IThe organization may have to use a copy of this return to satisfy state reporting requirements. Inspection

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1 For ½½ Return of Organization Exept Fro Incoe Tax Under section 51(c), 527, or 4947(a)(1) of the Internal Revenue Code (except black lung benefit trust or private foundation) OMB No À¾µµ Open to Public Departent of the Treasury Internal Revenue Service IThe organization ay have to use a copy of this return to satisfy state reporting requireents. Inspection A For the 211 calendar year, or tax year beginning B Check if applicable: I J Address change Nae change Initial return C Nae of organization Doing Business As Nuber and street (or P.O. box if ail is not delivered to street address) 7/1, 211, and ending 6/3, 2 12 D Eployer identification nuber Roo/suite E Telephone nuber Terinated City or town, state or country, and ZIP + 4 Aended return LOS ANGELES, CA G Gross receipts $ 3,67,154,572. Application F Nae and address of principal officer: H(a) Is this a group return for Yes No pending DR. CHRYSOSTOMOS L NIKIAS affiliates? UNIVERSITY GARDENS-UGB23 LOS ANGELES, CA H(b) Are all affiliates included? Yes No Tax-exept status: 51(c)(3) 51(c) ( ) (insert no.) 4947(a)(1) or 527 If "No," attach a list. (see instructions) J Website: H(c) Group exeption nuber I CA Part I 1 Briefly describe the organization's ission or ost significant activities: SEE SCHEDULE O K For of organization: Corporation Trust Association Other L Year of foration: M State of legal doicile: Suary Activities & Governance Revenue Expenses Net Assets or Fund Balances a b a b Part II UNIVERSITY GARDENS UGB23 (213) I Check this box if the organization discontinued its operations or disposed of ore than 25% of its net assets. Nuber of voting ebers of the governing body (Part VI, line 1a) 3 Nuber of independent voting ebers of the governing body (Part VI, line 1b) 4 Total nuber of individuals eployed in calendar year 211 (Part V, line 2a) 5 Total nuber of volunteers (estiate if necessary) 6 Total unrelated business revenue fro Part VIII, colun (C), line 12 7a Net unrelated business taxable incoe fro For 99-T, line 34 7b Prior Year Contributions and grants (Part VIII, line 1h) Progra service revenue (Part VIII, line 2g) Investent incoe (Part VIII, colun (A), lines 3, 4, and 7d) Other revenue (Part VIII, colun (A), lines 5, 6d, 8c, 9c, 1c, and 11e) I Total revenue - add lines 8 through 11 (ust equal Part VIII, colun (A), line 12) Grants and siilar aounts paid (Part I, colun (A), lines 1-3) Benefits paid to or for ebers (Part I, colun (A), line 4) Salaries, other copensation, eployee benefits (Part I, colun (A), lines 5-1) Professional fundraising fees (Part I, colun (A), line 11e) Total fundraising expenses (Part I, colun (D), line 25) Other expenses (Part I, colun (A), lines 11a-11d, 11f-24e) Total expenses. Add lines (ust equal Part I, colun (A), line 25) Revenue less expenses. Subtract line 18 fro line 12 Total assets (Part, line 16) Total liabilities (Part, line 26) Net assets or fund balances. Subtract line 21 fro line 2 Signature Block I 43,46,32. Beginning of Current Year I Current Year End of Year ,1. 53,792,988. 1,29,333, ,815,47. 2,417,92,422. 2,595,198, ,738, ,13,46. 2,29,335. 2,394,879. 3,656,282,366. 3,66,539, ,476, ,149,397. 1,727,326,128. 1,898,194,37. 1,16,78,871. 1,67,467,561. 3,112,881,21. 3,381,811, ,41, ,727,837. 7,321,98,89. 7,759,326,87. 1,868,21,87. 2,243,92,48. 5,453,769,939. 5,515,46,759. Under penalties of perjury, I declare that I have exained this return, including accopanying schedules and stateents, and to the best of y knowledge and belief, it is true, correct, and coplete. Declaration of preparer (other than officer) is based on all inforation of which preparer has any knowledge. Sign Here M Signature of officer Date M Type or print nae and title Print/Type preparer's nae Preparer's signature Date Check if PTIN Paid GWEN SPENCER self-eployed P Preparer Fir's nae Use Only PRICEWATERHOUSECOOPERS LLP Fir's EIN I Fir's address I125 HIGH STREET BOSTON, MA 211 Phone no May the IRS discuss this return with the preparer shown above? (see instructions) Yes No For Paperwork Reduction Act Notice, see the separate instructions. For 99 (211) 1E J 7377

2 For 99 (211) Page 2 Part III Stateent of Progra Service Accoplishents Check if Schedule O contains a response to any question in this Part III 1 Briefly describe the organization's ission: SEE SCHEDULE O 2 Did the organization undertake any significant progra services during the year which were not listed on the prior For 99 or 99-EZ? Yes No If "Yes," describe these new services on Schedule O. 3 Did the organization cease conducting, or ake significant changes in how it conducts, any progra services? Yes No If "Yes," describe these changes on Schedule O. 4 Describe the organization's progra service accoplishents for each of its three largest progra services, as easured by expenses. Section 51(c)(3) and 51(c)(4) organizations and section 4947(a)(1) trusts are required to report the aount of grants and allocations to others, the total expenses, and revenue, if any, for each progra service reported. 4a (Code: ) (Expenses $ 1,478,916,69. including grants of $ 411,423,677. ) (Revenue $ 1,365,963,351. ) INSTRUCTION: 17,414 STUDENTS IN UNDERGRADUATE CLASSES: 2,596 STUDENTS IN GRADUATE AND PROFESSIONAL CLASSES: 4,539 BACHELOR DEGREES CONFERRED AND 7,654 ADVANCED DEGREES CONFERRED IN b (Code: ) (Expenses $ 889,93,. including grants of $ ) (Revenue $ 597,831,556. ) HEALTH CARE SERVICES: THE DOCTORS OF USC ARE MORE THAN 5 PHYSICIANS AND SPECIALISTS WHO ARE FULL-TIME FACULTY MEMBERS OF THE KECK SCHOOL OF MEDICINE OF USC. USC PHYSICIANS PRACTICE AT KECK HOSPITAL OF USC, USC NORRIS CANCER HOSPITAL, DOHENY EYE INSTITUTE, HEALTH CARE CENTERS ON THE HEALTH SCIENCES CAMPUS AND IN DOWNTOWN LOS ANGELES, AND AT LOS ANGELES COUNTY & USC MEDICAL CENTER AND CHILDRENS HOSPITAL LOS ANGELES. 4c (Code: ) (Expenses $ 285,691,. including grants of $ ) (Revenue $ 254,857,238. ) AUILIARY ENTERPRISES: APPROIMATELY 37, STUDENTS AND 16, FACULTY AND STAFF ARE SERVED BY THE BOOKSTORE, DINING SERVICES, HOUSING, PARKING FACILITIES AND OTHER SERVICES THAT SUPPORT EDUCATIONAL ACTIVITIES. 4d Other progra services (Describe in Schedule O.) (Expenses $ 394,935,362. including grants of $ 4,754,362. ) (Revenue $ 376,546,688. ) 4e Total progra service expenses 3,49,445,431. 1E J 7377 I For 99 (211)

3 For 99 (211) Page 3 Part IV Checklist of Required Schedules Is the organization described in section 51(c)(3) or 4947(a)(1) (other than a private foundation)? If "Yes," coplete Schedule A 1 Is the organization required to coplete Schedule B, Schedule of Contributors (see instructions)? 2 Did the organization engage in direct or indirect political capaign activities on behalf of or in opposition to candidates for public office? If "Yes," coplete Schedule C, Part I 3 Section 51(c)(3) organizations. Did the organization engage in lobbying activities, or have a section 51(h) election in effect during the tax year? If "Yes," coplete Schedule C, Part II 4 Is the organization a section 51(c)(4), 51(c)(5), or 51(c)(6) organization that receives ebership dues, assessents, or siilar aounts as defined in Revenue Procedure 98-19? If "Yes," coplete Schedule C, Part III 5 Did the organization aintain any donor advised funds or any siilar funds or accounts for which donors have the right to provide advice on the distribution or investent of aounts in such funds or accounts? If "Yes," coplete Schedule D, Part I 6 Did the organization receive or hold a conservation easeent, including easeents to preserve open space, the environent, historic land areas, or historic structures? If "Yes," coplete Schedule D, Part II 7 Did the organization aintain collections of works of art, historical treasures, or other siilar assets? If "Yes," coplete Schedule D, Part III 8 Did the organization report an aount in Part, line 21; serve as a custodian for aounts not listed in Part ; or provide credit counseling, debt anageent, credit repair, or debt negotiation services? If "Yes," coplete Schedule D, Part IV 9 Did the organization, directly or through a related organization, hold assets in teporarily restricted endowents, peranent endowents, or quasi-endowents? If "Yes," coplete Schedule D, Part V 1 11 If the organization s answer to any of the following questions is "Yes," then coplete Schedule D, Parts VI, VII, VIII, I, or as applicable. a Did the organization report an aount for land, buildings, and equipent in Part, line 1? If "Yes," coplete Schedule D, Part VI 11a b Did the organization report an aount for investents other securities in Part, line 12 that is 5% or ore of its total assets reported in Part, line 16? If "Yes," coplete Schedule D, Part VII 11b c Did the organization report an aount for investents-progra related in Part, line 13 that is 5% or ore of its total assets reported in Part, line 16? If "Yes," coplete Schedule D, Part VIII 11c d Did the organization report an aount for other assets in Part, line 15 that is 5% or ore of its total assets reported in Part, line 16? If "Yes," coplete Schedule D, Part I 11d e Did the organization report an aount for other liabilities in Part, line 25? If "Yes," coplete Schedule D, Part 11e f Did the organization s separate or consolidated financial stateents for the tax year include a footnote that addresses the organization's liability for uncertain tax positions under FIN 48 (ASC 74)? If "Yes," coplete Schedule D, Part 11f 12 a Did the organization obtain separate, independent audited financial stateents for the tax year? If "Yes," coplete Schedule D, Parts I, II, and III 12a b Was the organization included in consolidated, independent audited financial stateents for the tax year? If "Yes," and if the organization answered "No" to line 12a, then copleting Schedule D, Parts I, II, and III is optional 12b 13 Is the organization a school described in section 17(b)(1)(A)(ii)? If "Yes," coplete Schedule E a Did the organization aintain an office, eployees, or agents outside of the United States? 14a b a b 1E Did the organization have aggregate revenues or expenses of ore than $1, fro grantaking, fundraising, business, investent, and progra service activities outside the United States, or aggregate foreign investents valued at $1, or ore? If "Yes," coplete Schedule F, Parts I and IV 14b Did the organization report on Part I, colun (A), line 3, ore than $5, of grants or assistance to any organization or entity located outside the United States? If "Yes," coplete Schedule F, Parts II and IV 15 Did the organization report on Part I, colun (A), line 3, ore than $5, of aggregate grants or assistance to individuals located outside the United States? If "Yes," coplete Schedule F, Parts III and IV 16 Did the organization report a total of ore than $15, of expenses for professional fundraising services on Part I, colun (A), lines 6 and 11e? If "Yes," coplete Schedule G, Part I (see instructions) 17 Did the organization report ore than $15, total of fundraising event gross incoe and contributions on Part VIII, lines 1c and 8a? If "Yes," coplete Schedule G, Part II 18 Did the organization report ore than $15, of gross incoe fro gaing activities on Part VIII, line 9a? If "Yes," coplete Schedule G, Part III 19 Did the organization operate one or ore hospital facilities? If "Yes," coplete Schedule H 2a If "Yes" to line 2a, did the organization attach a copy of its audited financial stateents to this return? 2b 7959J 7377 Yes No For 99 (211)

4 For 99 (211) Page 4 Part IV Checklist of Required Schedules (continued) 21 Did the organization report ore than $5, of grants and other assistance to any governent or organization in the United States on Part I, colun (A), line 1? If "Yes," coplete Schedule I, Parts I and II Did the organization report ore than $5, of grants and other assistance to individuals in the United States on Part I, colun (A), line 2? If "Yes," coplete Schedule I, Parts I and III Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about copensation of the organization's current and forer officers, directors, trustees, key eployees, and highest copensated eployees? If "Yes," coplete Schedule J a Did the organization have a tax-exept bond issue with an outstanding principal aount of ore than $1, as of the last day of the year, that was issued after Deceber 31, 22? If "Yes," answer lines 24b through 24d and coplete Schedule K. If No, go to line a b Did the organization invest any proceeds of tax-exept bonds beyond a teporary period exception? 24b c Did the organization aintain an escrow account other than a refunding escrow at any tie during the year to defease any tax-exept bonds? 24c d Did the organization act as an "on behalf of" issuer for bonds outstanding at any tie during the year? 24d 25 a Section 51(c)(3) and 51(c)(4) organizations. Did the organization engage in an excess benefit transaction with a disqualified person during the year? If "Yes," coplete Schedule L, Part I 25a b Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, and that the transaction has not been reported on any of the organization's prior Fors 99 or 99-EZ? If "Yes," coplete Schedule L, Part I 25b 26 Was a loan to or by a current or forer officer, director, trustee, key eployee, highly copensated eployee, or disqualified person outstanding as of the end of the organization's tax year? If "Yes," coplete Schedule L, Part II Did the organization provide a grant or other assistance to an officer, director, trustee, key eployee, substantial contributor or eployee thereof, a grant selection coittee eber, or to a 35% controlled entity or faily eber of any of these persons? If "Yes," coplete Schedule L, Part III Was the organization a party to a business transaction with one of the following parties (see Schedule L, Part IV instructions for applicable filing thresholds, conditions, and exceptions): a A current or forer officer, director, trustee, or key eployee? If "Yes," coplete Schedule L, Part IV 28a b A faily eber of a current or forer officer, director, trustee, or key eployee? If "Yes," coplete Schedule L, Part IV 28b c An entity of which a current or forer officer, director, trustee, or key eployee (or a faily eber thereof) was an officer, director, trustee, or direct or indirect owner? If "Yes," coplete Schedule L, Part IV 28c 29 Did the organization receive ore than $25, in non-cash contributions? If "Yes," coplete Schedule M 29 3 Did the organization receive contributions of art, historical treasures, or other siilar assets, or qualified conservation contributions? If "Yes," coplete Schedule M 3 31 Did the organization liquidate, terinate, or dissolve and cease operations? If "Yes," coplete Schedule N, Part I Did the organization sell, exchange, dispose of, or transfer ore than 25% of its net assets? If "Yes," coplete Schedule N, Part II Did the organization own 1% of an entity disregarded as separate fro the organization under Regulations sections and ? If "Yes," coplete Schedule R, Part I Was the organization related to any tax-exept or taxable entity? If "Yes," coplete Schedule R, Parts II, III, IV, and V, line a Did the organization have a controlled entity within the eaning of section 512(b)(13)? 35a b Did the organization receive any payent fro or engage in any transaction with a controlled entity within the eaning of section 512(b)(13)? If "Yes," coplete Schedule R, Part V, line 2 35b 36 Section 51(c)(3) organizations. Did the organization ake any transfers to an exept non-charitable related organization? If "Yes," coplete Schedule R, Part V, line Did the organization conduct ore than 5% of its activities through an entity that is not a related organization and that is treated as a partnership for federal incoe tax purposes? If "Yes," coplete Schedule R, Part VI Did the organization coplete Schedule O and provide explanations in Schedule O for Part VI, lines 11 and 19? Note. All For 99 filers are required to coplete Schedule O. 38 For 99 (211) Yes No 1E J 7377

5 For 99 (211) Page 5 Part V 1 a b c Stateents Regarding Other IRS Filings and Tax Copliance Check if Schedule O contains a response to any question in this Part V Enter the nuber reported in Box 3 of For 196. Enter -- if not applicable 1a Enter the nuber of Fors W-2G included in line 1a. Enter -- if not applicable 1b Did the organization coply with backup withholding rules for reportable payents to vendors and reportable gaing (gabling) winnings to prize winners? 1c 2a Enter the nuber of eployees reported on For W-3, Transittal of Wage and Tax Stateents, filed for the calendar year ending with or within the year covered by this return 2a 26,1 b If at least one is reported on line 2a, did the organization file all required federal eployent tax returns? 2b Note. If the su of lines 1a and 2a is greater than 25, you ay be required to e-file (see instructions) 3a Did the organization have unrelated business gross incoe of $1, or ore during the year? 3a b If "Yes," has it filed a For 99-T for this year? If "No," provide an explanation in Schedule O 3b 4a At any tie during the calendar year, did the organization have an interest in, or a signature or other authority over, a financial account in a foreign country (such as a bank account, securities account, or other financial account)? 4a b If Yes, enter the nae of the foreign country: IATTACHMENT 1 See instructions for filing requireents for For TD F , Report of Foreign Bank and Financial Accounts. 5a Was the organization a party to a prohibited tax shelter transaction at any tie during the tax year? 5a b Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction? 5b c If "Yes" to line 5a or 5b, did the organization file For 8886-T? 5c 6a Does the organization have annual gross receipts that are norally greater than $1,, and did the organization solicit any contributions that were not tax deductible? 6a b If "Yes," did the organization include with every solicitation an express stateent that such contributions or gifts were not tax deductible? 6b 7 Organizations that ay receive deductible contributions under section 17(c). a Did the organization receive a payent in excess of $75 ade partly as a contribution and partly for goods and services provided to the payor? 7a b If "Yes," did the organization notify the donor of the value of the goods or services provided? 7b c Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required to file For 8282? 7c d If "Yes," indicate the nuber of Fors 8282 filed during the year 7d e Did the organization receive any funds, directly or indirectly, to pay preius on a personal benefit contract? 7e f Did the organization, during the year, pay preius, directly or indirectly, on a personal benefit contract? 7f g If the organization received a contribution of qualified intellectual property, did the organization file For 8899 as required? 7g h If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a For 198-C? 7h 8 Sponsoring organizations aintaining donor advised funds and section 59(a)(3) supporting organizations. Did the supporting organization, or a donor advised fund aintained by a sponsoring organization, have excess business holdings at any tie during the year? 8 9 Sponsoring organizations aintaining donor advised funds. a Did the organization ake any taxable distributions under section 4966? 9a b Did the organization ake a distribution to a donor, donor advisor, or related person? 9b 1 Section 51(c)(7) organizations. Enter: a Initiation fees and capital contributions included on Part VIII, line 12 1a b Gross receipts, included on For 99, Part VIII, line 12, for public use of club facilities 1b 11 Section 51(c)(12) organizations. Enter: a Gross incoe fro ebers or shareholders 11a b Gross incoe fro other sources (Do not net aounts due or paid to other sources against aounts due or received fro the.) 11b 12a Section 4947(a)(1) non-exept charitable trusts. Is the organization filing For 99 in lieu of For 141? 12a b If "Yes," enter the aount of tax-exept interest received or accrued during the year 12b 13 Section 51(c)(29) qualified nonprofit health insurance issuers. a Is the organization licensed to issue qualified health plans in ore than one state? 13a Note. See the instructions for additional inforation the organization ust report on Schedule O. b Enter the aount of reserves the organization is required to aintain by the states in which the organization is licensed to issue qualified health plans 13b c Enter the aount of reserves on hand 13c 14a Did the organization receive any payents for indoor tanning services during the tax year? 14a b If "Yes," has it filed a For 72 to report these payents? If "No," provide an explanation in Schedule O 14b For 99 (211) 7959J E ,725 Yes No

6 Governance, Manageent, and Disclosure For each "Yes" response to lines 2 through 7b below, and for a "No" response to line 8a, 8b, or 1b below, describe the circustances, processes, or changes in Schedule O. See instructions. For 99 (211) Page 6 Part VI Check if Schedule O contains a response to any question in this Part VI Section A. Governing Body and Manageent 1a Enter the nuber of voting ebers of the governing body at the end of the tax year. If there are aterial differences in voting rights aong ebers of the governing body, or if the governing body delegated broad authority to an executive coittee or siilar coittee, explain in Schedule O. b Enter the nuber of voting ebers included in line 1a, above, who are independent 1b 41 2 Did any officer, director, trustee, or key eployee have a faily relationship or a business relationship with any other officer, director, trustee, or key eployee? 2 3 Did the organization delegate control over anageent duties custoarily perfored by or under the direct supervision of officers, directors, or trustees, or key eployees to a anageent copany or other person? 3 4 Did the organization ake any significant changes to its governing docuents since the prior For 99 was filed? 4 5 Did the organization becoe aware during the year of a significant diversion of the organization's assets? 5 6 Did the organization have ebers or stockholders? 6 7a Did the organization have ebers, stockholders, or other persons who had the power to elect or appoint one or ore ebers of the governing body? 7a b Are any governance decisions of the organization reserved to (or subject to approval by) ebers, stockholders, or persons other than the governing body? 7b 8 Did the organization conteporaneously docuent the eetings held or written actions undertaken during the year by the following: a The governing body? 8a b Each coittee with authority to act on behalf of the governing body? 8b 9 Is there any officer, director, trustee, or key eployee listed in Part VII, Section A, who cannot be reached at the organization's ailing address? If "Yes," provide the naes and addresses in Schedule O 9 Section B. Policies (This Section B requests inforation about policies not required by the Internal Revenue Code.) Yes 1a Did the organization have local chapters, branches, or affiliates? 1a b If "Yes," did the organization have written policies and procedures governing the activities of such chapters, affiliates, and branches to ensure their operations are consistent with the organization's exept purposes? 1b 11a Has the organization provided a coplete copy of this For 99 to all ebers of its governing body before filing the for? 11a b Describe in Schedule O the process, if any, used by the organization to review this For a Did the organization have a written conflict of interest policy? If "No," go to line 13 12a b Were officers, directors, or trustees, and key eployees required to disclose annually interests that could give rise to conflicts? 12b c Did the organization regularly and consistently onitor and enforce copliance with the policy? If "Yes," describe in Schedule O how this was done 12c a b 16a b Did the organization have a written whistleblower policy? Did the organization have a written docuent retention and destruction policy? Did the process for deterining copensation of the following persons include a review and approval by independent persons, coparability data, and conteporaneous substantiation of the deliberation and decision? The organization's CEO, Executive Director, or top anageent official 15a Other officers or key eployees of the organization 15b If "Yes" to line 15a or 15b, describe the process in Schedule O (see instructions.) Did the organization invest in, contribute assets to, or participate in a joint venture or siilar arrangeent with a taxable entity during the year? 16a If "Yes," did the organization follow a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangeents under applicable federal tax law, and take steps to safeguard the organization's exept status with respect to such arrangeents? 16b Section C. Disclosure 17 List the states with which a copy of this For 99 is required to be filed CA, I 18 Section 614 requires an organization to ake its Fors 123 (or 124 if applicable), 99, and 99-T (Section 51(c)(3)s only) available for public inspection. Indicate how you ade these available. Check all that apply. Own website Another's website Upon request 19 Describe in Schedule O whether (and if so, how), the organization ade its governing docuents, conflict of interest policy, and financial stateents available to the public during the tax year. 2 State the nae, physical address, and telephone nuber of the person who possesses the books and records of the organization: IERIK BRINK, UNIV COMPTROLLER, UNIV. GARDENS-UGB23, LOS ANGELES, CA For 99 (211) 1E J a 54 Yes No No

7 Copensation of Officers, Directors, Trustees, Key Eployees, Highest Copensated Eployees, and Independent Contractors Check if Schedule O contains a response to any question in this Part VII For 99 (211) Page 7 Part VII Section A. Officers, Directors, Trustees, Key Eployees, and Highest Copensated Eployees 1a Coplete this table for all persons required to be listed. Report copensation for the calendar year ending with or within the organization's tax year. % % List all of the organization's current officers, directors, trustees (whether individuals or organizations), regardless of aount of copensation. Enter -- in coluns (D), (E), and (F) if no copensation was paid. List all of the organization's current key eployees, if any. See instructions for definition of "key eployee." List the organization's five current highest copensated eployees (other than an officer, director, trustee, or key eployee) who received reportable copensation (Box 5 of For W-2 and/or Box 7 of For 199-MISC) of ore than $1, fro the organization and any related organizations. % % List all of the organization's forer officers, key eployees, and highest copensated eployees who received ore than $1, of reportable copensation fro the organization and any related organizations. List all of the organization's forer directors or trustees that received, in the capacity as a forer director or trustee of the organization, ore than $1, of reportable copensation fro the organization and any related organizations. List persons in the following order: individual trustees or directors; institutional trustees; officers; key eployees; highest copensated eployees; and forer such persons. Check this box if neither the organization nor any related organization copensated any current officer, director, or trustee. (A) (B) (C) (D) (E) (F) Nae and Title Average hours per week (describe hours for related organizations in Schedule O) Position (do not check ore than one box, unless person is both an officer and a director/trustee) Individual trustee or director Institutional trustee Officer Key eployee Highest copensated eployee Forer Reportable copensation fro the organization (W-2/199-MISC) Reportable copensation fro related organizations (W-2/199-MISC) Estiated aount of other copensation fro the organization and related organizations (1) (2) (3) (4) (5) (6) (7) (8) (9) (1) (11) (12) (13) (14) 1E WALLIS ANNENBERG TRUSTEE 1. WANDA M. AUSTIN TRUSTEE 1. LISA BARKETT TRUSTEE (FROM 6/6/12) 1. THOMAS BARRACK TRUSTEE (FROM 6/6/12) 1. MARC R. BENIOFF TRUSTEE 1. JOSEPH M. BOSKOVICH TRUSTEE 1. GREGORY P. BRAKOVICH TRUSTEE 1. RICK J. CARUSO TRUSTEE 1. ALAN I. CASDEN TRUSTEE 1. RONNIE C. CHAN TRUSTEE 1. YANG HO CHO TRUSTEE 1. CHRISTOPHER CO TRUSTEE (FROM 1/5/11) 1. FRANK H. CRUZ TRUSTEE 1. RICHARD A. DEBEIKES JR. TRUSTEE J 7377 For 99 (211)

8 For 99 (211) Page 8 Part VII Section A. Officers, Directors, Trustees, Key Eployees, and Highest Copensated Eployees (continued) (A) (B) (C) (D) (E) (F) Nae and title Average hours per week (describe hours for related organizations in Schedule O) Position (do not check ore than one box, unless person is both an officer and a director/trustee) Individual trustee or director Institutional trustee Officer Key eployee Highest copensated eployee Forer I I I Reportable copensation fro the organization (W-2/199-MISC) Reportable copensation fro related organizations (W-2/199-MISC) Estiated aount of other copensation fro the organization and related organizations ( 15) DAVID H. DORNSIFE TRUSTEE 1. ( 16) DANIEL J. EPSTEIN TRUSTEE 1. ( 17) CAROL CAMPBELL FO TRUSTEE 1. ( 18) CHENGYU FU TRUSTEE (FROM 1/5/11) 1. ( 19) STANLEY P. GOLD TRUSTEE 1. ( 2) TAMARA HUGHES GUSTAVSON TRUSTEE 1. ( 21) JANE HARMAN TRUSTEE (FROM 12/7/11) 1. ( 22) MING HSIEH TRUSTEE 1. ( 23) RAY R. IRANI TRUSTEE 1. ( 24) SUZANNE NORA JOHNSON TRUSTEE 1. ( 25) LYDIA H. KENNARD TRUSTEE 1. 1b Sub-total c Total fro continuation sheets to Part VII, Section A 21,961,483. 1,289,638. d Total (add lines 1b and 1c) 21,961,483. 1,289, Total nuber of individuals (including but not liited to those listed above) who received ore than $1, of reportable copensation fro the organization I 3283 Yes No 3 Did the organization list any forer officer, director, or trustee, key eployee, or highest copensated eployee on line 1a? If "Yes," coplete Schedule J for such individual 3 4 For any individual listed on line 1a, is the su of reportable copensation and other copensation fro the organization and related organizations greater than $15,? If Yes, coplete Schedule J for such individual 4 5 Did any person listed on line 1a receive or accrue copensation fro any unrelated organization or individual for services rendered to the organization? If Yes, coplete Schedule J for such person 5 Section B. Independent Contractors 1 Coplete this table for your five highest copensated independent contractors that received ore than $1, of copensation fro the organization. Report copensation for the calendar year ending with or within the organization's tax year. ATTACHMENT 2 (A) Nae and business address (B) Description of services (C) Copensation 2 Total nuber of independent contractors (including but not liited to those listed above) who received ore than $1, in copensation fro the organization I 553 1E J 7377 For 99 (211)

9 For 99 (211) Page 8 Part VII Section A. Officers, Directors, Trustees, Key Eployees, and Highest Copensated Eployees (continued) (A) (B) (C) (D) (E) (F) Nae and title Average hours per week (describe hours for related organizations in Schedule O) Position (do not check ore than one box, unless person is both an officer and a director/trustee) Individual trustee or director Institutional trustee Officer Key eployee Highest copensated eployee Forer I I I Reportable copensation fro the organization (W-2/199-MISC) Reportable copensation fro related organizations (W-2/199-MISC) 1b Sub-total c Total fro continuation sheets to Part VII, Section A d Total (add lines 1b and 1c) 2 Total nuber of individuals (including but not liited to those listed above) who received ore than $1, of reportable copensation fro the organization I Did the organization list any forer officer, director, or trustee, key eployee, or highest copensated eployee on line 1a? If "Yes," coplete Schedule J for such individual 3 4 For any individual listed on line 1a, is the su of reportable copensation and other copensation fro the organization and related organizations greater than $15,? If Yes, coplete Schedule J for such individual 4 5 Did any person listed on line 1a receive or accrue copensation fro any unrelated organization or individual for services rendered to the organization? If Yes, coplete Schedule J for such person 5 Section B. Independent Contractors 1 Coplete this table for your five highest copensated independent contractors that received ore than $1, of copensation fro the organization. Report copensation for the calendar year ending with or within the organization's tax year. Estiated aount of other copensation fro the organization and related organizations ( 26) KENNETH R. KLEIN TRUSTEE 1. ( 27) JOHN KUSMIERSKY TRUSTEE 1. ( 28) DANIEL D. LANE TRUSTEE 1. ( 29) DAVID L. LEE TRUSTEE 1. ( 3) MONICA C. LOZANO TRUSTEE 1. ( 31) JOHN C. MARTIN TRUSTEE 1. ( 32) KATHLEEN L. MCCARTHY TRUSTEE 1. ( 33) JAMIE MCCOURT TRUSTEE 1. ( 34) JOHN MORK TRUSTEE 1. ( 35) JERRY W. NEELY TRUSTEE 1. ( 36) CHRYSOSTOMOS L. NIKIAS PRESIDENT/TRUSTEE 5. 1,79, ,152. Yes No (A) Nae and business address (B) Description of services (C) Copensation 2 Total nuber of independent contractors (including but not liited to those listed above) who received ore than $1, in copensation fro the organization I 1E J 7377 For 99 (211)

10 For 99 (211) Page 8 Part VII Section A. Officers, Directors, Trustees, Key Eployees, and Highest Copensated Eployees (continued) (A) (B) (C) (D) (E) (F) Nae and title Average hours per week (describe hours for related organizations in Schedule O) Position (do not check ore than one box, unless person is both an officer and a director/trustee) Individual trustee or director Institutional trustee Officer Key eployee Highest copensated eployee Forer I I I Reportable copensation fro the organization (W-2/199-MISC) Reportable copensation fro related organizations (W-2/199-MISC) 1b Sub-total c Total fro continuation sheets to Part VII, Section A d Total (add lines 1b and 1c) 2 Total nuber of individuals (including but not liited to those listed above) who received ore than $1, of reportable copensation fro the organization I Did the organization list any forer officer, director, or trustee, key eployee, or highest copensated eployee on line 1a? If "Yes," coplete Schedule J for such individual 3 4 For any individual listed on line 1a, is the su of reportable copensation and other copensation fro the organization and related organizations greater than $15,? If Yes, coplete Schedule J for such individual 4 5 Did any person listed on line 1a receive or accrue copensation fro any unrelated organization or individual for services rendered to the organization? If Yes, coplete Schedule J for such person 5 Section B. Independent Contractors 1 Coplete this table for your five highest copensated independent contractors that received ore than $1, of copensation fro the organization. Report copensation for the calendar year ending with or within the organization's tax year. Estiated aount of other copensation fro the organization and related organizations ( 37) ROBERT PADGETT TRUSTEE 1. ( 38) JOAN A. PAYDEN TRUSTEE (UNTIL 6/6/12) 1. ( 39) JANE HOFFMAN POPOVICH TRUSTEE 1. ( 4) BLAKE QUINN TRUSTEE 1. ( 41) LORNA Y. REED TRUSTEE 1. ( 42) LINDA JOHNSON RICE TRUSTEE (UNTIL 6/6/12) 1. ( 43) EDWARD P. ROSKI JR. CHAIRMAN, BOARD OF TRUSTEES 1. ( 44) BARBARA J. ROSSIER TRUSTEE 1. ( 45) WILLIAM J. SCHOEN TRUSTEE 1. ( 46) WILLIAM E.B. SIART TRUSTEE 1. ( 47) ROBERT H. SMITH TRUSTEE 1. Yes No (A) Nae and business address (B) Description of services (C) Copensation 2 Total nuber of independent contractors (including but not liited to those listed above) who received ore than $1, in copensation fro the organization I 1E J 7377 For 99 (211)

11 For 99 (211) Page 8 Part VII Section A. Officers, Directors, Trustees, Key Eployees, and Highest Copensated Eployees (continued) (A) (B) (C) (D) (E) (F) Nae and title Average hours per week (describe hours for related organizations in Schedule O) Position (do not check ore than one box, unless person is both an officer and a director/trustee) Individual trustee or director Institutional trustee Officer Key eployee Highest copensated eployee Forer I I I Reportable copensation fro the organization (W-2/199-MISC) Reportable copensation fro related organizations (W-2/199-MISC) 1b Sub-total c Total fro continuation sheets to Part VII, Section A d Total (add lines 1b and 1c) 2 Total nuber of individuals (including but not liited to those listed above) who received ore than $1, of reportable copensation fro the organization I Did the organization list any forer officer, director, or trustee, key eployee, or highest copensated eployee on line 1a? If "Yes," coplete Schedule J for such individual 3 4 For any individual listed on line 1a, is the su of reportable copensation and other copensation fro the organization and related organizations greater than $15,? If Yes, coplete Schedule J for such individual 4 5 Did any person listed on line 1a receive or accrue copensation fro any unrelated organization or individual for services rendered to the organization? If Yes, coplete Schedule J for such person 5 Section B. Independent Contractors 1 Coplete this table for your five highest copensated independent contractors that received ore than $1, of copensation fro the organization. Report copensation for the calendar year ending with or within the organization's tax year. Estiated aount of other copensation fro the organization and related organizations ( 48) JEFFREY H. SMULYAN TRUSTEE 1. ( 49) STEVEN SPIELBERG TRUSTEE 1. ( 5) MARK A. STEVENS TRUSTEE 1. ( 51) RONALD D. SUGAR TRUSTEE 1. ( 52) RATAN N. TATA TRUSTEE 1. ( 53) DANIEL M. TSAI TRUSTEE (FROM 4/1/12) 1. ( 54) RONALD N. TUTOR TRUSTEE 1. ( 55) ANDREW J. VITERBI TRUSTEE 1. ( 56) WILLIS B. WOOD JR. TRUSTEE 1. ( 57) ELIZABETH GARRETT PROVOST/SR VP ACADEMIC AFFAIRS ,622. 4,696. ( 58) ROBERT ABELES SR VP, FINANCE AND CFO ,836. 4,676. Yes No (A) Nae and business address (B) Description of services (C) Copensation 2 Total nuber of independent contractors (including but not liited to those listed above) who received ore than $1, in copensation fro the organization I 1E J 7377 For 99 (211)

12 For 99 (211) Page 8 Part VII Section A. Officers, Directors, Trustees, Key Eployees, and Highest Copensated Eployees (continued) (A) (B) (C) (D) (E) (F) Nae and title Average hours per week (describe hours for related organizations in Schedule O) Position (do not check ore than one box, unless person is both an officer and a director/trustee) Individual trustee or director Institutional trustee Officer Key eployee Highest copensated eployee Forer I I I Reportable copensation fro the organization (W-2/199-MISC) Reportable copensation fro related organizations (W-2/199-MISC) 1b Sub-total c Total fro continuation sheets to Part VII, Section A d Total (add lines 1b and 1c) 2 Total nuber of individuals (including but not liited to those listed above) who received ore than $1, of reportable copensation fro the organization I Did the organization list any forer officer, director, or trustee, key eployee, or highest copensated eployee on line 1a? If "Yes," coplete Schedule J for such individual 3 4 For any individual listed on line 1a, is the su of reportable copensation and other copensation fro the organization and related organizations greater than $15,? If Yes, coplete Schedule J for such individual 4 5 Did any person listed on line 1a receive or accrue copensation fro any unrelated organization or individual for services rendered to the organization? If Yes, coplete Schedule J for such person 5 Section B. Independent Contractors 1 Coplete this table for your five highest copensated independent contractors that received ore than $1, of copensation fro the organization. Report copensation for the calendar year ending with or within the organization's tax year. Estiated aount of other copensation fro the organization and related organizations ( 59) ALBERT R. CHECCIO SR VP, UNIVERSITY ADVANCEMENT ,77. 34,547. ( 6) TODD R. DICKEY SR VP, ADMINISTRATION , ,78. ( 61) THOMAS S. SAYLES SR VP, UNIV RELATIONS , ,355. ( 62) CAROL MAUCH AMIR SECRETARY/GENERAL COUNSEL ,86. 45,916. ( 63) MITCHELL R. CREEM CEO-UNIV & NORRIS HOSPITALS ,765. 7,253. ( 64) JAMES G. ELLIS DEAN-MARSHALL SCHOOL OF BUS , ,354. ( 65) HOWARD A. GILLMAN DEAN-DORNSIFE COLL OF LA&S ,45. 87,523. ( 66) LISA ANN MAZZOCCO CHIEF INVESTMENT OFFICER 5. 65, ,468. ( 67) CARMEN A. PULIAFITO, MD DEAN-KECK SCHOOL OF MED 5. 1,144,13. 45,51. ( 68) YANNIS C. YORTSOS DEAN-VITERBI SCHOOL OF ENG ,58. 9,521. ( 69) VAUGHN A. STARNES, MD KSOM-DIST. PROF. OF SURGERY 5. 2,713, ,619. Yes No (A) Nae and business address (B) Description of services (C) Copensation 2 Total nuber of independent contractors (including but not liited to those listed above) who received ore than $1, in copensation fro the organization I 1E J 7377 For 99 (211)

13 For 99 (211) Page 8 Part VII Section A. Officers, Directors, Trustees, Key Eployees, and Highest Copensated Eployees (continued) (A) (B) (C) (D) (E) (F) Nae and title Average hours per week (describe hours for related organizations in Schedule O) Position (do not check ore than one box, unless person is both an officer and a director/trustee) Individual trustee or director Institutional trustee Officer Key eployee Highest copensated eployee Forer Reportable copensation fro the organization (W-2/199-MISC) Reportable copensation fro related organizations (W-2/199-MISC) Estiated aount of other copensation fro the organization and related organizations ( 7) MONTE LANE KIFFIN HEAD FOOTBALL COACH 5. 2,55,98. 43,183. ( 71) PATRICK C. HADEN ATHLETIC DIRECTOR 5. 2,28, ,25. ( 72) MONTE GEORGE KIFFIN ASSISTANT FOOTBALL COACH 5. 1,752, ,119. ( 73) KEVIN O'NEILL HEAD COACH MEN'S BASKETBALL 5. 1,67,66. 47,683. ( 74) STEVEN B. SAMPLE FORMER PRESIDENT 4. 1,749, ,91. ( 75) ALAN KREDITOR FORMER SR. VP, UNIV. ADVNMNT 4. 36,9. 4,188. ( 76) MARTHA HARRIS FORMER SR VP, UNIV RELATIONS , ,691. ( 77) DENNIS F. DOUGHERTY FORMER SR VP & CFO 2. 11,84. I I I 1b Sub-total c Total fro continuation sheets to Part VII, Section A d Total (add lines 1b and 1c) 2 Total nuber of individuals (including but not liited to those listed above) who received ore than $1, of reportable copensation fro the organization I Did the organization list any forer officer, director, or trustee, key eployee, or highest copensated eployee on line 1a? If "Yes," coplete Schedule J for such individual 3 4 For any individual listed on line 1a, is the su of reportable copensation and other copensation fro the organization and related organizations greater than $15,? If Yes, coplete Schedule J for such individual 4 5 Did any person listed on line 1a receive or accrue copensation fro any unrelated organization or individual for services rendered to the organization? If Yes, coplete Schedule J for such person 5 Section B. Independent Contractors 1 Coplete this table for your five highest copensated independent contractors that received ore than $1, of copensation fro the organization. Report copensation for the calendar year ending with or within the organization's tax year. Yes No (A) Nae and business address (B) Description of services (C) Copensation 2 Total nuber of independent contractors (including but not liited to those listed above) who received ore than $1, in copensation fro the organization I 1E J 7377 For 99 (211)

14 Stateent of Revenue For 99 (211) Page 9 Part VIII Contributions, Gifts, Grants and Other Siilar Aounts Progra Service Revenue Other Revenue 1a b c d e f g h 2a b c d e f g 6a b c d 7a b and sales expenses c Gain or (loss) 12,213,686. d Net gain or (loss) 8a b c 9a b c 1a b c 11a b c Federated capaigns Mebership dues Fundraising events Related organizations Governent grants (contributions) All other contributions, gifts, grants, and siilar aounts not included above 1f 525,654,795. Noncash contributions included in lines 1a-1f: $ 39,125,663. Total. Add lines 1a-1f Business Code d All other revenue e Total. Add lines 11a-11d 12 Total revenue. See instructions 1E a 1b 1c 1d 1e I (A) Total revenue (B) Related or exept function revenue PROFESSIONAL SERVICES AGREEMENT ,51, ,51,213. NET PATIENT SERVICE ,831, ,831,556. All other progra service revenue 228,143, ,143,65. Total. Add lines 2a-2f 2,595,198,833. Investent incoe (including dividends, interest, and other siilar aounts) Incoe fro investent of tax-exept bond proceeds Royalties Gross rents (i) Real (ii) Personal I I Less: rental expenses Rental incoe or (loss) Net rental incoe or (loss) Gross aount fro sales of (i) Securities (ii) Other assets other than inventory 12,213,686. Less: cost or other basis Gross incoe fro fundraising events (not including $ of contributions reported on line 1c). I I See Part IV, line 18 a 812,419. Less: direct expenses b 615,47. Net incoe or (loss) fro fundraising events I Gross incoe fro gaing activities. See Part IV, line 19 a Less: direct expenses b Net incoe or (loss) fro gaing activities I Gross sales of inventory, less returns and allowances a Less: cost of goods sold b Net incoe or (loss) fro sales of inventory I Miscellaneous Revenue Business Code 323,16,612. I 848,815,47. TUITION & FEES 999 1,365,963,351. 1,365,963,351. SALES & SERVICE ,91, ,91,825. (C) Unrelated business revenue AUILIARY ENTERPRISES ,857, ,126, ,73, J 7377 (D) Revenue excluded fro tax under sections 512, 513, or ,916,36. -5,49, ,326,277. 2,197,867. 2,197, ,213,686. 7,472, ,741, , ,12. 3,66,539,165. 2,543,468, ,792, ,462,397. For 99 (211)

15 For 99 (211) Page 1 Part I Stateent of Functional Expenses Section 51(c)(3) and 51(c)(4) organizations ust coplete all coluns. All other organizations ust coplete colun (A) but are not required to coplete coluns (B), (C), and (D). Check if Schedule O contains a response to any question in this Part I Do not include aounts reported on lines 6b, (A) (B) (C) (D) Total expenses Progra service Manageent and Fundraising 7b, 8b, 9b, and 1b of Part VIII. expenses general expenses expenses 1 2 Grants and other assistance to governents and organizations in the United States. See Part IV, line 2 1 Grants and other assistance to individuals in the United States. See Part IV, line Grants and other assistance to governents, organizations, and individuals outside the United States. See Part IV, lines 15 and Benefits paid to or for ebers 5 Copensation of current officers, directors, trustees, and key eployees 6 Copensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) 7 Other salaries and wages 8 Pension plan accruals and contributions (include section 41(k) and 43(b) eployer contributions) 9 Other eployee benefits a b c d e f g a b c d e Payroll taxes Fees for services (non-eployees): Manageent Legal Accounting Lobbying Professional fundraising services. See Part IV, line 1 7 Investent anageent fees Other Advertising and prootion Office expenses Inforation technology Royalties Occupancy Travel Payents of travel or entertainent expenses for any federal, state, or local public officials Conferences, conventions, and eetings Interest Payents to affiliates Depreciation, depletion, and aortization Insurance Other expenses. Iteize expenses not covered above (List iscellaneous expenses in line 24e. If line 24e aount exceeds 1% of line 25, colun (A) aount, list line 24e expenses on Schedule O.) All other expenses 1,181,576. 1,181, ,423, ,423,677. 3,544,144. 3,544,144. COST OF GOODS SOLD 85,752,. 85,752,. UNIVERSITY SERVICES 53,126, ,126,666. 1,5,39. 6,371,959. 2,781,7. 897,28. 3,715,624. 1,339, ,655. 1,468,456. 1,451,511,437. 1,36,333, ,681,258. 2,496, ,951, ,58, ,65,176. 2,35, ,471, ,213,36. 27,977,1. 4,281, ,494, ,459,248. 1,437,987. 1,597,294. 6,663,969. 6,663,969. 2,128,176. 2,128,176. 1,169,463. 1,169,463. 1,681,14. 1,681, ,139, ,887, ,887,95. 11,363, ,879, ,189,861. 1,645, , ,386,263. 5,65,51. 2,561, ,71. 61,239, ,169,98. 38,66,21. 3, ,238,. 148,637,. 1,411,. 19,. 9,63,855. 9,63,855. 3,381,811,328. 3,49,445, ,959, ,46, Total functional expenses. Add lines 1 through 24e 26 Joint costs. Coplete this line only if the organization reported in colun (B) joint costs fro a cobined educational capaign and fundraising solicitation. Check here I if following SOP 98-2 (ASC ) 1E For 99 (211) 7959J 7377

16 For 99 (211) Page 11 Part Balance Sheet Assets Liabilities Net Assets or Fund Balances Cash - non-interest-bearing Savings and teporary cash investents Pledges and grants receivable, net Accounts receivable, net Receivables fro current and forer officers, directors, trustees, key eployees, and highest copensated eployees. Coplete Part II of (A) Beginning of year (B) End of year 865,775, ,774, ,295, ,317, ,214, ,215,55. Schedule L 3,775, ,43, Receivables fro other disqualified persons (as defined under section 4958(f)(1)), persons described in section 4958(c)(3)(B), and contributing eployers and sponsoring organizations of section 51(c)(9) voluntary eployees' beneficiary organizations (see instructions) 457, ,17. 7 Notes and loans receivable, net 79,386, ,298,15. 8 Inventories for sale or use 19,949, ,462, Prepaid expenses and deferred charges 124,179, ,174, a Land, buildings, and equipent: cost or other basis. Coplete Part VI of Schedule D 1a b Less: accuulated depreciation 1b ,133,471,623. 1c 2,258,842, Investents - publicly traded securities 1,576,852, ,764,419, Investents - other securities. See Part IV, line 11 1,593,745, ,597,361, Investents - progra-related. See Part IV, line Intangible assets Other assets. See Part IV, line ,317, ,197, Total assets. Add lines 1 through 15 (ust equal line 34) 7,321,98, ,759,326, Accounts payable and accrued expenses 3,98, ,28, Grants payable Deferred revenue 122,262, ,871,47. 2 Tax-exept bond liabilities 895,241, ,14, Escrow or custodial account liability. Coplete Part IV of Schedule D Payables to current and forer officers, directors, trustees, key eployees, highest copensated eployees, and disqualified persons. Coplete Part II of Schedule L 31,28, ,,. 23 Secured ortgages and notes payable to unrelated third parties 8,563, ,899, Unsecured notes and loans payable to unrelated third parties Other liabilities (including federal incoe tax, payables to related third parties, and other liabilities not included on lines 17-24). Coplete Part of Schedule D 51,764, ,926, Total liabilities. Add lines 17 through 25 1,868,21, ,243,92,48. and coplete Organizations that follow SFAS 117, check here lines 27 through 29, and lines 33 and 34. Unrestricted net assets Teporarily restricted net assets Peranently restricted net assets I Organizations that do not follow SFAS 117, check here coplete lines 3 through 34. I Capital stock or trust principal, or current funds Paid-in or capital surplus, or land, building, or equipent fund Retained earnings, endowent, accuulated incoe, or other funds Total net assets or fund balances Total liabilities and net assets/fund balances and 2,618,6, ,63,763,4. 1,227,569, ,258,431,762. 1,67,599, ,653,211,993. 5,453,769,939. 7,321,98, ,515,46,759. 7,759,326,87. For 99 (211) 1E J 7377

17 For 99 (211) Page 12 Part I Reconciliation of Net Assets Check if Schedule O contains a response to any question in this Part I 1 Total revenue (ust equal Part VIII, colun (A), line 12) 1 3,66,539, Total expenses (ust equal Part I, colun (A), line 25) 2 3,381,811, Revenue less expenses. Subtract line 2 fro line ,727, Net assets or fund balances at beginning of year (ust equal Part, line 33, colun (A)) 4 5,453,769, Other changes in net assets or fund balances (explain in Schedule O) 5-163,91,17. 6 Net assets or fund balances at end of year. Cobine lines 3, 4, and 5 (ust equal Part, line 33, colun (B)) 6 5,515,46,759. Part II Financial Stateents and Reporting Check if Schedule O contains a response to any question in this Part II Yes No 1 Accounting ethod used to prepare the For 99: Cash Accrual Other If the organization changed its ethod of accounting fro a prior year or checked "Other," explain in Schedule O. 2a Were the organization's financial stateents copiled or reviewed by an independent accountant? b Were the organization's financial stateents audited by an independent accountant? c If "Yes" to line 2a or 2b, does the organization have a coittee that assues responsibility for oversight of the audit, review, or copilation of its financial stateents and selection of an independent accountant? If the organization changed either its oversight process or selection process during the tax year, explain in Schedule O. d If "Yes" to line 2a or 2b, check a box below to indicate whether the financial stateents for the year were issued on a separate basis, consolidated basis, or both: 3a b Separate basis Consolidated basis Both consolidated and separate basis As a result of a federal award, was the organization required to undergo an audit or audits as set forth in the Single Audit Act and OMB Circular A-133? If "Yes," did the organization undergo the required audit or audits? If the organization did not undergo the required audit or audits, explain why in Schedule O and describe any steps taken to undergo such audits 2a 2b 2c 3a 3b For 99 (211) 1E J 7377

18 SCHEDULE A (For 99 or 99-EZ) Departent of the Treasury Internal Revenue Service Public Charity Status and Public Support Coplete if the organization is a section 51(c)(3) organization or a section 4947(a)(1) nonexept charitable trust. I Attach to For 99 or For 99-EZ. I See separate instructions. OMB No À¾µµ Open to Public Inspection Nae of the organization Eployer identification nuber Part I Reason for Public Charity Status (All organizations ust coplete this part.) See instructions. The organization is not a private foundation because it is: (For lines 1 through 11, check only one box.) A church, convention of churches, or association of churches described in section 17(b)(1)(A)(i). A school described in section 17(b)(1)(A)(ii). (Attach Schedule E.) A hospital or a cooperative hospital service organization described in section 17(b)(1)(A)(iii). A edical research organization operated in conjunction with a hospital described in section 17(b)(1)(A)(iii). Enter the hospital's nae, city, and state: An organization operated for the benefit of a college or university owned or operated by a governental unit described in section 17(b)(1)(A)(iv). (Coplete Part II.) A federal, state, or local governent or governental unit described in section 17(b)(1)(A)(v). An organization that norally receives a substantial part of its support fro a governental unit or fro the general public described in section 17(b)(1)(A)(vi). (Coplete Part II.) A counity trust described in section 17(b)(1)(A)(vi). (Coplete Part II.) An organization that norally receives: (1) ore than 3 31/3 % of its support fro contributions, ebership fees, and gross receipts fro activities related to its exept functions - subject to certain exceptions, and (2) no ore than 3 31/3% of its support fro gross investent incoe and unrelated business taxable incoe (less section 511 tax) fro businesses acquired by the organization after June 3, See section 59(a)(2). (Coplete Part III.) An organization organized and operated exclusively to test for public safety. See section 59(a)(4). An organization organized and operated exclusively for the benefit of, to perfor the functions of, or to carry out the purposes of one or ore publicly supported organizations described in section 59(a)(1) or section 59(a)(2). See section 59(a)(3). Check the box that describes the type of supporting organization and coplete lines 11e through 11h. a Type I b Type II c Type III - Functionally integrated d Type III - Other e By checking this box, I certify that the organization is not controlled directly or indirectly by one or ore disqualified persons other than foundation anagers and other than one or ore publicly supported organizations described in section 59(a)(1) or section 59(a)(2). f If the organization received a written deterination fro the IRS that it is a Type I, Type II, or Type III supporting organization, check this box g Since August 17, 26, has the organization accepted any gift or contribution fro any of the following persons? (i) A person who directly or indirectly controls, either alone or together with persons described in (ii) Yes No (A) h and (iii) below, the governing body of the supported organization? (ii) A faily eber of a person described in (i) above? (iii) A 35% controlled entity of a person described in (i) or (ii) above? Provide the following inforation about the supported organization(s). (i) Nae of supported organization (ii) EIN (iii) Type of organization (described on lines 1-9 above or IRC section (see instructions)) (iv) Is the (v) Did you notify (vi) Is the organization in the organization organization in col. (i) listed in in col. (i) of col. (i) organized your governing docuent? your support? in the U.S.? Yes No Yes No Yes No 11g(i) 11g(ii) 11g(iii) (vii) Aount of support (B) (C) (D) (E) Total For Paperwork Reduction Act Notice, see the Instructions for For 99 or 99-EZ. Schedule A (For 99 or 99-EZ) 211 1E J 7377

19 Schedule A (For 99 or 99-EZ) 211 Page 2 Part II Support Schedule for Organizations Described in Sections 17(b)(1)(A)(iv) and 17(b)(1)(A)(vi) (Coplete only if you checked the box on line 5, 7, or 8 of Part I or if the organization failed to qualify under Part III. If the organization fails to qualify under the tests listed below, please coplete Part III.) Section A. Public Support Calendar year (or fiscal year beginning in) I 1 Gifts, grants, contributions, and ebership fees received. (Do not include any "unusual grants.") 2 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf 3 The value of services or facilities furnished by a governental unit to the organization without charge 4 Total. Add lines 1 through 3 5 The portion of total contributions by each person (other than a governental unit or publicly supported organization) included on line 1 that exceeds 2% of the aount shown on line 11, colun (f) 6 Public support. Subtract line 5 fro line 4. Section B. Total Support I 7 Aounts fro line 4 8 Gross incoe fro interest, dividends, payents received on securities loans, rents, royalties and incoe fro siilar sources Calendar year (or fiscal year beginning in) 9 Net incoe fro unrelated business activities, whether or not the business is regularly carried on (a) 27 (b) 28 (c) 29 (d) 21 (e) 211 (f) Total (a) 27 (b) 28 (c) 29 (d) 21 (e) 211 (f) Total 1 Other incoe. Do not include gain or loss fro the sale of capital assets (Explain in Part IV.) 11 Total support. Add lines 7 through 1 12 Gross receipts fro related activities, etc. (see instructions) First five years. If the For 99 is for the organization's first, second, third, fourth, or fifth tax year as a section 51(c)(3) organization, check this box and stop here Section C. Coputation of Public Support Percentage 14 Public support percentage for 211 (line 6, colun (f) divided by line 11, colun (f)) Public support percentage fro 21 Schedule A, Part II, line a 331/3 % support test If the organization did not check the box on line 13, and line 14 is 3 31/3 % or ore, check this box and stop here. The organization qualifies as a publicly supported organization b 331/3 % support test If the organization did not check a box on line 13 or 16a, and line 15 is 3 31/3 % or ore, check this box and stop here. The organization qualifies as a publicly supported organization 17a 1%-facts-and-circustances test If the organization did not check a box on line 13, 16a, or 16b, and line 14 is 1% or ore, and if the organization eets the "facts-and-circustances" test, check this box and stop here. Explain in Part IV how the organization eets the "facts-and-circustances test. The organization qualifies as a publicly supported organization b 1%-facts-and-circustances test If the organization did not check a box on line 13, 16a, 16b, or 17a, and line 15 is 1% or ore, and if the organization eets the "facts-and-circustances" test, check this box and stop here. Explain in Part IV how the organzation eets the "facts-and-circustances" test. The organization qualifies as a publicly supported organization I I I 18 Private foundation. If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see instructions Schedule A (For 99 or 99-EZ) 211 I I I % % 1E J 7377

20 Schedule A (For 99 or 99-EZ) 211 Page 3 Part III Support Schedule for Organizations Described in Section 59(a)(2) (Coplete only if you checked the box on line 9 of Part I or if the organization failed to qualify under Part II. If the organization fails to qualify under the tests listed below, please coplete Part II.) Section A. Public Support I Calendar year (or fiscal year beginning in) (a) 1 Gifts, grants, contributions, and ebership fees received. (Do not include any "unusual grants.") 2 Gross receipts fro adissions, erchandise sold or services perfored, or facilities furnished in any activity that is related to the organization's tax-exept purpose 3 Gross receipts fro activities that are not an unrelated trade or business under section Tax revenues levied for the organization's benefit and either paid to or expended on its behalf 5 The value of services or facilities furnished by a governental unit to the organization without charge 6 Total. Add lines 1 through 5 7a Aounts included on lines 1, 2, and 3 received fro disqualified persons b Aounts included on lines 2 and 3 received fro other than disqualified persons that exceed the greater of $5, or 1% of the aount on line 13 for the year 27 (b) 28 (c) 29 (d) 21 (e) 211 (f) Total c Add lines 7a and 7b 8 Public support (Subtract line 7c fro line 6.) Section B. Total Support I Calendar year (or fiscal year beginning in) (a) 27 (b) 28 (c) 29 (d) 21 (e) 211 (f) Total 9 Aounts fro line 6 1a Gross incoe fro interest, dividends, payents received on securities loans, rents, royalties and incoe fro siilar sources b Unrelated business taxable incoe (less section 511 taxes) fro businesses acquired after June 3, 1975 c Add lines 1a and 1b 11 Net incoe fro unrelated business activities not included in line 1b, whether or not the business is regularly carried on 12 Other incoe. Do not include gain or loss fro the sale of capital assets (Explain in Part IV.) 13 Total support. (Add lines 9, 1c, 11, and 12.) 14 First five years. If the For 99 is for the organization's first, second, third, fourth, or fifth tax year as a section 51(c)(3) organization, check this box and stop here Section C. Coputation of Public Support Percentage 15 Public support percentage for 211 (line 8, colun (f) divided by line 13, colun (f)) 16 Public support percentage fro 21 Schedule A, Part III, line 15 Section D. Coputation of Investent Incoe Percentage Investent incoe percentage for 211 (line 1c, colun (f) divided by line 13, colun (f)) Investent incoe percentage fro 21 Schedule A, Part III, line 17 19a 331/3 % support tests If the organization did not check the box on line 14, and line 15 is ore than 3 31/3 %, and line b 17 is not ore than 3 31/3 %, check this box and stop here. The organization qualifies as a publicly supported organization 331/3 % support tests If the organization did not check a box on line 14 or line 19a, and line 16 is ore than 3 31/3 %, and line 18 is not ore than 3 31/3 %, check this box and stop here. The organization qualifies as a publicly supported organization 2 Private foundation. If the organization did not check a box on line 14, 19a, or 19b, check this box and see instructions Schedule A (For 99 or 99-EZ) 211 1E J I I I % % % %

21 Schedule A (For 99 or 99-EZ) 211 Page 4 Part IV Suppleental Inforation. Coplete this part to provide the explanations required by Part II, line 1; Part II, line 17a or 17b; and Part III, line 12. Also coplete this part for any additional inforation. (See instructions). Schedule A (For 99 or 99-EZ) 211 1E J 7377

22 SCHEDULE C Political Capaign and Lobbying Activities OMB No (For 99 or 99-EZ) For Organizations Exept Fro Incoe Tax Under section 51(c) and section 527 À¾µµ ICoplete if the organization is described below. IAttach to For 99 or For 99-EZ. Open Departent of the Treasury Internal Revenue Service See separate instructions. Inspection % % I If the organization answered "Yes" to For 99, Part IV, line 3, or For 99-EZ, Part V, line 46 (Political Capaign Activities), then Section 51(c)(3) organizations: Coplete Parts I-A and B. Do not coplete Part I-C. Section 51(c) (other than section 51(c)(3)) organizations: Coplete Parts I-A and C below. Do not coplete Part I-B. Section 527 organizations: Coplete Part I-A only. to Public If the organization answered "Yes" to For 99, Part IV, line 4, or For 99-EZ, Part VI, line 47 (Lobbying Activities), then % Section 51(c)(3) organizations that have filed For 5768 (election under section 51(h)): Coplete Part II-A. Do not coplete Part II-B. Section 51(c)(3) organizations that have NOT filed For 5768 (election under section 51(h)): Coplete Part II-B. Do not coplete Part II-A. If the % organization answered "Yes" to For 99, Part IV, line 5 (Proxy Tax) or For 99-EZ, Part V, line 35c (Proxy Tax), then Section 51(c)(4), (5), or (6) organizations: Coplete Part III. Nae of organization Eployer identification nuber Part I-A Coplete if the organization is exept under section 51(c) or is a section 527 organization. 1 Provide a description of the organization's direct and indirect political capaign activities in Part IV. 2 Political expenditures $ 3 Volunteer hours I $ I$ Part 4 I-B Coplete if the organization is exept under section 51(c)(3). 1 Enter the aount of any excise tax incurred by the organization under section Enter the aount of any excise tax incurred by organization anagers under section If the organization incurred a section 4955 tax, did it file For 472 for this year? Yes No 4 a Was a correction ade? Yes No b If "Yes," describe in Part IV. Part I-C Coplete if the organization is exept under section 51(c), except section 51(c)(3). 1 Enter the aount directly expended by the filing organization for section 527 exept function activities I $ 2 Enter the aount of the filing organization's funds contributed to other organizations for section 527 exept function activities I $ 3 Total exept function expenditures. Add lines 1 and 2. Enter here and on For 112-POL, line 17b I $ 4 Did the filing organization file For 112-POL for this year? Yes No 5 Enter the naes, addresses and eployer identification nuber (EIN) of all section 527 political organizations to which the filing organization ade payents. For each organization listed, enter the aount paid fro the filing organization's funds. Also enter the aount of political contributions received that were proptly and directly delivered to a separate political organization, such as a separate segregated fund or a political action coittee (PAC). If additional space is needed, provide inforation in Part IV. (1) (a) Nae (b) Address (c) EIN (d) Aount paid fro filing organization's funds. If none, enter --. (e) Aount of political contributions received and proptly and directly delivered to a separate political organization. If none, enter --. (2) (3) (4) (5) (6) For Paperwork Reduction Act Notice, see the Instructions for For 99 or 99-EZ. Schedule C (For 99 or 99-EZ) 211 1E J 7377

23 Schedule C (For 99 or 99-EZ) 211 Part II-A Coplete if the organization is exept under section 51(c)(3) and filed For 5768 (election under section 51(h)). A Check I if the filing organization belongs to an affiliated group (and list in Part IV each affiliated group eber's nae, address, EIN, expenses, and share of excess lobbying expenditures). B Check if the filing organization checked box A and "liited control" provisions apply. 1 a b c d e f g h i j I Liits on Lobbying Expenditures (The ter "expenditures" eans aounts paid or incurred.) Total lobbying expenditures to influence public opinion (grass roots lobbying) Total lobbying expenditures to influence a legislative body (direct lobbying) Total lobbying expenditures (add lines 1a and 1b) Other exept purpose expenditures Total exept purpose expenditures (add lines 1c and 1d) Lobbying nontaxable aount. Enter the aount fro the following table in both coluns. If the aount on line 1e, colun (a) or (b) is: The lobbying nontaxable aount is: Not over $5, Over $5, but not over $1,, Over $1,, but not over $1,5, Over $1,5, but not over $17,, 2% of the aount on line 1e. $1, plus 15% of the excess over $5,. $175, plus 1% of the excess over $1,,. $225, plus 5% of the excess over $1,5,. (a) Filing organization's totals Over $17,, $1,,. Grassroots nontaxable aount (enter 25% of line 1f) Subtract line 1g fro line 1a. If zero or less, enter -- Subtract line 1f fro line 1c. If zero or less, enter -- If there is an aount other than zero on either line 1h or line 1i, did the organization file For 472 reporting section 4911 tax for this year? 4-Year Averaging Period Under Section 51(h) (Soe organizations that ade a section 51(h) election do not have to coplete all of the five coluns below. See the instructions for lines 2a through 2f on page 4.) Lobbying Expenditures During 4-Year Averaging Period (b) Affiliated group totals Yes Page 2 No Calendar year (or fiscal year beginning in) (a) 28 (b) 29 (c) 21 (d) 211 (e) Total 2 a Lobbying nontaxable aount b Lobbying ceiling aount (15% of line 2a, colun (e)) c Total lobbying expenditures d Grassroots nontaxable aount e Grassroots ceiling aount (15% of line 2d, colun (e)) f Grassroots lobbying expenditures Schedule C (For 99 or 99-EZ) 211 1E J 7377

24 Schedule C (For 99 or 99-EZ) 211 Part II-B Coplete if the organization is exept under section 51(c)(3) and has NOT filed For 5768 (election under section 51(h)). For each "Yes" response to lines 1a through 1i below, provide in Part IV a detailed description (a) (b) of the lobbying activity. Yes No Aount Page 3 1 a b c d e f g h i j During the year, did the filing organization attept to influence foreign, national, state or local legislation, including any attept to influence public opinion on a legislative atter or referendu, through the use of: Volunteers? Paid staff or anageent (include copensation in expenses reported on lines 1c through 1i)? Media advertiseents? Mailings to ebers, legislators, or the public? Publications, or published or broadcast stateents? Grants to other organizations for lobbying purposes? Direct contact with legislators, their staffs, governent officials, or a legislative body? Rallies, deonstrations, seinars, conventions, speeches, lectures, or any siilar eans? Other activities? Total. Add lines 1c through 1i 2 a b c d Did the activities in line 1 cause the organization to be not described in section 51(c)(3)? If "Yes," enter the aount of any tax incurred under section 4912 If "Yes," enter the aount of any tax incurred by organization anagers under section 4912 If the filing organization incurred a section 4912 tax, did it file For 472 for this year? Part III-A Coplete if the organization is exept under section 51(c)(4), section 51(c)(5), or section 51(c)(6) Yes Were substantially all (9% or ore) dues received nondeductible by ebers? 1 Did the organization ake only in-house lobbying expenditures of $2, or less? 2 Did the organization agree to carry over lobbying and political expenditures fro the prior year? 3 Coplete if the organization is exept under section 51(c)(4), section 51(c)(5), or section 51(c)(6) and if either (a) BOTH Part III-A, lines 1 and 2, are answered "No" OR (b) Part III-A, line 3, is answered "Yes." Part III-B 1 Dues, assessents and siilar aounts fro ebers 1 2 Section 162(e) nondeductible lobbying and political expenditures (do not include aounts of political expenses for which the section 527(f) tax was paid). a Current year 2a b Carryover fro last year 2b c Total 2c 3 Aggregate aount reported in section 633(e)(1)(A) notices of nondeductible section 162(e) dues 3 4 If notices were sent and the aount on line 2c exceeds the aount on line 3, what portion of the excess does the organization agree to carryover to the reasonable estiate of nondeductible lobbying and political expenditure next year? 4 5 Taxable aount of lobbying and political expenditures (see instructions) 5 Part IV Suppleental Inforation Coplete this part to provide the descriptions required for Part I-A, line 1; Part I-B, line 4; Part I-C, line 5; Part II-A; and Part II-B, line 1. Also, coplete this part for any additional inforation. SEE PAGE 4 1,169,463. 1,169,463. No 1E J 7377 Schedule C (For 99 or 99-EZ) 211

25 Schedule C (For 99 or 99-EZ) 211 Page 4 Part IV Suppleental Inforation (continued) SCHEDULE C, PART II-B, LINE 1(G)-(I) THE UNIVERSITY OF SOUTHERN CALIFORNIA'S EFFORTS INCLUDE THE PROMOTION OF HIGHER APPROPRIATIONS FOR STUDENT AID AND BASIC RESEARCH PROGRAMS AND EFFORTS TO GENERALLY FURTHER THE UNIVERSITY'S MISSION OF EDUCATION AND RESEARCH AT THE LOCAL, STATE AND FEDERAL LEVEL. THE UNIVERSITY PAYS DUES TO MEMBER ORGANIZATIONS WHICH MAY LOBBY ON ITS BEHALF. Schedule C (For 99 or 99-EZ) 211 1E J 7377

26 SCHEDULE D OMB No Suppleental Financial Stateents (For 99) ICoplete if the organization answered "Yes," to For 99, À¾µµ Part IV, line 6, 7, 8, 9, 1, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b. Open to Public Departent of the Treasury Internal Revenue Service IAttach to For 99. ISee separate instructions. Inspection Nae of the organization Eployer identification nuber Part I Organizations Maintaining Donor Advised Funds or Other Siilar Funds or Accounts. Coplete if the organization answered "Yes" to For 99, Part IV, line (a) Donor advised funds (b) Funds and other accounts Total nuber at end of year Aggregate contributions to (during year) Aggregate grants fro (during year) Aggregate value at end of year Did the organization infor all donors and donor advisors in writing that the assets held in donor advised funds are the organization s property, subject to the organization's exclusive legal control? Yes Did the organization infor all grantees, donors, and donor advisors in writing that grant funds can be used only for charitable purposes and not for the benefit of the donor or donor advisor, or for any other purpose conferring iperissible private benefit? Yes Conservation Easeents. Coplete if the organization answered "Yes" to For 99, Part IV, line 7. Part II 1 Purpose(s) of conservation easeents held by the organization (check all that apply) a b c d Preservation of land for public use (e.g., recreation or education) Protection of natural habitat Preservation of open space Preservation of an historically iportant land area Preservation of a certified historic structure Coplete lines 2a through 2d if the organization held a qualified conservation contribution in the for of a conservation easeent on the last day of the tax year. Held at the End of the Tax Year Total nuber of conservation easeents 2a Total acreage restricted by conservation easeents 2b Nuber of conservation easeents on a certified historic structure included in (a) 2c Nuber of conservation easeents included in (c) acquired after 8/17/6, and not on a historic structure listed in the National Register 2d Nuber of conservation easeents odified, transferred, released, extinguished, or terinated by the organization during the tax year I Nuber of states where property subject to conservation easeent is located I Does the organization have a written policy regarding the periodic onitoring, inspection, handling of violations, and enforceent of the conservation easeents it holds? Yes Staff and volunteer hours devoted to onitoring, inspecting, and enforcing conservation easeents during the year I 7 Aount of expenses incurred in onitoring, inspecting, and enforcing conservation easeents during the year I $ 8 Does each conservation easeent reported on line 2(d) above satisfy the requireents of section 17(h)(4)(B) (i) and section 17(h)(4)(B)(ii)? Yes 9 In Part IV, describe how the organization reports conservation easeents in its revenue and expense stateent, and balance sheet, and include, if applicable, the text of the footnote to the organization s financial stateents that describes the organization s accounting for conservation easeents. Part III Organizations Maintaining Collections of Art, Historical Treasures, or Other Siilar Assets. Coplete if the organization answered "Yes" to For 99, Part IV, line 8. 1a If the organization elected, as peritted under SFAS 116 (ASC 958), not to report in its revenue stateent and balance sheet works of art, historical treasures, or other siilar assets held for public exhibition, education, or research in furtherance of public service, provide, in Part IV, the text of the footnote to its financial stateents that describes these ites. b If the organization elected, as peritted under SFAS 116 (ASC 958), to report in its revenue stateent and balance sheet works of art, historical treasures, or other siilar assets held for public exhibition, education, or research in furtherance of public service, provide the following aounts relating to these ites: (i) Revenues included in For 99, Part VIII, line 1 I$ (ii) Assets included in For 99, Part I $ 5,19,4. 2 If the organization received or held works of art, historical treasures, or other siilar assets for financial gain, provide the following aounts required to be reported under SFAS 116 (ASC 958) relating to these ites: a Revenues included in For 99, Part VIII, line 1 I$ Assets included in For 99, Part b I $ For Paperwork Reduction Act Notice, see the Instructions for For 99. Schedule D (For 99) 211 1E J 7377 No No No No

27 Schedule D (For 99) 211 Page 2 Part III Organizations Maintaining Collections of Art, Historical Treasures, or Other Siilar Assets (continued) 3 a b c 4 5 Using the organization's acquisition, accession, and other records, check any of the following that are a significant use of its collection ites (check all that apply): Public exhibition d Loan or exchange progras Scholarly research e Other EDUCATION Preservation for future generations Provide a description of the organization's collections and explain how they further the organization's exept purpose in Part IV. During the year, did the organization solicit or receive donations of art, historical treasures, or other siilar assets to be sold to raise funds rather than to be aintained as part of the organization's collection? Yes No Escrow and Custodial Arrangeents. Coplete if the organization answered "Yes" to For 99, Part IV, line 9, or reported an aount on For 99, Part, line 21. Part IV 1a b Is the organization an agent, trustee, custodian or other interediary for contributions or other assets not included on For 99, Part? Yes If "Yes," explain the arrangeent in Part IV and coplete the following table: Aount c Beginning balance d Additions during the year e Distributions during the year f Ending balance 2a Did the organization include an aount on For 99, Part, line 21? b If "Yes," explain the arrangeent in Part IV. Part V 1a b c d e f g 2 a b c 3a b 4 Part VI 1a b c d e 1f Endowent Funds. Coplete if the organization answered "Yes" to For 99, Part IV, line 1. Beginning of year balance Contributions Net investent earnings, gains, and losses Grants or scholarships Other expenditures for facilities and progras Adinistrative expenses End of year balance 1c 1d 1e No 148,26,977. 1,653,552. 8,81, ,779,49. Yes No (a) Current year (b) Prior year (c) Two years back (d) Three years back (e) Four years back ,22,66. 79,1, ,512, ,771,42. -5,789, ,999, ,498, ,233,67. 3,366,52. 29,59, ,585, ,588, ,119,66. 11,447, ,24, I3.2 I69.8 I Yes No Provide the estiated percentage of the current year end balance (line 1g, colun (a)) held as: Board designated or quasi-endowent % Peranent endowent % Teporarily restricted endowent % The percentages in lines 2a, 2b, and 2c should equal 1%. Are there endowent funds not in the possession of the organization that are held and adinistered for the organization by: (i) unrelated organizations (ii) related organizations If "Yes" to 3a(ii), are the related organizations listed as required on Schedule R? Describe in Part IV the intended uses of the organization's endowent funds. Land, Buildings, and Equipent. See For 99, Part, line 1. Description of property Land Buildings Leasehold iproveents Equipent Other (a) Cost or other basis (investent) (b) Cost or other basis (other) (c) Accuulated depreciation I 3a(i) 3a(ii) 3b (d) Book value 136,373, ,373, ,738,989. 1,655,46, ,871, ,421, ,449, ,5, ,76, ,973,617. Total. Add lines 1a through 1e. (Colun (d) ust equal For 99, Part, colun (B), line 1(c).) 2,258,842,947. Schedule D (For 99) 211 1E J 7377

28 Schedule D (For 99) 211 Page 3 Part VII Investents - Other Securities. See For 99, Part, line 12. (a) Description of security or category (including nae of security) (1) Financial derivatives (2) Closely-held equity interests (3) Other (A) (B) (C) (D) (E) (F) (G) (H) (I) Total. (Colun (b) ust equal For 99, Part, col. (B) line 12.) Part VIII (1) (2) (3) (4) (5) (6) (7) (8) (9) (1) I (b) Book value 1,597,361,227. Investents - Progra Related. See For 99, Part, line 13. (c) Method of valuation: Cost or end-of-year arket value (a) Description of investent type (b) Book value (c) Method of valuation: Cost or end-of-year arket value Total. (Colun (b) ust equal For 99, Part, col. (B) line 13.) Part I (1) (2) (3) (4) (5) (6) (7) (8) (9) (1) I Other Assets. See For 99, Part, line 15. (a) Description Total. (Colun (b) ust equal For 99, Part, col. (B) line 15.) I Part Other Liabilities. See For 99, Part, line (a) Description of liability (b) Book value (1) Federal incoe taxes (2) ACTUARIAL LIABILITY (3) FOR ANNUITIES PAYABLES 145,354,915. (4) SELF INSURANCE RESERVES (5) FEDERAL STUDENT LOAN FUNDS 134,925,76. 67,41,64. (6) ASSET RETIREMENT (7) OBLIGATION 11,436,953. (8) REFUNDABLE ADVANCES (9) CAPITAL LEASE OBLIGATION (1) OTHER LIABILITIES 18,959, ,944,245. 6,894,373. (11) Total. (Colun (b) ust equal For 99, Part, col. (B) line 25.) 534,926,395. I (b) Book value 2. FIN 48 (ASC 74) Footnote. In Part IV, provide the text of the footnote to the organization's financial stateents that reports the organization's liability for uncertain tax positions under FIN 48 (ASC 74). 1E ALTERNATIVE INVESTMENTS - HEDGE FUND 59,368,569. FMV ALTERNATIVE INVESTMENTS - PRIVATE EQUITY 1,6,992,658. FMV 7959J 7377 Schedule D (For 99) 211

29 Schedule D (For 99) 211 Page 4 Part I Reconciliation of Change in Net Assets fro For 99 to Audited Financial Stateents 1 Total revenue (For 99, Part VIII, colun (A), line 12) 1 2 Total expenses (For 99, Part I, colun (A), line 25) 2 3 Excess or (deficit) for the year. Subtract line 2 fro line Net unrealized gains (losses) on investents 4 5 Donated services and use of facilities 5 6 Investent expenses 6 7 Prior period adjustents 7 8 Other (Describe in Part IV.) 8 9 Total adjustents (net). Add lines 4 through Excess or (deficit) for the year per audited financial stateents. Cobine lines 3 and 9 1 Part II Reconciliation of Revenue per Audited Financial Stateents With Revenue per Return 1 Total revenue, gains, and other support per audited financial stateents 1 2 Aounts included on line 1 but not on For 99, Part VIII, line 12: a Net unrealized gains on investents 2a b Donated services and use of facilities 2b c Recoveries of prior year grants 2c d Other (Describe in Part IV.) 2d e Add lines 2a through 2d 2e 3 Subtract line 2e fro line Aounts included on For 99, Part VIII, line 12, but not on line 1: a Investent expenses not included on For 99, Part VIII, line 7b 4a b Other (Describe in Part IV.) 4b c Add lines 4a and 4b 4c 5 Total revenue. Add lines 3 and 4c. (This ust equal For 99, Part I, line 12.) 5 Part III Reconciliation of Expenses per Audited Financial Stateents With Expenses per Return 1 Total expenses and losses per audited financial stateents 1 2 Aounts included on line 1 but not on For 99, Part I, line 25: a Donated services and use of facilities 2a b Prior year adjustents 2b c Other losses 2c d Other (Describe in Part IV.) 2d e Add lines 2a through 2d 2e 3 Subtract line 2e fro line Aounts included on For 99, Part I, line 25, but not on line 1: a Investent expenses not included on For 99, Part VIII, line 7b 4a b Other (Describe in Part IV.) 4b c Add lines 4a and 4b 4c 5 Total expenses. Add lines 3 and 4c. (This ust equal For 99, Part I, line 18.) 5 Part IV Suppleental Inforation Coplete this part to provide the descriptions required for Part II, lines 3, 5, and 9; Part III, lines 1a and 4; Part IV, lines 1b and 2b; Part V, line 4; Part, line 2; Part I, line 8; Part II, lines 2d and 4b; and Part III, lines 2d and 4b. Also coplete this part to provide any additional inforation. SEE PAGE 5 Schedule D (For 99) 211 1E J 7377

30 Part IV Suppleental Inforation (continued) Schedule D (For 99) 211 Page 5 SCHEDULE D, PART III, LINE 4 THE UNIVERSITY OF SOUTHERN CALIFORNIA RETAINS MULTIPLE COLLECTIONS OF ART, HISTORICAL TREASURES AND OTHER SIMILAR ASSETS SUCH AS BOOKS, SCRIPTS, FILMS AND PHOTOGRAPHY. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR EDUCATION, RESEARCH AND PUBLIC EHIBITION PURPOSES. SCHEDULE D, PART IV, LINE 1B THE UNIVERSITY ACTS AS THE FISCAL AGENT FOR FUNDS RELATED TO UNIVERSITY SPONSORED AND/OR AFFILIATED PROGRAMS. THE UNIVERSITY DOES NOT OWN THE FUNDS ASSOCIATED WITH THESE PROGRAMS. SCHEDULE D, PART V, LINE 4 THE INTENT OF THE UNIVERSITY'S ENDOWMENT FUNDS IS TO GENERATE THE REVENUES NECESSARY TO SUPPORT THE UNIVERSITY'S EEMPT PURPOSES, INCLUDING EDUCATION, RESEARCH AND SCHOLARSHIPS. SCHEDULE D, PART THE UNIVERSITY OF SOUTHERN CALIFORNIA DOES NOT HAVE A FIN 48 FOOTNOTE AS ANY UNCERTAIN TA POSITIONS WERE DEEMED IMMATERIAL. Schedule D (For 99) 211 1E J 7377

31 SCHEDULE E (For 99 or 99-EZ) Departent of the Treasury Internal Revenue Service Nae of the organization I Schools OMB No À¾µµ Coplete if the organization answered "Yes" to For 99, Part IV, line 13, or For 99-EZ, Part VI, line 48. I Attach to For 99 or For 99-EZ. Inspection Eployer identification nuber Part I 1 Does the organization have a racially nondiscriinatory policy toward students by stateent in its charter, bylaws, other governing instruent, or in a resolution of its governing body? 1 2 Does the organization include a stateent of its racially nondiscriinatory policy toward students in all its brochures, catalogues, and other written counications with the public dealing with student adissions, progras, and scholarships? 2 3 Has the organization publicized its racially nondiscriinatory policy through newspaper or broadcast edia during the period of solicitation for students, or during the registration period if it has no solicitation progra, in a way that akes the policy known to all parts of the general counity it serves? If "Yes," please describe. If "No," please explain. If you need ore space, use Part II 3 SEE SUPPLEMENTAL PAGE Open to Public YES NO 4 Does the organization aintain the following? a Records indicating the racial coposition of the student body, faculty, and adinistrative staff? 4a b Records docuenting that scholarships and other financial assistance are awarded on a racially nondiscriinatory basis? 4b c Copies of all catalogues, brochures, announceents, and other written counications to the public dealing with student adissions, progras, and scholarships? 4c d Copies of all aterial used by the organization or on its behalf to solicit contributions? 4d If you answered "No" to any of the above, please explain. If you need ore space, use Part II. 5 Does the organization discriinate by race in any way with respect to: a Students' rights or privileges? b Adissions policies? c Eployent of faculty or adinistrative staff? d Scholarships or other financial assistance? e Educational policies? f Use of facilities? g Athletic progras? h Other extracurricular activities? If you answered "Yes" to any of the above, please explain. If you need ore space, use Part II. 5f 5a 5b 5c 5d 5e 5g 5h 6 a b Does the organization receive any financial aid or assistance fro a governental agency? Has the organization's right to such aid ever been revoked or suspended? If you answered "Yes" to either line 6a or line 6b, explain on Part II. 7 Does the organization certify that it has coplied with the applicable requireents of sections 4.1 through 4.5 of Rev. Proc. 75-5, C.B. 587, covering racial nondiscriination? If "No," explain on Part II 7 For Paperwork Reduction Act Notice, see the Instructions for For 99 or For 99-EZ. Schedule E (For 99 or 99-EZ) (211) 1E J a 6b

32 Schedule E (For 99 or 99-EZ) (211) Page 2 Part II Suppleental Inforation. Coplete this part to provide the explanations required by Part I, lines 3, 4d, 5h, 6b, and 7, as applicable. Also coplete this part to provide any other additional inforation (see instructions). SCHEDULE E - EPLANATION FOR LINE 3 NON-DISCRIMINATION POLICY THE UNIVERSITY OF SOUTHERN CALIFORNIA IS AN EQUAL OPPORTUNITY EMPLOYER AND EDUCATOR. PROUDLY PLURALISTIC AND FIRMLY COMMITTED TO PROVIDING EQUAL OPPORTUNITY FOR OUTSTANDING MEN AND WOMEN OF EVERY RACE, CREED AND BACKGROUND, THE UNIVERSITY OF SOUTHERN CALIFORNIA STRIVES TO BUILD A COMMUNITY IN WHICH EACH PERSON RESPECTS THE RIGHTS OF OTHER PEOPLE TO BE PROUD OF WHO AND WHAT THEY ARE, TO LIVE, WORK AND LEARN IN PEACE AND DIGNITY, AND TO HAVE AN EQUAL OPPORTUNITY TO REALIZE THEIR FULL POTENTIAL AS INDIVIDUALS AND MEMBERS OF SOCIETY. TO THIS END, THE UNIVERSITY PLACES GREAT EMPHASIS ON THOSE VALUES AND VIRTUES THAT BIND US TOGETHER AS HUMAN BEINGS AND MEMBERS OF THE TROJAN FAMILY. THE UNIVERSITY ENTHUSIASTICALLY SUPPORTS THIS POLICY IN ITS ENTIRETY, AND EPECTS THAT EVERY PERSON ASSOCIATED WITH THE UNIVERSITY WILL GIVE CONTINUING SUPPORT TO ITS IMPLEMENTATION. THE UNIVERSITY OF SOUTHERN CALIFORNIA IS FIRMLY COMMITTED TO COMPLYING WITH ALL APPLICABLE LAWS AND GOVERNMENTAL REGULATIONS AT THE FEDERAL, STATE AND LOCAL LEVELS WHICH PROHIBIT DISCRIMINATION AGAINST, OR WHICH MANDATE THAT SPECIAL CONSIDERATION BE GIVEN TO, STUDENTS AND APPLICANTS FOR ADMISSION, OR FACULTY, STAFF AND APPLICANTS FOR EMPLOYMENT ON THE BASIS OF RACE, COLOR, NATIONAL ORIGIN, ANCESTRY, RELIGION, GENDER, SEUAL ORIENTATION, AGE, PHYSICAL DISABILITY, MENTAL DISABILITY, DISABLED VETERAN OR VETERAN OF THE VIETNAM ERA, OR ANY OTHER CHARACTERISTIC WHICH MAY FROM TIME TO TIME BE SPECIFIED IN SUCH LAWS AND REGULATIONS. THIS POLICY ALSO SHALL APPLY TO THE ADMINISTRATION OF ANY OF THE UNIVERSITY'S EDUCATIONAL PROGRAMS AND ACTIVITIES. GENDER INCLUDES BOTH THE ACTUAL SE Schedule E (For 99 or 99-EZ) (211) 1E J 7377

33 Schedule E (For 99 or 99-EZ) (211) Page 2 Part II Suppleental Inforation. Coplete this part to provide the explanations required by Part I, lines 3, 4d, 5h, 6b, and 7, as applicable. Also coplete this part to provide any other additional inforation (see instructions). OF AN EMPLOYEE OR APPLICANT FOR EMPLOYMENT AND THAT PERSON'S GENDER IDENTITY, APPEARANCE OR BEHAVIOR, WHETHER OR NOT THAT IDENTITY, APPEARANCE OR BEHAVIOR IS TRADITIONALLY ASSOCIATED WITH THAT PERSON'S SE AT BIRTH. AN OTHERWISE QUALIFIED INDIVIDUAL MUST NOT BE DISCRIMINATED AGAINST OR ECLUDED FROM ADMISSION, EMPLOYMENT OR PARTICIPATION IN EDUCATIONAL PROGRAMS AND ACTIVITIES SOLELY BY REASON OF HIS OR HER DISABILITY. THIS POLICY APPLIES TO ALL PERSONNEL ACTIONS SUCH AS RECRUITING, HIRING, PROMOTION, COMPENSATION, BENEFITS, TRANSFERS, LAYOFFS, RETURN FROM LAYOFF, TRAINING, EDUCATION, TUITION ASSISTANCE AND OTHER PROGRAMS. THIS GOOD FAITH EFFORT TO COMPLY IS MADE EVEN WHEN SUCH LAWS AND REGULATIONS CONFLICT WITH EACH OTHER. THE UNIVERSITY OF SOUTHERN CALIFORNIA SEEKS COMPLIANCE WITH ALL STATUTES PROHIBITING DISCRIMINATION IN EDUCATION, INCLUDING TITLE VI AND TITLE VII OF THE CIVIL RIGHTS ACT OF 1964, TITLE I OF THE EDUCATION AMENDMENTS OF 1972, SECTION 54 OF THE REHABILITATION ACT OF 1973, AND THE AMERICANS WITH DISABILITIES ACT OF 199 WHICH RESPECTIVELY PROHIBIT DISCRIMINATION. IN GENERAL, THE UNIVERSITY DOES NOT SOLICIT OUTSIDE OF ITS WEBSITE AND ADMISSIONS MATERIALS. THE UNIVERSITY'S NON-DISCRIMINATION POLICY IS ON THE UNIVERSITY'S WEBSITE, IN THE FACULTY HANDBOOK, IN SCAMPUS (THE STUDENT HANDBOOK), AND ALSO IN THE UNIVERSITY COURSE CATALOGUE. IN ADDITION, IT IS COMMUNICATED TO ALL STUDENTS DURING ORIENTATION, TO ALL NEW EMPLOYEES WITHIN 6 DAYS OF HIRE, AND TO ALL EMPLOYEES EVERY 2 YEARS AS PART OF THE UNIVERSITY'S HARASSMENT AND DISCRIMINATION PREVENTION TRAINING. Schedule E (For 99 or 99-EZ) (211) 1E J 7377

34 Schedule E (For 99 or 99-EZ) (211) Page 2 Part II Suppleental Inforation. Coplete this part to provide the explanations required by Part I, lines 3, 4d, 5h, 6b, and 7, as applicable. Also coplete this part to provide any other additional inforation (see instructions). SCHEDULE E - EPLANATION FOR LINE 6A THE UNIVERSITY OF SOUTHERN CALIFORNIA RECEIVES FUNDING FROM VARIOUS FEDERAL AND STATE GOVERNMENTAL AGENCIES IN SUPPORT OF THE UNIVERSITY'S EDUCATIONAL MISSION. Schedule E (For 99 or 99-EZ) (211) 1E J 7377

35 SCHEDULE F (For 99) Stateent of Activities Outside the United States ICoplete if the organization answered "Yes" to For 99, Part IV, line 14b, 15, or 16. OMB No À¾µµ IAttach to For 99. Open to Public I See separate instructions. Departent of the Treasury Internal Revenue Service Inspection Nae of the organization Eployer identification nuber UNIVERSITY OF SOUTHERN CALIFORNIA Part I General Inforation on Activities Outside the United States. Coplete if the organization answered "Yes" to For 99, Part IV, line 14b. 1 2 For grantakers. Does the organization aintain records to substantiate the aount of its grants and other assistance, the grantees' eligibility for the grants or assistance, and the selection criteria used to award the grants or assistance? Yes No For grantakers. Describe in Part V the organization's procedures for onitoring the use of its grants and other assistance outside the United States. 3 Activities per Region. (The following Part I, line 3 table can be duplicated if additional space is needed.) (a) Region (b) Nuber of offices in the region (c) Nuber of eployees, agents, and independent contractors in region (d) Activities conducted in region (by type) (e.g., fundraising, progra services, investents, grants to recipients located in the region) (e) If activity listed in (d) is a progra service, describe specific type of service(s) in region (f) Total expenditures for and investents in region (1) (2) (3) (4) (5) (6) (7) (8) (9) (1) (11) (12) (13) (14) (15) (16) CENTRAL AMERICA/CARIBBEAN 1. PROGRAM SERVICES INSTRUCT,ECUR,TRAVEL EAST ASIA AND THE PACIFIC PROGRAM SERVICES INSTRUCT,ECUR,TRAVEL EUROPE PROGRAM SERVICES INSTRUCT,ECUR,TRAVEL MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES INSTRUCT,ECUR,TRAVEL NORTH AMERICA PROGRAM SERVICES INSTRUCT,ECUR,TRAVEL RUSSIA/INDEPENDENT STATES PROGRAM SERVICES INSTRUCT,ECUR,TRAVEL SUB-SAHARAN AFRICA 1. PROGRAM SERVICES INSTRUCT,ECUR,TRAVEL SOUTH AMERICA PROGRAM SERVICES INSTRUCT,ECUR,TRAVEL CENTRAL AMERICA/CARIBBEAN PROGRAM SERVICES RESEARCH EAST ASIA AND THE PACIFIC 1. PROGRAM SERVICES RESEARCH EUROPE PROGRAM SERVICES RESEARCH MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES RESEARCH NORTH AMERICA PROGRAM SERVICES RESEARCH RUSSIA/INDEPENDENT STATES PROGRAM SERVICES RESEARCH SOUTH AMERICA PROGRAM SERVICES RESEARCH SOUTH ASIA PROGRAM SERVICES RESEARCH (17) 3a b SUB-SAHARAN AFRICA PROGRAM SERVICES RESEARCH Sub-total Total fro continuation sheets to Part I Totals (add lines 3a and 3b) ,89,96. c ,89,96. For Paperwork Reduction Act Notice, see the Instructions for For 99. Schedule F (For 99) 211 1E J 7377

36 SCHEDULE F (For 99) Stateent of Activities Outside the United States ICoplete if the organization answered "Yes" to For 99, Part IV, line 14b, 15, or 16. OMB No À¾µµ IAttach to For 99. Open to Public I See separate instructions. Departent of the Treasury Internal Revenue Service Inspection Nae of the organization Eployer identification nuber UNIVERSITY OF SOUTHERN CALIFORNIA Part I General Inforation on Activities Outside the United States. Coplete if the organization answered "Yes" to For 99, Part IV, line 14b. 1 2 For grantakers. Does the organization aintain records to substantiate the aount of its grants and other assistance, the grantees' eligibility for the grants or assistance, and the selection criteria used to award the grants or assistance? Yes No For grantakers. Describe in Part V the organization's procedures for onitoring the use of its grants and other assistance outside the United States. 3 Activities per Region. (The following Part I, line 3 table can be duplicated if additional space is needed.) (a) Region (b) Nuber of offices in the region (c) Nuber of eployees, agents, and independent contractors in region (d) Activities conducted in region (by type) (e.g., fundraising, progra services, investents, grants to recipients located in the region) (e) If activity listed in (d) is a progra service, describe specific type of service(s) in region (f) Total expenditures for and investents in region (1) (2) (3) (4) (5) (6) (7) (8) (9) (1) (11) (12) (13) (14) (15) (16) CENTRAL AMERICA/CARIBBEAN PROGRAM SERVICES STUDENT TRAVEL ABROAD EAST ASIA AND THE PACIFIC PROGRAM SERVICES STUDENT TRAVEL ABROAD EUROPE PROGRAM SERVICES STUDENT TRAVEL ABROAD MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES STUDENT TRAVEL ABROAD NORTH AMERICA PROGRAM SERVICES STUDENT TRAVEL ABROAD RUSSIA/INDEPENDENT STATES PROGRAM SERVICES STUDENT TRAVEL ABROAD SOUTH AMERICA PROGRAM SERVICES STUDENT TRAVEL ABROAD SOUTH ASIA PROGRAM SERVICES STUDENT TRAVEL ABROAD SUB-SAHARAN AFRICA PROGRAM SERVICES STUDENT TRAVEL ABROAD CENTRAL AMERICA/CARIBBEAN PROGRAM SERVICES STAFF TRAVEL ABROAD EAST ASIA AND THE PACIFIC PROGRAM SERVICES STAFF TRAVEL ABROAD EUROPE PROGRAM SERVICES STAFF TRAVEL ABROAD NORTH AMERICA PROGRAM SERVICES STAFF TRAVEL ABROAD SOUTH AMERICA PROGRAM SERVICES STAFF TRAVEL ABROAD MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES RECRUITMENT EAST ASIA AND THE PACIFIC PROGRAM SERVICES RECRUITMENT (17) 3a b EUROPE PROGRAM SERVICES RECRUITMENT Sub-total Total fro continuation sheets to Part I Totals (add lines 3a and 3b) c For Paperwork Reduction Act Notice, see the Instructions for For 99. Schedule F (For 99) 211 1E J 7377

37 SCHEDULE F (For 99) Stateent of Activities Outside the United States ICoplete if the organization answered "Yes" to For 99, Part IV, line 14b, 15, or 16. OMB No À¾µµ IAttach to For 99. Open to Public I See separate instructions. Departent of the Treasury Internal Revenue Service Inspection Nae of the organization Eployer identification nuber UNIVERSITY OF SOUTHERN CALIFORNIA Part I General Inforation on Activities Outside the United States. Coplete if the organization answered "Yes" to For 99, Part IV, line 14b. 1 2 For grantakers. Does the organization aintain records to substantiate the aount of its grants and other assistance, the grantees' eligibility for the grants or assistance, and the selection criteria used to award the grants or assistance? Yes No For grantakers. Describe in Part V the organization's procedures for onitoring the use of its grants and other assistance outside the United States. 3 Activities per Region. (The following Part I, line 3 table can be duplicated if additional space is needed.) (a) Region (b) Nuber of offices in the region (c) Nuber of eployees, agents, and independent contractors in region (d) Activities conducted in region (by type) (e.g., fundraising, progra services, investents, grants to recipients located in the region) (e) If activity listed in (d) is a progra service, describe specific type of service(s) in region (f) Total expenditures for and investents in region (1) (2) (3) (4) (5) (6) (7) (8) (9) (1) (11) (12) (13) (14) SOUTH AMERICA PROGRAM SERVICES RECRUITMENT EAST ASIA AND THE PACIFIC PROGRAM SERVICES RECRUIT,PART,STUD OPP NORTH AMERICA PROGRAM SERVICES RECRUIT,PART,STUD OPP SOUTH ASIA PROGRAM SERVICES RECRUIT,PART,STUD OPP EAST ASIA AND THE PACIFIC PROGRAM SERVICES GLOBALIZATION-TRAVEL MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES GLOBALIZATION-TRAVEL NORTH AMERICA PROGRAM SERVICES GLOBALIZATION-TRAVEL SOUTH AMERICA PROGRAM SERVICES GLOBALIZATION-TRAVEL SOUTH ASIA PROGRAM SERVICES GLOBALIZATION-TRAVEL EAST ASIA AND THE PACIFIC 66. PROGRAM SERVICES INTER EPER LEARNING RUSSIA/INDEPENDENT STATES PROGRAM SERVICES INTER EPER LEARNING SOUTH AMERICA 12. PROGRAM SERVICES INTER EPER LEARNING SOUTH ASIA 4. PROGRAM SERVICES INTER EPER LEARNING MIDDLE EAST AND NORTH AFRICA 2. PROGRAM SERVICES INTER EPER LEARNING (15) EUROPE GRANTMAKING (16) NORTH AMERICA GRANTMAKING ` (17) 3a b EAST ASIA AND THE PACIFIC Sub-total Total fro continuation sheets to Part I Totals (add lines 3a and 3b) GRANTMAKING c For Paperwork Reduction Act Notice, see the Instructions for For 99. Schedule F (For 99) 211 1E J 7377

38 SCHEDULE F (For 99) Stateent of Activities Outside the United States ICoplete if the organization answered "Yes" to For 99, Part IV, line 14b, 15, or 16. OMB No À¾µµ IAttach to For 99. Open to Public I See separate instructions. Departent of the Treasury Internal Revenue Service Inspection Nae of the organization Eployer identification nuber UNIVERSITY OF SOUTHERN CALIFORNIA Part I General Inforation on Activities Outside the United States. Coplete if the organization answered "Yes" to For 99, Part IV, line 14b. 1 2 For grantakers. Does the organization aintain records to substantiate the aount of its grants and other assistance, the grantees' eligibility for the grants or assistance, and the selection criteria used to award the grants or assistance? Yes No For grantakers. Describe in Part V the organization's procedures for onitoring the use of its grants and other assistance outside the United States. 3 Activities per Region. (The following Part I, line 3 table can be duplicated if additional space is needed.) (a) Region (b) Nuber of offices in the region (c) Nuber of eployees, agents, and independent contractors in region (d) Activities conducted in region (by type) (e.g., fundraising, progra services, investents, grants to recipients located in the region) (e) If activity listed in (d) is a progra service, describe specific type of service(s) in region (f) Total expenditures for and investents in region (1) MIDDLE EAST AND NORTH AFRICA GRANTMAKING (2) (3) (4) CENTRAL AMERICA/CARIBBEAN INVESTMENTS 473,58,499. EUROPE INVESTMENTS 87,296,558. NORTH AMERICA INVESTMENTS 94,932,849. (5) (6) (7) (8) (9) (1) (11) (12) (13) (14) (15) (16) (17) 3a b Sub-total Total fro continuation sheets to Part I Totals (add lines 3a and 3b) c For Paperwork Reduction Act Notice, see the Instructions for For 99. Schedule F (For 99) 211 1E J 7377

39 Schedule F (For 99) 211 Page 2 Part II 1 Grants and Other Assistance to Organizations or Entities Outside the United States. Coplete if the organization answered "Yes" to For 99, Part IV, line 15, for any recipient who received ore than $5,. Check this box if no one recipient received ore than $5, Part II can be duplicated if additional space is needed. (a) Nae of organization (b) IRS code section and EIN (if applicable) (c) Region (d) Purpose of grant (e) Aount of cash grant (f) Manner of cash disburseent (g) Aount of non-cash assistance (h) Description of non-cash assistance I (i) Method of valuation (book, FMV, appraisal, other) (1) (2) (3) (4) (5) (6) (7) (8) (9) (1) (11) (12) (13) (14) (15) (16) EUROPE/ICELAND/GREENLAND RSCH SUBAWRD 13,716. WIRE/CHECK FMV NORTH AMERICA RSCH SUBAWRD 22,578. WIRE/CHECK FMV EUROPE/ICELAND/GREENLAND RSCH SUBAWRD 14,89. WIRE/CHECK FMV NORTH AMERICA RSCH SUBAWRD 28,28. WIRE/CHECK FMV EUROPE/ICELAND/GREENLAND RSCH SUBAWRD 316,469. WIRE/CHECK FMV EUROPE/ICELAND/GREENLAND RSCH SUBAWRD 13,945. WIRE/CHECK FMV EUROPE/ICELAND/GREENLAND RSCH SUBAWRD 195,498. WIRE/CHECK FMV EUROPE/ICELAND/GREENLAND RSCH SUBAWRD 159,37. WIRE/CHECK FMV EAST ASIA/PACIFIC RSCH SUBAWRD 29,1. WIRE/CHECK FMV EAST ASIA/PACIFIC RSCH SUBAWRD 36,89. WIRE/CHECK FMV EUROPE/ICELAND/GREENLAND RSCH SUBAWRD 23,52. WIRE/CHECK FMV EUROPE/ICELAND/GREENLAND RSCH SUBAWRD 576,878. WIRE/CHECK FMV EUROPE/ICELAND/GREENLAND RSCH SUBAWRD 1,574,199. WIRE/CHECK FMV EUROPE/ICELAND/GREENLAND RSCH SUBAWRD 9,5. WIRE/CHECK FMV EUROPE/ICELAND/GREENLAND RSCH SUBAWRD 61,457. WIRE/CHECK FMV NORTH AMERICA RSCH SUBAWRD 258,844. WIRE/CHECK FMV 2 Enter total nuber of recipient organizations listed above that are recognized as charities by the foreign country, recognized as tax-exept by the IRS, or for which the grantee or counsel has provided a section 51(c)(3) equivalency letter 3 Enter total nuber of other organizations or entities I Schedule F (For 99) 211 1E J 7377

40 Schedule F (For 99) 211 Page 2 Part II 1 Grants and Other Assistance to Organizations or Entities Outside the United States. Coplete if the organization answered "Yes" to For 99, Part IV, line 15, for any recipient who received ore than $5,. Check this box if no one recipient received ore than $5, Part II can be duplicated if additional space is needed. (a) Nae of organization (b) IRS code section and EIN (if applicable) (c) Region (d) Purpose of grant (e) Aount of cash grant (f) Manner of cash disburseent (g) Aount of non-cash assistance (h) Description of non-cash assistance I (i) Method of valuation (book, FMV, appraisal, other) (1) (2) MIDDLE EAST/NORTH AFRICA RSCH SUBAWRD 75,. WIRE/CHECK FMV NORTH AMERICA RSCH SUBAWRD 45,. WIRE/CHECK FMV (3) (4) (5) (6) (7) (8) (9) (1) (11) (12) (13) (14) (15) (16) 2 Enter total nuber of recipient organizations listed above that are recognized as charities by the foreign country, recognized as tax-exept by the IRS, or for which the grantee or counsel has provided a section 51(c)(3) equivalency letter 3 Enter total nuber of other organizations or entities I Schedule F (For 99) 211 1E J 7377

41 Schedule F (For 99) 211 Page 3 Part III Grants and Other Assistance to Individuals Outside the United States. Coplete if the organization answered "Yes" to For 99, Part IV, line 16. Part III can be duplicated if additional space is needed. (a) Type of grant or assistance (b) Region (c) Nuber of recipients (d) Aount of cash grant (e) Manner of cash disburseent (f) Aount of non-cash assistance (g) Description of non-cash assistance (h) Method of valuation (book, FMV, appraisal, other) (1) (2) (3) (4) (5) (6) (7) (8) (9) (1) (11) (12) (13) (14) (15) (16) (17) (18) Schedule F (For 99) 211 1E J 7377

42 Schedule F (For 99) 211 Page 4 Part IV Foreign Fors 1 Was the organization a U.S. transferor of property to a foreign corporation during the tax year? If "Yes," the organization ay be required to file For 926, Return by a U.S. Transferor of Property to a Foreign Corporation (see Instructions for For 926) Yes No 2 Did the organization have an interest in a foreign trust during the tax year? If "Yes," the organization ay be required to file For 352, Annual Return to Report Transactions with Foreign Trusts and Receipt of Certain Foreign Gifts, and/or For 352-A, Annual Inforation Return of Foreign Trust With a U.S. Owner (see Instructions for Fors 352 and 352-A) Yes No 3 Did the organization have an ownership interest in a foreign corporation during the tax year? If "Yes," the organization ay be required to file For 5471, Inforation Return of U.S. Persons With Respect To Certain Foreign Corporations. (see Instructions for For 5471) Yes No 4 Was the organization a direct or indirect shareholder of a passive foreign investent copany or a qualified electing fund during the tax year? If "Yes," the organization ay be required to file For 8621, Inforation Return by a Shareholder of a Passive Foreign Investent Copany or Qualified Electing Fund. (see Instructions for For 8621) Yes No 5 Did the organization have an ownership interest in a foreign partnership during the tax year? If "Yes," the organization ay be required to file For 8865, Return of U.S. Persons With Respect To Certain Foreign Partnerships. (see Instructions for For 8865) Yes No 6 Did the organization have any operations in or related to any boycotting countries during the tax year? If "Yes," the organization ay be required to file For 5713, International Boycott Report (see Instructions for For 5713) Yes No Schedule F (For 99) 211 1E J 7377

43 Schedule F (For 99) 211 Page 5 Part V Suppleental Inforation Coplete this part to provide the inforation required by Part I, line 2 (onitoring of funds); Part I, line 3, colun (f) (accounting ethod; aounts of investents vs. expenditures per region); Part II, line 1 (accounting ethod); Part III (accounting ethod); and Part III, colun (c) (estiated nuber of recipients), as applicable. Also coplete this part to provide any additional inforation (see instructions). SCHEDULE F, PART I, COLUMN (F) PURSUANT TO IRS GUIDANCE, EPENDITURES ARE NOT REQUIRED TO BE REPORTED IN THIS COLUMN FOR THE CURRENT YEAR (WITH THE ECEPTION OF INVESTMENTS). ZEROES HAVE NOT BEEN INCLUDED IN THIS COLUMN DUE TO TA SOFTWARE CONSTRAINTS. SCHEDULE F, PART I, LINE 2 THE UNIVERSITY WIRES ITS OFFICE EPENSES ON A MONTHLY BASIS. THE MONTHLY EPENSES CONSIST OF FIED COSTS: PAYROLL, RENT, OCCUPANCY COSTS (SUCH AS PHONE/INTERNET/FA, CLEANING, ELECTRICITY), CONSULTANTS SUCH AS ACCOUNTANTS, BANK FEES AND NON-FIED, SUCH AS SUPPLIES, TRAVEL, MEALS AND ENTERTAINMENT AND SOME MISCELLANEOUS COSTS. THE OFFICES SEND THEIR EPENSE REPORTS INCLUDING BACKUP (INVOICES/RECEIPTS) TO THE UNIVERSITY ALONG WITH MONTHLY BANK STATEMENTS. ALL EPENDITURES DOMESTIC AND INTERNATIONAL MUST COMPLY WITH OUR EPENDITURE MANUAL AND THE UNIVERSITY'S SENIOR BUSINESS OFFICERS ARE RESPONSIBLE FOR COMPLYING WITH THESE POLICIES AND REGULATIONS. 1E J 7377 Schedule F (For 99) 211

44 SCHEDULE G Suppleental Inforation Regarding Fundraising or Gaing Activities OMB No À¾µµ (For 99 or 99-EZ) Coplete if the organization answered "Yes" to For 99, Part IV, lines 17, 18, or 19, or if the Open to Public Departent of the Treasury organization entered ore than $15, on For 99-EZ, line 6a. Internal Revenue Service Attach to For 99 or For 99-EZ. See separate instructions. Inspection Nae of the organization I I Eployer identification nuber Fundraising Activities. Coplete if the organization answered "Yes" to For 99, Part IV, line 17. Part I For 99-EZ filers are not required to coplete this part. 1 Indicate whether the organization raised funds through any of the following activities. Check all that apply. a b c d Mail solicitations Internet and eail solicitations Phone solicitations In-person solicitations e f g Solicitation of non-governent grants Solicitation of governent grants Special fundraising events 2 a Did the organization have a written or oral agreeent with any individual (including officers, directors, trustees or key eployees listed in For 99, Part VII) or entity in connection with professional fundraising services? Yes No b If "Yes," list the ten highest paid individuals or entities (fundraisers) pursuant to agreeents under which the fundraiser is to be copensated at least $5, by the organization. 1 (i) Nae and address of individual or entity (fundraiser) (ii) Activity (iii) Did fundraiser have custody or control of contributions? Yes No (iv) Gross receipts fro activity (v) Aount paid to (or retained by) fundraiser listed in col. (i) (vi) Aount paid to (or retained by) organization Total I 3 List all states in which the organization is registered or licensed to solicit contributions or has been notified it is exept fro registration or licensing. Paperwork Reduction Act Notice, see the Instructions for For 99 or 99-EZ. Schedule G (For 99 or 99-EZ) 211 1E J 7377

45 Schedule G (For 99 or 99-EZ) 211 Page 2 Part II Fundraising Events. Coplete if the organization answered "Yes" to For 99, Part IV, line 18, or reported ore than $15, of fundraising event contributions and gross incoe on For 99-EZ, lines 1 and 6b. List events with gross receipts greater than $5,. Revenue Direct Expenses Part III Revenue Direct Expenses 9 a b Gross receipts Less: Charitable contributions Gross incoe (line 1 inus line 2) Cash prizes Noncash prizes Rent/facility costs Food and beverages Entertainent (a) Event #1 (b) Event #2 (c) Other Events (event type) (event type) (total nuber) (d) Total events (add col. (a) through col. (c)) Other direct expenses 36, , , ,47. Direct expense suary. Add lines 4 through 9 in colun (d) ( 615,47. ) Net incoe suary. Cobine line 3, colun (d), and line 1 Gaing. Coplete if the organization answered "Yes" to For 99, Part IV, line 19, or reported I 197,12. ore than $15, on For 99-EZ, line 6a. Gross revenue Cash prizes Noncash prizes Rent/facility costs Other direct expenses Volunteer labor (a) Bingo Yes Direct expense suary. Add lines 2 through 5 in colun (d) Net gaing incoe suary. Cobine line 1, colun d, and line 7 ALUMNI AWARDS SCRIPTOR AWARD 1. No (b) Pull tabs/instant bingo/progressive bingo Enter the state(s) in which the organization operates gaing activities: Is the organization licensed to operate gaing activities in each of these states? If "No," explain: 58, , ,. 812, , , ,. 812,419. (c) Other gaing % Yes % Yes % No No (d) Total gaing (add col. (a) through col. (c)) I ( ) I Yes No 1 a b Were any of the organization's gaing licenses revoked, suspended or terinated during the tax year? If "Yes," explain: Yes No Schedule G (For 99 or 99-EZ) 211 1E J 7377

46 Yes No Yes No Schedule G (For 99 or 99-EZ) 211 Page 3 11 Does the organization operate gaing activities with nonebers? 12 Is the organization a grantor, beneficiary or trustee of a trust or a eber of a partnership or other entity fored to adinister charitable gaing? 13 a b 14 Indicate the percentage of gaing activity operated in: The organization's facility An outside facility 13a 13b Enter the nae and address of the person who prepares the organization's gaing/special events books and records: Nae I Address I % % 15 a b c Does the organization have a contract with a third party fro who the organization receives gaing revenue? Yes No If "Yes," enter the aount of gaing revenue received by the organization I$ and the aount of gaing revenue retained by the third party I$. If "Yes," enter nae and address of the third party: Nae I Address I 16 Gaing anager inforation: Nae I Gaing anager copensation I$ Description of services provided I Director/officer Eployee Independent contractor 17 Mandatory distributions: a Is the organization required under state law to ake charitable distributions fro the gaing proceeds to retain the state gaing license? Yes No b Enter the aount of distributions required under state law to be distributed to other exept organizations or spent in the organization's own exept activities during the tax year I$ Part IV Suppleental Inforation. Coplete this part to provide the explanation required by Part I, line 2b, coluns (iii) and (v), and Part III, lines 9, 9b, 1b, 15b, 15c, 16, and 17b, as applicable. Also coplete this part to provide any additional inforation (see instructions). Schedule G (For 99 or 99-EZ) 211 1E J 7377

47 SCHEDULE H Hospitals OMB No (For 99) ICoplete if the organization answered "Yes" to For 99, Part IV, question 2. À¾µµ IAttach to For 99. ISee separate instructions. Open to Public Departent of the Treasury Internal Revenue Service Inspection Nae of the organization Eployer identification nuber Part I Financial Assistance and Certain Other Counity Benefits at Cost 1a b Did the organization have a financial assistance policy during the tax year? If "No," skip to question 6a If "Yes," was it a written policy? 1a 1b 2 If the organization had ultiple hospital facilities, indicate which of the following best describes application of the financial assistance policy to its various hospital facilities during the tax year. Applied uniforly to all hospital facilities Applied uniforly to ost hospital facilities Generally tailored to individual hospital facilities 3 Answer the following based on the financial assistance eligibility criteria that applied to the largest nuber of the organization's patients during the tax year. a Did the organization use Federal Poverty Guidelines (FPG) to deterine eligibility for providing free care? If "Yes," indicate which of the following was the FPG faily incoe liit for eligibility for free care: 1% 15% 2% Other % b Did the organization use FPG to deterine eligibility for providing discounted care? If "Yes," indicate which of the following was the faily incoe liit for eligibility for discounted care: 2% 25% 3% 35% 4% Other % 3a 3b c If the organization did not use FPG to deterine eligibility, describe in Part VI the incoe based criteria for deterining eligibility for free or discounted care. Include in the description whether the organization used an asset test or other threshold, regardless of incoe, to deterine eligibility for free or discounted care. 4 Did the organization's financial assistance policy that applied to the largest nuber of its patients during the tax year provide for free or discounted care to the "edically indigent"? 4 5a Did the organization budget aounts for free or discounted care provided under its financial assistance policy during the tax year? 5a b If "Yes," did the organization's financial assistance expenses exceed the budgeted aount? 5b c If "Yes" to line 5b, as a result of budget considerations, was the organization unable to provide free or discounted care to a patient who was eligible for free or discounted care? 5c 6a Did the organization prepare a counity benefit report during the tax year? 6a b If "Yes," did the organization ake it available to the public? 6b Coplete the following table using the worksheets provided in the Schedule H instructions. Do not subit these worksheets with the Schedule H. 7 Financial Assistance and Certain Other Counity Benefits at Cost (c) Total counity (d) Direct offsetting (e) Net counity benefit expense revenue benefit expense Financial Assistance and Means-Tested Governent Progras a Financial Assistance at cost b c d e f g h i j k (fro Worksheet 1) Medicaid (fro Worksheet 3, colun a) Costs of other eans-tested governent progras (fro Worksheet 3, colun b) Total Financial Assistance and Means-Tested Governent Progras Other Benefits Counity health iproveent services and counity benefit operations (fro Worksheet 4) Health professions education (fro Worksheet 5) Subsidized health services (fro Worksheet 6) Research (fro Worksheet 7) Cash and in-kind contributions for counity benefit (fro Worksheet 8) Total. Other Benefits Total. Add lines 7d and 7j (a) Nuber of activities or progras (optional) (b) Persons served (optional) Yes (f) Percent of total expense For Paperwork Reduction Act Notice, see the Instructions for For 99. Schedule H (For 99) 211 1E J , , ,13,26. 39,923, ,89, ,53,7. 39,923, ,58, ,84. 59, ,97,792. 3,599,95. 15,38, ,768, ,768, ,. 113,. 283,38,42. 3,599, ,781, ,884,12. 43,522, ,361, No

48 Schedule H (For 99) 211 Page 2 Part II Total Counity Building Activities Coplete this table if the organization conducted any counity building activities during the tax year, and describe in Part VI how its counity building activities prooted the health of the counities it serves. Physical iproveents and housing Econoic developent Counity support Environental iproveents Leadership developent and training for counity ebers Coalition building Counity health iproveent advocacy Workforce developent Other Part III Section A. Bad Debt Expense (a) Nuber of activities or progras (optional) (b) Persons served (optional) (c) Total counity building expense Bad Debt, Medicare, & Collection Practices (d) Direct offsetting revenue (e) Net counity building expense Did the organization report bad debt expense in accordance with Healthcare Financial Manageent Association Stateent No. 15? 1 Enter the aount of the organization's bad debt expense 2 9,579,449. Enter the estiated aount of the organization's bad debt expense attributable to patients eligible under the organization's financial assistance policy 3 Provide in Part VI the text of the footnote to the organization's financial stateents that describes bad debt expense. In addition, describe the costing ethodology used in deterining the aounts reported on lines 2 and 3, and rationale for including a portion of bad debt aounts as counity benefit. Section B. Medicare 5 Enter total revenue received fro Medicare (including DSH and IME) 6 Enter Medicare allowable costs of care relating to payents on line 5 7 Subtract line 6 fro line 5. This is the surplus (or shortfall) 8 Describe in Part VI the extent to which any shortfall reported in line 7 should be treated as counity benefit. Also describe in Part VI the costing ethodology or source used to deterine the aount reported on line 6. Check the box that describes the ethod used: Cost accounting syste Cost to charge ratio Other Section C. Collection Practices 9a Did the organization have a written debt collection policy during the tax year? 9a b If "Yes," did the organization's collection policy that applied to the largest nuber of its patients during the tax year contain provisions on the collection practices to be followed for patients who are known to qualify for financial assistance? Describe in Part VI 9b Part IV Manageent Copanies and Joint Ventures (see instructions) N/A (a) Nae of entity (b) Description of priary activity of entity (c) Organization's profit % or stock ownership % 161,846, ,999, ,153,19. (d) Officers, directors, trustees, or key eployees' profit % or stock ownership % (f) Percent of total expense Yes No (e) Physicians' profit % or stock ownership % 1E J 7377 Schedule H (For 99) 211

49 Schedule H (For 99) 211 Page 3 Part V Facility Inforation Section A. Hospital Facilities (list in order of size, fro largest to sallest) How any hospital facilities did the organization operate during the tax year? 2 Nae and address 1 KECK HOSPITAL OF USC 15 SAN PABLO STREET LOS ANGELES CA USC NORRIS CANCER HOSPITAL 1441 EASTLAKE AVENUE LOS ANGELES CA Licensed hospital General edical & surgical Children's hospital Teaching hospital Critical access hospital Research facility ER-24 hours ER-other Other (describe) Schedule H (For 99) 211 1E J 7377

50 Schedule H (For 99) 211 Page 4 Part V Facility Inforation (continued) Section B. Facility Policies and Practices (Coplete a separate Section B for each of the hospital facilities listed in Part V, Section A) Nae of Hospital Facility: KECK HOSPITAL OF USC Line Nuber of Hospital Facility (fro Schedule H, Part V, Section A): Counity Health Needs Assessent (Lines 1 through 7 are optional for tax year 211) 1 During the tax year or any prior tax year, did the hospital facility conduct a counity health needs assessent (Needs Assessent)? If "No," skip to line 8 1 If "Yes," indicate what the Needs Assessent describes (check all that apply): a A definition of the counity served by the hospital facility b Deographics of the counity c Existing health care facilities and resources within the counity that are available to respond to the health needs of the counity d How data was obtained e The health needs of the counity f Priary and chronic disease needs and other health issues of uninsured persons, low-incoe persons, and inority groups g The process for identifying and prioritizing counity health needs and services to eet the counity health needs h The process for consulting with persons representing the counity's interests i Inforation gaps that liit the hospital facility's ability to assess the counity's health needs j Other (describe in Part VI) 2 Indicate the tax year the hospital facility last conducted a Needs Assessent: 2 3 In conducting its ost recent Needs Assessent, did the hospital facility take into account input fro persons who represent the counity served by the hospital facility? If "Yes," describe in Part VI how the hospital facility took into account input fro persons who represent the counity, and identify the persons the hospital facility consulted 3 4 Was the hospital facility's Needs Assessent conducted with one or ore other hospital facilities? If "Yes," list the other hospital facilities in Part VI 4 5 Did the hospital facility ake its Needs Assessent widely available to the public? 5 If "Yes," indicate how the Needs Assessent was ade widely available (check all that apply): a Hospital facility's website b Available upon request fro the hospital facility c Other (describe in Part VI) 6 If the hospital facility addressed needs identified in its ost recently conducted Needs Assessent, indicate how (check all that apply): a Adoption of an ipleentation strategy to address the health needs of the hospital facility's counity b Execution of the ipleentation strategy c Participation in the developent of a counity-wide counity benefit plan d Participation in the execution of a counity-wide counity benefit plan e Inclusion of a counity benefit section in operational plans f Adoption of a budget for provision of services that address the needs identified in the Needs Assessent g Prioritization of health needs in its counity h Prioritization of services that the hospital facility will undertake to eet health needs in its counity i Other (describe in Part VI) 7 Did the hospital facility address all of the needs identified in its ost recently conducted Needs Assessent? If "No," explain in Part VI which needs it has not addressed and the reasons why it has not addressed such needs 7 Financial Assistance Policy 8 9 Did the hospital facility have in place during the tax year a written financial assistance policy that: Explained eligibility criteria for financial assistance, and whether such assistance includes free or discounted care? 8 Used federal poverty guidelines (FPG) to deterine eligibility for providing free care? 9 If "Yes," indicate the FPG faily incoe liit for eligibility for free care: 2 % If "No," explain in Part VI the criteria the hospital facility used. 1 Yes No 1E J 7377 Schedule H (For 99) 211

51 Schedule H (For 99) 211 Page 4 Part V Facility Inforation (continued) Section B. Facility Policies and Practices (Coplete a separate Section B for each of the hospital facilities listed in Part V, Section A) Nae of Hospital Facility: USC NORRIS CANCER HOSPITAL Line Nuber of Hospital Facility (fro Schedule H, Part V, Section A): Counity Health Needs Assessent (Lines 1 through 7 are optional for tax year 211) 1 During the tax year or any prior tax year, did the hospital facility conduct a counity health needs assessent (Needs Assessent)? If "No," skip to line 8 1 If "Yes," indicate what the Needs Assessent describes (check all that apply): a A definition of the counity served by the hospital facility b Deographics of the counity c Existing health care facilities and resources within the counity that are available to respond to the health needs of the counity d How data was obtained e The health needs of the counity f Priary and chronic disease needs and other health issues of uninsured persons, low-incoe persons, and inority groups g The process for identifying and prioritizing counity health needs and services to eet the counity health needs h The process for consulting with persons representing the counity's interests i Inforation gaps that liit the hospital facility's ability to assess the counity's health needs j Other (describe in Part VI) 2 Indicate the tax year the hospital facility last conducted a Needs Assessent: 2 3 In conducting its ost recent Needs Assessent, did the hospital facility take into account input fro persons who represent the counity served by the hospital facility? If "Yes," describe in Part VI how the hospital facility took into account input fro persons who represent the counity, and identify the persons the hospital facility consulted 3 4 Was the hospital facility's Needs Assessent conducted with one or ore other hospital facilities? If "Yes," list the other hospital facilities in Part VI 4 5 Did the hospital facility ake its Needs Assessent widely available to the public? 5 If "Yes," indicate how the Needs Assessent was ade widely available (check all that apply): a Hospital facility's website b Available upon request fro the hospital facility c Other (describe in Part VI) 6 If the hospital facility addressed needs identified in its ost recently conducted Needs Assessent, indicate how (check all that apply): a Adoption of an ipleentation strategy to address the health needs of the hospital facility's counity b Execution of the ipleentation strategy c Participation in the developent of a counity-wide counity benefit plan d Participation in the execution of a counity-wide counity benefit plan e Inclusion of a counity benefit section in operational plans f Adoption of a budget for provision of services that address the needs identified in the Needs Assessent g Prioritization of health needs in its counity h Prioritization of services that the hospital facility will undertake to eet health needs in its counity i Other (describe in Part VI) 7 Did the hospital facility address all of the needs identified in its ost recently conducted Needs Assessent? If "No," explain in Part VI which needs it has not addressed and the reasons why it has not addressed such needs 7 Financial Assistance Policy 8 9 Did the hospital facility have in place during the tax year a written financial assistance policy that: Explained eligibility criteria for financial assistance, and whether such assistance includes free or discounted care? 8 Used federal poverty guidelines (FPG) to deterine eligibility for providing free care? 9 If "Yes," indicate the FPG faily incoe liit for eligibility for free care: 2 % If "No," explain in Part VI the criteria the hospital facility used. 2 Yes No 1E J 7377 Schedule H (For 99) 211

52 Schedule H (For 99) 211 Page 5 Part V a b c d e f g h a b c d e f g Facility Inforation (continued) Used FPG to deterine eligibility for providing discounted care? 1 If "Yes," indicate the FPG faily incoe liit for eligibility for discounted care: 3 5 % If "No," explain in Part VI the criteria the hospital facility used. Explained the basis for calculating aounts charged to patients? 11 If "Yes," indicate the factors used in deterining such aounts (check all that apply): Incoe level Asset level Medical indigency Insurance status Uninsured discount Medicaid/Medicare State regulation Other (describe in Part VI) Explained the ethod for applying for financial assistance? Included easures to publicize the policy within the counity served by the hospital facility? If "Yes," indicate how the hospital facility publicized the policy (check all that apply): Billing and Collections 17 The policy was posted on the hospital facility's website The policy was attached to billing invoices The policy was posted in the hospital facility's eergency roos or waiting roos The policy was posted in the hospital facility's adissions offices The policy was provided, in writing, to patients on adission to the hospital facility The policy was available on request Other (describe in Part VI) 14 Did the hospital facility have in place during the tax year a separate billing and collections policy, or a written financial assistance policy (FAP) that explained actions the hospital facility ay take upon non-payent? Check all of the following actions against an individual that were peritted under the hospital facility's policies during the tax year before aking reasonable efforts to deterine the patient's eligibility under the facility's FAP: a Reporting to credit agency b Lawsuits c Liens on residences d Body attachents e Other siilar actions (describe in Part VI) 16 Did the hospital facility or an authorized third party perfor any of the following actions during the tax year before aking reasonable efforts to deterine the patient's eligibility under the facility's FAP? 16 If "Yes," check all actions in which the hospital facility or a third party engaged: a b c d e a b c d e KECK HOSPITAL OF USC Reporting to credit agency Lawsuits Liens on residences Body attachents Other siilar actions (describe in Part VI) Indicate which efforts the hospital facility ade before initiating any of the actions checked in line 16 (check all that apply): Notified patients of the financial assistance policy on adission Notified patients of the financial assistance policy prior to discharge Notified patients of the financial assistance policy in counications with the patients regarding the patients' bills Docuented its deterination of whether patients were eligible for financial assistance under the hospital facility's financial assistance policy Other (describe in Part VI) Yes No Schedule H (For 99) 211 1E J 7377

53 Schedule H (For 99) 211 Page 5 Part V a b c d e f g h a b c d e f g Facility Inforation (continued) Used FPG to deterine eligibility for providing discounted care? 1 If "Yes," indicate the FPG faily incoe liit for eligibility for discounted care: 3 5 % If "No," explain in Part VI the criteria the hospital facility used. Explained the basis for calculating aounts charged to patients? 11 If "Yes," indicate the factors used in deterining such aounts (check all that apply): Incoe level Asset level Medical indigency Insurance status Uninsured discount Medicaid/Medicare State regulation Other (describe in Part VI) Explained the ethod for applying for financial assistance? Included easures to publicize the policy within the counity served by the hospital facility? If "Yes," indicate how the hospital facility publicized the policy (check all that apply): Billing and Collections 17 The policy was posted on the hospital facility's website The policy was attached to billing invoices The policy was posted in the hospital facility's eergency roos or waiting roos The policy was posted in the hospital facility's adissions offices The policy was provided, in writing, to patients on adission to the hospital facility The policy was available on request Other (describe in Part VI) 14 Did the hospital facility have in place during the tax year a separate billing and collections policy, or a written financial assistance policy (FAP) that explained actions the hospital facility ay take upon non-payent? Check all of the following actions against an individual that were peritted under the hospital facility's policies during the tax year before aking reasonable efforts to deterine the patient's eligibility under the facility's FAP: a Reporting to credit agency b Lawsuits c Liens on residences d Body attachents e Other siilar actions (describe in Part VI) 16 Did the hospital facility or an authorized third party perfor any of the following actions during the tax year before aking reasonable efforts to deterine the patient's eligibility under the facility's FAP? 16 If "Yes," check all actions in which the hospital facility or a third party engaged: a b c d e a b c d e USC NORRIS CANCER HOSPITAL Reporting to credit agency Lawsuits Liens on residences Body attachents Other siilar actions (describe in Part VI) Indicate which efforts the hospital facility ade before initiating any of the actions checked in line 16 (check all that apply): Notified patients of the financial assistance policy on adission Notified patients of the financial assistance policy prior to discharge Notified patients of the financial assistance policy in counications with the patients regarding the patients' bills Docuented its deterination of whether patients were eligible for financial assistance under the hospital facility's financial assistance policy Other (describe in Part VI) Yes No Schedule H (For 99) 211 1E J 7377

54 Schedule H (For 99) 211 Page 6 Part V Facility Inforation (continued) Policy Relating to Eergency Medical Care 18 Did the hospital facility have in place during the tax year a written policy relating to eergency edical care that requires the hospital facility to provide, without discriination, care for eergency edical conditions to individuals regardless of their eligibility under the hospital facility's financial assistance policy? 18 If "No," indicate why: a b c The hospital facility did not provide care for any eergency edical conditions The hospital facility's policy was not in writing The hospital facility liited who was eligible to receive care for eergency edical conditions (describe in Part VI) Other (describe in Part VI) d Individuals Eligible for Financial Assistance 19 Indicate how the hospital facility deterined, during the tax year, the axiu aounts that can be charged to FAP-eligible individuals for eergency or other edically necessary care a b c d KECK HOSPITAL OF USC The hospital facility used its lowest negotiated coercial insurance rate when calculating the axiu aounts that can be charged The hospital facility used the average of its three lowest negotiated coercial insurance rates when calculating the axiu aounts that can be charged The hospital facility used the Medicare rates when calculating the axiu aounts that can be charged Other (describe in Part VI) Did the hospital facility charge any of its patients who were eligible for assistance under the hospital facility's financial assistance policy, and to who the hospital facility provided eergency or other edically necessary services, ore than the aounts generally billed to individuals who had insurance covering such care? 2 If "Yes," explain in Part VI. Did the hospital facility charge any of its FAP-eligible patients an aount equal to the gross charge for any service provided to that patient? 21 If "Yes," explain in Part VI. Yes No Schedule H (For 99) 211 1E J 7377

55 Schedule H (For 99) 211 Page 6 Part V Facility Inforation (continued) Policy Relating to Eergency Medical Care 18 Did the hospital facility have in place during the tax year a written policy relating to eergency edical care that requires the hospital facility to provide, without discriination, care for eergency edical conditions to individuals regardless of their eligibility under the hospital facility's financial assistance policy? 18 If "No," indicate why: a b c The hospital facility did not provide care for any eergency edical conditions The hospital facility's policy was not in writing The hospital facility liited who was eligible to receive care for eergency edical conditions (describe in Part VI) Other (describe in Part VI) d Individuals Eligible for Financial Assistance 19 Indicate how the hospital facility deterined, during the tax year, the axiu aounts that can be charged to FAP-eligible individuals for eergency or other edically necessary care a b c d USC NORRIS CANCER HOSPITAL The hospital facility used its lowest negotiated coercial insurance rate when calculating the axiu aounts that can be charged The hospital facility used the average of its three lowest negotiated coercial insurance rates when calculating the axiu aounts that can be charged The hospital facility used the Medicare rates when calculating the axiu aounts that can be charged Other (describe in Part VI) Did the hospital facility charge any of its patients who were eligible for assistance under the hospital facility's financial assistance policy, and to who the hospital facility provided eergency or other edically necessary services, ore than the aounts generally billed to individuals who had insurance covering such care? 2 If "Yes," explain in Part VI. Did the hospital facility charge any of its FAP-eligible patients an aount equal to the gross charge for any service provided to that patient? 21 If "Yes," explain in Part VI. Yes No Schedule H (For 99) 211 1E J 7377

56 Schedule H (For 99) 211 Page 7 Part V Facility Inforation (continued) Section C. Other Health Care Facilities That Are Not Licensed, Registered, or Siilarly Recognized as a Hospital Facility (list in order of size, fro largest to sallest) How any non-hospital health care facilities did the organization operate during the tax year? Nae and address 1 Type of Facility (describe) Schedule H (For 99) 211 1E J 7377

57 Schedule H (For 99) 211 Page 8 Part VI Suppleental Inforation Coplete this part to provide the following inforation. 1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 1, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 2, and Needs assessent. Describe how the organization assesses the health care needs of the counities it serves, in addition to any needs assessents reported in Part V, Section B. 3 Patient education of eligibility for assistance. Describe how the organization infors and educates patients and persons who ay be billed for patient care about their eligibility for assistance under federal, state, or local governent progras or under the organization's financial assistance policy Counity inforation. Describe the counity the organization serves, taking into account the geographic area and deographic constituents it serves. Prootion of counity health. Provide any other inforation iportant to describing how the organization's hospitals facilities or other health care facilities further its exept purpose by prooting the health of the counity (e.g., open edical staff, counity board, use of surplus funds, etc.). Affiliated health care syste. If the organization is part of an affiliated health care syste, describe the respective roles of the organization and its affiliates in prooting the health of the counities served. State filing of counity benefit report. If applicable, identify all states with which the organization, or a related organization, files a counity benefit report. PART I, LINE 3C: THE DISCOUNT AMOUNT IS BASED ON FAMILY INCOME COMPARED TO THE FEDERAL POVERTY LEVEL ("FPL") FOR THE CURRENT YEAR. PATIENTS WITH FAMILY INCOME UNDER 2% FPL WILL BE ELIGIBLE FOR FREE CARE FOR THE DATES OF SERVICE FOR WHICH AN APPLICATION IS COMPLETED. UNINSURED OR UNDER-INSURED PATIENTS WITH FAMILY INCOME BETWEEN 21% AND 35% FPL WILL BE ELIGIBLE FOR CARE AT A SLIDING SCALE DISCOUNT. UNINSURED PATIENTS WHOSE FAMILY INCOME ECEEDS 35% OF THE FPL WILL RECEIVE THE COMPACT DISCOUNTED RATE. PART I, LINE 6A: BOTH KECK HOSPITAL OF USC AND USC NORRIS CANCER HOSPITAL PREPARE AN ANNUAL COMMUNITY BENEFITS REPORT. PART I, LINE 7: REPORTS FOLLOWING THE FORM 99, SCHEDULE H INSTRUCTIONS, ADDRESSING ALL PATIENT SEGMENTS. THE TOTAL PERCENTAGE OF FINANCIAL ASSISTANCE AND CERTAIN OTHER COMMUNITY Schedule H (For 99) 211 1E J 7377

58 Schedule H (For 99) 211 Page 8 Part VI Suppleental Inforation Coplete this part to provide the following inforation. 1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 1, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 2, and Needs assessent. Describe how the organization assesses the health care needs of the counities it serves, in addition to any needs assessents reported in Part V, Section B. 3 Patient education of eligibility for assistance. Describe how the organization infors and educates patients and persons who ay be billed for patient care about their eligibility for assistance under federal, state, or local governent progras or under the organization's financial assistance policy Counity inforation. Describe the counity the organization serves, taking into account the geographic area and deographic constituents it serves. Prootion of counity health. Provide any other inforation iportant to describing how the organization's hospitals facilities or other health care facilities further its exept purpose by prooting the health of the counity (e.g., open edical staff, counity board, use of surplus funds, etc.). Affiliated health care syste. If the organization is part of an affiliated health care syste, describe the respective roles of the organization and its affiliates in prooting the health of the counities served. State filing of counity benefit report. If applicable, identify all states with which the organization, or a related organization, files a counity benefit report. BENEFITS AT COST ON LINE 7 WAS CALCULATED FOR FY12 ON A UNIVERSITY-WIDE BASIS AS REQUIRED PER THE FORM 99 INSTRUCTIONS. PART III, LINE 4: NET PATIENT SERVICE REVENUE IS REPORTED AT ESTIMATED NET REALIZABLE AMOUNTS FROM PATIENTS, THIRD PARTY PAYORS, GOVERNMENT PROGRAM AND OTHERS IN THE PERIOD IN WHICH SERVICES ARE PROVIDED. THE MAJORITY OF THE HOSPITALS' SERVICES ARE RENDERED TO PATIENTS WITH COMMERCIAL OR MANAGED CARE INSURANCE, OR UNDER THE FEDERAL MEDICARE AND CALIFORNIA STATE MEDICAL PROGRAMS. REIMBURSEMENT FROM THESE VARIOUS PAYORS IS BASED ON A COMBINATION OF PROSPECTIVELY DETERMINED RATES, DISCOUNTS FROM CHARGES AND HISTORICAL COSTS. AMOUNTS RECEIVED UNDER THE MEDICARE PROGRAM ARE SUBJECT TO RETROACTIVE SETTLEMENTS BASED ON REVIEW AND FINAL DETERMINATION BY PROGRAM INTERMEDIARIES OR THEIR AGENTS. PROVISIONS FOR CONTRACTUAL ADJUSTMENTS AND RETROACTIVE SETTLEMENTS RELATED TO THESE PAYORS ARE ACCRUED ON AN ESTIMATED BASIS IN THE PERIOD THE RELATED SERVICES ARE RENDERED AND ADJUSTED IN FUTURE PERIODS AS ADDITIONAL INFORMATION BECOMES KNOWN OR AS FINAL SETTLEMENTS ARE DETERMINED. Schedule H (For 99) 211 1E J 7377

59 Schedule H (For 99) 211 Page 8 Part VI Suppleental Inforation Coplete this part to provide the following inforation. 1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 1, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 2, and Needs assessent. Describe how the organization assesses the health care needs of the counities it serves, in addition to any needs assessents reported in Part V, Section B. 3 Patient education of eligibility for assistance. Describe how the organization infors and educates patients and persons who ay be billed for patient care about their eligibility for assistance under federal, state, or local governent progras or under the organization's financial assistance policy Counity inforation. Describe the counity the organization serves, taking into account the geographic area and deographic constituents it serves. Prootion of counity health. Provide any other inforation iportant to describing how the organization's hospitals facilities or other health care facilities further its exept purpose by prooting the health of the counity (e.g., open edical staff, counity board, use of surplus funds, etc.). Affiliated health care syste. If the organization is part of an affiliated health care syste, describe the respective roles of the organization and its affiliates in prooting the health of the counities served. State filing of counity benefit report. If applicable, identify all states with which the organization, or a related organization, files a counity benefit report. THE ALLOWANCE FOR DOUBTFUL ACCOUNTS IS BASED UPON MANAGEMENT'S ASSESSMENT OF HISTORICAL AND EPECTED NET COLLECTIONS CONSIDERING HISTORICAL BUSINESS AND ECONOMIC CONDITIONS, TRENDS IN HEALTH CARE COVERAGE, AND OTHER COLLECTION INDICATORS. PERIODICALLY THROUGHOUT THE YEAR MANAGEMENT ASSESSES THE ADEQUACY OF THE ALLOWANCE FOR DOUBTFUL ACCOUNTS BASED UPON HISTORICAL WRITE-OFF EPERIENCE BY PAYOR CATEGORY. THE RESULTS OF THIS REVIEW ARE THEN USED TO MAKE ANY MODIFICATIONS TO THE ALLOWANCE FOR DOUBTFUL ACCOUNTS. THE BAD DEBT EPENSE (AT COST) REPORTED IN PART III, LINE 2 WAS CALCULATED USING WORKSHEET A OF THE SCHEDULE H INSTRUCTIONS BY APPLYING THE RATIO OF PATIENT CARE COST TO CHARGES AGAINST BAD DEBT. THE DETERMINATION OF CHARITY CARE GENERALLY SHOULD BE MADE AT THE TIME OF ADMISSION, OR SHORTLY THEREAFTER. HOWEVER, EVENTS AFTER DISCHARGE MAY CHANGE THE ABILITY OF THE PATIENT TO PAY. DESIGNATION AS CHARITY CARE WILL ONLY BE CONSIDERED AFTER ALL PAYMENT SOURCES HAVE BEEN EHAUSTED. HOSPITAL CHARGES FOR PATIENT ACCOUNTS IDENTIFIED AS CHARITY CARE AT THE Schedule H (For 99) 211 1E J 7377

60 Schedule H (For 99) 211 Page 8 Part VI Suppleental Inforation Coplete this part to provide the following inforation. 1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 1, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 2, and Needs assessent. Describe how the organization assesses the health care needs of the counities it serves, in addition to any needs assessents reported in Part V, Section B. 3 Patient education of eligibility for assistance. Describe how the organization infors and educates patients and persons who ay be billed for patient care about their eligibility for assistance under federal, state, or local governent progras or under the organization's financial assistance policy Counity inforation. Describe the counity the organization serves, taking into account the geographic area and deographic constituents it serves. Prootion of counity health. Provide any other inforation iportant to describing how the organization's hospitals facilities or other health care facilities further its exept purpose by prooting the health of the counity (e.g., open edical staff, counity board, use of surplus funds, etc.). Affiliated health care syste. If the organization is part of an affiliated health care syste, describe the respective roles of the organization and its affiliates in prooting the health of the counities served. State filing of counity benefit report. If applicable, identify all states with which the organization, or a related organization, files a counity benefit report. TIME OF ADMISSION OR SERVICE ARE NOT RECOGNIZED BY THE FACILITY AS NET REVENUES OR NET RECEIVABLES. IF PATIENT ACCOUNTS ARE IDENTIFIED AS CHARITY CARE SUBSEQUENT TO THE FACILITY RECOGNIZING THE CHARGES AS REVENUE, AN ADJUSTMENT IS REQUIRED TO CLASSIFY APPROPRIATELY THE REVENUE AND ANY BAD DEBT EPENSE PREVIOUSLY RECORDED. PART III, LINE 8: THE MEDICARE SHORTFALL OF ($75,153,19) REPORTED IN PART III, LINE 7 SHOULD BE TREATED AS A COMMUNITY BENEFIT BECAUSE THE RATES PAID BY MEDICARE DO NOT ACCURATELY REFLECT THE COST OF CARE PROVIDED BY THE HOSPITALS. ACCORDINGLY, THE HOSPITAL MUST SUBSIDIZE THE COST OF CARE PROVIDED TO MEDICARE BENEFICIARIES WITH OTHER REVENUES. PART III, LINE 9B: AS PART OF ITS MISSION, THE HOSPITALS PROVIDE SERVICES AND A BROAD ARRAY OF BENEFITS TO THE COMMUNITY. THE HOSPITALS' PATIENT ACCEPTANCE POLICY IS BASED ON ITS MISSION STATEMENT AND ITS COMMUNITY SERVICES RESPONSIBILITIES. ACCORDINGLY, THE HOSPITALS ACCEPT PATIENTS IN Schedule H (For 99) 211 1E J 7377

61 Schedule H (For 99) 211 Page 8 Part VI Suppleental Inforation Coplete this part to provide the following inforation. 1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 1, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 2, and Needs assessent. Describe how the organization assesses the health care needs of the counities it serves, in addition to any needs assessents reported in Part V, Section B. 3 Patient education of eligibility for assistance. Describe how the organization infors and educates patients and persons who ay be billed for patient care about their eligibility for assistance under federal, state, or local governent progras or under the organization's financial assistance policy Counity inforation. Describe the counity the organization serves, taking into account the geographic area and deographic constituents it serves. Prootion of counity health. Provide any other inforation iportant to describing how the organization's hospitals facilities or other health care facilities further its exept purpose by prooting the health of the counity (e.g., open edical staff, counity board, use of surplus funds, etc.). Affiliated health care syste. If the organization is part of an affiliated health care syste, describe the respective roles of the organization and its affiliates in prooting the health of the counities served. State filing of counity benefit report. If applicable, identify all states with which the organization, or a related organization, files a counity benefit report. IMMEDIATE NEED OF CARE, REGARDLESS OF THEIR ABILITY TO PAY. THE HOSPITALS DO NOT PURSUE COLLECTION OF AMOUNTS DETERMINED TO QUALIFY AS CHARITY CARE BASED ON ESTABLISHED POLICIES OF THE HOSPITALS. THESE POLICIES DEFINE CHARITY SERVICES AS THOSE SERVICES FOR WHICH NO PAYMENT IS DUE FOR ALL OR A PORTION OF THE PATIENT'S BILL FROM THE PATIENT. SEE ALSO PART III, LINE 4. PART V, LINE 13G: PLEASE REFER TO PATIENT EDUCATION OF ELIGIBILITY FOR ASSISTANCE IN PART VI. PART V, LINE 19D: THE MAIMUM AMOUNTS THAT CAN BE CHARGED TO FAP-ELIGIBLE INDIVIDUALS FOR EMERGENCY OR OTHER MEDICALLY NECESSARY CARE IS NINETY PERCENT OF MEDICARE RATES. Schedule H (For 99) 211 1E J 7377

62 Schedule H (For 99) 211 Page 8 Part VI Suppleental Inforation Coplete this part to provide the following inforation. 1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 1, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 2, and Needs assessent. Describe how the organization assesses the health care needs of the counities it serves, in addition to any needs assessents reported in Part V, Section B. 3 Patient education of eligibility for assistance. Describe how the organization infors and educates patients and persons who ay be billed for patient care about their eligibility for assistance under federal, state, or local governent progras or under the organization's financial assistance policy Counity inforation. Describe the counity the organization serves, taking into account the geographic area and deographic constituents it serves. Prootion of counity health. Provide any other inforation iportant to describing how the organization's hospitals facilities or other health care facilities further its exept purpose by prooting the health of the counity (e.g., open edical staff, counity board, use of surplus funds, etc.). Affiliated health care syste. If the organization is part of an affiliated health care syste, describe the respective roles of the organization and its affiliates in prooting the health of the counities served. State filing of counity benefit report. If applicable, identify all states with which the organization, or a related organization, files a counity benefit report. NEEDS ASSESSMENT: IN 21, KECK HOSPITAL OF USC AND USC NORRIS CANCER HOSPITAL UNDERTOOK A COMMUNITY HEALTH NEEDS ASSESSMENT AS REQUIRED BY CALIFORNIA LAW (SB 697). AS WELL, THE RECENT PASSAGE OF THE PATIENT PROTECTION AND AFFORDABLE CARE ACT REQUIRES TA EEMPT HOSPITALS TO CONDUCT NEEDS ASSESSMENTS AND DEVELOP COMMUNITY BENEFIT PLANS EVERY THREE YEARS. THE ASSESSMENT INCORPORATES COMPONENTS OF PRIMARY DATA COLLECTION AND SECONDARY DATA ANALYSIS THAT FOCUS ON THE HEALTH AND SOCIAL NEEDS OF THE SERVICE AREA. TARGETED INTERVIEWS WERE USED TO GATHER INFORMATION AND OPINIONS FROM PERSONS WHO REPRESENT THE BROAD INTERESTS OF THE COMMUNITY SERVED BY THE HOSPITALS. FOR THE INTERVIEWS, COMMUNITY STAKEHOLDERS, IDENTIFIED BY THE HOSPITALS, WERE CONTACTED AND ASKED TO PARTICIPATE IN THE NEEDS ASSESSMENT. THIRTY INTERVIEWS WERE COMPLETED FOR THE COMMUNITY HEALTH NEEDS ASSESSMENT FROM SEPTEMBER - NOVEMBER, 21. SECONDARY DATA WERE COLLECTED FROM A VARIETY OF COUNTY AND STATE SOURCES TO PRESENT A COMMUNITY PROFILE, BIRTH AND DEATH CHARACTERISTICS, ACCESS TO HEALTH CARE, CHRONIC DISEASES, AND SOCIAL ISSUES. Schedule H (For 99) 211 1E J 7377

63 Schedule H (For 99) 211 Page 8 Part VI Suppleental Inforation Coplete this part to provide the following inforation. 1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 1, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 2, and Needs assessent. Describe how the organization assesses the health care needs of the counities it serves, in addition to any needs assessents reported in Part V, Section B. 3 Patient education of eligibility for assistance. Describe how the organization infors and educates patients and persons who ay be billed for patient care about their eligibility for assistance under federal, state, or local governent progras or under the organization's financial assistance policy Counity inforation. Describe the counity the organization serves, taking into account the geographic area and deographic constituents it serves. Prootion of counity health. Provide any other inforation iportant to describing how the organization's hospitals facilities or other health care facilities further its exept purpose by prooting the health of the counity (e.g., open edical staff, counity board, use of surplus funds, etc.). Affiliated health care syste. If the organization is part of an affiliated health care syste, describe the respective roles of the organization and its affiliates in prooting the health of the counities served. State filing of counity benefit report. If applicable, identify all states with which the organization, or a related organization, files a counity benefit report. PATIENT EDUCATION OF ELIGIBITIY FOR ASSISTANCE: USC HOSPITALS SHALL POST NOTICES INFORMING THE PUBLIC OF THE FINANCIAL ASSISTANCE PROGRAM. THESE NOTICES WILL BE POSTED IN HIGH VOLUME INPATIENT AND OUTPATIENT AREAS OF THE HOSPITALS. NOTICES SHALL ALSO BE POSTED IN THE ADMITTING AND FINANCIAL SERVICES DEPARTMENTS. EACH HOSPITAL SHALL PROVIDE PATIENTS WITH A WRITTEN DOCUMENT THAT CONTAINS INFORMATION ABOUT AVAILABILITY OF THE HOSPITALS' DISCOUNT PAYMENT AND CHARITY CARE POLICIES, INCLUDING INFORMATION ABOUT ELIGIBILITY, AS WELL AS CONTACT INFORMATION FOR A HOSPITAL EMPLOYEE OR OFFICE FROM WHICH THE PERSON MAY OBTAIN FURTHER INFORMATION ABOUT THESE POLICIES. THE NOTICE SHALL ALSO BE PROVIDED TO PATIENTS WHO RECEIVE OUTPATIENT CARE AND WHO MAY BE BILLED FOR THE CARE, BUT WHO WERE NOT ADMITTED. THE NOTICE SHALL BE PROVIDED IN ENGLISH, AND IN LANGUAGES OTHER THAN ENGLISH. THE LANGUAGES TO BE PROVIDED SHALL BE DETERMINED IN A MANNER SIMILAR TO THAT REQUIRED PURSUANT TO SECTION OF THE INSURANCE CODE (THRESHOLD LANGUAGES ARE SPANISH AND THOSE LANGUAGES SPOKEN BY 5% OF PATIENTS). Schedule H (For 99) 211 1E J 7377

64 Schedule H (For 99) 211 Page 8 Part VI Suppleental Inforation Coplete this part to provide the following inforation. 1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 1, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 2, and Needs assessent. Describe how the organization assesses the health care needs of the counities it serves, in addition to any needs assessents reported in Part V, Section B. 3 Patient education of eligibility for assistance. Describe how the organization infors and educates patients and persons who ay be billed for patient care about their eligibility for assistance under federal, state, or local governent progras or under the organization's financial assistance policy Counity inforation. Describe the counity the organization serves, taking into account the geographic area and deographic constituents it serves. Prootion of counity health. Provide any other inforation iportant to describing how the organization's hospitals facilities or other health care facilities further its exept purpose by prooting the health of the counity (e.g., open edical staff, counity board, use of surplus funds, etc.). Affiliated health care syste. If the organization is part of an affiliated health care syste, describe the respective roles of the organization and its affiliates in prooting the health of the counities served. State filing of counity benefit report. If applicable, identify all states with which the organization, or a related organization, files a counity benefit report. DATA MAILERS SENT TO PATIENTS AS PART OF THE ROUTINE BILLING PROCESS WILL CONTAIN INFORMATION ABOUT THE FINANCIAL ASSISTANCE PROGRAM. WRITTEN CORRESPONDENCE TO THE PATIENT REQUIRED BY THIS ARTICLE SHALL ALSO BE IN THE LANGUAGE SPOKEN BY THE PATIENT, CONSISTENT WITH SECTION OF THE INSURANCE CODE AND APPLICABLE STATE AND FEDERAL LAW. COMMUNITY INFORMATION: KECK HOSPITAL OF USC KECK HOSPITAL OF USC IS LOCATED EAST OF DOWNTOWN LOS ANGELES ON USC'S HEALTH SCIENCES CAMPUS. THE HOSPITAL DRAWS PATIENTS REGIONALLY FROM SOUTHERN CALIFORNIA, WITH A PRIMARY SERVICE AREA OF LOS ANGELES COUNTY, CALIFORNIA. 68% OF THE HOSPITALS' PATIENTS ORIGINATE FROM L.A. COUNTY, WITHIN L.A. COUNTY, 22% OF THE HOSPITALS' PATIENTS ARE FROM SPA 3, SAN GABRIEL VALLEY; 11% ARE FROM SPA 2, SAN FERNANDO VALLEY; 1% FROM SPA 7, EAST; 9% FROM SPA 4, L.A. METRO; AND 8% FROM SPA 8, SOUTH BAY. USC NORRIS CANCER HOSPITAL Schedule H (For 99) 211 1E J 7377

65 Schedule H (For 99) 211 Page 8 Part VI Suppleental Inforation Coplete this part to provide the following inforation. 1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 1, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 2, and Needs assessent. Describe how the organization assesses the health care needs of the counities it serves, in addition to any needs assessents reported in Part V, Section B. 3 Patient education of eligibility for assistance. Describe how the organization infors and educates patients and persons who ay be billed for patient care about their eligibility for assistance under federal, state, or local governent progras or under the organization's financial assistance policy Counity inforation. Describe the counity the organization serves, taking into account the geographic area and deographic constituents it serves. Prootion of counity health. Provide any other inforation iportant to describing how the organization's hospitals facilities or other health care facilities further its exept purpose by prooting the health of the counity (e.g., open edical staff, counity board, use of surplus funds, etc.). Affiliated health care syste. If the organization is part of an affiliated health care syste, describe the respective roles of the organization and its affiliates in prooting the health of the counities served. State filing of counity benefit report. If applicable, identify all states with which the organization, or a related organization, files a counity benefit report. USC NORRIS CANCER HOSPITAL ALSO IS LOCATED EAST OF DOWNTOWN LOS ANGELES ON USC'S HEALTH SCIENCES CAMPUS. AS A RESULT OF ITS GROUND BREAKING WORK IN CANCER RESEARCH AND TREATMENT, THE HOSPITAL DRAWS PATIENTS FROM THROUGHOUT THE STATE, NATIONALLY AND INTERNATIONALLY. FOR THE PURPOSE OF THE NEEDS ASSESSMENT THE PRIMARY SERVICE AREA HAS BEEN IDENTIFIED AS LOS ANGELES COUNTY, CALIFORNIA. THE POPULATION FOR LOS ANGELES COUNTY, THE TWO HOSPITALS' PRIMARY SERVICE AREA, IS ESTIMATED AT 1,441,8 IN 21, AN INCREASE OF.8% FROM 29. FOR THE LAST FIVE YEARS, THE RATE OF POPULATION GROWTH IN L.A. COUNTY HAS SLOWED WHEN COMPARED TO THE RATE OF GROWTH IN THE STATE. KECK HOSPITAL OF USC AND USC NORRIS CANCER HOSPITAL ARE LOCATED IN THE EL SERENO/HIGHLAND PARK/LINCOLN HEIGHTS MEDICALLY UNDERSERVED AREA. CHILDREN AND YOUTH, AGES -19 MAKE UP 29.2% OF THE POPULATION; 59.8% ARE 2-64 YEARS OF AGE; AND 11% OF THE POPULATION ARE SENIORS, 65 YEARS OF AGE AND OLDER. THE AREA HAS HIGHER PERCENTAGES OF CHILDREN THAN FOUND IN THE STATE. MOST NOTABLY, L.A. COUNTY HAS A GREATER PERCENTAGE OF TEENS, Schedule H (For 99) 211 1E J 7377

66 Schedule H (For 99) 211 Page 8 Part VI Suppleental Inforation Coplete this part to provide the following inforation. 1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 1, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 2, and Needs assessent. Describe how the organization assesses the health care needs of the counities it serves, in addition to any needs assessents reported in Part V, Section B. 3 Patient education of eligibility for assistance. Describe how the organization infors and educates patients and persons who ay be billed for patient care about their eligibility for assistance under federal, state, or local governent progras or under the organization's financial assistance policy Counity inforation. Describe the counity the organization serves, taking into account the geographic area and deographic constituents it serves. Prootion of counity health. Provide any other inforation iportant to describing how the organization's hospitals facilities or other health care facilities further its exept purpose by prooting the health of the counity (e.g., open edical staff, counity board, use of surplus funds, etc.). Affiliated health care syste. If the organization is part of an affiliated health care syste, describe the respective roles of the organization and its affiliates in prooting the health of the counities served. State filing of counity benefit report. If applicable, identify all states with which the organization, or a related organization, files a counity benefit report. AGES (8.3%) THAN IN THE STATE (7.8%). THE POPULATION OF THE SERVICE AREA CONSISTS PRIMARILY OF HISPANIC OR LATINO (48.3%) AND WHITE (27.7%) RACE AND ETHNICITY. ASIANS COMPRISE 13.3% OF THE POPULATION, AND AFRICAN AMERICANS/BLACKS ARE 8.3% OF THE POPULATION. THE AREA HAS A LARGER PERCENTAGE OF LATINOS, AFRICAN AMERICANS/BLACKS, AND ASIANS, AND A SMALLER PERCENTAGE OF WHITES WHEN COMPARED TO THE STATE. AMONG THE POPULATION IN L.A. COUNTY, 32.8% ARE FOREIGN BORN. OF THE FOREIGN BORN, 62.1% ARE FROM LATIN AMERICAN COUNTRIES AND 29.6% ARE FROM ASIAN COUNTRIES. INCOME LEVELS PER CAPITA INCOME IN L.A. COUNTY IN 28 WAS $42,265. WHILE INCOME DID GROW FROM 27 TO 28, THE RATE OF GROWTH HAS SLOWED. PER CAPITA INCOME IN THE COUNTY IS $1,587 LESS THAN THE PER CAPITA INCOME IN THE STATE. UNEMPLOYMENT WITH THE ECONOMIC DOWNTURN UNEMPLOYMENT IN L.A. COUNTY HAS MORE THAN Schedule H (For 99) 211 1E J 7377

67 Schedule H (For 99) 211 Page 8 Part VI Suppleental Inforation Coplete this part to provide the following inforation. 1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 1, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 2, and Needs assessent. Describe how the organization assesses the health care needs of the counities it serves, in addition to any needs assessents reported in Part V, Section B. 3 Patient education of eligibility for assistance. Describe how the organization infors and educates patients and persons who ay be billed for patient care about their eligibility for assistance under federal, state, or local governent progras or under the organization's financial assistance policy Counity inforation. Describe the counity the organization serves, taking into account the geographic area and deographic constituents it serves. Prootion of counity health. Provide any other inforation iportant to describing how the organization's hospitals facilities or other health care facilities further its exept purpose by prooting the health of the counity (e.g., open edical staff, counity board, use of surplus funds, etc.). Affiliated health care syste. If the organization is part of an affiliated health care syste, describe the respective roles of the organization and its affiliates in prooting the health of the counities served. State filing of counity benefit report. If applicable, identify all states with which the organization, or a related organization, files a counity benefit report. DOUBLED FROM 2 TO 29. POVERTY POVERTY THRESHOLDS ARE USED FOR CALCULATING ALL OFFICIAL POVERTY POPULATION STATISTICS. THEY ARE UPDATED EACH YEAR BY THE CENSUS BUREAU. FOR 2, THE FEDERAL POVERTY THRESHOLD FOR ONE PERSON WAS $8,794 AND FOR A FAMILY OF FOUR $17,63. THE POVERTY RATES PAINT AN IMPORTANT PICTURE OF THE POPULATION WITHIN THE HOSPITALS' PRIMARY SERVICE AREA. POVERTY RATES SHOW 17.9% OF THE POPULATION LIVING AT OR BELOW 1% OF THE FEDERAL POVERTY LEVEL (FPL) AND 39.9% AT 2% OF FPL. THE RATES OF POVERTY ARE HIGHER IN L.A. COUNTY THAN IN THE STATE. HOUSING AND HOUSEHOLDS MOST OF THE HOUSING IN THE SERVICE AREA CONSISTS OF SINGLE FAMILY DWELLINGS (55.2%). HOWEVER, 43.2% OF THE HOUSING UNITS ARE MULTIPLE FAMILY DWELLINGS, A PERCENTAGE THAT IS HIGHER THAN THE STATE (31.3%). LANGUAGE Schedule H (For 99) 211 1E J 7377

68 Schedule H (For 99) 211 Page 8 Part VI Suppleental Inforation Coplete this part to provide the following inforation. 1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 1, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 2, and Needs assessent. Describe how the organization assesses the health care needs of the counities it serves, in addition to any needs assessents reported in Part V, Section B. 3 Patient education of eligibility for assistance. Describe how the organization infors and educates patients and persons who ay be billed for patient care about their eligibility for assistance under federal, state, or local governent progras or under the organization's financial assistance policy Counity inforation. Describe the counity the organization serves, taking into account the geographic area and deographic constituents it serves. Prootion of counity health. Provide any other inforation iportant to describing how the organization's hospitals facilities or other health care facilities further its exept purpose by prooting the health of the counity (e.g., open edical staff, counity board, use of surplus funds, etc.). Affiliated health care syste. If the organization is part of an affiliated health care syste, describe the respective roles of the organization and its affiliates in prooting the health of the counities served. State filing of counity benefit report. If applicable, identify all states with which the organization, or a related organization, files a counity benefit report. IN THE OVERALL HOSPITAL SERVICE AREA, A LANGUAGE OTHER THAN ENGLISH IS SPOKEN IN OVER HALF THE HOMES (54.1%). SPANISH IS SPOKEN IN 37.9% OF THE HOMES; THIS IS GREATER THAN THE NUMBER OF SPANISH SPEAKING HOUSEHOLDS IN THE STATE (25.8%). EDUCATION LESS THAN HALF THE POPULATION IN L.A. COUNTY (49.7%) HAS MORE THAN A HIGH SCHOOL EDUCATION. WHEN COMPARED TO THE STATE, L.A. COUNTY RESIDENTS HAVE LOWER RATES OF COLLEGE ATTAINMENT AT ALL LEVELS. LACK OF EDUCATION IS A CRITICAL MARKER OF AT-RISK POPULATIONS. LOW EDUCATIONAL ATTAINMENT NEGATIVELY IMPACTS ON EMPLOYMENT AND INCOME, RESULTING IN INCREASED LEVELS OF POVERTY. THESE FACTORS ALSO DIRECTLY CONTRIBUTE TO HIGH RATES OF DISEASE AND POOR HEALTH OUTCOMES. COMMUNITY BUILDING ACTIVITIES: SEE "OTHER INFORMATION" BELOW Schedule H (For 99) 211 1E J 7377

69 Schedule H (For 99) 211 Page 8 Part VI Suppleental Inforation Coplete this part to provide the following inforation. 1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 1, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 2, and Needs assessent. Describe how the organization assesses the health care needs of the counities it serves, in addition to any needs assessents reported in Part V, Section B. 3 Patient education of eligibility for assistance. Describe how the organization infors and educates patients and persons who ay be billed for patient care about their eligibility for assistance under federal, state, or local governent progras or under the organization's financial assistance policy Counity inforation. Describe the counity the organization serves, taking into account the geographic area and deographic constituents it serves. Prootion of counity health. Provide any other inforation iportant to describing how the organization's hospitals facilities or other health care facilities further its exept purpose by prooting the health of the counity (e.g., open edical staff, counity board, use of surplus funds, etc.). Affiliated health care syste. If the organization is part of an affiliated health care syste, describe the respective roles of the organization and its affiliates in prooting the health of the counities served. State filing of counity benefit report. If applicable, identify all states with which the organization, or a related organization, files a counity benefit report. OTHER INFORMATION: FINANCIAL AND IN KIND DONATIONS CONTRIBUTIONS TO COMMUNITY GROUPS AND OTHER NONPROFIT ORGANIZATIONS WERE MADE TO: -USC GOOD NEIGHBORS -PADRES CONTRA EL CANCER (PARENTS AGAINST CANCER) -VIETNAMESE PHYSICIAN ASSOCIATION OF SOUTHERN CALIFORNIA FESTIVAL OF LIFE -ASIAN AMERICAN DRUG ABUSE PREVENTION PROGRAM -NATIONAL HISPANIC HEALTH FOUNDATION -DODGERS DREAM FOUNDATION COMMUNITY HEALTH IMPROVEMENT SERVICES KECK HOSPITAL OF USC -THE COMMUNITY WAS SERVED BY A NUMBER OF SUPPORT GROUPS THAT INCLUDED: FAMILY/CAREGIVER SUPPORT GROUP, LIVER TRANSPLANT SUPPORT GROUP, LUNG TRANSPLANT SUPPORT GROUP, AND OTHER SUPPORT GROUPS. ALL OF THE SUPPORT GROUPS ARE OPEN TO THE PUBLIC, FREE OF CHARGE. Schedule H (For 99) 211 1E J 7377

70 Schedule H (For 99) 211 Page 8 Part VI Suppleental Inforation Coplete this part to provide the following inforation. 1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 1, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 2, and Needs assessent. Describe how the organization assesses the health care needs of the counities it serves, in addition to any needs assessents reported in Part V, Section B. 3 Patient education of eligibility for assistance. Describe how the organization infors and educates patients and persons who ay be billed for patient care about their eligibility for assistance under federal, state, or local governent progras or under the organization's financial assistance policy Counity inforation. Describe the counity the organization serves, taking into account the geographic area and deographic constituents it serves. Prootion of counity health. Provide any other inforation iportant to describing how the organization's hospitals facilities or other health care facilities further its exept purpose by prooting the health of the counity (e.g., open edical staff, counity board, use of surplus funds, etc.). Affiliated health care syste. If the organization is part of an affiliated health care syste, describe the respective roles of the organization and its affiliates in prooting the health of the counities served. State filing of counity benefit report. If applicable, identify all states with which the organization, or a related organization, files a counity benefit report. -THE LA TIMES FESTIVAL OF BOOKS WAS HELD AT USC THIS YEAR. THE HOSPITAL IN PARTNERSHIP WITH THE DEPARTMENTS OF OCCUPATIONAL THERAPY, PHYSICAL THERAPY, BIOKINESIOLOGY AND PHARMACY HOSTED A BOOTH AT THE USC HEALTH PAVILION. VISITORS RECEIVED BLOOD PRESSURE SCREENINGS AND DIABETES BLOOD SUGAR SCREENINGS. THERE WERE EDUCATIONAL PRESENTATIONS AND HANDOUTS, HEALTH GIVEAWAYS, AND HAND WASHING STATIONS. -A HEALTH FAIR WAS CONDUCTED IN NOVEMBER AND PROVIDED FREE HEALTH SCREENINGS TO THE PUBLIC: 48 PEOPLE WERE SCREENED FOR CHOLESTEROL, 49 PEOPLE WERE SCREENED FOR DIABETES, AND 46 PEOPLE WERE SCREENED FOR OSTEOPOROSIS. USC NORRIS CANCER HOSPITAL -EDUCATIONAL SESSIONS ARE OPEN TO THE COMMUNITY, FREE OF CHARGE. SESSIONS INCLUDED: YOGA FOR THOSE WITH CANCER, LOOK GOOD FEEL BETTER, BLADDER CANCER, COLORECTAL CANCER, FOR MEN ONLY, AND PROSTATE CANCER FORUM. -SUPPORT GROUP SESSIONS WERE DEDICATED TO SERVING THOSE DEALING WITH Schedule H (For 99) 211 1E J 7377

71 Schedule H (For 99) 211 Page 8 Part VI Suppleental Inforation Coplete this part to provide the following inforation. 1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 1, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 2, and Needs assessent. Describe how the organization assesses the health care needs of the counities it serves, in addition to any needs assessents reported in Part V, Section B. 3 Patient education of eligibility for assistance. Describe how the organization infors and educates patients and persons who ay be billed for patient care about their eligibility for assistance under federal, state, or local governent progras or under the organization's financial assistance policy Counity inforation. Describe the counity the organization serves, taking into account the geographic area and deographic constituents it serves. Prootion of counity health. Provide any other inforation iportant to describing how the organization's hospitals facilities or other health care facilities further its exept purpose by prooting the health of the counity (e.g., open edical staff, counity board, use of surplus funds, etc.). Affiliated health care syste. If the organization is part of an affiliated health care syste, describe the respective roles of the organization and its affiliates in prooting the health of the counities served. State filing of counity benefit report. If applicable, identify all states with which the organization, or a related organization, files a counity benefit report. BREAST CANCER, J-POUCH, COLORECTAL CANCER, AND A PROSTATE SUPPORT GROUP FOR SIGNIFICANT OTHERS. PRINTED EDUCATIONAL MATERIALS ON A VARIETY OF CANCER PREVENTION AND TREATMENT TOPICS WERE MADE AVAILABLE TO PATIENTS, FAMILIES, COMMUNITY GROUPS AND THE PUBLIC, FREE OF CHARGE. -USC NORRIS CANCER HOSPITAL PARTICIPATED IN AND HOSTED A NUMBER OF COMMUNITY-BASED OUTREACH EFFORTS TO RAISE AWARENESS OF CANCER AND ENCOURAGE PREVENTION ACTIVITIES. THIS YEAR, A NUMBER OF EVENTS WERE COORDINATED FOR CANCER OUTREACH, INCLUDING AN ADOLESCENT AND YOUNG ADULT CANCER PREVENTION EVENT, AND USC CAMPUS-WIDE BREAST CANCER AWARENESS EVENTS. ADDITIONALLY, THE USC HOSPITALS PARTICIPATED IN A PROSTATE CANCER AWARENESS WALK/RUN EVENT FOR THE LOS ANGELES COMMUNITY. -THE HOSPITAL HELPS SUPPORT YOUNG ADULT CANCER OUTREACH AND EDUCATION IN THE COMMUNITY. -THE 22ND ANNUAL FESTIVAL OF LIFE CELEBRATION, HOSTED BY USC NORRIS CANCER HOSPITAL, IS A CELEBRATION HELD FOR CANCER SURVIVORS AND THEIR Schedule H (For 99) 211 1E J 7377

72 Schedule H (For 99) 211 Page 8 Part VI Suppleental Inforation Coplete this part to provide the following inforation. 1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 1, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 2, and Needs assessent. Describe how the organization assesses the health care needs of the counities it serves, in addition to any needs assessents reported in Part V, Section B. 3 Patient education of eligibility for assistance. Describe how the organization infors and educates patients and persons who ay be billed for patient care about their eligibility for assistance under federal, state, or local governent progras or under the organization's financial assistance policy Counity inforation. Describe the counity the organization serves, taking into account the geographic area and deographic constituents it serves. Prootion of counity health. Provide any other inforation iportant to describing how the organization's hospitals facilities or other health care facilities further its exept purpose by prooting the health of the counity (e.g., open edical staff, counity board, use of surplus funds, etc.). Affiliated health care syste. If the organization is part of an affiliated health care syste, describe the respective roles of the organization and its affiliates in prooting the health of the counities served. State filing of counity benefit report. If applicable, identify all states with which the organization, or a related organization, files a counity benefit report. FAMILIES AND IS OPEN TO THE PUBLIC. IT INCLUDES INSPIRATIONAL SPEAKERS, TESTIMONIALS, AND OTHER EVENTS. -USC NORRIS CANCER HOSPITAL ALSO PROVIDES THE FOLLOWING HEALTHCARE SUPPORT SERVICES: CANCERHELP, WHICH IS A COMPUTER-BASED CANCER EDUCATION PROGRAM FROM THE NATIONAL CANCER INSTITUTE. THIS EDUCATION TOOL WAS MADE AVAILABLE TO PATIENTS, STAFF AND THE PUBLIC. THE IMAGE ENHANCEMENT CENTER ASSISTS WITH APPEARANCE AND BODY IMAGE ISSUES AS A RESULT OF CANCER TREATMENT. SERVICES ARE OPEN TO THE COMMUNITY AND INCLUDE MASTECTOMY PROSTHESIS FITTINGS. FINALLY, TAI VOUCHERS WERE MADE AVAILABLE BY BOTH HOSPITALS TO PATIENTS WHO COULD NOT AFFORD OR ACCESS TRANSPORTATION FOR ACCESS TO HEALTH CARE. COMPLIMENTARY MEALS WERE ALSO MADE AVAILABLE TO COMMUNITY VOLUNTEERS, FAMILIES, AND COMMUNITY MEMBERS ACCESSING HEALTH EDUCATION AND SUPPORT GROUP SESSIONS. Schedule H (For 99) 211 1E J 7377

73 Schedule H (For 99) 211 Page 8 Part VI Suppleental Inforation Coplete this part to provide the following inforation. 1 Required descriptions. Provide the descriptions required for Part I, lines 3c, 6a, and 7; Part II; Part III, lines 4, 8, and 9b; and Part V, Section B, lines 1j, 3, 4, 5c, 6i, 7, 9, 1, 11h, 13g, 15e, 16e, 17e, 18d, 19d, 2, and Needs assessent. Describe how the organization assesses the health care needs of the counities it serves, in addition to any needs assessents reported in Part V, Section B. 3 Patient education of eligibility for assistance. Describe how the organization infors and educates patients and persons who ay be billed for patient care about their eligibility for assistance under federal, state, or local governent progras or under the organization's financial assistance policy Counity inforation. Describe the counity the organization serves, taking into account the geographic area and deographic constituents it serves. Prootion of counity health. Provide any other inforation iportant to describing how the organization's hospitals facilities or other health care facilities further its exept purpose by prooting the health of the counity (e.g., open edical staff, counity board, use of surplus funds, etc.). Affiliated health care syste. If the organization is part of an affiliated health care syste, describe the respective roles of the organization and its affiliates in prooting the health of the counities served. State filing of counity benefit report. If applicable, identify all states with which the organization, or a related organization, files a counity benefit report. AFFILIATED HEALTH CARE SYSTEM: THE ORGANIZATION SPONSORS NUMEROUS OUTREACH PROGRAMS THROUGHOUT THE LOCAL COMMUNITY, INCLUDING HEALTH FAIRS, FREE HEALTH SCREENINGS AND FLU SHOTS, EDUCATIONAL BOOTHS AND SPEAKER SERIES THAT ARE FREE AND OPEN TO THE PUBLIC. IN ADDITION, THE PHYSICIAN FACULTY OF THE KECK SCHOOL OF MEDICINE PROVIDE HEALTH CARE SERVICES TO INDIGENT PATIENTS OF THE COUNTY OF LOS ANGELES THROUGH A CONTRACTUAL RELATIONSHIP WITH THE COUNTY. THESE PATIENTS ARE OFFERED ACCESS TO A WIDE VARIETY OF TREATMENTS THROUGH CLINICAL TRIALS THAT THEY NORMALLY WOULD NOT ACCESS ABSENT THE RELATIONSHIP BETWEEN THE COUNTY AND USC. STATE FILING OF COMMUNITY BENEFIT REPORT A COMMUNITY BENEFIT REPORT FOR EACH HOSPITAL IS FILED IN CALIFORNIA. Schedule H (For 99) 211 1E J 7377

74 SCHEDULE I (For 99) Grants and Other Assistance to Organizations, Governents, and Individuals in the United States OMB No À¾µµ Coplete if the organization answered "Yes" to For 99, Part IV, line 21 or 22. Open to Public Departent of the Treasury Internal Revenue Service I Attach to For 99. Inspection Nae of the organization Eployer identification nuber Part I General Inforation on Grants and Assistance 1 Does the organization aintain records to substantiate the aount of the grants or assistance, the grantees' eligibility for the grants or assistance, and the selection criteria used to award the grants or assistance? Yes 2 Describe in Part IV the organization's procedures for onitoring the use of grant funds in the United States. Part II 1 Grants and Other Assistance to Governents and Organizations in the United States. Coplete if the organization answered "Yes" to For 99, Part IV, line 21, for any recipient that received ore than $5,. Check this box if no one recipient received ore than $5,. Part II can be duplicated if additional space is needed (a) Nae and address of organization or governent (1) 24TH STREET THEATRE (b) EIN (c) IRC section if applicable (d) Aount of cash grant (e) Aount of noncash assistance (f) Method of valuation (book, FMV, appraisal, other) (g) Description of non-cash assistance I (h) Purpose of grant or assistance 1117 WEST 24TH ST, LOS ANGELES, CA (C)(3) 53,2. GENERAL SUPPORT (2) COMMUNITY SERVICES UNLIMITED /2 WEST MARTIN LUTHER KING JR. BLVD (C)(3) 2,495. GENERAL SUPPORT (3) DA CAMERA SOCIETY 1 CHESTER PLACE, LOS ANGELES, CA (C)(3) 74,961. GENERAL SUPPORT (4) ECCLA 281 SOUTH HOOVER ST LOS ANGELES, CA (C)(3) 932,357. GENERAL SUPPORT (5) HOOVER INTERGENERATIONAL CENTER 3216 S HOOVER ST, LOS ANGELES, CA (C)(3) 15,. GENERAL SUPPORT (6) JOHN TRACY CLINIC 86 W ADAMS BLVD, LOS ANGELES, CA (C)(3) 23,75. GENERAL SUPPORT (7) LEGACY LA YOUTH DEVELOPMENT CORPORATION 135 SAN PABLO ST, LOS ANGELES, CA (C)(3) 11,. GENERAL SUPPORT (8) PROYECTO PASTORAL 135 N MISSION RD, LOS ANGELES, CA (C)(3) 1,. GENERAL SUPPORT (9) REDEEMER COMMUNITY PARTNERSHIP 276 BRIGHTON AVE, LOS ANGELES, CA (C)(3) 17,34. GENERAL SUPPORT (1) TROY CAMP 367 TROUSDALE PKWY, LOS ANGELES, CA (C)(3) 23,779. GENERAL SUPPORT (11) No (12) 2 3 Enter total nuber of section 51(c)(3) and governent organizations listed in the line 1 table Enter total nuber of other organizations listed in the line 1 table 1. For Paperwork Reduction Act Notice, see the Instructions for For 99. Schedule I (For 99) (211) 1E J 7377 I

75 Schedule I (For 99) (211) Page 2 Part III Grants and Other Assistance to Individuals in the United States. Coplete if the organization answered "Yes" on For 99, Part IV, line 22. Part III can be duplicated if additional space is needed. (a) Type of grant or assistance (b) Nuber of recipients (c) Aount of cash grant (d) Aount of non-cash assistance (e) Method of valuation (book, FMV, appraisal, other) (f) Description of non-cash assistance 1 STUDENT FINANCIAL AID 19, ,423,677. N/A N/A Part IV Suppleental Inforation. Coplete this part to provide the inforation required in Part I, line 2, and any other additional inforation. SCHEDULE I PART I, LINE 2 USC NEIGHBORHOOD OUTREACH FUNDS ARE DISTRIBUTED THROUGH A COMPETITIVE GRANT MAKING PROCESS. A GRANT REVIEW COMMITTEE COMPRISED OF UNIVERSITY FACULTY AND STAFF VOLUNTEERS REVIEW ALL GRANTS AND PROVIDE FUNDING RECOMMENDATIONS BASED ON A SET OF CRITERIA. ALL FINAL GRANT AWARD DECISIONS ARE MADE BY CIVIC ENGAGEMENT. USC NEIGHBORHOOD OUTREACH MONITORS THE GRANT AWARDS THROUGH AN INTERIM REPORT SI MONTHS INTO THE PROJECT AND A FINAL, CUMULATIVE REPORT AT THE END OF THE PROJECT. WE CONDUCT ADHOC SITE VISITS TO OBSERVE THE PROGRAM AND REVIEW ECCLA Schedule I (For 99) (211) 1E J 7377

76 Schedule I (For 99) (211) Page 2 Part III Grants and Other Assistance to Individuals in the United States. Coplete if the organization answered "Yes" on For 99, Part IV, line 22. Part III can be duplicated if additional space is needed. (a) Type of grant or assistance (b) Nuber of recipients (c) Aount of cash grant (d) Aount of non-cash assistance (e) Method of valuation (book, FMV, appraisal, other) (f) Description of non-cash assistance Part IV Suppleental Inforation. Coplete this part to provide the inforation required in Part I, line 2, and any other additional inforation. ACCOUNTING RECORDS. THE UNIVERSITY OF SOUTHERN CALIFORNIA ADMINISTERS ONE OF THE NATION'S LARGEST FINANCIAL AID PROGRAMS THROUGH ITS FINANCIAL AID OFFICE, AWARDING $411 MILLION IN AID TO OVER TWO-THIRDS OF OUR UNDERGRADUATE STUDENTS. WE WILL MEET THE FULL USC-DETERMINED FINANCIAL NEED OF ALL ADMITTED UNDERGRADUATE STUDENTS WHO MEET ALL FEDERAL, STATE AND UNIVERSITY ELIGIBILITY REQUIREMENTS AND DEADLINES. STUDENTS AND THEIR PARENTS ARE REQUIRED TO SUBMIT ALL APPLICATIONS AND SUPPORT DOCUMENTS, MEETING ALL DEADLINES, IN ORDER TO MAKE THEIR CLAIM FOR FINANCIAL ASSISTANCE AND TO Schedule I (For 99) (211) 1E J 7377

77 Schedule I (For 99) (211) Page 2 Part III Grants and Other Assistance to Individuals in the United States. Coplete if the organization answered "Yes" on For 99, Part IV, line 22. Part III can be duplicated if additional space is needed. (a) Type of grant or assistance (b) Nuber of recipients (c) Aount of cash grant (d) Aount of non-cash assistance (e) Method of valuation (book, FMV, appraisal, other) (f) Description of non-cash assistance Part IV Suppleental Inforation. Coplete this part to provide the inforation required in Part I, line 2, and any other additional inforation. BE CONSIDERED FOR FINANCIAL AID. PART III, COLUMN(C) THE CASH GRANT IS REFLECTED ON STUDENT ACCOUNTS. Schedule I (For 99) (211) 1E J 7377

78 SCHEDULE J (For 99) Departent of the Treasury Internal Revenue Service Nae of the organization Copensation Inforation OMB No For certain Officers, Directors, Trustees, Key Eployees, and Highest Copensated Eployees Coplete if the organization answered "Yes" to For 99, I Part IV, line 23. Attach to For 99. See separate instructions. I I À¾µµ Open to Public Inspection Eployer identification nuber Part I Questions Regarding Copensation 1a Check the appropriate box(es) if the organization provided any of the following to or for a person listed in For 99, Part VII, Section A, line 1a. Coplete Part III to provide any relevant inforation regarding these ites. First-class or charter travel Travel for copanions Tax indenification and gross-up payents Discretionary spending account Housing allowance or residence for personal use Payents for business use of personal residence Health or social club dues or initiation fees Personal services (e.g., aid, chauffeur, chef) Yes No b If any of the boxes on line 1a are checked, did the organization follow a written policy regarding payent or reiburseent or provision of all of the expenses described above? If "No," coplete Part III to explain 1b 2 Did the organization require substantiation prior to reibursing or allowing expenses incurred by all officers, directors, trustees, and the CEO/Executive Director, regarding the ites checked in line 1a? 2 3 Indicate which, if any, of the following the filing organization used to establish the copensation of the organization's CEO/Executive Director. Check all that apply. Do not check any boxes for ethods used by a related organization to establish copensation of the CEO/Executive Director. Explain in Part III. Copensation coittee Independent copensation consultant For 99 of other organizations Written eployent contract Copensation survey or study Approval by the board or copensation coittee 4 During the year, did any person listed in For 99, Part VII, Section A, line 1a, with respect to the filing organization or a related organization: a Receive a severance payent or change-of-control payent? b Participate in, or receive payent fro, a suppleental nonqualified retireent plan? c Participate in, or receive payent fro, an equity-based copensation arrangeent? If "Yes" to any of lines 4a-c, list the persons and provide the applicable aounts for each ite in Part III. 4a 4b 4c a b a b Only section 51(c)(3) and 51(c)(4) organizations ust coplete lines 5-9. For persons listed in For 99, Part VII, Section A, line 1a, did the organization pay or accrue any copensation contingent on the revenues of: The organization? 5a Any related organization? 5b If "Yes" to line 5a or 5b, describe in Part III. For persons listed in For 99, Part VII, Section A, line 1a, did the organization pay or accrue any copensation contingent on the net earnings of: The organization? 6a Any related organization? 6b If "Yes" to line 6a or 6b, describe in Part III. For persons listed in For 99, Part VII, Section A, line 1a, did the organization provide any non-fixed payents not described in lines 5 and 6? If "Yes," describe in Part III 7 8 Were any aounts reported in For 99, Part VII, paid or accrued pursuant to a contract that was subject to the initial contract exception described in Regulations section (a)(3)? If "Yes," describe in Part III 8 9 If "Yes" to line 8, did the organization also follow the rebuttable presuption procedure described in Regulations section (c)? 9 For Paperwork Reduction Act Notice, see the Instructions for For 99. Schedule J (For 99) 211 1E J 7377

79 Schedule J (For 99) 211 Page 2 Part II Officers, Directors, Trustees, Key Eployees, and Highest Copensated Eployees. Use duplicate copies if additional space is needed. For each individual whose copensation ust be reported in Schedule J, report copensation fro the organization on row (i) and fro related organizations, described in the instructions, on row (ii). Do not list any individuals that are not listed on For 99, Part VII. Note. The su of coluns (B)(i)-(iii) for each listed individual ust equal the total aount of For 99, Part VII, Section A, line 1a, applicable colun (D) and (E) aounts for that individual E (A) Nae (ii) (B) Breakdown of W-2 and/or 199-MISC copensation (i) Base copensation (ii) Bonus & incentive copensation (iii) Other reportable copensation (C) Retireent and other deferred copensation (D) Nontaxable benefits (E) Total of coluns (B)(i)-(D) (F) Copensation reported as deferred in prior For 99 CHRYSOSTOMOS L. NIKIAS ELIZABETH GARRETT ROBERT ABELES ALBERT R. CHECCIO TODD R. DICKEY THOMAS S. SAYLES CAROL MAUCH AMIR MITCHELL R. CREEM JAMES G. ELLIS HOWARD A. GILLMAN LISA ANN MAZZOCCO CARMEN A. PULIAFITO, MD YANNIS C. YORTSOS VAUGHN A. STARNES, MD MONTE LANE KIFFIN (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) 874, ,44. 57, , , , , , , , , , ,6. 2,471,965. 2,218,553. 1,23,888. 5,. 1,. 92,. 97,. 5,. 11,. 47,. 124,. 182,. 95,. 5,. 11,. 8,. 25, , , , , , , , , ,59. 18, , , ,. 231, , ,25. 24,5. 24,5. 24,5. 24,5. 24,5. 24,5. 24,5. 24,5. 24,5. 1,. 24,5. 24,5. 24,5. 24,5. 24,5. 13,92. 16, ,176. 1,47. 8,578. 1, , , , ,23. 9, ,1. 66,21. 22, , ,75. 1,439, , , , , , , , , , ,225. 1,189, ,11. 2,76,584. 2,594,91. 2,247,678. PATRICK C. HADEN 7959J 7377 Schedule J (For 99) 211

80 Schedule J (For 99) 211 Page 2 Part II Officers, Directors, Trustees, Key Eployees, and Highest Copensated Eployees. Use duplicate copies if additional space is needed. For each individual whose copensation ust be reported in Schedule J, report copensation fro the organization on row (i) and fro related organizations, described in the instructions, on row (ii). Do not list any individuals that are not listed on For 99, Part VII. Note. The su of coluns (B)(i)-(iii) for each listed individual ust equal the total aount of For 99, Part VII, Section A, line 1a, applicable colun (D) and (E) aounts for that individual E (A) Nae (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (B) Breakdown of W-2 and/or 199-MISC copensation (i) Base copensation (ii) Bonus & incentive copensation (iii) Other reportable copensation (C) Retireent and other deferred copensation (D) Nontaxable benefits (E) Total of coluns (B)(i)-(D) (F) Copensation reported as deferred in prior For 99 MONTE GEORGE KIFFIN KEVIN O'NEILL STEVEN B. SAMPLE ALAN KREDITOR MARTHA HARRIS (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) (ii) (i) 1,569,961. 1,471, , , , ,84. 35,. 53,. 147, ,5. 1,88,69. 3, , ,5. 24,5. 24,5. 24,5. 24,5. 14, , ,41. 15,688. 7,191. 1,791,555. 1,717,749. 1,815, , , ,84. 69,451. DENNIS F. DOUGHERTY 7959J 7377 Schedule J (For 99) 211

81 Schedule J (For 99) 211 Part III Suppleental Inforation Coplete this part to provide the inforation, 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 coplete this part for any additional inforation. SCHEDULE J, PART I LINE 1A AND LINE 1B: Page 3 FIRST-CLASS TRAVEL: THE UNIVERSITY OF SOUTHERN CALIFORNIA REQUIRES THAT ECONOMY-CLASS (COACH) TRAVEL BE UTILIZED FOR UNIVERSITY BUSINESS. FIRST AND BUSINESS CLASS AIR TRAVEL IS ONLY ALLOWED WHEN THERE IS ADVANCE WRITTEN APPROVAL FROM THE CORPORATION, WHEN IT IS NECESSARY FOR MEDICAL REASONS, OR WHERE COACH CLASS IS UNAVAILABLE. THERE IS NO VALUE INCLUDED IN THE INDIVIDUAL'S FORM W-2 AS TAABLE INCOME AS ONLY BUSINESS TRAVEL EPENSES ARE PAID. CHARTER TRAVEL: THE UNIVERSITY OF SOUTHERN CALIFORNIA UTILIZES CHARTER TRAVEL ON OCCASION FOR ATHLETIC TEAM EVENTS FOR CERTAIN INDIVIDUALS AS PART OF THEIR RESPONSIBILITIES AS EMPLOYEES OF THE UNIVERSITY OF SOUTHERN CALIFORNIA. THERE IS NO VALUE INCLUDED IN THE INDIVIDUAL'S FORM W-2 AS TAABLE INCOME AS ONLY BUSINESS TRAVEL EPENSES ARE PAID. Schedule J (For 99) 211 1E J 7377

82 Schedule J (For 99) 211 Part III Suppleental Inforation Coplete this part to provide the inforation, 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 coplete this part for any additional inforation. Page 3 TRAVEL FOR COMPANIONS: NONBUSINESS TRAVEL: THE UNIVERSITY OF SOUTHERN CALIFORNIA'S WRITTEN POLICY IS NOT TO PAY OR REIMBURSE FOR COMPANION TRAVEL. ECEPTIONS REQUIRE ADVANCE, WRITTEN APPROVAL FROM A SENIOR VICE PRESIDENT OR THE PRESIDENT AND THE EPENSE IS REPORTED ON THE INDIVIDUAL'S FORM W-2 AS TAABLE INCOME. BUSINESS TRAVEL: THE UNIVERSITY OF SOUTHERN CALIFORNIA ALLOWS COMPANION TRAVEL ONLY WHEN THERE IS A BUSINESS PURPOSE. THE AMOUNT IS NOT REPORTED ON THE EMPLOYEE'S FORM W-2 AS TAABLE INCOME AS ONLY BUSINESS TRAVEL EPENSES ARE PAID. HOUSING ALLOWANCE: HOUSING ALLOWANCES ARE GRANTED ONLY WHEN SUCH AN ALLOWANCE IS SPECIFICALLY STATED IN AN EMPLOYMENT CONTRACT. THE ALLOWANCE IS INCLUDED IN THE INDIVIDUAL'S TAABLE COMPENSATION ON FORM W-2. Schedule J (For 99) 211 1E J 7377

83 Schedule J (For 99) 211 Part III Suppleental Inforation Coplete this part to provide the inforation, 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 coplete this part for any additional inforation. RESIDENCE FOR PERSONAL USE: LODGING PROVIDED IN THE PRESIDENT'S HOME (A UNIVERSITY BUILDING) TO THE CURRENT PRESIDENT IS NOT REPORTED ON FORM W-2 AS TAABLE INCOME AS THE PRESIDENT IS REQUIRED TO ACCEPT SUCH LODGING AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE UNIVERSITY. THE RENTAL VALUE OF THE PORTION OF THE PRESIDENT'S HOME THAT IS USED FOR PERSONAL PURPOSES IS INCLUDED AS A NONTAABLE BENEFIT TO THE PRESIDENT. Page 3 HEALTH OR SOCIAL CLUB DUES OR INITIATION FEES: PAYMENT TO OR REIMBURSEMENT FOR AN INDIVIDUAL'S MEMBERSHIP IN, OR DUES TO, A PRIVATE CLUB FOR BUSINESS PURPOSES IS MADE AVAILABLE IN CERTAIN EMPLOYMENT CONTRACTS OR IS OTHERWISE APPROVED BY THE APPLICABLE SENIOR VICE PRESIDENT OR THE PRESIDENT. THE VALUE OF MEMBERSHIPS PROVIDED FOR BUSINESS PURPOSES IS NOT INCLUDED IN AN INDIVIDUAL'S W-2 AS TAABLE INCOME. ANY PERSONAL USE OF THESE MEMBERSHIPS IS PAID FOR BY THE INDIVIDUAL. Schedule J (For 99) 211 1E J 7377

84 Schedule J (For 99) 211 Part III Suppleental Inforation Coplete this part to provide the inforation, 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 coplete this part for any additional inforation. PERSONAL SERVICES: CERTAIN INDIVIDUALS RECEIVED FINANCIAL PLANNING SERVICES. SUCH SERVICES ARE MADE AVAILABLE IN EMPLOYMENT CONTRACTS AND THE VALUE OF THE SERVICES, IF USED, WAS INCLUDED IN THE INDIVIDUALS' FORM W-2 AS TAABLE INCOME. Page 3 CURRENT PRESIDENT CHRYSOSTOMOS L. NIKIAS AND FORMER PRESIDENT STEVEN B. SAMPLE RECEIVED THE SERVICES OF A CAR AND DRIVER. SUCH SERVICES WERE APPROVED AS PART OF THEIR RESPECTIVE EMPLOYMENT CONTRACTS, AND THE VALUE OF TAABLE SERVICES WERE INCLUDED IN THEIR RESPECTIVE FORM W-2S AS TAABLE INCOME. Schedule J (For 99) 211 1E LINE 4B: STEVEN B. SAMPLE: DR. SAMPLE IS ENTITLED TO RECEIVE RETIREMENT BENEFITS UNDER A SUPPLEMENTAL EECUTIVE RETIREMENT PLAN ("SERP"), PAYABLE IN THREE ANNUAL INSTALLMENTS. THE SERP BENEFIT WAS CALCULATED AS THE AMOUNT WHICH, WHEN ADDED TO BENEFITS AVAILABLE FROM OTHER UNIVERSITY RETIREMENT PLANS, IS PROJECTED TO GENERATE THE ACTUARIAL EQUIVALENT OF A PRE-TA, LIFETIME PENSION EQUAL TO APPROIMATELY 6% OF DR. SAMPLE'S FINAL THREE YEAR 7959J 7377

85 Schedule J (For 99) 211 Part III Suppleental Inforation Coplete this part to provide the inforation, 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 coplete this part for any additional inforation. AVERAGE ANNUAL SALARY AS PRESIDENT, BASED ON VARIOUS ASSUMPTIONS AND PROJECTIONS, AND SUBJECT TO A RISK OF FORFEITURE RELATED TO THE PERFORMANCE OF FUTURE SERVICES. DR. SAMPLE, WHO STEPPED DOWN AS PRESIDENT ON AUGUST 2, 21, RECEIVED HIS FIRST ANNUAL SERP INSTALLMENT IN THE AMOUNT OF $94,695 IN 211. Page 3 CHRYSOSTOMOS L. NIKIAS: DURING THE PERIOD JANUARY 1, 211 THROUGH DECEMBER 31, 211, DR. CHRYSOSTOMOS L. NIKIAS PARTICIPATED IN A "DEFINED CONTRIBUTION" NON-QUALIFIED RETIREMENT PLAN, SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE, TO WHICH AN AMOUNT EQUAL TO 2% (FROM JANUARY 1, 211 THROUGH JUNE 3, 211) AND 25% (FROM JULY 1, 211 THROUGH DECEMBER 31, 211) OF DR. NIKIAS' BASE SALARY WAS CREDITED BY THE UNIVERSITY. THIS AMOUNT IS INCLUDED IN SCHEDULE J, PART II, COLUMN C. LINE 4B: IN 1994 USC CREATED A SECTION 457(F) SUPPLEMENTAL RETIREMENT PLAN TO PROVIDE MAKE-UP BENEFITS TO EMPLOYEES WHOSE COMPENSATION ECEEDS THE Schedule J (For 99) 211 1E J 7377

86 Schedule J (For 99) 211 Part III Suppleental Inforation Coplete this part to provide the inforation, 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 coplete this part for any additional inforation. EARNINGS LIMITATION FOR CONTRIBUTIONS TO THE USC DEFINED CONTRIBUTION RETIREMENT PLAN. AS OF JANUARY 1, 25, THE PLAN WAS FROZEN AND PARTICIPANTS, WITH RESPECT TO FUTURE MAKE-UP BENEFITS, WERE NO LONGER PERMITTED TO DEFER THESE BENEFITS, WHICH ARE INSTEAD CURRENTLY REPORTED IN SCHEDULE J, PART II, COLUMN (B)(III) AS OTHER REPORTABLE COMPENSATION. Page 3 SCHEDULE J, PART I, LINE 7: CERTAIN INDIVIDUALS LISTED IN SCHEDULE J, PART II, COLUMN (B)(II) RECEIVED A MERIT BASED BONUS. THEIR NAMES AND THE AMOUNT OF SUCH BONUSES ARE SHOWN ON SCHEDULE J, PART II, COLUMN (B)(II). Schedule J (For 99) 211 1E J 7377

87 SCHEDULE K (For 99) Suppleental Inforation on Tax-Exept Bonds ICoplete if the organization answered "Yes" to For 99, Part IV, line 24a. Provide descriptions, explanations, and any additional inforation in Part VI. Departent of the Treasury Internal Revenue Service IAttach to For 99. I Nae of the organization (a) Issuer nae TA-EEMPT BOND ISSUE SET 1 OF 2 See separate instructions. OMB No À¾µµ Open to Public Inspection Eployer identification nuber Part I Bond Issues (b) Issuer EIN (c) CUSIP # (d) Date issued (e) Issue price (f) Description of purpose (g) Defeased (h) On behalf of issuer (i) Pooled financing Yes No Yes No Yes No A CEFA - SERIES 23A AND 23C YD8 3/2/23 22,171,. CONSTRUCTION B CEFA - SERIES 23B YS5 7/8/23 13,957,853. REFINANCING SERIES 1993 AND 1993B C CEFA - SERIES U 8/3/25 69,564,157. REFINANCING SERIES 1997A AND 1997C D CEFA - SERIES 27A HC3 5/24/27 266,125,246. CONST. & REFIN. SERIES 23A AND C Part II Proceeds A B C D 1 Aount of bonds retired 151,227,87. 8,959,221. 2,59,14. 6,838, Aount of bonds legally defeased 3 Total proceeds of issue 213,611,82. 13,957, ,564, ,228,39. 4 Gross proceeds in reserve funds 5 Capitalized interest fro proceeds 6 Proceeds in refunding escrows 7 Issuance costs fro proceeds 641,455. 1,72, Credit enhanceent fro proceeds 9 Working capital expenditures fro proceeds 1 Capital expenditures fro proceeds 213,611,82. 18,8, Other spent proceeds 13,957,6. 68,738, ,923, Other unspent proceeds 13 Year of substantial copletion Yes No Yes No Yes No Yes No 14 Were the bonds issued as part of a current refunding issue? 15 Were the bonds issued as part of an advance refunding issue? Has the final allocation of proceeds been ade? Does the organization aintain adequate books and records to support the final allocation of proceeds? Part III Private Business Use A B C D 1 Was the organization a partner in a partnership, or a eber of an LLC, which owned Yes No Yes No Yes No Yes No property financed by tax-exept bonds? 2 Are there any lease arrangeents that ay result in private business use of bond-financed property? For Paperwork Reduction Act Notice, see the Instructions for For 99. Schedule K (For 99) 211 1E J 7377

88 SCHEDULE K (For 99) Suppleental Inforation on Tax-Exept Bonds ICoplete if the organization answered "Yes" to For 99, Part IV, line 24a. Provide descriptions, explanations, and any additional inforation in Part VI. Departent of the Treasury Internal Revenue Service IAttach to For 99. I Nae of the organization (a) Issuer nae TA-EEMPT BOND ISSUE SET 2 OF 2 See separate instructions. OMB No À¾µµ Open to Public Inspection Eployer identification nuber Part I Bond Issues (b) Issuer EIN (c) CUSIP # (d) Date issued (e) Issue price (f) Description of purpose (g) Defeased (h) On behalf of issuer (i) Pooled financing Yes No Yes No Yes No A CEFA - SERIES 29A RW8 1/15/29 216,627,251. CONSTRUCTION & HOSPITAL ACQUISITIO B CEFA - SERIES 29B SC1 2/25/29 21,288,71. CONSTRUCTION & HOSPITAL ACQUISITIO C CEFA - SERIES 29C TF3 7/9/29 91,457,316. REFINANCING SERIES 1998A AND 1999 D Part II E Proceeds Aount of bonds retired Aount of bonds legally defeased Total proceeds of issue Gross proceeds in reserve funds Capitalized interest fro proceeds Proceeds in refunding escrows Issuance costs fro proceeds Credit enhanceent fro proceeds Working capital expenditures fro proceeds Capital expenditures fro proceeds Other spent proceeds Other unspent proceeds Year of substantial copletion A B C D 372,315. 1,83, ,948,132. 1,627, ,533,631. 1,288,71. 91,457, , ,2,. 185,476,5. 9,723, ,12, ,769,6. 21 Yes No Yes No Yes No Yes No 14 Were the bonds issued as part of a current refunding issue? 15 Were the bonds issued as part of an advance refunding issue? 16 Has the final allocation of proceeds been ade? 17 Does the organization aintain adequate books and records to support the final allocation of proceeds? Part III Private Business Use A B C D 1 Was the organization a partner in a partnership, or a eber of an LLC, which owned Yes No Yes No Yes No Yes No property financed by tax-exept bonds? 2 Are there any lease arrangeents that ay result in private business use of bond-financed property? For Paperwork Reduction Act Notice, see the Instructions for For 99. Schedule K (For 99) J 7377

89 Schedule K (For 99) 211 Page 2 Part III Private Business Use (Continued) A B C D 3a Are there any anageent or service contracts that ay result in private business use of bond-financed property? Yes No Yes No Yes No Yes No b If "Yes" to line 3a, does the organization routinely engage bond counsel or other outside counsel to review any anageent or service contracts relating to the financed property? c Are there any research agreeents that ay result in private business use of bondfinanced property? d If "Yes" to line 3c, does the organization routinely engage bond counsel or other outside counsel to review any research agreeents relating to the financed property? 4 Enter the percentage of financed property used in a private business use by entities other than a section 51(c)(3) organization or a state or local governent I.5 % % %.22 5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 51(c)(3) organization, or a state or local governent I 6 Total of lines 4 and 5 7 Has the organization adopted anageent practices and procedures to ensure the post-issuance copliance of its tax-exept bond liabilities? TA-EEMPT BOND ISSUE SET 1 OF 2.5 % % % % % %.22 % % % Part IV Arbitrage 1 Has a For 838-T, Arbitrage Rebate, Yield Reduction and Penalty in Lieu of Arbitrage Rebate, been filed with respect to the bond issue? 2 Is the bond issue a variable rate issue? 3a Has the organization or the governental issuer entered into a qualified hedge with respect to the bond issue? b Nae of provider c Ter of hedge d Was the hedge superintegrated? e Was the hedge terinated? 4a Were gross proceeds invested in a guaranteed investent contract (GIC)? b Nae of provider c Ter of GIC d Was the regulatory safe harbor for establishing the fair arket value of the GIC satisfied? 5 Were any gross proceeds invested beyond an available teporary period? 6 Did the bond issue qualify for an exception to rebate? A B C D Yes No Yes No Yes No Yes No Part V Procedures To Undertake Corrective Action Check the box if the organization established written procedures to ensure that violations of federal tax requireents are tiely identified and corrected through the voluntary closing agreeent progra if self-reediation is not available under applicable regulations Yes No Part VI Suppleental Inforation. Coplete this part to provide additional inforation for responses to questions on Schedule K (see instructions). SEE SCHEDULE O 1E J 7377 Schedule K (For 99) 211

90 Schedule K (For 99) 211 Page 2 Part III Private Business Use (Continued) A B C D 3a Are there any anageent or service contracts that ay result in private business use of bond-financed property? Yes No Yes No Yes No Yes No b If "Yes" to line 3a, does the organization routinely engage bond counsel or other outside counsel to review any anageent or service contracts relating to the financed property? c Are there any research agreeents that ay result in private business use of bondfinanced property? d If "Yes" to line 3c, does the organization routinely engage bond counsel or other outside counsel to review any research agreeents relating to the financed property? 4 Enter the percentage of financed property used in a private business use by entities other than a section 51(c)(3) organization or a state or local governent I.9 %.11 % % 5 Enter the percentage of financed property used in a private business use as a result of unrelated trade or business activity carried on by your organization, another section 51(c)(3) organization, or a state or local governent I 6 Total of lines 4 and 5 7 Has the organization adopted anageent practices and procedures to ensure the post-issuance copliance of its tax-exept bond liabilities? TA-EEMPT BOND ISSUE SET 2 OF 2.9 % %.1.12 % % % % % % % Part IV Arbitrage 1 Has a For 838-T, Arbitrage Rebate, Yield Reduction and Penalty in Lieu of Arbitrage Rebate, been filed with respect to the bond issue? 2 Is the bond issue a variable rate issue? 3a Has the organization or the governental issuer entered into a qualified hedge with respect to the bond issue? b Nae of provider c Ter of hedge d Was the hedge superintegrated? e Was the hedge terinated? 4a Were gross proceeds invested in a guaranteed investent contract (GIC)? b Nae of provider c Ter of GIC d Was the regulatory safe harbor for establishing the fair arket value of the GIC satisfied? 5 Were any gross proceeds invested beyond an available teporary period? 6 Did the bond issue qualify for an exception to rebate? A B C D Yes No Yes No Yes No Yes No Part V Procedures To Undertake Corrective Action Check the box if the organization established written procedures to ensure that violations of federal tax requireents are tiely identified and corrected through the voluntary closing agreeent progra if self-reediation is not available under applicable regulations Yes No Part VI Suppleental Inforation. Coplete this part to provide additional inforation for responses to questions on Schedule K (see instructions). 1E J 7377 Schedule K (For 99) 211

91 SCHEDULE L (For 99 or 99-EZ) Departent of the Treasury Internal Revenue Service Transactions With Interested Persons I Coplete if the organization answered "Yes" on For 99, Part IV, line 25a, 25b, 26, 27, 28a, 28b, or 28c, or For 99-EZ, Part V, line 38a or 4b. Attach to For 99 or For 99-EZ. See separate instructions. I I OMB No À¾µµ Open To Public Inspection Nae of the organization Eployer identification nuber Part I Excess Benefit Transactions (section 51(c)(3) and section 51(c)(4) organizations only). Coplete if the organization answered "Yes" on For 99, Part IV, line 25a or 25b, or For 99-EZ, Part V, line 4b. 1 (a) Nae of disqualified person (b) Description of transaction (1) (2) (3) (4) (5) (6) 2 3 Part II Enter the aount of tax iposed on the organization anagers or disqualified persons during the year under section 4958 Enter the aount of tax, if any, on line 2, above, reibursed by the organization I Loans to and/or Fro Interested Persons. Coplete if the organization answered "Yes" on For 99, Part IV, line 26, or For 99-EZ, Part V, line 38a. I $ $ (c) Corrected? Yes No (a) Nae of interested person and purpose (b) Loan to or fro the organization? (c) Original principal aount (d) Balance due (e) In default? (f) Approved by board or coittee? (g) Written agreeent? (1) (2) (3) (4) (5) (6) (7) (8) (9) (1) To Fro Yes No Yes No Yes No CARMEN PULIAFITO, MD HOUSING LOAN 8,. 76,561. CARMEN PULIAFITO, MD HOUSING LOAN 1,2,. 4,. ALBERT CHECCIO HOUSING LOAN 1,,. 9,. ALBERT CHECCIO HOUSING LOAN 5,. 477,28. ELIZABETH GARRETT FACULTY HOUSING LOAN 35,. 33,17. ELIZABETH GARRETT FACULTY HOUSING LOAN 15,. 9,. ANDRES MARMOR FACULTY HOUSING LOAN 35,. 33,17. ANDRES MARMOR FACULTY HOUSING LOAN 15,. 9,. KEVIN O'NEILL HOUSING LOAN 5,. 5,. I MONTE LANE KIFFIN HOUSING LOAN 1,5,. 1,5,. Total $ 2,823,875. Part III Grants or Assistance Benefiting Interested Persons. Coplete if the organization answered "Yes" on For 99, Part IV, line 27. (a) Nae of interested person (b) Relationship between interested person and the organization (c) Aount and type of assistance (1) (2) (3) (4) (5) (6) (7) (8) (9) (1) For Paperwork Reduction Act Notice, see the Instructions for For 99 or 99-EZ. Schedule L (For 99 or 99-EZ) 211 1E J 7377

92 SCHEDULE L (For 99 or 99-EZ) Departent of the Treasury Internal Revenue Service Transactions With Interested Persons I Coplete if the organization answered "Yes" on For 99, Part IV, line 25a, 25b, 26, 27, 28a, 28b, or 28c, or For 99-EZ, Part V, line 38a or 4b. Attach to For 99 or For 99-EZ. See separate instructions. I I OMB No À¾µµ Open To Public Inspection Nae of the organization Eployer identification nuber Part I Excess Benefit Transactions (section 51(c)(3) and section 51(c)(4) organizations only). Coplete if the organization answered "Yes" on For 99, Part IV, line 25a or 25b, or For 99-EZ, Part V, line 4b. 1 (a) Nae of disqualified person (b) Description of transaction (1) (2) (3) (4) (5) (6) 2 3 Part II Enter the aount of tax iposed on the organization anagers or disqualified persons during the year under section 4958 Enter the aount of tax, if any, on line 2, above, reibursed by the organization I Loans to and/or Fro Interested Persons. Coplete if the organization answered "Yes" on For 99, Part IV, line 26, or For 99-EZ, Part V, line 38a. I $ $ (c) Corrected? Yes No (a) Nae of interested person and purpose (b) Loan to or fro the organization? (c) Original principal aount (d) Balance due (e) In default? (f) Approved by board or coittee? (g) Written agreeent? (1) (2) (3) (4) (5) (6) (7) (8) (9) (1) To Fro Yes No Yes No Yes No MONTE LANE KIFFIN HOUSING LOAN 5,. 5,. B.W. HUGHES TRUSTEE LOAN 15,,. 15,,. I Total $ Part III Grants or Assistance Benefiting Interested Persons. Coplete if the organization answered "Yes" on For 99, Part IV, line 27. (a) Nae of interested person (b) Relationship between interested person and the organization (c) Aount and type of assistance (1) (2) (3) (4) (5) (6) (7) (8) (9) (1) For Paperwork Reduction Act Notice, see the Instructions for For 99 or 99-EZ. Schedule L (For 99 or 99-EZ) 211 1E J 7377

93 Schedule L (For 99 or 99-EZ) 211 Page 2 Part IV Business Transactions Involving Interested Persons. Coplete if the organization answered "Yes" on For 99, Part IV, line 28a, 28b, or 28c. (a) Nae of interested person (b) Relationship between interested person and the organization (c) Aount of transaction (d) Description of transaction (e) Sharing of organization's revenues? (1) (2) (3) (4) (5) (6) (7) (8) (9) (1) CAROL DOUGHERTY MAUREEN DOUGHERTY ADAM DUNCAN ANDRES MARMOR ROBERT MARTIN NIKI C NIKIAS SHAYNE PADGETT JANET PINE AIG AMERICAN FUNDS SERVICE CO. SPOUSE OF FRMR SR VP/CFO DGHTER-IN-LAW OF FRMR OFF SON-IN-LAW OF TRUSTEE SPOUSE OF OFFICER BROTHER OF TRUSTEE SPOUSE OF OFFICER DAUGHTER OF TRUSTEE SPOUSE OF KEY EMPLOYEE TRUSTEE ON BOARD KEY EMPLOYEE ON BOARD 271,782. USC EMPLOYEE 164,37. USC EMPLOYEE 239,26. USC EMPLOYEE 37,414. USC EMPLOYEE 19,98. USC EMPLOYEE 115,18. USC EMPLOYEE 54,241. USC EMPLOYEE 11,18. USC EMPLOYEE 1,421,717. INSURANCE 1,9,. INVESTMENTS Part V Suppleental Inforation Coplete this part to provide additional inforation for responses to questions on Schedule L (see instructions). Yes No 1E J 7377 Schedule L (For 99 or 99-EZ) 211

94 Schedule L (For 99 or 99-EZ) 211 Page 2 Part IV Business Transactions Involving Interested Persons. Coplete if the organization answered "Yes" on For 99, Part IV, line 28a, 28b, or 28c. (a) Nae of interested person (b) Relationship between interested person and the organization (c) Aount of transaction (d) Description of transaction (e) Sharing of organization's revenues? (1) (2) (3) (4) (5) (6) (7) (8) (9) (1) APPLE COMPUTER BANK OF AMERICA CHEVRON CHEVRON NEWPORT CORPORATION QUINN POWER SYSTEMS SEQUOIA CAPITAL TUTOR-SALIBA WALT DISNEY COMPANY WIND RIVER SYSTEMS, INC. TRUSTEE ON BOARD TRUSTEE ON BOARD TRUSTEE ON BOARD TRUSTEE ON BOARD TRUSTEE ON BOARD CHRMN/CEO/PRES OF PARENT TRUSTEE IS MANAGING PTR TRUSTEE IS PRESIDENT/CEO TRUSTEE ON BOARD TRUSTEE IS PRESIDENT 11,392,372. EQUIPMENT & SOFTWARE 345,56. BANKING FEES 3,381,742. GRANTS & SPONSORSHIP 271,39. FUEL 131,747. EQUIPMENT 13,356. CAT GENERATOR MAINTENANCE 1,819,15. LP CAPITAL DISTRIBUTION 26,89,823. CONSTRUCTION SERVICES 737,82. ENTERTAINMENT 11,869. SOFTWARE Part V Suppleental Inforation Coplete this part to provide additional inforation for responses to questions on Schedule L (see instructions). Yes No 1E J 7377 Schedule L (For 99 or 99-EZ) 211

95 OMB No SCHEDULE M (For 99) I Noncash Contributions Coplete if the organizations answered "Yes" on For À¾µµ 99, IPart IV, lines 29 or 3. Open To Public Departent of the Treasury Internal Revenue Service Attach to For 99. Inspection Nae of the organization Eployer identification nuber Part I Types of Property (a) (b) (c) (d) Check if Nuber of contributions or Noncash contribution Method of deterining aounts reported on applicable ites contributed noncash contribution aounts For 99, Part VIII, line 1g Art - Works of art Art - Historical treasures Art - Fractional interests Books and publications Clothing and household goods Cars and other vehicles Boats and planes Intellectual property Securities - Publicly traded Securities - Closely held stock Securities - Partnership, LLC, or trust interests Securities - Miscellaneous Qualified conservation contribution - Historic structures Qualified conservation contribution - Other Real estate - Residential Real estate - Coercial Real estate - Other Collectibles Food inventory Drugs and edical supplies Taxidery Historical artifacts Scientific speciens Archeological artifacts Other ( Other ( OtherI( Other ( I EQUIPMENT ) ) ) ) ,491. FMV 29 Nuber of Fors 8283 received by the organization during the tax year for contributions for which the organization copleted For 8283, Part IV, Donee Acknowledgeent 29 3 a b ,75. APPRAISED VALUE ,489,611. HIGH-LOW AVERAGE 4. 2,15,. APPRAISED VALUE 4. 9,811. COST/SELLING PRICE During the year, did the organization receive by contribution any property reported in Part I, lines 1-28 that it ust hold for at least three years fro the date of the initial contribution, and which is not required to be used for exept purposes for the entire holding period? If "Yes," describe the arrangeent in Part II. Does the organization have a gift acceptance policy that requires the review of any non-standard contributions? a Does the organization hire or use third parties or related organizations to solicit, process, or sell noncash contributions? b If "Yes," describe in Part II. 33 If the organization did not report an aount in colun (c) for a type of property for which colun (a) is checked, describe in Part II. For Paperwork Reduction Act Notice, see the Instructions for For 99. Schedule M (For 99) (211) 3a 32a Yes 6. No 1E J 7377

96 Schedule M (For 99) (211) Page 2 Part II Suppleental Inforation. Coplete this part to provide the inforation required by Part I, lines 3b, 32b, and 33. Also coplete this part for any additional inforation. SCHEDULE M, PART I, COLUMN(B) THE ORGANIZATION IS REPORTING THE NUMBER OF ITEMS RECEIVED. SCHEDULE M, PART I, LINE 32(A) THE UNIVERSITY OF SOUTHERN CALIFORNIA UTILIZES BROKERAGE FIRMS TO SELL NON-CASH CONTRIBUTIONS THAT THE UNIVERSITY RECEIVES AS GIFTS AND THE PROCEEDS ARE REMITTED BACK TO THE UNIVERSITY. Schedule M (For 99) (211) 1E J 7377

97 SCHEDULE O (For 99 or 99-EZ) Departent of the Treasury Internal Revenue Service Nae of the organization Suppleental Inforation to For 99 or 99-EZ Coplete to provide inforation for responses to specific questions on For 99 or 99-EZ or to provide any additional inforation. Attach to For 99 or 99-EZ. I OMB No À¾µµ Open to Public Inspection Eployer identification nuber FORM 99, PART 1, LINE 1 AND PART III, LINE 1 THE CENTRAL MISSION OF THE UNIVERSITY OF SOUTHERN CALIFORNIA IS THE DEVELOPMENT OF HUMAN BEINGS AND SOCIETY AS A WHOLE THROUGH THE CULTIVATION AND ENRICHMENT OF THE HUMAN MIND AND SPIRIT. THE PRINCIPAL MEANS BY WHICH OUR MISSION IS ACCOMPLISHED ARE TEACHING, RESEARCH, ARTISTIC CREATION, PROFESSIONAL PRACTICE AND SELECTED FORMS OF PUBLIC SERVICE. OUR FIRST PRIORITY AS FACULTY AND STAFF IS THE EDUCATION OF OUR STUDENTS, FROM FRESHMEN TO POSTDOCTORALS, THROUGH A BROAD ARRAY OF ACADEMIC, PROFESSIONAL, ETRACURRICULAR AND ATHLETIC PROGRAMS OF THE FIRST RANK. THE INTEGRATION OF LIBERAL AND PROFESSIONAL LEARNING IS ONE OF USC'S SPECIAL STRENGTHS. WE STRIVE CONSTANTLY FOR ECELLENCE IN TEACHING KNOWLEDGE AND SKILLS TO OUR STUDENTS, WHILE AT THE SAME TIME HELPING THEM TO ACQUIRE WISDOM AND INSIGHT, LOVE OF TRUTH AND BEAUTY, MORAL DISCERNMENT, UNDERSTANDING OF SELF, AND RESPECT AND APPRECIATION FOR OTHERS. RESEARCH OF THE HIGHEST QUALITY BY OUR FACULTY AND STUDENTS IS FUNDAMENTAL TO OUR MISSION. USC IS ONE OF A VERY SMALL NUMBER OF PREMIER ACADEMIC INSTITUTIONS IN WHICH RESEARCH AND TEACHING ARE INETRICABLY INTERTWINED, AND ON WHICH THE NATION DEPENDS FOR A STEADY STREAM OF NEW KNOWLEDGE, ART AND TECHNOLOGY. OUR FACULTY ARE NOT SIMPLY TEACHERS OF THE WORKS OF OTHERS, BUT ACTIVE CONTRIBUTORS TO WHAT IS TAUGHT, THOUGHT For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for For 99 or 99-EZ. Schedule O (For 99 or 99-EZ) (211) 1E J 7377

98 Schedule O (For 99 or 99-EZ) 211 Page 2 Nae of the organization Eployer identification nuber AND PRACTICED THROUGHOUT THE WORLD. USC IS PLURALISTIC, WELCOMING OUTSTANDING MEN AND WOMEN OF EVERY RACE, CREED AND BACKGROUND. WE ARE A GLOBAL INSTITUTION IN A GLOBAL CENTER, ATTRACTING MORE INTERNATIONAL STUDENTS OVER THE YEARS THAN ANY OTHER AMERICAN UNIVERSITY. AND WE ARE PRIVATE, UNFETTERED BY POLITICAL CONTROL, STRONGLY COMMITTED TO ACADEMIC FREEDOM, AND PROUD OF OUR ENTREPRENEURIAL HERITAGE. AN ETRAORDINARY CLOSENESS AND WILLINGNESS TO HELP ONE ANOTHER ARE EVIDENT AMONG USC STUDENTS, ALUMNI, FACULTY, AND STAFF; INDEED, FOR THOSE WITHIN ITS COMPASS THE TROJAN FAMILY IS A GENUINELY SUPPORTIVE COMMUNITY. ALUMNI, TRUSTEES, VOLUNTEERS AND FRIENDS OF USC ARE ESSENTIAL TO THIS FAMILY TRADITION, PROVIDING GENEROUS FINANCIAL SUPPORT, PARTICIPATING IN UNIVERSITY GOVERNANCE, AND ASSISTING STUDENTS AT EVERY TURN. IN OUR SURROUNDING NEIGHBORHOODS AND AROUND THE GLOBE, USC PROVIDES PUBLIC LEADERSHIP AND PUBLIC SERVICE IN SUCH DIVERSE FIELDS AS HEALTH CARE, ECONOMIC DEVELOPMENT, SOCIAL WELFARE, SCIENTIFIC RESEARCH, PUBLIC POLICY AND THE ARTS. WE ALSO SERVE THE PUBLIC INTEREST BY BEING THE LARGEST PRIVATE EMPLOYER IN THE CITY OF LOS ANGELES, AS WELL AS THE CITY'S LARGEST EPORT INDUSTRY IN THE PRIVATE SECTOR. USC HAS PLAYED A MAJOR ROLE IN THE DEVELOPMENT OF SOUTHERN CALIFORNIA FOR MORE THAN A CENTURY, AND PLAYS AN INCREASINGLY IMPORTANT ROLE IN THE Schedule O (For 99 or 99-EZ) 211 1E J 7377

99 Schedule O (For 99 or 99-EZ) 211 Page 2 Nae of the organization Eployer identification nuber DEVELOPMENT OF THE NATION AND THE WORLD. WE EPECT TO CONTINUE TO PLAY THESE ROLES FOR MANY CENTURIES TO COME. THUS OUR PLANNING, COMMITMENTS AND FISCAL POLICIES ARE DIRECTED TOWARD BUILDING QUALITY AND ECELLENCE IN THE LONG TERM. FORM 99, PART 1, LINE 6 THE UNIVERSITY OF SOUTHERN CALIFORNIA HAS MANY VOLUNTEERS INCLUDING TRUSTEES, BUT DOES NOT FORMALLY TRACK THIS POPULATION. FORM 99, PART III, LINE 4D OTHER PROGRAM SERVICES SPONSORED RESEARCH: THE MAJOR RESEARCH IS IN MEDICINE, ENGINEERING AND THE SCIENCES. THE INSTITUTION HAS 475 CONTRACTS/GRANTS AWARDED BY THE FEDERAL GOVERNMENT AND 548 AWARDED IN BY PRIVATE CORPORATIONS, FOUNDATIONS, OTHER UNIVERSITIES, OR STATE AND LOCAL GOVERNMENTS FOR BASIC RESEARCH. FORM 99, PART VI, LINE 1 THE EECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES IS CHAIRED BY THE CHAIRMAN OF THE BOARD AND CONSISTS OF NO LESS THAN SEVEN AND NO MORE THAN FOURTEEN VOTING MEMBERS OF THE BOARD. THE COMMITTEE IS ELECTED EACH YEAR BY THE BOARD OF TRUSTEES. WHEN THE BOARD IS NOT IN SESSION, THE EECUTIVE COMMITTEE HAS ALL OF THE POWER AND AUTHORITY OF THE BOARD, ECEPT THAT THE EECUTIVE COMMITTEE IS NOT EMPOWERED TO: (I) FILL VACANCIES ON THE BOARD OR ON ANY COMMITTEE THAT HAS THE AUTHORITY OF THE BOARD; (II) FI THE COMPENSATION OF THE BOARD MEMBERS FOR THEIR SERVICE Schedule O (For 99 or 99-EZ) 211 1E J 7377

100 Schedule O (For 99 or 99-EZ) 211 Page 2 Nae of the organization Eployer identification nuber AS MEMBERS OF THE BOARD OR ANY COMMITTEE; (III) AMEND OR REPEAL THE UNIVERSITY'S BYLAWS OR ADOPT NEW BYLAWS; (IV) AMEND OR REPEAL ANY RESOLUTION OF THE BOARD WHICH BY ITS EPRESS TERMS CANNOT BE SO AMENDED OR REPEALED; (V) APPOINT COMMITTEES OF THE BOARD OR THE MEMBERS THEREOF; (VI) AUTHORIZE THE EPENDITURE OF CORPORATE FUNDS TO SUPPORT A NOMINEE FOR BOARD MEMBERSHIP AFTER THERE ARE MORE PEOPLE NOMINATED FOR BOARD MEMBERSHIP THAN CAN BE ELECTED; OR (VII) APPROVE ANY SELF-DEALING TRANSACTION ECEPT AS PROVIDED BY LAW. FORM 99, PART VI, LINE 2 OFFICERS, TRUSTEES AND KEY EMPLOYEES SIT ON THE BOARD OF THE FOLLOWING: MAY DEWRIGHT TRUST: ROBERT ABELES CARMEN A. PULIAFITO, MD EDWARD P. ROSKI, JR. USC TRUSTEE JOHN MORK AND USC TRUSTEE JERRY NEELY HAVE A BUSINESS RELATIONSHIP. USC TRUSTEE DAVID LEE AND USC TRUSTEE MONICA LOZANO HAVE A BUSINESS RELATIONSHIP. FORM 99, PART VI, LINE 4 THE UNIVERSITY'S BYLAWS WERE AMENDED TO ADD A SECTION DESCRIBING THE RESPONSIBILITIES OF THE UNIVERSITY'S CHIEF INVESTMENT OFFICER AND TO Schedule O (For 99 or 99-EZ) 211 1E J 7377

101 Schedule O (For 99 or 99-EZ) 211 Page 2 Nae of the organization Eployer identification nuber UPDATE THE SECTION DESCRIBING THE INVESTMENT COMMITTEE'S POWERS AND DUTIES. FORM 99, PART VI, LINE 11(B) THE UNIVERSITY OF SOUTHERN CALIFORNIA'S FORM 99 IS REVIEWED AT SEVERAL LEVELS. THE UNIVERSITY ENGAGES AN ETERNAL PUBLIC ACCOUNTING FIRM TO ASSIST IN THE PREPARATION AND REVIEW OF ITS FORM 99 AND WHO SIGNS AS PAID PREPARER. AMONG THOSE WHO CONDUCT THE REVIEW OF THE FINAL FORM 99 AT THE UNIVERSITY INCLUDE MANAGEMENT, ETERNAL COUNSEL AND THE AUDIT AND COMPLIANCE COMMITTEE OF THE BOARD OF TRUSTEES. THE REVIEW OF FORM 99 IS CONDUCTED PRIOR TO IT BEING FILED AND A FINAL COPY OF THE FORM 99 IS PROVIDED TO EACH MEMBER OF THE GOVERNING BOARD BEFORE IT IS FILED. FORM 99, PART VI, LINE 12 THE UNIVERSITY MAINTAINS A CONFLICT OF INTEREST AND ETHICS POLICY AND PROCEDURE WHICH COVERS ALL FACULTY MEMBERS (INCLUDING PART-TIME AND VISITING FACULTY), NON-FACULTY AND OTHER EMPLOYEES (SUCH AS POSTDOCTORAL SCHOLARS), AND STUDENTS (INCLUDING POSTDOCTORAL FELLOWS AND GRADUATE STUDENTS) EMPLOYED OR OTHERWISE ENGAGED BY THE UNIVERSITY. PURSUANT TO THE POLICY, CONFLICTS ARE MANAGED AFTER APPROPRIATE DISCLOSURE AND EVALUATION. IN ADDITION TO THE PROCEDURE SET FORTH IN THE UNIVERSITY'S CONFLICT OF INTEREST AND ETHICS POLICY AND PROCEDURE, PURCHASING SERVICES ALSO MAY IDENTIFY ACTUAL OR POTENTIAL CONFLICTS OF INTEREST OR COMMITMENT IN THE Schedule O (For 99 or 99-EZ) 211 1E J 7377

102 Schedule O (For 99 or 99-EZ) 211 Page 2 Nae of the organization Eployer identification nuber COURSE OF PERFORMING THEIR DUTIES. IN THE EVENT THAT PURCHASING SERVICES IDENTIFIES A SITUATION THAT IS OR APPEARS TO BE A CONFLICT OF INTEREST OR COMMITMENT, THEY ARE REQUIRED TO REQUEST THAT A DISCLOSURE BE MADE UNDER THIS POLICY AND WILL COORDINATE WITH THE RELEVANT DEPARTMENT, UNIT OR SCHOOL TO ADDRESS AND MANAGE THE CONFLICT. DEPENDING UPON THE POTENTIAL MAGNITUDE OF THE ISSUE, PURCHASING SERVICES ALSO MAY REFER THE ISSUE TO THE SENIOR VICE PRESIDENT FOR ADMINISTRATION OR HIS OR HER DESIGNEE, FOR RESOLUTION. PURCHASING SERVICES MAY SUSPEND ANY FURTHER ACTION ON THE REQUEST THAT INITIATED THE DISCLOSURE UNTIL SUCH TIME AS THE CONFLICT IS MANAGED. IN ADDITION TO THE PROCEDURES SET FORTH ABOVE, A UNIVERSITY FACULTY MEMBER OR NON-FACULTY EMPLOYEE IS REQUIRED TO OBTAIN THE PRIOR WRITTEN APPROVAL FROM THE PROVOST AND SENIOR VICE PRESIDENT FOR ACADEMIC AFFAIRS OR SENIOR VICE PRESIDENT FOR ADMINISTRATION BEFORE HE OR SHE MAY ENDORSE OR AUTHORIZE ENDORSEMENT OF ANY PRODUCT OR SERVICE ON BEHALF OF THE UNIVERSITY. ASSISTANCE IN MANAGING POTENTIAL CONFLICTS OF INTEREST FOR NON-FACULTY EMPLOYEES IS AVAILABLE FROM THE MANAGER OF PERSONNEL SERVICES, POLICIES AND PROCEDURES ON THE UNIVERSITY PARK CAMPUS; OR, FOR NON-FACULTY EMPLOYEES ON THE HEALTH SCIENCES CAMPUS, THE DIRECTOR OF PERSONNEL SERVICES. FOR FACULTY, ASSISTANCE IS AVAILABLE FROM THE VICE PROVOST FOR FACULTY AFFAIRS. THE OFFICE OF THE GENERAL COUNSEL OR THE OFFICE OF COMPLIANCE ALSO MAY BE CONSULTED FOR ASSISTANCE. Schedule O (For 99 or 99-EZ) 211 1E J 7377

103 Schedule O (For 99 or 99-EZ) 211 Page 2 Nae of the organization Eployer identification nuber FAILURE TO DISCLOSE AND MANAGE ACTUAL OR POTENTIAL CONFLICTS OF INTEREST UNDER THIS POLICY, INCLUDING THE EPECTATIONS DETAILED ABOVE ABOUT WHAT AN INDIVIDUAL SHOULD OR SHOULD NOT DO, MAY BE CAUSE FOR DISCIPLINARY ACTION, WHICH MAY RESULT IN TERMINATION. FOR FACULTY, SUCH ACTION SHALL OBSERVE ALL PROVISIONS OF THE POLICIES PUBLISHED IN THE FACULTY HANDBOOK. ANY DISCIPLINARY ACTION AGAINST A FACULTY MEMBER OR NON-FACULTY EMPLOYEE UNDER THIS POLICY MUST TAKE INTO ACCOUNT THE SCALE OF THE OFFENSE, THE INDIVIDUAL'S INTENT, AND THE DEGREE OF WRONGDOING. THE UNIVERSITY MAINTAINS A CONFLICT OF INTEREST POLICY FOR MEMBERS OF THE BOARD OF TRUSTEES. IN GENERAL, THE POLICY REQUIRES THAT A TRUSTEE MUST AVOID USING HIS OR HER POSITION FOR PERSONAL GAIN OR ADVANTAGE, OR TO OBTAIN A FAVORED STATUS FOR ANY SPECIAL GROUP, BUSINESS OR FAMILY ENTITY WITH WHICH THE TRUSTEE IS AFFILIATED. THE POLICY APPLIES TO ALL VOTING MEMBERS OF THE BOARD OF TRUSTEES. A TRUSTEE WILL CONTINUE TO BE SUBJECT TO THE POLICY FOR FIVE YEARS AFTER LEAVING THE BOARD. IF A TRUSTEE BECOMES AWARE OF A FINANCIAL INTEREST THAT MAY BE MATERIAL, HE OR SHE IS REQUIRED TO IMMEDIATELY DISCLOSE THAT FINANCIAL INTEREST TO THE CHAIRMAN OF THE BOARD. SUCH DISCLOSURE IS IN ADDITION TO THE REQUIRED ANNUAL DISCLOSURES. - AFTER CONDUCTING A REASONABLE INVESTIGATION UNDER THE CIRCUMSTANCES, WHICH SHOULD INCLUDE AN ANALYSIS OF COMPARABLE ARRANGEMENTS OR Schedule O (For 99 or 99-EZ) 211 1E J 7377

104 Schedule O (For 99 or 99-EZ) 211 Page 2 Nae of the organization Eployer identification nuber TRANSACTIONS OR THE RECEIPT OF AN OPINION FROM AN EPERT IN THE RELEVANT FIELD, THE BOARD SHOULD DETERMINE IN GOOD FAITH WHETHER USC COULD OBTAIN A MORE ADVANTAGEOUS FINANCIAL ARRANGEMENT OR TRANSACTION WITH REASONABLE EFFORTS FROM A PERSON OR ENTITY THAT WOULD NOT GIVE RISE TO A CONFLICT OF INTEREST. - IN ADDITION, THE BOARD SHOULD DETERMINE BY A MAJORITY VOTE OF THE DISINTERESTED MEMBERS, WITH KNOWLEDGE OF THE MATERIAL FACTS CONCERNING THE FINANCIAL ARRANGEMENT OR TRANSACTION AND THE TRUSTEE'S FINANCIAL INTEREST IN THE ARRANGEMENT OR TRANSACTION, WHETHER THE ARRANGEMENT OR TRANSACTION IS IN USC'S BEST INTEREST, FOR ITS OWN BENEFIT AND IS FAIR AND REASONABLE TO USC. THE BOARD SHOULD MAKE ITS DECISION AS TO WHETHER TO ENTER INTO THE ARRANGEMENT OR TRANSACTION IN CONFORMITY WITH SUCH DETERMINATION. - SHOULD THE BOARD APPROVE THE FINANCIAL ARRANGEMENT OR TRANSACTION IN QUESTION, THE TRUSTEE WHO HAS A CONFLICT OF INTEREST WILL BE REQUIRED TO ACT IN GOOD FAITH AND WITH FAIRNESS, AND TO REFRAIN FROM EERTING UNDUE PRESSURE OR INFLUENCE. IN THE BOARD'S DISCRETION, IT MAY ALSO REQUIRE SUCH TRUSTEE TO BE SUBJECT TO THE OVERSIGHT OF A DISINTERESTED TRUSTEE. THIS POLICY HAS BEEN APPROVED BY THE BOARD. FORM 99, PART VI, LINE 15 THE COMPENSATION OF THE UNIVERSITY'S PRESIDENT, OFFICERS AND KEY EMPLOYEES IS DETERMINED ANNUALLY USING THE SAFE HARBOR PROCESS DESCRIBED Schedule O (For 99 or 99-EZ) 211 1E J 7377

105 Schedule O (For 99 or 99-EZ) 211 Page 2 Nae of the organization Eployer identification nuber IN TREASURY REGULATION SECTION NAMELY, A COMMITTEE OF THE UNIVERSITY'S BOARD OF TRUSTEES TAKES THE FOLLOWING THREE STEPS: (1) IT ENSURES THAT NO MEMBER OF THE COMMITTEE HAS A CONFLICT OF INTEREST WITH RESPECT TO THE COMPENSATION ARRANGEMENT BEING REVIEWED, (2) IT LOOKS TO COMPARABILITY DATA AND SPECIALIZED COMPENSATION REPORTS (AND IN SOME CASES OPINIONS) PREPARED FOR THE UNIVERSITY BY COMPENSATION CONSULTANTS WITH RESPECT TO SIMILARLY QUALIFIED INDIVIDUALS IN COMPARABLE POSITIONS AT SIMILARLY SITUATED UNIVERSITIES, AND (3) IT MAINTAINS A CONTEMPORANEOUS RECORD OF ITS DELIBERATIONS AND DECISIONS. FORM 99, PART VI, LINE 19 THE UNIVERSITY MAKES ITS BYLAWS, FINANCIAL STATEMENTS/ANNUAL REPORT, CONFLICT OF INTEREST AND ETHICS, AND CONFLICT OF INTEREST IN RESEARCH POLICIES AVAILABLE TO THE GENERAL PUBLIC ON THE ORGANIZATION'S WEBSITE. FORM 99, PART I, LINE 5 OTHER CHANGES IN NET ASSETS UNREALIZED LOSSES ON INVESTMENTS ($16,546,899) PRESENT VALUE ADJUSTMENT TO TRUST LIABILITY ($2,544,118) ($163,91,17) Schedule O (For 99 or 99-EZ) 211 1E J 7377

106 Schedule O (For 99 or 99-EZ) 211 Page 2 Nae of the organization Eployer identification nuber SCHEDULE K, PART II, LINE 3 THE AMOUNTS OF TOTAL PROCEEDS OF ISSUE ON LINE 3 INCLUDE INVESTMENT EARNINGS. SCHEDULE K, PART II, LINE 7 THE ISSUANCE COSTS FOR CEFA SERIES 23A AND 23C, AND CEFA SERIES 23B WERE PAID OUT OF UNIVERSITY FUNDS. SCHEDULE K, PART V THE UNIVERSITY HAD PROCEDURES TO ENSURE VIOLATIONS OF FEDERAL TA REQUIREMENTS WERE TIMELY IDENTIFIED AND CORRECTED THROUGH THE VOLUNTARY CLOSING AGREEMENT PROGRAM DURING FY 12. THESE PROCEDURES WERE FORMALLY INCORPORATED INTO THE UNIVERSITY'S WRITTEN BOND POLICIES AND PROCEDURES EFFECTIVE AUGUST 15, 212. Schedule O (For 99 or 99-EZ) 211 1E J 7377

107 Schedule O (For 99 or 99-EZ) 211 Page 2 Nae of the organization Eployer identification nuber ATTACHMENT 1 FORM 99, PART V, LINE 4B - FOREIGN COUNTRIES SPAIN FRANCE UNITED KINGDOM CHINA KOREA, REPUBLIC OF (SOUTH) MEICO TAIWAN 99, PART VII- COMPENSATION OF THE FIVE HIGHEST PAID IND. CONTRACTORS ATTACHMENT 2 NAME AND ADDRESS DESCRIPTION OF SERVICES COMPENSATION 2TOR, INC. CONSULTING 29,49, S. OLIVE STREET, SUITE 25 LOS ANGELES, CA 915 USC CARE MEDICAL GROUP PATIENT CARE 23,4, SAN PABLO STREET LOS ANGELES, CA TUTOR-SALIBA CORPORATION CONSTRUCTION SVCS 17,867, OLDEN STREET SYLMAR, CA HATHAWAY DINWIDDIE CONSTRUCTION CO CONSTRUCTION SVCS 12,498, BATTERY STREET, STE 3 SAN FRANCISCO, CA ARAMARK CORPORATION MAINTENANCE SERVICES 12,332,. 111 MARKET STREET PHILADELPHIA, PA 1917 TOTAL COMPENSATION 95,58,346. Schedule O (For 99 or 99-EZ) 211 1E J 7377

108 SCHEDULE R (For 99) Departent of the Treasury Internal Revenue Service Nae of the organization Part I Related Organizations and Unrelated Partnerships ICoplete if the organization answered "Yes" to For 99, Part IV, line 33, 34, 35, 36, or 37. Attach to For 99. See separate instructions. I Identification of Disregarded Entities (Coplete if the organization answered "Yes" to For 99, Part IV, line 33.) (a) Nae, address, and EIN of disregarded entity I (b) Priary activity (c) Legal doicile (state or foreign country) (d) Total incoe OMB No À¾µµ Open to Public Inspection Eployer identification nuber (e) End-of-year assets (1) USC GATEWAY, LLC UNIVERSITY GARDENS - UGB23 LOS ANGELES, CA 989 PROPERTY MGMT CA N/A (2) (f) Direct controlling entity (3) (4) (5) (6) Part II Identification of Related Tax-Exept Organizations (Coplete if the organization answered "Yes" to For 99, Part IV, line 34 because it had one or ore related tax-exept organizations during the tax year.) (a) Nae, address, and EIN of related organization (b) Priary activity (c) Legal doicile (state or foreign country) (d) Exept Code section (e) Public charity status (if section 51(c)(3)) (f) Direct controlling entity (g) Section 512(b)(13) controlled entity? Yes No (1) AE MANN INSTIT. FOR BIOMEDICAL ENGINEER C/O USC UGB23 LOS ANGELES, CA 989 BIOMEDICAL DE 51(C)(3) 11A N/A (2) ICT PRODUCTIONS, INC C/O USC UGB23 LOS ANGELES, CA 989 EDUC. MEDIA CA 51(C)(3) 11A USC (3) LORD FOUNDATION OF CALIFORNIA C/O USC UGB LOS ANGELES, CA 989 USC SUPPORT CA 51(C)(3) 11A USC (4) DAVID. MARKS FOUNDATION C/O USC UGB LOS ANGELES, CA 989 USC SUPPORT CA 51(C)(3) 11A USC (5) USC CARE MEDICAL GROUP, INC. 151 SAN PABLO ST., SUITE LOS ANGELES, CA 933 MANAGED CARE CA 51(C)(3) 9 USC (6) INITIATIVE & REFERENDUM INSTITUTE C/O USC LOS ANGELES, CA 989 EDUCATION NE 51(C)(3) 7 USC (7) HEALTH RESEARCH ASSOCIATION, INC MARENGO STREET, 7TH FL LOS ANGELES, CA 989 MED. RESEARCH CA 51(C)(3) 4 USC For Paperwork Reduction Act Notice, see the Instructions for For 99. Schedule R (For 99) 211 1E J 7377

109 SCHEDULE R (For 99) Departent of the Treasury Internal Revenue Service Nae of the organization Part I Related Organizations and Unrelated Partnerships ICoplete if the organization answered "Yes" to For 99, Part IV, line 33, 34, 35, 36, or 37. Attach to For 99. See separate instructions. I Identification of Disregarded Entities (Coplete if the organization answered "Yes" to For 99, Part IV, line 33.) I OMB No À¾µµ Open to Public Inspection Eployer identification nuber (1) (a) Nae, address, and EIN of disregarded entity (b) Priary activity (c) Legal doicile (state or foreign country) (d) Total incoe (e) End-of-year assets (f) Direct controlling entity (2) (3) (4) (5) (6) Part II Identification of Related Tax-Exept Organizations (Coplete if the organization answered "Yes" to For 99, Part IV, line 34 because it had one or ore related tax-exept organizations during the tax year.) (a) Nae, address, and EIN of related organization (b) Priary activity (c) Legal doicile (state or foreign country) (d) Exept Code section (e) Public charity status (if section 51(c)(3)) (f) Direct controlling entity (g) Section 512(b)(13) controlled entity? Yes No (1) SURVIVORS OF SHOAH VISUAL HISTORY FDN C/O USC, 65 W. 35TH ST. LOS ANGELES, CA 989 EDUC. MEDIA CA 51(C)(3) 7 USC (2) MANN DIVERSIFIED CHARITABLE FUND, INC S. GRAND AVE, SUITE 171 LOS ANGELES, CA 971 USC SUPPORT DE 51(C)(3) 11A N/A (3) PACIFIC-12 CONFERENCE 135 TREAT BOULEVARD WALNUT CREEK, CA USC SUPPORT CA 51(C)(3) 11A N/A (4) CLASSICAL PUBLIC RADIO NETWORK, LLC 749 SOUTH ALTON COURT CENTENNIAL, CO 8112 EDUC. MEDIA CO 51(C)(3) 11A N/A (5) THE ASC TRUST AT USC C/O R. FO, 15 MARKET STREET PHILADELPHIA, PA 1912 USC SUPPORT PA 51(C)(3) 11D N/A (6) INTEGRATED FACULTY PRACTICE PLANS, INC UGB 25 LOS ANGELES, CA 989 FPP CA 51(C)(3) 9 N/A (7) For Paperwork Reduction Act Notice, see the Instructions for For 99. Schedule R (For 99) 211 1E J 7377

110 Schedule R (For 99) 211 Page 2 Part III (1) Identification of Related Organizations Taxable as a Partnership (Coplete if the organization answered "Yes" to For 99, Part IV, line 34 because it had one or ore related organizations treated as a partnership during the tax year.) (a) Nae, address, and EIN of related organization (b) Priary activity (c) Legal doicile (state or foreign country) (d) Direct controlling entity (e) Predoinant incoe (related, unrelated, excluded fro tax under sections ) (f) Share of total incoe (g) Share of end-of-year assets (h) Disproportionate allocations? (i) Code V-UBI aount in box 2 of Schedule K-1 (For 165) (j) General or anaging partner? Yes No Yes No (k) Percentage ownership (2) (3) (4) (5) (6) (7) Part IV Identification of Related Organizations Taxable as a Corporation or Trust (Coplete if the organization answered "Yes" to For 99, Part IV, line 34 because it had one or ore related organizations treated as a corporation or trust during the tax year.) (a) Nae, address, and EIN of related organization (b) Priary activity (c) Legal doicile (state or foreign country) (d) Direct controlling entity (e) Type of entity (C corp, S corp, or trust) (f) Share of total incoe (g) Share of end-of-year assets (h) Percentage ownership (1) (2) (3) (4) (5) MAY ROBERTS DEWRIGHT TRUST UNIVERSITY GARDENS - UGB23 LOS ANGELES, CA USC SUPPORT CA N/A T 798,43. 8,169, INTEGRATED DIGITAL ASSET CORPORATION UNIVERSITY GARDENS - UGB23 LOS ANGELES, CA RD PARTY CON CA N/A C CHARITABLE REMAINDER TRUST (271) SEE PART VII FOR COLUMN (C) FUNDRAISING N/A T POOLED INCOME FUND (2) FUNDRAISING CA N/A T (6) (7) 1E J 7377 Schedule R (For 99) 211

111 Schedule R (For 99) 211 Page 3 Part V Transactions With Related Organizations (Coplete if the organization answered "Yes" to For 99, Part IV, line 34, 35, 35a, or 36.) Note. Coplete line 1 if any entity is listed in Parts II, III, or IV of this schedule. 1 During the tax year, did the organization engage in any of the following transactions with one or ore related organizations listed in Parts II IV? a Receipt of (i) interest (ii) annuities (iii) royalties or (iv) rent fro a controlled entity b Gift, grant, or capital contribution to related organization(s) c Gift, grant, or capital contribution fro related organization(s) d Loans or loan guarantees to or for related organization(s) e Loans or loan guarantees by related organization(s) f g h i j k l n o p Sale of assets to related organization(s) Purchase of assets fro related organization(s) Exchange of assets with related organization(s) Lease of facilities, equipent, or other assets to related organization(s) Lease of facilities, equipent, or other assets fro related organization(s) Perforance of services or ebership or fundraising solicitations for related organization(s) Perforance of services or ebership or fundraising solicitations by related organization(s) Sharing of facilities, equipent, ailing lists, or other assets with related organization(s) Sharing of paid eployees with related organization(s) Reiburseent paid to related organization(s) for expenses Reiburseent paid by related organization(s) for expenses q r Other transfer of cash or property to related organization(s) Other transfer of cash or property fro related organization(s) 1q 1r 2 If the answer to any of the above is "Yes," see the instructions for inforation on who ust coplete this line, including covered relationships and transaction thresholds. (a) Nae of other organization (b) Transaction type (a r) (c) Aount involved 1a 1b 1c 1d 1e 1f 1g 1h 1i 1j 1k 1l 1 1n 1o 1 p Yes (d) Method of deterining aount involved No (1) (2) (3) (4) (5) (6) ICT PRODUCTIONS Q 628,318. FMV LORD FOUNDATION R 1,42,294. FMV LORD FOUNDATION C 1,65,. FMV USC CARE MEDICAL GROUP P 192,917,592. FMV MAY DEWRIGHT TRUST R 678,119. FMV MAY DEWRIGHT TRUST C 77,45. FMV Schedule R (For 99) 211 1E J 7377

112 Schedule R (For 99) 211 Page 3 Part V Transactions With Related Organizations (Coplete if the organization answered "Yes" to For 99, Part IV, line 34, 35, 35a, or 36.) Note. Coplete line 1 if any entity is listed in Parts II, III, or IV of this schedule. 1 During the tax year, did the organization engage in any of the following transactions with one or ore related organizations listed in Parts II IV? a Receipt of (i) interest (ii) annuities (iii) royalties or (iv) rent fro a controlled entity b Gift, grant, or capital contribution to related organization(s) c Gift, grant, or capital contribution fro related organization(s) d Loans or loan guarantees to or for related organization(s) e Loans or loan guarantees by related organization(s) f g h i j k l n o p Sale of assets to related organization(s) Purchase of assets fro related organization(s) Exchange of assets with related organization(s) Lease of facilities, equipent, or other assets to related organization(s) Lease of facilities, equipent, or other assets fro related organization(s) Perforance of services or ebership or fundraising solicitations for related organization(s) Perforance of services or ebership or fundraising solicitations by related organization(s) Sharing of facilities, equipent, ailing lists, or other assets with related organization(s) Sharing of paid eployees with related organization(s) Reiburseent paid to related organization(s) for expenses Reiburseent paid by related organization(s) for expenses q r Other transfer of cash or property to related organization(s) Other transfer of cash or property fro related organization(s) 1q 1r 2 If the answer to any of the above is "Yes," see the instructions for inforation on who ust coplete this line, including covered relationships and transaction thresholds. (a) Nae of other organization (b) Transaction type (a r) (c) Aount involved 1a 1b 1c 1d 1e 1f 1g 1h 1i 1j 1k 1l 1 1n 1o 1 p Yes (d) Method of deterining aount involved No (1) (2) (3) (4) (5) (6) HEALTH RESEARCH ASSOCIATION A 143,49. FMV HEALTH RESEARCH ASSOCIATION E 2,266,935. FMV HEALTH RESEARCH ASSOCIATION J 952,654. FMV HEALTH RESEARCH ASSOCIATION P 2,99,477. FMV HEALTH RESEARCH ASSOCIATION Q 793,642. FMV DAVID. MARKS FOUNDATION C 1,15,. FMV Schedule R (For 99) 211 1E J 7377

113 Schedule R (For 99) 211 Page 3 Part V Transactions With Related Organizations (Coplete if the organization answered "Yes" to For 99, Part IV, line 34, 35, 35a, or 36.) Note. Coplete line 1 if any entity is listed in Parts II, III, or IV of this schedule. 1 During the tax year, did the organization engage in any of the following transactions with one or ore related organizations listed in Parts II IV? a Receipt of (i) interest (ii) annuities (iii) royalties or (iv) rent fro a controlled entity b Gift, grant, or capital contribution to related organization(s) c Gift, grant, or capital contribution fro related organization(s) d Loans or loan guarantees to or for related organization(s) e Loans or loan guarantees by related organization(s) f g h i j k l n o p Sale of assets to related organization(s) Purchase of assets fro related organization(s) Exchange of assets with related organization(s) Lease of facilities, equipent, or other assets to related organization(s) Lease of facilities, equipent, or other assets fro related organization(s) Perforance of services or ebership or fundraising solicitations for related organization(s) Perforance of services or ebership or fundraising solicitations by related organization(s) Sharing of facilities, equipent, ailing lists, or other assets with related organization(s) Sharing of paid eployees with related organization(s) Reiburseent paid to related organization(s) for expenses Reiburseent paid by related organization(s) for expenses q r Other transfer of cash or property to related organization(s) Other transfer of cash or property fro related organization(s) 1q 1r 2 If the answer to any of the above is "Yes," see the instructions for inforation on who ust coplete this line, including covered relationships and transaction thresholds. (a) Nae of other organization (b) Transaction type (a r) (c) Aount involved 1a 1b 1c 1d 1e 1f 1g 1h 1i 1j 1k 1l 1 1n 1o 1 p Yes (d) Method of deterining aount involved No (1) USC GATEWAY A 121,242. FMV (2) (3) (4) (5) (6) Schedule R (For 99) 211 1E J 7377

114 Schedule R (For 99) 211 Page 4 Part VI Unrelated Organizations Taxable as a Partnership (Coplete if the organization answered "Yes" on For 99, Part IV, line 37.) Provide the following inforation for each entity taxed as a partnership through which the organization conducted ore than five percent of its activities (easured by total assets or gross revenue) that was not a related organization. See instructions regarding exclusion for certain investent partnerships. (1) (a) Nae, address, and EIN of entity (b) Priary activity (c) Legal doicile (state or foreign country) (d) (e) (f) (g) (h) (i) (j) Predoinant Are all partners Share of Share of Disproportionate Code V-UBI General or incoe (related, section total incoe end-of-year allocations? aount in box 2 anaging 51(c)(3) unrelated, excluded assets of Schedule K-1 partner? organizations? fro tax under (For 165) section ) Yes No Yes No Yes No (k) Percentage ownership (2) (3) (4) (5) (6) (7) (8) (9) (1) (11) (12) (13) (14) (15) (16) Schedule R (For 99) 211 1E J 7377

115 Schedule R (For 99) 211 Page 5 Part VII Suppleental Inforation Coplete this part to provide additional inforation for responses to questions on Schedule R (see instructions). PART IV, LINE 4, COLUMN (C) THE LEGAL DOMICILES OF THE CHARITABLE REMAINDER TRUSTS INCLUDE: CA, CO, FL, HI, IL, IN, NV, NY, NC. 1E J 7377 Schedule R (For 99) 211

116 FY 212 Consolidated Financial Stateents Report on Audited Consolidated Financial Stateents For the Year Ended June 3, 212

117 REPORT OF INDEPENDENT AUDITORS The Board of Trustees of the University of Southern California In our opinion, the accopanying consolidated balance sheet and the related consolidated stateents of activities, and cash flows present fairly, in all aterial respects, the consolidated financial position of the University of Southern California and its subsidiaries (the university ) at June 3, 212, and the changes in their consolidated net assets and their cash flows for the year then ended in confority with accounting principles generally accepted in the United States of Aerica. These financial stateents are the responsibility of the university s anageent. Our responsibility is to express an opinion on these financial stateents based on our audit. The prior year suarized coparative inforation has been derived fro the university s 211 financial stateents, and in our report dated October 19, 211, we expressed an unqualified opinion on those financial stateents. We conducted our audit of these stateents in accordance with auditing standards generally accepted in the United States of Aerica. Those standards require that we plan and perfor the audit to obtain reasonable assurance about whether the financial stateents are free of aterial isstateent. An audit includes exaining, on a test basis, evidence supporting the aounts and disclosures in the financial stateents, assessing the accounting principles used and significant estiates ade by anageent, and evaluating the overall financial stateent presentation. We believe that our audit provides a reasonable basis for our opinion. October 11, 212 PricewaterhouseCoopers LLP, 35 South Grand Avenue, Los Angeles, CA 971 T: (213) 356 6, F: (813) ,