l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678 Return of Organization Exempt From Income Tax OMB No 1545-0047 Form 990 Under section 501 (c), 527, or 4947 (a)(1) of the Internal Revenue Code ( except black lung benefit trust or private foundation) 2 00 6_ Department of the Open -The organization may have to use a copy of this return to satisfy state reporting requirements Treasury Inspection Internal Revenue Service A For the 2006 calendar year, or tax year beginning 07 -01-2006 and ending 06-30-2007 C Name of organization D Employer identification number B Check if applicable Please CASE WESTERN RESERVE UNIVERSITY 1 Address change use IRS 34-1018992 label or Number and street (or P 0 box if mail is not delivered to street address ) Room /suite E Telephone number F Name change print or type . See 10900 EUCLID AVENUE (216 ) 368-2126 1 Initial return Specific Instruc - City or town, state or country , and ZIP + 4 FAccounting method (- Cash F Accrual F_ Final return tions . CLEVELAND, OH 441067006 (- Other ( specify) 0- (- Amended return
F_ Application pending * Section 501(c)(3) organizations and 4947(a)(1) nonexempt charitable H and I are not applicable to section 527 organizations trusts must attach a completed Schedule A (Form 990 or 990-EZ). H(a) Is this a group return for affiliates? F Yes F No H(b) If "Yes" enter number of affiliates 0- G Web site : - HTTP //WWW CASE EDU H(c) Are all affiliates included? F Yes F No (If "No," attach a list See instructions ) I Organization type ( check only one) 1- F9!!+ 501( c) (3) -4 (insert no ) (- 4947(a)(1) or F_ 527 H(d) Is this a separate return filed by an organization K Check here 1- 1 if the organization is not a 509(a)(3) supporting organization and its gross receipts are covered by a group ruling? (- Yes F No normally not more than 25,000 A return is not required, but if the organization chooses to file a return, be sure to file a complete return I Group Exemption Number 0-
M Check - F if the organization is not required to L Gross receipts Add lines 6b, 8b, 9b, and 10b to line 12 - 2,620,889,288 attach Sch B (Form 990, 990-EZ, or 990-PF) n i Revenue . Expenses . and Chances in Net Assets or Fund Balances (See the instructions.) 1 Contributions, gifts, grants, and similar amounts received a Contributions to donor advised funds la
b Direct public support (not included on line 1a) . lb 145,880,445 c Indirect public support (not included on line 1a) . 1c
d Government contributions (grants) (not included on line 1a) ld 296,060,733
1e 441,941,178 e Total (add lines la through 1d) (cash $ 441,899,178 noncash $ 42,000 2 Program service revenue including government fees and contracts (from Part V II, line 93) 2 335,547,402 3 Membership dues and assessments 3
4 Interest on savings and temporary cash investments 4 1,275,188
5 Dividends and interest from securities 5 75,605,231
6a Gross rents 6a 5,652,721
b Less rental expenses 6b
c Net rental income or (loss) subtract line 6b from line 6a . 6c 5,652,721
W 7 Other investment income (describe - ) 7 3,012,517
8a Gross amount from sales of assets (A) Securities (B) Other 16 a other than inventory 1,754,373,281 8a 3,481,770
b Less cost or other basis and sales expenses 1,664,080,411 8b 1,314,882
c Gain or (loss) (attach schedule) 90,292,870 Sc 2,166,888
d Net gain or (loss) Combine line 8c, column s (A) and (B) ...... 8d 92,459,758
9 Special events and activities (attach schedule) If any amount is from gaming , check here 0-F
a Gross revenue (not including $ of contributions reported on line 1b) 9a b Less direct expenses other than fundraising expenses . 9b c Net income or (loss) from special events Subtract line 9b from line 9a . c
10a Gross sales of inventory, less returns and allowances . 10a
b Less cost of goods sold 10b
c Gross profit or (loss) from sales of inventory (attach schedule) Subtract line 10b from line 10a 10c
11 Other revenue (from Part VII, line 103) 11
12 Total revenue Add lines le, 2, 3, 4, 5, 6c, 7, 8d, 9c, 10c, and 11 ...... 12 955,493,995
13 Program services (from line 44, column (B)) ...... 13 807,677,872
14 Management and general (from line 44, column (C)) ...... 14 82,914,765
Fu 15 Fundraising (from line 44, column (D)) 15 11,391,856 CL 16 Payments to affiliates (attach schedule) 16
17 Total expenses Add lines 16 and 44, column (A) ...... 17 901,984,493
18 Excess or (deficit) for the year Subtract line 17 from line 12 . 18 53,509,502
19 Net assets or fund balances at beginning of year (from line 73, column (A)) 19 2,049,788,913
20 Other changes in net assets or fund balances (attach explanation) 20 54,706,589 _1u I 21 Net assets or fund balances at end of year Combine lines 18, 19, and 20 . 21 2,258,005,004
For Privacy Act and Paperwork Reduction Act Notice, see the separate instructions . Cat No 11282Y Form 990 (2006) Form 990 (2006) Page 2 RIEULEM Statement of All organizations must complete column (A) Columns (B), (C), and (D) are required for section Functional Expenses 501(c)(3) and (4) organizations and section 4947(a)(1) nonexempt charitable trusts but optional for others (See the instructions.)
Do not include amounts reported on line (B) Program (C) Management (A) Total (D) Fundraising 6b, 8b, 9b, 1Ob, or 16 of Part I. services and general
22a Grants paid from donor advised funds (attach Schedule) (cash $ 0 noncash $ 0 If this amount includes foreign grants, check here F 22a
22b Other grants and allocations (attach schedule) (cash $ 107,594,230 noncash $ 0 If this amount includes foreign grants, check here F 22b 107,594,230 107,594,230 23 Specific assistance to individuals (attach schedule) 23
24 Benefits paid to or for members (attach schedule) 24
25a Compensation of current officers, directors, key employees etc Listed in Part V-A (attach schedule) 25a 2,439,561 0 2,439,561 0 b Compensation of former officers, directors, key employees etc listed in Part V-B (attach schedule) 25b 2,023,192 299,985 1,723,207 0 c Compensation and other distributions not icluded above to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) (attach schedule) 25c 26 Salaries and wages of employees not included on lines 25a, b and c 26 286,471,531 263,504,482 16,331,199 6,635,850 27 Pension plan contributions not included on lines 25a, b and c 27 23,280,833 21,414,358 1,327,196 539,279 28 Employee benefits not included on lines 25a - 27 28 34,255,751 31,510,606 1,952,368 792,777
29 Payroll taxes 29 19,630,327 18,056,520 1,119,088 454,719 30 Professional fundraising fees 30
31 Accounting fees 31 317,750 0 317,750 0
32 Legal fees 32 2,099,180 0 2,099,180 0
33 Supplies 33 57,340,683 54,038,964 2,192,085 1,109,634
34 Telephone 34 4,158,121 2,565,993 1,510,013 82,115
35 Postage and shipping 35 1,848,904 1,515,246 198,335 135,323
36 Occupancy 36 21,620,051 21,620,051 0 0
37 Equipment rental and maintenance 37 22,822,944 16,974,629 5,737,683 110,632 38 Printing and publications 38
39 Travel 39 12,737,536 10,758,067 1,321,757 657,712
40 Conferences, conventions, and meetings 40 4,998,356 4,353,594 467,211 177,551
41 Interest 41 24,684,741 17,133,474 7,551,267 0
42 Depreciation, depletion, etc (attach schedule) 42 57,476,527 47,610,492 9,866,035 0 43 Other expenses not covered above (itemize)
a See Additional Data Table 43a b 43b
c 43c d 43d
e 43e f 43f
g 43g
44 Total functional expenses . Add lines 22a through 43g (Organizations completing columns (B)-(D), carry these totals to lines 13-15) 44 901,984,493 807,677,872 82,914,765 11,391,856 Joint Costs . Check - fl if you are following SOP 98-2 Are any joint costs from a combined educational campaign and fundraising solicitation reported in (B) Program services ' fl Yes 17 No If "Yes," enter ( i) the aggregate amount of these joint costs $ 0 , (ii) the amount allocated to Program services $ 0 (iii) the amount allocated to Management and general $ 0 , and ( iv) the amount allocated to Fundraising $0
Form 990 (2006) Form 990 ( 2006) Page 3 f iii Statement of Program Service Accomplishments (See the instructions.) Form 990 is available for public inspection and, for some people, serves as the primary or sole source of information about a particular organization How the public perceives an organization in such cases may be determined by the information presented on its return Therefore, please make sure the return is complete and accurate and fully describes, in Part III, the organization's programs and accomplishments
Program Service What is the organization's primary exempt purpose's 0- SEE STATEMENTS 1-3 Expenses All organizations must describe their exempt purpose achievements in a clear and concise manner State the number of clients served, (Required for 501(c)(3) and publications issued, etc Discuss achievements that are not measurable (Section 501(c)(3) and (4) organizations and 4947(a)(1) nonexempt (4) orgs , and 4947(a)(1) charitable trusts must also enter the amount of grants and allocations to others trusts, but optional for others
a Instructional and departmental research
(Grants and allocations $ 29,857,139) If this amount includes foreign grants, check here - F 276,402,371 b Sponsored research and training
(Grants and allocations $ 10,915,788) If this amount includes foreign grants, check here - F 324,482,712 c Other sponsored programs
(Grants and allocations $ 11,450,933) If this amount includes foreign grants, check here - F 39,956,084 d Auxiliary services
(Grants and allocations $ 18,544) If this amount includes foreign grants, check here F 68,686,196 e Other program services (attach schedule) (Grants and allocations $ ) If this amount includes foreign grants, check here F-
f Total of Program Service Expenses (should equal line 44, column (B), Program services) . 807,677,872 Form 990 (2006) Form 990 (2006) Page 4
Balance Sheets (See the instructions.)
Note : Where required, attached schedules and amounts within the description (A) (B) column should be for end-of-year amounts only. Beginning of year End of year 45 Cash-non-interest-bearing 9,086,316 45 4,535,759
46 Savings and temporary cash investments 102,820,886 46 95,882,547
47a Accounts receivable 47a 36,827,873
b Less allowance for doubtful accounts 47b 19,538,463 34,602,581 47c 17,289,410
48a Pledges receivable . . . . . 48a 56 ,260,777
b Less allowance for doubtful accounts 48b 3 ,333,208 67,272,164 48c 52,927,569
49 Grants receivable 56,296,810 49 55,619,405 50a Receivables from current and former officers, directors, trustees, and key employees (attach schedule) 50a b Receivables from other disqualified persons (as defined under section 4958(c)(3)(B) (attach schedule) 50b
51a Other notes and loans receivable (attach schedule) ...... 51a 55 ,041,680
b Less allowance for doubtful accounts 51b 2 ,658,853 39,329,226 51c 52,382,827 CD 52 Inventories for sale or use 2,237,155 52 1,493,490
53 Prepaid expenses and deferred charges 12,878,951 53 10,874,177
54a Investments-publicly-traded securities F-Cost F FMV 1,395,629,259 54a 1,599,554,729 b Investments-other securities (attach schedule) F-Cost F-FMV 54b
55a Investments-land, buildings, and equipment basis . . . . . 55a b Less accumulated depreciation (attach schedule) ...... 55b 55c 56 Investments-other (attach schedule) 790 56 793
57a Land, buildings, and equipment basis 57a 1,336,244,580 b Less accumulated depreciation (attach 513,303,214 schedule) ...... 57b 822,029,146 57c 822,941,366 58 Other assets, including program-related investments (describe - 389, 244, 932 58 410,117, 071
59 Total assets (must equal line 74) Add lines 45 through 58 . 2,931,428,216 59 3,123,619,143
60 Accounts payable and accrued expenses 55,788,575 60 78,378,359
61 Grants payable ...... 61
62 Deferred revenue 62 63 Loans from officers, directors, trustees, and key employees (attach schedule) ...... 63
64a Tax-exempt bond liabilities (attach schedule) 557,085,287 64a 570,191,153
b Mortgages and other notes payable (attach schedule) 62,176,722 64b 19,165,023
65 Other liablilities (describe 0 ) 206,588,719 65 197,879,604
66 Total liabilities Add lines 60 through 65 ...... 881,639,303 66 865,614,139 Organizations that follow SFAS 117, check here - 7 and complete lines 67 through 69 and lines 73 and 74 1,202,263,733 67 1,376,105,370 CD 67 Unrestricted U 68 Temporarily restricted 46,920,686 68 27,296,781
69 Permanently restricted 800,604,494 69 854,602,853 Organizations that do not follow SFAS 117, check here - fl and
LL_ complete lines 70 through 74 Z5 70 Capital stock, trust principal, or current funds 70 71 Paid-in or capital surplus , or land , building , and equipment fund . 71 CD 72 Retained earnings, endowment, accumulated income, or other funds 72 73 Total net assets or fund balances Add lines 67 through 69 or lines 70 through 72 (Column ( A) must equal line 19 and column ( B) must equal line 21) . 2,049,788,913 73 2,258,005,004
74 Total liabilities and net assets / fund balances Add lines 66 and 73 2,931,428,216 74 3,123,619,143 Form 990 (2006) Form 990 (2006) Page 5 Reconciliation of Revenue per Audited Financial Statements With Revenue per Return (See the instructions. ) a Total revenue, gains, and other support per audited financial statements a 1,102,944,952 b Amounts included on line a but not on Part I, line 12
1 Net unrealized gains on investments bl 161,558,690 2 Donated services and use of facilities . b2
3 Recoveries of prior year grants b3
4 Other (specify) b4
Add lines blthrough b4 ...... b 161,558,690
c Subtract line bfrom line a . c 941,386,262 d Amounts included on Part I, line 12, but not on line a
1 Investment expenses not included on Part I, line 10,068,840 6b . dl
2 Other (specify) 9E d2 4,038,893
Add lines dl and d2 ...... d 161,558,690
e Total revenue (Part I, line 12) Add lines c and 955,493,995 d . e MUMMY. Reconciliation of Ex p enses p er Audited Financial Statements With Ex p enses p er Return a Total expenses and losses per audited financial statements a 894,728,861 b Amounts included on line a but not on Part I, line 17 1 Donated services and use of facilities . bl
2 Prior year adjustments reported on Part I, line 2,496,886 20 b2 3 Losses reported on Part I, line 20 b3
4 Other (specify) 9E b4 4,355,215
Add lines blthrough b4 ...... b 6,852,101
c Subtract line bfrom line a . c 887,876,760 d Amounts included on Part I, line 17, but not on line a:
1 Investment expenses not included on Part I, line 10,068,840 6b . dl
2 Other (specify) d2 4,038,893
Add lines dl and d2 ...... d 14,107,733
e Total expenses (Part I, line 17) Add lines c and 901,984,493 d . e VINTW, Current Officers , Directors , Trustees , and Key Employees (List each person who was an officer, director, trustee, or key employee at any time during the year even if they were not compensated.) (See the
Form 990 (2006) Form 990 (2006) Page 6 Current Officers , Directors, Trustees , and Key Employees (continued) Yes No 75a Enter the total number of officers, directors, and trustees permitted to vote on organization business at board
meetings ...... 0- 38 b Are any officers, directors, trustees, or key employees listed in Form 990, Part V -A, or highest compensated employees listed in Schedule A, Part I, or highest compensated professional and other independent contractors listed in Schedule A, Part II-A or II-B, related to each other through family or business relationships? If "Yes," attach a statement that identifies the individuals and explains the relationship(s) . 75b No
c Do any officers, directors, trustees, or key employees listed in Form 990, Part V -A, or highest compensated employees listed in Schedule A, Part I, or highest compensated professional and other independent
contractors listed in Schedule A, Part II-A or II-B, receive compensation from any other organizations, whether tax exempt or taxable, that are related to the organization? See the instructions for the definition of "related 75c No organization" If "Yes," attach a statement that includes the information described in the instructions d Does the organization have a written conflict of interest policy? ...... 75d Yes Former Officers, Directors, Trustees , and Key Employees That Received Compensation or Other Benefits (If any former officer, director, trustee, or key employee received compensation or other benefits (described below) during the year, list that person below and enter the amount of compensation or other benefits in the appropriate column. See the Instructions.) (D) Contributions to (C) Compensation employee benefit plans (E) Expense account and (A) Name and address (B) Loans and Advances (If not paid enter -0- ) and deferred compensation other allowances plans MARK COTICCHIA OFFICE OF RESEARCH AND TECH MGMT 0 290,000 64,669 0 CASE WESTERN RESERVE UNIVERSITY CLEVELAND,OH 44106 LEV GO NICK OFFICE INFORMATION TECHNOLOGY CASE WESTERN RESERVE 0 245,300 34,843 0 UNIVERSITY CLEVELAND,OH 44106 GLENN NICHOLLS OFFICE OF STUDENT AFFAIRS CASE WESTERN RESERVE 0 165,000 22,282 0 UNIVERSITY CLEVELAND,OH 44106 KENNETH BASCH OFFICE OF FACILITIES PLANNING CASE WESTERN RESERVE 0 179,603 20,297 0 UNIVERSITY CLEVELAND,OH 44106 RICHARD BAZNIK COLLEGE OF ARTS SCIENCES CASE WAESTERN RESERVE 0 98,700 14,003 0 UNIVERSITY CLEVELAND,OH 44106 WILLIAM ROSE C/O OFFICE OF GENERAL COUNSEL CASE WESTERN RESERVE 0 52,500 761 0 UNIVERSITY CLEVELAND,OH 44106 DEREK BELLIN C/O OFFICE OF GENERAL COUNSEL CASE WESTERN RESERVE 0 127,970 0 0 UNIVERSITY CLEVELAND,OH 44106 BRUCE LOESSIN C/O OFFICE OF GENERAL COUNSEL CASE WESTERN RESERVE 0 176,812 14,153 0 UNIVERSITY CLEVELAND,OH 44106 EDWARD HUNDERT MD C/O OFFICE OF GENERAL COUNSEL CASE WESTERN RESERVE 0 480,300 35,999 0 UNIVERSITY CLEVELAND,OH 44106
L&AW Other Information (See the instructions.) Yes No 76 Did the organization make a change in its activities or methods of conducting activities? If "Yes," attach a
detailed statement of each change 76 N o
77 Were any changes made in the organizing or governing documents but not reported to the IRS? 77 No If "Yes," attach a conformed copy of the changes
78a Did the organization have unrelated business gross income of $1,000 or more during the year covered by this return? . 78a Yes b If "Yes," has it filed a tax return on Form 990 -T for this year? 78b Yes 79 Was there a liquidation, dissolution, termination, or substantial contraction during the year? If "Yes," attach
a statement . 79 N o 80a Is the organization related (other than by association with a statewide or nationwide organization) through common membership,
governing bodies, trustees, officers, etc , to any other exempt or nonexempt organization? , 80a Yes
b If"Yes," enter the name of the organization - SEE STATMENT 28
and check whether it is fl exempt or fl nonexempt 81a Enter direct or indirect political expenditures ( See line 81 instructions 81a b Did the organization file Form 1120 -POL for this year? 81b No
Form 990 (2006) Form 990 (2006) Page 7 LOW Other Information (continued) Yes No 82a Did the organization receive donated services or the use of materials, equipment, or facilities at no charge or at substantially less than fair rental value? 82a No
b If "Yes," you may indicate the value of these items here Do not include this amount as revenue in Part I or as an expense in Part II (See instructions in Part III ) 182b
83a Did the organization comply with the public inspection requirements for returns and exemption applications? 83a Yes b Did the organization comply with the disclosure requirements relating to quid pro quo contributions? 83b Yes
84a Did the organization solicit any contributions or gifts that were not tax deductible? 84a N o b If "Yes," did the organization include with every solicitation an express statement that such contributions or
gifts were not tax deductible? 84b 85 501(c)(4), (5), or(6) organizations, a Were substantially all dues nondeductible by members? . . 85a b Did the organization make only in-house lobbying expenditures of$2,000 or less? 85b If "Yes," was answered to either 85a or 85b, do not complete 85c through 85h below unless the organization received a waiver for proxy tax owed the prior year
c Dues assessments, and similar amounts from members ...... 85c
d Section 162(e) lobbying and political expenditures 85d
e Aggregate nondeductible amount of section 6033(e)(1)(A) dues notices 85e
f Taxable amount of lobbying and political expenditures (line 85d less 85e) . 85f
g Does the organization elect to pay the section 6033(e) tax on the amount on line 85f7 85g
h If section 6033(e)(1)(A) dues notices were sent, does the organization agree to add the amount on line 85fto its reasonable estimate of dues allocable to nondeductible lobbying and political expenditures for the following tax year? 85h
86 501 (c)(7) orgs. Enter a Initiation fees and capital contributions included on line 12 86a 0
b Gross receipts , included on line 12, for public use of club facilities . . . . 86b 0
87 501 (c)(12) orgs . Enter a Gross income from members or shareholders . . . 87a 0
b Gross income from other sources ( Do not net amounts due or paid to other sources against amounts due or received from them ) ...... 87b 0
88a At any time during the year, did the organization own a 50% or greater interest in a taxable corporation or partnership, or an entity disregarded as separate from the organization under Regulations sections 301 7701-2 and 301 7701-3'' If "Yes," complete Part IX 88a Yes b At any time during the year, did the organization directly or indirectly own a controlled entity within the meaning of section 512(b)(13)'' If yes complete Part XI
88b No
89a 501 (c)(3) organizations Enter Amount of tax imposed on the organization during the year under section 4911 - 0 , section 4912 - 0 , section 4955 - 0
b 501 (c)(3) and 501(c)(4) orgs. Did the organization engage in any section 4958 excess benefit transaction during the year or did it become aware of an excess benefit transaction from a prior year? If "Yes ," attach a statement explaining each transaction 89b No c Enter A mount of tax imposed on the organization managers or disqualified persons during the year under sections 4912, 4955, and 4958 . 0- 0 d Enter A mount of tax on line 89c, above, reimbursed by the organization . . . 0- 0 e All organizations. At any time during the tax year was the organization a party to a prohibited tax shelter transaction? 89e I I N o f All organizations. Did the organization acquire direct or indirect interest in any applicable insurance contract?
89f I I N o g Forsupporting organizations and sponsoring organizations maintaining donor advised funds. Did the supporting organization, or a fund maintained by a sponsoring organization, have excess business holdings at any time during the year?
89g 90a List the states with which a copy of this return is filed - O H
b Number of employees employed in the pay period that includes March 12, 2006 (See 90b 5,476 instructions ) ...... 91a The books are in care of- LAURIE F MELVILLE Telephone no 0- (216) 368-2126
10900 EUCLID AVENUE Located at CLEVELAND, OH ZIP +4p, 441067006 b At any time during the calendar year , did the organization have an interest in or a signature or other authority over a financial account in a foreign country (such as a bank account, securities account, or other financial Yes No account)? 91b N o If "Yes," enter the name of the foreign country 0- See the instructions for exceptions and filing requirements for Form TD F 90-22 .1, Report of Foreign Bank and Financial Accounts
Form 990 (2006) Form 990 (2006) Page 8 LOW Other Information (continued) Yes No c At any time during the calendar year, did the organization maintain an office outside of the United States? 91c No
If "Yes," enter the name of the foreign country 0- 92 Section 4947(a)(1) nonexempt charitable trusts filing Form 990 in lieu of Form 1041-Check here . F and enter the amount of tax-exempt interest received or accrued during the tax year . . . . 0- I 92 Analysis of Income - Producing Activities (See the instructions-) Note: Enter gross amounts unless otherwise indicated. Unrelate d business income Excluded by section 512, 513, or 514 (E) Related or (B) Exclusion exempt function Business Amount Amount code code income 93 Program service revenue a TUITION &FEES 247,070,705
b SALES & S E RV C S A U X 713940 1,459,208 32,884,202
c SALES & SERVCS EDU 541800 3,000 53,014,352
d SALES &SERVCS EDU 900004 28,623
e SALES &SERVCS EDU 713940 9,250
f Medicare/Medicaid payments 1,078,062
9 Fees and contracts from government agencies 94 Membership dues and assessments . 95 Interest on savings and temporary cash investments 14 1,275,188 96 Dividends and interest from securities . . 14 75,605,231 97 Net rental income or (loss) from real estate a debt-financed property b non debt-financed property 531120 185,611 16 5,467,110
98 Net rental income or (loss) from personal property 99 Other investment income 525990 3,012,517 100 Gain or (loss) from sales of assets other than inventory 18 92,459,758 101 Net income or (loss) from special events . 102 Gross profit or (loss) from sales of inventory 103 Other revenue a b
c
d
e
104 Subtotal (add columns (B), (D), and (E)) 4,698,209 174,807,287 334,047,321
105 Total (add line 104, columns (B), (D), and (E)) . . . . 0- 513,552,817 Note : Line 105 plus line le, Part I, should equal the amount on line 12, Part I. Relationshi p of Activities to the Accom p lishment of Exem p t Pur p oses (See the instructions. ) Line No . Explain how each activity for which income is reported in column (E) of Part VII contributed importantly to the accomplishment of the organization's exempt purposes (other than by providing funds for such purposes) See Additional Data Table
Kg.TgW*'.4 Information Re g ardin g Taxable Subs idiaries and Disre g arded Entities (See the instructions. )
(A) (B) (C) (D) (E) Name, address, and EIN of corporation, Percentage of End-of-year Nature of activities Total income partnership, or disregarded entity ownership interest assets See Additional Data Table
Information Regarding Transfers Associated with Personal Benefit Contracts (See the instructions.) (a) Did the organization, during the year, receive any funds, directly or indirectly, to pay premiums on a personal benefit contract? , fl Yes F No
(b) Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract? . fl Yes F No
NOTE : If "Yes" to (b), file Form 8870 and Form 4720 (see instructions).
Form 990 (2006) Form 990 (2006) Page 9 LQLW Information Regarding Transfers To and From Controlled Entities Complete only if the organization is a controlling organization as defined in section 512(b)(13)
Yes No
106 Did the reporting organization make any transfers to a controlled entity as defined in section 512(b)(13) of No the Code? if "Yes," complete the schedule below for each controlled entity
(A) (B) (C) (D) Name and address of each Employer Identification Description of Amount of transfer controlled entity Number transfer
Totals
Yes No
107 Did the reporting organization receive any transfers from a controlled entity as defined in section 512(b)(13) of Yes the Code? if "Yes," complete the schedule below for each controlled entity
(A) (B) (C) (D) Name and address of each Employer Identification Description of Amount of transfer controlled entity Number transfer
90,6041 Totals
Yes No
108 Did the organization have a binding written contract in effect on August 17, 2006 covering the interests, rents, No royalties and annuities described in question 107 above?
Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, it is true, correct, and complete Declaration of preparer (other than officer) is based on all information of which preparer has any knowledge
Please 2008-05-15 Sign F Signature of officer Date Here JOHN SIDERAS INTERIM SR VP FOR FINANCE AND CFO Type or print name and title
Date Preparer's Paid signature Preparer's Firm's name (or yours Use if self-employed), address, and ZIP + 4 Only PricewaterhouseCoopers LLP
2001 MARKET ST SUITE 1700
PHILADELPHIA, PA 19103 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678 OMB N o 1545-0047 SCHEDULEA Organization Exempt Under Section 501 (c)(3) (Except Private Foundation) and Section 501(e), 501(f), 501(k), (Form 990 or 501(n), or 4947(a)(1) Nonexempt Charitable Trust 990EZ) Supplementary Information-(See separate instructions.) 2006 Department of the 0, MUST be completed by the above organizations and attached to their Form 990 or 990-EZ Treasury Internal Revenue Service Name of the organization Employer identification number CASE WESTERN RESERVE UNIVERSITY 34-1018992 Compensation of the Five Highest Paid Employees Other Than Officers, Directors , and Trustees (See nacre 2 of the instructions. I ist each one. If there are none. enter "None.") (d) Contributions (e) Expense (a) Name and address of each employee ( b) Title and average hours to employee benefit ( c) Compensation account and other paid more than $50,000 per week devoted to position plans & deferred allowances compensation JOHN LOWE PROFESSOR C/O CASE WESTERN RESERVE UNIV 425,000 34,119 0 10900 EUCLID AVENUE 60 0 CLEVELAND,OH 44106 GERALD FERRETTI PROFESSOR &CHAIR C/O CASE WESTERN RESERVE UNIV 407,847 31,489 0 10900 EUCLID AVENUE 60 0 CLEVELAND,OH 44106 PAMELA DAVIS VP DEAN &PROFESSOR C/O CASE WESTERN RESERVE UNIV 385,043 39,898 0 10900 EUCLID AVENUE 60 0 CLEVELAND,OH 44106 PIERLUIGI GAMBETTI PROFESSOR C/O CASE WESTERN RESERVE UNIV 380,516 31,200 0 10900 EUCLID AVENUE 60 0 CLEVELAND,OH 44106 NATHAN BERGER DIRECTOR C/O CASE WESTERN RESERVE UNIV 376,412 34,452 0 10900 EUCLID AVENUE 60 0 CLEVELAND,OH 44106 Total number of other employees paid over 2,148 $50,000 Compensation of the Five Highest Paid Independent Contractors for Professional Services (See page 2 of the instructions. List each one (whether individuals or firms). If there are none, enter "None.") (a) Name and address of each independent contractor paid more than $50,000 ( b) Type of service ( c) Compensation CEDAR CRESTONE PO BOX 402521 CONSULTANT 1,202,239 ATLANTA,GA 303842521 HASENSTAB ARCHITECTS INC 190 N UNION STREET 400 ARCHITECT 451,264 AKRON,OH 44304 TAFT STETTINIUS AND HOLLIS 3500 BP TOWER LEGAL 413,807 CLEVELAND,OH 44114 MILAN BENDER AND ASSOCIATES 5915 LANDERBROOK DRIVE SUITE 120 ARCHITECT 337,948 MAYFIELD HEIGHTS,OH 44124 CA LFEE HA LTER AND GRISWO LD 1400 MCDONALD INVESTMENT CENTER LEGAL 296,108 CLEVELAND,OH 44114 Total number of others receiving over $50,000 for 41 professional services 111. 1 •niiUM Compensation of the Five Highest Paid Independent Contractors for Other Services (List each contractor who performed services other than professional services, whether individuals or firms. If there are none. enter "None". See Dane 2 for instructions.) (a) Name and address of each independent contractor paid more than $50,000 (b) Type of service ( c) Compensation BON APPETIT 10900 EUCLID AVENUE CATERING 8,260,211 CLEVELAND,OH 44106 KRILL CO INC 1275 MAIN AVENUE GENERAL CONTRACTOR 6,289,711 CLEVELAND,OH 44113 ALBERT M HIGLEY CO 2926 CHESTER AVENUE GENERAL CONTRACTOR 4,375,179 CLEVELAND,OH 44114 KELLY SERVICES INC PO BOX 820405 STAFFING 3,927,356 PHILADELPHIA,PA 19182 PERCEPTIS LLC 1250 OLD RIVER ROAD IT SERVICE 2,766,307 CLEVELAND,OH 44113 Total number of other contractors receiving over 65 $50,000 for other services ► For Paperwork Reduction Act Notice , see the Instructions for Form 990 andCat No 11285F Schedule A (Form 990 or 990-EZ) Form 990 - EZ. 2006 Schedule A (Form 990 or 990-EZ) 2006 Page 2
Statements About Activities (See page 2 of the instructions.) Yes No
1 During the year, has the organization attempted to influence national, state, or local legislation, include any attempt to influence public opinion on a legislative matter or referendum? If "Yes," enter the total expenses paid or incurred in connection with the lobbying activities Jk-$ 580,900 (Must equal amounts on line 38, Part VI-A, or line i of Part VI-B ) 1 Yes Organizations that made an election under section 501(h) by filing Form 5768 must complete Part VI-A Other organizations checking "Yes" must complete Part VI-B AND attach a statement giving a detailed description of the lobbying activities 2 During the year, has the organization, either directly or indirectly, engaged in any of the following acts with any substantial contributors, trustees, directors, officers, creators, key employees, or members of their families, or with any taxable organization with which any such person is affiliated as an officer, director, trustee, majority owner, or principal beneficiary? (If the answer to any question is "Yes,"attach a detailed statement explaining the transactions.) a Sale, exchange, or leasing property? 2a Yes b Lending of money or other extension of credit? F 2b Yes c Furnishing of goods, services, or facilities? 2c Yes d Payment of compensation (or payment or reimbursement of expenses if more than $1,000)7 2d Yes e Transfer of any part of its income or assets? 2e I No 3a Did the organization make grants for scholarships, fellowships, student loans, etc '' (If "Yes," attach an explanation of how the organization determines that recipients qualify to receive payments 3a Yes b Did the organization have a section 403(b) annuity plan for its employees? 3b Yes c Did the organization receive or hold an easement for conservation purposes, including easements to preserve open space, the environment , historic land areas or structures? If "Yes" attach a detailed statement 3c No d Did the organization provide credit counseling, debt management, credit repair, or debt negotiation services? 3d No 4a Did the organization maintain any donor advised funds? If"Yes," complete lines 4b through 4g If"No," complete lines 4f and 4g 4a Yes b Did the organization make any taxable distributions under section 49667 4b No c Did the organization make a distribution to a donor, donor advisor, or related person? 4c I No d Enter the total number of donor advised funds owned at the end of the tax year
e Enter the aggregate value of assets held in all donor advised funds owned at the end of the tax year
f Enter the total number of separate funds or accounts owned at the end of the tax year (excluding donor advised funds included on line 4d) where donors have the right to provide advice on the distribution or 0 investment of amounts in such funds or accounts
g Enter the aggregate value of assets held in all funds or accounts included on line 4f at the end of the tax year 0
Schedule A (Form 990 or 990-EZ) 2006 Schedule A (Form 990 or 990-EZ) 2006 Page 3
Reason for Non-Private Foundation Status (See pages 4 through 7 of the instructions.)
I certify that the organization is not a private foundation because it is (Please check only ONE applicable box 5 fl A church, convention of churches, or association of churches Section 170(b)(1)(A)(i) 6 F A school Section 170(b)(1)(A)(ii) (Also complete Part V ) 7 fl A hospital or a cooperative hospital service organization Section 170(b)(1)(A)(iii) 8 fl A federal, state, or local government or governmental unit Section 170(b)(1)(A)(v) 9 fl A medical research organization operated in conjunction with a hospital Section 170 (b)(1)(A)(iii) Enter the hospital ' s name, city, and state lk^ 10 fl A n organization operated for the benefit of a college or university owned or operated by a governmental unit Section 170(b)(1)(A)(iv) (Also complete the Support Schedule in Part IV-A) 11a fl An organization that normally receives a substantial part of its support from a governmental unit or from the general public Section 170(b)(1)(A)(vi) (Also complete the Support Schedule in Part IV-A) 11b fl A community trust Section 170(b)(1)(A)(vi) (Also complete the Support Schedule in Part IV-A) 12 fl A n organization that normally receives ( 1) more than 331/3% of its support from contributions, membership fees, and gross receipts from activities related to its charitable, etc , functions-subject to certain exceptions, and (2) no more than 331/3% of its support from gross investment income and unrelated business taxable income (less section 511 tax) from businesses acquired by the organization after June 30, 1975 See section 509(a)(2) (Also complete the Support Schedule in Part IV-A 13 fl An organization that is not controlled by any disqualified persons (other than foundation managers) and otherwise meets the requirements of section 509(a)(3) Check the box that describes the type of supporting organization
fl Type I fl Type II fl Type III - Functionally Integrated fl Type III - Other Provide the following information about the supported organizations. (see page 7 of the instructions.) (c) (d) (b) Type of Is the supported organization ( a) Employer organization listed in the (e) ( described in Amount of Name ( s) of supported organization ( s) identification supporting organization's lines 5 through support? number governing documents ? 12 above or IRC section) Yes No
Total ►
14 fl An organization organized and operated to test for public safety Section 509( a)(4) (See page 7 of the instructions ) Schedule A (Form 990 or 990-EZ) 2006 Schedule A (Form 990 or 990-EZ) 2006 Page 4 Support Schedule (Complete only if you checked a box on line 10, 11, or 12 ) Use cash method of accounting. Note : You may use the worksheet in the instructions for converting from the accrual to the cash method of accounting. Calendar year ( or fiscal year beginning in ) ok. (a) 2005 (b) 2004 (c) 2003 (d) 2002 (e) Total 15 Gifts, grants, and contributions received (Do not include unusual grants See line 28 16 Membership fees received 17 Gross receipts from admissions, merchandise sold or services performed, or furnishing of facilities in any activity that is related to the organization's charitable, etc , purpose 18 Gross income from interest, dividends, amounts received from payments on securities loans (section 512(a)(5)), rents, royalties, and unrelated business taxable income (less section 511 taxes) from businesses acquired by the organization after June 30, 1975 19 Net income from unrelated business activities not included in line 18 20 Tax revenues levied for the organization's benefit and either paid to it or expended on its behalf 21 The value of services or facilities furnished to the organization by a governmental unit without charge Do not include the value of services or facilities generally furnished to the public without charge 22 Other income Attach a schedule Do not include gain or (loss) from sale of capital assets 23 Total of lines 15 through 22 24 Line 23 minus line 17 25 Enter 1% of line 23
26 Organizations described on lines 10 or 11 : a Enter 2% of amount in column (e), line 24 ► 26a b Prepare a list for your records to show the name of and amount contributed by each person (other than a governmental unit or publicly supported organization) whose total gifts for 2002 through 2005 exceeded the amount shown in line 26a Do not file this list with your return . Enter the total
of all these excess amounts ► 26b c Total support for section 509(a)(1) test Enter line 24, column (e) llk^ 26c d Add Amounts from column (e) for lines 18 19 22 26b 26d
e Public support (line 26c minus line 26d total) ► 26e f Public support percentage ( line 26e (numerator ) divided by line 26c (denominator )) ► 26f 27 Organizations described on line 12 : a For amounts included in lines 15, 16, and 17 that were received from a "disqualified person," prepare a list for your records to show the name of, and total amounts received in each year from, each "disqualified person Do not file this list with your return . Enter the sum of such amounts for each year (2005) (2004) (2003) (2002) b For any amount included in line 17 that was received from each person (other than "disqualified persons"), prepare a list for your records to show the name of, and amount received for each year, that was more than the larger of (1) the amount on line 25 for the year or (2) $5,000 (Include in the list organizations described in lines 5 through 11b, as well as individuals ) Do not file this list with your return . After computing the difference between the amount received and the larger amount described in (1) or (2), enter the sum of these differences (the excess amounts) for each year (2005) (2004) (2003) (2002)
c Add Amounts from column ( e) for lines 15 16
17 20 21 ► 27c d Add Line 27a total and line 27b total 27d e Public support (line 27c total minus line 27d total) 27e f Total support for section 509(a)(2) test Enter amount from line 23, column (e) lk^ 127f g Public support percentage ( line 27e ( numerator ) divided by line 27f (denominator)) h Investment income percentage ( line 18, column ( e) (numerator ) divided by line 27f (denominator)) lk^ 28 Unusual Grants: For an organization described in line 10, 11, or 12 that received any unusual grants during 2002 through 2005, prepare a list for your records to show, for each year, the name of the contributor, the date and amount of the grant, and a brief description of the nature of the grant Do not file this list with your return . Do not include these grants in line 15 Schedule A (Form 990 or 990-EZ) 2006 Schedule A (Form 990 or 990-EZ) 2006 Page 4 Private School Questionnaire (See page 7 of the instructions.) ( To be com p leted ONLY b y schools that checked the box on line 6 in Part IV ) 29 Does the organization have a racially nondiscriminatory policy toward students by statement in its charter, bylaws, Yes No other governing instrument, or in a resolution of its governing body? 29 Yes 30 Does the organization include a statement of its racially nondiscriminatory policy toward students in all its brochures, catalogues, and other written communications with the public dealing with student admissions, programs, and scholarships? 30 Yes 31 Has the organization publicized its racially nondiscriminatory policy through newspaper or broadcast media during the period of solicitation for students, or during the registration period if it has no solicitation program, in a way that makes the policy known to all parts of the general community it serves? 31 Yes If "Yes," please describe, if "No," please explain (If you need more space, attach a separate statement ) THE UNIVERSITY MEETS THE REQUIREMENTS OF REVENUE PROCEDURE 75-50, 1975-1 C B 587, PART III, SECTION 4 03(2)(B) 32 Does the organization maintain the following a Records indicating the racial composition of the student body, faculty, and administrative staff? 32a Yes b Records documenting that scholarships and other financial assistance are awarded on racially nondiscriminatory basis? 32b Yes c Copies of all catalogues, brochures, announcements, and other written communications to the public dealing with student admissions, programs, and scholarships? 32c Yes d Copies of all material used by the organization or on its behalf to solicit contributions? 32d Yes
If you answered "No" to any of the above, please explain (If you need more space, attach a separate statement
33 Does the organization discriminate by race in any way with respect to
a Students' rights or privileges? 33a No
b Admissions policies? 33b No
c Employment of faculty or administrative staff? 33c No
d Scholarships or other financial assistance? 33d No
e Educational policies? 33e No
f Use of facilities? 33f No
g Athletic programs? 33g No
h Other extracurricular activities? 33h No
If you answered "Yes" to any of the above, please explain (If you need more space, attach a separate statement
34a Does the organization receive any financial aid or assistance from a governmental agency? 34a Yes
b Has the organization's right to such aid ever been revoked or suspended? 34b No If you answered "Yes" to either 34a orb, please explain using an attached statement
35 Does the organization certify that it has complied with the applicable requirements of sections 4 01 through 4 05 of Rev Proc 75-50, 1975-2 C B 587, covering racial nondiscrimination? If "No," attach an explanation 35 Yes Schedule A (Form 990 or 990-EZ) 2006 Schedule A (Form 990 or 990-EZ) 2006 Page 5 Lobbying Expenditures by Electing Public Charities (See page 10 of the instructions.) (To be completed ONLY by an eligible organization that filed Form 5768) Check ► a fl if the organization belongs to an affiliated group Check ► b fl if you checked "a" and "limited control" provisions apply (a) (b) Limits on Lobby ing Ex penditures To be completed Affiliated group for all electing (The term "expenditures" means amounts paid or totals incurred organizations 36 Total lobbying expenditures to influence public opinion (grassroots lobbying) 36
37 Total lobbying expenditures to influence a legislative body (direct lobbying) 37
38 Total lobbying expenditures (add lines 36 and 37) 38
39 Other exempt purpose expenditures 39
40 Total exempt purpose expenditures (add lines 38 and 39) 40 41 Lobbying nontaxable amount Enter the amount from the following table If the amount on line 40 is- The lobbying nontaxable amount is- Not over $500,000 20% of the amount on line 40 Over $500,000 but not over $1,000,000 $100,000 plus 15% of the excess over $500,000 Over $1,000,000 but not over $1,500,000 $175,000 plus 10% of the excess over $1,000,000 41
Over $1,500,000 but not over $17,000,000 $225,000 plus 5% of the excess over $1,500,000 Over $17,000,000 $1,000,000 42 Grassroots nontaxable amount (ente r 25% of line 41) 42
43 Subtract line 42 from line 36 Enter -0- if line 42 is more than line 36 43 0
44 Subtract line 41 from line 38 Enter -0- if line 41 is more than line 38 44 0
Caution : If there is an amount on either line 43 or line 44, you must file Form 4720. 4-Year Averaging Period Under Section 501(h) (Some organizations that made a section 501(h) election do not have to complete all of the five columns below See the instructions for lines 45 throuah 50 on oaae 13 of the instructions
Lobbying Expenditures During 4-Year Averaging Period
Calendaryear ( or (a) (b ) ( c) (d) (e) fiscal year beginning in ) ► 2006 2005 2004 2003 Total
45 Lobbying nontaxable amount
46 Lobbying ceiling amount (150% of line 45(e))
47 Total lobbying expenditures
48 Grassroots nontaxable amount
49 Grassroots ceiling amount (150% of line 48(e))
50 Grassroots lobbying expenditures Lobbying Activity by Nonelecting Public Charities ( For re p ortin g onl y b y org anizations that did not com p lete Part VI-A ( See a e 13 of the instructions. ) During the year, did the organization attempt to influence national, state or local legislation, including any attempt to influence public opinion on a legislative matter or referendum, through the use of Yes No Amount
a Volunteers Yes b Paid staff or management (Include compensation in expenses reported on lines c through h.) Yes c Media advertisements No 0 d Mailings to members, legislators, or the public Yes 221,824 e Publications, or published or broadcast statements No 0 f Grants to other organizations for lobbying purposes No 0 g Direct contact with legislators, their staffs, government officials, or a legislative body Yes 359,076 h Rallies, demonstrations, seminars, conventions, speeches, lectures, or any other means No 0 i Total lobbying expenditures (Add lines c through h.) 580,900 If "Yes" to any of the above, also attach a statement giving a detailed description of the lobbying activities Schedule A (Form 990 or 990 - EZ) 2006 Schedule A (Form 990 or 990-EZ) 2006 Page 6 Information Regarding Transfers To and Transactions and Relationships With Noncharitable Exempt Organizations (See page 13 of the instructions.) 51 Did the reporting organization directly or indirectly engage in any of the following with any other organization described in section 501(c) of the Code (other than section 50 1(c)(3) organizations) or in section 527, relating to political organizations? a Transfers from the reporting organization to a noncharitable exempt organization of Yes No (i) Cash 51a(i) No (ii) Other assets a(ii) No b Other transactions (i) Sales or exchanges of assets with a noncharitable exempt organization b(i) No (ii) Purchases of assets from a noncharitable exempt organization b(ii) No (iii) Rental of facilities, equipment, or other assets b(iii) No (iv) Reimbursement arrangements b(iv) No (v) Loans or loan guarantees b(v) No (vi) Performance of services or membership or fundraising solicitations b(vi) No c Sharing of facilities, equipment, mailing lists, other assets, or paid employees c No d If the answer to any of the above is "Yes," complete the following schedule Column (b) should always show the fair market value of the goods, other assets, or services given by the reporting organization If the organization received less than fair market value i n any transaction or sharing arrangement, show in column (d) the value of the goods, other assets, or services received
52a Is the organization directly or indirectly affiliated with, or related to, one or more tax-exempt organizations described in section 501(c) of the Code (other than section 501(c)(3)) or in section 527' lk^ fl Yes F No b If "Yes," complete the following schedule
Schedule A (Form 990 or 990-EZ) 2006 Additional Data
Software ID: Software Version: EIN: 34 -1018992 Name : CASE WESTERN RESERVE UNIVERSITY
Form 990 , Part II, Line 43 - Other expenses not covered above ( itemize):
Do not include amounts reported on line ( A) Total (B) Program ( C) Management (D) Fundraising 6b, 8b, 9b, 10b, or 16 of Part I. services and general
a INTERNAL SERVICES 43a 8,811,971 8,672,931 91,441 47,599
b OUTSIDE SERVICES 43b 74,924,195 70,486,875 4,236,171 201,149
c EQUIPMENT 43c 7,300,718 6,813,992 41,780 444,946
d INSURANCE 43d 4,181,808 1,098,987 3,080,251 2,570
e MISC /PLANT TRANSFERS 43e 14,531,919 10,974,862 3,557,057 0
f CCLCM RESEARCH 43f 90,679,534 90,679,534 0 0
g INVESTMENT MANAGER FEES 43g 10,068,840 0 10,068,840 0
h RENT EXPENSES 43h 5,685,290 0 5,685,290 0 Form 990, Part V-A - Current Officers, Directors, Trustees, and Key Employees:
(A) Name and address ( B) Title and average (C) Compensation ( D) Contributions to (E) Expense hours per week devoted ( If not paid, enter -0- employee benefit account and other to position .) plans & deferred allowances compensation plans
FRANK N LINSALATA CHAIRMAN 0 0 0 OFFICE OF GENERAL COUNSEL 15 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
TIMOTHY J CALLAHAN VICE CHAIRMAN 0 0 0 OFFICE OF GENERAL COUNSEL 10 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
JOIE A GREGOR VICE CHAIRMAN 0 0 0 OFFICE OF GENERAL COUNSEL 10 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
DAVID P HUNT VICE CHAIRMAN 0 0 0 OFFICE OF GENERAL COUNSEL 10 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
ROBERT CLARKE BROWN TREASURER 83,220 2,078 0 ADELBERT HALL ROOM 4 60 0 CLEVELAND, OH 441067016
JOHN L ANDERSON PROVOST &V P 430,000 32,606 0 CASE WESTERN RESERVE 60 0 UNIVERSITY ADELBERT HALL ROOM 216 CLEVELAND, OH 441067001
HOSSEIN SADID CFO &ADMIN OFFICER 330,000 64,962 0 CASE WESTERN RESERVE 60 0 UNIVERSITY ADELBERT HALL ROOM 205 CLEVELAND, OH 441067003
SALLY STALEY CHIEF INVEST OFFICER 362,144 30,567 0 CASE WESTERN RESERVE 60 0 UNIVERSITY ADELBERT HALL ROOM 4 CLEVELAND, OH 441067016
ARTHUR ROOS TREASURER 157,842 11,537 0 CASE WESTERN RESERVE 60 0 UNIVERSITY ADELBERT HALL ROOM 4 CLEVELAND, OH 441067016
JEANINE ARDEN ORNT SECRETARY 355,000 47,114 0 CASE WESTERN RESERVE 60 0 UNIVERSITY ADELBERT HALL ROOM 311 CLEVELAND, OH 441067016 Form 990, Part V-A - Current Officers, Directors, Trustees, and Key Employees:
(A) Name and address ( B) Title and average ( C) Compensation ( D) Contributions to (E) Expense hours per week devoted ( If not paid, enter -0- employee benefit account and other to position .) plans & deferred allowances compensation plans
GEORGE N ARONOFF TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCID AVENUE CLEVELAND, OH 441067010
VIRGINIA NORD BARBATO TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
JAMES L BILDNER TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
WILLIAM E BRUNER II MD TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
ANTONY E CHAMP PHD TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
KENNETH B CHANCE DDS TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
ARCHIE G CO TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
DAVID A DABERKO TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
JAMES C DIGGS TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
THALIA DORWICK PHD TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010 Form 990, Part V-A - Current Officers, Directors, Trustees, and Key Employees:
(A) Name and address (B) Title and average ( C) Compensation ( D) Contributions to (E) Expense hours per week devoted ( If not paid, enter -0- employee benefit account and other to position .) plans & deferred allowances compensation plans
SUSIE GHARIB TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
SALLY GRIES TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
PETER S HELLMAN TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
JENNIES HWANG PHD TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
SAMIR N JADALLAH TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
MARY ANN JORGENSON TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
JOSEPH P KEITHLEY TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
CHARLES J KOCH TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
GEORGE L MAJOROS JR TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
JOSHUA W MARTIN III TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010 Form 990, Part V-A - Current Officers, Directors, Trustees, and Key Employees:
(A) Name and address ( B) Title and average ( C) Compensation (D) Contributions to (E) Expense hours per week devoted (If not paid, enter -0- employee benefit account and other to position .) plans & deferred allowances compensation plans
FERID MURAD MD PHD TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
ALFRED M RANKIN JR TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
JOSEPH B RICHEY TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
JOSEPH A SABATINI TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
THEODORE L SCHROEDER TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
ALAN L SCHWARTZ MD PHD TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
PATRICK C WALSH MD TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
ANDREWWASYNCZUK TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
LINDA BURNES BOLTON PHD TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
JOHN P CAMPI TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010 Form 990, Part V-A - Current Officers, Directors, Trustees, and Key Employees:
(A) Name and address (B) Title and average (C) Compensation (D) Contributions to (E) Expense hours per week devoted (If not paid, enter -0- employee benefit account and other to position .) plans & deferred allowances compensation plans
GREGORY L EASTWOOD MD INTERIM PRESIDENT 500,000 32,491 0 ADELBERT HALL ROOM 216 60 0 CLEVELAND, OH 441067001
CAROLINE KOVAC PHD TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
JOE MANDATO TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
THOMAS F MCKEE TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010
PAUL M OSTERGARD TRUSTEE 0 0 0 OFFICE OF GENERAL COUNSEL 2 0 10900 EUCLID AVENUE CLEVELAND, OH 441067010 Form 990, Part VIII - Relationship of Activities to the Accomplishment of Exempt Purposes:
Line No . Explain how each activity for which income is reported in column (E) of Part VII contributed importantly to the V accomplishment of the organization ' s exempt purposes (other than by providing funds for such purposes).
93A THIS ACTIVITY CONTRIBUTES IMPORTANTLY TO THE INSTRUCTIONAL
0 PROGRAMS THAT ENABLE STUDENTS TO MEET THEIR EDUCATIONAL
0 GOALS
93B- THESE ACTIVITIES CONTRIBUTE IMPORTANTLY TO THE OVERALL
93F EDUCATION AND PHYSICAL MAINTENANCE OF STUDENTS, INCLUDING
0 THE PROVISION OF EDUCATIONAL MATERIALS, RENTAL OF EDUCATION-
0 RELATED EQUIPMENT AND ATHLETIC PROGRAMS Form 990, Part IX - Information Regarding Taxable Subsidiaries and Disregarded Entities:
(A) (B) (C) (D) (E) Name, address, and EIN of corporation , Percentage of Nature of activities Total income End-of-year partnership, or disregarded entity ownership interest assets
HOUSING ASSOCIATES INC 10000% R E CONSULT -627 16,910 10900 EUCLID AVENUE CLEVELAND, OH44106 34-0868260
ERIE TIMBER LLC 10000% TIMBER FARM 659,059 31,665,152 10900 EUCLID AVENUE CLEVELAND, OH44106 20-0409132
TRIANGLE RESIDENTIAL LP 5000% R ESTATE MGMT 3,492,896 21,591,713 10900 EUCLID AVENUE CLEVELAND, OH44106 20-2569698
TRIANGLE RESIDENTIAL LLC 10000% R ESTATE MGMT 1,746,448 1,825 10900 EUCLID AVENUE CLEVELAND, OH44106 34-1018992
ERIE FOREST INVESTMENTS LLC 10000% TIMBER FARM 0 0 10900 EUCLID AVENUE CLEVELAND, OH44106 20-5742452
ERIE BUYER LLC 10000% TIMBER FARM 0 0 10900 EUCLID AVENUE CLEVELAND, OH44106 16-1773605 Form 990, Part IX - Information Regarding Taxable Subsidiaries and Disregarded Entities:
(A) (B) (C) (D) (E) Name, address, and EIN of corporation, Percentage of Nature of activities Total income End-of-year partnership, or disregarded entity ownership interest assets
ERIE PARENT LLC 10000% TIMBER FARM 0 0 10900 EUCLID AVENUE CLEVELAND, OH44106 83-0465480 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678
TY 2006 Cash Grants Paid Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Class of Activity Recipient's name Address Amount Relationship STUDENT AID 10900 EUCLID AVENUE 107,594,230 UNDERGRADUATE AND CLEVELAND, OH GRADUATE STUDENTS - 441067006 SEE STMT 25 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678
TY 2006 General Explanation Attachment
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Identifier Return Explanation Reference
STATEMENT OF FORM 990, Primary exempt purpose ------Case Western Reserve University is an inde pendent, PROGRAM SERVICE PART III research-oriented university with broadly based strengths in health, including me dicine, nursing and ACCOMPLISHMENTS dentistry, in engineering, in the arts and sciences, and in law, manag ement and social work The Universitys commitment is to excellence in teaching, research a nd scholarship The University brings together highly qualified faculty, students and staf f to (1) Offer undergraduate education that preserves the strengths of traditional discip linary mayors while integrating contents and methods fromtechnology, the arts and science s, and the professions, (2) Prepare students for positions of leadership in professions th at are important to society, and (3) Advance, through research and scholarship, the unders tanding of its chosen disciplines and their applications Instructional and departmental r esearch ------The academic programs of Case Western Reserve University are administered through its schools and colleges Currently 10,163 students are enrolled in programs leading to undergraduate, graduate and professional degrees admi nistered through the Universitys nine schools the Case School of Engineering, the College of Arts and Sciences, the Mandel School of Applied Social Sciences, the School of Dental Medicine, the School of Graduate Studies, the School of Law, the Weatherhead School of Man agement, the School of Medicine and the Frances Payne Bolton School of Nursing Sponsored research and training/other sponsored programs ------Case Western Reserve University is classified as a Research University (ver y high research activity) - Extensive by the Carnegie Commission on Higher Education This classification given to those institutions that train the greatest number of future resea rchers (usually measured by the number of Ph D students) and to those institutions that r eceive the most federal funds In addition to federal sources, research in the sciences, t he humanities and the health sciences area is funded by gifts and grants from private foun dations, corporations and individuals Auxiliary enterprises ------The U niversity provides several services which, although not directly related to its academic mission, are nevertheless an integral part of the overall educational experience of its stu dents The provision of campus housing and board plans and phone services are examples of current auxiliary services Student aid ------Case Western Reserve University offer s assistance to its students to help meet financial need or to recognize outstanding acade mic achievement and promise Academic excellence is recognized by the Academic Awards Prog ram and other scholarship programs of the undergraduate colleges and by various assistants hips, fellowships, scholarships and other awards of individual departments in the School o f Graduate Studies and several of the professional schools Libraries ------The Univ ersitys library system is composed of four primary units the University Library, the Clev eland Health Sciences Library, the School of Law Library and the Lillian & Milford Harris Library in the Mandel School of Applied Social Sciences The libraries of the University s upport the undergraduate, graduate and professional programs and contain 2 5 million volum es Student services/organized activities ------Case Wes tern Reserve University actively promotes the development of services and programs to supp ort the physical, emotional and intellectual well-being of its students The programs and services are available to undergraduate, graduate and professional students alike and are designed to provide positive, developmental opportunities both to supplement the academic experience and enrich campus life OTHER PROGRAM SERV ICES ------LINE E ------GRANTS & ALLOCATIONS EXPENSES ------STUDENT AID $ 55,328, 840 $ 57,652,954 LIBRARIES NONE 12,691,745 STUDENT SERV ICES (2,111) 19,813,255 ORGANIZED A CTIV ITIES 25,097 7,992,555 ------TOTAL $ 55,351,826 $98,150,50 9 Identifier Return Explanation Reference
STATEMENT FORM 990, Other than the payment of reasonable and not excessive compensation to its officers, and t he reimbursement of ABOUT SCHEDULE expenses incurred by its officers and trustees , the University knows o f no significant transactions betw een it ACTIVITIES A, PART III, and any person described above, or an organizatio n or corporation with which such an individual is affiliated, LINE 2 except as indicated below T he University may employ a family member of one of its officers or trustees In such cases , the University pays reasonable and not excessive compensation to such individuals These arrangements are conducted at arm's length, and the trustee or officer plays no role in t he transaction Under the University's conflict of interest policy , all business and finan cial relationships between the University and entities or organizations affiliated with tr ustees, officers and others are subject to disclosure and review All trustees, officers , faculty and certain management - level employees are required to complete conflict of intere st disclosure forms In the ordinary course of business , the University may purchase goods or services from an organization or business of which a trustee may be an officer, prince pal or employee In many cases , the University' s relationship with the entity pre- dates th e individual's becoming a trustee As noted above, each such relationship is subject to re view All transactions are conducted at arm's length, including competitive bidding or end ependent appraisals w here appropriate , and for good and sufficient consideration Moreover , the trustee or officer plays no significant role in the transaction Relationships invol ving sums of $25 ,000 or more are listed below NAME NATIONAL CITY CORPORATION ADDRESS CL EVELAND, OH DESCRIPTION OF TRANSACTION ASSET MANAGEMENT AND FINANCIAL SERVICES AMOUNT 1, 042,453 NAME JP MORGAN CHASE & CO ADDRESS CLEVELAND, OH DESCRIPTION OF TRANSACTION FINA NCIAL SERVICES/CORP CREDIT CARD AMOUNT 12,755,698 NAME UNIVERSITY OPHTHALMOGIST, INC AD DRESS MAYFIELD VILLAGE, OH DESCRIPTION OF TRANSACTION MEDICAL - VARIOUS REIMBURSEMENTS A MOUNT 72,252 NAME LINSALATA CAPITAL PARTNERS ADDRESS CLEVELAND, OH DESCRIPTION OF TRANS ACTION FINANCIAL SERVICES - INVESTMENT MGMT FEES AMOUNT 153,207 NAME SQUIRE SANDERS & DEMPSEY, LLP"ADDRESS CINCINNATI, OH DESCRIPTION OF TRANSACTION LEGAL SERVICES AMOUNT 14,162 NAME QWEST BUSINESS SERVICES ADDRESS LOUISVILLE, KY DESCRIPTION OF TRANSACTION COMMUNICATIONS AMOUNT 61,363 NAME BIOENTERPRISE CORPORATION ADDRESS CLEVELAND, OH DESCRI PTION OF TRANSACTION RENTAL AMOUNT 126,274 NAME CALFEE HALTER & GRISWOLD ADDRESS CLEVE LAND, OH DESCRIPTION OF TRANSACTION LEGAL SERVICES AMOUNT 296,108 NAME STERIS CORPORATI ON ADDRESS PITTSBURGH, PA DESCRIPTION OF TRANSACTION MEDICAL AMOUNT 1,095,425 NAME VAN GUARD ADDRESS VALLEY FORGE, PA DESCRIPTION OF TRANSACTION EMPLOYEE RETIREMENT PLAN AMOUNT 26,040,025 *SQUIRE SANDERS & DEMPSEY IS CASE'S BOND COUNSEL IN FISCAL 06-07, THEY PROV IDED SERVICES RELATED TO THE SERIES 2006 BOND ISSUE, FOR WHICH THEY WERE PAID FROM THE BON D ISSUANCE COST ACCOUNT, ADMINISTERED BY THE BOND TRUSTEE, BANK OF NEW YORK DURING FISCAL 06-07, THE AMOUNT PAID FROM THAT ACCOUNT WAS $113,075 Identifier Return Explanation Reference
STATEMENT FORM 990, Most disbursements in furtherance of the University's exempt purpose are made directly for salary and ABOUT SCHEDULE A, other expenses incurred in the active conduct of the institution's exempt purp ose Grants and loans to ACTIVITIES 3A PART III, LINE individuals or other organizations are made in accordance with pr ocedures or subject to conditions 3A established by the institution's governing board These procedures and conditions are designed to ensure that recipients are adequately investigat ed and the funds used for activities that further the University's exempt purpose Students receiving scholarships and fellowships are deemed worthy on the basis of the University' s assessment of academic achievement, financial need and other similar standards Identifier Return Explanation Reference
STATEMENT FORM 990, Federal Level, 2006 ------August 2006 ------Director of Government Relat ions Adrienne Dziak ABOUT SCHEDULE attends small group meeting with Representative Ralph Regula to discus s FY2007 appropriations process and LOBBYING A, PART V I- higher education issues (Akron, OH) September 2006 ------Director of Government Relations met w ith ACTIVITY B staff from Representatives Tim Ryan, Dennis Kucinich, Stephanie Tubbs Jones, and Sherrod Brow n's offices and Senators Mike DeW ine and George Voinovich's offices to discuss FY2007 appropriations, higher education issu es, science R&D funding, and patent reform (Washington, DC) VP for Research and Technology Management Mark Coticchia and Director of Government Relations Adrienne Dziak meet with Dr Merrilea Mayo at the National Academies of Science to discuss industry-university-gove rnment partnerships (Washington, DC) VPfor Research and Technology Management Mark Cotic chia and Director of Government Relations Adrienne Dziak participating in briefing on impo rtance of federal investment in R&D for Ohio instituions for members of Ohio Congressional Delegation and their staff (Washington, DC) VP for Research and Technology Management Ma rk Coticchia and Director of Government Relations Adrienne Dziak participate in National A cademies of Science's convocation on "Rising Above the Gathering Storm" report October 20 06 ------Director of Government Relations Adrienne Dziak participates in small grou p meeting with Representative Steve LaTourette to discuss FY07 federal appropriations, hig her education issues, and federal investment in R&D (Cleveland, OH) November 2006 ------Interim President Gregory Eastwood, VP for University Relations Lara Kalafatis, Ass ociate Vice President for Technology Management Joe Jankow ski, Director - Center for Commu nity Partnerships Latisha James and Director of Government Relations Adrienne Dziak attend annual public officials reception hosted by Greater Cleveland Partnership Interaction with several members of the Ohio Congressional Delegation and their staff Dr Kris Palczew s ki, School of Medicine faculty member, meets with Dora Pruce, district director for Senato r Voinovich, to discuss research funding opportunities December 2006 ------Direct or of Government Relations Adrienne Dziak meets with staff from offices of Senators George Voinovich and Mike DeWine and Representatives Stephanie Tubbs Jones, Dennis Kucinich, Ste ve LaTourette, and Ralph Regula to discuss FY2007 appropriations (Washington, DC) Interim President Gregory Eastwood, VP for Research and Technology Management and Director of Gov ernment Relations meet with Aric New house, chief-of-staff to Senator George Voinovich, and Dora Pruce, district director to Senator Voinovich on campus July 1 - December 31, 2006 ------Fees for contractual services between Case Western Reserve Univ ersity and The Livingston Group LLC to assist and represent the University in its lobbying and advocacy activities related to federal legislative and public policy initiatives $12 4,217 30 Federal Level, 2007 ------January 2007 ------Vice President for Regional Initiatives John Wheeler and Associate Vice President for Government Relatio ns Adrienne Dziak called Congresswoman Stephanie Tubbs Jones to discuss University's secur ity and police departments Associate VPfor Government Relations attends small group meet ing with Rep Tim Ryan to discuss higher education policy, federal appropriations, scientific research Dr Stanton Gerson, Director - National Center for Regenerative Medicine, Dr Debra Grega - Executive Director, National Center for Regenerative Medicine, and Adrienn e Dziak - Associate Vice President for Government Relations, host Congressman Ryan's visit to NCRM Associate Vice President for Government Relations Adrienne Dziak meets with staf f from offices of Congressmen Ralph Regula and Tim Ryan and Congresswoman Stephanie Tubbs Jones' offices to discussion FY08 federal budget and appropriations February 2007 ------Associate Vice President for Government Relations Adrienne Dziak meets with staff from offices of Congressmen Jim Jordan, Zack Space, Charlie Wilson, Tim Ryan, and Congressw oman Betty Sutton for get-acquainted and discussion of university's federal relations prio roties (Washington, DC) Associate Vice President for Government Relations Adrienne Dziak hosted staff from Congressw oman Stephanie Tubbs Jones and Senator Sherrod Brow n's offices at Annual Case Concert at Severance Hall March 2007 ------Associate Vice President f or Government Relations Adrienne Dziak and Dr Wan Alexander, Director of the National Ce nter for Space Exploration Research, hold conference call with Senator George Voinovich's staff on NASA Glenn Research Center funding Senator George Voinovich visits National Cent er for Regenerative Medicine Participating - Interim School of Medicine Dean Pamela Davis , Dr Stantion Gerson, Dr Debra Grega, Adrienne D Identifier Return Explanation Reference
STATEMENT FORM 990, ziak Associate Vice President for Government Relations Adrienne Dziak hosts staff member from Senator ABOUT SCHEDULE Sherrod Brow n's office at University's Distinguished Lecture Series April 20 07 ------Associate Vice LOBBYING A, PART VI- President for Government Relations Adrienne Dziak attends sma II group meeting with Rep Jim Jordan to discuss ACTIVITY B higher education policy, federal appropri ations, scientific research University hosts visit to National Center for Regenerative Me dicine for staff from Representatives Stephanie Tubbs Jones' district office University r epresentatves - Dr Debra Grega, executive director of NCRM, and Adrienne Dziak, Associate Vice President for Government Relations School of Medicine Interim Dean Pamela Davis sen ds e-mail notes to members of the Ohio Congressional Delegation urging them to sign-on to "Dear Colleague" letter for 6 7 percent increase in National Institutes of Health budget f or FY2008 and to support that funding increase by "yea" vote Associate VPfor Government Relations Adrienne Dziak meets with staff from Representatives Jim Jordan, Zach Space, Cha rlie Wilson, Betty Sutton, and Stephanie Tubbs Jones to discuss FY08 appropriations issues (Washington, DC) Interim President Gregory Eastwood and Associate Vice President for Gov ernment Relations Adrienne Dziak meet with Representatives Stephanie Tubbs Jones and Ralph Regula and Senators Sherrod Brown and George Voinovich to discuss FY08 federal appropriat ions requests (Washington, DC) VP for Research and Technology Management Mark Coticchia, Dr w an Alexander, and Engineering Dean Norman Tien meet with staff of David Rodgers, Ene rgy Efficiency and Renewable Energy Group, Pat Hoffman, Electricity Delivery and Energy Re liability Group, Dennis Kovar, Basic Energy Science Group, and Paul Holtberg, Demand and I ntegration Division at the Department of Energy to discuss energy policy, competitive rese arch opportunities, and University energy interests Arts and Sciences Dean Cyrus Taylor meets with Bruce Cole, Director of the National Endowment for the Humanities (Washington, DC) University hosts Washington DC alumni reception at Library of Congress honoring member s of the Ohio Congressional Delegation and their staff Representing the university - Inte rim President Gregory Eastwood, VPfor Research and Technology Management Mark Coticchia, Engineering Dean Norman Tien, Arts and Sciences Dean Cyrus Taylor, Dr Wan Alexander and Dr Stanton Gerson - faculty, Dr Debra Grega, executive director, National Center for Reg enerative Medicine, Senior VP for University Relations and Development Bruce Loessin, VPf or University Relations Lara Kalafatis, and Associate Vice President for Government Relati ons Adrienne Dziak Interim President Gregory Eastwood participates in conference call wit h Senator Sherros Brown and other Ohio college presidents to discuss Higher Education reau thorization May 2007 ------University sponsored breakfast briefing on National Center for Regenerative Medicine in Rayburn Building for House Congressional Delegation and their staff hosted by Congresswoman Stephanie Tubbs Jones Representing the University - Interi m President Gregory Eastwood, School of Medicine Interim Dean Pamela Davis, Dr Stanton Ge rson, Director, National Center for Regenerative Medicine, Dr Debra Grega, Executive Dire ctor, National Center for Regenerative Medicine, Associate VP for Government Relations Adr ienne Dziak School of Medicine Interim Dean Pamela Davis met with staff in Senator Richar d Durbin's office to discuss funding support for the National Institutes of Health in Wash ington, DC School of Medicine Interm Dean Pamela Davis sends e-mail notes to members oft he Ohio Congressional Delegation urging them to sign-on to "Dear Colleague" letter for 6 7 percent increase in National Institutes of Health budget for FY2008 and to support fundin g increases by voting "yea" on budget resolution Associate Vice President for Government Relations Adrienne Dziak met with staff from offices of Representatives John Boehner, Bett y Sutton, Jim Jordan, Steve LaTourette, Zack Space, and Tim Ryan to discuss appropriations request for National Center for Regenerative Medicine (Washington, DC) June 2007 ------Interim President Gregory Eastwood called Representatives Stephanie Tubbs Jones, Ralph Regula, and Tim Ryan and Senators Sherrod Brown and George Voinovich to discuss University 's appropriations requests for National Center for Regenerative Medicine and National Flig ht Nurse Academy School of Medicine Interim Dean Pamela Davis phoned Congresswoman Stepha nie Tubbs Jones to discuss University's appropriations request for National Center for Reg enerative Medicine Vice President for regional initiatives John Wheeler called Representa tives Stephanie Tubbs Jones, Tim Ryan, and Ralph Regula and Senators Sherrod Brown and Geo rge Voinovich to discuss University's appropriations requests for National Center for Rege nerative Medicine and National Flight Nurse Academ Identifier Return Explanation Reference
STATEMENT FORM 990 , y Associate Vice President for Government Relations Adrienne Dziak and Christopher Manacc i, School of ABOUT SCHEDULE Nursing faculty member, met w ith staff from offices of Senators Sherrod Brown and George Voinovich and LOBBYING A, PART V I- Representatives Tim Ryan , Betty Sutton and Dennis Kucinich to di scuss University's appropriations request for ACTIVITY B the National Flight Nurse Academy ( Washingt on, DC) January 1 - June 30, 2007 ------Fees for contractual services between Case Western Reserve University and The Livingston Group to assist and represent t he University in its lobbying activates related to federal legislative and public policy i nitiatives $124,859 16 State Level , 2006 ------July 2006 ------Interim P resident Greogory Eastwood, Provost John Anderson , VPfor Research and Technology Manageme nt Mark Coticchia , VP for University Relations Lara Kalafatis and Director of Government Relations Adrienne Dziak hosted J Kenneth Blackwell, Ohio Secretary of State, for breakfas t meeting on campus August 2006 ------Director of Government Relations meets with S enator Bob Spada to discuss University's project request for FY2007-2008 Ohio Biennial Cap ital Budget Bill Director of Government Relations meets with Senator Ron Amstutz to discu ss University's project request for FY2007-2008 Ohio Biennial Capital Budget Bill Interim President Gregory Eastwood, VP for Research and Technology Management Mark Coticchia , and Director of Government Relations Adrienne Dziak meet with Frank Samuel , Science and Techn ology Adviser to Governor Taft, to discuss University's Third Frontier projects Director of Government Relations Adrienne Dziak meets with Representative Matt Dolan to discuss University's project request for FY2007-2008 Ohio Biennial Capital Budget Bill Director of G overnment Relations Adrienne Dziak meets with Representative Chuck Calvert to discuss Univ ersity's project request for FY2007-2008 Ohio Biennial Capital Budget Bill September 2006 ------Dr Kathleen Rosen, Director - Mt Sinai Clinical Skills and Simulation Ce nter, Christopher Manacci , Nursing School faculty member, and Director of Government Relat ions Adrienne Dziak meet with members of the Cuyahoga County delegation to the General Ass embly to discuss University's project request for FY2007-2008 Ohio Biennial Capital Budget Bill (On Campus ) October 2006 ------Director of Government Relations Adrienne Dzi ak meets with Representative Kenny Yuko to discuss University's project request for FY2007 -2008 Ohio Biennial Capital Budget Bill (Cleveland) Director of Government Relations Adri enne Dziak meets with Representative Claudette Woodard to discuss University's project req uest for FY2007-2008 Ohio Biennial Capital Budget Bill (Cleveland ) Director of Government Relations Adrienne Dziak meets with Representative Tom Patton to discuss University's pro sect request for FY2007-2008 Ohio Biennial Capital Budget Bill (On Campus ) Director of Go vernment Relations Adrienne Dziak meets with Senator Eric Fingerhut to discuss University ' s project request for FY2007-2008 Ohio Biennial Capital Budget Bill (Cleveland) Interim P resident Gregory Eastwood and Director of Government Relations Adrienne Dziak meet with Go vernor Bob Taft, Science and Technology Adviser Frank Samuel , Attorney General Jim Petro, Speaker Jon Husted, and Ohio Board of Regents Interim Chancellor Eric Fingerhut (Columbus , OH) Director of Government Relations Adrienne Dziak attends meeting to discuss higher ed ucation funding in FY2008-2009 Ohio Biennial Operating Budget Bill at the office of Ohio B oard of Regents November 2006 ------Director of Government Relations Adrienne Dzi ak attends Third Frontier Advisory Board Meeting (Columbus, OH) Interim President Gregory Eastwood , VP for University Relations Lara Kalafatis , Associate Vice President for Techno logy Management Joe Jankow ski , Director - Center for Community Partnerships Latisha James and Director of Government Relations Adrienne Dziak attend annual public officials recepti on hosted by Greater Cleveland Partnership Interaction with members of the Ohio General A ssembly and their staff December 2006 ------Director of Government Relations Adri enne Dziak attends Third Frontier Advisory Board Meeting (Columbus, OH) January 1 - June 30, 2007 ------Fees for contractual services between Case Western Rese rve University and Calfee, Halter, & Griswold , LLPto assist and represent the University in its lobbying and advocacy activities related to state legislative and public policy initiatives $50 , 000 State Level , 2007 ------January 2007 ------Associate Vice President for Government Relations Adrienne Dziak attended Strickland/Fisher inaugura I, inaugural reception , inaugural ball , and other inaugural activities (Columbus, OH) Art s and Sciences Associate Dean Jill Korbin and Schubert Center Director Molly Irwin hosted a breakfast briefing for members of the Cuyahoga C Identifier Return Explanation Reference
STATEMENT FORM 990, onuty delegation to the Ohio General Assembly and Anne Hill, governor's regional represent ative, to introduce ABOUT SCHEDULE them to the Schubert Center's research and advocacy on children's issu es Associate Vice President for LOBBYING A, PART VI- Government Relations Adrienne Dziak participated (On Cam pus) February 2007 ------Associate Vice ACTIVITY B President for Government Relations Adrienn e Dziak met with Representatives Mike Skindell, Eugene Miller, Mike Foley, and Tom Patton and Senators Dale Miller, Ron Amstutz and Bob Spada to discuss FY2008-2009 Ohio Biennial 0 perating Budget (Columbus, OH) Director of Government Relations Adrienne Dziak hosted Ann e Hill, governor's regional representative, and her assistant at the Annual Case Concert a t Severance Hall Interim President Gregory Eastwood, Senior VP for University Relations a nd Development Bruce Loessin, VP for Research and Technology Management Mark Coticchia, VP for University Relations Lara Kalafatis and Associate Vice President for Government Relat ions Adrienne Dziak met with House Speaker Jon Husted, Senator Joy Padgett, Ohio Board of Regents Interim Chancellor E Garrison Walters, Attorney General Marc Dann, Lt Governor L ee Fisher, Governor's Energy Adviser Mark Shanahan, and Ohio Department of Development rep resentatives Norm Chagnon, Pat Valente, and John Griffin to discuss University opportuniti es to work with state government (Columbus, OH) University hosted reception for central 0 hio alumni honoring members of the Ohio General Assembly in the Statehouse Atrium Represe nting the University - Interim President Gregory Eastwood, Senior VP for University Relations and Development Bruce Loessin, VPfor Research and Technology Management Mark Coticchi a, VP for University Relations Lara Kalafatis, Management School Dean Mohan Reddy, Arts & Sciences Dean Cyrus Taylor, Engineering Dean Norman Tien, faculty members Dr Kathleen Ros en, Christopher Manacci and Dr Gary Wnek, and Associate Vice President for Government Rel ations Adrienne Dziak March 2007 ------Associate Vice President for Government Relat ions met with Anne Hill, governor's regional representative, to introduce her to Case West ern Reserve University and to discuss opportunities for the university to partner with the state on issues of common interest Associate Vice President for Government Relations met with Representatives Mike Skindell and Tom Patton and Senator Dale Miller to discuss Gove rnor's proposed operating budget and University issues (Columbus, OH) April 2007 ------School of Medicine Interim Dean Pamela Davis has phone call with Representative Shaw n Webster concerning state support for School of Medicine in operating budget School of Medi cane Associate Dean Dan Ornt and Associate Vice President for Government Relations Adrienn e Dziak met with Representatives Mike Skindell and Shaw n Webster and Senators Dale Miller and Bob Spada to discuss state budget support for School of Medicine and other higher educ ation funding priorities (Columbus, OH) VP for Research and Technology Management Mark Co ticchia, Associate Vice President for research Eric Cottington, Associate Vice President f or Technology Management Joe Jankow ski, faculty member Dr w an Alexander, and Associate V ice President for Government Relations Adrienne Dziak met with Board of Regents Chancellor Eric Fingerhut to discuss research, technology transfer, and energy initiative (On Campu s) May 2007 ------Interim President Gregory Eastwood makes phone calls to Representativ es Barbara Boyd, Mike Skindell, and Matt Dolan concerning University's funding priorities in FY2008-2009 Biennial Operating Budget Bill Associate Vice President for Government Rel ations talks with members (or staff) from Cuyahoga County delegation to General Assembly c oncerning University funding priorities in FY2008-2009 Biennial Operating Budget Bill Jun e 2007 ------Interim President Gregory Eastwood makes phone calls to Senators Shirley Smith, Lance Mason, Ron Amstutz, Dale Miller, and Bob Spada concerning University's fundin g priorities in FY2008-2009 Biennial Operating Budget Bill Associate Vice President for G overnment Relations Adrienne Dziak makes phone calls to Senators (or staff) from Cuyahoga County delegation to General Assembly concerning University's funding priorities in FY2008 -2009 Biennial Operating Budget Bill VP for Research and Technology Management Mark Cotic chia, Associate Vice President for Technology Management George Harker, and faculty member Dr Wan Alexander give testimony before the House Alternative Energy Committee (Columbu s, OH) Center for Science and Mathematics Director James Bader and Assistant Director Kath y Kwiatkowski, Director for Center for Community Partnerships Latisha James, and Associate Vice President for Government Relations Adrienne Dziak meet with Anne Hill, governor's re gional representative, to discuss K-12 educational reform and teacher professional develop ment opportunities for the University to partner w Identifier Return Explanation Reference
STATEMENT FORM 990, ith state government (On Campus) January 1 - June 30, 2007 ------Fees for contractual ABOUT SCHEDULE services between Case Western Reserve University and Calfee, Halter & Gri swold, LLPto assist and LOBBYING A, PART VI-B represent the University in its lobbying and advocacy activities related to state legislative and public policy ACTIVITY initiatives $60,000 Summary of Expenses fo r FY2006-2007 ------Office of Government Relations, General Expenses July - December 2006 ------Associate Vice President for Government Relations, one-quarter time salary and fringe benefits, Director of Government Relations, full-time salary and fringe benefits, and Administrative Assistant, full-time salary and fringe benefits Total Salaries/Fringe Benefits $ 101,207 23 Operating expenses, including travel 9,430 00 ------Total $ 110,637 23 The Livingston Group 124,217 30 Calfee, H alter & Griswold, LLP 50,000 00 ------Total Expenditures $ 284,844 53 Office of Gov ernment Relations, General Expenses January - June 2007 ------Associate Vic e President for Government Relations, full-time salary and fringe benefits and Administrat ive Assistant, full-time salary and fringe benefits Total Salaries/Fringe Benefits $ 84,9 55 90 Operating expenses, including travel 26,230 27 ------Total $ 111,186 17 The L ivingston Group 124,859 16 Calfee, Halter & Griswold, LLP 60,000 00 ------Total Exp enditures 296,045 33 FY2006-2007 Total Expenditures $580,899 96 Identifier Return Explanation Reference
STATEMENT FORM 990, BOND Housing and Urban Development #217 Series B ISSUE DATE 10/1/66 MATURITY DATE 10/1/ 12 PURPOSE OF TAX- PART IV, Renovation and refunding ORIGINAL AMOUNT 2,500,000 INTEREST RATE 3 500% COMP LETION DATE 12/31/67 EXEMPT LINE 64A UNEXPENDED BOND PROCEEDS NONE OUTSTANDING AMOUNT $530,000 BOND Ho using and Urban BOND Development #217 Series E ISSUE DATE 10/1/66 MATURITY DATE 10/1/16 PURPOSE Renovation and refunding LIABILITIES ORIGINAL AMOUNT 1,785,000 INTEREST RATE 3 000% COMPLETION D ATE 12/31/67 UNEXPENDED BOND PROCEEDS NONE OUTSTANDING AMOUNT $605,000 BOND Housing and Urban Development #206 Series C ISSUE DATE 6/1/71 MATURITY DATE 4/1/16 PURPOSE Refund ing of debt ORIGINAL AMOUNT 3,675,000 INTEREST RATE 3 000% UNEXPENDED BOND PROCEEDS NON E OUTSTANDING AMOUNT $1,125,000 BOND Ohio Higher Education Facilities Commission - Series 1988 ISSUE DATE 10/1/88 MATURITY DATE 10/1/13 PURPOSE Construction of new building - MSASS ORIGINAL AMOUNT 5,557,212 INTEREST RATE 7 400 - 7 900% COMPLETION DATE 6/30/92 UN EXPENDED BOND PROCEEDS NONE OUTSTANDING AMOUNT $23,188,176 BOND Ohio Higher Education F acilities Commission - Series 1990 ISSUE DATE 7/15/90 MATURITY DATE 10/1/20 PURPOSE Con struction of new building - Medicine ORIGINAL AMOUNT 12,935,000 INTEREST RATE 6 200 - 6 500% COMPLETION DATE 6/30/93 UNEXPENDED BOND PROCEEDS NONE OUTSTANDING AMOUNT $6,355,00 0 BOND Ohio Higher Education Facilities Commission - Series 1990 ISSUE DATE 7/15/90 MATU RITY DATE 10/1/20 PURPOSE Construction of new garage ORIGINAL AMOUNT 8,595,218 INTEREST RATE 7 000 - 7 150% COMPLETION DATE 6/30/96 UNEXPENDED BOND PROCEEDS NONE OUTSTANDING AMOUNT $5,612,822 BOND Ohio Higher Education Facilities Commission - Series 1994 ISSUE D ATE 2/15/94 MATURITY DATE 10/1/18 PURPOSE Refinancing of debt ORIGINAL AMOUNT 20,000,0 00 INTEREST RATE 6 000 - 6 250% UNEXPENDED BOND PROCEEDS NONE OUTSTANDING AMOUNT $20,00 0,000 BOND Ohio Higher Education Facilities Commission - Series 1997 ISSUE DATE 9/15/97 MATURITY DATE 7/1/14 PURPOSE Refinancing of debt ORIGINAL AMOUNT 8,552,296 INTEREST RAT E 4 900 - 6 250% UNEXPENDED BOND PROCEEDS NONE OUTSTANDING AMOUNT $ 8,552,296 BOND ON o Higher Education Facilities Commission - Series 1997 ISSUE DATE 9/15/97 MATURITY DATE 7/1/04 PUPOSE Refinancing of debt ORIGINAL AMOUNT 4,695,000 INTEREST RATE 4 750% UNEXPE NDED BOND PROCEEDS NONE OUTSTANDING AMOUNT $367,704 BOND Ohio Higher Education Faciliti es Commission Revenue Notes - Commercial Paper ISSUE DATE 2/16/00 MATURITY DATE 2/1/30 PURPOSE Renovation and construction - various projects ORIGINAL AMOUNT 43,000,000 COMPLET ION DATE 2/16/02 UNEXPENDED BOND PROCEEDS NONE OUTSTANDING AMOUNT $43,000,000 BOND ON o Higher Education Facilities Commission - Series 2001 ISSUE DATE 2/15/01 MATURITY DATE 10/1/22 PURPOSE Refinancing of debt ORIGINAL AMOUNT 19,600,000 UNEXPENDED BOND PROCEEDS NONE OUTSTANDING AMOUNT $16,200,000 BOND Ohio Higher Education Facilities Commission Re venue Notes - Commercial Paper ISSUE DATE 2/16/00 MATURITY DATE 2/1/30 PURPOSE Renovati on and construction - various projects ORIGINAL AMOUNT 20,000,000 COMPLETION DATE 4/3/04 UNEXPENDED BOND PROCEEDS NONE OUTSTANDING AMOUNT $20,000,000 BOND Ohio Higher Educatio n Facilities Commission - Series 2002 ISSUE DATE 6/5/02 MATURITY DATE 10/1/23-10/1/31 PU RPOSE Renovation and construction - various projects ORIGINAL AMOUNT 64,875,000 COMPLETI ON DATE 6/30/07 UNEXPENDED BOND PROCEEDS NONE OUTSTANDING AMOUNT $64,875,000 BOND Ohio Higher Education Facilities Commission - Series 2004 ISSUE DATE 3/16/04 MATURITY DATE 1 2/1/08-12/1/44 PURPOSE Renovation and construction - various projects ORIGINAL AMOUNT 17 7,825,000 UNEXPENDED BOND PROCEEDS $ 45,593,341 OUTSTANDING AMOUNT $177,825,000 BOND Oh io Higher Education Facilities Commission - Series 2004 ISSUE DATE 3/16/04 MATURITY DATE 12/1/05-12/1/34 PURPOSE Purchase and completion of Research building ORIGINAL AMOUNT 10 7,950,000 INTEREST RATE 2 000 - 5 000% UNEXPENDED BOND PROCEEDS $2,867,097 OUTSTANDING A MOUNT $78,157,979 BOND Ohio Higher Education Facilities Commission - Series 2006 ISSUED ATE 12/21/06 MATURITY DATE 12/1/07-12/1/44 PURPOSE Refinancing of Debt ORIGINAL AMOUNT 82,490,000 INTEREST RATE 3 750 - 5 250% UNEXPENDED BOND PROCEEDS NONE OUTSTANDING AMOUN T $90,917,176 BOND Ohio Higher Education Facilities Commission - Capital Lease 2006 ISSU E DATE 8/1/06 MATURITY DATE 1/1/08-7/1/18 PURPOSE Equipment Lease ORIGINAL AMOUNT 12,8 80,000 INTEREST RATE 4 123% UNEXPENDED BOND PROCEEDS $12,880,000 OUTSTANDING AMOUNT $12,880,000 Identifier Return Explanation Reference
STATEMENT OF FORM 990, Department of Housing and Urban Development ------AM OUNT 13,137,400 MORTGAGES & PART IV, DATE OF LOAN 1/06 MATURITY DATE 1/41 REPAYMENT TERMS 420 monthly payme nts of $65,968 OTHER NOTES LINE 64B (Principal and Interest ) Commencing 2/1/06 INTEREST RATE 4 960% SECURITY Mortgage on Property PAYABLE PURPOSE Purchase and Improvement of Residential Property END YEAR BALANCE 12,932,342 Department of Housing and Urban Development ------AMOUNT 4,500,000 DATE OF LOAN 1/06 MATURITY DATE 1/41 REPAYMENT TERM S 420 monthly payments of $23,667 (Principal and Interest ) Commencing 2/1/06 INTEREST RAT E 5 330% SECURITY Mortgage on Property PURPOSE Purchase and Improvement of Residential Property END YEAR BALANCE 4,435,181 Compass Group USA ------AMOUNT 1,200,00 0 DATE OF LOAN 6/06 MATURITY DATE 6/15/14 REPAYMENT TERMS Quarterly payments of $37,500 from 9/15/06 through 6/15/14 INTEREST RATE 0 000% SECURITY NONE PURPOSE Renovation of Dining Facilities END YEAR BALANCE 1,087,500 Key Bank ------AMOUNT 50,000,000 DATE OF LOAN 11/1/04 MATURITY DATE 01/01/09 REPAYMENT TERMS Bank line of credit INTEREST RAT E LIBOR + 25% SECURITY NONE PURPOSE Working Capital END YEAR BALANCE NONE Ohio Higher Education Facilities Commission - Capital Lease 2006 ------AMOUNT 710,000 DATE OF LOAN 8/06 MATURITY DATE 1/18 REPAYM ENT TERMS Equipment Lease INTEREST RATE 6 750% SECURITY NONE PURPOSE Equipment Lease END YEAR BALANCE 710,000 Identifier Return Explanation Reference
STATEMENT OF FORM 990, A list of the recipients of scholarships and fellow ships is on file at the institution and is available upon FUNCTIONAL PART II, LINE request Although there may be recipients who are related to persons ha ving an interest in the institution, EXPENSES 22 such recipients are selected on an equal, objectively determinable basis with other recipients That is, all students receiving scholarships an d fellow ships are judged worthy by the institution's assessment on the basis of academic a chievement, financial need and other similar standards Identifier Return Explanation Reference
DETAIL OF LAND, FORM 990, DETAIL 06/30/2007 06/30/2006 ------BUILDINGS & CONSTRUCTION IN PROGRESS BUILIDING, PART II, LINE 1,053,297,254 1,023,455,368 LAND 38,920,107 38,837,820 EQUIPMENT AND SOFTWARE 21 3,339,675 EQUIPMENT & 42 & PART IV, 192,673,330 BOOKS 30,687,544 29,770,118 ------1,336,244,580 1,284,736,636 LESS DEPRECIATION LINE 57 ACCUMULATED DEPRECIATION (513,303,214) (462,707,490) ------TOTAL PPE 822,941,366 822,029,146 THE DEPRECIATIO N EXPENSE FOR THE YEAR ENDED 06/30/2007 WAS $57,476,527 THE UNIVERSITY CALCULATES DEPRECIATION EXPENSE FOR PROPERTY, PLANT, EQUIPMENT AND BOOKS USING THE STRAIGHT-LINE METHOD OVER THE ESTIMATED USEFUL LIVES OF TWENTY-EIGHT YEARS FOR BUILDINGS, FIVE TO TWELVE YEARS FOR EQUIPMENT AND TEN YEARS FOR BOOKS Identifier Return Explanation Reference
NET GAIN OR LOSS FORM 990, GROSS SALES COST DESCRIPTION PRICE /OTHER BASIS NET GAIN/LOSS ------FROM SALE OF ASSETS PART I, LINE 8 ------MARKETABLE SECURITIES 1,754,373,281 1,664,080,411 90,292,870 SAL E OTHER THAN OF PROPERTY 3,481, 770 1,314,882 2,166, 888 ------TOTA LS INVENTORY 1, 757, 855, 051 1,665, 395,293 92,459, 758 Identifier Return Explanation Reference
NAMES OF FORM 990, PART JUMPSTART, INC EXEMPT BIOENTERPRISE CORP EXEMPT MEDICAL CENTER CORPORATION RELATED VI, LINE 80B AND EXEMPT UNIVER SITY CIRCLE RESEARCH CENTER CORP EXEMPT TRIANGLE RESIDENTIAL, LLC ORGANIZATIONS FORM 990, PART EXEMPT TRIANGLE RESIDEN TIAL, LP NON-EXEMPT HOUSING ASSOCIATES, INC NON-EXEMPT ERIE IX TIMBER, LLC (DISREGARDED ENTI TIES) EXEMPT (SOLE OWNER OF THE FOLLOWING ENTITIES) ERIE FOREST INVESTMENTS, LLC EXEMPT ER IE BUYER, LLC EXEMPT ERIE PARENT, LLC EXEMPT FOR REPORTING ON PART IX, THE REVENUE AND ASS ETS OF THE DISREGARDED ENTITIES OWNED BY ERIE TIMBER, LLC ARE REPORTED UNDER ERIE TIMBER, LLC l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678
TY 2006 Investments - Other Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Description Book Value Cost/FMV ARTERIOCYTE, INC. 1 ATH E RSYS, INC. 1 AXON ENGINEERING 1 BIOFOR, INC. 1 BP AMOCO PATENTS - PMVE 1 CAMLEM, INC. 1 CARDIOINSIGHT TECHNOLOGIES INC 2 COPERNICUS GENE SYSTEMS 1 DONATED PATENTS 0 DOW CHEMICAL PATENT 1 FLX MICRO 1 GLIATECH, INC. 1 GREAT LAKES PHARMACEUTICALS 1 INFANTEST CORP. 1 INTERLIBRARY SOFTWARE 1 INTERMEDICS 1 LUBRIZOL PATENTS 3 MEDICAL CENTER COMPANY 1 MOVAZ NETWORKS, INC. 1 NEURO CONTROL 1 NEUROPHARM LIMITED 1 NOVOMARK TECHNOLOGIES, INC. 1 OSIRIS THERAPEUTICS 765 P&G PATENTS 2 WALNUT BEND 1 WERNER G. SMITH 1 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678
TY 2006 Mortgages and Notes Payable Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992 Total Mortgage Amount : 19165023
Item No. 1 Lender ' s Name SEE STATEMENTS 23-24 Lender ' s Title Relationship to Insider Original Amount of Loan Balance Due 19165023 Date of Note Maturity Date Repayment Terms Interest Rate Security Provided by Borrower Purpose of Loan Description of Lender Consideration Consideration FMV l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678
TY 2006 Other Assets Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Description Beginning of Year Amount End of Year Amount FUNDS HELD IN TRUST BY OTHERS 295,404,217 326,033,253 INTANGIBLE ASSETS 2,028,362 0 SECURITIES PLEDGED UNDER LENDING AGREEMENT 91,812,353 84,083,818 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678
TY 2006 Other Changes in Net Assets Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Description Amount
NET UNREALIZED APPRECIATION IN FAIR MKT 130,929,654
NET UNREALIZED APPRECIATION IN FAIR MKT 30,629,036
EFFECT OF CHANGE IN ACCOUNTING -SFAS 158 2,496,886
ACTUARIAL ADJUST TO ANNUITIES PAYABLE 4,355,215 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678
TY 2006 Other Expenses Included Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Description Amount ACTUARIAL ADJ. TO ANNUITIES 4,355,215 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678
TY 2006 Other Expenses Not Included Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Description Amount LP EXPENSE NETTED AGAINST INC. 4,038,893 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678
TY 2006 Other Liabilities Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Description Beginning of Year Amount End of Year Amount PAYABLE UNDER SECURITIES LENDING AGREEMENTS 93,874,428 86,892,311 DEFERRED INCOME AND DEPOSITS 27,825,127 27,842,144 ANNUITIES PAYABLE 51,684,834 52,616,036 REFUNDABLE ADVANCES 8,423,238 12,394,626 MINIMUM PENSION LIABILITY 7,509,295 1,132,813 REFUNDABLE FED'L STUDENT LOANS 17,271,797 17,001,674 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678
TY 2006 Other Notes/Loans Receivable Short Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Category/Name Amount STUDENT LOANS, NET 52,382,827 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678
TY 2006 Other Revenues Not Included Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Description Amount LP EXPENSE 4,038,893 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678
TY 2006 Tax -Exempt Bond Liabilities Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Item No. 1 Name of Issue Purpose SEE STATEMENTS 19-22 Amount Outstanding 570191153 Unexpeded Bond Proceeds Third Party Use Space Percentage Maturity Date Repayment Terms Interest Rate Security l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678
TY 2006 Non Electing Public Charities Statement
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992 Statement : SEE STATEMENTS 7-18 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678
TY 2006 Explanation of Receipt or Revocation of Government Financial Aid
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992 Statement : THE UNIVERSITY PROVIDES FINANCIAL AID, WHICH IS FUNDED BY GIFTS, ENDOWMENT INCOME AND EXTERNALLY SPONSORED AID (INCLUDING FEDERAL AND STATE GOVERNMENTAL SOURCES), TO STUDENTS BASED ON DEMONSTRATED FINANCIAL NEED OR ACADEMIC MERIT. GOVERNMENT ADVANCES TO QUALIFIED STUDENTS ARE FUNDED PRINCIPALLY WITH FEDERAL LOANS TO THE UNIVERSITY UNDER THE PERKINS, NURSING AND HEALTH PROFESSIONS STUDENT LOAN PROGRAMS. l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678
TY 2006 Scholarship Award Statement
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992 Statement : SEE STATEMENT l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490136012678
TY 2006 Self Dealing Statement
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Line Number Explanation 2a SEE STATEMENTS 4-5 Line Number Explanation 2b SEE STATEMENTS 4-5 Line Number Explanation 2c SEE STATEMENTS 4-5 Line Number Explanation 2d SEE FORM 990, PART V-A