TY 2021 Form 990 Schedule J

(A) Name and Title		(B) Breakdown of W-2, 1099-MISC compensation, and/or 1099-NEC			(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
(A) Name and Title		(i) Base compensation	(ii) Bonus & incentive compensation	(iii) Other reportable compensation	(C) Retirement and other deferred compensation	(D) Nontaxable benefits	(E) Total of columns (B)(i)-(D)
1Peter Salovey Trustee & President	(i) (ii)	1,366,930 ------------- 0	85,000 ------------- 0	708,466 ------------- 0	32,680 ------------- 0	67,618 ------------- 0	2,260,694 ------------- 0	180,000 ------------- 0
2Alexander E Dreier Sr VP for Institutional Affairs	(i) (ii)	706,939 ------------- 0	50,000 ------------- 0	86,647 ------------- 0	32,680 ------------- 0	54,503 ------------- 0	930,769 ------------- 0	0 ------------- 0
3Scott A Strobel Provost	(i) (ii)	728,352 ------------- 0	50,000 ------------- 0	31,718 ------------- 0	32,680 ------------- 0	23,314 ------------- 0	866,064 ------------- 0	0 ------------- 0
4Jack F Callahan Jr Sr VP for Operations	(i) (ii)	721,171 ------------- 0	50,000 ------------- 0	15,349 ------------- 0	32,680 ------------- 0	38,271 ------------- 0	857,471 ------------- 0	0 ------------- 0
5Joan E O'Neill VP for Alumni Affairs & Development	(i) (ii)	631,059 ------------- 0	30,000 ------------- 0	70,428 ------------- 0	32,680 ------------- 0	35,059 ------------- 0	799,226 ------------- 0	0 ------------- 0
6Stephen C Murphy VP for Finance & CFO	(i) (ii)	493,257 ------------- 0	30,000 ------------- 0	19,500 ------------- 0	32,680 ------------- 0	49,084 ------------- 0	624,521 ------------- 0	0 ------------- 0
7Pericles Lewis VP for Global Strategy	(i) (ii)	467,207 ------------- 0	30,000 ------------- 0	19,500 ------------- 0	32,680 ------------- 0	63,963 ------------- 0	613,350 ------------- 0	0 ------------- 0
8Nathaniel Nickerson VP for Communications	(i) (ii)	431,449 ------------- 0	30,000 ------------- 0	78,016 ------------- 0	32,680 ------------- 0	2,209 ------------- 0	574,354 ------------- 0	0 ------------- 0
9John H Bollier VP for Facilities & Campus Development (through 1/14/22)	(i) (ii)	482,152 ------------- 0	30,000 ------------- 0	0 ------------- 0	32,680 ------------- 0	21,514 ------------- 0	566,346 ------------- 0	0 ------------- 0
10Kimberly M Goff-Crews Secretary & VP for University Life	(i) (ii)	452,569 ------------- 0	30,000 ------------- 0	19,500 ------------- 0	32,680 ------------- 0	10,729 ------------- 0	545,478 ------------- 0	0 ------------- 0
11Donna Cable Interim VP for HR (through 7/31/21)	(i) (ii)	275,282 ------------- 0	0 ------------- 0	30,462 ------------- 0	32,680 ------------- 0	34,710 ------------- 0	373,134 ------------- 0	0 ------------- 0
12John Whelan VP for HR (effective 8/1/21)	(i) (ii)	156,797 ------------- 0	30,000 ------------- 0	38,774 ------------- 0	17,263 ------------- 0	13,342 ------------- 0	256,176 ------------- 0	0 ------------- 0
13David F Swensen Chief Investment Officer (through 5/5/21)	(i) (ii)	314,208 ------------- 0	2,832,702 ------------- 0	3,499,465 ------------- 0	29,013 ------------- 0	14,041 ------------- 0	6,689,429 ------------- 0	810,690 ------------- 0
14Matthew S T Mendelsohn Chief Investment Officer (effective 9/1/21)	(i) (ii)	584,666 ------------- 0	613,876 ------------- 0	37,654 ------------- 0	940,591 ------------- 0	10,978 ------------- 0	2,187,765 ------------- 0	0 ------------- 0
15Alexander C Banker Sr Director of Finance	(i) (ii)	560,387 ------------- 0	689,112 ------------- 0	31,038 ------------- 0	272,680 ------------- 0	41,915 ------------- 0	1,595,132 ------------- 0	0 ------------- 0
16Nancy J Brown Dean, School of Medicine	(i) (ii)	949,334 ------------- 0	30,000 ------------- 0	39,500 ------------- 0	32,680 ------------- 0	20,071 ------------- 0	1,071,585 ------------- 0	0 ------------- 0
17Timothy R Sullivan Sr Director of Private Equity	(i) (ii)	709,330 ------------- 0	945,915 ------------- 0	19,500 ------------- 0	372,680 ------------- 0	47,868 ------------- 0	2,095,293 ------------- 0	534,583 ------------- 0
18Alan Forman Director, Investments	(i) (ii)	679,286 ------------- 0	816,557 ------------- 0	47,000 ------------- 0	319,347 ------------- 0	40,656 ------------- 0	1,902,846 ------------- 0	240,533 ------------- 0
19Lisa Howie Director, Investments	(i) (ii)	226,981 ------------- 0	1,270,134 ------------- 0	135,846 ------------- 0	26,805 ------------- 0	5,205 ------------- 0	1,664,971 ------------- 0	0 ------------- 0
20Murat Gunel Chair, Neurosurgery	(i) (ii)	1,124,400 ------------- 0	400,000 ------------- 0	19,500 ------------- 0	32,680 ------------- 0	46,914 ------------- 0	1,623,494 ------------- 0	0 ------------- 0
21Nita Ahuja Chair, Department of Surgery	(i) (ii)	1,381,426 ------------- 0	150,000 ------------- 0	19,500 ------------- 0	32,680 ------------- 0	38,279 ------------- 0	1,621,885 ------------- 0	0 ------------- 0
22Janet E Lindner Former VP for HR & Administration	(i) (ii)	447,680 ------------- 0	0 ------------- 0	19,500 ------------- 0	32,680 ------------- 0	10,618 ------------- 0	510,478 ------------- 0	0 ------------- 0
23Benjamin Polak Former Provost	(i) (ii)	430,172 ------------- 0	0 ------------- 0	19,500 ------------- 0	32,680 ------------- 0	630 ------------- 0	482,982 ------------- 0	0 ------------- 0
24Robert J Alpern Former Dean, School of Medicine	(i) (ii)	357,167 ------------- 0	0 ------------- 0	19,500 ------------- 0	32,680 ------------- 0	658 ------------- 0	410,005 ------------- 0	0 ------------- 0
25Dean J Takahashi Former Sr Director, Investments	(i) (ii)	174,000 ------------- 0	0 ------------- 0	183,443 ------------- 0	21,430 ------------- 0	26,596 ------------- 0	405,469 ------------- 0	0 ------------- 0

Schedule J (Form 990) 2021

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	ON OCCASION DURING THE CALENDAR YEAR 2021, THE UNIVERSITY CHARTERED PRIVATE AIRCRAFT WHEN DEEMED NECESSARY FOR THE CONDUCT OF UNIVERSITY BUSINESS, PURSUANT TO A CORPORATION POLICY. Two OFFICERs TRAVELED ON SUCH FLIGHTS IN 2021 IN ACCORDANCE WITH THE POLICY. IN ADDITION, one OFFICER TRAVELED FIRST CLASS ON A TRAIN DURING 2021 DUE TO SPECIAL CIRCUMSTANCES AND PERMITTED PURSUANT TO UNIVERSITY POLICY. UNDER APPLICABLE RULES, AMOUNTS FOR SUCH TRAVEL WERE NOT REPORTED AS TAXABLE COMPENSATION TO THE LISTED INDIVIDUALs.
Schedule J, Part I, Line 1a Travel for companions	The spouse of one officer on occasion accompanied the officer on university business. The primary purpose of the travel was to conduct university business. Under applicable rules, the cost of travel was not required to be reported as taxable compensation to the listed individual.
Schedule J, Part I, Line 1a Tax indemnification and gross-up payments	Five OFFICERS RECEIVED TAX GROSS-UP PAYMENTS DURING THE CALENDAR YEAR 2021 FOR CERTAIN LIMITED TAXABLE BENEFITS BASED ON THEIR ESTIMATED RELATED TAX OBLIGATIONS. THESE PAYMENTS WERE TREATED AS TAXABLE COMPENSATION TO THE LISTED INDIVIDUALS.
Schedule J, Part I, Line 1a Housing allowance or residence for personal use	AS A CONDITION OF HIS EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY, THE PRESIDENT IS REQUIRED TO LIVE ON CAMPUS IN AN APARTMENT WITHIN THE PRESIDENT'S HOUSE. THE ESTIMATED FAIR MARKET RENTAL VALUE OF THIS HOUSING IS INCLUDED AS A NONTAXABLE BENEFIT IN SCHEDULE J, PART II, COLUMN (D). ONE OFFICER WAS PROVIDED A UNIVERSITY RESIDENCE FOR PERSONAL USE DURING THE CALENDAR YEAR 2021. THE VALUE OF THE RESIDENCE WAS DETERMINED PURSUANT TO IRC SECTION 119(D), AS REQUIRED, AND TREATED AS TAXABLE COMPENSATION. IN ADDITION, ONE OFFICER RECEIVED A HOUSING ALLOWANCE WHICH WAS TREATED AS TAXABLE COMPENSATION TO THE INDIVIDUAL DURING THE CALENDAR YEAR 2021.
Schedule J, Part I, Line 1a Health or social club dues or initiation fees	The university paid membership dues for one key employee and one highly compensated employee during the calendar year 2021 which were used 100% for business purposes. Under applicable rules, the value of the memberships was not required to be reported as taxable compensation to the individuals.
Schedule J, Part I, Line 4b Supplemental nonqualified retirement plan	CERTAIN LISTED PERSONS PARTICIPATED IN SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLANS DURING THE CALENDAR YEAR 2021 AS DESCRIBED BELOW: THE UNIVERSITY HAS AGREED TO SUPPLEMENT THE PRESIDENT'S RETIREMENT INCOME BY MAKING AN ANNUAL CONTRIBUTION TO A NON-QUALIFIED DEFERRED COMPENSATION PLAN, SUBJECT TO VESTING CONDITIONS BASED ON CONTINUING SERVICE TO THE UNIVERSITY AND ADJUSTED FOR EARNINGS BASED ON POSITIVE PERFORMANCE OF THE ENDOWMENT. A PORTION OF THIS BENEFIT VESTED IN 2021 AND IS REFLECTED IN SCHEDULE J, PART II, COLUMN (B)(III). THE UNIVERSITY PREVIOUSLY AGREED TO SUPPLEMENT THE RETIREMENT INCOME FOR one KEY EMPLOYEE IN THE INVESTMENTS OFFICE BY PROVIDING AN ADDITIONAL RETIREMENT BENEFIT EQUAL IN VALUE TO A PERCENTAGE OF SALARY AT VESTING, FOR A TERM OF 20 YEARS, SUBJECT TO VESTING CONDITIONS BASED ON CONTINUING SERVICE TO THE UNIVERSITY. THIS BENEFIT WAS FULLY VESTED AND PAID IN 2021 AND IS REFLECTED IN SCHEDULE J, PART II, COLUMN (B)(III). IN ADDITION, THE UNIVERSITY AWARDED a BONUS TO one key EMPLOYEE IN THE INVESTMENTS OFFICE THAT was TAXED IN 2021 AND SUBJECT TO DEFERRED PAYMENT WITH ADJUSTMENTS UPWARD OR DOWNWARD DEPENDING ON PERFORMANCE OF THE ENDOWMENT. THe BONUS FOR 2021 is INCLUDED IN SCHEDULE J, PART II, COLUMN B(III). IN ADDITION, ONE FORMER Key Employee CONTINUES TO RECEIVE EARNINGS RELATED TO PREVIOUSLY AWARDED DEFERRED BONUSES UNDER THE SAME PLAN. For both employees, the earnings associated with these previously awarded deferred bonuses paid in 2021 are reflected in Schedule J, Part II, Column (B)(III).
Schedule J, Part I, Line 7 Non-fixed payments	THE UNIVERSITY PAID one KEY EMPLOYEE IN THE INVESTMENTS OFFICE a Bonus AWARDED UNDER A LONG TERM INCENTIVE COMPENSATION PLAN WHICH PROVIDES FOR PAYMENTS WHICH ARE BASED ON QUALITATIVE AND QUANTITATIVE PERFORMANCE FACTORS. THE PAYMENT is REPORTED ON SCHEDULE J, PART II, COLUMN (B)(II). THE UNIVERSITY PAID two Key Employees and three HIGHLY COMPENSATED EMPLOYEEs BONUSes UNDER A LONG TERM INCENTIVE COMPENSATION PLAN WHICH PROVIDES FOR DEFERRED VESTING CONTINGENT ON THE PERFORMANCE OF FUTURE SERVICES AND MAY CHANGE UPWARD OR DOWNWARD DEPENDING ON PERFORMANCE OF THE ENDOWMENT PRIOR TO VESTING AND PAYMENT. THE CURRENT YEAR PAYMENT THAT WAS AWARDED IN PREVIOUS YEARS IS REPORTED ON SCHEDULE J, PART II, COLUMN (B)(II). THE AMOUNT AWARDED IN THE CURRENT YEAR BUT SUBJECT TO DEFERRED VESTING IS INCLUDED AS DEFERRED COMPENSATION ON SCHEDULE J, PART II, COLUMN (C). THE UNIVERSITY ALSO PAID two HIGHLY COMPENSATED EMPLOYEES ADDITIONAL COMPENSATION PURSUANT TO CLINICAL INCENTIVE PLANS. THE PAYMENTS ARE REPORTED ON SCHEDULE J, PART II, COLUMN (B)(II).
Schedule J, Part I, Line 8 Payments on contract that is subject to the initial contract exception	THERE WERE two OFFICERS, one former officer, and one key employee WITH RESPECT TO WHOM AMOUNTS WERE REPORTED IN PART VII WHERE THOSE AMOUNTS WERE PAID OR ACCRUED PURSUANT TO A CONTRACT THAT WAS SUBJECT TO THE INITIAL CONTRACT EXCEPTION DESCRIBED IN REGS. SECTION 53.4958-4(A)(3). THE COMPENSATION WAS ALSO APPROVED PURSUANT TO PROCESSES CONSISTENT WITH THE REBUTTABLE PRESUMPTION PROCEDURE DESCRIBED IN REGS. SECTION 53.4958-6(C).
Schedule J, Part I, Line 1a Benefits provided	EACH ONE OF THE BENEFITS THAT WAS CHECKED WAS PROVIDED PURSUANT TO A WRITTEN POLICY.
Schedule J, Part II, Column (D) Nontaxable Benefits	IN ADDITION TO THE EMPLOYER COST OF HEALTH, DENTAL AND OTHER NONTAXABLE BENEFITS AVAILABLE ON A NONDISCRIMINATORY BASIS, COLUMN (D) INCLUDES AMOUNTS AWARDED AS SCHOLARSHIP GRANTS TO CHILDREN OF EMPLOYEES UNDER THE UNIVERSITY'S NONDISCRIMINATORY QUALIFIED TUITION REDUCTION PLAN COVERING ALL ELIGIBLE FACULTY AND STAFF WITH SIX OR MORE YEARS OF SERVICE.

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