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ObjectId: 201921359349311137 - Submission: 2019-05-15
TIN: 56-0532129
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
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 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
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
No
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
VINCENT E PRICE
TRUSTEE/PRESIDENT
(i)
(ii)
633,232
-------------
0
350,000
-------------
0
9,000
-------------
0
32,980
-------------
0
15,358
-------------
0
1,040,570
-------------
0
0
-------------
0
2
PAMELA J BERNARD
VP & UNIVERSITY COUNSEL
(i)
(ii)
557,672
-------------
0
0
-------------
0
18,000
-------------
0
32,980
-------------
0
19,556
-------------
0
628,208
-------------
0
0
-------------
0
3
SALLY KORNBLUTH
PROVOST
(i)
(ii)
652,300
-------------
0
0
-------------
0
18,000
-------------
0
32,980
-------------
0
12,636
-------------
0
715,916
-------------
0
0
-------------
0
4
RICHARD RIDDELL
SENIOR VP & UNIVERSITY SECRETARY
(i)
(ii)
384,387
-------------
0
71,050
-------------
0
18,000
-------------
0
26,000
-------------
0
16,722
-------------
0
516,159
-------------
0
0
-------------
0
5
TALLMAN TRASK III
EXECUTIVE VICE PRESIDENT
(i)
(ii)
799,472
-------------
0
0
-------------
0
18,000
-------------
0
32,980
-------------
0
18,473
-------------
0
868,925
-------------
0
0
-------------
0
6
TIMOTHY W WALSH
TREASURER & VP OF FINANCE
(i)
(ii)
442,368
-------------
0
0
-------------
0
0
-------------
0
32,980
-------------
0
15,039
-------------
0
490,387
-------------
0
0
-------------
0
7
A EUGENE WASHINGTON MD
CHANCELLOR HEALTH AFFAIRS
(i)
(ii)
1,191,878
-------------
0
1,175,615
-------------
0
18,000
-------------
0
132,980
-------------
0
16,438
-------------
0
2,534,911
-------------
0
0
-------------
0
8
NANCY C ANDREWS MD
VICE CHANCELLOR OF ACADEMIC AFFAIRS
(i)
(ii)
783,024
-------------
0
409,983
-------------
0
18,000
-------------
0
32,980
-------------
0
44,339
-------------
0
1,288,326
-------------
0
0
-------------
0
9
VALERIE ASHBY
DEAN, COLLEGE OF ARTS & SCIENCES
(i)
(ii)
434,504
-------------
0
1,500
-------------
0
0
-------------
0
32,980
-------------
0
7,226
-------------
0
476,210
-------------
0
0
-------------
0
10
RICHARD H BRODHEAD
FACULTY/FORMER PRESIDENT
(i)
(ii)
1,018,670
-------------
0
0
-------------
0
259,500
-------------
0
32,980
-------------
0
20,329
-------------
0
1,331,479
-------------
0
120,751
-------------
0
11
MARK E CORIGLIANO
INVESTMENT MANAGER
(i)
(ii)
197,724
-------------
0
440,175
-------------
0
18,000
-------------
0
64,975
-------------
0
13,268
-------------
0
734,142
-------------
0
0
-------------
0
12
JAMES SCOTT GIBSON
EXEC VICE DEAN OF ADMIN, SOM
(i)
(ii)
420,017
-------------
0
263,442
-------------
0
18,000
-------------
0
32,980
-------------
0
22,481
-------------
0
756,920
-------------
0
0
-------------
0
13
ALICE GOULD
INVESTMENT MANAGER
(i)
(ii)
354,227
-------------
0
742,689
-------------
0
18,000
-------------
0
32,980
-------------
0
12,125
-------------
0
1,160,021
-------------
0
0
-------------
0
14
EVAN L JONES
INVESTMENT MANAGER
(i)
(ii)
347,302
-------------
0
741,167
-------------
0
18,000
-------------
0
185,980
-------------
0
57,633
-------------
0
1,350,082
-------------
0
0
-------------
0
15
MARY E KLOTMAN MD
VICE CHANCELLOR & DEAN, SOM
(i)
(ii)
514,479
-------------
0
80,068
-------------
0
18,000
-------------
0
32,980
-------------
0
15,369
-------------
0
660,896
-------------
0
0
-------------
0
16
JUSTIN B NIXON
INVESTMENT MANAGER
(i)
(ii)
292,852
-------------
0
592,857
-------------
0
0
-------------
0
153,655
-------------
0
16,972
-------------
0
1,056,336
-------------
0
0
-------------
0
17
JOHN J NOONAN
ASSOCIATE VP OF FACILITIES
(i)
(ii)
357,482
-------------
0
1,020
-------------
0
15,000
-------------
0
32,980
-------------
0
62,401
-------------
0
468,883
-------------
0
0
-------------
0
18
ERIC PETERSON
DIRECTOR, DCRI
(i)
(ii)
438,387
-------------
0
97,263
-------------
0
18,000
-------------
0
32,980
-------------
0
53,933
-------------
0
640,563
-------------
0
0
-------------
0
19
JAMES S ROBERTS
EXEC VICE PROVOST FIN & ADMIN
(i)
(ii)
368,458
-------------
0
0
-------------
0
0
-------------
0
32,980
-------------
0
8,163
-------------
0
409,601
-------------
0
0
-------------
0
20
NEAL F TRIPLETT
CHIEF INVESTMENT OFFICER
(i)
(ii)
634,492
-------------
0
2,305,217
-------------
0
609,937
-------------
0
357,167
-------------
0
18,431
-------------
0
3,925,244
-------------
0
591,937
-------------
0
21
DAVID N CUTCLIFFE
COACH
(i)
(ii)
2,220,655
-------------
0
350,000
-------------
0
34,887
-------------
0
32,980
-------------
0
30,823
-------------
0
2,669,345
-------------
0
0
-------------
0
22
MICHAEL W KRZYZEWSKI
COACH
(i)
(ii)
2,873,128
-------------
0
2,985,000
-------------
0
69,872
-------------
0
1,300,942
-------------
0
27,982
-------------
0
7,256,924
-------------
0
1,267,962
-------------
0
23
JOANNE MCCALLIE
COACH
(i)
(ii)
1,146,391
-------------
0
75,000
-------------
0
29,325
-------------
0
32,980
-------------
0
21,239
-------------
0
1,304,935
-------------
0
0
-------------
0
24
RALPH SNYDERMAN
CHANCELLOR EMERITUS/CHIEF OF RHEUMAT
(i)
(ii)
1,210,036
-------------
0
0
-------------
0
12,430
-------------
0
32,980
-------------
0
18,369
-------------
0
1,273,815
-------------
0
0
-------------
0
25
KEVIN M WHITE
VP & DIRECTOR OF ATHLETICS
(i)
(ii)
1,178,695
-------------
0
0
-------------
0
31,750
-------------
0
349,647
-------------
0
17,454
-------------
0
1,577,546
-------------
0
0
-------------
0
26
PETER LANGE
FORMER OFFICER
(i)
(ii)
265,276
-------------
47,000
0
-------------
0
18,000
-------------
0
32,980
-------------
0
8,070
-------------
0
324,326
-------------
47,000
0
-------------
0
27
ROBERT M CALIFF
FORMER KEY EMPLOYEE
(i)
(ii)
423,388
-------------
0
750
-------------
0
0
-------------
0
26,677
-------------
0
1,360
-------------
0
452,175
-------------
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
PART I, LINE 1A
CHARTER TRAVEL MICHAEL W. KRZYZEWSKI 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. VINCENT E. PRICE, A. EUGENE WASHINGTON, MD, TALLMAN TRASK III , RICHARD RIDDELL AND SALLY KORNBLUTH USED FIRST CLASS OR CHARTER TRAVEL SERVICES. SUCH TRAVEL WAS FOR BUSINESS PURPOSES AND NOT INCLUDED IN TAXABLE INCOME TO THE INDIVIDUALS. TRAVEL FOR COMPANIONS COMPANIONS HAVE TRAVELED WITH VINCENT E. PRICE, MICHAEL W. KRZYZEWSKI, AND A. EUGENE WASHINGTON, MD. TO THE EXTENT IT WAS PERSONAL IN NATURE, SUCH AMOUNTS WERE INCLUDED IN THEIR TAXABLE INCOME. RESIDENCE FOR PERSONAL USE VINCENT E. PRICE AND A. EUGENE WASHINGTON, MD WERE 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 THE UNIVERSITY PROVIDES HOUSEKEEPING SERVICES TO MAINTAIN ALL UNIVERSITY FACILITIES, INCLUDING THE FACILITIES USED BY THE UNIVERSITY'S PRESIDENT AND CHANCELLOR. IN ADDITION TO PROVIDING A PERSONAL RESIDENCE THAT IS FOR THE CONVENIENCE OF THE UNIVERSITY, THE FACILITIES ARE USED THROUGHOUT THE YEAR FOR NUMEROUS DUKE RELATED FUNCTIONS. CLUB DUES NANCY CATHERINE ANDREWS, MD, DAVID N. CUTCLIFFE, RICHARD RIDDELL AND JAMES 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 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 $591,937, MICHAEL W. KRZYZEWSKI $1,610,000 AND RICHARD H. BRODHEAD $241,500. SUCH AMOUNTS WERE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE AS DEFINED UNDER IRC SECTION 457(F).
Schedule J (Form 990) 2017
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