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TIN: 36-2167817
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
Northwestern University
Employer identification number
36-2167817
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
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
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
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
Morton O Schapiro
President
(i)
(ii)
1,169,980
-------------
0
250,000
-------------
0
237,229
-------------
0
269,762
-------------
0
262,625
-------------
0
2,189,596
-------------
0
104,167
-------------
0
2
Jonathan Holloway
Provost
(i)
(ii)
638,958
-------------
0
50,000
-------------
0
150,649
-------------
0
39,167
-------------
0
41,001
-------------
0
919,775
-------------
0
0
-------------
0
3
Pamela S Beemer
VP for Human Resources
(i)
(ii)
399,021
-------------
0
10,000
-------------
0
20,215
-------------
0
27,500
-------------
0
4,700
-------------
0
461,436
-------------
0
0
-------------
0
4
Paul Castellucci
VP Budget and Planning
(i)
(ii)
396,639
-------------
0
35,000
-------------
0
240
-------------
0
27,500
-------------
0
741
-------------
0
460,120
-------------
0
0
-------------
0
5
Alex Darragh
VP for Facilities Management
(i)
(ii)
241,891
-------------
0
0
-------------
0
0
-------------
0
0
-------------
0
0
-------------
0
241,891
-------------
0
0
-------------
0
6
Stephanie Graham
VP General Counsel
(i)
(ii)
430,530
-------------
0
15,000
-------------
0
31,802
-------------
0
47,500
-------------
0
69,283
-------------
0
594,115
-------------
0
0
-------------
0
7
Devora Grynspan
VP International Relations
(i)
(ii)
243,831
-------------
0
0
-------------
0
1,715
-------------
0
24,968
-------------
0
10,217
-------------
0
280,731
-------------
0
0
-------------
0
8
Philip L Harris
VP General Counsel
(i)
(ii)
628,543
-------------
0
100,000
-------------
0
115,709
-------------
0
77,500
-------------
0
19,383
-------------
0
941,135
-------------
0
0
-------------
0
9
Craig A Johnson
Senior Vice President
(i)
(ii)
721,509
-------------
0
92,700
-------------
0
29,853
-------------
0
139,167
-------------
0
7,874
-------------
0
991,103
-------------
0
0
-------------
0
10
Marilyn McCoy
VP Administration & Planning
(i)
(ii)
456,247
-------------
0
0
-------------
0
18,918
-------------
0
27,500
-------------
0
24,254
-------------
0
526,919
-------------
0
0
-------------
0
11
William H McLean
VP and Chief Investment Officer
(i)
(ii)
891,582
-------------
0
565,557
-------------
0
20,084
-------------
0
426,741
-------------
0
22,046
-------------
0
1,926,010
-------------
0
312,007
-------------
0
12
Robert E McQuinn
VP for Development
(i)
(ii)
624,040
-------------
0
125,000
-------------
0
185,146
-------------
0
225,833
-------------
0
35,434
-------------
0
1,195,453
-------------
0
86,667
-------------
0
13
Eric G Neilson
VP Medical Affairs
(i)
(ii)
593,266
-------------
0
0
-------------
0
8,149
-------------
0
19,833
-------------
0
3,248
-------------
0
624,496
-------------
0
0
-------------
0
14
Julie Payne-Kirchmeier
VP for Student Affairs
(i)
(ii)
218,547
-------------
0
10,000
-------------
0
24,360
-------------
0
21,986
-------------
0
4,360
-------------
0
279,253
-------------
0
0
-------------
0
15
James J Phillips
VP Athletics
(i)
(ii)
1,204,465
-------------
0
580,000
-------------
0
357,948
-------------
0
147,500
-------------
0
37,760
-------------
0
2,327,673
-------------
0
0
-------------
0
16
Sean Reynolds
VP and Chief Information Officer
(i)
(ii)
479,745
-------------
0
0
-------------
0
57,227
-------------
0
27,500
-------------
0
8,006
-------------
0
572,478
-------------
0
0
-------------
0
17
Patricia Telles-Irvin
VP Student Affairs
(i)
(ii)
409,647
-------------
0
50,000
-------------
0
67,384
-------------
0
27,500
-------------
0
27,238
-------------
0
581,769
-------------
0
0
-------------
0
18
Joseph T Walsh Jr
VP for Research
(i)
(ii)
383,280
-------------
0
0
-------------
0
19,532
-------------
0
25,796
-------------
0
59,517
-------------
0
488,125
-------------
0
0
-------------
0
19
Patrick W Fitzgerald II
Head Coach
(i)
(ii)
4,063,896
-------------
0
410,000
-------------
0
684,785
-------------
0
27,500
-------------
0
32,477
-------------
0
5,218,658
-------------
0
0
-------------
0
20
Christopher R Collins
Head Coach
(i)
(ii)
2,755,120
-------------
0
0
-------------
0
46,800
-------------
0
77,500
-------------
0
12,991
-------------
0
2,892,411
-------------
0
0
-------------
0
21
Maciej S Lesniak
Professor Neurological Surgery
(i)
(ii)
1,455,413
-------------
0
0
-------------
0
360
-------------
0
25,444
-------------
0
746
-------------
0
1,481,963
-------------
0
0
-------------
0
22
Florian Zettelmeyer
Professor, Kellogg
(i)
(ii)
374,489
-------------
0
0
-------------
0
915,008
-------------
0
27,500
-------------
0
8,006
-------------
0
1,325,003
-------------
0
0
-------------
0
23
Eric T Anderson
Professor, Kellogg
(i)
(ii)
380,665
-------------
0
0
-------------
0
882,160
-------------
0
27,500
-------------
0
57,964
-------------
0
1,348,289
-------------
0
0
-------------
0
24
Daniel I Linzer
Former Provost
(i)
(ii)
0
-------------
0
0
-------------
0
1,042,101
-------------
0
25,000
-------------
0
26,660
-------------
0
1,093,761
-------------
0
225,000
-------------
0
25
Ingrid S Stafford
Former VP for Financial Operations
(i)
(ii)
346,080
-------------
0
0
-------------
0
20,914
-------------
0
27,500
-------------
0
3,948
-------------
0
398,442
-------------
0
0
-------------
0
26
Alan Cubbage
Former VP University Relations
(i)
(ii)
173,729
-------------
0
0
-------------
0
190,983
-------------
0
27,000
-------------
0
15,834
-------------
0
407,546
-------------
0
0
-------------
0
27
Nimalan Chinniah
Former Executive Vice President
(i)
(ii)
294,430
-------------
0
0
-------------
0
393,825
-------------
0
27,250
-------------
0
4,316
-------------
0
719,821
-------------
0
90,000
-------------
0
28
John L D'Angelo
Former VP for Facilities Management
(i)
(ii)
251,076
-------------
0
0
-------------
0
571,422
-------------
0
25,848
-------------
0
14,372
-------------
0
862,718
-------------
0
0
-------------
0
Schedule J (Form 990) 2018
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
SCHEDULE J SUPPLEMENTAL INFORMATION
Schedule J, Part III Part VII, line 5
Alex Darragh's services as Vice President for Facilities Management were contracted for from an unrelated party, CBRE Group, Inc. $241,891 fees were payable to the third party for such services.
Schedule J, Part I, Line 1a First-class or charter travel
Charter airplane travel to the University's annual Bowl game was provided to two listed persons and their family members and was not treated as taxable compensation under the excess seating capacity exception. Seven interested persons were provided charter travel and was treated as a business expense. The President is permitted to travel first class. One other officer was provided non-routine first class travel. The first class travel was treated as a business expense and not treated as taxable compensation.
Schedule J, Part I, Line 1a Travel for companions
The President's spouse has accompanied the President at development events for business purposes and such expenses were not treated as taxable compensation. Four listed persons received companion travel. Companion travel for family members of two interested persons qualified under the excess seating capacity exception for charter travel, and companion travel for two interested persons were treated as a business expense.
Schedule J, Part I, Line 1a Tax indemnification and gross-up payments
Six listed persons received gross up payments in connection with certain benefits and such amounts were treated as taxable compensation.
Schedule J, Part I, Line 1a Housing allowance or residence for personal use
The President is required to reside in University-owned housing which is provided for the convenience of the University and is not treated as a taxable compensation pursuant to Internal Revenue Code Section 119. The annual fair market rental value of the housing is included in nontaxable benefits listed on Schedule J, Part II, column (D). Eight other listed persons were provided with housing or a housing allowance and the amounts were treated as taxable compensation.
Schedule J, Part I, Line 1a Health or social club dues or initiation fees
The President was extended memberships in organizations that are held in the President's individual name but that reflect institutional business requirements and are not treated as taxable compensation. Five listed persons received reimbursement for social club dues, which were treated as taxable compensation.
Schedule J, Part I, Line 1a Personal services
In connection with the University-provided presidential housing, the University provides maid/cleaning services at the President's University residence. The value of the benefit for cleaning services associated with the personal living quarters is treated as taxable compensation. Nominal chauffeur services were provided to the President and the value of the benefit is treated as taxable compensation. Personal services related to housing was extended to one other interested person and was treated as taxable compensation.
Schedule J, Part I, Line 4a Severance or change-of-control payment
IN CONNECTION WITH SEPARATION OR RETIREMENT FROM NORTHWESTERN UNIVERSITY, THE FOLLOWING RECEIVED COMPENSATION IN THE AMOUNTS DESCRIBED, WHICH WERE INCLUDED IN PART II, COLUMN B (III). JOHN D'ANGELO: $543,100 ALAN CUBBAGE: $164,768 DANIEL LINZER: $700,000 PHILIP HARRIS: $95,625
Schedule J, Part I, Line 4b Supplemental nonqualified retirement plan
The following participated in a 457(f) nonqualified retirement plan and the amounts are subject to substantial risk of forfeiture and vest after a number of years Name and amount contributed: Morton Schapiro ($242.263), Jonathan Holloway ($11,667), Craig Johnson ($111,667), Philip Harris ($50,000), Robert McQuinn ($198,333), James Phillips ($120,000). William McLean ($399,241), Christopher Collins ($50,000), Stephanie Graham ($20,000) Name and amount paid: Morton Schapiro ($153,732), William McLean ($312,007), Robert McQuinn ($143,151), Daniel Linzer ($341,845), Nimalan Chinniah ($336,527)
Schedule J (Form 990) 2018
Additional Data
Software ID:
18007697
Software Version:
2018v3.1