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ObjectId: 201901349349310300 - Submission: 2019-05-14
TIN: 16-0743209
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.
Go to
www.irs.gov/Form990
for instructions and the latest information.
OMB No. 1545-0047
20
17
Open to Public Inspection
Name of the organization
UNIVERSITY OF ROCHESTER
Employer identification number
16-0743209
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
Yes
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), 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
No
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) 2017
Page 2
Schedule J (Form 990) 2017
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
JOEL S SELIGMAN
TRUSTEE,PRES&CEO(THRU 2-28-18)
(i)
(ii)
1,307,941
-------------
0
250,000
-------------
0
21,827
-------------
0
25,958
-------------
0
60,483
-------------
0
1,666,209
-------------
0
0
-------------
0
2
RICHARD FELDMAN
INTERIM TRUS,PRES&CEO(3-1-18)
(i)
(ii)
363,163
-------------
0
0
-------------
0
18,000
-------------
0
25,433
-------------
0
16,923
-------------
0
423,519
-------------
0
0
-------------
0
3
BRADFORD C BERK
DIRECTOR-UR NEUROREST. INST.
(i)
(ii)
658,059
-------------
0
0
-------------
0
250,832
-------------
0
170,658
-------------
0
19,527
-------------
0
1,099,076
-------------
0
195,637
-------------
0
4
PAUL J BURGETT
VP & SR ADVISOR- PRES & DEAN
(i)
(ii)
176,047
-------------
0
0
-------------
0
854
-------------
0
16,797
-------------
0
15,484
-------------
0
209,182
-------------
0
0
-------------
0
5
ROBERT L CLARK
SRVP RESEARCH & PROVOST
(i)
(ii)
630,963
-------------
0
0
-------------
0
690,918
-------------
0
200,958
-------------
0
45,118
-------------
0
1,567,957
-------------
0
686,035
-------------
0
6
HOLLY G CRAWFORD
SR VP, ADMIN & FIN, CFO
(i)
(ii)
513,943
-------------
0
0
-------------
0
25,240
-------------
0
26,221
-------------
0
48,653
-------------
0
614,057
-------------
0
0
-------------
0
7
THOMAS J FARRELL
SRVP & CHIEF ADVANCEMENT OFFCR
(i)
(ii)
620,038
-------------
0
0
-------------
0
76,260
-------------
0
25,958
-------------
0
23,663
-------------
0
745,919
-------------
0
0
-------------
0
8
DAVID A KIRSHNER
SR VP & CFO, URMC (THRU 6-17)
(i)
(ii)
321,171
-------------
0
0
-------------
0
991,474
-------------
0
50,000
-------------
0
8,383
-------------
0
1,371,028
-------------
0
276,934
-------------
0
9
PETER LENNIE
DEAN OF FACULTY- ASE
(i)
(ii)
645,996
-------------
0
0
-------------
0
18,863
-------------
0
25,958
-------------
0
42,590
-------------
0
733,407
-------------
0
0
-------------
0
10
LAMAR R MURPHY
GENL SECRETARY, CHIEF OF STAFF
(i)
(ii)
320,535
-------------
0
0
-------------
0
18,000
-------------
0
26,483
-------------
0
22,451
-------------
0
387,469
-------------
0
0
-------------
0
11
GAIL M NORRIS
VP & GENERAL COUNSEL
(i)
(ii)
492,696
-------------
0
0
-------------
0
0
-------------
0
27,953
-------------
0
22,290
-------------
0
542,939
-------------
0
0
-------------
0
12
DOUGLAS W PHILLIPS
SRVP INSTITUTIONAL RESOURCES
(i)
(ii)
703,254
-------------
0
0
-------------
0
28,338
-------------
0
25,958
-------------
0
25,448
-------------
0
782,998
-------------
0
0
-------------
0
13
ELIZABETH STAUDERMAN
VP FOR COMMUNICATIONS
(i)
(ii)
318,689
-------------
0
0
-------------
0
0
-------------
0
26,221
-------------
0
8,893
-------------
0
353,803
-------------
0
0
-------------
0
14
MARK B TAUBMAN
CEO URMC, DEAN SMD, SRVP HEAL.
(i)
(ii)
964,099
-------------
0
100,000
-------------
0
27,601
-------------
0
300,958
-------------
0
21,245
-------------
0
1,413,903
-------------
0
0
-------------
0
15
ADAM P ANOLIK INTERIM 6-17
SR VP & CFO,URMC (AS OF 10-17)
(i)
(ii)
522,918
-------------
0
0
-------------
0
981
-------------
0
60,683
-------------
0
21,785
-------------
0
606,367
-------------
0
0
-------------
0
16
MICHAEL J APOSTOLAKOS MD
CMO, SMH & HH (AS OF AUG 2017)
(i)
(ii)
486,999
-------------
0
20,400
-------------
0
18,000
-------------
0
32,363
-------------
0
26,516
-------------
0
584,278
-------------
0
0
-------------
0
17
CARRIE P FULLER-SPENCER
INTERIM CFO, SMH&HH (OCT 2017)
(i)
(ii)
240,002
-------------
0
0
-------------
0
0
-------------
0
23,613
-------------
0
21,284
-------------
0
284,899
-------------
0
0
-------------
0
18
STEVEN I GOLDSTEIN
URMC VP, PRES/CEO SMH & HH
(i)
(ii)
1,089,334
-------------
0
0
-------------
0
276,899
-------------
0
485,358
-------------
0
18,002
-------------
0
1,869,593
-------------
0
201,413
-------------
0
19
RAYMOND J MAYEWSKI
VP, URMC (THRU 6-2017)
(i)
(ii)
492,625
-------------
0
0
-------------
0
40,127
-------------
0
13,988
-------------
0
18,637
-------------
0
565,377
-------------
0
0
-------------
0
20
KATHLEEN PARRINELLO
EXEC VP & COO, SMH
(i)
(ii)
555,503
-------------
0
115,500
-------------
0
156,829
-------------
0
126,958
-------------
0
23,202
-------------
0
977,992
-------------
0
119,933
-------------
0
21
PETER G ROBINSON
VP&COO, MEDCTR & STRONG HEALTH
(i)
(ii)
619,557
-------------
0
0
-------------
0
41,204
-------------
0
268,358
-------------
0
70,944
-------------
0
1,000,063
-------------
0
0
-------------
0
22
MICHAEL ROTONDO
CEO, URMFG
(i)
(ii)
825,605
-------------
0
150,000
-------------
0
22,588
-------------
0
125,958
-------------
0
3,260
-------------
0
1,127,411
-------------
0
0
-------------
0
23
LEONARD J SHUTE
SR. ADVISOR, URMC
(i)
(ii)
188,376
-------------
0
0
-------------
0
32,844
-------------
0
19,658
-------------
0
13,577
-------------
0
254,455
-------------
0
0
-------------
0
24
MICHAEL D MALONEY MD
PROFESSOR-ORTHOPAEDICS M&D
(i)
(ii)
1,944,037
-------------
0
21,900
-------------
0
2,145,822
-------------
0
25,958
-------------
0
25,965
-------------
0
4,163,682
-------------
0
2,145,822
-------------
0
25
GEORGE M ALFIERIS MD
PROF-CARDIAC SURGERY M&D
(i)
(ii)
1,676,753
-------------
0
5,000
-------------
0
18,000
-------------
0
325,958
-------------
0
13,886
-------------
0
2,039,597
-------------
0
0
-------------
0
26
MARC D BROWN MD
PROF-DERMATOLOGY M&D
(i)
(ii)
832,084
-------------
0
615,605
-------------
0
18,000
-------------
0
25,958
-------------
0
22,124
-------------
0
1,513,771
-------------
0
0
-------------
0
27
SHERRIF F IBRAHIM MD PHD
ASSOC PROFESSOR-DERMATOLOGYM&D
(i)
(ii)
608,133
-------------
0
811,397
-------------
0
18,000
-------------
0
25,958
-------------
0
26,949
-------------
0
1,490,437
-------------
0
0
-------------
0
28
ILYA VOLOSHIN MD
PROFESSOR-ORTHOPAEDICS M&D
(i)
(ii)
1,096,426
-------------
0
196,293
-------------
0
18,000
-------------
0
25,958
-------------
0
21,487
-------------
0
1,358,164
-------------
0
0
-------------
0
Schedule J (Form 990) 2017
Page 3
Schedule J (Form 990) 2017
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
SCHEDULE J, PART I, LINE 1A
DETAIL OF ADDITIONAL BENEFITS PROVIDED FIRST CLASS OR CHARTER TRAVEL IN LIMITED CIRCUMSTANCES, THE PRESIDENT AND PROVOST OR OTHER KEY EMPLOYEE OF THE UNIVERSITY OF ROCHESTER (THE "UNIVERSITY") MAY TRAVEL FIRST CLASS IF CERTAIN TIME/DISTANCE REQUIREMENTS ARE MET AND A VALID UNIVERSITY-RELATED BUSINESS PURPOSE FOR THE TRAVEL EXISTS. TRAVEL FOR COMPANIONS IN LIMITED CIRCUMSTANCES, THE SPOUSE OF THE PRESIDENT AND PROVOST OR OTHER KEY EMPLOYEE MAY TRAVEL FOR LEGITIMATE UNIVERSITY-RELATED BUSINESS PURPOSES. EXAMPLES OF SUCH TRAVEL INCLUDE ATTENDANCE AT FUNDRAISING OR ALUMNI EVENTS. IN ACCORDANCE WITH APPLICABLE LEGAL STANDARDS, AND ON THESE LIMITED OCCASIONS, THE UNIVERSITY WILL REIMBURSE THE TRAVEL EXPENSES FOR SPOUSAL TRAVEL AS A BUSINESS EXPENSE ONLY IF THE SPOUSAL TRAVEL SERVES A "BONA FIDE BUSINESS PURPOSE" OF THE UNIVERSITY. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS THE UNIVERSITY MAY PROVIDE TAX GROSS-UP PAYMENTS UNDER CERTAIN CIRCUMSTANCES AS APPROVED BY THE BOARD. THE UNIVERSITY DOES NOT GENERALLY PROVIDE TAX INDEMNIFICATIONS. ONE OFFICER RECEIVED A GROSS-UP PAYMENT THAT WAS TREATED AS TAXABLE COMPENSATION. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE/PERSONAL SERVICES AS A CONDITION OF EMPLOYMENT, THE PRESIDENT AND PROVOST ARE REQUIRED TO LIVE IN A HOME ON THE UNIVERSITY'S CAMPUS WHICH IS FURNISHED AND MAINTAINED AT THE UNIVERSITY'S EXPENSE. SOCIAL CLUB DUES THE UNIVERSITY PROVIDES A SOCIAL CLUB MEMBERSHIP, TO BE USED BY CERTAIN OFFICERS AND KEY EMPLOYEES IN CONNECTION WITH THEIR DUTIES. THESE OFFICERS AND KEY EMPLOYEES ARE RESPONSIBLE FOR ANY PERSONAL USE OF THE CLUB MEMBERSHIP. SEVEN OFFICERS, FOUR KEY EMPLOYEES AND ONE FORMER OFFICER RECEIVED SOCIAL CLUB DUES THAT WERE TREATED AS TAXABLE COMPENSATION. --------------------
SCHEDULE J, PART I, LINE 4A
DETAIL OF SEVERANCE PAYMENT IN CONNECTION WITH THE TERMS OF HIS SEPARATION FROM THE UNIVERSITY, DAVID A. KIRSHNER RECEIVED A PAYMENT OF $702,975 IN CALENDAR YEAR 2017 THAT IS INCLUDED IN OTHER REPORTABLE COMPENSATION. -------------------- SCHEDULE J, PART I, LINE 4B PARTICIPATION IN A SUPP. NONQUALIFIED PLAN THE FOLLOWING INDIVIDUALS LISTED ON FORM 990, PART VII, SECTION A PARTICIPATED IN A SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN AND RECEIVED EMPLOYER PAID AMOUNTS THAT ARE INCLUDED IN DEFERRED COMPENSATION: ADAM P. ANOLIK - SERP - $30,000 BRADFORD C. BERK - SERP - $144,700 MARK B. TAUBMAN - SERP - $125,000 STEVEN I. GOLDSTEIN - SERP - $159,400 PETER G. ROBINSON - SERP - $61,500 KATHLEEN PARRINELLO - SERP - $75,000 MICHAEL ROTONDO - SERP - $25,000 GEORGE M. ALFIERIS - 457(F) $300,000 ROBERT L. CLARK - 457(F) - $175,000 STEVEN I. GOLDSTEIN - 457(F) - $300,000 DAVID A. KIRSHNER - 457(F) - $50,000 PETER G. ROBINSON - 457(F) - $180,900 KATHLEEN PARRINELLO - 457(F) - $26,000 MICHAEL ROTONDO - 457(F) - $75,000 MARK B. TAUBMAN - 457(F) - $150,000 PURSUANT TO THE UNIVERSITY'S IRC SECTION 457(F) SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN, PARTICIPANTS ARE ENTITLED TO DISTRIBUTIONS FROM THE PLAN UPON THE OCCURRENCE OF CERTAIN VESTING EVENTS. THE FOLLOWING INDIVIDUALS MET THE VESTING CONDITIONS UNDER THE PLAN AND RECEIVED DISTRIBUTIONS IN CALENDAR YEAR 2017, WHICH ARE REPORTED IN SCHEDULE J, PART II, COLUMN (B)(III) AS OTHER REPORTABLE COMPENSATION: BRADFORD C. BERK - 457(F) - $195,637 ROBERT L. CLARK - 457(F) - $686,035 DAVID A KIRSHNER - 457(F) - $276,934 STEVEN I. GOLDSTEIN - 457(F) - $201,413 KATHLEEN PARRINELLO - 457(F) - $119,933 MICHAEL D. MALONEY - 457(F) - $2,145,822 THESE AMOUNTS REPRESENT EMPLOYEE DEFERRALS OF COMPENSATION OVER SEVERAL YEARS THAT VESTED AND WERE PAID PURSUANT TO THE REQUIREMENTS OF THE PLAN. THESE AMOUNTS WERE REPORTED AS DEFERRED COMPENSATION IN SCHEDULE J, PART II, COLUMN (C) IN PRIOR YEARS AND ARE ALSO REFLECTED IN SCHEDULE J, PART II, COLUMN (F). --------------------
SCHEDULE J, PART I, LINE 7
PROVISION OF NON-FIXED PAYMENTS THE UNIVERSITY OF ROCHESTER MEDICAL SCHOOL COMPENSATION PLAN ALLOWS COMPENSATION TO BE CALCULATED, IN PART, BY MEDICAL SERVICES RENDERED. THE UNIVERSITY OF ROCHESTER DOES NOT PROVIDE DISCRETIONARY BONUS AND/OR INCENTIVE COMPENSATION. PAYMENTS MADE TO ANY DISQUALIFIED PERSON IS APPROVED BY THE BOARD THROUGH THE PROCESS DESCRIBED IN FORM 990, PART VI, SECTION B, LINE 15.
Schedule J (Form 990) 2017
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