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TIN: 13-5562308
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
NEW YORK UNIVERSITY
Employer identification number
13-5562308
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
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) 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
ANDREW HAMILTON
TRUSTEE & PRESIDENT
(i)
(ii)
1,517,998
-------------
0
0
-------------
0
0
-------------
0
396,693
-------------
0
193,852
-------------
0
2,108,543
-------------
0
0
-------------
0
2
MARTIN DORPH
EXECUTIVE VICE PRESIDENT
(i)
(ii)
831,431
-------------
0
0
-------------
0
70,000
-------------
0
28,500
-------------
0
26,079
-------------
0
956,010
-------------
0
0
-------------
0
3
KATHERINE FLEMING
PROVOST
(i)
(ii)
888,322
-------------
0
0
-------------
0
108,000
-------------
0
28,500
-------------
0
171
-------------
0
1,024,993
-------------
0
0
-------------
0
4
ROBERT GROSSMAN
EVP, NYU LANGONE HEALTH
(i)
(ii)
1,855,820
-------------
1,855,820
0
-------------
0
1,959,237
-------------
1,959,237
2,501,822
-------------
2,501,822
21,081
-------------
21,081
6,337,960
-------------
6,337,960
1,942,664
-------------
1,942,664
5
TERRANCE NOLAN
GEN.COUNSEL & SECRETARY (END:1/3/21)
(i)
(ii)
709,305
-------------
0
0
-------------
0
0
-------------
0
28,500
-------------
0
18,231
-------------
0
756,036
-------------
0
0
-------------
0
6
STEPHANIE PIANKA
CFO
(i)
(ii)
632,958
-------------
0
0
-------------
0
0
-------------
0
28,500
-------------
0
10,599
-------------
0
672,057
-------------
0
0
-------------
0
7
PIETRINA SCARAGLINO
ASSOCIATE SECRETARY (END:12/1/20)
(i)
(ii)
388,229
-------------
5,203
0
-------------
0
0
-------------
0
28,500
-------------
0
26,631
-------------
0
443,360
-------------
5,203
0
-------------
0
8
ROBERT CASHION
SVP OF DEVEL. & ALUMNI RELATIONS
(i)
(ii)
799,580
-------------
0
0
-------------
0
40,327
-------------
0
28,500
-------------
0
26,079
-------------
0
894,486
-------------
0
0
-------------
0
9
LINDA CHIARELLI
SVP OF CAP PROJECTS & FACILITIES
(i)
(ii)
704,370
-------------
0
50,000
-------------
0
0
-------------
0
28,500
-------------
0
9,891
-------------
0
792,761
-------------
0
0
-------------
0
10
KATHLEEN JACOBS
CHIEF INVESTMENT OFFICER
(i)
(ii)
764,618
-------------
0
731,478
-------------
0
0
-------------
0
28,500
-------------
0
10,599
-------------
0
1,535,195
-------------
0
0
-------------
0
11
LINDA MILLS
VC. GLOBAL PROGRAMS
(i)
(ii)
731,593
-------------
0
0
-------------
0
0
-------------
0
28,500
-------------
0
26,079
-------------
0
786,172
-------------
0
0
-------------
0
12
JANINE WILCOX
TREASURER
(i)
(ii)
290,765
-------------
0
0
-------------
0
0
-------------
0
28,500
-------------
0
9,771
-------------
0
329,036
-------------
0
0
-------------
0
13
JOHN A BENDO
VICE CHAIR, ORTHOPEDIC SURGERY
(i)
(ii)
2,087,271
-------------
821,007
0
-------------
0
23,957
-------------
9,423
22,607
-------------
8,892
31,006
-------------
12,196
2,164,841
-------------
851,518
0
-------------
0
14
ANTHONY K FREMPONG-BOADU
DIR. DIV. OF SPINAL NEUROSURGERY
(i)
(ii)
3,363,351
-------------
0
0
-------------
0
1,139
-------------
0
32,500
-------------
0
40,143
-------------
0
3,437,133
-------------
0
0
-------------
0
15
ANTHONY GAMBINO
CLINICAL ASSISTANT PROFESSOR
(i)
(ii)
1,476,368
-------------
0
1,363,600
-------------
0
3,185
-------------
0
31,501
-------------
0
27,736
-------------
0
2,902,390
-------------
0
0
-------------
0
16
JOHN G GOLFINOS
CHAIR, NEUROSURGERY
(i)
(ii)
2,522,490
-------------
340,072
2,952
-------------
398
3,892
-------------
525
32,192
-------------
4,340
39,899
-------------
5,379
2,601,425
-------------
350,714
0
-------------
0
17
RALPH S MOSCA
DIRECTOR CONGENITAL HEART CENTER
(i)
(ii)
3,297,507
-------------
0
0
-------------
0
2,891
-------------
0
31,674
-------------
0
32,187
-------------
0
3,364,259
-------------
0
0
-------------
0
18
DAVID W MCLAUGHLIN
FORMER PROVOST
(i)
(ii)
404,910
-------------
0
0
-------------
0
0
-------------
0
28,500
-------------
0
18,231
-------------
0
451,641
-------------
0
0
-------------
0
19
JOHN E SEXTON
FORMER PRESIDENT
(i)
(ii)
513,058
-------------
0
0
-------------
0
276,917
-------------
0
28,500
-------------
0
9,891
-------------
0
828,366
-------------
0
0
-------------
0
20
THOMAS J CAREW
FORMER DEAN OF FAS
(i)
(ii)
535,193
-------------
0
0
-------------
0
0
-------------
0
28,500
-------------
0
18,231
-------------
0
581,924
-------------
0
0
-------------
0
21
DAVID KOEHLER
FORMER INT. SVP FOR DEVELOPMENT
(i)
(ii)
134,483
-------------
0
0
-------------
0
0
-------------
0
13,684
-------------
0
4,558
-------------
0
152,725
-------------
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
ONE FORMER OFFICER TRAVELED FIRST CLASS FOR BUSINESS TRAVEL WHICH WAS DETERMINED TO BE AN ORDINARY AND NECESSARY BUSINESS EXPENSE AND THEREFORE NOT TREATED AS TAXABLE INCOME. THE SPOUSE OF ONE OFFICER ON OCCASION ACCOMPANIED THE OFFICER ON UNIVERSITY BUSINESS. THE PRIMARY PURPOSE OF THE TRAVEL WAS TO CONDUCT UNIVERSITY BUSINESS INCLUDING SUPPORTING UNIVERSITY RELATIONS, CULTIVATING DONORS FOR THE PURPOSE OF LOCAL, NATIONAL, AND INTERNATIONAL FUNDRAISING, ASSISTING WITH OFFICIAL EVENTS FOR FACULTY, TRUSTEES, DONORS, ALUMNI, COMMUNITY AND REPRESENTING THE UNIVERSITY AT OFFICIAL FUNCTIONS. UNDER APPLICABLE RULES, THE COST OF THE TRAVEL WAS NOT REQUIRED TO BE REPORTED AS TAXABLE COMPENSATION TO THE OFFICER. ONE OFFICER RECEIVED UNIVERSITY HOUSING WITHOUT CHARGE. THE HOUSING QUALIFIED FOR EXCLUSION FROM TAX UNDER IRC 119. ONE OFFICER HAS A CAR AND DRIVER AVAILABLE FOR USE, AND INCOME WAS IMPUTED ON THEIR PERSONAL USE OF THE VEHICLE AND DRIVER. ONE OF THE FIVE HIGHEST COMPENSATED EMPLOYEES RECEIVED A REIMBURSEMENT FOR SOCIAL CLUB DUES DURING THE REPORTING PERIOD. ONE FORMER OFFICER AND ONE OFFICER RECEIVED TAX GROSS-UP PAYMENTS WHICH WERE INCLUDED IN THEIR TAXABLE INCOMES.
PART I, LINE 4B
PRESIDENT EMERITUS SEXTON RECEIVED CERTAIN RETIREMENT PAYMENTS (THE "SERP ANNUAL PAYMENTS") REDUCED BY RETIREMENT PAYMENTS OTHERWISE OWED TO DR. SEXTON AND TAX PAYMENTS MADE ON HIS BEHALF THAT HAVE BEEN PREVIOUSLY DISCLOSED. PRESIDENT HAMILTON SHALL RECEIVE A PAYMENT OF TWO HUNDRED FIFTY THOUSAND DOLLARS IN DEFERRED COMPENSATION FOR EVERY YEAR OF COMPLETED SERVICE AS PRESIDENT SHOULD HE SERVE THE ENTIRE FIVE YEAR TERM. EACH ANNUAL INSTALLMENT SHALL BE CREDITED WITH EARNINGS AT A RATE AGREED UPON BETWEEN DR. HAMILTON AND THE UNIVERSITY. ROBERT GROSSMAN, MD - DEAN OF NYU GROSSMAN SCHOOL OF MEDICINE- PARTICIPATED IN A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN (SERP) AND A LONG TERM INCENTIVE PLAN ("LTI") DURING CALENDAR YEAR 2020. THE SERP AND LTI EMPLOYER CONTRIBUTIONS WERE MADE PURSUANT TO A NEGOTIATED AGREEMENT WITH DR. GROSSMAN AND TOTALED $4,269,178 AND $734,467, RESPECTIVELY, IN CALENDAR 2020. THESE AMOUNTS ARE REPORTED AS A SHARED COST BETWEEN NYU LANGONE HEALTH AND NYU GROSSMAN SCHOOL OF MEDICINE ("SOM"). THE SERP AND LTI CONTRIBUTIONS WERE MADE PURSUANT TO A NEGOTIATED AGREEMENT WITH DR. GROSSMAN.
PART I, LINE 7
TWO HIGHEST PAID EMPLOYEES RECEIVED COMPENSATION OVER BASE SALARY INCLUDING THE BONUS DETERMINED BY THE ORGANIZATION'S COMPENSATION COMMITTEE, DETERMINED AS REASONABLE.
FORM 990, SCHEDULE J, PART II, COL. (F)
DR. GROSSMAN'S OTHER REPORTABLE COMPENSATION (COL. B)(III) INCLUDES A TAXABLE SERP OF $3,885,328 DURING CALENDAR YEAR 2020. THIS AMOUNT INCLUDES SERP CONTRIBUTIONS PREVIOUSLY REPORTED ON A PRIOR FORM 990 AS DEFERRED COMPENSATION. THESE AMOUNTS ARE REPORTED AS A SHARED COST BETWEEN NYU LANGONE HEALTH AND NYU GROSSMAN SCHOOL OF MEDICINE ("SOM").
Schedule J (Form 990) 2020
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