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ObjectId: 201531919349300013 - Submission: 2015-07-10
TIN: 13-5562308
Schedule J
(Form 990)
Department of the Treasury
Internal Revenue Service
Compensation Information
For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
Complete if the organization answered "Yes" to Form 990, Part IV, line 23.
Attach to Form 990.
See separate instructions.
Information about Schedule J (Form 990) and its instructions is at
www.irs.gov/form990
.
OMB No. 1545-0047
20
13
Open to Public Inspection
Name of the organization
NEW YORK UNIVERSITY
Employer identification number
13-5562308
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.
First-class or charter travel
Housing allowance or residence for personal use
Travel for companions
Payments for business use of personal residence
Tax idemnification and gross-up payments
Health or social club dues or initiation fees
Discretionary spending account
Personal services (e.g., maid, chauffeur, chef)
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
directors, trustees, officers, including 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.
Compensation committee
Written employment contract
Independent compensation consultant
Compensation survey or study
Form 990 of other organizations
Approval by the board or compensation committee
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
Yes
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
Yes
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) 2013
Page 2
Schedule J (Form 990) 2013
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
JOHN E SEXTON
UNIVERSITY PRESIDENT
(i)
(ii)
1,242,636
0
0
0
106,584
0
100,200
0
103,772
0
1,553,192
0
0
0
2
DAVID W MCLAUGHLIN
PROVOST
(i)
(ii)
647,353
0
0
0
0
0
25,500
0
17,186
0
690,039
0
0
0
3
ROBERT BERNE
SVP. FOR HEALTH
(i)
(ii)
1,356,106
0
0
0
0
0
25,500
0
13,949
0
1,395,555
0
0
0
4
BONNIE BRIER
GEN.COUNSEL & SECRETARY
(i)
(ii)
603,234
0
65,504
0
0
0
25,500
0
13,922
0
708,160
0
0
0
5
MARTIN DORPH
EVP, FINANCE & IT
(i)
(ii)
615,841
0
0
0
19,738
0
25,500
0
19,898
0
680,977
0
0
0
6
THOMAS J CAREW
DEAN OF FAS
(i)
(ii)
559,059
0
0
0
0
0
25,500
0
13,922
0
598,481
0
0
0
7
ANDREW BROTMAN
SVP. & VICE DEAN
(i)
(ii)
519,923
519,923
365,311
365,311
2,505
2,505
12,750
12,750
0
0
900,489
900,489
0
0
8
ROBERT GROSSMAN
EX-OFFICIO, DEAN & CEO
(i)
(ii)
1,112,443
1,112,443
816,553
816,553
434,589
434,589
350,485
350,485
8,507
8,507
2,722,577
2,722,577
238,392
238,392
9
ALISON LEARY
EVP. FOR OPERATIONS
(i)
(ii)
521,982
0
0
0
0
0
25,500
0
18,986
0
566,468
0
0
0
10
STEPHANIE PIANKA
TREASURER
(i)
(ii)
327,788
0
26,160
0
0
0
19,265
0
7,430
0
380,643
0
0
0
11
TINA SURH
CHIEF INV. OFFICER
(i)
(ii)
613,262
0
246,705
0
0
0
25,500
0
146
0
885,613
0
0
0
12
DEBRA LAMORTE
SVP. FOR DEVELOPMENT
(i)
(ii)
542,761
0
66,706
0
0
0
25,500
0
1,360
0
636,327
0
0
0
13
LINDA MILLS
VC. GLOBAL PROGRAMS
(i)
(ii)
637,706
0
0
0
0
0
25,500
0
19,898
0
683,104
0
0
0
14
MARILYN MCMILLAN
VP. FOR IT
(i)
(ii)
352,370
0
27,221
0
0
0
25,500
0
7,430
0
412,521
0
0
0
15
ANTHONY K FREMPONG-BOADU
DR. DIVISION OF SPINAL NEU
(i)
(ii)
3,505,551
0
14,199
0
0
0
26,381
0
25,520
0
3,571,651
0
0
0
16
JAMES A GRIFO MD PHD
PROF. OF OBSTETRICS AND GY
(i)
(ii)
1,574,933
0
1,006,483
0
0
0
23,055
0
25,520
0
2,629,991
0
0
0
17
JOHN G GOLFINOS
CHAIR OF NEUROSURGERY
(i)
(ii)
2,303,857
197,616
20,860
1,789
138,150
11,850
30,596
2,624
25,105
2,153
2,518,568
216,032
0
0
18
JOHN BENDO
VICE CHAIR CLINICAL AFFAIRS
(i)
(ii)
3,570,770
52,906
12,853
190
0
0
20,916
310
27,396
406
3,631,935
53,812
0
0
19
RONNIE HERSHMAN
CLINICAL INSTRUCTOR DEPARTMENT OF ME
(i)
(ii)
3,791,818
0
0
0
0
0
32,755
0
27,627
0
3,852,200
0
0
0
20
MICHAEL ALFANO
FORMER EXECUTIVE VP
(i)
(ii)
534,774
0
154,000
0
0
0
25,500
0
12,550
0
726,824
0
33,000
0
21
JESS BENHABIB
FORMER DEAN FAS
(i)
(ii)
388,884
0
0
0
17,400
0
25,500
0
13,922
0
445,706
0
0
0
Schedule J (Form 990) 2013
Page 3
Schedule J (Form 990) 2013
Page
3
Part III
Supplemental Information
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.
Return Reference
Explanation
PART I, LINE 1A
ONE OFFICER RECEIVED REIMBURSEMENT FOR ACCOUNTING, FINANCIAL PLANNING AND LEGAL EXPENSES. ONE OFFICER AND KEY EMPLOYEE TRAVELED FIRST CLASS. ONE OFFICER AND KEY EMPLOYEE RECEIVED A TAX GROSS-UP PAYMENT. ONE OFFICER AND ONE KEY EMPLOYEE RECEIVED UNIVERSITY HOUSING WITHOUT CHARGE. IN ONE CASE, THE HOUSING QUALIFIED FOR EXCLUSION FROM TAX UNDER IRC 119. IN THE OTHER, INCOME IN ITS ENTIRETY, WAS IMPUTED. ONE KEY EMPLOYEE HAD A CAR AND DRIVER AVAILABLE FOR USE, AND INCOME WAS IMPUTED ON THE PERSONAL USE OF THE VEHICLE AND DRIVER.
PART I, LINE 4B
ROBERT GROSSMAN, MD - DEAN OF NYU SCHOOL OF MEDICINE- PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN (SERP) DURING CALENDAR YEAR 2013. THE EMPLOYER CONTRIBUTION TO THIS PLAN WAS $675,469 FOR CALENDAR YEAR 2013. THIS AMOUNT IS REPORTED AS A SHARED COST BETWEEN NYU HOSPITALS CENTER AND NYU SCHOOL OF MEDICINE. THE SUPPLEMENTAL SERP CONTRIBUTIONS WERE MADE PURSUANT TO A NEGOTIATED AGREEMENT WITH DR. GROSSMAN. PRESIDENT SEXTON IS ENTITLED TO RECEIVE A LENGTH OF SERVICE BONUS ON JANUARY 15TH, 2015, SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE, EQUAL TO $77,200 TIMES THE NUMBER OF YEARS HE HAS SERVED AS A FULL-TIME MEMBER OF THE NYU SCHOOL OF LAW (INCLUDING HIS SERVICES AS DEAN OF THE SCHOOL OF LAW AND AS PRESIDENT OF THE UNIVERSITY). THE $77,200 ALLOCABLE TO CALENDAR YEAR 2013 IS INCLUDED IN PART II, ABOVE, IN COLUMN C. IN ADDITION, COMMENCING ON SEPTEMBER 1, 2011, SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE, PRESIDENT SEXTON WILL BE ENTITLED TO RECEIVE PAYMENTS FOR THE REMAINDER OF HIS LIFE (THE "SERP ANNUAL PAYMENTS")EQUAL TO $800,000 PER YEAR, ADJUSTED BY THE LOCAL CONSUMER PRICE INDEX SINCE SEPTEMBER 1, 2008, REDUCED BY RETIREMENT BENEFITS OTHERWISE PROVIDED BY THE UNIVERSITY. THE OBLIGATION TO MAKE SERP ANNUAL PAYMENTS HAS BEEN PREVIOUSLY DESCRIBED ON THE UNIVERSITY'S FORMS 990. PRESIDENT SEXTON'S SALARY- WHILE PRESIDENT, AND THROUGH THE SABBATICAL FOLLOWING HIS PRESIDENCY- IS REDUCED BY THE SERP ANNUAL PAYMENTS. EXECUTIVE VICE PRESIDENT ALFANO RECEIVED A LENGTH OF SERVICE BONUS IN THE AMOUNT OF $154,000 ON JANUARY 15TH, 2013. THE BONUS WAS EQUAL TO $11,000 TIMES THE NUMBER OF YEARS HE SERVED AS A FULL-TIME MEMBER OF THE NYU COLLEGE OF DENTISTRY (INCLUDING HIS SERVICES AS DEAN OF THE NYU COLLEGE OF DENTISTRY, A MEMBER OF THE FACULTY OF THE NYU COLLEGE OF DENTISTRY, AND/OR EVP OF NYU). THE $154,000 IS INCLUDED IN PART II ABOVE, IN COLUMN (B)(II). PREVIOUSLY REPORTED DEFERRED COMPENSATION OF $33,000 IS INCLUDED ON PART II ABOVE, IN COLUMN (F).
PART I, LINE 5
ONE HIGHEST COMPENSATED EMPLOYEE RECEIVED COMPENSATION OVER A BASE SALARY BASED ON THE SURPLUS OF REVENUES AFTER EXPENSES FOR THE IVF FACULTY PRACTICE GROUP.
PART I, LINE 7
TWO KEY EMPLOYEES RECEIVED COMPENSATION OVER BASE SALARY INCLUDING THE BONUS DETERMINED BY THE ORGANIZATION'S COMPENSATION COMMITTEE, DETERMINED AS REASONABLE.
Schedule J (Form 990) 2013
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