Schedule K
(Form 990)
Department of the Treasury
Internal Revenue Service
Supplemental Information on Tax Exempt Bonds
SchKMediumBullet Complete if the organization answered "Yes" to Form 990, Part IV, line 24a. Provide descriptions,
explanations, and any additional information in Part VI.
SchKMediumBullet Attach to Form 990. SchKMediumBullet See separate instructions.
OMB No. 1545-0047
2012
Open to Public
Inspection
Name of the organization
NEW YORK UNIVERSITY
 
Employer identification number
13-5562308
Part I
Bond Issues
(a) Issuer name (b) Issuer EIN (c) CUSIP # (d) Date issued (e) Issue price (f) Description of purpose (g) Defeased (h) On
behalf of
issuer 		(i) Pool
financing
Yes No Yes No Yes No
A DORMITORY AUTHORITY OF THE STATE OF NEW YORK
  		14-6000293 64983TF24 09-09-2004 154,646,150 SEE SUPPLEMENTAL INFORMATION   X   X   X
B DORMITORY AUTHORITY OF THE STATE OF NEW YORK
  		14-6000293 649903QP9 07-12-2007 129,995,163 SEE SUPPLEMENTAL INFORMATION   X   X   X
C DORMITORY AUTHORITY OF THE STATE OF NEW YORK
  		14-6000293 649903U66 07-18-2008 616,076,776 SEE SUPPLEMENTAL INFORMATION   X   X   X
D DORMITORY AUTHORITY OF THE STATE OF NEW YORK
  		14-6000293 649905VF0 12-10-2009 419,957,678 SEE SUPPLEMENTAL INFORMATION   X   X   X
Part II
Proceeds
A B C D
1 Amount of bonds retired . . . . . . . . . . . . . . 98,525,000   17,570,000  
2 Amount of bonds legally defeased . . . . . . . . . . .        
3 Total proceeds of issue . . . . . . . . . . . . . . 172,937,356 138,200,204 618,722,218 420,550,212
4 Gross proceeds in reserve funds . . . . . . . . . . . .        
5 Capitalized interest from proceeds . . . . . . . . . . . 13,075,261 13,768,830 28,000,894  
6 Proceeds in refunding escrows . . . . . . . . . . . . 98,525,000   98,525,000  
7 Issuance costs from proceeds . . . . . . . . . . . . 1,126,137 1,043,964 3,966,386 2,518,568
8 Credit enhancement from proceeds . . . . . . . . . . . 1,604,166 970,225    
9 Working capital expenditures from proceeds . . . . . . . . .        
10 Capital expenditures from proceeds . . . . . . . . . . . 155,744,844 116,684,628 484,039,612 364,668,794
11 Other spent proceeds . . . . . . . . . . . . . . 1,386,949 977,182 4,190,326 3,356,478
12 Other unspent proceeds . . . . . . . . . . . . . . 4,755,374 4,755,374   50,006,372
13 Year of substantial completion . . . . . . . . . . . . 2010 2010 2009
Yes No Yes No Yes No Yes No
14 Were the bonds issued as part of a current refunding issue? . . . . .   X   X X     X
15 Were the bonds issued as part of an advance refunding issue? . . . . .   X   X   X   X
16 Has the final allocation of proceeds been made? . . . . . . . . X     X X     X
17 Does the organization maintain adequate books and records to support the final allocation of proceeds? . . . . . . . . . . . . . . X   X   X   X  
Part III
Private Business Use
A B C D
Yes No Yes No Yes No Yes No
1 Was the organization a partner in a partnership, or a member of an LLC, which owned property financed by tax-exempt bonds? . . . . . . .   X   X   X   X
2 Are there any lease arrangements that may result in private business use of bond-financed property? . . . . . . . . . X   X   X   X  
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50193E
Schedule K (Form 990) 2012
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Schedule K (Form 990) 2012
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Part III
Private Business Use (Continued)
A B C D
Yes No Yes No Yes No Yes No
3a Are there any management or service contracts that may result in private business use of bond-financed property? . . . . . . . . . . . . X   X   X   X  
b If "Yes" to line 3a, does the organization routinely engage bond counsel or other outside counsel to review any management or service contracts relating to the financed property? . . . . . . . . . . . . . . . . X   X   X   X  
c Are there any research agreements that may result in private business use of bond-financed property? . . . . . . . . . . . . . . . X   X   X   X  
d If "Yes" to line 3c, does the organization routinely engage bond counsel or other outside counsel to review any research agreements relating to the financed property? .   X   X   X   X
4 Enter the percentage of financed property used in a private business use by entities other than a section 501(c)(3) organization or a state or local government . . SchKMediumBullet 0% 0% 0% 0%
5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 501(c)(3) organization, or a state or local government . . . . . . . SchKMediumBullet 0% 0% 0% 0.00000%
6 Total of lines 4 and 5 . . . . . . . . . . . . . . . 0% 0% 0% 0%
7 Does the bond issue meet the private security or payment test? . . . . .   X   X   X   X
8a Has there been a sale or disposition of any of the bond financed property to a nongovernmental person other than a 501(c)(3) organization since the bonds were issued?. . . . . . . . . . . . . . . . . X     X   X   X
b If “Yes” to line 8a, enter the percentage of bond-financed property sold or disposed of. 0%   %   %   %
c If “Yes” to line 8a, was any remedial action taken pursuant to Regulations sections 1.141-12 and 1.145-2? . . . . . . . . . . . . .   X            
9 Has the organization established written procedures to ensure that all nonqualified bonds of the issue are remediated in accordance with the requirements under
Regulations sections 1.141-12 and 1.145-2?
X   X   X   X  
Part IV
Arbitrage
A B C D
Yes No Yes No Yes No Yes No
1 Has the issuer filed Form 8038-T? . . . . .   X   X   X   X
2 If "No" to line 1, did the following apply? . . . .
a Rebate not due yet? . . . . . . . .   X   X   X   X
b Exception to rebate? . . . . . . . .   X   X X     X
c No rebate due? . . . . . . . . . .
X   X     X X  
If you checked "No rebate due" in line 2c, provide in Part VI the date the rebate computation was performed
3 Is the bond issue a variable rate issue? . . . . X     X   X   X
4a Has the organization or the governmental issuer entered into a qualified hedge with respect to the bond issue?   X   X   X   X
b Name of provider . . . . . . . . .  
  		 
  		 
  		 
 
c Term of hedge . . . . . . . . . .        
d Was the hedge superintegrated? . . . . . .                
e Was a hedge terminated? . . . . . . .                
Schedule K (Form 990) 2012
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Schedule K (Form 990) 2012
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Part IV
Arbitrage (Continued)
A B C D
Yes No Yes No Yes No Yes No
5a Were gross proceeds invested in a guaranteed investment contract (GIC)? . . . . . . . . .   X   X   X   X
b Name of provider . . . . . . . . .  
  		 
  		 
  		 
 
c Term of GIC . . . . . . . . . .        
d Was the regulatory safe harbor for establishing the fair market value of the GIC satisfied? . . . . .                
6 Were any gross proceeds invested beyond an available temporary period? . . . . . . . . X   X     X X  
7 Has the organization established written procedures to monitor the requirements of section 148? . . . X   X   X   X  
Part V
Procedures To Undertake Corrective Action
A B C D
Yes No Yes No Yes No Yes No
1 Has the organization established written procedures to ensure that violations of federal tax requirements are timely identified and corrected through the voluntary closing agreement program if self-remediation is not available under applicable regulations? X   X   X   X  
Part VI
Supplemental Information. Complete this part to provide additional information for responses to questions on Schedule K (see instructions).
Identifier Return Reference Explanation
SCHEDULE K PART IV, ARBITRAGE, LINE 2C DATE REBATE COMPUTATION PERFORMED ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK DATE THE REBATE COMPUTATION WAS PERFORMED: 09/09/2012 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK DATE THE REBATE COMPUTATION WAS PERFORMED: 08/31/2010 ISSUER NAME: DORMITORY AUTHORITY OF THE STATE OF NEW YORK DATE THE REBATE COMPUTATION WAS PERFORMED: 06/30/2011
PART I (F) - DESCRIPTION OF PURPOSE BOND NUMBER 1 (CUSIP # 64983TF24): TO: (I) PAY THE COSTS OF THE 2004 PROJECT, CONSISTING OF THE FINANCING OR REIMBURSEMENT OF THE COSTS OF ACQUISITION, CONSTRUCTION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING TO PROJECTS AT VARIOUS CAMPUS LOCATIONS OF THE UNIVERSITY, (II) PAY CAPITALIZED INTEREST AND CAPITALIZED BROKER-DEALER FEES ON THE SERIES 2004 BONDS AND (III) PAY THE COSTS OF ISSUANCE OF THE SERIES 2004 BONDS.
  BOND NUMBER 2 (CUSIP # 649903QP9): TO: (I) PAY THE COSTS OF THE 2007A PROJECT, CONSISTING OF THE FINANCING OR REIMBURSEMENT OF THE COSTS OF ACQUISITION, CONSTRUCTION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING TO PROJECTS AT VARIOUS CAMPUS LOCATIONS OF THE UNIVERSITY, (II) PAY CAPITALIZED INTEREST ON THE SERIES 2007A BONDS, AND (III) PAY THE COSTS OF ISSUANCE OF THE SERIES 2007A BONDS.
  BOND NUMBER 3 (CUSIP # 649903U66): TO: (I) PAY THE COSTS OF THE 2008 PROJECT, CONSISTING OF THE FINANCING OR REIMBURSEMENT OF THE COSTS OF ACQUISITION, CONSTRUCTION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING TO PROJECTS AT VARIOUS CAMPUS LOCATIONS OF THE UNIVERSITY (II) REPAY A LINE OF CREDIT USED TO CURRENT REFUND THE DORMITORY AUTHORITY OF THE STATE OF NEW YORK, NEW YORK UNIVERSITY INSURED REVENUE BONDS, SERIES 2004B1 AND SERIES 2004B2 ISSUED ON 9/9/2004 (III) PAY CAPITALIZED INTEREST ON THE SERIES 2008 BONDS AND (IV) PAY THE COSTS OF ISSUANCE OF THE SERIES 2008 BONDS.
  BOND NUMBER 4 (CUSIP # 649905VF0): TO (I) PAY THE COSTS OF THE 2009 PROJECT, CONSISTING OF THE FINANCING, REIMBURSEMENT OF THE COSTS OF CONSTRUCTION, ACQUISITION, CAPITAL IMPROVEMENTS AND EQUIPMENT RELATING TO PROJECTS AT VARIOUS CAMPUS LOCATIONS OF THE UNIVERSITY AND (II) PAY THE COSTS OF ISSUANCE OF THE SERIES 2009A BONDS.
  BOND NUMBER 5 (CUSIP # 649905WC6): TO (I) REPAY A LINE OF CREDIT USED TO REPAY TAXABLE INDEBTEDNESS INCURRED IN CONNECTION WITH A FACILITY FOR THE SCHOOL OF MEDICINE, AND (II) PAY THE COST OF ISSUANCE OF THE 2009B BONDS.
  BOND NUMBER 6 (CUSIP # 649906TN4): TO (I) PAY, OR REIMBURSE THE UNIVERSITY FOR THE PAYMENT OF, COSTS OF THE 2012A PROJECT, (II) REFUND OR REIMBURSE THE UNIVERSITY FOR THE REFUNDING OF ALL OR A PORTION OF THE NEW YORK CITY INDUSTRIAL DEVELOPMENT AGENCY CIVIC FACILITY REVENUE BONDS, SERIES 2001 AND THE AUTHORITY'S NEW YORK UNIVERSITY INSURED REVENUE BONDS, 2001 SERIES 2, (III) REPAY A LINE OF CREDIT THAT WAS USED TO PAY THE AUTHORITY'S NEW YORK UNIVERSITY INSURED REVENUE BONDS, SERIES 2003B, AND (IV) PAY CERTAIN COSTS OF ISSUANCE OF THE SERIES 2012A BONDS.
  BOND NUMBER 7 (CUSIP # 649906VS0): TO (I) FINANCE OR REFINANCE THE COST OF THE ACQUISITION, CONSTRUCTION, FURNISHING AND EQUIPPING OF THE SERIES 2012 PROJECT AND (II) TO PAY CERTAIN COSTS OF ISSUANCE OF THE SERIES 2012 BONDS.
PART III - "PRIVATE BUSINESS USE;" BONDS NUMBER 1, 2, 3, 4, 5 & 6; LINE 3C:   NEW YORK UNIVERSITY (THE "UNIVERSITY") OBTAINED A PRIVATE LETTER RULING IN 2001 REGARDING RESEARCH AGREEMENTS AND USES THE GUIDANCE IT OBTAINED TO MEASURE THE PERCENTAGE OF FINANCED PROPERTY TREATED AS USED IN A PRIVATE BUSINESS USE. THE UNIVERSITY IS ALLOCATING EQUITY ON A PRO-RATA BASIS FOR PURPOSES OF THIS TAX YEAR'S FORM 990, BUT THIS ALLOCATION DOES NOT PRECLUDE THE UNIVERSITY'S ABILITY TO USE OTHER EQUITY ALLOCATION METHODS IN THE FUTURE.
PART IV - "ARBITRAGE;" BONDS NUMBER 1 & 3; LINE 2:   THE SERIES 2004 BONDS ISSUED IN VARIABLE RATE FORM WERE REPAID WITH FUNDS DRAWN UNDER A LINE OF CREDIT IN 2008 AND THE LINE OF CREDIT WAS THEN REFINANCED BY THE 2008 SERIES BONDS. THE SERIES 2004 BONDS ISSUED IN FIXED RATE FORM WERE NOT REFINANCED AND ARE CURRENTLY OUTSTANDING.
PART III, PRIVATE BUSINESS USE, LINE 8A, LINE 8C BOND NUMBER 1 (CUSIP # 64983TF24): A REQUEST FOR RELIEF WAS FILED WITH THE SERVICE THROUGH THE VOLUNTARY CLOSING AGREEMENT PROGRAM (VCAP) ON JUNE 20, 2014 WITH RESPECT TO THE DISPOSITION OF THE BOND-FINANCED PROPERTY. BOND NUMBER 3 (CUSIP # 649903U66): THE 2008 BONDS WERE ISSUED, IN PART, TO CURRENT REFUND THE 2004 BONDS. A PORTION OF THE 2004 BONDS WAS ALLOCATED TO A PROJECT THAT WAS LATER SOLD. THE PORTION OF THE 2008 BONDS ALLOCABLE TO THE DISPOSED BOND-FINANCED PROPERTY IS 0.00614%. A REQUEST FOR RELIEF WAS FILED WITH THE SERVICE THROUGH THE VOLUNTARY CLOSING AGREEMENT PROGRAM (VCAP) ON JUNE 20, 2014 WITH RESPECT TO THE DISPOSITION OF THE BOND-FINANCED PROPERTY.
Schedule K (Form 990) 2012

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