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ObjectId: 202031369349303453 - Submission: 2020-05-15
TIN: 35-0868188
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
18
Open to Public Inspection
Name of the organization
University of Notre Dame du Lac
Employer identification number
35-0868188
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
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
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) 2018
Page 2
Schedule J (Form 990) 2018
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
Rev John I Jenkins CSC PhD
President & Trustee
(i)
(ii)
977,082
-------------
0
0
-------------
0
99,320
-------------
0
0
-------------
0
49,251
-------------
0
1,125,653
-------------
0
0
-------------
0
2
Rev Timothy R Scully CSC
Professor & Trustee
(i)
(ii)
190,776
-------------
0
0
-------------
0
19,369
-------------
0
0
-------------
0
16,561
-------------
0
226,706
-------------
0
0
-------------
0
3
Rev Austin Collins CSC
Professor & Trustee
(i)
(ii)
155,887
-------------
0
0
-------------
0
15,880
-------------
0
0
-------------
0
16,561
-------------
0
188,328
-------------
0
0
-------------
0
4
Rev Paul V Kollman CSC
Professor and Trustee
(i)
(ii)
118,386
-------------
0
0
-------------
0
12,130
-------------
0
0
-------------
0
67,077
-------------
0
197,593
-------------
0
0
-------------
0
5
Rev William M Lies CSC
VP Mission Engmt & Trustee
(i)
(ii)
129,206
-------------
0
0
-------------
0
39,461
-------------
0
0
-------------
0
9,243
-------------
0
177,910
-------------
0
0
-------------
0
6
Rev Daniel Groody CSC
Associate Provost & Trustee
(i)
(ii)
118,386
-------------
0
0
-------------
0
12,130
-------------
0
0
-------------
0
70,368
-------------
0
200,884
-------------
0
0
-------------
0
7
John F Affleck-Graves PhD
Executive VP
(i)
(ii)
728,945
-------------
0
0
-------------
0
48,891
-------------
0
167,328
-------------
0
19,988
-------------
0
965,152
-------------
0
0
-------------
0
8
Thomas G Burish PhD
Provost
(i)
(ii)
533,616
-------------
0
0
-------------
0
28,758
-------------
0
359,731
-------------
0
19,816
-------------
0
941,921
-------------
0
0
-------------
0
9
Marianne Corr JD
VP & General Counsel
(i)
(ii)
611,314
-------------
0
0
-------------
0
34,702
-------------
0
27,500
-------------
0
9,298
-------------
0
682,814
-------------
0
0
-------------
0
10
Scott C Malpass MBA
VP & Chief Investment Officer
(i)
(ii)
1,098,964
-------------
0
3,655,656
-------------
0
90,357
-------------
0
27,500
-------------
0
8,458
-------------
0
4,880,935
-------------
0
0
-------------
0
11
John B Swarbrick Jr
Athletic Director
(i)
(ii)
1,076,928
-------------
0
1,128,682
-------------
0
116,224
-------------
0
227,500
-------------
0
35,791
-------------
0
2,585,125
-------------
0
500,000
-------------
0
12
Michael P Brey
Head Coach, Basketball
(i)
(ii)
1,030,328
-------------
0
495,378
-------------
0
110,048
-------------
0
27,500
-------------
0
17,727
-------------
0
1,680,981
-------------
0
0
-------------
0
13
Michael D Donovan MBA JD
Managing Director, Invest.
(i)
(ii)
635,782
-------------
0
1,564,853
-------------
0
36,190
-------------
0
27,500
-------------
0
8,793
-------------
0
2,273,118
-------------
0
0
-------------
0
14
Brian Kelly
Head Coach, Football
(i)
(ii)
1,292,553
-------------
0
317,000
-------------
0
165,126
-------------
0
27,500
-------------
0
61,714
-------------
0
1,863,893
-------------
0
0
-------------
0
15
Muffet McGraw
Head Coach, Basketball
(i)
(ii)
1,218,926
-------------
0
678,958
-------------
0
128,847
-------------
0
27,500
-------------
0
17,591
-------------
0
2,071,822
-------------
0
0
-------------
0
16
Richard Buhrman
Investment Director
(i)
(ii)
431,969
-------------
0
713,099
-------------
0
16,489
-------------
0
371,948
-------------
0
27,518
-------------
0
1,561,023
-------------
0
0
-------------
0
Schedule J (Form 990) 2018
Page 3
Schedule J (Form 990) 2018
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 First-class or charter travel
Type of benefit (First class travel): Air travel other than coach class (typically business class) is allowed for travel to Alaska, Hawaii and destinations outside North America, or for necessary medical reasons (accompanied by appropriate supporting documentation), if the situation warrants it and with approval from a Dean or President's Leadership Council Member. Type of benefit (Charter travel): Travel on the University plane or other plane leased by the University requires approval by the President's Office. Recipients of the benefit and tax treatment: First class air travel and charter travel was provided to 15 persons included in Form 990, Part VII, Section A in 2018. None of the first class or charter travel was reported as taxable compensation, as a Univeristy business purpose was established for travel.
Schedule J, Part I, Line 1a Travel for companions
Type of benefit: Family members of University employees are occasionally asked to travel on University business. Family members travel reimbursement by the University requires approval by a Dean or President's Leadership Council Member or their authorized representative, and if the business purpose of the family member travel is not properly documented, it is treated as taxable compensation to the employee. Recipients of the benefit and tax treatment: Travel for companions was provided to 6 persons included in Form 990, Part VII, Section A in 2018 and if the business purpose of the family travel was not properly documented, it was treated as taxable compensation to the employee.
Schedule J, Part I, Line 1a Tax indemnification and gross-up payments
Type of benefit: Tax indemnification and gross-up payments may occasionally be provided to University employees . Recipients of the benefit and tax treatment: Gross-up payments were provided to 2 persons included in Form 990, Part VII, Section A in 2018 and were reported as taxable compensation in these instances.
Schedule J, Part I, Line 1a Housing allowance or residence for personal use
Type of Benefit/Recipients of the benefit and tax treatment: Housing was provided to 6 persons included on Form 990, Part VII, Section A, in 2018 . 6 individuals are members of the CSC Religious Order and live in University dormitories or campus apartments while providing guidance to students for the convenience of the University. As a result the housing benefit to these 6 individuals was not included in gross income of the recipients under Section 119 of the Internal Revenue Code.
Schedule J, Part I, Line 1a Health or social club dues or initiation fees
Type of benefit: Social club dues are occasionally paid on behalf of employees of the University, and these dues are added to the individual's income to reflect personal use (as reported on an annual basis). Recipients of the benefit and tax treatment: Social club dues were provided to 6 persons included in Form 990, Part VII, Section A in 2018 and were reported as taxable compensation in all of those instances.
Schedule J, Part I, Line 4b Supplemental nonqualified retirement plan
John Affleck-Graves, Executive Vice President, Thomas Burish, Provost, John W. Swarbrick, Athletic Director, Scott Malpass, Vice President and Chief Investment Officer, Michael Donovan, Managing Director for Private Capital Investments and Richard Buhrman, Investment Director, participated in nonqualified deferred compensation arrangements under Internal Revenue Code Section 457(f) during calendar 2018. Affleck-Graves received an accrued benefit of $139,828. Burish received an accrued benefit of $332,231. Swarbrick received an accrued benefit of $200,000. Malpass received an accrued benefit of $3,655,656. Donovan received an accrued benefit of $1,564,853. Buhrman received an accrued benefit of $344,448. The accrued benefit and related earnings vest to Affleck-Graves and Burish at the end of the term of each plan (5 and 4 years respectively). The accrued benefit and related earnings to Swarbrick are fully vested and taxable in calendar year 2018 as a result of reaching the term of his 5 year plan. The accrued benefit and related earnings to Malpass and Donovan are fully vested and taxable in calendar year 2018 as a result of reaching the retirement age and years of service required in 2017. The accrued benefit and related earnings vest over a five year period to Buhrman.
Schedule J, Part I, Line 5a Compensation contingent on revenues of the organization
5a(i)-Scott Malpass, Vice President and Chief Investment Officer received incentive compensation which was in part calculated contingent on the performance of the University's unitized investment pool. Malpass received $2,966,999 in calendar 2018 related to this program, and was taxed on unpaid amounts totaling $688,657 as a result of being fully vested in the plan due to meeting the age and years of service requirements. 5a(ii) -Michael D. Donovan, Managing Director for Private Capital Investments received incentive compensation which was in part calculated contingent on the performance of the University's unitized investment pool. Donovan received $1,134,518 in calendar 2018 related to this program, and was taxed on unpaid amounts totaling $430,335 as a result of being fully vested in the plan due to meeting the age and years of service requirements. 5a(iii)-Richard Buhrman, Investment Director received incentive compensation which was in part calculated contingent on the performance of the University's unitized investment pool. Buhrman received $713,099 in calendar 2018 related to this program.
Schedule J (Form 990) 2018
Additional Data
Software ID:
18007697
Software Version:
2018v3.1