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ObjectId: 201841359349303859 - Submission: 2018-05-15
TIN: 13-5598093
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" on Form 990, Part IV, line 23.
Attach to Form 990.
Information about Schedule J (Form 990) and its instructions is at
www.irs.gov/form990
.
OMB No. 1545-0047
20
16
Open to Public Inspection
Name of the organization
THE TRUSTEES OF COLUMBIA UNIVERSITY
IN THE CITY OF NEW YORK
Employer identification number
13-5598093
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 on 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 on 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
No
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), 501(c)(4), and 501(c)(29) organizations must complete lines 5-9.
5
For persons listed on 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," on line 5a or 5b, describe in Part III.
6
For persons listed on 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," on line 6a or 6b, describe in Part III.
7
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization provide any nonfixed
payments not described in lines 5 and 6? If "Yes," describe in Part III
............
7
Yes
8
Were any amounts reported on 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" on 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) 2016
Page 2
Schedule J (Form 990) 2016
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 on 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 in column (B) reported as deferred on prior Form 990
(i)
Base
compensation
(ii)
Bonus & incentive
compensation
(iii)
Other
reportable compensation
1
LEE C BOLLINGER
PRESIDENT
(i)
(ii)
1,371,910
-------------
0
700,000
-------------
0
1,433,431
-------------
0
27,200
-------------
0
422,620
-------------
0
3,955,161
-------------
0
0
-------------
0
2
JANE E BOOTH
GENERAL COUNSEL
(i)
(ii)
646,593
-------------
0
0
-------------
0
0
-------------
0
27,200
-------------
0
9,168
-------------
0
682,961
-------------
0
0
-------------
0
3
JOHN COATSWORTH
PROVOST
(i)
(ii)
726,061
-------------
0
0
-------------
0
41,146
-------------
0
27,200
-------------
0
19,914
-------------
0
814,321
-------------
0
0
-------------
0
4
JEROME DAVIS
SECRETARY
(i)
(ii)
404,476
-------------
0
0
-------------
0
-------------
0
27,200
-------------
0
13,566
-------------
0
445,242
-------------
0
0
-------------
0
5
DAVID MADIGAN
EXEC VP - ARTS & SCIENCES
(i)
(ii)
503,551
-------------
0
0
-------------
0
42,710
-------------
0
27,200
-------------
0
106,079
-------------
0
679,540
-------------
0
0
-------------
0
6
ANNE R SULLIVAN
EXECUTIVE VP FOR FINANCE & IT
(i)
(ii)
707,562
-------------
0
0
-------------
0
0
-------------
0
27,200
-------------
0
36,275
-------------
0
771,037
-------------
0
0
-------------
0
7
GERALD M ROSBERG
SR EXEC VP (AS OF 7/1/2016)
(i)
(ii)
371,149
-------------
0
0
-------------
0
0
-------------
0
23,785
-------------
0
9,143
-------------
0
404,077
-------------
0
0
-------------
0
8
LEE GOLDMAN
EXEC VP FOR HEALTH SCIENCES
(i)
(ii)
1,097,031
-------------
0
226,127
-------------
0
292,528
-------------
0
502,400
-------------
0
9,168
-------------
0
2,127,254
-------------
0
0
-------------
0
9
PETER HOLLAND
CEO & EXEC VP OF INV MGMT
(i)
(ii)
874,838
-------------
0
3,226,944
-------------
0
0
-------------
0
2,541,316
-------------
0
66,327
-------------
0
6,709,425
-------------
0
2,988,222
-------------
0
10
NIRMAL NARVEKAR
PRES INV MGMT THROUGH 11/16/16
(i)
(ii)
834,642
-------------
0
3,423,635
-------------
0
0
-------------
0
27,200
-------------
0
24,744
-------------
0
4,310,221
-------------
0
3,324,917
-------------
0
11
AMELIA ALVERSON
EXEC VP - UNIV DVLP&ALUM RLTS
(i)
(ii)
712,763
-------------
0
0
-------------
0
0
-------------
0
27,200
-------------
0
11,457
-------------
0
751,420
-------------
0
0
-------------
0
12
DAVID GREENBERG
EXEC VP FACILITIES
(i)
(ii)
502,140
-------------
0
0
-------------
0
0
-------------
0
27,200
-------------
0
18,565
-------------
0
547,905
-------------
0
0
-------------
0
13
DAVID N SILVERS
CLINICAL PROFESSOR
(i)
(ii)
2,998,368
-------------
0
1,647,932
-------------
0
0
-------------
0
37,142
-------------
0
8,184
-------------
0
4,691,626
-------------
0
0
-------------
0
14
JEFFREY W MOSES
PROFESSOR OF MEDICINE
(i)
(ii)
2,337,892
-------------
0
0
-------------
0
0
-------------
0
7,825
-------------
0
25,979
-------------
0
2,371,696
-------------
0
0
-------------
0
15
LAWRENCE GERALD LENKE
PROFESSOR OF SURGERY
(i)
(ii)
4,005,572
-------------
0
0
-------------
0
0
-------------
0
30,096
-------------
0
21,811
-------------
0
4,057,479
-------------
0
0
-------------
0
16
KIEHYUN DANIEL RIEW
PROFESSOR OF SURGERY
(i)
(ii)
2,749,568
-------------
0
0
-------------
0
0
-------------
0
30,088
-------------
0
26,511
-------------
0
2,806,167
-------------
0
0
-------------
0
17
ELIZABETH A WAGNER
MANAGING DIRECTOR, IMC
(i)
(ii)
595,495
-------------
0
2,853,935
-------------
0
0
-------------
0
27,200
-------------
0
25,394
-------------
0
3,502,024
-------------
0
0
-------------
0
Schedule J (Form 990) 2016
Page 3
Schedule J (Form 990) 2016
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
SUPPLEMENTAL COMPENSATION INFORMATION
NOTES TO PART I, LINE 1A FIRST CLASS OR CHARTER TRAVEL IN LIMITED CIRCUMSTANCES, CERTAIN INDIVIDUALS MAY TRAVEL FIRST CLASS WHEN THE TRAVEL IS SUBSTANTIATED AS A REASONABLE EXPENSE TO SUPPORT THE MISSION OF THE UNIVERSITY. ANY FIRST CLASS EXCEPTIONS TO THE UNIVERSITY'S POLICY ARE SUBJECT TO REVIEW AND APPROVAL. TRAVEL FOR COMPANIONS IN CERTAIN CIRCUMSTANCES, THE SPOUSE OF THE PRESIDENT OR OF ANOTHER OFFICER OR KEY EMPLOYEE MAY TRAVEL FOR UNIVERSITY PURPOSES. EXAMPLES OF SUCH TRAVEL INCLUDE ATTENDANCE AT FUNDRAISING OR ALUMNI EVENTS, AS WELL AS REPRESENTING THE UNIVERSITY AT AWARDS PRESENTATIONS OR OTHER CEREMONIES OR EVENTS. IN ACCORDANCE WITH APPLICABLE LEGAL STANDARDS, THE UNIVERSITY WILL PAY FOR SPOUSAL TRAVEL AS A REGULAR BUSINESS EXPENSE IF THE SPOUSAL TRAVEL SERVES A "BONA FIDE BUSINESS PURPOSE" OF THE UNIVERSITY. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS AS APPROVED BY THE BOARD OF TRUSTEES, THE UNIVERSITY PAID CERTAIN MEDICAL, DENTAL AND DISABILITY INSURANCE PREMIUMS ON THE PRESIDENT'S BEHALF, INCLUDING A TAX GROSS-UP ON THOSE AMOUNTS. THE TOTAL AMOUNT FOR PREMIUMS, FEES AND THE TAXES THEREON OF $32,311 IS SHOWN IN COLUMN (B)(III) AS OTHER REPORTABLE COMPENSATION. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE/PERSONAL SERVICES AS A CONDITION OF EMPLOYMENT, THE PRESIDENT IS REQUIRED TO LIVE IN A HOME ON THE UNIVERSITY'S CAMPUS WHICH IS FURNISHED AND MAINTAINED AT THE UNIVERSITY'S EXPENSE. THE PRESIDENT'S HOUSING HAS BEEN VALUED AT $396,802 AND IS REPORTED AS A NON-TAXABLE BENEFIT. THE UNIVERSITY ALSO PROVIDES A CAR AND DRIVER TO BE USED BY THE PRESIDENT IN CONNECTION WITH HIS DUTIES. THE PRESIDENT IS RESPONSIBLE FOR ANY PERSONAL USE OF THE HOUSEHOLD STAFF OR CAR AND DRIVER AND OTHER PERSONAL EXPENSES. PERSONAL SERVICES OTHER REPORTABLE COMPENSATION INCLUDES $4,928 IMPUTED TO DR. GOLDMAN WITH RESPECT TO PERSONAL USE OF A CAR AND DRIVER PROVIDED BY THE UNIVERSITY (SEE PART I, COLUMN (B)(III)). NOTE TO PART I, LINE 5A DR. DAVID SILVERS' COMPENSATION IS COMPRISED OF BASE COMPENSATION AND INCENTIVE COMPENSATION DETERMINED FROM HIS PERFORMANCE OF, AND REVENUES FROM, CLINICAL DUTIES IN THE UNIVERSITY'S DERMATOPATHOLOGY PRACTICE WHERE HE IS THE DIRECTOR, AND IS SUBJECT TO A CAP FOR EACH ACADEMIC YEAR. NOTE TO PART I, LINE 7 NOTE TO N.P. NARVEKAR AND PETER HOLLAND'S COMPENSATION THE ACTUAL AMOUNT EARNED DURING THE REPORTING PERIOD WAS $985,304 FOR MR. NARVEKAR AND $3,721,203 FOR MR. HOLLAND. THE LARGER COMPENSATION FIGURES SHOWN IN COLUMN (E) INCLUDE DOUBLE REPORTING OF PREVIOUSLY REPORTED DEFERRED COMPENSATION THAT VESTED AND WAS PAID DURING THE REPORTING PERIOD. THE ACTUAL AMOUNT EARNED BY EACH INDIVIDUAL IS CALCULATED BY SUBTRACTING COLUMN (F) FROM COLUMN (E). PAYMENT OF MR. NARVEKARS AND MR. HOLLANDS PERFORMANCE BASED BONUS IS, IN EACH CASE, DEFERRED SUBJECT TO VESTING UPON CONTINUING SERVICE TO THE UNIVERSITY. COLUMNS (C) AND (E) INCLUDE DEFERRED COMPENSATION AWARDED DURING THE REPORTING PERIOD BUT SUBJECT TO FUTURE VESTING. NOTE TO LEE BOLLINGER'S COMPENSATION AMOUNTS FOR PRESIDENT BOLLINGER IN COLUMN (B)(II) INCLUDE PAYMENTS UNDER A PERFORMANCE-BASED BONUS AWARD. THE AMOUNT SHOWN IN COLUMN (B)(III) AS "OTHER REPORTABLE COMPENSATION" REFLECTS PAYMENT OF ACCRUED BENEFITS AND LEAVE. NOTE TO DR. GOLDMAN'S COMPENSATION THE UNIVERSITY HAS AGREED TO PROVIDE DR. GOLDMAN WITH SUPPLEMENTAL RETIREMENT INCOME BASED ON CUMULATIVE ANNUAL CREDITS INCLUDING AMOUNTS FOR ACHIEVING PERFORMANCE MEASURES, SUBJECT TO SATISFYING VESTING CONDITIONS RELATED TO CONTINUING SERVICES TO THE UNIVERSITY. CREDITS AWARDED FOR THE CALENDAR YEAR REPORTING PERIOD $475,200 ARE INCLUDED AS DEFERRED COMPENSATION. NOTE TO DR. MOSES', DR. LENKES, & DR. RIEW'S COMPENSATION THE COMPENSATION OF DR. MOSES, DR. LENKE, AND DR. RIEW IS SUPPORTED BY THEIR CLINICAL ACTIVITIES, GRANTS, AND SUPPORT FROM THE UNIVERSITY'S HOSPITAL AFFILIATES. NOTE TO MS. WAGNER'S COMPENSATION MS. WAGNER'S COMPENSATION INCLUDES $1,606,987 IN DEFERRED COMPENSATION AMOUNTS, WHICH VESTED UPON HER ELIGIBILITY FOR RETIREMENT.
Schedule J (Form 990) 2016
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