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ObjectId: 202031929349301603 - Submission: 2020-07-10
TIN: 36-2177139
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 CHICAGO
Employer identification number
36-2177139
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
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) 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
ROBERT J ZIMMER
PRESIDENT
(i)
(ii)
1,325,536
-------------
0
4,120,316
-------------
0
331,450
-------------
0
889,200
-------------
0
199,333
-------------
0
6,865,835
-------------
0
3,036,956
-------------
0
2
ERIC ISAACS
EVP RSCH, INNOV. NAT'L LABS
(i)
(ii)
347,945
-------------
0
35,500
-------------
0
7,179
-------------
0
22,000
-------------
0
42,455
-------------
0
455,079
-------------
0
0
-------------
0
3
JUAN DE PABLO
VP FOR NATIONAL LABORATORIES
(i)
(ii)
470,994
-------------
0
0
-------------
0
30,880
-------------
0
22,000
-------------
0
88,072
-------------
0
611,946
-------------
0
0
-------------
0
4
DANIEL DIERMEIER
PROVOST
(i)
(ii)
840,836
-------------
0
91,000
-------------
0
65,576
-------------
0
72,000
-------------
0
47,175
-------------
0
1,116,587
-------------
0
0
-------------
0
5
DEREK DOUGLAS
VP CIVIC ENGAGEMENT
(i)
(ii)
538,983
-------------
0
85,300
-------------
0
3,759
-------------
0
22,000
-------------
0
56,339
-------------
0
706,381
-------------
0
0
-------------
0
6
DAVID B FITHIAN
EXECUTIVE VICE PRESIDENT
(i)
(ii)
692,925
-------------
0
67,500
-------------
0
7,567
-------------
0
22,000
-------------
0
18,418
-------------
0
808,410
-------------
0
0
-------------
0
7
KIMBERLY TAYLOR
VP & GENERAL COUNSEL
(i)
(ii)
666,548
-------------
0
65,000
-------------
0
25,251
-------------
0
22,000
-------------
0
64,393
-------------
0
843,192
-------------
0
0
-------------
0
8
SHARON MARINE
VP ALUMNI RELATIONS & DEVL.
(i)
(ii)
704,412
-------------
0
60,000
-------------
0
4,722
-------------
0
22,000
-------------
0
15,384
-------------
0
806,518
-------------
0
0
-------------
0
9
JAMES G NONDORF
VP ENROLL. & STUDENT ADV.
(i)
(ii)
648,061
-------------
0
62,100
-------------
0
5,980
-------------
0
22,000
-------------
0
10,490
-------------
0
748,631
-------------
0
0
-------------
0
10
KENNETH S POLONSKY
EXEC. VP MEDICAL AFFAIRS
(i)
(ii)
1,784,506
-------------
0
500,000
-------------
0
346,583
-------------
0
22,000
-------------
336,750
23,865
-------------
0
2,676,954
-------------
336,750
0
-------------
0
11
PAUL RAND
VP COMMUNICATIONS
(i)
(ii)
434,957
-------------
0
39,875
-------------
0
78,821
-------------
0
22,000
-------------
0
34,382
-------------
0
610,035
-------------
0
0
-------------
0
12
MICHELE RASMUSSEN
DEAN OF STUDENTS
(i)
(ii)
311,467
-------------
0
30,000
-------------
0
1,580
-------------
0
22,000
-------------
0
7,622
-------------
0
372,669
-------------
0
0
-------------
0
13
DARREN REISBERG
VP STRATEGIC INITIATIVES
(i)
(ii)
389,413
-------------
0
38,000
-------------
0
10,083
-------------
0
22,000
-------------
0
11,515
-------------
0
471,011
-------------
0
0
-------------
0
14
MARK A SCHMID
VP AND CHIEF INVEST. OFFICER
(i)
(ii)
743,556
-------------
0
1,597,624
-------------
0
12,075
-------------
0
762,000
-------------
0
34,283
-------------
0
3,149,538
-------------
0
708,448
-------------
0
15
IVAN SAMSTEIN
VP & CFO
(i)
(ii)
537,926
-------------
0
76,175
-------------
0
2,129
-------------
0
22,000
-------------
0
49,324
-------------
0
687,554
-------------
0
0
-------------
0
16
BALAJI SRINIVASAN
VP GLOBAL ENGAGEMENT
(i)
(ii)
511,427
-------------
0
47,500
-------------
0
18,136
-------------
0
22,000
-------------
0
40,992
-------------
0
640,055
-------------
0
0
-------------
0
17
CATHERINE CALLOW-WRIGHT
VP & SECRETARY OF THE UNIVERSITY
(i)
(ii)
357,758
-------------
0
35,000
-------------
0
2,104
-------------
0
22,000
-------------
0
31,562
-------------
0
448,424
-------------
0
0
-------------
0
18
MADHAV RAJAN
DEAN BOOTH SCHOOL OF BUSINESS
(i)
(ii)
794,375
-------------
0
116,250
-------------
0
90,725
-------------
0
22,000
-------------
0
0
-------------
0
1,023,350
-------------
0
0
-------------
0
19
VALLUVAN JEEVANANDAM
CHIEF CARDIAC & THORACIC SURG.
(i)
(ii)
1,216,968
-------------
0
125,000
-------------
0
0
-------------
0
22,000
-------------
0
18,390
-------------
0
1,382,358
-------------
0
0
-------------
0
20
DAVID BARCLAY
CHIEF OPERATING OFFICER CRSP
(i)
(ii)
225,290
-------------
0
1,222,021
-------------
0
0
-------------
0
9,520
-------------
0
34,712
-------------
0
1,491,543
-------------
0
0
-------------
0
21
LUIGI ZINGALES
PROF OF ENTREPRENEURSHIP & FINANCE
(i)
(ii)
778,944
-------------
0
461,678
-------------
0
102,157
-------------
0
22,000
-------------
0
129,172
-------------
0
1,493,951
-------------
0
0
-------------
0
22
JOHN FUNG
PROF SURGERY & CHIEF OF TRANSPLANTAT
(i)
(ii)
988,935
-------------
0
357,747
-------------
0
0
-------------
0
22,000
-------------
0
32,923
-------------
0
1,401,605
-------------
0
0
-------------
0
23
PRADEEP CHINTAGUNTA
PROF OF MARKETING
(i)
(ii)
663,126
-------------
0
674,571
-------------
0
85,882
-------------
0
22,000
-------------
0
31,481
-------------
0
1,477,060
-------------
0
0
-------------
0
24
JOHN R KROLL
AVP FINANCE
(i)
(ii)
363,730
-------------
0
37,230
-------------
0
0
-------------
0
22,000
-------------
0
14,073
-------------
0
437,033
-------------
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
PART I, LINE 1A
FIRST CLASS TRAVEL. UNDER WRITTEN UNIVERSITY POLICY, FIRST CLASS AIR TRAVEL IS ONLY ALLOWED WHEN APPROVED IN ADVANCE BY A DEAN, VICE-PRESIDENT OR THE PROVOST. FOUR OFFICERS WERE APPROVED FOR FIRST CLASS TRAVEL IN ACCORDANCE WITH THIS POLICY. NONE OF THE BUSINESS TRIPS WERE DEEMED TAXABLE COMPENSATION. TRAVEL FOR COMPANION. UNDER WRITTEN UNIVERSITY POLICY, TRAVEL FOR COMPANIONS MUST BE PRE-APPROVED BY THE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER AND WILL ONLY BE APPROVED WHEN THE COMPANION TRAVEL SERVES A BONA FIDE BUSINESS PURPOSE. ONE OFFICER HAS COMPANION TRAVEL APPROVED IN ACCORDANCE WITH THIS POLICY. THE COST OF THE COMPANION TRAVEL WAS NOT DEEMED TAXABLE COMPENSATION. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS. INDIVIDUALS MAY HAVE CERTAIN PAYMENTS GROSSED UP AT THE DISCRETION OF HEADS OF DEPARTMENTS, OFFICERS OR THE BOARD OF THE UNIVERSITY. HOUSING ALLOWANCE OR RESIDENT FOR PERSONAL USE. (PART 1A & 1B AND PART II, COLUMN D FOR ROBERT J. ZIMMER). HOUSING ALLOWANCES ARE ONLY PERMITTED IF PRE-APPROVED BY THE PROVOST'S OFFICE OR UNIVERSITY HUMAN RESOURCES. ONE OFFICER RECEIVED A HOUSING ALLOWANCE WHICH WAS INCLUDED IN THE INDIVIDUAL'S TAXABLE COMPENSATION. OF THE AMOUNT IN COLUMN D FOR ROBERT J. ZIMMER, $177,633 REPRESENTS THE VALUE OF THE UNIVERSITY-OWNED HOUSING PROVIDED TO THE PRESIDENT, WHICH IS NOT DEEMED A TAXABLE BENEFIT. SOCIAL AND HEALTH CLUB DUES. UNDER WRITTEN UNIVERSITY POLICY, SOCIAL AND HEALTH CLUB DUES ARE REIMBURSABLE ONLY IF THE BENEFITS OF THE MEMBERSHIP SUPPORT THE UNIVERSITY'S MISSION AND ONLY IF THE REIMBURSEMENT IS APPROVED BY A DEAN, VICE PRESIDENT, PROVOST OR PRESIDENT OF THE UNIVERSITY. ANY PORTION OF THE DUES NOT USED FOR BUSINESS PURPOSES IS CONSIDERED TAXABLE COMPENSATION. OFFICER OF THE UNIVERSITY MAINTAIN MEMBERSHIP IN THE QUADRANGLE CLUB, A RELATED ORGANIZATION THAT OPERATES A FACULTY CLUB ON THE CAMPUS OF THE UNIVERSITY FOR PURPOSES OF CONDUCTING MEETINGS AND OTHER UNIVERSITY BUSINESS. THE UNIVERSITY REIMBURSES OFFICERS FOR THESE DUES AND THE REIMBURSEMENT IS NOT DEEMED TAXABLE COMPENSATION. IN ADDITION THREE OFFICERS HAD SOCIAL CLUB DUES REIMBURSED BY THE UNIVERSITY FOR BUSINESS PURPOSES AND THE REIMBURSEMENT WAS NOT DEEMED TAXABLE COMPENSATION. PERSONAL SERVICES. THE UNIVERSITY PROVIDE FOR THE MAINTENANCE AND CLEANING OF THE UNIVERSITY OWNED HOUSE PROVIDED TO THE PRESIDENT. THESE SERVICES WERE NOT DEEMED A TAXABLE BENEFIT.
PART I, LINE 4B
ROBERT J. ZIMMER $ 867,200. KENNETH POLONSKY $ 336,750.
PART I, LINE 7
INVESTMENT OFFICE PERSONNEL PARTICIPATE IN AN INCENTIVE COMPENSATION PROGRAM BASED ON PERFORMANCE AND QUALITATIVE MEASUREMENTS.
Schedule J (Form 990) 2018
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