l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490135004459 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 7_ 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 2007 calendar year, or tax year beginning 07-01-2007 and ending 06 -30-2008 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 fl Cash F Accrual F_ Final return tions . CLEVELAND, OH 441067006 (- Other (specify) 0- (- Amended return
(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 Check here 1- 1 if the organization is not a 509(a)(3) supporting organization and its gross receipts are K 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 - 2,900,725,929 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 167,613,923 c Indirect public support (not included on line 1a) . 1c
d Government contributions (grants) (not included on line 1a) ld 290,364,213
1e 457,978,136 e Total (add lines la through 1d) (cash $ 457,353,136 noncash $ 625,00 0 2 Program service revenue including government fees and contracts (from Part V II, line 93) 2 360,335,187 3 Membership dues and assessments 3
4 Interest on savings and temporary cash investments 4 1,703,579
5 Dividends and interest from securities 5 77,497,902
6a Gross rents ...... 6a 5,593,446
b Less rental expenses 6b
c Net rental income or (loss) subtract line 6b from line 6a . 6c 5,593,446
7 Other investment income (describe - ) 7 5,619,898
8a Gross amount from sales of assets (A) Securities (B) Other a other than inventory 1,987,901,159 8a 4,096,622
b Less cost or other basis and sales expenses 1,932,852,624 8b 3,552,468
c Gain or (loss) (attach schedule) . 55,048,535 Sc 544,154
d Net gain or (loss) Combine line 8c, column s (A) and (B) ...... 8d 55,592,689
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 12 964,320,837
13 Program services (from line 44, column (B)) ...... 13 809,074,879
14 Management and general (from line 44, column (C)) ...... 14 79,249,771
FU 15 Fundraising (from line 44, column (D)) ...... 15 12,069,900 CL w 16 Payments to affiliates (attach schedule) 16
17 Total expenses Add lines 16 and 44, column (A) . 17 900,394,550
18 Excess or (deficit) for the year Subtract line 17 from line 12 . 18 63,926,287
19 Net assets or fund balances at beginning of year (from line 73, column (A)) 19 2,258,005,004
20 Other changes in net assets or fund balances (attach explanation) . . 20 -148,055,711 21 Net assets or fund balances at end of year Combine lines 18, 19, and 20 21 2,173,875,580
For Privacy Act and Paperwork Reduction Act Notice, see the separate instructions . Cat No 11282Y Form 990 (2007) Form 990 (2007) Page 2 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 $ 117,560,469 noncash $ 0 If this amount includes foreign grants, check here F 22b 117,560,469 117,560,469 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 2,786,077 0 2,786,077 0 b Compensation of former officers, directors, key employees etc listed in Part V-B (attach schedule) 25b 2,144,575 356,355 1,788,220 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 26 289,902,516 265,185,422 17,690,456 7,026,638 27 Pension plan contributions not included on lines 25a, b and c 27 17,842,322 16,337,361 1,072,069 432,892 28 Employee benefits not included on lines 25a - 27 28 34,004,427 31,084,496 2,097,078 822,853 29 Payroll taxes 29 18,555,707 16,960,937 1,145,355 449,415
30 Professional fundraising fees 30
31 Accounting fees 31 351,761 0 351,761 0
32 Legal fees 32 3,148,999 0 3,148,999 0
33 Supplies 33 51,662,121 49,493,113 1,159,116 1,009,892
34 Telephone 34 4,144,974 2,703,600 1,336,423 104,951
35 Postage and shipping 35 1,924,528 1,579,883 237,083 107,562
36 Occupancy 36 20,565,850 20,561,604 0 4,246
37 Equipment rental and maintenance 37 22,551,167 17,770,238 4,160,847 620,082
38 Printing and publications 38
39 Travel 39 13,997,769 11,858,068 1,571,423 568,278
40 Conferences, conventions, and meetings 40 5,461,445 4,534,548 732,817 194,080
41 Interest 41 22,963,879 19,273,021 3,690,858 0
42 Depreciation, depletion, etc (attach schedule) 42 60,380,291 50,553,838 9,826,453 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) 44 900,394,550 809,074,879 79,249,771 12,069,900 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 F 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 (2007) Form 990 (2007) 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 $ 28,641,748) If this amount includes foreign grants, check here 0- F 244,192,493 b Sponsored research and training
(Grants and allocations $ 11,403,856) If this amount includes foreign grants, check here 0- F 332,641,967 c Other sponsored programs
(Grants and allocations $ 13,215,174) If this amount includes foreign grants, check here 0- F 40,969,047 d Auxiliary services
(Grants and allocations $ 15,035) If this amount includes foreign grants, check here 0- F 79,256,634 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 ) 809,074,879 Form 990 (2007) Form 990 (2007) 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 4,535,759 45 3,647,936
46 Savings and temporary cash investments 95,882,547 46 49,441,886
47a Accounts receivable 47a 28,714,840
b Less allowance for doubtful accounts 47b 16,598,109 17,289,410 47c 12,116,731
48a Pledges receivable . . . . . 48a 47,400,962
b Less allowance for doubtful accounts 48b 3,074,585 52,927,569 48c 44,326,377
49 Grants receivable 55,619,405 49 44,034,126 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 50,611,774
b Less allowance for doubtful accounts 51b 1,207,823 52,382,827 51c 49,403,951 CD 52 Inventories for sale or use 1,493,490 52 1,158,781
53 Prepaid expenses and deferred charges 10,874,177 53 27,222,239
54a Investments-publicly-traded securities 0- Cost F FMV 1,599,554,729 54a 1,607,277,314 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) 793 56 33
57a Land, buildings, and equipment basis 57a 1,371,216,368 b Less accumulated depreciation (attach schedule) ...... 57b 570,152,824 822,941,366 57c 801,063,544 58 Other assets, including program-related investments (describe 0- 410,117,071 58 337, 064, 965
59 Total assets (must equal line 74) Add lines 45 through 58 . 3,123,619,143 59 2,976,757,883
60 Accounts payable and accrued expenses 78,378,359 60 69,618,945
61 Grants payable ...... 61
62 Deferred revenue 62 Ln 63 Loans from officers, directors, trustees, and key employees (attach schedule) ...... 63
64a Tax-exempt bond liabilities (attach schedule) 570,191,153 64a 572,185,498
b Mortgages and other notes payable (attach schedule) 19,165,023 64b 99 18,812,605
65 Other liablilities (describe 0 ) 197,879,604 65 142,265,255
66 Total liabilities Add lines 60 through 65 865,614,139 66 802,882,303 Organizations that follow SFAS 117, check here F and complete lines 67 through 69 and lines 73 and 74 67 Unrestricted 1,376,105,370 67 1,301,679,590 0 68 Temporarily restricted 27,296,781 68 23,509,331
69 Permanently restricted 854,602,853 69 848,686,659 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 (13) must e q ual line 21) . 2, 258, 005, 004 73 2,173, 875, 580
74 Total liabilities and net assets / fund balances Add lines 66 and 73 3,123,619,143 74 2,976,757,883
Form 990 (2007) Form 990 (2007) 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 793,203,934 b Amounts included on line a but not on Part I, line 12
1 Net unrealized gains on investments bl -163,662,785 2 Donated services and use of facilities . b2
3 Recoveries of prior year grants b3
4 Other (specify) 5 b4 12,550,701
Add lines blthrough b4 ...... b -151,112,084
c Subtract line b from line a ...... C 944,316,018 d Amounts included on Part I, line 12, but not on line a
1 Investment expenses not included on Part I, line 11,283,537 6b . dl
2 Other (specify) 5 d2 8,721,282
Add lines dl and d2 ...... d -151,112,084
e Total revenue (Part I, line 12) Add lines c and 964,320,837 d . e Reconciliation of Ex p enses p er Audited Financial Statements With Ex p enses er Return a Total expenses and losses per audited financial statements a 877,333,358 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 20 b2 3 Losses reported on Part I, line 20 b3
4 Other (specify) 5 b4 -3,056,373
Add lines blthrough b4 ...... b -3,056,373
c Subtract line bfrom line a . c 880,389,731 d Amounts included on Part I, line 17, but not on line a:
1 Investment expenses not included on Part I, line 11,283,537 6b . dl
2 Other (specify) d2 8,721,282
Add lines dl and d2 ...... d 20,004,819
e Total expenses (Part I, line 17) Add lines c and 900,394,550 d e 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 (2007) Form 990 (2007) 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 0 327,057 35,432 0 CASE WESTERN RESERVE UNIVERSITY CLEVELAND, OH 441067016 LEV GO NICK OFFICE INFORMATION TECHNOLOGY CASE WESTERN RESERVE 0 291,372 35,395 0 UNIVERSITY CLEVELAND, OH 441067016 GLENN NICHOLLS OFFICE OF STUDENT AFFAIRS CASE WESTERN RESERVE 0 178,200 25,216 0 UNIVERSITY CLEVELAND, OH 441067016 KENNETH BASCH OFFICE OF FACILITIES PLANNING CASE WESTERN RESERVE 0 132,934 12,695 0 UNIVERSITY CLEVELAND, OH 441067016 RICHARD BAZNIK COLLEGE OF ARTS SCIENCES CASE WESTERN RESERVE 0 132,747 20,192 0 UNIVERSITY CLEVELAND, OH 441067016 GREGORY L EASTWOOD MD CRAWFORD HALL CASE WESTERN RESERVE 0 200,000 30,297 0 UNIVERSITY CLEVELAND, OH 441067051 BRUCE LOESSIN ADELBERT HALL ROOM 124 CASE WESTERN RESERVE 0 406,000 34,681 0 UNIVERSITY CLEVELAND, OH 441067008 EDWARD HUNDERT MD C/O OFFICE OF GENERAL COUNSEL CASE WESTERN RESERVE 0 282,357 0 0 UNIVERSITY CLEVELAND, OH 441067010
lii^ 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 29
and check whether it is F-exempt or F 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 (2007) Form 990 (2007) Page 7 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 ) 82b
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 No 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 Yes
89a 501(c)(3) organizations Enter Amount of tax imposed on the organization during the year under section 4911 0- 0 , section 4912 0- 0 , section 4955 0- 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 N o
f All organizations. Did the organization acquire direct or indirect interest in any applicable insurance contract?
89f 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 N umber of employees employed in the pay period that includes March 12, 2007 (See 90b 8,126 instructions ) ...... 91a The books are in care of - LAURIE F MELVILLE Telephone no 0- ( 216) 368-2126
10900 EUCLID AVENUE Located at lo- CLEVELAND, OH ZIP +4 lo- 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 (2007) Form 990 (2007) Page 8 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- 1 92 rMVTKTM 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 267,553,368
b SALES & S E RV C S A U X 713940 1,763,999 35,848,204
c SALES & SERVCS EDU 541800 3,025 54,035,370
d SALES &SERVCS EDU 900004 41,652
e SALES &SERVCS EDU 713940 9,300
f Medicare / Medicaid payments 1,080,269
9 Fees and contracts from government agencies 94 Membership dues and assessments . 95 Interest on savings and temporary cash investments 14 1,703,579 96 Dividends and interest from securities . . 14 77,497,902 97 Net rental income or ( loss) from real estate a debt-financed property b non debt-financed property 531120 149,755 16 5,443,691
98 Net rental income or (loss) from personal property 99 Other investment income 525990 5,619,898 100 Gain or (loss) from sales of assets other than inventory 18 55,592,689 101 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)) 7,587,629 140,237,861 358,517,211 105 Total (add line 104, columns (B), (D), and (E)) . . . . 0- 506,342,701 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 V of the organization ' s exempt purposes ( other than by providing funds for such purposes) 93A THIS ACTIVITY CONTRIBUTES IMPORTANTLY TO THE INSTRUCTIONAL 93B THESE ACTIVITIES CONTRIBUTE IMPORTANTLY TO THE OVERALL 93C EDUCATION AND PHYSICAL MAINTENANCE OF STUDENTS, IN 93F THE PROVISION OF EDUCATIONAL MATERIALS, RENTAL OF ED Information Re g ardin g Taxable Subsidiaries and (A) (B) Name, address, and EIN of corporation, Percentage of Natu partnership , or disregarded entity ownership interest See Additional Data Table
Information Regarding Transfers Associated with instructions.) (a) Did the organization, during the year, receive any funds, directly or indirectly, to pay prer
(b) Did the organization, during the year, pay premiums, directly or indirectly
NOTE : If "Yes" to (b), file Form 8870 and Form 4720 (see instructions). Form 990 (2007) Page 9 Li^ 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
a
b
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 TRIANGLE RESIDENTIAL LP 10900 EUCLID AVENUE 202569698 PAYMENT FOR SECURITY SERVICES 87,267 a CLEVELAND, OH 44106
Totals 87,267
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 2009-05-14 Sign Signature of officer Date Here JOHN SIDERAS SENIOR VP OF FINANCE & CFO Type or print name and title
Date Preparer's SSN or PTIN (See Gen Inst W) Preparer's Check if sisignaturegnatu re self- empolyed F Preparer's Firm 's name (or yours Use if self-employed), EIN F Only address, and ZIP + 4 PricewaterhouseCoopers LLP
2001 MARKET ST SUITE 1700 Phone no 0 (267) 330-3000 PHILADELPHIA, PA 19103
Form 990 (2007) efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490135004459 OMB No 1545-0047 SCHEDULE A 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.) 2 00 7 Department of the F 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 page 1 of the instructions. List 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 GERALD FERRETTI PROFESSOR &CHAIR C/O CASE WESTERN RESERVE UNIV 525,416 49,214 0 1900 EUCLID AVENUE 60 0 CLEVELAND,OH 44106 PAMELA DAVIS VP DEAN &PROFESSOR C/O CASE WESTERN RESERVE UNIV 485,503 30,916 0 1900 EUCLID AVENUE 60 0 CLEVELAND,OH 44106 MYRON ROOMKIN PROFESSOR C/O CASE WESTERN RESERVE UNIV 409,738 870,989 0 1900 EUCLID AVENUE 60 0 CLEVELAND,OH 44106 BRUCE LOESSIN SR VP-UNIV RELATIONS C/O CASE WESTERN RESERVE UNIV 406,000 34,681 0 10900 EUCLID AVENUE 60 0 CLEVELAND,OH 44106 PIERLUIGI GAMBETTI PROFESSOR C/O CASE WESTERN RESERVE UNIV 395,736 32,289 0 10900 EUCLID AVENUE 60 0 CLEVELAND,OH 44106 Total number of other employees paid over 2,010 $50,000 Compensation of the Five Highest Paid Independent Contractors for Professional Services (See page 2 of the instructions. List each one (whether individual 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 PRICEWATERHOUSECOOPERS LLP PO BOX 75647 CONSULTANT 2,487,443 CHICAGO,IL 606755647 BERN5 OCKNER and GREENBERGER LLC 3733 PARK EAST DRIVE LEGAL 385,327 BEACHWOOD,OH 44122 TAROLLI SUNDHEIM COVELL 1300 EAST NINTH STREET LEGAL 376,449 CLEVELAND,OH 44114 DEFOREST and KOSCELNIK KAPPERS BOULEVARD LEGAL 348,159 PITTSBURGH,PA 15219 LIVINGSTON GROUP LLC PO BOX 2200 CONSULTANT 244,691 FAIRFAX,VA 220312200 Total number of others receiving over $50,000 for 55 professional services P. Compensation of the Five Highest Paid Independent Contractors for Other Services (List each contractor who performed services other than professional services, whether individual or firms. If there are none, enter "None". See page 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 9,132,664 CLEVELAND,OH 44106 KELLY SERVICES INC PO BOX 820405 STAFFING SERVICES 4,591,619 PHILADELPHIA, PA 191820405 CEDAR ENTERPRISE SOLUTIONS INC PO BOX 402521 CONSULTANT 3,096,796 ATLANTA,GA 303842521 PERCEPTIS LLC 1250 OLD RIVER ROAD IT SERVICES 1,134,888 CLEVELAND,OH 44113 JANITORIAL SERVICES INC 5795 CANAL ROAD CLEANING SERVICES 950,800 VALLEY VIEW,OH 44125 Total number of other contractors receiving over 15 $50,000 for other services ► For Paperwork Reduction Act Notice , see the Instructions for Form 990 andCat No 11285F Schedule A (Form 990 or 990-EZ) Form 990 - EZ. 2007 Schedule A (Form 990 or 990-EZ) 2007 Page 2
Statements About Activities (See page 2 of the instructions.) Yes No
1 During the year, has the organization attempted to influence national, state, or local legislation, include any attempt to influence public opinion on a legislative matter or referendum? If "Yes," enter the total expenses paid or incurred in connection with the lobbying activities Jk-$ 587,540 (Must equal amounts on line 38, Part VI-A, or line V I - 13 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? 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 1111. 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 1111. 0
Schedule A (Form 990 or 990-EZ) 2007 Schedule A (Form 990 or 990-EZ) 2007 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 1 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 1 A hospital or a cooperative hospital service organization Section 170(b)(1)(A)(iii)
8 1 A federal, state, or local government or governmental unit Section 170(b)(1)(A)(v)
9 1 A medical research organization operated in conjunction with a hospital Section 170( b)(1)(A)(iii) Enter the hospital's name, city, and state 111111
10 1 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 1 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 1 A community trust Section 170(b)(1)(A)(vi) (Also complete the Support Schedule in Part IV-A)
12 1 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 111. 1
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) 2007 Schedule A (Form 990 or 990-EZ) 2007 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) 2006 (b) 2005 (c) 2004 (d) 2003 (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) 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 (2006) (2005) (2004) (2003) 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 (2006) (2005) (2004) (2003)
c Add Amounts from column ( e) for lines 15 16
17 20 21 ► 27c d Add Line 27a total and line 27b total Ilk' 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) 11111 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)) 11111 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) 2007 Schedule A (Form 990 or 990-EZ) 2007 Page 5 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? 95 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 1 Yes Schedule A (Form 990 or 990-EZ) 2007 Schedule A (Form 990 or 990-EZ) 2007 Page 6 Lobbying Expenditures by Electing Public Charities (See page 9 of the instructions.) (To be completed ONLY by an eligible organization that filed Form 5768) Check ► a 1 if the organization belongs to an affiliated group Check ► b 1 if you checked "a" and "limited control" provisions apply (b) Limits on Lobbying Expenditures (a) Too be completed 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 (enter 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 through 50 on page 11 of the instructions )
Lobbying Expenditures During 4-Year Averaging Period
Calendaryear ( or (a) (b) (c) (d) (e) fiscal year beginning in ) ► 2007 2006 2005 2004 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 LTA" 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 11 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 208,398 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 379,142 h Rallies, demonstrations, seminars, conventions, speeches, lectures, or any other means No 0 i Total lobbying expenditures (Add lines c through h.) 587,540 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) 2007 Schedule A (Form 990 or 990-EZ) 2007 Page 7 Information Regarding Transfers To and Transactions and Relationships With Noncharitable Exempt Organizations (See page 12 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 fai r 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) 2007 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 Program ( C) Management (A) Total ( B) ( D) Fundraising 6b, 8b, 9b, 10b, or 16 of Part I. services and general
a INTERNA L SERVICE S 43a 8,904,307 8,570,366 201,872 132,069
b OUTSIDE SERVICES 43b 76,402 ,140 72,826,790 3,179,663 395,687
c EQUIPMENT 43c 3,986,110 3,947,339 25,561 13,210
d INSURANCE 43d 4,330, 574 1,282,286 3,048,185 103
e MISC /PLANT TRANSFERS 43e 9,274,748 370,888 8,715,918 187,942
f C C LC M RESEARCH 43f 90,989 ,867 90,989,867 0 0
g INVESTMENT MANAGER FEES 43g 11,283 ,537 0 11,283,537 0
h RENT EXPENSES 43h 5,274,390 5,274,390 0 0 Form 990, Part V-A - Current Officers, Directors, Trustees, and Key Employees:
(D) Contributions to (B) Title and average ( C) Compensation (E) Expense employee benefit (A) Name and address hours per week devoted (If not paid, enter -0- account and other plans & deferred to position .) allowances compensation plans
FRANK N LINSALATA OFFICE OF GENERAL COUNSEL CHAIRMAN 0 0 0 10900 EUCLID AVENUE 15 0 CLEVELAND, OH 441067010
TIMOTHY J CALLAHAN OFFICE OF GENERAL COUNSEL VICE CHAIRMAN 0 0 0 10900 EUCLID AVENUE 10 0 CLEVELAND, OH 441067010
JOIE A GREGOR OFFICE OF GENERAL COUNSEL VICE CHAIRMAN 0 0 0 10900 EUCLID AVENUE 10 0 CLEVELAND, OH 441067010
DAVID P HUNT OFFICE OF GENERAL COUNSEL VICE CHAIRMAN 0 0 0 10900 EUCLID AVENUE 10 0 CLEVELAND, OH 441067010
ROBERT CLARKE BROWN TREASURER ADELBERT HALL ROOM 4 194,500 14,114 0 60 0 CLEVELAND, OH 441067016
JOHN L ANDERSON PROVOST & OFFICE OF GENERAL COUNSEL UNIVERSITY VP 35,833 2,771 0 10900 EUCLID AVENUE 60 0 CLEVELAND, OH 441067010
HOSSEIN SADID OFFICE OF GENERAL COUNSEL CFO &ADMIN OFFICER 372,044 100,970 0 10900 EUCLID AVENUE 60 0 CLEVELAND, OH 441067010
SALLY STALEY CASE WESTERN RESERVE CHIEF INVEST OFFICER UNIVERSITY 324,639 29,307 0 60 0 ADELBERT HALL ROOM 4 CLEVELAND, OH 441067016
JEANINE ARDEN ORNT CASE WESTERN RESERVE SECRETARY UNIVERSITY 362,000 31,584 0 60 0 ADELBERT HALL ROOM 311 CLEVELAND, OH 441067016
GEORGE N ARONOFF OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCID AVENUE 2 0 CLEVELAND, OH 441067010 Form 990, Part V-A - Current Officers, Directors, Trustees, and Key Employees:
(D) Contributions to (B) Title and average ( C) Compensation (E) Expense employee benefit (A) Name and address hours per week devoted ( If not paid, enter -0- account and other plans & deferred to position ) allowances compensation plans
VIRGINIA NORD BARBATO OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
JAMES L BILDNER OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
WILLIAM E BRUNER II MD OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
ANTONY E CHAMP PHD OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
KENNETH B CHANCE DDS OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
ARCHIE G CO OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
DAVID A DABERKO OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
JAMES C DIGGS OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
THALIA DORWICK PHD OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
SUSIE GHARIB OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010 Form 990, Part V-A - Current Officers, Directors, Trustees, and Key Employees:
(D) Contributions to (B) Title and average (C) Compensation (E) Expense employee benefit (A) Name and address hours per week devoted (If not paid, enter -0- account and other plans & deferred to position ) allowances compensation plans
SALLY GRIES OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
PETERS HELLMAN OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
JENNIE S HWANG PHD OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
SAMIR N JADALLAH OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
MARY ANN JORGENSON OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
JOSEPH P KEITH LEY OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
CHARLES J KOCH OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
GEORGE L MAJOROS JR OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
JOSHUA W MARTIN III OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
FERID MURAD MD PHD OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010 Form 990, Part V-A - Current Officers, Directors, Trustees, and Key Employees:
D) Contributions to (B) Title and average (C) Compensation ( (E) Expense employee benefit (A) Name and address hours per week devoted ( If not paid, enter -0- account and other plans & deferred to position ) allowances compensation plans
JOSEPH B RICHEY OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
JOSEPH A SABATINI OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
THEODORE L SCHROEDER OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
ALAN L SCHWARTZ MD PHD OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
ANDREW WASYNCZUK OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
LINDA BURNES BOLTON PHD OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
JOHN P CAMPI OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
CAROLINE KOVAC PHD OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
JOE MANDATO OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
THOMAS F MCKEE OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010 Form 990, Part V-A - Current Officers, Directors, Trustees, and Key Employees:
D) Contributions to (B) Title and average ( C) Compensation ( (E) Expense employee benefit (A) Name and address hours per week devoted ( If not paid, enter -0- account and other plans & deferred to position .) allowances compensation plans
PAUL M OSTERGARD OFFICE OF GENERAL COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
CHARLES D FOWLER office of general COUNSEL TRUSTEE 0 0 0 10900 EUCLID AVENUE 2 0 CLEVELAND, OH 441067010
BARBARA R SNYDER CASE WESTERN RESERVE PRESIDENT UNIVERSITY 500,000 48,919 0 60 0 ADELBERT HALL ROOM 216 CLEVELAND, OH 441067001
JEROLD S GOLDBERG CASE WESTERN RESERVE INTERIM PROVOST & UNIVERSITY UNIV VP 418,833 33,680 0 ADELBERT HALL ROOM 216 60 0 CLEVELAND, OH 441067001
JOHN SIDERAS CASE WESTERN RESERVE INTERIM SR VP UNIVERSITY FINANCE &CFO 62,500 5,956 0 ADELBERT HALL ROOM 205 60 0 CLEVELAND, OH 441067003
JOHN WHEELER CASE WESTERN RESERVE SRVP FOR UNIVERSITY ADMINISTRATION 217,250 31,177 0 ADELBERT HALL ROOM 329 60 0 CLEVELAND, OH 441067003 Form 990, Part IX - Information Regarding Taxable Subsidiaries and Disregarded Entities:
(A) (B) (E) (D) Name, address, and EIN of corporation , Percentage of (C) End-of-year Nature of activities Total income partnership, or disregarded entity ownership interest assets
HOUSING ASSOCIATES INC 10900 EUCLID AVENUE 10000% R E CONSULT 68 17,363 CLEVELAND, OH44106 34-0868260
ERIE TIMBER LLC 10900 EUCLID AVENUE 10000% TIMBER FARM 1,363,345 34,440,190 CLEVELAND, OH44106 20-0409132
TRIANGLE RESIDENTIAL LP 10900 EUCLID AVENUE 5000% R ESTATE MGMT 3,512,005 21,204,882 CLEVELAND, OH44106 20-2569698
TRIANGLE RESIDENTIAL LLC 10900 EUCLID AVENUE 10000% R ESTATE MGMT 1,756,003 2,000 CLEVELAND, OH44106 34-1018992
ERIE FOREST INVESTMENTS LLC 10900 EUCLID AVENUE 10000% TIMBER FARM 0 0 CLEVELAND, OH44106 20-5742452
ERIE BUYER LLC 10900 EUCLID AVENUE 10000% TIMBER FARM 0 0 CLEVELAND, OH44106 16-1773605 Form 990, Part IX - Information Regarding Taxable Subsidiaries and Disregarded Entities:
(A) (B) (E) (D) Name, address, and EIN of corporation , Percentage of (C) End-of-year Nature of activities Total income partnership, or disregarded entity ownership interest assets
ERIE PARENT LLC 10900 EUCLID AVENUE 10000% TIMBER FARM 0 0 CLEVELAND, OH44106 83-0465480 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490135004459
TY 2007 Cash Grants Paid Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Class of Activity Recipient' s name Address Amount Relationship 10900 EUCLID AVENUE UNDERGRADUATE AND STUDENT AID CLEVELAND, OH 117,560,469 GRADUATE STUDENTS - 441067006 SEE STMT 26 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490135004459
TY 2007 General Explanation Attachment
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Return Identifier Explanation Reference
Primary exempt purpose ------Case Western Reserve University is an inde pendent, research-oriented university with broadly based strengths in health, including me dicine, nursing and 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 9,814 students are enrolled in programs leading to undergraduate, graduate and professional degrees adman istered 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 M edicine, the School of Graduate Studies, the School of Law, the Weatherhead School of Maria gement, the School of Medicine and the Frances Payne Bolton School of Nursing Sponsored r esearch and training/other sponsored programs ------Case Western Reserve University is classified as a Research University (very high research activity) - Extensive by the Carnegie Commission on Higher Education This classification given to those institutions that train the greatest number of future resear chers (usually measured by the number of Ph D students) and to those institutions that re ceive the most federal funds In addition to federal sources, STATEMENT OF FORM 990, research in the sciences, th e humanities and the health sciences area is funded by gifts and grants from PROGRAM SERVICE PART III private found ations, corporations and individuals Auxiliary enterprises ------The Un iversity ACCOMPLISHMENTS provides several services which, although not directly related to its academic mi ssion, are nevertheless an integral part of the overall educational experience of its stud ents The provision of campus housing and board plans and phone services are examples of c urrent auxiliary services Student aid ------Case Western Reserve University offers assistance to its students to help meet financial need or to recognize outstanding academic achievement and promise Academic excellence is recognized by the Academic Awards Progr am and other scholarship programs of the undergraduate colleges and by various assistantsh ips, fellowships, scholarships and other awards of individual departments in the School of Graduate Studies and several of the professional schools Libraries ------The Unive rsitys library system is composed of four primary units the University Library, the Cleve land Health Sciences Library, the School of Law Library and the Lillian & Milford Harris L ibrary in the Mandel School of Applied Social Sciences The libraries of the University su pport the undergraduate, graduate and professional programs and contain 2 5 million volume s Student services/organized activities ------Case West ern Reserve University actively promotes the development of services and programs to suppo rt the physical, emotional and intellectual well-being of its students The programs and s ervices are available to undergraduate, graduate and professional students alike and are d esigned to provide positive, developmental opportunities both to supplement the academic e xperience and enrich campus life OTHER PROGRAM SERVICES ------LINE E ------GRANTS & ALLOCATIONS EXPENSES ------STUDENT AID $ 64,205,6 05 $ 66,904,150 LIBRARIES NONE 15,994,170 STUDENT SERV ICES 53,826 19,926,060 ORGANIZED ACT IV ITIES 25,225 9,150,445 ------TOTAL $ 64,284,656 $112,014,738 Return Identifier Explanation Reference
Other than the payment of reasonable and not excessive compensation to its officers, and t he reimbursement of expenses incurred by its officers and trustees , the University knows o f no significant transactions betw een it and any person described above , or an organizatio n or corporation with which such an individual is affiliated, except as indicated below U rider the University 's conflict of interest policy , all business and financial relationship s betw een the University and entities or organizations affiliated with trustees, officers and others are subject to disclosure and review All trustees , officers, faculty and certa in management - level employees are required to complete conflict of interest disclosure for ms 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, principal or employee In many cases , the University' s relationship with the entity pre- dates the individual's be coming a trustee As noted above , each such relationship is subject to review All transac tions are conducted at arm's length, including competitive bidding or independent appraisa Is where appropriate, and for good and sufficient consideration Moreover , the trustee or officer plays no significant role in the transaction Relationships involving sums of $25 , 000 or more are listed in the following schedule NAME ASSURANT INSURANCE GROUP ADDRESS KANSAS CITY, MO DESCRIPTION OF TRANSACTION MEDICAL AMOUNT 1,040,100 NAME BIOENTERPRISE FORM 990, STATEMENT CORPORATION ADDRESS CLEVELAND, OH DESCRIPTION OF TRANSACTION RENTAL AMOUNT 208,333 SCHEDULEPEDTLE ABOUT NAME CALFEE HALTER & GRISWOLD ADDRESS CLEVELAND, OH DESCRIPTION OF TRANSACTION LEGAL A, PART2 III, ACTIVITIES AMOUNT 217,827 NAME FOREST CITY ENTERPRISES INC ADDRESS CLEVELAND, OH DESCRIPTION OF LINE 2 TRANSAC TION REAL ESTATE AMOUNT 1,433,895 NAME JP MORGAN CHASE & CO ADDRESS CLEVELAND, OH DESC RIPTION OF TRANSACTION FINANCIAL SERV ICES/CORP CREDIT CARD AMOUNT 28,140,865 NAME LINSA LATA CAPITAL PARTNERS ADDRESS CLEVELAND, OH DESCRIPTION OF TRANSACTION FINANCIAL SERVICE S - INVESTMENT MGMT FEES AMOUNT 162,370 NAME MOHR DAVIDON VENTURES ADDRESS MENLO PARK, CA DESCRIPTION OF TRANSACTION FINANCIAL SERVICES - INVESTMENT MGMT FEES AMOUNT 116,093 NAME NATIONAL CITY CORPORATION ADDRESS CLEVELAND, OH DESCRIPTION OF TRANSACTION ASSET MANAGEMENT & FINANCIAL SERVICES AMOUNT 950,772 NAME SQUIRE SANDERS & DEMPSEY, LLP ADDRES S CINCINNATI, OH DESCRIPTION OF TRANSACTION LEGAL - TRAVEL REIMBURSEMENT * AMOUNT 41,03 5 NAME STERIS CORPORATION ADDRESS PITTSBURGH, PA DESCRIPTION OF TRANSACTION MEDICAL AMO UNT 347,526 NAME UNIVERSITY OPHTHALMOGIST, INC ADDRESS MAYFIELD VILLAGE, OH DESCRIPTIO N OF TRANSACTION MEDICAL - VARIOUS REIMBURSEMENTS AMOUNT 42,166 * Squire Sanders & Demps ey is Case's bond counsel In fiscal 07-08, they provided services related to the series 2 008 bond issue , for which they w ere paid fromthe Bond Issuance Cost account , administered by the Bond Trustee, Bank of New York During fiscal 07 - 08, the amount paid from that acc ountwas $21,927 Return Identifier Explanation Reference
Most disbursements in furtherance of the University's exempt purpose are made directly for salary and other expenses incurred in the active conduct of the institution's exempt purp ose Grants and loans to FORM 990, STATEMENT individuals or other organizations are made in accordance with pr ocedures or subject to conditions SCHEDULE A, ABOUT established by the institution ' s governing board These procedures and conditions are designed to ensure RT III, LINE ACTIVITIES 3A 3A 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 Return Identifier Explanation Reference
Federal Level , 2007 ------DULY 2007 ------Associate vice president for g overnment relations Adrienne Dziak and director of financial aid Donald Chennelle met with staff in Senator Sherrod Brow n's office to discuss student aid/ student loan issues and r eauthorization of the Higher Education Act in Washington, DC Associate vice president for government relations Adrienne Dziak met with staff in Congresswoman Stephanie Tubbs Jones and Senator George Voinovich ' s offices to discuss higher education reauthorization and FY 08 appropriations matters in Washington , DC VP for Research and Technology Management Mar k Coticchia gives presentation to NASA's Innovative Partnerships Program meeting in Clevel and , OH Telephone call between University President Barbara Snyder and Congresswoman Step hanie Tubbs Jones to discuss University's FY08 appropriations priorities AUGUST 2007 ------Dana Smullen , staff member from Senator George Voinovich's office , visits the Na tional Center for Regenerative Medicine ( NCRM ) Dr Debra Grega , NCRM executive director, and associate vice president for government relations Adrienne Dziak participate SEPTEMBE R 2007 ------Associate vice president for government relations Adrienne Dziak met with staff from Representatives Stephanie Tubbs Jones , Dennis Kucinich, Steve LaTourette a nd Tim Ryan and Senators Sherrod Brown and George Voinovich to discuss FY08 appropriations and higher education reauthorization October 2007 ------Associate vice president for government relations Adrienne Dziak and assistant vice president for technology transf er Joe Jankow ski participate in meeting to discuss Cleveland-Pittsburgh technology corrido r hosted by Representatives Tim Ryan ( D-OH) and Jason Altmire (D-PA) at Youngstown State U niversity Congresswoman Stephanie Tubbs Jones serves as honorary host for the University' s 2nd Annual GospelFest and meets with University President Barbara Snyder , VP for Univers ity Relations Lara Kalafatis and associate vice president for government relations Adrienn e Dziak November 2007 ------Associate vice president for government relations Adrienne Dziak met with staff from Senator Sherrod Brow n's office to discuss public health is sues, and ith staff in Senator George Voinovich ' s and Representatives Stephanie Tubbs Jon es , Steve LaTourette, Ralph STATEMENT FORM 990 , w Regula and Tim Ryan ' s offices to discuss FY08 appropriations a nd reauthorization of higher education act VP for ABOUT SCHEDULE University Relations Lara Kalafatis , Sc hool of Medicine Dean Pamela Davis , Wan Alexander - engineering faculty LOBBYING A, PART VI- member, and assoc late vice president for government relations Adrienne Dziak attended the annual Greater Cl ACTIVITY B eveland Partnership "Public Officials Reception" and talked with members and staff fromth e Ohio Congressional Delegation Congresswoman Maxine Waters ( D-CA) visits campus as featu red speaker for the 5th Annual Louis Stokes Leadership Symposium and meets with University President Barbara Snyder , Dean of the School of Applied Social Sciences G Cleve Gilmore , VP for University Relations Lara Kalafatis and associate vice president for government re lations Adrienne Dziak December 2007 ------Senator Sherrod Brown and his deputy s tate director Elizabeth Thames visit Case Western Reserve and meet with President Barbara Snyder , Interim Provost Jerold Goldberg , VP for Research and Technology Management Mark Co ticchia, VP for Regional Affairs John Wheeler , Senior VP for University Relations and Deve lopment Bruce Loessin , VP for University Relations Lara Kalafatis , School of Medicine Dean Pamela Davis , School of Arts & Sciences Dean Cyrus Taylor, David Matthiesen - School of Engineering faculty member , Christianne Sheridan - special assistant to President Snyder, a nd Treasurer Robert Brown to discuss the University ' s federal funding priorities in public health and energy on campus Associate vice president for government relations meets with staff from Representatives Stephanie Tubbs Jones , Dennis Kucinich , Ralph Regula and Steve LaTourette and Senator George Voinovich's office on FY08 appropriations measures and Univ ersity priorities in calendar year 2008 in Washington FEDERAL LEVEL, 2008 JANUARY 2008 ------NO ACTIVITY TO REPORT FEBRUARY 2008 ------Associate vice president for government and community relations Adrienne Dziak meets with staff from offices of Senato rs Sherrod Brown and George Voinovich and Representatives Stephanie Tubbs Jones , Dennis Ku cinich, Steve LaTourette and Ralph Regula to discuss reauthorization of Higher Education A ct (Washington , DC) Associate vice president for government and community relations Adrie nne Dziak hosts district director from Congressw oman Stephanie Tubbs Jones and assistant s tate director from Senator Sherrod Brow n's offices at Annual Case Concert, Severance Hall (Cleveland , OH) MARCH 2008 ------Associate vice president for government and community relations Adrienne Dziak meets with staff from Return Identifier Explanation Reference
offices of Senators Sherrod Brown and George Voinovich and Representative Stephanie Tubbs Jones to discuss University's FY2009 appropriations requests and federal FY2009 budget fun ding levels for student need based aid, National Science Foundation, National Institutes o f Health, NASA, Department of Energy Office of Science (Washington, DC) Associate vice pr esident for government and community relations Adrienne Dziak meets with staff from office s of Representatives Dennis Kucinich and Ralph Regula to discuss federal FY2009 budget fun ding levels for student need based aid, National Science Foundation, National Institutes o f Health, NASA, Department of Energy Office of Science (Washington, DC) Associate vice pr esident for government and community relations Adrienne Dziak attends Annual Ohio Birthday Party w here members of Ohio Congressional Delegation and their staff attend APRIL 2008 ------Mandel School of Applied Social Sciences Dean C Grover Gilmore and associate vi ce president for government relations Adrienne Dziak met in Washington, DC with staff from offices of Representatives Stephanie Tubbs Jones and Dennis Kucinich, and Senators George Voinovich and Sherrod Brown to discuss the University's special project request for Louis Stokes Fellow ship Program President Barbara Snyder participated in higher education summ it hosted by Senator Sherrod Brown in Washington, DC PResident Barbara Snyder met with Re p Stephanie Tubbs Jones in Washington, DC to discuss University special project requests for the Stokes Fellowship Program and Great Lakes Institute for Energy Innovation VP for Research and Technology Management Mark Coticchia and School of Medicine Dean Pamela Davis attended meeting with Senator Sherrod Brown to discuss economic development policy Assoc late vice president for government relations Adrienne Dziak and faculty member Dr w an Al exander met with staff in the offices of Representative Stephanie Tubbs Jones and Senators Sherrod Brown and George Voinovich to discuss the University's special project request fo r the Great Lakes Institute for Energy Innovation (Washington, DC) Staff from local offic e of Rep Betty Sutton attends Research Show CASE reception on campus Case School of Engin eering Dean Norman Tien, faculty member Dr Wan Alexander, and associate vice president f or government STATEMENT FORM 990, relations Adrienne Dziak met in Washington with staff from offices of Ohio m embers to discuss the Great Lakes ABOUT SCHEDULE Institute for Energy Innovation and the University's FY2 009 special project request to support the Institute LOBBYING A, PART VI- Meetings with Kate Ostrander (Rep Steve LaTourette), Tony Baker (Rep Betty Sutton), Steve Kittredge and Lauri ACTIVITY B Hettinger (Sen George Voinovich), Doug Babcock (Sen Sherrod Brow n), Melissa Benish (Rep Charlie Wilso n), Ryan Keating (Rep Tim Ryan), and Vic Edgerton (Rep Dennis Kucinich) President Barba ra Snyder, Sr VP for University Relations and Development Bruce Loessin, VPfor University Relations Lara Kalafatis and University Treasurer Bob Brown met in Washington, DC with R epresentatives Betty Sutton and Dennis Kucinich to discuss the Great Lakes Institute for E nergy Innovation and the University's special project request to support the Institute Pr esident Barbara Snyder, Sr VP for University Relations and Development Bruce Loessin, and VP for University Relations Lara Kalafatis met in Washington, DC with Representative Steve LaTourette and staff in Rep Michael Turner, Senators George Voinovich and Sherrod Brown 's offices about University's special project requests for the Stokes Fellow ship Program a nd Great Lakes Institute for Energy Innovation President Barbara Snyder and Sr VP for Un iversity Relations and Development Bruce Loessin met w ith National Endow ment for the Human sties Director Bruce Cole in Washington, DC to discuss NEH programs and grant funding oppo rtunities University hosted alumni reception in Washington, DC honoring the Ohio Congress tonal Delegation and their staff President Barbara Snyder, Sr VP for University Relation s and Development Bruce Loessin, VP for University Relations Lara Kalafatis, VP for Resear ch and Technology Management Mark Coticchia, Engineering Dean Norman Tien, Mandel School o f Applied Social Sciences Dean C Grover Gilmore, MSASS Associate Dean Sharon Milligan, fa culty member Dr Wan Alexander and associate vice president for government relations Adri enne Dziak participated Associate vice president for government relations Adrienne Dziak attended meeting with Rep Charlie Wilson sponsored by Greater Cleveland Partnership (Cle veland, OH) Associate vice president for government relations had several telephone conver sations with staff in Senator Sherrod Brow n's office to discuss concerns with provisions i n the reauthorization of the Higher Education Act as it was addressed in conference commit tee negotiations MAY 2008 ------Michael Dalton and Tony Baker from Rep Betty Sutton's met with faculty members' Dr Wan Alexander, Dr Return Identifier Explanation Reference
David Matthiesen , Lyndy Rutkow ski, Mirko Antloga , associate vice president for technology transfer Michael Allen, and associate vice president Adrienne Dziak to discuss Great Lake s Institute for Energy Innovation and federal energy policy ( On campus ) Rep Ron Klein vi sited campus and met with VP for University Relations Lara Kalafatis , Interim VP for Finan ce John Sideras , Sr VP for Administration John Wheeler , University Treasurer Bob Brown , a ssociate vice president for government relations Adrienne Dziak, and faculty members Dr I w an Alexander and Dr David Matthiesen Topics discussed - general information about the U niversity, research strengths, and the Great Lakes Institute for Energy Innovation Associ ate vice president for government relations had several telephone conversations with staff in Senator Sherrod Brow n's office to discuss concerns with provisions in the reauthorizat ion of the Higher Education Act as it was addressed in conference committee negotiations JUNE 2008 ------Associate vice president for government relations Adrienne Dziak met with staff in offices of Rep Stephanie Tubbs Jones and Senators Sherrod Brown and George Voinovich to discuss University's special projects requests for Stokes Fellowship Program and Great Lakes Institute for Energy Innovation ( Washington , DC) Associate vice president for government relations met with staff in office of Rep Marcy Kaptur to discuss Great L akes Institute for Energy Innovation, federal energy R&D policy and funding, and possible northern Ohio collaborations Mandel School of Applied Social Sciences Dean C Grover Gilm ore sent letter to Representative Stephanie Tubbs Jones urging House support for S 106 K imberley Alton, Legislative Director for Congresswoman Stephanie Tubbs Jones met with facu Ity members Dr Wan Alexander , Dr David Matthiesen , Lyndy Rutkow ski, Mirko Antloga , asso crate vice president for technology transfer Michael Allen, and associate vice president A drienne Dziak to discuss Great Lakes Institute for Energy Innovation and federal energy po licy (On campus ) Associate vice president for government relations had several telephone conversations with staff in Senator Sherrod Brow n's office to discuss concerns with proves ions in the reauthorization of the Higher Education Act as it was addressed in conference committee negotiations STATE STATEMENT FORM 990 , LEVEL, 2007 JULY 2007 ------VP for Research and Technol ogy Transfer Mark Coticchia, associate vp for ABOUT SCHEDULE research Eric Cottington, assistant vice pre sidents for technology management Joe Jankowski and George LOBBYING A, PART V I- Harker, and associate vice pres ident for government relations Adrienne Dziak met with Jennifer Ruggles and ACTIVITY B Patrick Valent e fromthe Ohio Department of Development to discuss Third Frontier initiatives and energy R&D opportunities State Rep Jennifer Brady ( D-16) visits campus to meet with College of Arts & Sciences Dean Cyrus Taylor, Professors Bob Brown and Gary Wnek, assistant vice pre sident for technology transfer Joe Jankow ski and associate vice president for government r elations Adrienne Dziak to discuss University programs in entrepreneurship , innovation and commercialization Associate vp for government relations Adrienne Dziak attends meeting a nd discussion with Governor Ted Strickland President Barbara Snyder and associate vice pr esident for government relations Adrienne Dziak meet with state Senator Shirley Smith for get-acquainted and to discuss the University's state relations priorities President Barba ra Snyder and associate vice president for government relations Adrienne Dziak meet with s tate Rep Barbara Boyd for get- acquainted and to discuss the University's state relations priorities VP for Research and Technology Management Mark Coticchia , assistant vice press dent for technology management George Harker , School of Engineering faculty member wan Al exander, Executive Director for Corporate Relations , and associate vice president for gove rnment relations Adrienne Dziak met with members of the Cuyahoga County delegation to the Ohio General Assembly to discuss the state's and the University ' s priorities and capabilit ies related to energy R& D and efficiency on campus AUGUST 2007 ------Associate vice president for government relations and assistant vice presidents for technology transfer Joe Jankow ski and George Harker attend Third Frontier meeting in Columbus School of Medic ine Dean Pamela Davis and associate vice president for government relations Adrienne Dziak meet with Ohio Board of Regents Chancellor Eric Fingerhut to discuss the role of a privat e research university in the state higher education strategic plan , state economic develop ment, and healthcare reform SEPTEMBER 2007 ------Associate vice president for go vernment relations Adrienne Dziak meets with state Representatives Mike Skindell and Matt Dolan and Senator Dale Miller to discuss continued state investment in biomedical research and development as part of the Third Frontier pro Return Identifier Explanation Reference
gram OCTOBER 2007 ------School of Medicine associate dean Daniel Ornt, department of psychiatry faculty member Robert Ronis and associate vice president for government rel ations Adrienne Dziak met with state Rep Mike Skindell to discuss relationship between th e School of Medicine and the Cleveland state psychiatric hospital Associate vice presiden t for government relations Adrienne Dziak and School of Engineering faculty member David M atthiesen attend Ohio Senate's Committee on Energy and Public Utilities hearing on SB 221 Professor Matthiesen gives hearing testimony President Barbara Snyder, Senior VP for Uni versity Relations and Development and associate vice president for government relations me et with Senate President Bill Harris, House Speaker Jon Husted, Lt Governor Lee Fisher an d Ohio Board of Regents Chancellor Eric Fingerhut to discuss University priorities as part of its state relations agenda NOVEMBER 2007 ------VP for University Relations L ara Kalafatis, School of Medicine Dean Pamela Davis, School of Engineering faculty member wan Alexander and associate vp for government relations Adrienne Dziak attend the Greater Cleveland Partnership's annual Public Officials Reception and talked with members and sta ff from the Ohio General Assembly and other state officials University hosted meeting for members of the Cuyahoga County delegation to the Ohio General Assembly chaired by Cuyahog a County Prosecutor Bill Mason to discuss SB221 President Barbara Snyder, VP for University Relations Lara Kalafatis, associate vp for government relations Adrienne Dziak, and Sch ool of Engineering faculty member David Matthiesen attended DECEMBER 2007 ------A ssociate vice president for government relations Adrienne Dziak attended Third Frontier Ad visory Board and Commission meetings in Columbus, OH Associate vice president for government relations Adrienne Dziak attended regional meeting led by Lt Gov Lee Fisher to discu ss the state's economic development strategic plan STATE LEVEL, 2008 JANUARY 2008 ------NO ACTIVITY TO REPORT FEBRUARY 2008 ------Associate vice president for gove rnment and community relations Adrienne Dziak meets with State Senators Shirley Smith and Dale Miller, Representatives Mike Foley and Mike Skindell to discuss University's capital budget bill request (Columbus, OH) Associate vice STATEMENT FORM 990, president for government and community relations Adrienne Dziak meets with Ohio Board of Regents Vice ABOUT SCHEDULE Chancellor Harry Andrist to discuss research programs (Columbus, OH) Vice President for Research and LOBBYING A, PART VI- Technology Maria gement Mark Coticchia, Associate vice president for research and technology management Joe ACTIVITY B Jankow ski, and associate vice president for government and community relations Adrienne D ziak attend meeting with Lt Governor Lee Fisher to discuss state economic development str ategic plan (Cleveland, OH) University hosts public meeting sponsored by Ohio Secretary o f State's office on voter rights and election integrity Associate vice president for gove rnment and community relations hosts Anne Hill, Governor's regional representative, at Ann ual Case Concert, Severance Hall MARCH 2008 ------Vice president for research and to chnology management Mark Coticchia and Associate vice president for research and technolog y management Joe Jankow ski participate in teleconference with Ohio Board of Regents Vice C hancellor Harry Andrist to discuss criteria for the Technology Commercialization Incentive application Associate vice president for government and community relations meets with S tate Representative Barbara Boyd to discuss University's capital budget bill request (Cle veland, OH) Associate vice president for government and community relations meets with Sta to Representative Kenny Yuko to discuss University's capital budget bill request (Clevela nd, OH) APRIL 2008 ------School of Medicine Dean Pamela Davis and Associate Dean Dan Ornt met with members of the Cuyahoga County delegation of the Ohio General Assembly to d iscuss the Center for Translational Science and the University's request for support fort he Case Innovation Center for Energy & Medicine in the FY2009-2010 Biennial Capital Budget bill (On campus) Dr Jeffrey Duerk, faculty member, gave testimony before Senate Committ ee on Health, Human Services and Aging in support of S B (Columbus, OH) Associate vice pr esident for government relations Adrienne Dziak met with Senators Tim Grendell and Bob Spa da and Representatives Kenny Yuko, Sandra Williams, Jennifer Brady and Tom Patton to discu ss University's project request for Case Center for Innovation in Energy & Medicine forth e FY2009-2010 Biennial Capital Budget bill (Columbus, OH) School of Medicine Dean Pamela Davis sent letter to Ohio Senate President Bill Harris urging him to oppose S B 174 Scho of of Medicine Dean Pamela Davis, School of Dental Medicine Dean Jerold Goldberg and Schoo I of Nursing Dean May Wykle, their respective facu Return Identifier Explanation Reference
Ity, and associate vice president for government relations Adrienne Dziak hosted Dr Alvin Jackson, Director of the Ohio Department of Health, to discuss ODH's goals, CWRU's medica I and health research and expertise strengths, and to explore opportunities for collaborat ion (On campus) President Barbara Snyder and associate vice president for government rela tions Adrienne Dziak met with Senate President Bill Harris, Speaker Jon Husted, Representa tives Jay Hottinger, Mike Dolan and Mike Skindell, Senator John Carey, and Governor Ted St rickland's Chief-of-Staff John Haseley and Office of Budget & Management Legislative Liais on Louis Capobianco to discuss University's project request for Case Center for Innovation in Energy & Medicine for the FY2009-2010 Biennial Capital Budget bill (Columbus, OH) Ass ociate vice president Adrienne Dziak met in Columbus with Senator Lance Mason to discuss U niversity's project request for Case Center for Innovation in Energy & Medicine for the FY 2009-2010 Biennial Capital Budget bill (Columbus, OH) MAY 2008 ------Associate vice p resident for government relations Adrienne Dziak met with Representatives Eugene Miller, M ike Foley, Tim DeGeeter and Michael DeBose and Senators Capri Cafaro and Shirley Smith to discuss University's project request for Case Center for Innovation in Energy & Medicine f or the FY2009-2010 Biennial Capital Budget bill (Columbus, OH) Attended meeting with repr esentatives from other universities and hospitals with Governor's Chief Policy Adviser Jan etta King to discuss S B 174 Dr Mark Shanahan, Energy Adviser to Governor Strickland, meets with Dr Wan Alexander, Dr David Matthiesen, Lyndy Rutkow ski and Mirko Antloga to d iscuss work of Great Lakes STATEMENT FORM 990, Institute for Energy Innovation and state energy policy (On ca mpus) President Barbara Snyder telephones Anne ABOUT SCHEDULE Hill, Governor's Regional Representative, t o discuss University's project request for Case Center for Innovation in LOBBYING A, PART V I- Energy & Medicine for the FY2009-2010 Biennial Capital Budget bill Associate vice president for technology ACTIVITY B transfer Joe Jankowski and associate vice president for government relations Adrienne Dzi ak attended Third Frontier Advisory Board and Third Frontier Commission meetings (Columbu s, OH) Stanton Gerson, MD, faculty member, submitted written testimony to Senate Committee on Judiciary-Civil Justice opposing S B 174 Associate vice president for government rel ations Adrienne Dziak sent letters to members of the Senate Committee on Judiciary-Civil J ustice opposing S B 174 Dr David Matthiesen, faculty member, gave testimony before the House Committee on Finance and Appropriations supporting H B 554 JUNE 2008 ------VP for Research and Technology Management Mark Coticchia and associate vp for technology tra nsfer Joe Jankow ski attended Third Frontier Commission meeting (Columbus, OH) Summary of Expenses for FY 2007-2008 ------Office of Government Relatio ns, General Expenses Full-time salary and fringes for Associate Vice President for Govern ment and Community Relations and Administrative Assistant $169,519 50 Operating expenses, including travel 38,878 63 ------Total $208,398 13 Federal Relations consultants Fees for contractual services betw een Case Western Reserve University and The Livingsto n Group LLC to assist and represent the University in its lobbying and advocacy activities related to federal funding, legislative and public policy initiatives $249,076 46 State Relations consultants Fees for contractual services between Case Western Reserve Universi ty and Calfee, Halter & Griswold, LLPto assist and represent the University in its lobbyi ng and advocacy activities related to state funding, legislative and public policy initiat Ives $130,066 01 2007-2008 GOVERNMENT RELATIONS TOTAL EXPENDITURES $587,540 60 Return Identifier Explanation Reference
BOND Housing and Urban Development #217 Series B ISSUE DATE 10/1/66 MATURITY DATE 10/1/ 12 PURPOSE Renovation and refunding ORIGINAL AMOUNT 2,500,000 INTEREST RATE 3 500% COMP LETION DATE 12/31/67 UNEXPENDED BOND PROCEEDS NONE OUTSTANDING AMOUNT $440,000 BOND Ho using and Urban Development #217 Series E ISSUE DATE 10/1/66 MATURITY DATE 10/1/16 PURPOSE Renovation and refunding ORIGINAL AMOUNT 1,785,000 INTEREST RATE 3 000% COMPLETION D ATE 12/31/67 UNEXPENDED BOND PROCEEDS NONE OUTSTANDING AMOUNT $550 ,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 $1,015,000 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 $25, 050,855 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 $5,475,000 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 STATEMENT MATURITY DATE 7/1/04 PUPOSE Refinancing of debt ORIGINAL AMOUNT 4,695,000 INTEREST RATE 4 750% OF TAX- FORM 990, UNEXPE NDED BOND PROCEEDS NONE OUTSTANDING AMOUNT $367,704 BOND Ohio Higher Education Faciliti EXEMPT PART IV, es Commission Revenue Notes - Commercial Paper ISSUE DATE 2/16/00 MATURITY DATE 2/1/30 PURPOSE BOND LINE 64A Renovation and construction - various projects ORIGINAL AMOUNT 43,000,000 COMPLET ION DATE 2/16/02 LIABILITIES 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 $14,790,000 BOND Ohio Higher Education Facilities Commission Re venue Notes - Commercial Paper ISSUE DATE 4/3/02 MATURITY DATE 2/1/30 PURPOSE Renovatio n 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 Education Facilities Commission - Series 2002 ISSUE DATE 6/5/02 MATURITY DATE 10/1/23-10/1/31 PUR POSE Renovation and construction - various projects ORIGINAL AMOUNT 64,875,000 COMPLETIO N 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 12 /1/08-12/1/44 PURPOSE Renovation and construction - various projects ORIGINAL AMOUNT 177,825,000 UNEXPENDED BOND PROCEEDS NONE OUTSTANDING AMOUNT NONE BOND Ohio Higher Educati on 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 107,950,000 INTEREST RATE 2 000 - 5 000% COMPLETION DATE 3/1/09 UNEXPENDED BOND PROCEEDS $121,628 OUTSTAND ING AMOUNT $78,000,925 BOND Ohio Higher Education Facilities Commission - Series 2006 IS SUE DATE 12/21/06 MATURITY DATE 12/1/07-12/1/44 PURPOSE Refinancing of Debt ORIGINAL AM OUNT 82,490,000 INTEREST RATE 3 750 - 5 250% UNEXPENDED BOND PROCEEDS NONE OUTSTANDING AMOUNT $90,569,159 BOND Ohio Higher Education Facilities Commission - Capital Lease 2006 ISSUE DATE 8/1/06 MATURITY DATE 1/1/08-7/1/18 PURPOSE Equipment Lease ORIGINAL AMOUNT 12,880 ,000 INTEREST RATE 4 123% UNEXPENDED BOND PROCEEDS $12,880 ,000 OUTSTANDING AMOUNT $12,880,000 BOND Ohio Higher Education Facilities Commission - Series 2008 ISSUE DATE 5/21/08 MATURITY DATE 12/1/14-12/1/44 PURPOSE Refund Series 2004 bonds ORIGINAL AMOUNT 177,990,000 INTEREST RATE 3 995 - 4 295% UNEXPENDED BOND PROCEEDS $46,552,200 OUTSTANDING AMOUNT $180,264,559 Return Identifier Explanation Reference
Department of Housing and Urban Development ------AM OUNT 13,137,400 DATE OF LOAN 1/06 MATURITY DATE 1/41 REPAYMENT TERMS 420 monthly payme nts of $65,968 ( Principal and Interest ) Commencing 2/1/06 INTEREST RATE 4 960% SECURITY Mortgage on Property PURPOSE Purchase and Improvement of Residential Property END YEAR B ALANCE 12,778, 710 Department of Housing and Urban Development ------AMOUNT 4,500,000 DATE OF STATEMENT OF LOAN 1/06 MATURITY DATE 1/41 REPAYMENT TERMS 420 monthly payments of $23,667 ( Principal and FORM 990, MORTGAGES & Interest ) Commencing 2/1/06 INTEREST RATE 5 330% SECURITY Mortgage on Property PURPOSE Purchase PART IV, OTHER NOTES and Improvement of Residential P roperty END YEAR BALANCE 4,386 ,395 Compass Group USA ------LINE 64B PAYABLE -- AMOUNT 1,200,000 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 937,500 Ohio Higher Education Facilities Commission - Capital Lease 2006 ------AMOUNT 710,000 DATE OF LOAN 8/06 MATURITY DATE 1/18 REPAYMENT TERMS Equipment Lease INTEREST RATE 6 750% SECURITY NONE PURPOSE Equipment Lease END YEAR BALANCE 710,000 Return Identifier Explanation Reference
A list of the recipients of scholarships and fellow ships is on file at the institution and is available upon STATEMENT OF FORM 990, request Although there may be recipients who are related to persons ha ving an interest in the institution, FUNCTIONAL PART II, LINE such recipients are selected on an equal, objectively determinable basis with other recipients That is, all EXPENSES 22 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 Return Identifier Explanation Reference
DETAIL 06/30/2008 06/30/2007 ------BUILDINGS & CONSTRUCTION IN PROGRESS 1,065, 591,876 1,053,297,254 LAND 39,263,481 38,920,107 EQUIPMENT AND SOFTWARE 23 4,674,402 213,339,675 BOOKS 31,686,609 30,687,544 ------1,371,216,368 1,336,244,580 LESS DETAIL OF LAND, FORM 990, ACCUMULATED DEPRECIATION (570,152,824) (513,303,214) ------TOTAL PPE BUILIDING, PART II, LINE 801,063,544 822,941,366 THE DEPRECIATIO N EXPENSE FOR THE EQUIPMENT & 42 & PART IV, YEAR ENDED 06/30/2008 WAS $60,380,291 THE UNIVERSITY CALCULATES DEPRECIATION EXPENSE DEPRECIATION LINE 57 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 Return Identifier Explanation Reference
NET GAIN OR LOSS GROSS SALES COST/ DESCRIPTION PRICE OTHER BASIS NET GAIN/LOSS ------FROM SALE OF ASSETS FORM 990, ------MARKETABLE SECURITIES 1,987,901,159 1,932,852,624 55,048,535 SAL E OTHER THAN PART I, LINE 8 OF PROPERTY 4,096,622 3,552,468 544,154 ------TOTALS INVENTORY 1,991,997,781 1,936,405,092 55,592,689 Return Identifier Explanation Reference
JUMPSTART, INC EXEMPT BIOENTERPRISE CORP EXEMPT MEDICAL CENTER CORPORATION EXEMPT UNIVER SITY CIRCLE RESEARCH CENTER CORP EXEMPT TRIANGLE RESIDENTIAL, LLC FORM 990, PART NAMES OF EXEMPT TRIANGLE RESIDEN TIAL, LP NON-EXEMPT HOUSING ASSOCIATES, INC NON-EXEMPT ERIE V I, LINE 80B AND RELATED TIMBER, LLC (DISREGARDED ENTI TIES) EXEMPT (SOLE OWNER OF THE FOLLOWING ENTITIES) ERIE FORM 990, PART ORGANIZATIONS 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: 93490135004459
TY 2007 Investments - Other Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Description Book Value Cost/FMV ARTERIOCYTE, INC. 1 ATH E RSYS, INC. 0 AXON ENGINEERING 1 BIOFOR, INC. 1 BP AMOCO PATENTS - PMVE 1 BTHC VI, INC. 1 CAMLEM, INC. 1 CARDIOINSIGHT TECHNOLOGIES INC 5 COPERNICUS GENE SYSTEMS 1 DOW CHEMICAL PATENT 1 FLX MICRO 2 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 0 P&G PATENTS 2 WALNUT BEND 1 WERNER G. SMITH 1 MARVAL BIOSCIENCES, INC. 1 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490135004459
TY 2007 Mortgages and Notes Payable Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992 Total Mortgage Amount : 18812605
Item No. 1 Lender ' s Name SEE STATEMENTS 24-25 Lender ' s Title Relationship to Insider Original Amount of Loan Balance Due 18812605 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: 93490135004459
TY 2007 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 326,033,253 300,718,603 SECURITIES PLEDGED UNDER LENDING AGREEMENT 84,083,818 36,346,362 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490135004459
TY 2007 Other Changes in Net Assets Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Description Amount
ADJUST FOR MINIMUM PENSION LIABILITY 12,550,701
ACTUARIAL ADJUST TO ANNUITIES PAYABLE 3,056,373
VALUE OF INVESTMENTS 138,348,135
VALUE OF FUNDS HELD IN TRUST BY OTHERS 25,314,650 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490135004459
TY 2007 Other Expenses Included Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Description Amount PAYABLE -3,056,373 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490135004459
TY 2007 Other Expenses Not Included Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Description Amount LP EXPENSE 8,721,282 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490135004459
TY 2007 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 86,892,311 37,655,215 DEFERRED INCOME AND DEPOSITS 27,842,144 38,603,671 ANNUITIES PAYABLE 52,616,036 43,795,711 REFUNDABLE ADVANCES 12,394,626 6,057,155 MINIMUM PENSION LIABILITY 1,132,813 0 REFUNDABLE FED'L STUDENT LOANS 17,001,674 16,153,503 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490135004459
TY 2007 Other Notes/Loans Receivable Short Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Category / Name Amount STUDENT LOANS, NET 49,403,951 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490135004459
TY 2007 Other Revenues Included Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Description Amount MINIMUM PENSION ADJUSTMENT 12,550,701 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490135004459
TY 2007 Other Revenues Not Included Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Description Amount LP EXPENSE 8,721,282 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490135004459
TY 2007 Tax-Exempt Bond Liabilities Schedule
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Item No. 1 Name of Issue Purpose SEE STATEMENTS 20-23 Amount Outstanding 572185498 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: 93490135004459
TY 2007 Non Electing Public Charities Statement
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992 Statement : SEE STATEMENTS 7-19 l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93490135004459
TY 2007 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: 93490135004459
TY 2007 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: 93490135004459
TY 2007 Self Dealing Statement
Name : CASE WESTERN RESERVE UNIVERSITY EIN: 34-1018992
Line Number Explanation 2a SEE STATEMENTS 4-5 2b SEE STATEMENTS 4-5 2c SEE STATEMENTS 4-5 2d SEE FORM 990, PART V-A Fcim 8453-EO Exempt Organization Declaration and Signature for OMB No 1545-1579 Electronic Filing For calendar year 2007, or tax year beginning _ _ k7 / Q:1 , 2007, and «Wino --- 0_ 6Z30,26 QQ For use with Forms 990, 990-t3, 990-PF, 1120-POI, and 8868 2®07 Dpenment dme Tnruy to, Sae tnsinsci ions on back. number Name of exempt eyenbaUco identllfcaaoe
• Type of Return and Return Information (Whole Dollars Only)
Check the box for the return for which you are using this Form 8453-EO and enter the applicable amount from the return, if any. If you check the box on line 1a, 2a, 3a, 4a, or 5a below and the amount on that line for the return for which you are filing this form was blank, then leave line 1b, 2b, 3b, 4b, or 5b, whichever is applicable , blank (do not enter -G-) If you entered -o- on the return, then enter -0- on the applicable line below Do not complete more than one line in Part 1. 12) ...... 1b 96432 0 837. 1 a Form 990 check here ► ] b Total revenue, if any (Form 990, line q line 2b 2a Form 990-F2 check here ► b Total revenue, if any ( Form 990-EZ, 9) ...... q line ...... 3b 3a Form 1120-POL check here ► b Total tax (Form 1120-POL, 22) ( 990-PF, Part V1, We 4b 4a Form 990-PF check here ► b Tax based on Investment Income Form 5) Sc Form 8868 check hen; ► b Balance due (Form 8868, line 3c) ...... 6b
• Declaration of Officer
6 I authorize the U.S Treasury and its designated Financial Agent to initiate an ACH electronic funds withdrawal (direct debit) entry to the financial institution account indicated in the tax preparation software for payment of the organization's federal taxes owed on this return , and the financial institution to debit the entry to (his account To revoke a payment, I must contact the U_S Treasury Financial Agent at 1-888 -353-4537 no later than 2 business days poor to the payment (settlement) date. I also authorize the financial institutions involved in the processing of the electronic payment of tames to receive confidential information necessary to answer inquires and resolve issues related to the payment q If a copy of this return is being flied with a state agency(os) regulating charities as part of the IRS Fed/State program, I certify that I executed the electronic disclosure consent contained within this return aUoanng disclosure by the IRS of this Form 9901990 -EZ/990-PF (as specifically identified in Part I above) to the selected state ageacy(ies). Under penalties of perjury, i declare that I am an officer of the above named organization and that I have examined a copy of the organization's 2007 electronic return and accompanying schedules and statements and to the best of my knowledge and belief, they are true, correct and complete. I further declare that the amount in Part I above is the amount shown on the copy of the organization's electronic return. I consent to allow my intermediate service provider, transmitter, or electronic return originator (ERO) to send the organization's return to the IRS and to receive from the IRS (a) an acknowledgement of receipt or reason for refection of the transmission. (b) an indication of any refund offset, (c) the reason for any delay in processing the return or refund, and (d) the data of any refund. sign , Le ^o , czA O Here i ature of officer Date Title
® Declaration of Electronic Return Originator (ERO) and Paid Preparer (see instructions)
I declare that I have reviewed the above organization's return and that the entries on Form 6453-E4 are complete and correct to the best of my knowledge- If I an only a collector, I am not responsible for re iewmg the return and only declare that this form accurately reflects the data on the return. The organization officer will have signed this form before I submit the return I will give the officer a copy of all forms and information to he filed with the IRS, and have followed all other requirements in Pub. 4163, Modernized e-Fie (MaF) Information for Authorized e-i a Prowlers. N I am also the Paid Preparer, under penalties of perjury I declare that I have examined the above organization's return and accompanying schedules and statements, and to the best of my knowledge and belief, they are true, correct, and complete. This Paid Preparer declaration as based on all information of which I have any knowledge.
D.le CMdc 1 Oied5J f SSN at PTlN ER01. also ERO'S .I ..e r s tH 1D^ preen -ptored use Firm's name (or ELI Only byours it ana'e1Fe ). , raes,
Under pendties of perjury. I declare uhf I have a amine the above return and smomparryini; sdrotlules and stelemenh, and to the best of my knbwidge and belie. they are true. cortaG, aid compote. Dedere im of preparer is based on all informahon of which the prepanr fie. any knowidpe. Dete Cho* Preprees SSN or P71N Paid SigPg V Iifsei Preparer'S Fm's name (or Use Only yours if sel-amplny", addnsaf, and LP code
For Privacy Act and Paperwork Reduction Act Notice, aft back of form. Fmn 8453-EO (2007) JSA 7E1875 1 ODD 104000 1467 V07-8.7 9