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Object ID: 202221349349301517 - Rendered 2024-05-19
TIN: 53-0196549
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
20
Open to Public Inspection
Name of the organization
AMERICAN UNIVERSITY
Employer identification number
53-0196549
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 on 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 on 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
Yes
9
If "Yes" on line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)?
.........................
9
Yes
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50053T
Schedule J (Form 990) 2020
Schedule J (Form 990) 2020
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
SYLVIA M BURWELL
PRESIDENT
(i)
(ii)
832,982
-------------
0
0
-------------
0
57,450
-------------
0
156,473
-------------
0
31,960
-------------
0
1,078,865
-------------
0
0
-------------
0
2
DANIEL J MYERS
FORMER PROVOST & CAO
(i)
(ii)
660,264
-------------
0
0
-------------
0
34,274
-------------
0
15,003
-------------
0
27,440
-------------
0
736,981
-------------
0
0
-------------
0
3
DOUGLAS KUDRAVETZ
CFO, VP AND TREASURER (THRU 10/1/21)
(i)
(ii)
429,438
-------------
0
65,955
-------------
0
16,525
-------------
0
10,993
-------------
0
24,222
-------------
0
547,133
-------------
0
0
-------------
0
4
JOHN DELANEY
DEAN
(i)
(ii)
436,805
-------------
0
0
-------------
0
17,777
-------------
0
11,394
-------------
0
30,018
-------------
0
495,994
-------------
0
0
-------------
0
5
CLAUDIO GROSSMAN
PROFESSOR
(i)
(ii)
431,649
-------------
0
0
-------------
0
14,078
-------------
0
10,840
-------------
0
10,421
-------------
0
466,988
-------------
0
0
-------------
0
6
COURTNEY SURLS
VP DEVELOPMENT & ALUMNI REL
(i)
(ii)
399,488
-------------
0
0
-------------
0
12,624
-------------
0
51,361
-------------
0
2,576
-------------
0
466,049
-------------
0
0
-------------
0
7
TRAEVENA BYRD
VP, UNI. COUNSEL & BOT SEC.
(i)
(ii)
348,370
-------------
0
0
-------------
0
8,720
-------------
0
49,146
-------------
0
32,669
-------------
0
438,905
-------------
0
0
-------------
0
8
PATRICK MALONE
DIRECTOR & EXEC IN RESIDENCE
(i)
(ii)
399,291
-------------
0
0
-------------
0
139
-------------
0
9,024
-------------
0
1,391
-------------
0
409,845
-------------
0
0
-------------
0
9
HENG XU
PROFESSOR
(i)
(ii)
361,683
-------------
0
0
-------------
0
264
-------------
0
14,117
-------------
0
30,682
-------------
0
406,746
-------------
0
0
-------------
0
10
ERDAL TEKIN
PROFESSOR
(i)
(ii)
358,930
-------------
0
0
-------------
0
305
-------------
0
15,709
-------------
0
30,214
-------------
0
405,158
-------------
0
0
-------------
0
11
SETH GROSSMAN
VP OF PEOPLE & EXT REL
(i)
(ii)
307,719
-------------
0
0
-------------
0
2,653
-------------
0
45,818
-------------
0
20,323
-------------
0
376,513
-------------
0
0
-------------
0
12
PETER STARR
PROVOST & CHIEF ACADEMIC OFFICER
(i)
(ii)
342,251
-------------
0
0
-------------
0
4,962
-------------
0
15,035
-------------
0
3,512
-------------
0
365,760
-------------
0
0
-------------
0
13
FANTA AW
VP CAMPUS LIFE & IE
(i)
(ii)
293,358
-------------
0
0
-------------
0
2,158
-------------
0
45,370
-------------
0
13,130
-------------
0
354,016
-------------
0
0
-------------
0
14
ROBERT DINERSTEIN
DEAN (THRU 6/30/21)
(i)
(ii)
308,239
-------------
0
0
-------------
0
369
-------------
0
16,832
-------------
0
11,380
-------------
0
336,820
-------------
0
0
-------------
0
15
MATTHEW BENNETT
VP & CHIEF COMMUNICATIONS OFFICER
(i)
(ii)
266,254
-------------
0
0
-------------
0
321
-------------
0
28,100
-------------
0
32,264
-------------
0
326,939
-------------
0
0
-------------
0
16
SCOTT A BASS
PROF & PROVOST EMERITUS
(i)
(ii)
278,394
-------------
0
0
-------------
0
5,226
-------------
0
13,126
-------------
0
20,972
-------------
0
317,718
-------------
0
0
-------------
0
17
CORNELIUS M KERWIN
PROF & PRESIDENT EMERITUS
(i)
(ii)
261,122
-------------
0
0
-------------
0
3,384
-------------
0
13,086
-------------
0
23,721
-------------
0
301,313
-------------
0
0
-------------
0
18
CAMILLE NELSON
DEAN & PROFESSOR (THRU 7/31/20)
(i)
(ii)
255,494
-------------
0
0
-------------
0
16,745
-------------
0
11,194
-------------
0
9,668
-------------
0
293,101
-------------
0
0
-------------
0
19
STEVE MUNSON
VP & CIO
(i)
(ii)
244,210
-------------
0
0
-------------
0
288
-------------
0
12,640
-------------
0
24,447
-------------
0
281,585
-------------
0
0
-------------
0
20
DAVID G SWARTZ
FORMER VP AND CIO (THRU 7/31/20)
(i)
(ii)
176,454
-------------
0
27,008
-------------
0
8,267
-------------
0
10,123
-------------
0
12,316
-------------
0
234,168
-------------
0
0
-------------
0
Schedule J (Form 990) 2020
Schedule J (Form 990) 2020
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
HOUSING ALLOWANCES OR RESIDENCE FOR PERSONAL USE THE UNIVERSITY PROVIDES HOUSING FOR THE PRESIDENT AND HER FAMILY AS A CONDITION OF HER EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY. THE RESIDENCE IS USED FOR UNIVERSITY-RELATED BUSINESS AND ENTERTAINMENT PURPOSES ON A CONTINUAL BASIS. HEALTH CLUB AMERICAN UNIVERSITY PROVIDES MEMBERSHIPS TO VARIOUS BUSINESS CLUBS IN WASHINGTON DC FOR THE PRESIDENT AND OTHER OFFICERS. THE USE OF THE CLUBS IS LIMITED TO AMERICAN UNIVERSITY BUSINESS PURPOSES AND THE EXPENSES ARE REVIEWED ACCORDING TO EXPENSE REIMBURSEMENT POLICIES OF THE UNIVERSITY.
PART I, LINE 4B
SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN THE FOLLOWING PERSONS PARTICIPATE IN SUPPLEMENTAL NONQUALIFIED RETIREMENT PLANS WHICH ARE INCLUDED IN THE TOTALS ABOVE: FANTA AW - $29,800 MATTHEW BENNETT - $28,100 SYLVIA M. BURWELL - $135,328 TRAEVENA BYRD - $36,270 SETH GROSSMAN - $30,545 STEVE MUNSON - $10,230 COURTNEY SURLS - $40,100
PART I, LINE 7
NON-FIXED PAYMENTS OFFICERS OF THE UNIVERSITY PARTICIPATE IN A BOARD OF TRUSTEES APPROVED EXECUTIVE COMPENSATION PROGRAM WHICH INCLUDES AN INCENTIVE COMPENSATION PLAN. THE ANNUAL AMOUNT IS CAPPED AT A PERCENTAGE OF THEIR SALARY. THE PLAN IS BASED ON THE ACHIEVEMENT OF CERTAIN PROGRAMMATIC GOALS AND OBJECTIVES FOR THE OFFICERS' UNITS AND THE UNIVERSITY. THE GOALS ARE NON-REVENUE RELATED GOALS. THE PLAN IS APPROVED BY THE COMPENSATION COMMITTEE AND THE COMMITTEE REVIEWS AND APPROVES THE ANNUAL AWARDS BASED ON THE PERFORMANCE ACHIEVED ON THE AGREED-UPON GOALS.
PART I, LINES 8 AND 9
INITIAL CONTRACT EXCEPTION PRESIDENT BURWELL HAS AN EMPLOYMENT AGREEMENT WITH THE UNIVERSITY. THE TERMS OF THE EMPLOYMENT AGREEMENT MEET THE INITIAL CONTRACT EXCEPTION OF TREASURY REGULATIONS 53.4958-4(A)(3). THE AGREEMENT WAS EXECUTED USING STANDARDS ESTABLISHING THE REBUTTABLE PRESUMPTION OF REASONABLENESS.
PART II
MALONE, TEKIN AND XU APPEAR ON SCHEDULE J AS THEIR COMPENSATION INCLUDES ONE TIME PAYMENTS FOR ADDITIONAL DUTIES.
Schedule J (Form 990) 2020
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