Lab - Operation of the Harvard Forest Core Site in the AmeriFlux Network Management Project (ANMP) 81.Unknown 7086573 176,340 - Los Alamos National Laboratory - Real Time Methane Isotope Observations: Attributing Sources from Arctic and Gas Fields 81.Unknown 217910-1 8,494 - Stanford Linear Accelerator Center - LSST Corner Rafts and Integration and Testing 81.Unknown 150854 957,953 - Stanford Linear Accelerator Center - LSST Detector Test System Development Work 81.Unknown 96941 (867) - United States Department of Agriculture (USDA) Forest Service - Supporting Carbon Cycle and Earth Systems Modeling with Measurements and Analysis from the Howland AmeriFlux Site 81.Unknown 12-JV-11242306-015 8,101 - Subtotal of 81.Unknown 81.Unknown 1,299,144 - Total Department of Energy Sub Award 4,615,114 - Department of Homeland Security Skidmore College - Understanding and Preventing SCD in the Fire Service 97.044 32164-6121-01 75,720 - Subtotal of 97.044 97.044 75,720 - University of Southern California - Communicating Probability in Intelligence Analysis and Homeland Security 97.061 65796630 39,363 - Subtotal of 97.061 97.061 39,363 - Total Department of Homeland Security Sub Award 115,083 - Department of Housing & Urban Development University of Maryland, College Park - The Impact of Children's Housing on Their Long-Term Economic Outcomes 14.506 Z933401 (2,459) - Subtotal of 14.506 14.506 (2,459) - Trustees of Boston University - Modeling the impact of building-wide energy retrofits on environmental exposures and occupant health 14.906 4500001452 11,788 - Subtotal of 14.906 14.906 11,788 - Neighborhood Reinvestment Corporation - Research Project and Case History of the Effort to Create a Collaborative Organization in Western New York State 14.Unknown No Award Number 19,006 - Neighborhood Reinvestment Corporation - The Edward M. Gramlich Fellowship in Community and Economic Development Summer 2015 14.Unknown No Award Number 21,500 - Neighborhood Reinvestment Corporation - THE EDWARD M. GRAMLICH FELLOWSHIP IN COMMUNITY AND ECONOMIC DEVELOPMENT SUMMER FELLOWSHIP PROGRAM 14.Unknown No Award Number 11,791 - Subtotal of 14.Unknown 14.Unknown 52,297 - Total Department of Housing & Urban Development Sub Award 61,626 -

The accompanying notes are an integral part of this schedule.

62 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Department of the Interior University of Massachusetts at Amherst - Fate, transport, and remediation of PFCs at the Joint Base Cape Cod 15.805 11 006501 H 01 2,448 - Subtotal of 15.805 15.805 2,448 - Total Department of the Interior Sub Award 2,448 - Department of Transportation Massachusetts Institute of Technology - The Experience with Managed Toll Lanes 20.701 5710003788 11,145 - Subtotal of 20.701 20.701 11,145 - Massachusetts Institute of Technology - Cell Phones and Vehicle Safety 20.Unknown 5710003387 20,274 - Massachusetts Institute of Technology - Disaster Recovery for Transportation: China's Wenchuan Earthquake of 2008 and Japan's Tohoku Earthquake and Tsunami of 2011 20.Unknown 5710003386 19,581 - Massachusetts Institute of Technology - Land-Use Regulation and Commuting Patterns 20.Unknown 5710003616 47,975 - Massachusetts Institute of Technology - Recreating Livable Communities after Catastrophe: Managing the Recovery from Japans Earthquake, Tsunami, and Nuclear Disaster of 2011 20.Unknown 5710003789 89,428 - Massachusetts Institute of Technology - Teaching Case Study on Resilient Cities and Transportation 20.Unknown 5710003790 45,192 - Massachusetts Institute of Technology - The Local Effects of the American Recovery and Reinvestment Act on Economic Activity and Traffic Safety 20.Unknown 5710003792 29,504 - Massachusetts Institute of Technology - The Politics of Transport Policy in the Greater Copenhagen Region, 1945-2013 20.Unknown 5710003618 5,929 - Massachusetts Institute of Technology - Transforming Urban Transport, a Set of Case Studies 20.Unknown 5710003791 129,851 - Massachusetts Institute of Technology - Transportation Cases Throughout the Curriculum 20.Unknown 5710003617 (186) - Massachusetts Institute of Technology - Transportation Stimulus Spending and Long Term Unemployment 20.Unknown 5710003793 24,897 - Massachusetts Institute of Technology - UTC 25 The Politics of Transport Policy in the Greater Copenhagen Region, Part 2 20.Unknown 5710003794 30,886 - Subtotal of 20.Unknown 20.Unknown 443,331 - Total Department of Transportation Sub Award 454,476 - Department of Veterans Affairs Price Waterhouse Coopers - Perceptive Reach 64.Contract PO0400072 172,561 - Subtotal of 64.Contract 64.Contract 172,561 - Total Department of Veterans Affairs Sub Award 172,561 - DHHS Beth Israel Deaconess Medical Center - Building Capacity of the Vietnam Health System through Provision of HIV/AIDS Clinical Care Mentorship and Technical Assistance 93.067 1027977 18,972 - Beth Israel Deaconess Medical Center - Building Capacity of Vietnamese Health Systems 93.067 1028816 27,909 - Botswana Harvard AIDS Institute Partnership - 2-year Infant Mortality by HIV Exposure, PMTCT Prophylaxis Strategy, and Feeding 93.067 No Award Number 28,836 - Nigerian Institute of Medical Research - HIV Drug Resistance: Implications for Optimizing Antiretroviral Therapy 93.067 HSPH 71,009 - Partners in Health - Strengthening Integrated HIV and Cholera Care 93.067 1006 2,641 - Subtotal of 93.067 93.067 149,367 - Health Research, Inc. - Models for Tobacco Product Evaluation 93.077 100-04 37,254 - Subtotal of 93.077 93.077 37,254 - Weill Medical College of Cornell University - Creating National Surveillance Infrastructure for Priority Medical Devices 93.103 15111825-02 30,333 - Subtotal of 93.103 93.103 30,333 - Boston University School of Public Health - Endocrine Disrupting Chemicals and Risk of Uterine Fibroids: A Prospective Study 93.113 4500001944 14,620 - Brigham and Women's Hospital, Inc - Environmental Risk Factors for Autistic Behaviors in a Cohort Study 93.113 112900 7,349 - Brigham and Women's Hospital, Inc - Cardiovascular Response to CAP Microbial Components in Controlled Human Exposures 93.113 111789 34,068 - Brown University - Ambient Air Pollution and Incident Stroke 93.113 545 78,414 - Brown University - Air Pollution and Pregnancy Outcomes in New York City 93.113 5R01ES019955-03 (4,201) - Brown University - Residential Air Pollution and Preeclampsia 93.113 628 69,003 - Harvard Pilgrim Health Care, Inc - Longitudinal Associations of PFCs with Obesity Diabetes, and Metabolic Syndrome 93.113 PH000552A 30,369 - Icahn School of Medicine at Mount Sinai - Childrens Health and Vulnerability to Heat and Ozone in New York City 93.113 0255-4761-4609 (2,514) - Icahn School of Medicine at Mount Sinai - Environmental, Fetal Tissue DNA Methylation and Birthweight 93.113 0255-5381-4609 7,844 - Icahn School of Medicine at Mount Sinai - Stress-Lead Interactions and Child Development 93.113 0255-5541-4609 45,725 - Icahn School of Medicine at Mount Sinai - Stress-Lead Interactions and Child Development 93.113 0255-5542-4609 26,095 - Johns Hopkins University - Extreme Heat and Human Health: Characterizing Vulnerability in a Changing Climate 93.113 2001382807 3,958 - Johns Hopkins University - Statistical Methods for Complex Environmental Health Data 93.113 2001196559 37,650 - Northeastern University - Impact of Air Pollution, Weather and Lifestyle on Health in Older Americans 93.113 500323-78051 25,900 - Northwestern University - Histone modifications and respiratory Effects of Traffic Particle Exposure 93.113 60032708HC 58,978 - Oregon State University - Developmental Exposure to Arsenic, PAHs, and Immune Function in Children 93.113 P0388A-B 135,492 - Rush University Medical Center - Validation of Portable XRF for Invivo Measurement of Heavy Metal Exposures 93.113 1R21ES24700-01 42,228 - Silent Spring Institute - Data Sharing and Privacy Protection in Digital-Age Environmental Health 93.113 7511-SEAS 118,277 - Silent Spring Institute - Ethical and Legal Challenges in Communicating Individual Biomonitoring and Personal Exposure Results to Study Participants: Guidance for Researchers and Institutional 93.113 7476-HSPH 3,079 - Silent Spring Institute - Ethical and Legal Challenges in Communicating Individual Biomonitoring and Personal Exposure Results to Study Participants: Guidance for Researchers and Institutional Review Boards 93.113 7476-SEAS 23,160 - University of North Carolina - Epigenetic Mechanisms of PM-Mediated CVD Risk 93.113 5104344 53,057 - University of Southern California - Mitochondrial susceptibility to traffic-related pollution and neonatal health 93.113 65108860 20,622 - Yale University - Vulnerability to Health Effects of Wildfires under a Changing Climate in the Western U.S. 93.113 C12A11405(A08809) (8,307) - Yale University - Effects of Fine Particle (PM2.5) Composition on Birth Outcomes 93.113 M12A11203(A08478) 79,427 - Yale University - Indoor Nitrogen Dioxide Exposure and Children with Asthma: An Intervention Trial 93.113 M15A11946-A09959 66,280 - Subtotal of 93.113 93.113 966,573 - Case Western Reserve University - Developing a Measure of Illness Perception for Dental Use in Older Adults 93.121 RES509690 4,747 - Case Western Reserve University - Family Intervention with Caregivers of Children with Dental Needs 93.121 RES510205 14,001 - Johns Hopkins School of Medicine - Neuronal subtype-specific plasticity in the acute to chronic pain transition 93.121 2002231894 276,988 - Oral Health Solutions - Development of an Electronic Health Record with Comprehensive Dental Diagnostics and Information Exchange Functionality and Optimized for Public Dental Health Environments 93.121 6887495-01 40,966 -

The accompanying notes are an integral part of this schedule.

63 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Regents of the University of California - San Francisco - Evaluating Standardized Preventive Care to Reduce Dental Disparities in Children 93.121 9027sc 25,732 - University of Texas Health Science Center at Houston - Developing a Patient Safety System for Dentistry 93.121 11414 323,121 - University of Texas Health Science Center at Houston - Implementing Dental Quality Measures in Practice 93.121 0010816A 133,060 - Subtotal of 93.121 93.121 818,615 - Boston University School of Public Health - Approaches to Mixtures Analysis-Applications using Benchmarks Datasets 93.143 4500001783 3,706 - Case Western Reserve University - Advancing Collaborative Genetic Research 93.172 RES509729 49,869 - Subtotal of 93.143 93.143 53,575 - Columbia University - An Integrated System for Single Molecule Electronic Sequencing by Synthesis 93.172 1(GG007874-03) 434,071 - Dana-Farber Cancer Institute - Overcoming Bias and Unwanted Variability in Next Generation Sequencing 93.172 1228006 54,296 - The Broad Institute - Reconstruction of the Protein and Non-coding RNA circuits that control and maintain ES cell chromatin 93.172 7010035-5500000585 141,364 - The Jackson Laboratory - An Integrative Analysis of Structural Variation for the 1000 Genomes Project 93.172 202022 233,495 - University of Pittsburgh - Center for Causal Discovery 93.172 0049345 (126868-1) 192,305 - Subtotal of 93.172 93.172 1,055,531 - Brigham and Women's Hospital, Inc - Risk Factors for Hearing Loss 93.173 107066 36,650 - Northwestern University - Genetic Determinants of Taste Preferences and Risk of Metabolic Disease 93.173 60039446H 19,137 - Subtotal of 93.173 93.173 55,787 - Beth Israel Deaconess Medical Center - Clinical and Autonomic Effects of Mind-Body Exercise in COPD 93.213 1024577 44,117 - Beth Israel Deaconess Medical Center - Tai Chi after Pulmonary Rehabilitation in Patients with COPD: A Randomized Trial 93.213 1026085 82,606 - Subtotal of 93.213 93.213 126,723 - Brigham and Women's Hospital, Inc - Methods for studying treatment heterogeneity using large observational databases 93.226 111988 9,858 - Brigham and Women's Hospital, Inc - Development Validation And Implementation Of Customized Checklists For Safe Surgery 93.226 105077 5,922 - Dartmouth Institute for Health Policy and Clinical Practice - Accelerating the Use of Evidence-based Innovations in Healthcare Systems 93.226 R817 183,727 - Harvard Pilgrim Health Care, Inc - Evaluating Sequential Strategies to Reduce Readmission in a Diverse Population 93.226 5R01HS020628-03 (5,090) - Massachusetts General Hospital - To screen or not to screen: Preventions Decisions and Competing Risks 93.226 224410 51,459 - Medical Technology and Practice Patterns Institute, Inc. - ESA outcomes among Anemic CKD Patients 93.226 1R01HS021229-01A1 SUB-00 10,384 - National Bureau of Economic Research - Measuring the Clinical and Economic Outcomes Associated with Delivery Systems 93.226 41610.01.13.00-HMS 409,870 - Rand Corporation - Understanding the role of organizational integration in PCOR implementation 93.226 9920160048 22,575 - University of Chicago - Improving Nursing Home Compare for Dually Eligible Consumers 93.226 FP052256-A 15,814 - University of Texas Health Science Center at Houston - Measuring Occurrence of and Disparities in Dental Clinic Adverse Events 93.226 11289 84,741 - Yale University - Consumer Assessment of Healthcare Providers and Systems (CAHPS IV) 93.226 M13A11549 (A09063) 132,845 - Subtotal of 93.226 93.226 922,105 - Brigham and Women's Hospital, Inc - Billing Agreement: The Role of Circadian Periodicity in Human Cardiovascular Disease and Diabetes 93.233 106799 993 - Brigham and Women's Hospital, Inc - Billing Agreement: The Role of Circadian Periodicity in Human Cardiovascular Disease and Diabetes 93.233 106799 72,718 - Subtotal of 93.233 93.233 73,711 - Board of Regents of the University of Wisconsin - Madison - Falling Behind: The Black-White Wealth Gap in Life Course and Intergenerational Perspective 93.239 547K116 16,621 - Subtotal of 93.239 93.239 16,621 - Beth Israel Deaconess Medical Center - Predictors and Mechanisms of Conversion to Psychosis 93.242 1024853 (1,862) - Beth Israel Deaconess Medical Center - Predictors and Mechanisms of Conversion to Psychosis 93.242 1028545 10,902 - Beth Israel Deaconess Medical Center - Validating Biomarkers for the Prodrome and Transition to Psychosis in Shanghai 93.242 1026851 68,654 - Boston University School of Medicine - Neuroimaging-genetics of PTSD 93.242 4500001511 49,414 - Brigham and Women's Hospital, Inc - Statistical methods for studies of rare variants 93.242 109313 158,357 - Butler Hospital - Behavioral and Ecological Suicide Tracking: Attention, Interpretation and Memory 93.242 9026-8331 58,049 - Children's Hospital Boston - 1/2 Somatic mosaicism and autism spectrum disorder 93.242 PO 0000678189 282,839 - Cold Spring Harbor Laboratory - Genetic Targeting of Cortical Pyramidal Neuron Subtypes 93.242 55310412 350,954 - Columbia University - Novel Statistical Methods for DNA Sequencing Data, and Applications to Autism 93.242 2-GG006594 17,499 - Columbia University - Assessing causality: Is PTSD Cardio-Toxic 93.242 2-GG008390 (10,391) - Desmond Tutu HIV Foundation - Design and delivery of combination HIV prevention in young South African women 93.242 NIH-3P-HC-01 30,295 - DRVision Technologies LLC - An automated and adaptive 3D particle tracking tool for next generation neuroscience microscopy 93.242 DRV002 90,264 - Henry M. Jackson Foundation for the Advancement of Military Medicine - Modifiable Risk and Protective Factors for Suicidal Behaviors in the US Army 93.242 2192 (1,399) - Icahn School of Medicine at Mount Sinai - Somatic Mosaicism in Schizophrenia and Control Brains 93.242 0255-0421-4609 30,669 - Johns Hopkins University - Carryforward - Implementation of Federal Mental Health Parity 93.242 2001584345 66,752 - Johns Hopkins University - Mixed Methods Research Training Program 93.242 2002362059 38,951 - Johns Hopkins University - Social Consequences of Mental Disorders: A Ten-Year Follow-up Study 93.242 2001841908 32,178 - Judge Baker Children's Center - Billing Agreement for Alexander Nakhnikian: Clinical Research Training Program 93.242 46000-10036 44,812 - Judge Baker Children's Center - Billing Agreement for Alexander Nakhnikian: Clinical Research Training Program 93.242 46000-10036 54,650 - Massachusetts General Hospital - Real-World Adherence to HIV PrEP In Serodiscordant African Couples 93.242 227997 115,590 - Massachusetts General Hospital - Development of a Real-Time Intervention for Adherence to HIV Antiretrovlral Therapy in Uganda 93.242 222511 69,304 - Massachusetts General Hospital - Genetic Determinants of Schizophrenia Intermediate Phenotypes 93.242 221522 38,669 - Massachusetts General Hospital - Medicare Drug Benefits and High Cost Medications: Antipsychotics under Part D 93.242 223505 14,029 - Massachusetts Institute of Technology - Ultra-Multiplexed Nanoscale In Situ Proteomics for Understanding Synapse Types 93.242 5710003908 304,285 - Princeton University - CRCNS:Representational foundations of adaptive behavior in natural and artificial agents 93.242 SUB0000110 75,137 - Regents of the University of California - San Diego - Efficacy of ART to interrupt HIV transmission networks 93.242 58328838 30,392 - Regents of the University of California - San Diego - Memory Functioning in children and Adolescents with Perinatal HIV Infection 93.242 10306765-004 22,977 - Regents of the University of California - San Francisco - Long-term CNS consequences of treatment during acute HIV infection 93.242 6878sc 37,915 - Rehabilitation Institute of Chicago - Recording Neural Activities onto DNA 93.242 3024 909,431 - San Diego State University - Enhanced Linkage to HIV Care and Treatment following Home-Based HIV testing in Rural Uganda 93.242 SA0000486 21,827 - The Broad Institute - Methods for linking GWAS peaks to function in psychiatric disease 93.242 5210292-5500000809 118,228 - University of Chicago - Conte Center for Computational Systems Genomics of Neuropsychiatric Phenotypes (Projects 2 and 4) 93.242 FP046983-D 208,376 - University of Hawaii - Maraviroc and NeuroAIDS Pathogenesis 93.242 KA150029 40,600 - University of North Carolina - Chapel Hill - Multilevel Biomarkers for Suicidal Behavior: From Interpersonal Stress to Gene Expression in a Longitudinal Study of Adolescent Girls 93.242 5101900 63,937 - University of North Carolina - Chapel Hill - Stress Response as Prospective Predictors of Girls' Suicidality and Self-Injury 93.242 5030447 37,010 - University of Rochester - Neurocircuitry of OCD: Effects of Modulation - Core C and Project 3 93.242 416629-G 317,866 - Subtotal of 93.242 93.242 3,797,160 -

The accompanying notes are an integral part of this schedule.

64 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Children's Hospital Boston - Advancing Treatment and Services for Refugee Children Adolescents: Boston Children's Hospital Center for Refugee Trauma and Resilience 93.243 RSTFD0000660408 32,731 - Subtotal of 93.243 93.243 32,731 - Brigham and Women's Hospital, Inc - Minimizing Cancer Risk in Shift Workers 93.262 106102 10,398 - Icahn School of Medicine at Mount Sinai - Biomarkers of Psychological Risk and Resilience in World Trade Center Responders 93.262 0254-5744-4609 56,171 - New York Center for Agricultural and Medical Health - Northeast Fisheries Winch Safety Improvement Project 93.262 No Award Number 242,690 - Subtotal of 93.262 93.262 309,259 - University of Botswana - Medical Education Partnership Initiative 93.266 555958 68,592 - Subtotal of 93.266 93.266 68,592 - Beth Israel Deaconess Medical Center - Planning Grant for a Multi-Center RCT of Moderate Alcohol Use on Chronic Disease 93.273 1027175 2,017 - San Diego State University Research Foundation - Administrative Core of the CIFASD (U24) 93.273 53253M P1660 7802 211 16,878 - Subtotal of 93.273 93.273 18,895 - Boston Medical Center - Simulation Modeling to Improve HIV/HCV Screening, Treatment and Care 93.279 2764 44,747 - Brandeis University - Center to Improve System Performance of Substance Use Disorder Treatment: Administrative Core 93.279 403202 24,156 - Brandeis University - Center to Improve System Performance of Substance Use Disorder Treatment: Research Core 93.279 403203 106,757 - California Institute of Technology - Deciphering the function and mechanisms of lncRNA-mediated organization of nuclear compartments 93.279 18B-1096549 238,036 - Massachusetts General Hospital - Billing Agreement: trainee Melissa Haskell Advanced Mutlimodal Neuroimaging Training Grant 93.279 219396 38,213 - The McLean Hospital Corporation - Alpha Adrenergic Pharmacotherapy for Polydrug (Stimulant/Opiate) Abuse 93.279 400658 (2,946) - Weill Medical College of Cornell University - Quality of life outcomes in prescription and injection opioid dependence 93.279 15101614 76,684 - Subtotal of 93.279 93.279 525,647 - Association of American Medical Colleges - Public Health quality Self-Assessment Tool for Frontline Organizations 93.283 WIP-2014-01 28,276 - Subtotal of 93.283 93.283 28,276 - Columbia University - Integrated heart-liver-vascular systems for drug testing in human health and disease 93.286 2(GG012366-02) 457,531 - Johns Hopkins University - CRCNS: Data Sharing: The EM Open Connectome Project 93.286 2001668272 9,939 - Massachusetts General Hospital - A Universal Handheld Electrochemical Reader for Early Detection and Monitoring of Chronic Kidney Disease 93.286 224648 58,711 - Massachusetts General Hospital - Novel laser-processed scintillation detector for high-resolution PET scanners 93.286 227615 2,764 - Massachusetts General Hospital - Quantitative Methods for Clinical Whole Body Dynamic PET 93.286 220050 36,361 - Sunnybrook Health Sciences Centre - Ultrasound therapy delivery through intact skull 93.286 724180668 24,973 - Subtotal of 93.286 93.286 590,279 - Northeastern University - Culturing Uncultivatable Gut Microorganisms 93.301 50017178050 171 - Subtotal of 93.301 93.301 171 - Massachusetts General Hospital - Mechanisms underlying racial/ethnic disparities in mental disorders 93.307 227351 13,844 - Massachusetts General Hospital - Mechanisms underlying racial/ethnic disparities in mental disorders 93.307 227351 12,584 - University of Pittsburgh - Healthy Learning, Healthy Living, Healthy Lives 93.307 0032560-122927-1 8,568 - University of Puerto Rico - UPR-CHA Research Center of Excellence: Making a Difference for Latino Health 93.307 No Award Number (677) - Subtotal of 93.307 93.307 34,319 - Massachusetts General Hospital - Molecular prostheses for mitochondrial disorders 93.310 219702 154,418 - Mount Sinai Medical Center - CHEAR Center for Data Science 93.310 0255-0241-4609 21,942 - Regents of the University of California - San Diego - Single-cell sequencing and in situ mapping of transcriptional activities in human brains 93.310 33972980 218,020 - The Broad Institute - Billing Agreement - Characterizing the Gut Microbial Ecosystem for Diagnosis and Therapy in IBD 93.310 2015-Harvard-16 60,131 - The Broad Institute - Billing Agreement: Characterizing the gut microbial ecosystem for diagnosis and therapy in IBD 93.310 2015-Harvard-20 39,560 - The Broad Institute - BILLING AGREEMENT: Characterizing the Gut Microbial Ecosystem for Diagnosis and Therapy in IBD-HMP2 93.310 5400000025 9,214 - The Broad Institute - Isogenic human pluripotent stem cell-based models of human disease mutations 93.310 5210841-5500000509 840,585 - The University of Sheffield - H3ABioNet: a sustainable African Bioinformatics Network for H3Africa 93.310 No Award Number 11,896 - University of Cape Town - H3ABioNet: a sustainable African Bioinformatics Network for H3Africa 93.310 15719 503 - Westat Corporation - Children's Health Exposure Analysis Resource (CHEAR): Coordinating Center 93.310 6366-S04 2,304 - Wits Health Consortium - Genomic and environmental risk factors for cardiometabolic disease in Africans 93.310 1900216699A1 2,922 - Subtotal of 93.310 93.310 1,361,495 - Trustees of Dartmouth College - SYNERGY: The Dartmouth Center for Clinical and Translational Science 93.350 1595R53 1,966,820 - University of Pittsburgh - SHINE National Supplement 93.350 9010570 (3,728) - University of Washington - A Tissue Engineered Human Kidney Microphysiological System 93.350 UWSC7799 115,064 - Subtotal of 93.350 93.350 2,078,156 - Brigham and Women's Hospital, Inc - A Community Zebrafish Resource for Modeling GWAS Biology 93.351 110560 38,747 - The Jackson Laboratory - Teaching the Genome Generation: Professional Development for Genomics Instruction in Rural and Urban High Schools 93.351 TBI 851 - Subtotal of 93.351 93.351 39,598 - Northeastern University - Nurse Education, Practice, Quality and Retention (NEPQR) Program Interprofessional Collaborative Practice 93.359 500434-78050 43,037 - Subtotal of 93.359 93.359 43,037 - Massachusetts General Hospital - Cerebrovascular Contributions to Brain Aging and Dementia 93.361 228190 11,985 - Regents of the University of California - San Francisco - Interventions for Symptom Management in Older Patients with HAND 93.361 8591sc 43,391 - University of Miami - Mitochondrial Determinants of Metabolic Disease in HIV-Infected Children 93.361 66749P 20,115 - Subtotal of 93.361 93.361 75,491 - Brigham and Women's Hospital, Inc - A prospective analysis of peripheral blood cytokines and nonoHodgkin lymphoma 93.393 107288 89,252 - Brigham and Women's Hospital, Inc - Characterizing Genetic Susceptibility to Breast and Prostate Cancer; the BPC3 93.393 103467 (19,290) - Brigham and Women's Hospital, Inc - Circulating Fatty Acids and Breast Cancer Risk: A Prospective Study 93.393 108049 246,196 - Brigham and Women's Hospital, Inc - Dietary and Hormonal Determinants of Cancer in Women (Core C) 93.393 105845 (72,440) - Brigham and Women's Hospital, Inc - Growth Factor's and Lethal Prostate Cancer Signuature 93.393 105765 (35,122) - Brigham and Women's Hospital, Inc - Long term multidisciplinary study of cancer in women: The Nurses Health Study 93.393 111048 181,069 - Brigham and Women's Hospital, Inc - Mammographic Density and Texture features in relation to breast cancer risk 93.393 109709 27,372 - Brigham and Women's Hospital, Inc - Psychological stress, associated biologic mediators, and ovarian cancer risk 93.393 108667 68,025 - Brigham and Women's Hospital, Inc - Billing Agreement-VITamin D and OmegA-3 Trial 93.393 112334 36,002 - Brown University - Psoralens and melanoma 93.393 809 24,483 - Columbia University - Estimating State specific Potential Annual Healthcare Cost Savings from Reducing Obesity 93.393 1-GG008335 29,871 - Dana-Farber Cancer Institute - Analytical Investigation of Breast Cancer Progression: DCIS, Overdiagnosis 93.393 1214402 (3,888) - Dana-Farber Cancer Institute - Accelerating Transdisciplinary Epidemiology: Colorectal Cancer Omics and Immunity 93.393 1261101 6,289 -

The accompanying notes are an integral part of this schedule.

65 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Dana-Farber Cancer Institute - Billing Agreement: Accelerating Transdisciplinary Epidemiology of Colorectal Cancer 93.393 1261101 29,664 - Dana-Farber Cancer Institute - Analysis of the role of the SWI/SNF complex in tumor suppression 93.393 1218503 17,973 - Dana-Farber Cancer Institute - Statistical methods for tumor expression data from archival tissues in clinical and epidemiologic research 93.393 1234802 49,169 - Dana-Farber Cancer Institute - The Function of Snf5, an Epigenetic Tumor Suppressor 93.393 1110011 8,022 - Dana-Farber Cancer Institute - Tools for genomic analysis of tumor and stromal pathways in cancer 93.393 1207104 24,282 - Emory University - A Pooled Analysis of 25-hydroxyvitamin D and Colorectal Cancer Survival 93.393 T253589 38,259 - Indiana University - Genome-wide Gene-Caffeine Interactions on Risk of Skin Basal Cell Carcinoma 93.393 IN4679713HC 21,201 - Kaiser Foundation Research Institute - Obesity and Breast Cancer Survival: The Role of Chemotherapy Dosing 93.393 555223 3,311 - Massachusetts General Hospital - Improving Esophageal Adenocarcinoma Prevention, Screening and Treatment 93.393 226629 2,039 - Massachusetts General Hospital - Inflammation and Colorectal Neoplasia 93.393 226172 95,177 - Massachusetts General Hospital - Screening for Free: A Value-Based Insurance Design Natural Experiment 93.393 220715 72,310 - Mayo Clinic - Risk and penetrance of mutations from breast cancer testing panels 93.393 64287062 121,662 - Memorial Sloan Kettering Cancer Center - (PQB6) Genetics of Subclonal Evolution in Pancreatic Cancer 93.393 BD517123A 94,682 - Michigan State University - Effect of the presence of e-cigarette vapor on processing for anti-vaping PSAs 93.393 RC105781Harvard 2,052 - Regents of the University of Michigan - Linking State Registry and All Payer Claims Data to Study Cancer Care 93.393 3002831917 60,248 - St. Jude Children's Research Hospital - Analysis of the role of the SWI/SNF complex in tumor suppression 93.393 112260040-7693401 23,511 - St. Jude Children's Research Hospital - The Function of Snf5, an Epigenetic Tumor Suppressor 93.393 112261120-7693094 25,308 - Trustees of Boston University - A Prospective Investigation of the Oral Microbiome and Pancreatic Cancer 93.393 4500001971 54,619 - Trustees of Boston University - Health Advocates as a Vehicle to Improve Treatment for Smokers in Public Housing 93.393 4500000290 (484) - Trustees of Dartmouth College - A GENOMEWIDE STUDY OF LUNG CANCER IN NEVER SMOKERS 93.393 1428 12,799 - University of Southern California - Elucidating Loci involved in Prostate cancer Susceptibility 93.393 42619211 (64,301) - University of Southern California - Genome wide Sequencing of Prostate Cancer in Men of African Ancestry 93.393 34968337 61,112 - University of Texas - A Genomewide Association of Study of Lung Cancer in Never Smokers 93.393 12052705/98510704 (3,722) - Vanderbilt University Medical Center - Effects of Expanded Coverage on Access, Health Care and Health in the South 93.393 VUMC56386 111,753 - Subtotal of 93.393 93.393 1,438,465 - Beth Israel Deaconess Medical Center - Harvard/Michigan/Cornell Prostate Cancer Biomarker Clinical Validation Center 93.394 1024500 (548) - Brigham and Women's Hospital, Inc - MRI-guided focused ultrasound for drug delivery and ablation of brain tumors (Project 3) 93.394 114165 39,519 - Brigham and Women's Hospital, Inc - MRI-guided focused ultrasound for drug delivery and ablation of brain tumors ¿ Project 3 93.394 114167 40,779 - Brigham and Women's Hospital, Inc - MRI-guided focused ultrasound for drug delivery and ablation of brain tumors (project 1) 93.394 114166 19,752 - Dana-Farber Cancer Institute - Molecular and Genetic Analysis of Neuroendocrine Tumor Risk and Survival 93.394 1194203 (12,215) - Dana-Farber Cancer Institute - Molecular and Genetic Analysis of Neuroendocrine Tumor Risk and Survival 93.394 1194204 18,196 - Emory University - Harvard/Michigan/Cornell Prostate Cancer Biomarker Clinical Validation Center 93.394 T288112 5,607 - Massachusetts General Hospital - Quantitative Analysis of Pharmacological Mechanism by Intravital Imaging 93.394 219649 413,588 - Massachusetts Institute of Technology - Optical Biopsy Using Optical Coherence Tomography 93.394 5710003780 85,677 - University of Massachusetts Medical School - Weight Management Counseling in Medical School: A Randomized Controlled Trial 93.394 WA00399467-OSP2016161 8,255 - Subtotal of 93.394 93.394 618,610 - Massachusetts General Hospital - Dietary sulfur, the gut microbiome, and colorectal cancer 93.395 227950 42,262 - Weill Medical College of Cornell University - Black-White Differences in Advanced Cancer Communication, Acceptance and Care 93.395 15060848-03 240 - Subtotal of 93.395 93.395 42,502 - Beth Israel Deaconess Medical Center - Modeling KRAS genetic heterogeneity in mouse models 93.396 1028630 6,309 - Beth Israel Deaconess Medical Center - A multi-faceted approach to identifying K-Ras synthetic lethal relationships 93.396 1028471 124,913 - Beth Israel Deaconess Medical Center - Basic and translational studies of Ras-mutant colorectal cancer 93.396 1027625 20,756 - Brigham and Women's Hospital, Inc - Molecular Pathogenesis of the Hamartoma Syndromes 93.396 108649 194,060 - Brigham and Women's Hospital, Inc - Molecular Pathogenesis of the Hamartoma Syndromes 93.396 108649 266,327 - Brigham and Women's Hospital, Inc - Oncogenic NOTCH Signaling - Project 3 93.396 108472 305,579 - Brigham and Women's Hospital, Inc - Oncogenic NOTCH Signaling - Project 3 - Supplement 93.396 109065 55,456 - Children's Hospital Boston - Lymphocyte Function Associated Antigens 93.396 RSTFD0000705642 14,137 - Dana-Farber Cancer Institute - Cyclin-dependent kinases in oncogenesis 93.396 1032615 57,077 - Massachusetts General Hospital - Highly Multiplexed FISH for In Situ Genomics 93.396 226226 8,037 - Regents of the University of California - San Francisco - Genetic Models of exRNA Communication 93.396 7798sc 474,475 - Tufts Medical Center - Molecular Wiring and Therapeutic Targeting of EGFR and PDGFR Signaling 93.396 5010814-SERV 188,595 - University of Pittsburgh - Pathogenesis of Cancer - Role of EGF Receptor Endocytosis 93.396 21626 40,729 - Whitehead Institute for Biomedical Research - Mechanisms of Breast Development and Carcinogenesis 93.396 11-1786-1704 306,359 - Subtotal of 93.396 93.396 2,062,809 - Beth Israel Deaconess Medical Center - DF/HCC Kidney Cancer SPORE 93.397 01028445-Project4 72,147 - Dana-Farber Cancer Institute - A national Faith Community atlas on end-of-life spiritual care: informing a religious community education intervention to address end-of-life cancer disparities 93.397 1221005 1,541 - Dana-Farber Cancer Institute - Cancer Center Support Grant 93.397 HSPH-51 214,255 - Dana-Farber Cancer Institute - Cellular adaptations to proteasome inhibitors as novel biomarkers for monitoring drug efficacy and resistance 93.397 1124412 17,376 - Dana-Farber Cancer Institute - Dana-Farber/Harvard Cancer Center Support Grant 93.397 HMS-51 696,790 - Dana-Farber Cancer Institute - Defining transcriptional targets of proliferative signaling pathways in intestinal stem cells 93.397 1138808 61,977 - Dana-Farber Cancer Institute - Developing novel models for revealing spatial and temporal variation in racial/ethnic and socioeconomic cancer mortality: a pilot study. 93.397 2013-LCD-002 103,940 - Dana-Farber Cancer Institute - DF-HCC SPORE in Prostate Cancer - Project 1 93.397 1225413 178,091 - Dana-Farber Cancer Institute - Neutralization of BCL2/BCL-XL enhances the cytotoxic effectiveness of T-DM1 in vivo 93.397 9617846 54,133 - Dana-Farber Cancer Institute - SPORE: Dana-Farber/Harvard SPORE in Breast Cancer 93.397 1230003 19,389 - Dana-Farber Cancer Institute - Synthetic screening to identify novel drug targets within the NF1 signaling network 93.397 1276152 9,681 - The University of New Mexico - Population-based Research Optimizing Screening 93.397 3RF82 200,359 - Univ of TX M.D. Anderson Cancer Ctr - Regulatory T Cell Compartment (Project 2) 93.397 5U54CA163125 166,713 - Subtotal of 93.397 93.397 1,796,392 - Beth Israel Deaconess Medical Center - A National Curriculum in Cancer Genomics for Pathology Residents Supplement 93.398 1028566 2,384 - Beth Israel Deaconess Medical Center - A National Curriculum in Cancer Genomics for Pathology Residents 93.398 1028354 7,321 - Dana-Farber Cancer Institute - Tumor Cell Biology Training Program 93.398 1033934 40,524 - Massachusetts General Hospital - Pilot Study on Association of Oncologists Affect with Chemotherapy Discontinuation at the End of Life 93.398 225397 13,000 -

The accompanying notes are an integral part of this schedule.

66 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Northeastern University - A Regulatory Framework for Substantial Equivalence Product Applications Under the FSPTCA 93.398 500390-78050 42,441 - Subtotal of 93.398 93.398 105,670 - Commonwealth of Massachusetts/Department of Public Health - Mass in Motion: Community-Clinical Partnerships to Reduce Childhood Obesity 93.535 NTF4123H78500224037 113,438 - Subtotal of 93.535 93.535 113,438 - Boston Public Health Commission - Boston Reach Obesity And Hypertension Demonstration Project (Boston REACH) 93.743 FY14013097A 165,732 - Subtotal of 93.743 93.743 165,732 - Beth Israel Deaconess Medical Center - Billing Agreement: Training Program in Cardiovascular Research 93.837 1027798 23,885 - Beth Israel Deaconess Medical Center - EPVent 2 - A Phase II Trial of Esophageal Pressure Guided Ventilation 93.837 1027407 62,870 - Beth Israel Deaconess Medical Center - Immune Functions of the Vascular Endothelium in Health and Disease 93.837 1028417 17,291 - Boston University School of Medicine - Epigenenomic and transcriptomic networks in normal and defective lung development 93.837 4500001945 57,030 - Brigham and Women's Hospital, Inc - Billing Agreement-Effect of Vit. D and Omega-3 Fatty Acids on BP and Hypertension 93.837 113256 6,000 - Brigham and Women's Hospital, Inc - Billing Agreement-The VITAL Rhythm Study 93.837 109361 18,001 - Brigham and Women's Hospital, Inc - Impact of Treatment of Mild Sleep-Disordered Breathing on Children's Health-DCC 93.837 113047 11,555 - Brigham and Women's Hospital, Inc - MicroRNAs in Circulation: Ontologies of Asthma Severity and Treatment (microCOAST) 93.837 113090 108,623 - Brigham and Women's Hospital, Inc - Modifiable Effectors of Renin System Activation: Treatment Evaluation 93.837 106589 15,193 - Brigham and Women's Hospital, Inc - Vascular,Pumonary and Renal Injury 93.837 112698 51,396 - Brigham and Women's Hospital, Inc - Adult Tissue Morphogenesis: Functional Regulation of Intussuceptive Angiogenesis 93.837 114207 85,073 - Brigham and Women's Hospital, Inc - Billing Agreement: trainee Alfred Tamayo 93.837 109278 59,721 - Brigham and Women's Hospital, Inc - Boston Biomedical Innovation Center 93.837 109681 77,361 - Brigham and Women's Hospital, Inc - Genetics of gene expression in human left ventricular myocardium 93.837 113965 19,497 - Brigham and Women's Hospital, Inc - Protection of the heart by PD-1 and PD-L1 93.837 110259 156,916 - Brigham and Women's Hospital, Inc - RISK FACTORS FOR CVD IN WOMEN 93.837 110620 39,788 - Brigham and Women's Hospital, Inc - Billing Agreement: trainee Alfred Tamayo 93.837 109278 47,276 - Brigham and Women's Hospital, Inc - Targeting erythropoietin-based therapeutics 93.837 112475 78,160 - Brigham and Women's Hospital, Inc - Optimizing Revascularization of Coronary Artery Disease in Chronic Kidney Disease 93.837 110015 46,387 - Brigham and Women's Hospital, Inc - Vascular,Pumonary and Renal Injury 93.837 112698 42,262 - Children's Hospital Boston - Megakaryocyte Transcription Factor Activation to Enhance In Vitro Platelet Production from Human IPSCs 93.837 RSTFD0000654484 3,239 - DRVision Technologies LLC - Efficient Patient-Specific Cell Generation by Image-Guidance 93.837 A15268 104,643 - Duke University - Novel Mechanisms and Therapies in Heart Failure 93.837 2031048 5,899 - Duke University - Novel Mechanisms and Therapies in Heart Failure 93.837 2034806 100,286 - Joslin Diabetes Center - Genetic modifiers of the effect of intensive glycemic control on CVD risk 93.837 Sub2-HL110400-Kraft 7,621 - Massachusetts General Hospital - Promoting employee health through the worksite food environment 93.837 226216 51,948 - Massachusetts General Hospital - Reducing Environmental Tobacco Smoke Exposure in Public Housing 93.837 220402 68,907 - Massachusetts General Hospital - Intregrating Lipid Genotypes and Phenotypes in iOS-derived Hepatocyes / Adipocytes 93.837 218179 312,446 - Massachusetts General Hospital - Microenvironmental Control of Progenitors in Organ Dysfunction and Repair 93.837 215520 129,731 - Massachusetts General Hospital - Primary prevention of vascular events in HIV 93.837 224846 172,123 - Massachusetts General Hospital - The Impact of anti-inflammatory treatment with low dose methotrexate 93.837 224883 8,854 - New England Research Institutes, Inc. - RNA Expression Core Facility for the B2B CvDC 93.837 No Award Number (31,773) - Regents of the University of California - San Diego - Reference Profiles of ExRNAs in Normal Human Pregnancy 93.837 52925854 48,388 - Regents of the University of California - San Francisco - Effect of low dose methotrexate on endothelial function and inflammation on HIV 93.837 7455sc 41,402 - Stanford University - Statistical Methods for Optimizing Personalized Treatment Selection 93.837 60552401-44738 85,689 - Trustees of Dartmouth College - Proximity to Food Establishments and BMI in the Framingham Heart Study 93.837 1396 42,740 - Tufts University - Diet and metabolic risks: joint drivers of global epidemiologic transition 93.837 K99HL-124321-Singh 10,130 - University of Chicago - Preclinical development of myosolvins, a new class of medicine 93.837 FP056317-E 120,531 - University of Maryland, Baltimore - Bioinformatics Core Proposal for the NHBLI Progenitor Cell Biology Consortium 93.837 101330A 39,694 - University of Massachusetts at Amherst - Statistical methods for large-scale, prospective, epidemiologic studies 93.837 15-008650-A00 55,517 - University of Pennsylvania - Personalization of Therapeutics Efficacy and Risk 93.837 10028157 70,464 - University of Pittsburgh - The Role of Physician Networks in the Adoption of New Prescription Drugs 93.837 0034064 (127352-3) 29,301 - Washington University - A Multi-Ethnic Study of Gene-Lifestyle Interactions in Cardiovascular Traits 93.837 WU-16-252 7,168 - Subtotal of 93.837 93.837 2,509,233 - Brigham and Women's Hospital, Inc - Billing Agreement-Weiss T32HL007427 CLINICAL EPIDEMIOLOGY OF LUNG DISEASES 93.838 108859 18,614 - Brigham and Women's Hospital, Inc - Billing Agreement-Weiss T32HL007427 CLINICAL EPIDEMIOLOGY OF LUNG DISEASES 93.838 108859 39,133 - Brigham and Women's Hospital, Inc - Identifying Genetic Determinants of Severe Early Onset COPD 93.838 107872 46,810 - Brigham and Women's Hospital, Inc - Early Life DNA Methylation and Childhood Allergic Disease 93.838 113444 194,877 - Brigham and Women's Hospital, Inc - Genetic Epidemiology of COPD: Genome-Wide Analysis 93.838 108252 183,258 - Brigham and Women's Hospital, Inc - Genetics and Gene Expression Profiling in Asthma 93.838 107599 1,849 - Brigham and Women's Hospital, Inc - Leveraging Family Data to Identify Genetic Variants for Sleep Apnea 93.838 108605 156,080 - Brigham and Women's Hospital, Inc - Lung Vitamin D and Omega-3 Trial 93.838 105859 113,470 - Brigham and Women's Hospital, Inc - Pharmacogenetics of Asthma Treatment 93.838 106219 12 - Brigham and Women's Hospital, Inc - Project 1: Genetics of COPD 93.838 107263 21,694 - Brigham and Women's Hospital, Inc - The Genetic Epidemiology of Asthma in Costa Rica 93.838 106790 16,290 - Icahn School of Medicine at Mount Sinai - Perinatal Stress and Programming of Childhood Wheeze and Lung Function 93.838 0255-5572-4609 18,314 - Icahn School of Medicine at Mount Sinai - Prenatal Stress and Epigenetic Programming of the HPA Axis and Autonomic Balance 93.838 0255-5254-4609 145,388 - University of Colorado Denver - Data Fusion-A Self-Scaling, Open Source Registry Advancing Pediatric Pulmonary Vascular Disease Research 93.838 FY16.369.004 63,120 - Subtotal of 93.838 93.838 1,018,909 -

The accompanying notes are an integral part of this schedule.

67 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Beth Israel Deaconess Medical Center - In Situ Regeneration of Bioactive Surfaces: Rechargeable Anti-thrombogenic Films 93.839 1026762 124,455 - Beth Israel Deaconess Medical Center - Targeting the Endothelium in Sepsis 93.839 1027662 190,343 - Beth Israel Deaconess Medical Center - BIDMC Single Cell Revision 93.839 1027653 17,625 - Brigham and Women's Hospital, Inc - Billing Agreement-The Effect of Vit D and Omega 3 on Anemia in the Elderly 93.839 108665 11,825 - Brigham and Women's Hospital, Inc - Genetic and Environmental Risk Factors for Venous Thromboembolism 93.839 113440 68,531 - Children's Hospital Boston - Billing Agreement: trainee David Alvarez 93.839 RSTFD0000677760 55,640 - Children's Hospital Boston - Immune Receptor Recognition and Signaling in Cell Membrane 93.839 641180 443,891 - Daktari Diagnostics, Inc. - Self-assembling Density Gradients for Sickle Cell Diagnosis in Low Resource Areas 93.839 No Award Number 29,518 - Massachusetts General Hospital - A systems biology approach to fingerprint HIV immune defense in Elite Controllers 93.839 225082 14,188 - Massachusetts General Hospital - Systematic cell-based functional screening for LDL and triglyceride genes 93.839 224904 117,861 - Subtotal of 93.839 93.839 1,073,877 - Brigham and Women's Hospital, Inc - Clinical Orthopedic and Musculoskeletal Education and Training 93.846 109304 (3,288) - Brigham and Women's Hospital, Inc - Sociodemographic Disparities in SLE Incidence: Behavioral and Psychosocial Factors 93.846 113176 26,993 - Massachusetts General Hospital - Impact of Cardiovascular and Weight Loss Diets on Uric Acid and Gout Risk 93.846 224821 24,081 - Massachusetts General Hospital - VEGF-dependent control of osteoblast/adipocyte differentiation. 93.846 224532 33,195 - Brigham and Women's Hospital, Inc - Clinical Orthopedic and Musculoskeletal Education and Training 93.846 109304 42,278 - Subtotal of 93.846 93.846 123,259 - Beth Israel Deaconess Medical Center - Mapping brainstem control of urine storage and voiding in conscious mice 93.847 1027576 260,093 - Beth Israel Deaconess Medical Center - Memory Advancement by Intranasal Insulin in Type 2 Diabetes (MemAiD) 93.847 1028191 3,371 - Beth Israel Deaconess Medical Center - Role of Macrophages in Impaired Wound Healing in Diabetes 93.847 1028521 16,894 - Boston Medical Center - Boston Obesity Nutrition Research Center 93.847 2137 108,353 - Boston Medical Center - Probing the Molecular Mechanisms of Lipid Detection 93.847 186713 3,000 - Boston Medical Center - Risk Factors for Barrett's Esophagus 93.847 2284 (1,091) - Boston Nutrition Obesity Research Center - Integrating mHealth Approaches to Assess Contextual Exposures, Physical Activity, Sleep, and Obesity in a Prospective Cohort Study 93.847 4860 6,370 - Brigham and Women's Hospital, Inc - Biomarkers of Histopathology in Chronic Kidney Disease 93.847 108463 21,801 - Brigham and Women's Hospital, Inc - Billing Agreement: Factors influencing change in 24 hour urine composition 93.847 106772 10,875 - Brigham and Women's Hospital, Inc - Biochemical and Genetic Markers of Type 2 Diabetes 93.847 105640 53,073 - Brigham and Women's Hospital, Inc - Engineering a Cell-Based Glucose Monitor 93.847 109687 61,753 - Brigham and Women's Hospital, Inc - Human Studies on Blood Levels of Glycated CD59 as a Biomarker in Diabetes 93.847 110959 29,139 - Brigham and Women's Hospital, Inc - Identifying Risk Factors and Improving Risk Assessment for Nephrolithiasis 93.847 109482 23,492 - Brigham and Women's Hospital, Inc - Risk Factors for and Tissue Biomarker Expression in Primary Hyperparathyroidism 93.847 110397 30,333 - Children's Hospital Boston - Customized stem cells for clinical application in blood disorders 93.847 456983 (51,990) - Children's Hospital Boston - Billing Agreement: trainee Rodrigo Gonzalez 93.847 PO 0000638409 44,343 - Children's Hospital Boston - Customized Stem Cells for Clinical Applications in Blood Disorders 93.847 RSTFD0000649675 384,568 - Children's Hospital Boston - Gut microbiota regulation by pain-sensing neurons 93.847 633812 31,250 - Dana-Farber Cancer Institute - Control of Adipocyte Gene Expression and Physiology 93.847 1032935 24,289 - Duke University - Microbial regulation of host nutrient metabolism 93.847 2034784 61,038 - Group Health Cooperative/Center for Health Studies - Long-Term Benefits and Risks of Bariatric Surgery in Integrated Care Systems 93.847 2015202906 5,542 - Group Health Cooperative/Center for Health Studies - Impact of Bariatric Surgery on Long-term Diabetes Remission and Complications 93.847 2015140863 26,077 - Harvard Pilgrim Health Care, Inc - Impact of Emerging Health Insurance Designs on Diabetes Complications 93.847 AH000527 55,767 - Joslin Diabetes Center - Activin regulation of glucagon action: a novel therapeutic opportunity for type 2 diabetes 93.847 P30DK03683629Perrimon.HMS 50,334 - Massachusetts General Hospital - Billing Agreement: Center for the Study of Inflammatory Bowel Disease: Core F 93.847 217656 3,174 - Massachusetts General Hospital - Infant Sleep Characteristics and Accelerated Growth Trajectories from Birth to 24 months 93.847 227074 114,176 - Massachusetts General Hospital - A Human-Centered Pharmacogenomic Screen of Metformin Action 93.847 225209 6,418 - Massachusetts General Hospital - Billing Agreement: Genetic and Lifestyle Factors and Risk of Gastrointestinal Bleeding 93.847 223192 7,456 - Massachusetts General Hospital - Common Genetic Variation and Quantitative Diabetes Traits 93.847 218446 (200) - Massachusetts General Hospital - Deconvoluting the hematopoietic niche under stress 93.847 227794 19,283 - Massachusetts General Hospital - Inflammation and Risk of Diverticulitis 93.847 224804 179,908 - Pennington Biomedical Research Center - Methylomics of prenatal GDM: Natural history and lifestyle intervention in children 93.847 50363-S1 61,876 - Regents of the University of California - Santa Barbara - Ambulatory Artificial Pancreas: merging physiology, behavior and control design 93.847 KK1648-a 305,347 - Regents of the University of California - Santa Barbara - An Implanted Intraperitoneal (IP-IP) Artificial Pancreas: A Quantum Leap Forward 93.847 KK1651 25,326 - San Diego State University Research Foundation - Type 2 Diabetes and Sexual Orientation Disparities in Women 93.847 SA0000379 62,450 - The Broad Institute - Autophagy genes and the microbiome in Crohn's Disease 93.847 5230111-5500000510 4,217 - The Broad Institute - Billing Agreement - Data Coordinating Center for the Consortium for Identification of Environmental Determinants of Diabetes in the Young (TEDDY) 93.847 2014-Harvard-19 37,615 - The Broad Institute - Billing Agreement - Data Coordinating Center for the Consortium for Identification of Environmental Determinants of Diabetes in the Young (TEDDY) 93.847 2015-Harvard-17 51,638 - The Broad Institute - Billing Agreement: Analysis and Data Integration for the TEDDY Microbiome and Viral Metagenomics Lab 93.847 2015-Harvard-24 98,823 - Tufts Medical Center - VITAMIN D AND TYPE 2 DIABETES (D2D) 93.847 PO5010811SERV 31,304 - Tufts University School of Dental Medicine - iPSC-derived Repair-Responsive Fibroblasts to Heal Diabetic Foot Ulcers 93.847 002777-00001 116,493 - Tulane University - Obesity Genes, Energy Regulation in Response to Weight-Loss Diets 93.847 HSC-553996-15/16 27,692 - University of Massachusetts Medical School - Humanized Mouse Avatars for T1D 93.847 WA00239846-RFS2015105 11,863 - Xeris Pharmaceuticals, Inc. - Closed-Loop Glucagon Pump for Treatment of Post-Bariatric Hypoglycemia 93.847 123953 51,277 - Subtotal of 93.847 93.847 2,474,810 - Beth Israel Deaconess Medical Center - Billing Agreement: Short Sleep Duration and Sleep Disturbance as a Trigger of Migraine 93.853 1028425 3,853 - California Institute of Technology - Functional Mapping of Pathways for Sensory-Motor Integration 93.853 21B-1095833 397,069 - Children's Hospital Boston - Billing Agreement: trainee Lisa Boxer 93.853 RSTFD0000658149 31,007 - Children's Hospital Boston - Cell Identity Determination In Cerebral Cortex: Genetic analysis of cell lineage 93.853 648067 139,187 - Children's Hospital Boston - TRP channels as drug portals to block calcium channels and synaptic transmission 93.853 RSTDF0000657456 344,156 - Dana-Farber Cancer Institute - Metabolic control of neuronal activity by fuel substrate switching 93.853 1218804 132,469 - Johns Hopkins School of Medicine - Targeting a SMN antisense transcript for the treatment of SMA 93.853 2002916726 2,004 - Massachusetts General Hospital - Phase 3 trial of inosine for Parkinson's disease CCC 93.853 226396 19,780 - Pennsylvania State University - Statins, statin-related gene, and Parkinson's disease risk 93.853 5228-PFHC-DHHS-7235 174,262 -

The accompanying notes are an integral part of this schedule.

68 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Posit Science Corporation - Amplified attention training (AAT) for the treatment of hemispatial neglect 93.853 PSC-1004-13 97,867 - Washington State University - Optqenetic resource for studying cerebral cortex network function 93.853 119566-G003219 21,652 - Subtotal of 93.853 93.853 1,363,306 - Beth Israel Deaconess Medical Center - SLAM gene family controlled pathways to SLE 93.855 1028273 260,667 - Board of Regents of the University of Wisconsin - Madison - Antimicrobial Drug Discovery from Coevolved Symbiotic Communities 93.855 660K940 525,768 - Boston University School of Medicine - Phase 2 Pharmacodynamic Study of High-Dose Levofloxacin In MDR-TB Treatment 93.855 4500001850 46,303 - Brandeis University - Unraveling the polymodal behavior of sensory transduction receptors 93.855 403164 17,512 - Brigham and Women's Hospital, Inc - ACTG Leadership and Operations Center 93.855 110298 801,363 - Brigham and Women's Hospital, Inc - Antiretroviral Drug Resistance in KwaZulu Natal 93.855 109461 3,872 - Brigham and Women's Hospital, Inc - Core A: Metabolic factors that control the spectrum of human tuberculosis [TBRU] 93.855 111846 48,402 - Brigham and Women's Hospital, Inc - Core B: Metabolic factors that control the spectrum of human tuberculosis [TBRU] 93.855 111896 19,450 - Brigham and Women's Hospital, Inc - Finding and Treating Unsuspected and Resistant TB to Reduce Hospital Transmission 93.855 111945 28,751 - Brigham and Women's Hospital, Inc - Nanotechnology-based transcription core 93.855 112673 84,500 - Brigham and Women's Hospital, Inc - Project 1: Metabolic Factors that control the spectrum of Human Tuberculosis [TBRU] 93.855 111899 59,113 - Brigham and Women's Hospital, Inc - Project 3: Metabolic factors that control the spectrum of human tuberculosis [TBRU] 93.855 111903 29,176 - Brigham and Women's Hospital, Inc - Role of tuberculosinyl metabolites in M. tuberculosis virulence 93.855 111839 44,322 - Brigham and Women's Hospital, Inc - Same-Day HIV Testing and Treatment Initiation to Improve Retention In Care 93.855 108973 14,852 - Brigham and Women's Hospital, Inc - The Fetal and Childhood Environment, Oxidative Balance, Inflammation and Asthma 93.855 109320 332,772 - Brigham and Women's Hospital, Inc - TIM Family of Genes: Role in T Cell Immunity and Tolerance (Core C) 93.855 112676 41,268 - Chapman University - Adaptive Aging: Psychological Well-Being and Favorable Cardiovascular Health 93.855 2014-001 26,344 - Children's Hospital Boston - School Inner-City Asthma Intervention Study 93.855 RSTFD0000672134 451,446 - Dana-Farber Cancer Institute - Billing Agreement: trainee Kathleen McGuire 93.855 1040822 (399) - Dana-Farber Cancer Institute - Eliciting B Cells to Produce Anti-HIV gp41 MPER-specific Neutralizing Antibodies 93.855 1238305 219,480 - Duke University - Antibacterial Resistance Leadership Group (ARLG) 93.855 2038093 794,141 - Family Health International - CTU HPTN 052 P 93.855 FCO793-ID0080.0227 235,319 221,163 FHI Development 360 - HPTN 081 A phase 2b study to evaluate the safety and the efficacy of VRC01 93.855 PO15004266 123,019 107,644 Harvard Pilgrim Health Care, Inc - Conjugate vaccine impact of pneumococcal carriage, disease, and population (SPARC2) 93.855 PH000391A 83,952 - Health Research, Inc. - A Community Mycobacterial Systems Resource 93.855 4468-01 360,874 - Johns Hopkins University - LOC-IMPAACT Leadership Group 93.855 2002419854 690,185 - Johns Hopkins University - International Maternal Pediatric Adolescent AIDS Clinical Trials Group 93.855 2002419394 214,504 - Johns Hopkins University - North American AIDS Cohorts Collaboration on Research and Design 93.855 2001317193 22,399 - Johns Hopkins University - Statistical Designs and Methods for Double-Sampling for HIV/AIDS 93.855 2001829835 31,508 - KwaZulu-Natal Research Institute for Tuberculosis and HIV - Fate of M. tuberculosis Antibiotic Survivors 93.855 5R21AI116442-02 62,714 - Massachusetts Eye and Ear Infirmary - Harvard Wide Program on Antibiotic Resistance 93.855 5P01AI083214-08 380,591 - Massachusetts Eye and Ear Infirmary - Harvard Wide Program on Antibiotic Resistance 93.855 5P01AI083214-08 356,208 - Massachusetts General Hospital - A Pilot clinical trials for HIV eradication 93.855 225870 7,305 - Massachusetts General Hospital - Billing Agreement Harvard University Center for AIDS Research: T Cell Effector Attachment Pathways 93.855 225504 5,265 - Massachusetts General Hospital - Gut microbiome evolution among HIV-exposed uninfected infants in Botswana 93.855 226820 2,224 - Massachusetts General Hospital - Optimizing HIV Care in Less Developed Countries 93.855 224628 75,937 - Massachusetts General Hospital - The ethics of electronic adherence monitoring for HIV research and care in Uganda 93.855 222582 95,634 - Massachusetts General Hospital - Cardiovascular Disease Risk in HIV-infected Women: Sex-Specific Mechanisms of Risk and Risk Reduction among REPRIEVE Trial Participants 93.855 227111 39,943 - Massachusetts General Hospital - The ethics of electronic adherence monitoring for HIV research and care in Uganda 93.855 222582 (8,845) - Massachusetts General Hospital - Cost Effectiveness of Preventing HIV Complications 93.855 226292 61,182 - Massachusetts General Hospital - Immune responses to Vibrio cholerae Infection and vaccination in Haiti 93.855 221574 20,701 - Massachusetts General Hospital - Inflammation and the Vaginal Microbiome in HIV Acquisition 93.855 224082 66,168 - Massachusetts General Hospital - Novel Methods to Inform HIV/TB Clinical Trial Development 93.855 219762 1,541 - Massachusetts General Hospital - Novel Methods to Inform HIV/TB Clinical Trial Development 93.855 226434 21,689 - Massachusetts General Hospital - Novel Methods to Inform HIV/TB Clinical Trial Development 93.855 219762 3,535 - Massachusetts General Hospital - Optimizing HIV Care in Less Developed Countries 93.855 224628 28,292 - Massachusetts General Hospital - Project 3 - Induced tolerogenic dendritic cell therapy of allergic diseases 93.855 219483 386,717 - New York University Langone Medical Center - Characterization of Pupylation in Mycobacterium Tuberculosis 93.855 10-01259 28,224 - Texas A&M Research Foundation - Structure-based Discovery of Critical Vulnerabilities of Mycobacteria 93.855 99-S130608 221,116 - The Broad Institute - Billing Agreement - Microfluidic sample preparation for genomic sequencing of clinical pathogen isolates (Blainey R21) 93.855 2016-Harvard-3 12,061 - The Broad Institute - Targeting the Mitochondrion of P. falciparum 93.855 6220094-5500000502 277,677 - The Broad Institute - Billing Agreement-Infectious Disease Genomics: Pathogen Evolution, Emergence, and Host Interaction 93.855 5400000041 23,329 - The Broad Institute - Elucidating Genetic Determinants of Resistance to Lassa Hemorrhagic Fever 93.855 5700161-5500000755 140,292 - The Broad Institute - Infectious Disease Genomics: Pathogen Evolution, Emergence and Host Interactions 93.855 5035416-5500000876 26,521 - The Broad Institute - Infectious Disease Genomics: Pathogen Evolution, Emergence, and Host Interactions 93.855 5035418-5500000848 109,872 - The Broad Institute - Targeting the Mitochondrion of P. falciparum 93.855 6220094-5500000505 11,738 - The State University of New York - Apicomplexan Drug Target Discovery 93.855 R882538 11,528 - The University of New Mexico - Stimulating protective CD4+ T cell immunity to Chlamydia trachomatis 93.855 3RT66 278,729 - Tulane University - Population-based Approach to malaria Research and Control 93.855 TUL-HSC-553427-15/16 82,917 - University of Massachusetts Medical School - Tuberculosis and T cell recognition 93.855 WA00418523/OSP2016182 14,495 - University of North Carolina - Chapel Hill - Structural models for Treatment and exposure effects in Clinical HIV Cohorts 93.855 5103997 25,263 - University of Pennsylvania - Molecular Basis for Activity by Membrane Bound O-Acyltransferases. 93.855 568945 19,025 - University of Pittsburgh - HIV-TB Co-infection: Tracking TB emergence after asymptomatic (latent) infection 93.855 0038654 (124296-1) 83,163 - University of Pittsburgh - Core D: Synergies among Inhibitory Receptors in Tolerance Cancer and Antiviral Immunity 93.855 9011704 (126208-1) 3,883 - University of Pittsburgh - Project 1: Synergies among Inhibitory Receptors in Tolerance Cancer and Antiviral Immunity 93.855 9011705 (126209-1) 128,287 - University of Pittsburgh - Simplified Assays of Latent But Inducible HIV 93.855 0040738-125128-1 10,154 - University of Pittsburgh - The Consequences of Reinfection with M. tuberculosis 93.855 46965 212,393 - University of Washington - Malaria Evolution in South Asia 93.855 UWSC7748 177,251 - University of Washington - Interventions to Decrease HIV Infectiousness in Uganda 93.855 UWSC7227 4,638 - Yale University - Costimulatory Mechanisms of Autoimmunity (Composite) 93.855 A08022 (M11A10892) 173,318 -

The accompanying notes are an integral part of this schedule.

69 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Yale University - Evaluating health and economic effects of targeted strategies in TB/HIV 93.855 M15A12042-A100152 83,985 - Subtotal of 93.855 93.855 9,377,523 328,807 Albert Einstein College of Medicine - Atoms-to-Animals: Structural Genomics of Immunity 93.859 31524j (4,425) - Baylor College of Medicine - A Comprehensive Resource for Manipulating the Drosophila Genome 93.859 5601104954 379,210 - Beth Israel Deaconess Medical Center - Billing Agreement: Dynamic Markers of Intraoperative Instability 93.859 1025806 9,577 - Brandeis University - Core Account : Genetic and Physiological Mechanisms of Temperature Detection and Compensation 93.859 403235 150,378 - Brandeis University - Genetic and Physiological Mechanisms of Temperature Detection and Compensation 93.859 403233 114,354 - Brandeis University - Genetic and Physiological Mechanisms of Temperature Detection and Compensation (Project 3) 93.859 403234 336,698 - Brigham and Women's Hospital, Inc - Improving polygenic prediction using large next-generation data sets 93.859 110757 355,034 - Brigham and Women's Hospital, Inc - Optical Microresonator Biosensors for High-Throughput, Real-Time Analysis of Cell 93.859 107337 149,451 - Case Western Reserve University - Investigating the Structural Assembly of RNR Multimers 93.859 RES507181 18,062 - Columbia University - Influenza Outbreak Prediction: Applying Data Assimilation Methodologies to Make Skillful Forecasts of an Inherently Chaotic, Nonlinear System 93.859 1-GG006277 18,802 - Fred Hutchinson Cancer Research Center - Statistical Methods for Prospective Evaluation of Biomarkers 93.859 839274 37,153 - Iowa State University - Highly simplified model of a mammalian intestinal community 93.859 430-23-08 84,258 - Massachusetts General Hospital - Core C: Protein Chemistry 93.859 224991 284,368 - Massachusetts General Hospital - Project 1: Locating General Anesthetic Binding Sites in GABAA and Glycine Receptors 93.859 224993 281,280 - Memorial Sloan Kettering - Accelerated determination of 3D structures of large proteins and protein complexes 93.859 BD516905B 108,115 - New York University - Collaborative Research: Understanding mitotic spindle positioning through integrated mathematical modeling and biophysical experiment 93.859 F7087-01 16,505 - New York University School of Medicine - Transcontinental EM Initiative for Membrane Protein Structure 93.859 15-A0-00-004108-01 156,442 - Northwestern University - Regulation and Function of Intermediate Filaments in Cell Mechanics 93.859 60029185 HC 234,887 - Regents of the University of California - Berkeley - Molecular Regulation of Choanoflagellate-Bacteria Signaling Interactions 93.859 7893 141,938 - Regents of the University of California - San Diego - Microscopy and Image Analysis of Unstained Macromolecules 93.859 53926897 19,194 - Regents of the University of California - Santa Cruz - Control of cell growth and size by a novel cell cycle checkpoint mechanism 93.859 S0184248 50,963 - Regents of the University of Michigan - CHARMM Modernization, Performance and Continued development 93.859 3002430433 23,028 - Regents of the University of Michigan - Translation frameshift and regulation 93.859 3002505532 257,578 - Rockefeller University - A minimally invasive synthetic biology-driven approach for natural products discovery 93.859 5U01GM110714-02 423,698 - Texas A&M Research Foundation - Structures of M. tuberculosis proteins conferring susceptibility to known M. tuberculosis inhibitors 93.859 99-S140684 (7,402) - University of Georgia Research Foundation, Inc. - Novel statistical tools for cell line specific epigenetic analysis 93.859 RR193-157/4945416 203,104 - University of Pennsylvania - Non-Parametric Bayesian Methods for Causal Inference 93.859 565220 23,903 - University of Southern California - Multi-scale modeling of genetic variation in a developmental network 93.859 63664069 142,414 - University of Texas Health Science Center at Houston - Unified Methods for Sequence-based Association Studies 93.859 0009574A 57,468 - Virginia Institute of Marine Science - The impacts of host vaccination and selective breeding for disease resistance on pathogen transmission and ecology in freshw 93.859 718792-712684 118,834 - Yale University - Pathophysiology of plasma membrane PI4P generation 93.859 M15A12173(A10257) 20,965 - Subtotal of 93.859 93.859 4,205,834 - Children's Hospital Boston - Patient-oriented Research in Pediatric Diarrheal Diseases 93.865 469739 7,717 - Children's Hospital Corporation - The Ventral Medulla and the Sudden Infant Death Syndrome 93.865 RSTFD0000582462 (51,589) - Dana-Farber Cancer Institute - Assessing parent-of-origin transcriptional effects in Xenopus laevis 93.865 1228202 26,682 - Icahn School of Medicine at Mount Sinai - Advancing use of hair and salivary cortisol in stress-asthma research 93.865 0255-8001-4609 12,391 - Institut de Recherche pour le Developpment-Program for HIV Prevention and Treatment - Antiviral prophylaxis to prevent perinatal transmission of HBV in Thailand 93.865 303223-3 27,663 - Johns Hopkins School of Medicine - Early Antiretroviral Therapy and HIV Remission in Perinatal Infection 93.865 2002295010 33,894 - Massachusetts General Hospital - Improving Outcomes for HIV-infected children in South Africa and Cote d'Ivoire 93.865 224642 39,671 - Massachusetts General Hospital - Natural Experiment of Value-Based Incentives for Preventative Services 93.865 221478 130,142 - New York University - Testing CSRP's impact on low-income children's outcomes in 3rd-5th Grade: A 5-Year follow-up 93.865 F6077-08 1,172 - Queen's University - Comparative Safety of Buprenorphine vs. Methadone in Pregnancy 93.865 2 44,104 - Regents of the University of California - Davis - Effects of Chronic Intranasal Oxytocin 93.865 201122073-02 9,765 - San Diego State University Research Foundation - Health, Poverty and Place: Modeling Inequalities in Accra Using RS and GIS 93.865 54975E-P1109-7802-211 (7,454) (7,454) Swedish Medical Center Foundation - Triggers of Abruptio Placentae - A Case Crossover Study of an Ischemic Placental Disorder 93.865 803033-C-Yr-1 75,453 - Temple University - Snacking in young children: parental definitions, goals, and approaches to feeding 93.865 252272 7,121 - Tulane University - Disparities in Recovery from Hurrican Katrina: NOLA@10 93.865 TUL-HSC-553815-15/16 35,573 - University of Mississippi Medical Center - The role of SIRT1 in cardiac metabolic regulation during ischemia 93.865 66106640316 53,441 - University of Texas - San Antonio - Epimutations in Offspring Produced by Assisted Reproductive Technologies (ART) 93.865 1000000442 265,003 - Subtotal of 93.865 93.865 710,749 (7,454) Boston University School of Medicine - Identifying epigenetic mechanisms underlying age-related disease risk in CHARGE 93.866 4500002002 26,806 - Brown University - Changing Long-Term Care in America 93.866 669 21,692 - Hebrew SeniorLife - Cerebrovascular Mechanisms of Slow Gait and Falls 93.866 10.10.90072 74,561 - National Bureau of Economic Research - Economics of Health, Wealth and Well-being 93.866 33-4135-03-6-HMS (3) - National Bureau of Economic Research - Universal Health Care Insurance and the Adequacy and Efficiency of Health Care 93.866 4100A.01-HMS 162,358 - National Bureau of Economic Research - What Does Health Insurance Do Evidence from the Oregon Health Insurance Lottery 93.866 HSPH-33-4126A 307,043 - Northwestern University - LITCOG II: Health Literacy and cognitive Function among Older Adults 93.866 60028515 10,084 - Northwestern University - Optimal Older Donor and Recipient Matching to Enhance Liver Transplant Outcomes 93.866 60040706-HC 30,042 - Posit Science Corporation - Amplified Attention Training (AAT) for Age-related Cognitive Decline 93.866 PSC- 1006-14 119,179 - Regents of the University of California - Cumulative Stress and Cardiovascular Risk in Middle Aged and Older Women 93.866 8783SC 112,481 - Rush University Medical Center - MIND Diet Intervention to Prevent Alzheimers Disease 93.866 15052004-HARV 171,101 - The University of New Mexico - Biodemography of Aging in Wild Chimpanzees 93.866 045446-87D7 6,841 - Trustees of Dartmouth College - Causes and Consequences of Health Care Efficiency 93.866 R140 14,652 - University of Wisconsin - Integrative Pathways to Health and Illness Project 1 - Psychosocial Contributors 93.866 618K214 64,211 - Yale University - Developing a method for estimating the overall impact of behavioral interventions in a social network using egocentric network samples 93.866 C14A11852 (A10334) 31,856 - Subtotal of 93.866 93.866 1,152,904 - Massachusetts Eye and Ear Infirmary - Multi-ethnic GWAS of diabetic retinopathy: enhanced power using new statistical methods 93.867 No Award Number 23,712 - Massachusetts Eye and Ear Infirmary - The NEIGHBORHOOD: POAG Heritable Overall Operational Database 93.867 2300142-01 27,948 - Northwestern University - The Mechanical basis of Primary Open Angie Glaucoma 93.867 SP0004560/PROJ0001557 (6,566) -

The accompanying notes are an integral part of this schedule.

70 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Northwestern University - The Mechanical Basis of Primary Open Angle Glaucoma 93.867 SP0028943-PROJ0007599 129,560 - University of Rochester - Accelerating vision restoration through in-vivo cellular imaging of inner and outer retina 93.867 416635-G 123,522 - Subtotal of 93.867 93.867 298,176 - Brigham and Women's Hospital, Inc - Innovative Interdisciplinary Approaches to Sustainable Airborne Infection Control 93.989 108388 43,257 - College of Medicine of the University of Lagos - Building Research And Innovation in Nigeria's Science - (BRAINS) 93.989 Harvard-TW010134 71,804 - Institute for Clinical Effectiveness and Health Policy - Promoting Capacity Building in Chronic Diseases Research in South America 93.989 E0047 39,787 - Northwestern University - Fogarty HIV Research Training Program for Low and Middle Income Country Institution 93.989 60042025 10,436 - Regents of the University of Michigan - Discovery of Natural Product-Based Drugs from Costa Rican Biota 93.989 3001330903 (4,507) - University of Ibadan - Medical Education Partnership in Nigeria 93.989 Harvard-TW010140 51,316 - University of Jos - Support of Training and Mentoring in Nigeria for Academics [STAMINA] 93.989 UJHVD-STAMINA-Y1 79,155 - Subtotal of 93.989 93.989 291,248 - The Broad Institute - Center for Cell Circuits 93.172, 93.242 7010035-5500000586 111,520 - Subtotal of 93.172, 93.242 93.172, 93.242 111,520 - Abt Associates, Inc. - Evaluation of the Oncology Care Model 93.Contract 46244 212,075 - Boston Public Health Commission - Boston Partners in Community Health (PICH) 93.Contract 1U58DP005788-01 192,457 - Brigham and Women's Hospital, Inc - The Long-term Oxygen Treatment Trial 93.Contract 101949 53,593 - Children's Hospital Boston - Adjuvant Discovery Program 93.Contract RSTFD0000661189 121,293 - Commonwealth of Massachusetts/Department of Public Health - Nutrition standards baseline data collection- (MDPH Healthy Hospitals Evaluation) 93.Contract INTF4120HH2500224047 73,455 - Commonwealth of Massachusetts/Department of Public Health - Commonwealth of Massachusetts Department of Public Health Hospital Preparedness Program 2014 Exercise Series 93.Contract 502718 711,340 - Commonwealth of Massachusetts/Department of Public Health - Enhancing Massachusetts' Ability to Optimally Respond to a Food Borne Illness Outbreak 93.Contract DPHMA-300522 2,225 - ECRI - NGC-NQMC 93.Contract HHSA290201300006C 5,532 - Entropia Biosciences Inc. - iWISE, a PCR-based ctDNA testing platform ready for clinical adoption 12.Contract No Award Number 59,458 - Health Research and Educational Trust - Development and Demonstration of a Surgical Unit-based Safety Program in Ambulatory Surgery (SUSP-AS) 93.Contract 80801 801,118 - ICF International, Inc - Mapping Executive Function: Translating Research Evidence for Application 93.Contract 15JTPO0217 68,874 - ICF International, Inc - Epidemiology and Genomics Research Scientific Challenge 93.Contract 14KYP0005 7,968 - J. Craig Venter Institute - Bioinformatics Resource Centers for Infectious Diseases - Viral 93.Contract JCVI-14-003 19,456 - Johns Hopkins University Applied Physics Laboratory - Johns Hopkins Center of Excellence for Influenza Research and Surveillance 93.Contract 121623 71,260 - L and M Policy Research, LLC - Evaluation of the Nursing Home Value Based Purchasing Demonstration 93.Contract NHVBPD-2008-02 (2,003) - Rand Corporation - Implementation of the Medicare PDP and MA Plan Disenrollment Reasons Survey 93.Contract 9920140154 62,742 - Rand Corporation - CAHPS Survey for the Medicare Shared Savings Program and Other Physician Quality Programs 93.Contract 9920120022 225,049 47,308 Rand Corporation - Implementation of the CAHPS Surveys for the Medicare Shared Savings Program, Physician Quality Reporting System and Other Physician Quality Programs 93.Contract 9920150141 4,595 - Rand Corporation - National Implementation of Medicare Advantage and Prescription Drug Plan CAHPS Surveys 93.Contract 9920140165 597,612 106,706 Rand Corporation - National Implementation of the Hospice Patient Experience of Care 93.Contract 9920140117 13,757 - Regents of the University of Michigan - Asymptomatic Gametocytemia and Malaria: Implications for Plasmodium Transmission 93.Contract 3002992953 16,271 - Social + Scientific Systems, Inc. - Anti-Viral and Immune Plasma Infrastructure Development IRC003/IRC004 93.Contract CRB-SSS-S-13-3169 68,047 - Social + Scientific Systems, Inc. - IRC005 - Randomized Double-Blind Phase 3 Study Comparing Efficacy and Safety of Anti-Influenza Immune Plasma 93.Contract CRB-SSS-S-15-004525 17,137 - Social + Scientific Systems, Inc. - A Randomized Double Blind Study Comparing Oseltamivir versus Placebo for the Treatment of Influenza in Low Risk Adults 93.Contract CRB-SSS-S-16-004788 90,202 - Social + Scientific Systems, Inc. - IRC002: A Randomized, Open-Label, Phase 2, Multicenter Safety and Exploratory Efficacy Study of Investigational anti-Influenza Immune Plasma for the Treatment of Influenza and IRC003: A Randomized D 93.Contract CRB-SSS-S-15-004750 116,112 - Social + Scientific Systems, Inc. - IRC005 - Randomized Double-Blind Phase 3 Study Comparing Efficacy and Safety of Anti-Influenza Immune Plasma 93.Contract CRB-SSS-S-15-004704 90,000 - The Broad Institute - Targeting the Mitochondrion of P. Falciparum 93.Contract 2015-Harvard-8 11,495 - The Broad Institute - Host Genetic Factors in Resistance to Lassa Hemorragic Fever 93.Contract 6220074-5500000667 12,298 - The Wistar Institute - Protective Immunity in Special Populations 93.Contract 29902-06-307 335,926 - Vanderbilt University - Tracking the Impact of Ownership Changes in Hospice Care Provided to Medicare Beneficiaries 93.Contract VUMC 56681 39,071 - Westat Corporation - Ovarian cancer risk factors in the Ovarian Cancer Cohort Consortium 93.Contract 6182-S12 32,684 - Subtotal of 93.Contract 93.Contract 4,131,099 154,014 Association of Schools of Public Health, Inc. - The Evidence Based Preparedness Project - Synthesis and Translation of Public Health Preparedness and Response Research 93.Unknown S5045 160,518 - Association of Schools of Public Health, Inc. - Translation, Dissemination and Implementation of Evidence-Based Public Health Preparedness Tools and Trainings 93.Unknown S5052 129,317 - Beth Israel Deaconess Medical Center - Mechanisms of Arousal in Sleep Apnea 93.Unknown 1027947 252,113 - Brigham and Women's Hospital, Inc - Testing Novel Interventions to Protect Workers from Airborne Infections 93.Unknown 111069 22,229 - Children's Hospital Corporation - Clinical Hematology Research Career Development Award 93.Unknown RSTFD0000657104 20,001 - Commonwealth of Massachusetts/Department of Public Health - Commonwealth of Massachusetts Department of Public Health Hospital Preparedness Program 2013 Exercise Series 93.Unknown 502718 18,795 - Courtesy Associates - GTF.CCC Travel Fund 93.Unknown No Award Number 8,633 - Social + Scientific Systems, Inc. - Support for International Sites participating in IRC 003 and IRC 004 93.Unknown CRB-SSS-S-15-004190 26,331 - University of Ibadan - Medical Education Partnership Initiative in Nigeria 93.Unknown 7/225/27/HSPH-06 75,036 - Westat Corporation - P1081- A PHASE IV RANDOMIZED TRIAL TO EVALUATE THE VIROLOGIC RESPONSE AND PHARMACOKINETICS OF TWO... 93.Unknown 6101-S073 205,786 - Subtotal of 93.Unknown 93.Unknown 918,759 - Total DHHS Sub Award 49,414,125 475,367

The accompanying notes are an integral part of this schedule.

71 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Director of National Intelligence Allen Institute for Brain Science - The Functional Connectome: A Roadmap for Cortically Inspired Computational Architectures 99.Contract 2016-0060 176,306 - Subtotal of 99.Contract 99.Contract 176,306 - University of Copenhagen - Multi-Qubit Systems Bases on Electron Spins in Coupled Quantum 99.Unknown No Award Number 43,953 - Subtotal of 99.Unknown 99.Unknown 43,953 - Total Director of National Intelligence Sub Award 220,259 - EPA Health Effects Institute - Causal Inference Methods for Estimating Long Term Health Effects of Air Quality Regulations 66.500 4909-RFA11-1/12-3 19,704 - Subtotal of 66.500 66.500 19,704 - Environmental Protection Agency - Assessing the Potential Impact of Global Warming on Indoor Air Quality and Human Health at two US Cities: Boston, MA and Atlanta, GA 66.509 83575501-0 335,961 37,706 Subtotal of 66.509 66.509 335,961 37,706 Health Effects Institute - Assessing Adverse Health Effects of Long-Term Exposure to Low Levels of Ambient Air Pollution 66.Contract 4953-RFA14-3/16-4 72,514 - Health Effects Institute - Chemical and Physical Characterization of Non-Tailpipe and Tailpipe Emissions at 100 Locations near Major Roads in the Greater Boston Area 66.Contract 4948-RFPA14-1-15-2 143,856 - Subtotal of 66.Contract 66.Contract 216,370 - Boston Public Health Commission - Environmental Scoring System (ESS) Standardization 66.Unknown 16956 55,031 - Subtotal of 66.Unknown 66.Unknown 55,031 - Total EPA Sub Award 627,066 37,706 NASA Jet Propulsion Laboratory - Assessing OCO-2 Predicted Sensitivity and Errors 43.001 1448707 4,834 - Massachusetts Institute of Technology - Foundations of Complex Life: Evolution, Preservation, and Detection on Earth and Beyond 43.001 5710003359 259,931 - Montclair State University - Static and Shock Pressure Treatment of Synthetic Mars Basalts: Implications for Understanding the Evolution of Crustal Magnetic Anomalies 43.001 NNX11AM29G-HU 29,135 - Regents of the University of California - San Diego - Gravitational Tests via Lunar Laser Ranging: APOLLO Analsys and Acquisition 43.001 10323360 60,792 - Smithsonian Astrophysical Observatory - Resolving the High Energy Universe with Gravitational Lensing 43.001 PF5-160132 92,600 - Smithsonian Astrophysical Observatory - Stellar Homicide - The Forensics of Tidal Disruption 43.001 PF3-140108 104,689 - Trustees of Boston University - 4-D Modeling of the Regional Carbon Cycle in and Around Urban Environments: An Interdisciplinary Study to Advance Observational and Modeling Foundations 43.001 4500001065 20,951 - Subtotal of 43.001 43.001 572,932 - Jet Propulsion Laboratory - Carbon in Arctic Reservoirs Vulnerability Experiment 43.006 1444889 (12,066) 19,793 Subtotal of 43.006 43.006 (12,066) 19,793 Atmospheric and Environmental Research, Inc - Prototype Monitoring, Reporting, and Verification System for the Boston-D.C. Corridor 43.Contract P1864-004 63,152 - Jet Propulsion Laboratory - Constraining Dark Energy and Modified Gravity with Euclid 43.Contract 1515898 20,000 - Jet Propulsion Laboratory - Constraining Dark Energy and Modified Gravity with Euclid 43.Contract 1541976 1,303 - Jet Propulsion Laboratory - High Operational Temperature MWIR Detectors with Optical Concentrators 43.Contract 1539053 18,410 - Jet Propulsion Laboratory - Investigating the origin of the far-IR emission of Cygnus X-1 with Herschel 43.Contract 1475595 2,839 - Jet Propulsion Laboratory - LHS 6343C: Precise Constraints on the Atmospheric Parameters of an Effectively Isolated Brown Dwarf 43.Contract 1519632 1,281 - Jet Propulsion Laboratory - Measuring Atmospheric Abundances and Rotation of a Brown Dwarf with a Measured Mass and Radius 43.Contract 1538244 8,831 - Jet Propulsion Laboratory - The Beasts' Lair: A Spitzer Survey of the Host Galaxies of Superluminous Supernovae 43.Contract 1518879 3,249 - Jet Propulsion Laboratory - CARVE Airborne Observations of Carbon Dynamics in the Vulnerable Arctic-Boreal Ecosystems of Northwestern Canada - CARVE-CAN 43.Contract 1511969 35,932 - Jet Propulsion Laboratory - Mars Exploration Rover (MER) Athena Payload and Science Investigation 43.Contract 39361-6448 27,680 - Jet Propulsion Laboratory - Consortium for Ultracold Atoms in Space 43.Contract 1523950 56,021 - Jet Propulsion Laboratory - Measuring the Frequency of Massive Planets around M Dwarfs with Microlensing 43.Contract 1510383 64,685 - Jet Propulsion Laboratory - Consortium for Ultracold Atoms in Space 43.Contract 1505737 (61,778) - Kitware, Inc. - An Exploratory Interface for a Focused Search with Multimedia 43.Contract K001370-00-S01 64,970 - Smithsonian Astrophysical Observatory - Participation in Tropospheric Emissions: Monitoring of Pollution (TEMPO) Program 43.Contract SV3-83020 240 - Southwest Research Institute - Juno Project 43.Contract 699042X 135,737 - Subtotal of 43.Contract 43.Contract 442,552 - Board of Regents of the University of Arizona - JWST Near Infrared Camera (NIRCam) 43.Unknown 152977 22,268 - Jet Propulsion Laboratory - The Giant Planet Playground: Towards the Characterization of Earth Analogues 43.Unknown 1504839 98,349 - Jet Propulsion Laboratory - Tracers of cosmic expansion with SN IA in the IR 43.Unknown 1485136 1,030 - University of Southern California - AirMOSS: Science Data Analysis and Science Data Assimilation 43.Unknown Y88242 218,956 - Subtotal of 43.Unknown 43.Unknown 340,603 - Total NASA Sub Award 1,344,021 19,793 National Endowment for the Humanities Columbia University - Relocating Heart Disease in the Tropics: Race, Risk and Modernization Post-Independence India 45.161 1(GG008407) 37,420 - Subtotal of 45.161 45.161 37,420 - Total National Endowment for the Humanities Sub Award 37,420 - National Science Foundation Boise State University - SNM: Atomically Precise, Defect Free, DNA Masks with Embedded Metrology 47.041 5923-A 200,783 - Massachusetts Institute of Technology - DMREF: Computational Design Principles for Functional DNA-Based Materials 47.041 5710003576 133,059 - Massachusetts Institute of Technology - EFRI-ODISSEI: Programmable Origami for Integration of Self-assembling Systems in Engineered Structures 47.041 5710003264 92,959 - Massachusetts Institute of Technology - Scalable Nanomanufacturing: Digital Optofluidic Self Assembly of Heterogeneous Metamaterials 47.041 5710003007 38,134 - Regents of the University of California - Berkeley - SynBERC: Synthetic Biology Engineering Research Center 47.041 SA5283-11210 360,875 - Right Hand Robotics LLC - STTR Phase I: Versatile Robot Hands for Warehouse Automation 47.041 123900 31,999 - University of Maryland, College Park - EFRI: Creating Opportunities for Adaptation Based on PULSE (Population in Urban Landscape for Sustianable Built Environments) 47.041 18448 34,318 - Subtotal of 47.041 47.041 892,127 - Board of Regents of the University of Arizona - Precision Measurements of the Black-Hole Properties in the Center of the Milky Way 47.049 177465 58,452 - Columbia University - Columbia MRSEC 47.049 2GG008600 110,391 -

The accompanying notes are an integral part of this schedule.

72 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Columbia University - NEB-Novel Quantum Switches using Hetereogeneous Atomically Layered Nanostructures 47.049 1 (GG006107-02) 48,195 - Johns Hopkins University - Postdoctoral and Graduate Fellowships, LHC Theory Initiative - Andrew Larkoski 47.049 2002708478 63,295 - Massachusetts Institute of Technology - Center for Ultracold Atoms 47.049 5710003095 1,124,761 - The University of New Mexico - Collaborative Research: Science with LWA1 47.049 707684-8707 8,498 - University of Vermont - Particle Hysteresis And Solidification Experiment Optical and Nucleation Effects (PHASE-ONE) 47.049 SUB1289/26666 2,527 - Yale University - ACME: Advanced Cold Molecule Electron Electric Dipole Moment Search 47.049 C15D11959(D02087) 506,575 - Subtotal of 47.049 47.049 1,922,694 - Board of Regents of the University of Arizona - Long-Term Vulnerability of natural and Human Ecosystem to Climate and Fire Regime Changes in Soutwestern Forests 47.050 11759 78,427 - Columbia University - PLIOcene MAXimun sealevel (PLIOMAX): Dynamic ice sheet-Earth response in a warmer world 47.050 1 (GG006124) 68,407 - Southern California Earthquake Center - Geoinformatics: Community Computational Platforms for Developing Three-Dimensional Models of Earth Structure, Phase II 47.050 53898061 30,500 - University Corporation for Atmospheric Research - Collaborative Research: The O2/N2 Ratio and CO2 Airborne Southern Ocean (ORCAS) Study 47.050 Z15-19078 175,888 - University of Southern California - Constraining activity in the deep biosphere via metabolomics 47.050 43130568 9,921 - University of Southern California - Microbial Sulfate Reduction at a Low-Temperature Ridge Flank, the Dorado Outcrop 47.050 41940192 28,264 - University of Southern California - SCEC4 47.050 Y86595 149,133 - Woods Hole Oceanographic Institution - INSPIRE Track 1: Transforming Remotely-conducted Research through Ethnography, Education and Rapidly-Evolving Technologies 47.050 A101073 32,999 - Subtotal of 47.050 47.050 573,539 - Clemson University - Advanced Cyberinfrastructure - Research and Educational Facilitation: Campus-Based Computational Research Support 47.070 1716-206-2009949 177,278 - Massachusetts Institute of Technology - A Center for Brains, Minds, and Machines: The Science and the Technology of Intelligence 47.070 5710003525 745,275 175,861 Massachusetts Institute of Technology - Printable Robots: An Expedition in Computing for Compiling Functional Physical Machines 47.070 5710003169 71,457 - Subtotal of 47.070 47.070 994,010 175,861 Arizona State University - Collaborative Research: Southwest Collections of Arthropod Network (SCAN): A Model for Reciprocally Enhancing Heterogeneous Collections to Promote Taxonomic, Ecological, and Evolution 47.074 12-902 77,140 - Cary Institute of Ecosystem Studies - Long-Term Ecological Research at the Hubbard Brook Experimental Forest 47.074 3298/200201814 6,196 - Cornell University - Long-term Ecological Research at the Hubbard Brook Experimental Forest 47.074 61468-9774 7,765 - Field Museum of Natural History - Collaborative Research: AToL: Phylogeny on the Half-shell--Assembling the Bivalve Tree of Life 47.074 50120-1-FDP (566) - Purdue University - Microfluidics Approach to Dynamic Characterization of a Model Signal Transduction System 47.074 4101-69034 75,388 - Regents of the University of California - Berkeley - Synthetic biology for yeast 47.074 8319 237,922 - The University of Memphis - Phylogeny and diversification in the uniquely diverse beetle family Curculionidae (true weevils) 47.074 S-40300 50,210 - The University of New Mexico - RCN-UBE: Advancing Integration of Museums into Undergraduate Programs (AIM-UPI) 47.074 04803T-87D7 9,140 - University of New Hampshire - Collaborative Research: Digitization TCN: The Macroalgal Herbarium Consortium: Accessing 150 Years of Specimen Data to Understand Changes in the Marine/Aquatic Environment 47.074 14-014 40,470 - Subtotal of 47.074 47.074 503,665 - University of Massachusetts at Amherst - Cooperative Congressional Election Study, 2010 to 2014 Panel Survey 47.075 15-008309A 118,270 - Subtotal of 47.075 47.075 118,270 - University of Massachusetts - Boston - Supporting Large Scale Science Education Change: Understanding Online Professional Development and Adoption Variation Related to the Revised Advanced Placement Curriculum 47.076 S2013 20541 111,312 - Subtotal of 47.076 47.076 111,312 - University of Illinois at Urbana - Champaign - Blue Waters Graduate Fellowship Program 47.080 2007-01077-41 4,699 - Subtotal of 47.080 47.080 4,699 - Cornell University - NNIN: National Nanotechnology Infrastructure Network 47.082 44771-7479 206,105 - Subtotal of 47.082 47.082 206,105 - California Institute of Technology - Powering the Planet: A CCI Center for the Direct Conversion of Sunlight into Chemical Fuel 47.Contract 68D-1094592 176,051 - Subtotal of 47.Contract 47.Contract 176,051 - Smithsonian Astrophysical Observatory - The Event Horizon Telescope Experiment (MSIP) 47.Unknown SV5-85010 66,312 - Subtotal of 47.Unknown 47.Unknown 66,312 - Total National Science Foundation Sub Award 5,568,784 175,861 U.S. Institute of Peace Consortium of Humanitarian Agencies - Post-War Resettlement of Women IDPs in Northern Sri Lanka 91.002 USIP-191-12F CHA-HSPH 10,097 - Subtotal of 91.002 91.002 10,097 - Total U.S. Institute of Peace Sub Award 10,097 - Total Research and Development Cluster Sub Award 77,233,798 1,190,849 Total Research and Development Cluster 592,618,045 124,067,575

Student Financial Assistance Cluster Direct Awards Department of Education Federal SEOG 2015 - 2016 84.007 P007A151874 2,209,859 - Subtotal of 84.007 84.007 2,209,859 - Federal Work-Study Program (FWS) 84.033 N/A 2,683,183 - Subtotal of 84.033 84.033 2,683,183 - Federal Pell Grant 2015-2016 84.063 P063P150187 5,406,944 - Subtotal of 84.063 84.063 5,406,944 - Teacher Education Assistance for College and Higher Education Grant (TEACH) 2015-2016 84.379 P379T160187 18,640 - Subtotal of 84.379 84.379 18,640 - Federal Family Education Loans Outstanding Loans as of July 1, 2015 84.032 410,594 - New Loans Issued during 2016 84.032 - - Administrative Cost Allowance 84.032 - -

The accompanying notes are an integral part of this schedule.

73 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

Federal Perkins Loans Outstanding Loans as of July 1, 2015 84.038 66,475,206 - New Loans Issued during 2016 84.038 11,618,954 - Administrative Cost Allowance 84.038 627,263 - Federal Direct Student Loans 84.268 123,507,240 Total Department of Education 212,957,883 - DHHS Health Professions Student Loans including Primary Care Loans/Loans for Disadvantaged Students Outstanding Loans as of July 1, 2015 93.342 4 E36HP148640300 10,378,655 - New Loans Issued during 2016 93.342 665,710 - Administrative Cost Allowance 93.342 - - Total DHHS 11,044,365 - Total Student Financial Assistance Cluster 224,002,248 -

Other Programs Direct Awards Agency for International Development The Lower Mekong Public Policy Initiative 98.Unknown AID-OAA-A-13-00033 898,568 253,018 Subtotal of 98.Unknown 98.Unknown 898,568 253,018 Total Agency for International Development 898,568 253,018 Department of Defense 21st International Conference on DNA Computing and Molecular Programming 12.300 N00014-15-1-2239 8,892 - Chaining Methods and their Applications to Computer Science (Conference) 12.300 N00014-16-1-2646 5,240 - Pass-through to BWH: 2014 DURIP: Ambulatory monitoring and biospecimen storage equipment for research on the brain restoration function of sleep to maintain waking performance 12.300 N00014-15-1-2917 188,767 188,767 Subtotal of 12.300 12.300 202,899 188,767 21st International Conference on DNA Computing and Molecular Programming 12.431 W911NF-15-1-0167 5,000 - Subtotal of 12.431 12.431 5,000 - 21st INTERNATIONAL CONFERENCE ON DNA COMPUTING AND MOLECULAR PROGRAMMING 12.800 FA9550-15-1-0191 14,993 - Subtotal of 12.800 12.800 14,993 - Curriculum Development for the National Guard Homeland Security Institute, Phase IV 12.Contract W912SV -14-P-0201 22,904 - Curriculum Development for the National Guard Homeland Security Institute, Phase V 12.Contract W912SV-15-P-0143 72,705 - General and Flag Officer Homeland Security Executive Seminar 12.Contract W912SV-16-P-0037 129,436 - Leadership in Homeland Security 12.Contract W912SV-15-C-0006 133,869 - Subtotal of 12.Contract 12.Contract 358,914 - Total Department of Defense 581,806 188,767 Department of Education Foreign Language and Area Studies Fellowships 84.015 P015B140085-16 252,697 - Foreign Language and Area Studies Fellowships 84.015 P015B140089-16 228,505 - Foreign Language and Area Studies for Davis Center for Russian and Eurasian Studies 84.015 P015B140087-16 252,000 - National Resource Centers for the Committee on African Studies 84.015 P015A140089 - 15 320,655 - Subtotal of 84.015 84.015 1,053,857 - Fulbright-Hays Doctoral Dissertation Research Abroad 84.022 P022A140065 22,620 - Subtotal of 84.022 84.022 22,620 - National Resource Centers for Center for Middle Eastern Studies 84.015A P015A100113-13 31,164 - National Resource Centers for Davis Center for Russian and Eurasian Studies 84.015A P015A140087 - 15 150,534 - Subtotal of 84.015A 84.015A 181,698 - Fulbright Hays Group Projects Abroad - Center for Arabic Study Abroad (CASA) 84.021B P021B140002-15 284,539 - Subtotal of 84.021B 84.021B 284,539 - Total Department of Education 1,542,714 - Department of Energy GoAmazon 2014/5 Science Conference 81.049 DE-SC0013411 22,554 - Subtotal of 81.049 81.049 22,554 - Total Department of Energy 22,554 - Department of Homeland Security State and Local Homeland Security National Training Program 97.005 EMW-2013-CA-K00067 163,435 - Subtotal of 97.005 97.005 163,435 - Evaluation of the Greater Boston Countering Violent Extremism (CVE) Pilot Program 97.108 2015-ST-108-FRG005-01 66,399 - Subtotal of 97.108 97.108 66,399 - Total Department of Homeland Security 229,834 - Department of Justice Passageway Health Law Collaborative on Domestic Violence (Re-Submission) 16.Unknown 2014-WL-AX-0037 165,311 - Subtotal of 16.Unknown 16.Unknown 165,311 - Total Department of Justice 165,311 - Department of State Development of Fulbright University Vietnam and Transition of Vietnam Fulbright School of Public Policy and Management 19.011 S-ECAGD-15-GR-1061 621,277 97,722 Subtotal of 19.011 19.011 621,277 97,722 Disability Civil Society, Human Rights and Law in China 19.345 S-LMAQM-14-GR-1031 337,692 - Internet Freedom Monitor 19.345 S-LMAQM-12-GR-1025 808,606 - Subtotal of 19.345 19.345 1,146,298 -

The accompanying notes are an integral part of this schedule.

74 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

FY2015 Vietnam Fulbright Economics Teaching Program (FETP) 19.400 S-ECAGD-15-GR-1023 529,398 37,219 FY2016 Vietnam Fulbright Economics Teaching Program (FETP) 19.400 S-ECAGD-16-GR-1025 1,327,475 - Subtotal of 19.400 19.400 1,856,873 37,219 US-Russia Peer-to-Peer Dialogue 19.900 S-RS500-14-GR-216 12,427 - Subtotal of 19.900 19.900 12,427 - Total Department of State 3,636,875 134,941 Department of the Interior Peabody at Harvard University Historic Alaska Native Kayaks and Related Collections 15.904 ST-03-10-0013-10 10,646 - Subtotal of 15.904 15.904 10,646 - Total Department of the Interior 10,646 - Department of the Treasury Low Income Taxpayer Clinic 21.008 15-LITC0173-01-01 64,970 - Subtotal of 21.008 21.008 64,970 - Total Department of the Treasury 64,970 - Department of Veterans Affairs IPA - Cai, Tianxi 64.Contract 6007023 2,245 - Subtotal of 64.Contract 64.Contract 2,245 - Total Department of Veterans Affairs 2,245 - DHHS MFDP Cooperative Agreement for Minority Workforce Development 93.004 6MPCMP121073-03-02 109,722 - Subtotal of 93.004 93.004 109,722 - Linking Assessment and Measurement to Performance in PHEP Systems (LAMPS) 93.061 5P01TP000307-05Rev 55,652 - Subtotal of 93.061 93.061 55,652 - Implementation of Programs for the Prevention, Care and Treatment of HIV/AIDS in the United Republic of Tanzania under the President's Emergency Plan for AIDS Relief (PEPFAR) 93.067 5U2GPS001966-05Revised 411,249 63,863 Subtotal of 93.067 93.067 411,249 63,863 Preparedness and Emergency Response Learning Centers (PERLC) 93.069 5U90TP000417-05Revised 244,487 7,775 Subtotal of 93.069 93.069 244,487 7,775 Prevention Policy Modeling Lab 93.084 6NU38PS004644-02-03 1,071,831 460,617 Subtotal of 93.084 93.084 1,071,831 460,617 Total DHHS 1,892,941 532,255 Institute of Museum and Library Services Evolving Curricula: Collaborating with Middle School Teachers on the Next Generation Science Standards 45.301 MA-10-15-0039-15 36,476 - Preserving an American Treasure: A New Storage System for the Mineral Collection at Harvard Universitys Mineralogical and Geological Museum 45.301 MA-30-15-0159-15 13,245 - The Peabody Museum Collections Documentation and Digitization Project 45.301 MA-30-14-0115-14 99,462 - What's in a Name: Species, Naming and the Process of Science 45.301 MA-10-14-0113-14 81,056 9,401 Subtotal of 45.301 45.301 230,239 9,401 Scaling Up Perma. cc: Ensuring the Integrity of the Digital Scholarly Record 45.312 LG-70-16-0023-16 2,797 - Subtotal of 45.312 45.312 2,797 - Foundations to Actions: Extending Innovations in Digital Libraries in Partnership with NDSR Learners 45.313 RE-40-16-0082-16 1,407 - Testing the National Digital Stewardship Residency (NDSR) Model in Boston, MA 45.313 RE-06-13-0055-13 201,235 6,761 Subtotal of 45.313 45.313 202,642 6,761 Total Institute of Museum and Library Services 435,678 16,162 Medicare Payment Advisory Commission (MedPAC) Conceptual considerations for Accountable Care Organization (ACO) development 99.Contract MED15P0082 61,619 - Subtotal of 99.Contract 99.Contract 61,619 - Total Medicare Payment Advisory Commission (MedPAC) 61,619 - NASA The 7th International GEOS-Chem Meeting (IGC7) 43.001 NNX15AE93G 10,995 - Subtotal of 43.001 43.001 10,995 - Total NASA 10,995 - National Endowment for the Arts Corita Kent and the Language of Pop 45.024 15-4400-7123 30,000 - Subtotal of 45.024 45.024 30,000 - Total National Endowment for the Arts 30,000 - National Endowment for the Humanities A Digital Archive of Massachusetts Anti-Slavery and Anti-Segregation Petitions 45.149 PW-51056-12 55,295 - The Giza Project: Consolidated Archaeological Reference Database 45.149 PW-51569-14 156,771 - The Giza Project: Consolidated Archaeological Reference Database II 45.149 PW-234775-16 17,876 - Subtotal of 45.149 45.149 229,942 - Digital Giza: A New Portal to the Pyramids 45.164 MT-234139-16 23,873 - Pages from the Past: Illuminated Manuscripts in Boston-Area Collections 45.164 GI-228479-15 54,064 - Pages from the Past: Illuminated Midieval and Renaissance Manuscripts in Boston Area Collections 45.164 GE-50864-14 16,871 - Subtotal of 45.164 45.164 94,808 - Total National Endowment for the Humanities 324,750 - National Security Agency STARTALK: Bridges to Russia 12.900 H98230-16-1-0110 2,377 - Subtotal of 12.900 12.900 2,377 - Total National Security Agency 2,377 -

The accompanying notes are an integral part of this schedule.

75 Harvard University Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

CFDA Pass-through Entity Federal Passed to Federal Grantor/Pass-through Grantor/Program or Cluster Title Number Award Number Identification Number Expenditures Sub-Recipients

U.S. International Trade Commission U.S. International Trade Commission Founding Member 99.Unknown ITC-CN-13-0006 23,342 - Subtotal of 99.Unknown 99.Unknown 23,342 - Total U.S. International Trade Commission 23,342 - Total Other Programs Direct Award 9,937,225 1,125,143

Pass-through Program Agency for International Development Concern Worldwide U.S. Inc - Humanitarian Leadership Program: Developing the Next Generation of Humanitarian Leaders 98.001 BBE-HVD-001 75,718 - Subtotal of 98.001 98.001 75,718 - Management Systems International - Colombia Evaluation and Analysis for Learning (EVAL) Project 98.Contract 607500.01.14.002 11,783 - Subtotal of 98.Contract 98.Contract 11,783 - Abt Associates, Inc. - Asia Public Policy Forum 2015: The Financing and Delivery of Public Health Services in Asia 98.Unknown 45174 224,544 - Subtotal of 98.Unknown 98.Unknown 224,544 - Total Agency for International Development Sub Award 312,045 - Department of Agriculture University of New England - Supermarket Science: Multipronged Approaches to Increasing Fresh, Frozen and Canned Fruit and Vegetable Purchases 10.310 230060-01 6,387 - Subtotal of 10.310 10.310 6,387 - Delta Regional Authority - Authentic Leadership: Delta Leadership Institute 10.Contract No Award Number 124,347 - Subtotal of 10.Contract 10.Contract 124,347 - Total Department of Agriculture Sub Award 130,734 - Department of Defense Okaloosa County School District - Okaloosa S.C.I.E.N.C.E.(Science; Community-Involvement; Engagement; Networking; Capacity-Enhancement) 12.557 HA2001(A) 136,813 - Subtotal of 12.557 12.557 136,813 - Total Department of Defense Sub Award 136,813 - Department of Education The Achievement Network - Increasing Student Achievement Through the Use of Interim Assessment Data: Expanding the Achievement Network Model 84.396C No Award Number (539) - Subtotal of 84.396C 84.396C (539) - Boston Plan for Excellence - Boston Teacher Residency - Preparing and Supporting Effective Teachers in and for Boston's Turnaround Schools 84.Contract No Award Number (11) - Subtotal of 84.Contract 84.Contract (11) - Total Department of Education Sub Award (550) - Department of Housing & Urban Development Neighborhood Reinvestment Corporation - Achieving Excellence in Community Development 14.Unknown No Award Number 198,909 - Subtotal of 14.Unknown 14.Unknown 198,909 - Total Department of Housing & Urban Development Sub Award 198,909 - DHHS AIDS Prevention Initiative in Nigeria, Ltd/Gte. - Engaging Indigenous Organizations to Sustain and Enhance Comprehensive Clinical Services for the Prevention, Care and Treatment of HIV/AIDS in Nigeria under PEPFAR 93.067 HSPH-01 546,889 61,810 Subtotal of 93.067 93.067 546,889 61,810 National Public Health Information Coalition - Planning and Management of a Public Health Comm and Community Engagement Project 93.283 1349-01 660,216 417,970 Subtotal of 93.283 93.283 660,216 417,970 Children's Hospital Boston - National Center on Parent, Family, and Community Engagement 93.600 85058 191,389 - Subtotal of 93.600 93.600 191,389 - Partners in Health - Policy, System and Environmental Change for Health Navajo Communities 93.738 40 43,237 - Subtotal of 93.738 93.738 43,237 - Commonwealth of Massachusetts/Department of Public Health - Joint Use Activity Toolkit Technical Assistance 93.Contract INTF4120HH2500224045 28,024 - Subtotal of 93.Contract 93.Contract 28,024 - Total DHHS Sub Award 1,469,755 479,780 Institute of Museum and Library Services Missouri Botanical Garden - Purposeful Gaming and BHL: engaging the public in improving and enhancing access to digital texts 45.312 MLS06873H 12,312 - New York Botanical Garden - BHL Expanding Access to Biodiversity Literature 45.312 NYBG-LG70-15-0138-02 61,914 - Subtotal of 45.312 45.312 74,226 - Total Institute of Museum and Library Services Sub Award 74,226 - Total Other Programs Sub Award 2,321,932 479,780 Total Other Programs 12,259,157 1,604,923 Grand Total $ 828,879,450 $ 125,672,498

The accompanying notes are an integral part of this schedule.

76 Harvard University Notes to Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

1. Basis of Presentation

The accompanying Schedule of Expenditures of Federal Awards (the “Schedule”) summarizes the expenditures of Harvard University (the “University”) under programs of the federal government for the year ended June 30, 2016. The information in this schedule is presented in accordance with the Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Therefore, some amounts presented in this schedule may differ from amounts presented in, or used in the preparation of, the basic financial statements of the University. Negative amounts represent adjustments or credits to amounts reported as expenditures in prior years in the normal course of business. CFDA numbers and pass-through numbers are provided when available.

For purposes of the Schedule, Federal awards include all grants, contracts and similar agreements entered into directly between the University and agencies and departments of the Federal government and all subawards to the University by nonfederal organizations pursuant to Federal grants, contracts and similar agreements.

The term “Revised” accompanying the award numbers on the Schedule represents a revised Notice of Grant Award (NGA).

2. Summary of Significant Accounting Policies

Expenditures reported in the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance and OMB Circular A-21, Cost Principles for Educational Institutions, as applicable, wherein certain types of expenditures are not allowable or are limited to reimbursement.

3. Facilities and Administrative Costs

The University applies its predetermined approved facilities and administrative rate when charging indirect costs to federal awards rather than the 10% de minimis cost rate as described in Section 200.414 of the Uniform Guidance. The University recovers facilities and administrative costs associated with sponsored agreements pursuant to separate arrangements negotiated with the University’s Federal cognizant agency by each of the Medical School, School of Public Health, and the University Area. Predetermined facilities and administrative rates have been established for the University Area and Medical School (including the School of Dental Medicine) through June 30, 2019. The School of Public Health has had provisional indirect cost rates since the beginning of fiscal year 2014.

Facilities and administrative cost recoveries associated with training programs generally represent the maximum administrative overhead allowance allowed by the sponsors. The University also recovers administrative cost allowances from certain campus-based student financial assistance programs.

4. Federal Student Loan Programs

The Federal student loan programs listed below are administered directly by the University and balances and transactions relating to these programs are included in the University’s consolidated financial statements. Loans outstanding at the beginning of the year, the administrative cost

77

Harvard University Notes to Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

allowance and loans made during the year are included in the federal expenditures presented in the Schedule. The balance of loans outstanding at June 30, 2016 consists of:

CFDA # Amount

Perkins 84.038 $ 65,515,924 FFEL (Includes FISL, Sub Stafford, Unsub Stafford, and SLS) 84.032L 379,167 HPSL/LDS/PCL 93.342 10,538,534 Total Federal Student Loans $ 76,433,625

The University participated in the School as Lender program (CFDA# 84.032L) beginning in 1977 until the program was ended in June 2010. There were no new loans distributed to students in connection with this program during the year ended June 30, 2016.

Loans made by the University to eligible students under the Federal student loan programs and Federally guaranteed loans issued to students during the year ended June 30, 2016 are summarized as follows:

CFDA # Amount

Perkins 84.038 $ 11,618,954 Direct Subsidized Stafford 84.268 1,240,320 Direct Unsubsidized Stafford 84.268 69,426,572 Direct PLUS 84.268 3,798,518 Direct Grad PLUS 84.268 49,041,830 HPSL/PCL/LDS 93.342 665,710 $ 135,791,904

78