Financial Records

Requester: 
Bauman, Dan
Organization: 
Chronicle of Higher Education
Initial Request Date: 
01/23/2019
Status: 
Records Provided
Request Completion Date: 
02/28/2019

Pursuant to the state open records act, I request compensation data on the earnings of your chief executives between 2012 to 2017. Those will be expanded on in greater detail in Requests 1 and 2. For both requests, I request the actual compensation earned from 1) your institution 2) and from an organization closely affiliated with your educational institution, such as a foundation like the U. of Louisville Foundation or the U. of Louisville Research Foundation. When possible, the data provided for each individual should mirror that of compensation data reported on W-2s, 1099s, and/or within Form 990s for said individual.  1. The actual compensation(*) earned by or set aside for the chief executive(s) (interim, acting, permanent or otherwise) of your institution in calendar years 2012, 2013, 2014, 2015, 2016, and 2017, respectively.  AND: For other persons who served as interim, acting or permanent (or other) CEOs that were not included in the list preceding this sentence, I request you provide me their name(s) and compensation data. (*) In regards to compensation for these various chief executives, I request data for different categories of compensation earned or set aside. I request compensation values relative to these categories, across the six years requested above: A. Provide the values of actual base compensation earned in calendar years ‘12, ‘13, ‘14, ‘15, ‘16, ‘17, respectively. B. Provide the values of actual bonus compensation earned in …  C. Provide the values of actual deferred compensation, finally payable to a chief executive per a deferred compensation arrangement completed between 2012 to 2017, that was earned in … D. Provide the values of actual severance, contractually obligated compensation, legal settlements, or similar compensation, earned in … E. Provide the values of any other actual remaining reportable compensation, not addressed in A., B., C., or D., earned in … F. Provide the values of actual nontaxable benefits earned in …  G. Provide the values of deferred compensation actually set aside, to potentially be earned, released or rendered payable upon completion of an arrangement, that was set aside in … H. Provide the values of retirement compensation, not addressed in G., that was reported in …  The Chronicle will sum the values obtained under sub-request A., B., C., D., E., and F. to arrive at our total compensation figure. If that will double-count certain types of compensation or not be reflective of your institution’s view of the total compensation (defined by the formula outlined previously) earned by a chief executive(s) in a given calendar year, please let us know. 2. I request the actual compensation(*) earned by former permanent chief executive(s) of your institution in calendar years 2012, 2013, 2014, 2015, 2016, and 2017, respectively. Specifically, I request the aggregate values of two categories of compensation earned respectively within each of the above-requested years: actual reportable compensation as defined in accordance with W-2s, 1099s, and/or within Form 990s, and actual nontaxable benefits.  AND: For other persons, compensated in the years following the final year of leadership as permanent CEOs, who were not included in the list preceding this sentence, I request you provide me their name(s) and compensation data. 3a. I request the names and EINs of the non-profit and/or tax-exempt organizations “related” to your institution, as well as non-profit and/or tax-exempt organizations that are associated closely with your institution, but are not “related” in a regulatory sense. For instance, the U. of Louisville Research Foundation is “related” to the U. of Louisville (https://bit.ly/2Q8STnF, pg. 44, Part II). The U. of Louisville Foundation is not “related” to the U. of Louisville (https://bit.ly/2CQskjo, pg. 60, Part II), but in its mission statement is supportive of the U. of Louisville. (https://bit.ly/2CQskjo, pg. 1, Part I). Likewise, the UofL Foundation previously compensated employees of the U. of Louisville (government organization) (https://bit.ly/2CQskjo, pg. 45, Part II).  3b. If you are unable to provide the names of these organizations, I request the first page of the most-recent IRS filing prepared for the federal government which bears the non-profit organization’s name and EIN.

Request ID: 
2019-253