Schedule J
(Form 990)
Department of the Treasury
Internal Revenue Service
Compensation Information
For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
SchJMediumBullet Complete if the organization answered "Yes" to Form 990,
Part IV, question 23.
SchJMediumBullet Attach to Form 990. SchJMediumBullet See separate instructions.
OMB No. 1545-0047
2012
Open to Public Inspection
Name of the organization
DUKE UNIVERSITY
 
Employer identification number

56-0532129
Part I
Questions Regarding Compensation
Yes
No
1a
Check the appropiate box(es) if the organization provided any of the following to or for a person listed in Form
990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.
b
If any of the boxes in line 1a are checked, did the organization follow a written policy regarding payment or reimbursement or provision of all of the expenses described above? If "No," complete Part III to explain....
1b
Yes
 
2
Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all officers,
directors, trustees, and the CEO/Executive Director, regarding the items checked in line 1a? .......
2
Yes
 
3
Indicate which, if any, of the following the filing organization used to establish the compensation of the
organization's CEO/Executive Director. Check all that apply. Do not check any boxes for methods
used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part III.
4
During the year, did any person listed in Form 990, Part VII, Section A, line 1a with respect to the filing organization or a related organization:
a
Receive a severance payment or change-of-control payment? ................
4a
 
No
b
Participate in, or receive payment from, a supplemental nonqualified retirement plan? .........
4b
Yes
 
c
Participate in, or receive payment from, an equity-based compensation arrangement? .........
4c
 
No
If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.
Only 501(c)(3) and 501(c)(4) organizations only must complete lines 5-9.
5
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the revenues of:
a
The organization? ...........................
5a
 
No
b
Any related organization? .........................
5b
 
No
If "Yes," to line 5a or 5b, describe in Part III.
6
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the net earnings of:
a
The organization? ...........................
6a
 
No
b
Any related organization? .........................
6b
 
No
If "Yes," to line 6a or 6b, describe in Part III.
7
For persons listed in Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixed
payments not described in lines 5 and 6? If "Yes," describe in Part III ............
7
 
No
8
Were any amounts reported in Form 990, Part VII, paid or accured pursuant to a contract that was
subject to the initial contract exception described in Regulations section 53.4958-4(a)(3)? If "Yes," describe
in Part III .............................
8
 
No
9
If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)? .........................
9
 
 
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50053T
Schedule J (Form 990) 2012
Page 2

Schedule J (Form 990) 2012
Page 2
Part II
Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees. Use duplicate copies if additional space is needed.
For each individual whose compensation must be reported in Schedule J, report compensation from the organization on row (i) and from related organizations, described in the
instructions, on row (ii). Do not list any individuals that are not listed on Form 990, Part VII.
Note. The sum of columns (B)(i)-(iii) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line 1a, applicable column (D) and (E) amounts for that individual.
(A) Name and Title (B) Breakdown of W-2 and/or 1099-MISC compensation (C) Retirement and other deferred compensation (D) Nontaxable
benefits		 (E) Total of columns
(B)(i)-(D) 		(F) Compensation
reported as deferred
in prior Form 990
(i) Base compensation (ii) Bonus & incentive compensation (iii) Other reportable compensation
(1)RICHARD H BRODHEADPRESIDENT/TRUSTEE (i)
(ii)		 817,140
0 		0
0 		220,299
0 		130,635
0 		65,169
0 		1,233,243
0 		100,000
0
(2)PAMELA J BERNARDVP & UNIVERSITY COUNSEL (i)
(ii)		 434,897
0 		0
0 		17,000
0 		30,635
0 		17,997
0 		500,529
0 		0
0
(3)VICTOR J DZAUCHANCELLOR HEALTH AFFAIRS (i)
(ii)		 1,064,538
0 		1,069,441
0 		12,262
0 		722,437
0 		21,274
0 		2,889,952
0 		0
0
(4)PETER LANGEPROVOST (i)
(ii)		 541,996
26,000 		0
0 		17,000
0 		30,635
0 		10,235
0 		599,866
26,000 		0
0
(5)RICHARD V RIDDELLVP & UNIVERSITY SECRETARY (i)
(ii)		 300,992
0 		0
0 		17,000
0 		30,635
0 		13,491
0 		362,118
0 		0
0
(6)TALLMAN TRASK IIIEXECUTIVE VICE PRESIDENT (i)
(ii)		 566,908
0 		0
0 		17,000
0 		30,635
0 		50,340
0 		664,883
0 		0
0
(7)NANCY C ANDREWSVICE CHAN OF ACADEMIC AFFAIRS (i)
(ii)		 499,856
0 		249,301
0 		40,487
0 		30,635
0 		18,918
0 		839,197
0 		0
0
(8)J SCOTT GIBSONEXEC VICE DEAN OF ADMIN, SOM (i)
(ii)		 371,972
0 		165,490
0 		17,000
0 		30,635
0 		21,207
0 		606,304
0 		0
0
(9)ALICE E GOULDINVESTMENT MANAGER (i)
(ii)		 325,000
0 		212,250
0 		113,850
0 		51,425
0 		1,001
0 		703,526
0 		113,850
0
(10)ANDERS W HALLINVESTMENT MANAGER (i)
(ii)		 302,730
0 		221,611
0 		200,500
0 		59,835
0 		13,854
0 		798,530
0 		183,500
0
(11)JOHN J NOONANASSOCIATE VP OF FACILITIES (i)
(ii)		 279,970
0 		170
0 		0
0 		30,635
0 		34,763
0 		345,538
0 		0
0
(12)LAURIE L PATTONDEAN, COLLEGE OF A & S (i)
(ii)		 343,338
0 		0
0 		17,000
0 		30,635
0 		6,164
0 		397,137
0 		0
0
(13)ERIC D PETERSONDIRECTOR, DCRI (i)
(ii)		 340,028
0 		26,200
0 		17,000
0 		30,635
0 		14,000
0 		427,863
0 		0
0
(14)JAMES S ROBERTSEXEC VICE-PROVOST FIN & ADMIN (i)
(ii)		 310,619
0 		14,800
0 		0
0 		30,635
0 		7,983
0 		364,037
0 		0
0
(15)NEAL F TRIPLETTCHIEF INVESTMENT OFFICER (i)
(ii)		 576,817
0 		636,740
0 		921,263
0 		198,861
0 		15,657
0 		2,349,338
0 		868,263
0
(16)DAVID N CUTCLIFFECOACH (i)
(ii)		 1,391,395
0 		375,000
0 		20,584
0 		30,635
0 		22,727
0 		1,840,341
0 		0
0
(17)MICHAEL B KASTANEXEC DIRECTOR, CANCER INSTITUTE (i)
(ii)		 678,014
0 		251,817
0 		0
0 		30,635
0 		13,928
0 		974,394
0 		0
0
(18)MICHAEL W KRZYZEWSKICOACH (i)
(ii)		 1,976,663
0 		2,007,000
0 		57,015
0 		1,982,757
0 		20,544
0 		6,043,979
0 		492,500
0
(19)RALPH SNYDERMANCHANCELLOR EMERITUS (i)
(ii)		 527,267
0 		0
0 		6,446,646
0 		30,635
0 		14,925
0 		7,019,473
0 		0
0
(20)KEVIN M WHITEVP & DIRECTOR OF ATHLETICS (i)
(ii)		 825,677
0 		0
0 		77,789
0 		30,635
0 		21,022
0 		955,123
0 		0
0
(21)ALVIN L CRUMBLISSFORMER KEY EMPLOYEE (i)
(ii)		 187,615
0 		0
0 		12,750
0 		24,431
0 		8,806
0 		233,602
0 		0
0
Schedule J (Form 990) 2012
Page 3

Schedule J (Form 990) 2012
Page 3
Part III
Supplemental Information
Complete this part to provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II.
Also complete this part for any additional information.
Identifier Return Reference Explanation
  PART I, LINE 1A CHARTER TRAVEL SCHEDULE J, PART 1, LINE 1A MICHAEL W. KRYZYZEWSKI HAS USED CHARTER TRAVEL SERVICES. TO THE EXTENT SUCH TRAVEL WAS NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN TAXABLE INCOME OF THE INDIVIDUAL. RICHARD H. BRODHEAD USED FIRST CLASS TRAVEL SERVICES. SUCH TRAVEL WAS FOR BUSINESS PURPOSES AND NOT INCLUDED IN TAXABLE INCOME TO THE INDIVIDUALS. TRAVEL FOR COMPANIONS SCHEDULE J, PART 1, LINE 1A COMPANIONS HAVE TRAVELED WITH MICHAEL W. KRZYZEWSKI, DAVID CUTCLIFFE, AND KEVIN WHITE. TO THE EXTENT IT WAS PERSONAL IN NATURE, SUCH AMOUNTS WERE INCLUDED IN THEIR TAXABLE INCOME. TAX INDEMNIFICATION SCHEDULE J, PART 1, LINE 1A RICHARD H. BRODHEAD, MICHAEL W. KRZYZEWSKI, VICTOR J. DZAU, AND KEVIN M. WHITE RECEIVED SOME BENEFIT THAT WAS GROSSED UP TO COMPENSATE FOR WITHHOLDING OF TAXES. RESIDENCE FOR PERSONAL USE SCHEDULE J, PART 1, LINE 1A RICHARD H. BRODHEAD WAS PROVIDED WITH ON CAMPUS LIVING FACILITIES AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY. ACCORDINGLY, SUCH LODGING IS NOT INCLUDED IN TAXABLE INCOME. PERSONAL SERVICES SCHEDULE J, PART 1, LINE 1A THE UNIVERSITY PROVIDES HOUSEKEEPING SERVICES TO MAINTAIN ALL UNIVERSITY FACILITIES, INCLUDING THE FACILITY USED BY THE UNIVERSITY'S PRESIDENT. IN ADDITION TO PROVIDING A PERSONAL RESIDENCE THAT IS FOR THE CONVENIENCE OF THE UNIVERSITY, THIS FACILITY IS USED THROUGHOUT THE YEAR FOR NUMEROUS DUKE RELATED FUNCTIONS. RICHARD H. BRODHEAD WAS PROVIDED WITH PERSONAL FINANCIAL SERVICES. TO THE EXTENT SUCH SERVICES WERE NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN THE TAXABLE INCOME OF THIS INDIVIDUAL. CLUB DUES SCHEDULE J, PART 1, LINE 1A DAVID N. CUTCLIFFE AND J. SCOTT GIBSON WERE PROVIDED WITH CLUB MEMBERSHIPS. TO THE EXTENT THE DUES WERE CONSIDERED PERSONAL, THE AMOUNTS WERE INCLUDED IN TAXABLE INCOME. DUKE POLICY GOVERNS THE NATURE AND TYPE OF ALLOWABLE EXPENDITURES AND PAYMENTS, INCLUDING REQUIREMENTS TO PROVIDE SUPPORTING DOCUMENTATION DETAILING THE TRANSACTION AND BUSINESS PURPOSE. ANY APPROVED EXCEPTIONS TO POLICY ARE DOCUMENTED IN CORRESPONDENCE OR EMPLOYMENT AGREEMENTS.
  PART I, LINE 4B SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN SCHEDULE J, PART 1, LINE 4B THE FOLLOWING INDIVIDUALS PARTICIPATED IN AND RECEIVED PAYMENTS UNDER A DEFERRED COMPENSATION PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE: NEAL F. TRIPLETT $904,263, ANDERS W. HALL $183,500, ALICE E. GOULD $113,850, RALPH SYNDERMAN $6,441,836, RICHARD BRODHEAD $200,000, SUCH AMOUNTS WERE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE AS DEFINED UNDER IRC SECTION 457(F). VICTOR J. DZAU MD PARTICIPATES IN A PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE, HOWEVER HE DID NOT RECEIVE ANY PAYMENTS DURING THE REPORTING PERIOD.
Schedule J (Form 990) 2012

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