9,891,518 2 Net accounts receivable... 14,979,535 3 Net notes receivable. 14,298,321 1,844, ,509,113 8 Mortgage loans

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2 /24/2015 9:41 AM CAL POLY POMONA FOUNDATION, INC Part II Organizations with gross receipts of more than $50,000 and private foundations regardless of amount of gross receipts complete Part II or furnish substitute information. 1 Gross sales or receipts from all business activities. See instructions. 1 47,359, Interest Receipts 3 Dividends ,288, from 4 Gross rents ,653, Other 5 Gross royalties Sources 6 Gross amount received from sale of assets (See Instructions). See Statement ,705, Other income. Attach schedule... See Statement , Total gross sales or receipts from other sources. Add line 1 through line 7. Enter here and on Side 1, Part I, line ,255, Contributions, gifts, grants, and similar amounts paid. Attach schedule.... See Statement ,314, Disbursements to or for members Compensation of officers, directors, and trustees. Attach schedule See Statement , Other salaries and wages ,417, Expenses 13 Interest ,342, and 14 Taxes Disburse- 15 Rents 15 1,159, ments 16 Depreciation and depletion (See instructions) ,919, Other Expenses and Disbursements. Attach schedule See Statement ,791, Total expenses and disbursements. Add line 9 through line 17. Enter here and on Side 1, Part I, line ,370, Schedule L Balance Sheets Beginning of taxable year End of taxable year Assets (a) (b) (c) (d) 1 Cash. 6,315,352 9,891,518 2 Net accounts receivable... 14,298,321 14,979,535 3 Net notes receivable Inventories ,844,311 1,992,747 5 Federal and state government obligations ,870,749 2,053,228 6 Investments in other bonds Investments in stock ,955,563 96,509,113 8 Mortgage loans.... Other investments. 9 Attach schedule ,122,598 28,931, a Depreciable assets 90,433,169 91,317,220 b Less accumulated depreciation ( ) ( ) ,857,511 48,575,658 45,598,962 45,718,258 6,471,542 7,294, ,855,236 1,516, Land.. 12 Other assets. Attach schedule Total assets..... Liabilities and net worth 184,309,330 5,154,186 3,384, Accounts payable Contributions, gifts, or grants payable Bonds and notes payable ,929, Mortgages payable Other liabilities Attach schedule ,799, Capital stock or principle fund Paid-in or capital surplus. Attach reconciliation Retained earnings or income fund ,042, Total liabilities and net worth ,309,330 Schedule M-1 Reconciliation of income per books with income per return Do not complete this schedule if the amount on Schedule L, line 13, column (d), is less than $50, Net income per books.. 25,626,270 7 Income recorded on books this year 2 Federal income tax.... not included in this return. Attach 3 Excess of capital losses over capital gains schedule Income not recorded on books this year. 8 Deductions in this return not charged Attach schedule against book income this year. Attach 5 Expenses recorded on books this year not deducted schedule in this return. Attach schedule ,304,055 9 Total. Add line 7 and line Total. Add line 1 through line ,930, Net income per return. Subtract line 9 from line ,886,622 3,886,437 3,861,186 28,721,713 2,748, ,668, ,886,622 See 13 24,019,621 24,019,621 17,910,704 Side 2 Form 199 C

3 Statement 1 - Form 199, Part II, Line 6 - Gross Received from Sale of Assets $ $ $ How Whom Date Date Gross Cost & Net Received Sold To Acquired Sold Proceeds Expense Depr Basis DONATED SECURITIES Donation 7/01/13 6/30/14 $1,735,336 $1,736,929 $ $1,736,929 INVESTMENT SECURITIES Purchase 7/01/13 6/30/ Donation 4/02/13 8/23/13 165, , ,000 Purchase 4/30/10 9/06/13 285, , ,926 Purchase 9/05/12 9/06/13 265, , ,500 Purchase 4/30/11 11/18/13 268, , ,090 Purchase 6/24/11 2/28/14 265, , ,370 Purchase 4/04/13 3/05/14 270, , ,000 Total 0 $

4 Statement 2 - Form 199, Part II, Line 7 - Other Income TASTING AND AUCTION $ 56,544 HOSPITALITY UNCORKED 175,905 RAFFLES 14,839 Total $ 247,288 2

5 Statement 3 - Form 199, Part II, Line 9 - Contributions, Gifts, Grants, and Similar s PSA Class Name Address City State Zip Noncash FMV Book Value Book Value Relationship Status Purpose Explanation Explanation Date EQUIPMENT CAL POLY POMONA UNIVERSITY 3801 W. TEMPLE AVE. POMONA CA SUPPORT UNIVERSITY 2,538,970 COST METHOD COST METHOD STIPENDS 104,059 Subtotal $ 2,643,029 1 GRANTS/CONTRACTS 1,899,859 2 SCHOLARSHIPS 2 STIPENDS 1,473, ,041 2 Subtotal $ 1,771,923 Total $ 6,314,811 Statement 4 - Form 199, Part II, Line 11 - Officer Compensation Name Address Avg Compensation City State Zip Title Hrs RACHEL DOMINGUEZ DESIGNATED DEVON GRAVES STUDENT CYNTHIA WILLIAMS STAFF SEPEHR ESKANDARI FACULTY DAVID PRENOVOST DIRECTOR DIRECTOR 0.05 CHIEF FIN OFFICER ,

6 Statement 4 - Form 199, Part II, Line 11 - Officer Compensation (continued) Name Address Avg Compensation City State Zip Title Hrs DOUGLAS FREER DESIGNATED RICHARD LAPIDUS DEAN G. PAUL STOREY J. MICHAEL ORTIZ EXEC LOWELL OVERTON COMMUNITY WINNY DONG FACULTY MARTIN DENBOER DESIGNATED DAVID SPEAK DESIGNATED MEI LEIN CHANG OLIVER SANTOS COMMUNITY SUSIE DIAZ STAFF CHRISTINE HALL DESIGNATED JOHN MCGUTHRY DESIGNATED JOHNDANIEL MORALES STUDENT WILLIAM PRIEST COMMUNITY MEMBER 0.50 DIRECTOR ,869 CHAIRMAN 0.50 MEMBER AT LARGE 0.50 THOMAS GOFF MEMBER AT LARGE 0.50 MICKEY SEGAL MEMBER AT LARGE

7 Statement 4 - Form 199, Part II, Line 11 - Officer Compensation (continued) Name KATHY TULLY Address Avg Compensation City State Zip Title Hrs MEMBER AT LARGE 0.50 JACK KULP MEMBER AT LARGE 0.50 STEVEN GARCIA DESIGNATED MICHELLE STODDARD DESIGNATED Total 424,404 4

8 Statement 5 - Form 199, Part II, Line 17 - Other Expenses $ TASTING AND AUCTION RENTAL EXPENSES 42,060 VARIOUS 58,404 CATERING 6,261 ENTERTAINMENT 1,200 RENTAL EXPENSES HOSPITALITY UNCORKED VARIOUS 206,337 CATERING 88,475 RAFFLES VARIOUS EXPENSES 570 BUILDINGS Insurance 33,452 Advertising 3,447 Supplies 21,345 Travel 1,039 Repairs 101,819 Utilities 287,151 BANK FEE 31,876 SALARY & WAGES 120,817 EMPLOYEE BENEFITS 44,016 RENT 12,758 TELEPHONE 9,490 SERVICES 229,031 MEALS REFRESHMENT 26 OTHER 74,635 DEPRECIATION 947,512 CLOSING FEES 15,160 OTHER EMPLOYEE BENEFITS 1,976,003 OTHER EMPLOYEE BENEFITS 577,235 OTHER EMPLOYEE BENEFITS 114,680 OTHER EMPLOYEE BENEFITS 431,080 PAYROLL TAXES 461,667 PAYROLL TAXES 294,899 PAYROLL TAXES 57,123 PAYROLL TAXES 246,081 ACCOUNTING 167,713 LEGAL 115,510 LEGAL 3,264 Consulting and Other Service 1,502,661 CONSULTING AND OTHER SERVICES 710,353 CONSULTING AND OTHER SERVICES 1,423,502 CONSULTING AND OTHER SERVICES 273,529 INVESTMENT MANAGEMENT 165,092 INVESTMENT MANAGEMENT 62,444 TRAVEL 281,984 TRAVEL 335,936 TRAVEL 397,494 TRAVEL 24,308 Conferences/Meetings 85,686 5

9 Statement 5 - Form 199, Part II, Line 17 - Other Expenses (continued) Conferences/Meetings $ 140,999 Conferences/Meetings 4,648 Repairs and Maintenance 743,746 Repairs and Maintenance 75,177 Repairs and Maintenance 188,300 Utilities 904,951 Utilities 12,734 Utilities 349,761 Feed 64,987 Feed 164,764 Agriculture 308,081 Agriculture 13,567 Miscellaneous 355,691 Miscellaneous 552,055 Miscellaneous 284,169 Miscellaneous 396,948 Meals & Entertainment 10,108 Meals & Entertainment 380,893 Meals & Entertainment 816,997 Meals & Entertainment 159,915 Laundry 9,370 Laundry 124,495 Laundry 86,197 Equipment Purchase 28,772 Equipment Purchase 58,237 Equipment Purchase 105,740 Equipment Purchase 60,468 Bad Debts 40,987 Bad Debts 5,950 Taxes 42,912 Taxes 1,057 Indirect Costs Returned 227,844 RE Closing Costs 15,331 PENSION PLAN CONTRIBUTIONS 400,825 PENSION PLAN CONTRIBUTIONS 262,732 PENSION PLAN CONTRIBUTIONS 50,892 PENSION PLAN CONTRIBUTIONS 219,239 ADVERTISING AND PROMOTION 265,654 ADVERTISING AND PROMOTION 120,624 ADVERTISING AND PROMOTION 25,680 OFFICE 2,065,885 OFFICE 888,782 OFFICE 945,881 OFFICE 861,870 INFORMATION TECHNOLOGY 216,316 INFORMATION TECHNOLOGY 10,509 INFORMATION TECHNOLOGY 33,965 ROYALTIES 403,490 ROYALTIES 31,323 Insurance 182,688 Insurance 1,644 Insurance 17,316 Insurance 2,765 ACCOUNTING 2,253 5

10 Statement 5 - Form 199, Part II, Line 17 - Other Expenses (continued) Total $25,791,309 Statement 6 - Form 199, Schedule L, Line 5 - Federal and State Government of Year Year TREASURY NOTES $ 1,570,660 $ 1,313,051 AGENCY SECURITIES 1,300, ,177 Total $ 2,870,749 $ 2,053,228 Statement 7 - Form 199, Schedule L, Line 7 - Investments in Stock of Year Year EQUITY SECURITIES $75,955,563 $96,509,113 Total $75,955,563 $96,509,113 Statement 8 - Form 199, Schedule L, Line 9 - Other Investments of Year Year MUTUAL FUNDS-FIXED INCOME SECURITIES $26,122,598 $28,931,454 Total $26,122,598 $28,931,454 Statement 9 - Form 199, Schedule L, Line 12 - Other Assets of Year Year ASSETS HELD FOR SALE $ 712,500 $ 0 REFUNDING OF 2013A BOND 485,563 Prepaid Expenses 208, ,339 INTEREST CAPITALIZED 884, ,753 COST OF ISSUANCE 49,411 31,871 Total $ 1,855,236 $ 1,516,

11 Statement 10 - Form 199, Schedule L, Line 16 - Bonds and Notes Payable of Year Year CAL POLY POMONA FOUNDATION $ 3,127,719 $ 2,928,803 CAL POLY POMONA FOUNDATION 25,801,499 11,467,950 CAL POLY POMONA FOUNDAITON 14,324,960 Total $28,929,218 $28,721,713 Statement 11 - Form 199, Schedule L, Line 18 - Other Liabilities of Year Year DEPOSITS HELD IN CUSTODY FOR OTHERS $ 570,139 $ 654,002 LEASE OBLIGATIONS 18,431 11,913 UNITRUST LIABILITY 1,001, ,284 Deferred Revenue 1,209,234 1,204,437 Total $ 2,799,230 $ 2,748,636 Statement 12 - Form 199, Schedule M-1, Line 5 - Expenses Recorded on Books RENTAL EXPENSES $ 2,101,944 FUNDRAISING EXPENSES 402,737 GAMING EXPENSES 570 COST OF GOODS SOLD 13,798,804 Total $16,304,055 Statement 13 - Form 199, Schedule M-1, Line 7 - Income Recorded on Books RENTAL EXPENSES $ 2,101,944 FUNDRAISING EXPENSES 402,737 GAMING EXPENSES 570 COST OF GOODS SOLD 13,798,804 Net unrealized gains 7,715,566 Total $24,019,