Northwestern University Reports Required by Government Auditing Standards and OMB Circular A-133 for the Year Ended August 31, 2014 EIN

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1 Reports Required by Government Auditing Standards and OMB Circular A-133 for the Year Ended August 31, 2014 EIN

2 NORTHWESTERN UNIVERSITY TABLE OF CONTENTS CONSOLIDATED FINANCIAL STATEMENTS FOR THE YEAR ENDED AUGUST 31, 2013 Report of Independent Auditors Page 3 Northwestern University Financial Statement Page 5 FEDERAL FINANCIAL ASSISTANCE PROGRAMS FOR THE YEAR ENDED AUGUST 31, 2013 Page 29 Notes to the Page 110 SCHEDULE OF FINDINGS AND QUESTIONED COSTS FOR THE YEAR ENDED AUGUST 31, 2013 Report of Independent Auditors on Internal Control Over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards Page 124 Report of Independent Auditors on Compliance with Requirements That Could Have a Direct and Material Effect on Each Major Program and on Internal Control Over Compliance in Accordance With OMB Circular A-133 Page 126 Section I Summary of Auditors Results Page 128 Section II Financial Statement Findings Page 129 Section III Federal Award Findings and Questioned Costs Page 129 Summary of the Status of Prior Year Audit Findings Page 132 Management s Corrective Action Plan Page 134 2

3 Independent Auditor s Report Board of Trustees Northwestern University Evanston, Illinois Subject: Report on the consolidated financial statements We have audited the accompanying consolidated financial statements of Northwestern University (the University ), which comprise the consolidated statement of financial position as of August 31, 2014, and the related consolidated statements of activities and cash flows for the year then ended, and the related notes to the financial statements. Management s responsibility for the consolidated financial statements Management is responsible for the preparation and fair presentation of the consolidated financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of consolidated financial statements that are free from material misstatement, whether due to fraud or error. Auditor s responsibility Our responsibility is to express an opinion on the consolidated financial statements based on our audit. We conducted our audit in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the consolidated financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the consolidated financial statements. The procedures selected depend on our judgment, including the assessment of the risks of material misstatement of the consolidated financial statements, whether due to fraud or error. In making those risk assessments, we consider internal control relevant to the University s preparation and fair presentation of the consolidated financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the University s internal control. Accordingly, we express no such opinion. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the consolidated financial statements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion. PricewaterhouseCoopers LLP, One North Wacker, Chicago, IL T: (312) , F: (312) , 3

4 Opinion In our opinion, the consolidated financial statements referred to above present fairly, in all material respects, the consolidated financial position of Northwestern University as of August 31, 2014, and the changes in its net assets and its cash flows for the year then ended in accordance with accounting principles generally accepted in the United States of America. Other matters We have previously audited the University s August 31, 2013 financial statements, and we expressed an unmodified audit opinion on those audited financial statements in our report dated January 13, In our opinion, the summarized comparative information presented herein as of and for the year ended August 31, 2013 is consistent, in all material respects, with the audited financial statements from which it has been derived. Other information Our audit was conducted for the purpose of forming an opinion on the consolidated financial statements as a whole. The accompanying schedule of expenditures of federal awards is presented for purposes of additional analysis as required by Office of Management and Budget Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations and is not a required part of the consolidated financial statements. Such information is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the consolidated financial statements. The information has been subjected to the auditing procedures applied in the audit of the consolidated financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the consolidated financial statements or to the consolidated financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. In our opinion, the schedule of expenditures of federal awards is fairly stated, in all material respects, in relation to the consolidated financial statements as a whole. Other reporting required by government auditing standards In accordance with Government Auditing Standards, we have also issued our report dated January 12, 2015 on our consideration of the University s internal control over financial reporting and on our tests of its compliance with certain provisions of laws, regulations, contracts and grant agreements and other matters for the year ended August 31, The purpose of that report is to describe the scope of our testing of internal control over financial reporting and compliance and the results of that testing and not to provide an opinion on internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the University's internal control over financial reporting and compliance. Chicago, Illinois January 12,

5 Consolidated Statements of Financial Position As of August 31, 2014, and August 31, 2013 (in thousands of dollars) Assets Cash and cash equivalents $366,158 $334,751 Accounts receivable, net 266, ,713 Notes receivable, net 149,618 89,789 Contributions receivable, net 99, ,395 Investments 10,012,161 8,413,254 Land, buildings, and equipment, net 1,859,851 1,683,639 Other assets 21,656 18,619 Total assets $12,776,307 $10,917,160 Liabilities Accounts payable and accrued expenses $235,734 $218,444 Deferred revenue 266, ,684 Deposits payable and actuarial liability of annuities payable 119, ,773 Government advances for student loans 38,775 38,748 Asset retirement obligations 115, ,057 Bonds, notes, and other debt payable 1,336, ,966 Total liabilities $2,112,561 $1,764,672 Net assets Unrestricted $6,824,273 $5,744,796 Temporarily restricted 2,585,463 2,226,495 Permanently restricted 1,254,010 1,181,197 Total net assets $10,663,746 $9,152,488 Total liabilities and net assets $12,776,307 $10,917,160 See Notes to the Consolidated Financial Statements, beginning on page 8. 5

6 Consolidated Statements of Activities For the fiscal years ended August 31, 2014, and August 31, 2013 (in thousands of dollars) Operating revenues Unrestricted Temporarily restricted Permanently restricted Total Total Tuition and fees $876,211 $876,211 $840,247 (less scholarships and fellowships) (329,863) (329,863) (312,744) Net tuition and fees 546, , ,503 Auxiliary services 77,631 77,631 76,980 Grants and contracts 546, , ,847 Private gifts 465, , ,882 Investment return designated for operations 278,599 $130, , ,987 Sales and services 154, , ,145 Professional fees 26,305 26,305 26,638 Royalties and trademarks 52,742 52, ,389 Other income 1,640 1, Total operating revenues 2,149, ,015 2,279,044 2,289,895 Net assets released from restrictions 208,802 (208,802) Total operating revenues and other additions (reductions) 2,357,831 (78,787) 2,279,044 2,289,895 Operating expenses Salaries, wages, and benefits 1,096,970 1,096,970 1,051,137 Services, supplies, travel, and other 512, , ,040 Depreciation and ARO accretion 117, , ,389 Operations of plant, rent, and equipment 98,515 98,515 95,600 Utilities and communications 55,289 55,289 56,611 Trademark and royalty fees 51,536 51,536 45,629 Interest on indebtedness 40,504 40,504 32,093 Total operating expenses 1,973,028 1,973,028 1,882,499 Excess (deficit) of operating revenues over expenses 384,803 (78,787) 306, ,396 Nonoperating revenues and expenses Private gifts and grants for buildings and equipment 10,894 12,259 23,153 8,779 Restricted private gifts 50,557 $65, , ,052 Net gain on annuity obligations 2,616 7,245 9,861 6,544 Investment returns, reduced by operating distribution 664, ,323 1,036, ,837 Change in value of derivative instruments 5,317 5,317 40,334 Other nonoperating net revenues (expenses) 13,868 13,868 (788) Excess of nonoperating revenues over expenses 694, ,755 72,813 1,205, ,758 Change in net assets 1,079, ,968 72,813 1,511,258 1,027,154 Beginning net assets 5,744,796 2,226,495 1,181,197 9,152,488 8,125,334 Ending net assets $6,824,273 $2,585,463 $1,254,010 $10,663,746 $9,152,488 See Notes to the Consolidated Financial Statements, beginning on page 8. 6

7 Consolidated Statements of Cash Flows For the fiscal years ended August 31, 2014, and August 31, 2013 (in thousands of dollars) Cash flows from operating activities Change in net assets $1,511,258 $1,027,154 Adjustments to reconcile change in net assets to net cash provided by (used in) operating activities Depreciation 111, ,327 Accretion for asset retirement obligations 5,507 6,189 Asset retirement obligations reduction (22,105) (3,974) Net losses on retirements and sales of buildings and equipment 6,426 2,834 Net amortization of discounts (and accretion) of premiums on bonds payable (78) (79) Allowance for student loans receivable Net realized and unrealized gains on investments (1,388,390) (736,666) Contributed securities 48,487 26,747 Change in value of derivative instruments (5,317) (40,334) Private gifts and grants for buildings and equipment (23,153) (8,779) Changes in assets and liabilities Accounts receivable (5,544) 15,040 Contributions receivable 16,432 (17,106) Other assets (3,030) (2,072) Accounts payable and accrued expenses 2,407 4,293 Deferred revenue 5,606 8,351 Government advances for student loans Net cash provided by (used in) operating activities 261, ,480 Cash flows from (used in) investing activities Purchases of investments (1,852,645) (2,348,529) Proceeds from sales of investments 1,604,252 2,011,645 Acquisitions of land, buildings, and equipment (274,417) (208,650) Proceeds from sale of buildings or equipment Student loans disbursed (24,472) (22,130) Student loans purchased (61,011) Principal collected on student loans 24,870 7,558 Other (11,254) (8,000) Net cash provided by (used in) investing activities (594,467) (568,028) Cash flows from (used in) financing activities Proceeds from issuance of bonds payable 586,000 Refunding of bonds payable (185,010) Principal payments on notes, bonds, and other debt payable (13,550) (23,265) Proceeds from private gifts and grants for buildings and equipment 23,153 8,779 (Decrease) increase in deposits payable and annuities payable (45,805) 52,713 Net cash provided by (used in) financing activities 364,788 38,227 Increase (decrease) in cash and cash equivalents 31,407 (140,321) Cash and cash equivalents at beginning of year 334, ,072 Cash and cash equivalents at end of year $366,158 $334,751 Supplemental disclosure of cash flow information Accrued liabilities for construction in progress $27,979 $18,134 Capitalized interest 11,677 6,983 Cash paid for interest 52,420 39,201 See Notes to the Consolidated Financial Statements, beginning on page 8. 7

8 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, Summary of Significant Accounting Policies University Activities Northwestern University (Northwestern or the University) is a major private research university with more than 21,000 students enrolled in 12 academic divisions on two lakefront campuses in Evanston and Chicago and an international campus in Doha, Qatar. Northwestern s mission is to provide the highestquality education for its students, to develop innovative programs in research, and to sustain an academic community that embraces these enterprises. Activities supporting its mission are classified as either operating or nonoperating. Operating revenues include student tuition, research funding, investment return designated for operations, educational sales and services, private gifts, royalties, and auxiliary services. Operating expenses reflect support for all functions of the Uni versity. Nonoperating activities include unrealized gains and losses on investments, temporarily restricted gifts for building, and all permanently restricted endowment gifts. Basis of Accounting General The University maintains its accounts and prepares its consolidated financial statements on the accrual basis of account ing in conformity with generally accepted accounting principles in the United States of America (GAAP). The Financial Accounting Standards Board (FASB) Accounting Standards Codification (ASC) is the source of author itative GAAP. The University prepares its consolidated financial statements in accordance with the Not-for-Profit Entities Topic of the FASB ASC. These statements include all wholly owned subsidiaries. All significant intercompany trans actions and accounts have been eliminated. Net Asset Classifications Net assets and the flow of those net assets are classified in three net asset categories according to the existence or absence of donor-imposed restrictions. For further discussion of the classification of donor-restricted endowment funds and disclosures about both donorrestricted and board-designated endowment funds, see note 9. The category Permanently Restricted Net Assets applies to gifts, trusts, and pledges whose donors required that the principal be held in perpetuity and that only the income be available for stipulated program operations. The category Temporarily Restricted Net Assets includes gifts for which donor-imposed restrictions have not been met (these are primarily future capital projects), as well as trust activity and pledges receivable whose ultimate use is not permanently restricted. In addition, the excess of the fair value over the historical cost of permanently restricted endowments is classified as temporarily restricted net assets until appropriated for expenditure. The category Unrestricted Net Assets describes funds that are legally available for any purpose and have no donor-imposed restrictions. All revenues, expenses, gains, and losses are classified as unrestricted net assets unless they are changes in temporarily or permanently restricted net assets. Net unrealized losses on permanently restricted endowment funds for which the historical cost exceeds fair value are recorded as a reduction to unrestricted net assets. Revenue from temporarily restricted sources is reclassified as unrestricted revenue when the circumstances of the restriction have been fulfilled. Donorrestricted revenues whose restrictions are met within the same fiscal year are reported as unrestricted revenue. The expiration of a donor-imposed restriction on a contribution is recognized in the period in which the restriction expires. All expenditures are reported in the unrestricted class of net assets, since the use of restricted contributions in accordance with the donor s stipulations causes the release of the restriction. Donor-restricted purposes include instruction, research, library collections, scholarship and awards, and building construction. Fair Value Measurements The University makes fair value measurements and enhanced disclosures about fair value measurements as required by the Fair Value Measurements and Disclosures Topic of the FASB ASC. For further discussion, see notes 4 and 8. Cash and Cash Equivalents Cash reflects currency and deposits or other accounts with financial institutions that may be deposited or withdrawn without restriction or penalty. Cash equivalents represent short-term and highly liquid 8

9 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, 2013 investments that convert readily to cash and carry little risk of change in value at maturity due to interestrate changes; maturities of the investments are three months or less at the date of purchase. Contributions Contributions received, including unconditional promises to give (pledges), are recognized by the University as revenues at their fair values. Private gifts, including unconditional promises to give, are recognized as revenues in the period received. Conditional promises to give are not included in revenue until the conditions are substantially met. Investments Investments in securities and financial instruments are recorded at fair value. The University values its investments using a hierarchy of valuation inputs based on the extent to which the inputs are observable in the marketplace. Observable inputs reflect market data obtained from sources independent of the reporting entity; unobservable inputs reflect the entity s own assumptions about how market participants would value an asset or a liability based on the best information available. Valuation techniques used to measure fair value must maximize the use of observable inputs and minimize the use of unobservable inputs. The fair value hierarchy is based on three levels of inputs, of which the first two are considered observable and the last unobservable, that may be used to measure fair value. The following describes this hierarchy and the primary valuation methodologies used by the University for financial instruments measured at fair value on a recurring basis: Level 1: Quoted prices in active markets for identical assets or liabilities. Market-price data are generally obtained from relevant exchanges or dealer markets. Level 2: Inputs other than Level 1 that are observable either directly or indirectly, such as quoted prices in markets that are not active, or other inputs that are observable or can be corroborated by observable market data for substantially all of the same term of the assets or liabilities. Inputs are obtained from various sources, including market participants, dealers, and brokers. Level 3: Unobservable inputs that are supported by little or no market activity and are significant to the fair value of the assets or liabilities. A financial instrument s categorization within the valuation hierarchy is based on the lowest level of input significant to the fair value measurement. The categorization of an investment is based on its pricing transparency and liquidity and does not necessarily correspond to the University s perceived risk of that investment. Equity securities with readily determinable fair values and debt securities are valued at the last sale price (if quotations are readily available) or at the closing bid price in the principal market in which such securities are normally traded (if no sale price is available). The fair values for these securities are classified as Level 1 because the securities have observable market inputs. Certain fixed income securities are valued based on dealer-supplied valuations; since these securities have significant other observable inputs, they are classified as Level 2. The estimated fair values of equity securities that do not have readily determined fair values, and of other investments that are generally less liquid, are based on estimates provided by external investment managers and examined through a valuation review process performed by management. The guidance permits an entity, as a practical expedient, to measure the fair value of such investments based on the net asset value (NAV) per share. The fair values for these securities are classified as Level 3, reflecting significant unobservable inputs that are supported by little or no market inputs. However, if investments based on NAV are redeemable at the reporting date or within the near term, defined by the University as within 90 days of the reporting date, the fair values are categorized as Level 2. Investments in certain real assets and other investments are recorded at acquisition or construction cost, or at fair value as of donation date if received as a contribution. The University performs a periodic assessment of these assets for impairment by comparing the future cash flows expected from the asset to the carrying value of the asset. An impairment loss is recognized for the difference between estimated fair value and carrying value. In management s opinion, no impairment of investments held at cost existed as of August 31, For further discussion of such investments, see note 4. The methods described above may produce a fair value that may not be indicative of net realizable value or of future fair values. Furthermore, while the University believes its valuation methods are 9

10 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, 2013 appropriate and consistent with those of other market participants, the use of different methodologies or assumptions to determine the fair value of certain financial instruments could result in a different estimate of fair value at the reporting date. Investment income is recorded on the accrual basis, and purchases and sales of investment securities are reflected on a trade-date basis. Derivative Financial Instruments The University uses various financial instruments to obtain equity market exposure (e.g., equity price risk) of an underlying investment strategy; if applicable, these have a reference index (e.g., S&P 500) that is the same, or highly correlated with, the reference index of the investment strategy. Such instruments are not designated as hedges for accounting purposes and are recorded at fair value. The University enters into swap agreements to hedge future interest-rate movements. It may also add various interest-rate options to hedge the overall portfolio and use an interest-rate swap agreement to hedge variable interest-rate exposure. Interest-rate swaps are valued using observable inputs, such as quotations received from the counterparty, dealers, or brokers, whenever they are available and considered reliable. If and when models are used, the value of the interest-rate swap depends on the contractual terms of and specific risks inherent in the instrument, as well as the availability and reliability of observable inputs. Such inputs include market prices for reference securities, yield curves, credit curves, measures of volatility, and prepayment rates as well as correlations of such inputs. The interestrate swaps classified within Level 3 have unobservable inputs with little or no market activity. For further discussion, see notes 4 and 8. Fair Values of Financial Instruments Other Than Investments The fair values of financial instruments other than investments are based on a variety of factors. In some cases, fair values represent quoted market prices for identical or comparable instruments. In other cases, fair values have been estimated based on assumptions about the amount and timing of estimated future cash flows and assumed discount rates reflecting varying degrees of risk. Accordingly, the fair values may not represent actual values that could have been realized at year-end or that will be realized in the future. Accounts and Notes Receivable Accounts receivable are recorded at net realizable value. Those generally expected to be collected within one year are carried without an allowance. The allowance for student accounts receivable is based on an analysis of outstanding account balances and is calculated using percentages based on historical collection data applied to the outstanding accounts receivable balances. Accounts receivable deemed to be uncollectible are expensed at that time. Notes receivable are recorded at net realizable value and are predominantly student loans with varying maturities. Notes receivable deemed to be uncollectible are expensed at that time. Management assesses the adequacy of the allowance for credit losses on a regular basis by performing ongoing analysis of the student loan portfolio. Factors considered are differing economic risks associated with each loan category, the financial condition of specific borrowers, the economic environment in which the borrowers operate, the level of delinquent loans, and other significant influences. Loans disbursed under federally guaranteed student loan programs have special provisions. Based on this evaluation and management judgment, an uncollectible percentage is calculated and applied to each category of student loan balances outstanding. Management considers the allowance for student loan portfolio credit losses to be prudent and reasonable. Contributions Receivable Contributions receivable arising from unconditional promises to give are carried net of an allowance for uncollectible pledges. Additionally, uncon ditional promises are presented at estimated fair value considering duration and collection risk. There were no significant conditional promises to give as of August 31, 2014, and August 31, Land, Buildings, and Equipment The value of land, buildings, and equipment is recorded at cost or, if received as gifts, at fair value at the date of the gift. Significant renewals and replacements are capitalized. The cost of repairs and maintenance is expensed as incurred. Purchases of library books and works of art are also expensed. Depreciation is calculated using the straight-line method over the useful lives of the equipment, which 10

11 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, 2013 are estimated to be 3 to 20 years; of the buildings and land improvements, which are estimated to be up to 40 years; and of the leasehold improvements, which are estimated to be the shorter of the useful life or the lease term. The useful life of land is deemed indefinite and not depreciable. The University reviews long-lived assets for impairment by comparing the future cash flows expected from the asset to the carrying value of the asset. If the carrying value of an asset exceeds the sum of estimated undiscounted future cash flows, an impairment loss is recognized for the difference between estimated fair value and carrying value. In management s opinion, no impairment existed as of August 31, Charitable Remainder Trusts Charitable remainder trusts are classified as permanently restricted net assets if, upon termination of the trust, the donor permanently restricts the remaining trust assets. If the remainder is not permanently restricted by the donor, the charitable remainder trust assets are recorded as temporarily restricted net assets. Annuities Payable Annuities payable consist of annuity payments currently due and the actuarial amount of annuities payable. The actuarial amount of annuities payable is the present value of the aggregate liability for annuity payments over the expected lives of the beneficiaries. Self-Insurance Reserves The University maintains a self-insurance program for general liability, professional liability, and certain employee and student insurance coverages. This program is supplemented with commercial excess insurance above the University s self-insurance retention. The reserves for self-insurance and postretirement medical and life insurance benefits are based on actuarial studies and management estimates. See note 12 for additional discussion. Asset Retirement Obligations The University records all known asset retirement obligations (ARO) for which the fair value of the liability can be reasonably estimated, including certain obligations relating to regulatory remediation. Asset retirement obligations covered include those for which an entity has a legal obligation to perform an asset retirement activity; however, the timing and/or method of settling the obligation are conditional on a future event that may or may not be within the control of the entity. The reserves for asset retirement obligations are based on analyses of University assets, review of applicable regulatory and other guidance, and management estimates. Revenue Recognition Revenues from tuition and fees are reported in the fiscal year in which they are earned, including pro-rata adjustments for educational programs crossing over fiscal years. Fiscal year 2015 fall-quarter tuition and fees, billed but not collected in fiscal year 2014, are reported as deferred revenue in fiscal year Similarly, fiscal year 2014 fall-quarter tuition and fees, billed but not collected in fiscal year 2013, are reported as deferred revenue in fiscal year Revenues from auxiliary services, such as residence and food services, represent fees for goods and services furnished to University students, faculty, and staff; these revenues are recognized in the fiscal year in which the goods and services are provided. Grants and contracts revenue is recognized as expenses are incurred. Professional fees arise from faculty and department services provided to external institutions such as hospitals. Sales and services revenues represent fees for services and goods provided to external parties in the course of educational activities and also include revenues from the provision of physical plant services and goods to external institutions contiguous to the University campuses. Trademark and royalty revenues arise from licensing of innovative technologies, copyrights, and other intellectual property; these revenues are recognized in the fiscal year in which they are earned. Other income includes revenues not otherwise categorized that are also recognized in the fiscal year in which they are earned. Federal Grants and Contracts Revenue The University receives funding or reimbursement from federal agencies. In addition, indirect cost recovery on federal grants and contracts is based on an institutional rate negotiated with its cognizant federal agency, the United States Department of Health and Human Services. 11

12 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, 2013 Income Taxes The Internal Revenue Service has determined that the University is exempt from income taxes under Section 501(c)(3) of the US Internal Revenue Code, except with regard to unrelated business income, which is taxed at corporate income tax rates. The University files federal and various state and local tax returns. The statute of limitations on the University s federal tax returns remains open for fiscal years 2010 through The University makes an assessment of individual tax positions and follows a process for recognition and measurement of uncertain tax positions. Tax positions are evaluated on whether they meet the more likely than not standard for sustainability on examination by tax authorities. Uses of Estimates in the Preparation of Financial Statements The preparation of financial statements in conformity with GAAP requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities; the disclosure of contingent assets and liabilities at the date of the consolidated financial statements; and the reported amounts of revenues and expenses during the relevant period. Actual results could differ from those estimates. The University believes that the methods and assumptions used are appropriate. Subsequent Events The University has evaluated subsequent events in accordance with FASB ASC Subsequent Event Topic through January 12, 2015, the date when financial statements were issued. The University did not identify any subsequent events to be disclosed. Recent Accounting Pronouncements In May 2014, the FASB issued Accounting Standards Update Revenue from Contracts with Customers, a new revenue recognition topic in the codification. Effective in fiscal year 2018, it provides a principle-based framework to replace earlier industry-specific and rule-based revenue recognition standards. Under the new ASU, revenue is recognized at an amount that reflects consideration to which the entity expects to be entitled from another entity in exchange for contracted services or goods that are an output of its ordinary activities. This approach requires use of more judgments and estimates by management, as well as more disclosures to describe estimation methods, inputs, and assumptions used. The University is evaluating the impact of its implementation on policies, procedures, and the consolidated financial statements. Summarized Comparative Information The financial statements include certain prior-year summarized comparative information in total but not by net asset class. Such information does not include sufficient detail to constitute a presentation in conformity with GAAP. Accordingly, such information should be read in conjunction with the University s financial statements for the year ended August 31, 2013, from which the summarized information was derived. Revision and Reclassifications In 2014, the University began using a revised methodology on the consolidated statement of activities for offsetting tuition and fees for certain discounts within operating revenues. It revised the 2013 consolidated statement of activities and note 14 to appropriately report an additional $16.8 million of tuition and fees discounts within operating revenues, and a $16.8 million reduction in operating expenses. The University believes the prior-year consolidated financial statements were not materially misstated. Fiscal year 2013 investment cash and cash equivalents held by external managers totaling $495.6 million have been reclassified from cash and cash equivalent assets to investment assets on the consolidated statements of position and disclosed in note 4. In addition, certain fiscal year 2013 amounts have been reclassified on the consolidated statement of activities and the consolidated statements of cash flows. 12

13 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, Accounts Receivable and Notes Receivable Accounts receivable are summarized on the consolidated statements of financial position as follows: (in thousands of dollars) August 31, 2014 August 31, 2013 Research and other sponsored programs support $77,050 $65,467 Student receivables 86,926 86,421 Royalty receivables 21,373 41,208 Other receivables 82,138 68,194 Accounts receivable subtotal 267, ,290 Less allowances for student uncollectible amounts (587) (577) Total accounts receivable $266,900 $260,713 Notes receivable are summarized on the consolidated statements of financial position as follows: (in thousands of dollars) August 31, 2014 August 31, 2013 Notes receivable $151,913 $91,300 Less allowances for student uncollectible amounts (2,295) (1,511) Total notes receivable $149,618 $89,789 Activity within the allowances was insignificant for fiscal years 2014 and Contributions Receivable Contributions receivable consisted of the following: (in thousands of dollars) August 31, 2014 August 31, 2013 Unconditional promises expected to be collected in Less than one year $40,375 $44,421 One year to five years 59,509 79,729 More than five years 13,098 5,689 Less discount to present value and other reserves Discount to present value (5,753) (5,705) Other reserves (7,266) (7,739) Total contributions receivable $99,963 $116,395 Contributions receivable are discounted based on the weighted average borrowing rates for short-term and long-term bonds, notes, and other debt payable to correspond to the terms of the pledges receivable. The discount rate for pledges made in fiscal years 2014 through 2011 was 2.7 percent; the discount rate for pledges made in prior fiscal years ranged from 2.9 to 6.5 percent. The University deems these yields to be a Level 3 input. The next table summarizes the change in contributions receivable for the fiscal years ended August 31, 2014, and

14 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, 2013 (in thousands of dollars) Balance beginning of year $116,395 $99,289 New pledges 58,448 65,574 Collections on pledges (64,878) (48,138) Adjustments to pledges (10,427) (791) Increase in discount to present value (48) (1,292) Decrease in other reserves 473 1,753 Balance at end of year $99,963 $116, Investments The University s investments are overseen by the Investments Committee of the Board of Trustees. Guided by the policies established by the Investments Committee, the University s Investment Office or external equity investment managers, external and internal fixed income and cash managers, and various limited partnership managers direct the investment of endowment and trust assets, certain working capital, temporarily invested expendable funds, and commercial real estate. Substantially all of these assets are merged into internally managed investment pools on a market value basis. Each holder of units in the investment pools subscribes to or disposes of units on the basis of the market value per unit at the beginning of each month. Investment Fair Value The following charts show the estimated fair value of investments and derivatives, grouped by the valuation hierarchy as defined in note 1, as of August 31, 2014, and 2013: (in thousands of dollars) August 31, 2014 Quoted prices in active markets (Level 1) Significant other observable inputs (Level 2) Significant unobservable inputs (Level 3) Total fair value Cash and cash equivalents $432,470 $432,470 US equity securities 482,070 $180,896 $691,032 1,353,998 International equity 309, , ,424 1,457,163 Fixed income 32, ,308 74,048 1,103,509 High-yield credit 367, ,962 Absolute return (52) 424,988 1,302,452 1,727,388 Private investments 111 1,958,991 1,959,102 Real assets 50, ,056 1,350,267 1,557,333 Other investments 3,483 20,733 24,216 Interest-rate derivatives (6,163) (6,163) Subtotal investment assets at fair value 1,305,932 2,306,300 6,364,746 9,976,978 Interest-rate swaps at fair value (25,452) (25,452) Total $1,305,932 $2,306,300 $6,339,294 $9,951,526 (a) Investments held at cost totaling $35,183 thousands should be added to the subtotal investment assets at fair value to reflect total investment assets as of August 31, (a) 14

15 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, 2013 (in thousands of dollars) August 31, 2013 Quoted prices in active markets (Level 1) Significant other observable inputs (Level 2) Significant unobservable inputs (Level 3) Total fair value Cash and cash equivalents $495,632 $495,632 US equity securities 408,307 $125,431 $463, ,090 International equity 314, , ,435 1,135,927 Fixed income 828,375 74, ,146 High-yield credit 368, ,211 Absolute return 305,220 1,019,935 1,325,155 Private investments 176 1,719,232 1,719,408 Real assets 68,132 1,339,894 1,408,026 Other investments 3,464 19,363 22,827 Interest-rate derivatives 2,301 2,301 Subtotal investment assets at fair value 1,219,034 1,673,195 5,485,494 8,377,723 Interest-rate swaps (30,769) (30,769) Total $1,219,034 $1,673,195 $5,454,725 $8,346,954 (a) Investments held at cost totaling $35,531 thousands should be added to the subtotal investment assets at fair value to reflect total investment assets as of August 31, (a) Investments included in Level 3 consist primarily of the University s ownership in alternative investments (principally limited partnership interests in hedge, private equity, real estate, and other similar funds). As a practical expedient, when quoted market prices are not available, the estimated fair values of these investments are generally based on reported partners capital or NAV provided by the associated external investment managers. Since a range of possible values exists for these partnership investments, the estimated values may be materially different from the values that would have been used had a ready market for these partnerships existed. The University exercises diligence in assessing the policies, procedures, and controls of external investment managers; management s assessment includes a valuation review process of the most recent available audited and unaudited financial statements and discussions with the majority of external investment managers about the aggregate carrying value of the respective investments at August 31, The assessment may result in adjustment to the external managers valuations of the securities fair value. Management reviewed the valuation policies for all partnerships in which the University is invested and deemed that its policies are appropriate and that the carrying amount of these assets represents a reasonable estimate of fair value. A small number of investments within certain partnerships may have holdings at a carrying value of cost. In the absence of another basis, management has determined this method to be appropriate for these specific investments and representative of an approximation of the fair value. The following tables summarize changes in the investments and derivatives classified by the University in Level 3 of the fair value hierarchy for the fiscal years ended August 31, 2014, and 2013: 15

16 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, 2013 (in thousands of dollars) August 31, 2013 August 31, 2014 Fair value Purchases Sales and settlements Unrealized gains (losses) Realized gains (losses) Transfers into and out of Level 3 Reclassifications Fair value US equity securities $463,352 97,000 (13,126) 143,806 $691,032 International equity 478,435 98,533 1, ,177 (106,373) 605,424 Fixed income 74,771 (723) 74,048 High-yield credit 368,211 29,806 (47,639) 11,383 6, ,962 Absolute return 1,019,935 75,000 51, ,028 9,892 1,302,452 Private investments 1,719, ,409 (232,215) 262,470 (8,905) 1,958,991 Real assets 1,339, ,468 (254,977) 108,532 (11,650) 1,350,267 Other investments 19, (323) 1,659 20,733 Interest-rate derivatives 2,301 (8,464) (6,163) Total investments 5,485, ,250 (495,031) 797,868 (4,462) (106,373) 6,364,746 Interest-rate swaps (30,769) 5,317 (25,452) Total $5,454, ,250 (495,031) 803,185 (4,462) (106,373) $6,339,294 (in thousands of dollars) August 31, 2012 August 31, 2013 Fair value Purchases Unrealized Sales and gains settlements (losses) Realized gains (losses) Transfers into and out of Level 3 Reclassifications Fair value US equity securities $391,725 50,000 (64,972) 84,638 1,961 $463,352 International equity 325,420 52,168 (31,074) 58,217 12, , ,435 Fixed income 139,524 (4,287) (60,466) 74,771 High-yield credit 417,340 23,900 (92,337) 19, ,211 Absolute return 870, ,025 (72,036) 37,469 17,303 1,019,935 Private investments 1,666, ,813 (220,681) 38,777 33,801 (8) 1,719,232 Real assets 1,281, ,825 (198,103) 46, ,339,894 Other investments 18, (56) ,363 Interest-rate derivatives (9,526) 11,827 2,301 Total investments 5,100, ,426 (679,259) 292,864 66, ,485,494 Interest-rate swaps (71,103) 40,334 (30,769) Total $5,029, ,426 (679,259) 333,198 66, $5,454,725 The $106.4 million transfer out of Level 3 into Level 2 in fiscal year 2014 was a reclassification based on liquidity features in accordance with Level 2 significant observable inputs. The $516,000 total transfers to Level 3 from Level 2 in fiscal year 2013 were reclassifications based on illiquidity features in accordance with Level 3 significant unobservable inputs. There were no significant transfers or reclassifications between Levels 1 and 2 during fiscal year As of August 31, 2014, and 2013, investments held at cost included real estate totaling $19.4 million and mortgages and other investments totaling $2.4 million. Investments held at cost also included property co-ownerships totaling $13.4 million and $13.7 million as of August 31, 2014, and 2013, respectively. The next table presents funding obligations and redemption terms of investments by asset class. The University is required under certain partnership agreements to advance additional funding up to specified levels over a period of several years. These uncalled commitments have fixed expiration dates and other termination clauses. At August 31, 2014, the University was committed to making future capital contributions in the amount of $1,326.7 million, primarily in the next five years, as detailed below. Certain agreements also contain notice periods, lock-ups, and gates that limit the University s ability to initiate redemptions. 16

17 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, 2013 (in thousands of dollars) Fair value US equity securities International equity Remaining life Uncalled commitments Redemption terms Redemption restrictions $1,353,998 No limit Daily to annually, with 1 90-day notice periods 1,457,163 No limit $26,900 Daily to annually, with 1 93-day notice periods Fixed income 1,103,509 No limit Daily to quarterly, with 1 90-day notice periods High-yield credit Absolute return Private investments 367,962 No limit to 9 years 62,337 Certain partnerships ineligible for redemption; other funds monthly to annually, with day notice periods 1,727,388 No limit Monthly to annually, with day notice periods 1,959, years 658,962 Partnerships ineligible for redemption Real assets 1,557,333 No limit to 14 years 578,498 Partnerships ineligible for redemption; commodity funds are monthly, with 3-day notice periods Lock-up provisions ranging from none to 5 years Lock-up provisions ranging from none to 4 years Lock-up provisions ranging from none to 3 years Certain partnerships not redeemable; lock-up provisions on all other funds ranging from none to 1 year with side pockets Lock-up provisions ranging from none to 5 years; side pockets on many funds Not redeemable Partnerships not redeemable; no restrictions on commodity funds Cash and cash equivalents for investment purposes include bank accounts holding cash and money market funds consisting of short-term US Treasury securities. Cash and cash equivalents are highly liquid and are carried at amortized cost, which approximates fair value. Northwestern s marketable securities categories include investments in US equities, international equity, and fixed income strategies via separately managed accounts, partnerships, and commingled funds. US equity strategies include large-, mid-, and small-cap public equities. Two investments in this category currently may not be redeemed over the next two years, and one may be only partially redeemed during the next five years. International equities include developed market (ex US public equities) and emerging market strategies. Several investments in this category may be only partially redeemed during the next three to four years. Fixed income strategies include US government securities, agency securities, inflation-linked bonds (TIPS), corporate bonds, global bonds, and short-term cash investments. As of August 31, 2014, one investment in this category may be only partially redeemed over the next three years. The high-yield credit portfolio includes investments in distressed debt and other credit instruments with fixed income characteristics but more specific risk tied to the securities and their underlying cash flows. The absolute return portfolio is weighted toward long-short equity managers, uncorrelated strategies, and diversifying event-driven or hedged tactical credit strategies. Three investments in this portfolio currently may not be redeemed in the first two years. The remaining restriction periods for these funds ranged from approximately one month to five years as of August 31, The private investments portfolio includes investments in global buyout and venture capital funds. The real assets port folio includes the University s investments in energy, timber, real estate, and public investments in some commodity funds. Management s estimate of the lives of the funds could vary significantly depending on the investment decisions of the external fund managers, changes in the University s portfolio, and other circumstances. Furthermore, the University s obligation to fund these commitments may be waived by the fund managers for a variety of reasons, including the market environment and/or changes in investment strategy. 17

18 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, 2013 Investment Return The components of total investment return were as follows: (in thousands of dollars) August 31, 2014 August 31, 2013 Investment income $56,499 $81,893 Net realized gains 441, ,480 Change in net unrealized gains 947, ,451 Total investment return $1,445,532 $818,824 Investment return designated for operations is defined as the investment payout, according to the spending guideline for the Long-Term Balanced Pool and the actual investment income for all other investments. Investment income from specific investments held at cost totaled $19 million and $18.1 million for the fiscal years ended August 31, 2014, and 2013, respectively. All other investment returns are categorized as non operating. As reflected in the consolidated statement of activities, investment return was as follows: (in thousands of dollars) August 31, 2014 August 31, 2013 Changes in unrestricted net assets Operating: investment return $278,599 $264,988 Nonoperating: investment returns, reduced by operating distribution 664, ,290 Changes in temporarily restricted net assets Operating: investment return 130, ,999 Nonoperating: investment returns, reduced by operating distribution 372, ,547 Total investment return $1,445,532 $818,824 Certain expenses paid directly by the University for investment management and custody services totaled $52 million and $39 million for the fiscal years ended August 31, 2014, and 2013, respectively, and have been netted against investment earnings. Derivative Financial Instruments The University has entered into hedging transactions via various interest-rate swaps and options and has maintained those positions since fiscal year The fair value of derivatives was in a liability position of $6.2 million as of August 31, 2014, and fair value was $2.3 million as of August 31, These swaps and options had a notional value of $400 million at August 31, 2014, and These instruments are held in the fixed income asset class in the summary of changes in investments within Level 3. Credit exposure represents the University s potential loss if all the counterparties fail to perform under the terms of the contracts, and if all collateral, if any, becomes worthless. This exposure is measured by the fair value of the cash collateral held at the counterparties at the reporting date. The University manages its exposure to credit risk by using highly rated counterparties, establishing risk-control limits, and obtaining collateral where appropriate. As a result, the University has limited credit risk. The University has entered into margin collateral agreements with major investment banks that impose a $1 million threshold on both parties. As of August 31, 2014, the University posted collateral of $6 million to one counterparty. To date, the University has not incurred any losses on derivative financial instruments due to counterparty nonperformance. The University has hired an external manager to use derivative financial instruments to obtain market exposure in equity and fixed income indices on excess cash balances. As of August 31, 2014, and 2013, the outstanding notional value of these derivatives was $224 million and $162 million, respectively. They had realized gains for fiscal year 2014 of $31.2 million and for fiscal year 2013 of $21.9 million. The University regularly reviews the use of derivative financial instruments by each of the managers of alternative investment funds in which it participates. While 18

19 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, 2013 these outside managers generally use such instruments for hedging purposes, derivative financial instruments are employed for trading purposes by numerous independent asset managers of the University. 5. Land, Buildings, and Equipment Land, buildings, and equipment consisted of the following: (in thousands of dollars) August 31, 2014 August 31, 2013 Land $28,389 $28,389 Construction in progress 359, ,201 Buildings and leasehold improvements 2,321,606 2,124,087 Equipment 496, ,984 Accumulated depreciation (1,346,465) (1,254,022) Total land, buildings, and equipment $1,859,851 $1,683,639 The estimated cost to complete construction in progress at August 31, 2014, was $508.5 million. Building and leasehold improvement capitalizations are included in construction in progress. Building costs are funded by loans, gifts (received or pledged), grants, and unrestricted funds. Under the University s interest capitalization policy, actual interest expense incurred during the period of construction of an asset for University use is capitalized until that asset is substantially completed and ready for use. The capitalized cost is reflected in the total cost of the asset and depreciated over the useful life of the asset. Assets may include buildings and major equipment. Asset Retirement Obligations Asset retirement obligations were adjusted during fiscal years 2014 and 2013 as follows: (in thousands of dollars) August 31, 2014 August 31, 2013 Balance at beginning of year $132,057 $129,842 Reduction in retirement asset obligations (22,105) (3,974) Accretion expense 5,507 6,189 Balance at end of year $115,459 $132,057 Lease Obligations The University is obligated under numerous operating leases to pay base rent through the lease expiration dates. Operating leases consist primarily of leases for the use of real property and have terms expiring in various years through fiscal year Noncancelable real estate lease expenses totaled $13.4 million at August 31, In fiscal year 2013, real estate lease expenses were $12.9 million at August 31. The future minimum lease payments under noncancelable operating leases through August 31 of each period are as shown at right. (in thousands of dollars) 2015 $11, , , , , and thereafter 42,019 Total $98,073 19

20 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, Other Assets Other assets are summarized on the consolidated statements of financial position as follows: (in thousands of dollars) August 31, 2014 August 31, 2013 Prepaid bond expenses $9,860 $6,612 Inventories 2,783 2,697 Other assets 9,013 9,310 Total other assets $21,656 $18, Deposits Payable and Actuarial Liability of Annuities Payable Deposits payable and actuarial liability of annuities payable are summarized on the consolidated statements of financial position as follows: (in thousands of dollars) August 31, 2014 August 31, 2013 Agency deposits payable $83,867 $123,993 Actuarial liability of annuities payable 16,855 17,588 Student loan deposits payable 16,276 20,147 Other deposits payable 2,977 4,045 Total deposits payable and actuarial liability of annuities payable $119,975 $165, Bonds, Notes, and Other Debt Payable Bonds and notes payable are as follows: (in thousands of dollars) August 31, 2014 August 31, 2013 IEFA Series 1993 $3,550 Less unamortized discount on IEFA Series 1993 (73) IEFA Series ,010 IFA Series 2004 $135, ,800 IFA Series , ,130 Plus unaccreted premium on IFA Series ,398 4,549 IFA Series , ,000 Taxable Series , ,000 Taxable Series ,000 Bonds payable subtotal 1,196, ,966 Notes payable commercial paper, taxable 140, ,000 Total bonds and notes payable $1,336,328 $948,966 Debt issuance Interest-rate mode Interest rate Maturity IFA Series 2004 Variable.03% (a) December 1, 2034 IFA Series 2006 Fixed 5% December 1, 2042 IFA Series 2008 Variable.03% (a) December 1, 2046 Taxable Series 2012 Fixed 4.2% December 1, 2039, to December 1, 2047 Taxable Series 2013 Fixed 4.61% (b) December 1, 2014, to December 1, 2044 Notes payable commercial paper, taxable Fixed.12% (b) September 2, 2014, to September 25, 2014 (a) Interest rate reset weekly (b) Weighted average interest rate at August 31,

21 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, 2013 Total obligations, including bonds and notes payable at August 31, 2014, are scheduled to mature through August 31 of each period as noted below. The schedule has been prepared based on the contractual maturities of the debt outstanding at August 31, Accordingly, if remarketing of bonds fails in future periods, debt repayments may become more accelerated than presented here. The potential failed remarketings coincide with the interest-rate reset dates and amounts noted above. (in thousands of dollars) 2015 $143, , , , ,935 Thereafter 1,169,170 Total $1,331,930 Bonds Payable The Taxable Series 2013 Fixed Rate Revenue Bonds were issued to acquire, construct, or renovate certain University facilities and to refund $185 million of the University s outstanding IEFA Series 2003 Fixed Rate Revenue Bonds, subject to conditions set forth in a trust indenture between the University and Wells Fargo Bank, National Association. The Taxable Series 2012 Fixed Rate Revenue Bonds were issued to pay the cost of acquiring, constructing, and equipping certain educational facilities of the University and to pay certain costs relating to the bonds issuance, subject to conditions set forth in a trust indenture between the University and Wells Fargo Bank, National Association. The IFA Series 2008 Adjustable Rate Revenue Bonds were issued for capital projects, such as acquisition, construction, renovation, remodeling, improvement, and equipment, subject to conditions set forth in a trust indenture and loan agreement between the University and the Illinois Finance Authority. The bonds may operate in a daily, weekly, adjustable, or auction-rate mode. The IFA Series 2006 Revenue Bonds were issued to refund the University s outstanding IEFA Series 1997 Adjustable Medium-Term Revenue Bonds totaling $145 million. The refunding bonds are subject to conditions set forth in a trust indenture and loan agreement between the University and the Illinois Finance Authority. The IFA Series 2004 Adjustable Rate Revenue Bonds were issued for capital projects, such as acquisition, construction, renovation, remodeling, improvement, and equipment, on both the Evanston and the Chicago campuses, subject to conditions set forth in a trust indenture and loan agreement between the University and the Illinois Finance Authority. The bonds may operate in a daily, weekly, adjustable, or auction-rate mode. The IEFA Series 2003 Fixed Rate Revenue Bonds were issued to acquire, construct, or renovate certain University facilities and to refund $35 million of the University s outstanding IEFA Series 1993 bonds, subject to conditions set forth in a trust indenture and loan agreement between the University and the Illinois Educational Facilities Authority. The IEFA Series 1993 Revenue Refunding Bonds operated in a fixed mode until maturity in December Proceeds of the refunding bonds were invested in United States government securities with a cost of $75.4 million and placed in escrow to satisfy scheduled payments of $66.4 million of the IEFA Series 1985 bonds and related interest until maturity. Based on Level 2 observable inputs, at August 31, 2014, the fair value of the University s fixed-rate debt of $998.5 million exceeded the carrying value of $931.1 million by $67.4 million. At August 31, 2013, the fair value of the University s fixed-rate debt of $541.6 million exceeded the carrying value of $533.7 million by $7.9 million. Derivative Financial Instruments The University has entered into interest-rate swap agreements to hedge variable-rate exposure related to its variable-rate debt. The notional value was $262.1 million through August 29, 2014, and reduced to $125 million effective August 30, The agreements as of August 31, 2014, effectively fix the interest rate from 4.12 percent to 4.38 percent. On October 10, 2013, the University executed amendments to three of its interest-rate swap agreements with a total notional value of $125 million, shortening their maturity date from December 1, 2046, to August 31, The University received payments totaling $590,000 in two of the amendments; under the 21

22 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, 2013 third, the remaining fixed-payment portion of the swap was reduced from percent to percent. The University recognized a net unrealized gain on the swap investment totaling $5.3 million and $40.3 million for the fiscal years ended August 31, 2014, and 2013, respectively. The fair values of the swap position were in liability positions of $25.5 million and $30.8 million as of August 31, 2014, and 2013, respectively, and are included in accounts payable and accrued expenses on the consol idated statements of financial position. Notes Payable The University places commercial paper under a $300 million Taxable Commercial Paper Note. Other Debt Payable At August 31, 2014, the University held or had the ability to draw $300 million in standby lines of credit to supplement working capital requirements as follows: (in thousands of dollars) Expiration date Available credit December 14, 2014 (a) $25,000 March 31, ,000 June 13, ,000 June 30, ,000 July 25, ,000 August 18, ,000 Total $300,000 (a) Renewed on December 11, 2014, through December 12, Endowments The FASB ASC Not-for-Profit Entities Presentation of Financial Statements Subtopic provides guidance on the net asset classification of donor-restricted endowment funds for not-for-profit organizations subject to an enacted version of the Uniform Prudent Management of Institutional Funds Act (UPMIFA) and improves disclosure about an organization s endowment funds, both donor-restricted and boarddesignated, regardless of whether the organization is subject to UPMIFA. The University interprets UPMIFA as requiring that the fair value of the original donor-restricted endowment gift be preserved as of the gift date unless there are explicit donor stipulations to the contrary. Therefore, the University classifies as permanently restricted net assets the original value of gifts donated to the permanent endowment, the original value of subsequent gifts, and accumulations to the permanent endowment made in accordance with the applicable donor gift instrument at the time the accumulation was added to the fund. The remaining portion of the donor-restricted endowment fund that is not classified in permanently restricted net assets is classified as temporarily restricted net assets until it is appropriated for University expenditure in a manner consistent with UPMIFA s standard of prudence. In accordance with UPMIFA, the University considers the following factors in determining to appropriate or accumulate donorrestricted endowment funds: The duration and preservation of the endowment fund The purposes of the institution and of the endowment fund General economic conditions The possible effects of inflation or deflation The expected total return from income and appreciation of investments Other resources of the institution The institutional investment policy The University s endowment consists of about 2,300 individual donor-restricted endowment funds and about 900 funds it designates to function as endowments. The net assets associated with endowment funds, including funds designated by the University to function as endowments, are classified and reported based on whether there are donor-imposed restrictions. Institution-designated endowment funds include quasiendowments established by specific Board of Trustees approval as well as endowments created by management under general guidelines and policies approved by the Board of Trustees. 22

23 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, 2013 The following tables present the endowment net asset composition by type of fund at fair value as of August 31, 2014, and 2013: (in thousands of dollars) August 31, 2014 Endowment net asset composition by type of fund Unrestricted Temporarily restricted Permanently restricted Total Donor-restricted endowment funds ($55) $2,397,857 $1,177,625 $3,575,427 Institution-designated endowment funds 3,925,689 3,925,689 Total endowment funds $3,925,634 $2,397,857 $1,177,625 $7,501,116 (in thousands of dollars) August 31, 2013 Endowment net asset composition by type of fund Unrestricted Temporarily restricted Permanently restricted Total Donor-restricted endowment funds ($2,013) $2,026,346 $1,108,485 $3,132,818 Institution-designated endowment funds 3,150,312 3,150,312 Total endowment funds $3,148,299 $2,026,346 $1,108,485 $6,283,130 Investment and Spending Policies The University s endowment is primarily invested in the Long-Term Balanced Pool, which is managed with the objective of long-term total return. The Investments Committee of the Board of Trustees annually reviews asset allocation policy for the pool. The principal objective for the Long-Term Balanced Pool is to preserve purchasing power and to provide a growing stream of income to fund University programs. On average, the pool seeks to achieve an annual total rate of return (i.e., actual income plus appreciation) equal to inflation plus actual spending. This objective of preserving purchasing power emphasizes the need for a long-term perspective in formulating both spending and investment policies. The Board of Trustees has adopted a guideline for the annual spending rate from the University s Long-Term Balanced Pool. The calculation blends market and spending elements for the total annual spending rate. The market element is an amount equal to 4.35 percent of the market value of a unit in the pool, averaged for the 12 months ended October 31 of the prior fiscal year. It is weighted at 30 percent in determining the total. The spending element is an amount equal to the current fiscal year s spending amount increased by 1.5 percent plus the actual rate of inflation. It is weighted at 70 percent in determining the total. If investment income received is not sufficient to support the total-return objective, the balance is provided from realized and unrealized gains. If the income received is in excess of the objective, the balance is reinvested in the Long-Term Balanced Pool on behalf of the unit holders. The University s policy is to allocate the current income of all other investment pools. 23

24 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, 2013 Changes in Endowment Net Assets The following tables represent the changes in endowment net assets for the years ended August 31, 2014, and 2013: (in thousands of dollars) August 31, 2014 Unrestricted Temporarily restricted Permanently restricted Total Endowment net assets, beginning of year $3,148,299 $2,026,346 $1,108,485 $6,283,130 Net investment loss (23,592) (20,762) (44,354) Net appreciation (realized and unrealized) 597, ,060 1,119,471 Total investment return 573, ,298 1,075,117 Contributions ,494 56,868 Appropriation of endowment assets for expenditure (138,509) (130,141) (268,650) Other changes Transfers to create institutional funds 447, ,285 Transfers of institutional funds per donor requirement ,343 12,683 Spending of institution-designated endowment fund (105,317) (105,317) Other reclassifications 57 (360) 303 Endowment net assets, end of year $3,925,634 $2,397,857 $1,177,625 $7,501,116 (in thousands of dollars) August 31, 2013 Unrestricted Temporarily restricted Permanently restricted Total Endowment net assets, beginning of year $2,648,224 $1,870,885 $1,055,210 $5,574,319 Net investment loss (23,632) (21,859) (45,491) Net appreciation (realized and unrealized) 335, , ,340 Total investment return 311, , ,849 Contributions 1,372 40,724 42,096 Appropriation of endowment assets for expenditure (114,714) (124,977) (239,691) Other changes Transfers to create institutional funds 336, ,566 Transfers of institutional funds per donor requirement (83) 15,218 15,135 Spending of institution-designated endowment fund (40,144) (40,144) Other reclassifications 6,838 (4,171) (2,667) Endowment net assets, end of year $3,148,299 $2,026,346 $1,108,485 $6,283,130 Underwater Endowment Funds The University monitors endowment funds to identify those for which historical cost was more than fair value. As of August 31, 2014, and 2013, the historical cost of such accounts was approximately $1 million and $35 million, and the fair value totaled $960,000 and $33 million, respectively. Associated unrealized losses are recorded in the unrestricted net assets classification; subsequent gains increase unrestricted net assets. 24

25 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, Retirement Plans The University maintains two contributory retirement plans for its eligible faculty and staff. The plans offer employees two investment company options, Teachers Insurance and Annuity Association (TIAA) and College Retirement Equities Fund (CREF), and the mutual funds offered by Fidelity Investments. Participating employee and University contributions are immediately vested. The University contributed $64.2 million and $61.3 million to the two plans in 2014 and 2013, respectively. It expects to contribute $67.1 million to the two plans in The University currently sponsors a healthcare plan permitting retirees to continue participation on a pay-all basis; it has no liability for participants past age 65. The retiree contribution is based on the average per-capita cost of coverage for the plan s entire group of active employees and retirees rather than the per-capita cost for retirees only. Retirees are also eligible to participate in certain tuition reimbursement plans and may receive a payment for sick days accumulated at retirement. The accrued cost for post employment benefits was $13.4 million and $14.1 million at August 31, 2014, and 2013, respectively, and is included in accounts payable and accrued expenses on the consolidated statements of financial position. The University recognizes an asset or a liability in the consolidated statements of financial position for the plans overfunded or underfunded status. The asset or liability is the difference between the fair value of plan assets and the related benefit obligation, defined as the projected benefit obligation for postemployment benefit programs and the accumulated postretirement benefit obligation (APBO) for post retirement benefit programs, such as a retiree healthcare plan. In the consolidated statement of activities, the University recognizes actuarial gains or losses and prior service costs or credits that arise during the period but are not components of net periodic benefit cost. The University measures plan assets and obligations as of the date of its fiscal year-end and makes specified disclosures for the upcoming fiscal year. The University funds the benefit costs as they are incurred. The following table sets forth the plan s obligations, benefits paid, contributions, net periodic postretirement benefit cost, and assets: (in thousands of dollars) August 31, 2014 August 31, 2013 Benefit obligations $16,702 $14,390 Benefits paid Employer contributions Contributions from participants Net periodic postretirement benefit cost 1,462 1,550 Fair value of plan assets The accumulated other comprehensive income included in unrestricted net assets on the consolidated statements of financial position totaled net losses of $2.4 million and $1.3 million as of August 31, 2014, and 2013, respectively, an increase of $1.1 million due to net losses during fiscal year The APBO was $16.7 million and $14.4 million at August 31, 2014, and 2013, respectively, and is included in accounts payable and accrued expenses on the consolidated statements of financial position. The following tables present key actuarial assumptions used in determining APBO as of August 31, 2014, and For both fiscal years 2014 and 2013, the ultimate healthcare cost trend rate was 5 percent, and the year when trend rate will reach the ultimate trend rate was

26 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, 2013 Additional assumptions used to determine benefit obligations were as follows: August 31, 2014 August 31, 2013 Settlement (discount) rate 3.6% 4.3% Weighted average rate of increase in future compensation levels 3% 3% Healthcare cost trend rate 7.25% 7.5% Next, the assumptions used to determine net periodic benefit cost: August 31, 2014 August 31, 2013 Discount rate 4.3% 3.2% Weighted average rate of increase in future compensation levels 3% 3% Healthcare cost trend rate 7.5% 7.75% A one-percentage-point change in assumed healthcare cost trend rates would have had these effects in fiscal year 2014: (in thousands of dollars) 1% point decrease 1% point increase (Decrease) increase in total of service and interest cost ($86) $99 (Decrease) increase in postretirement benefit obligation (841) 946 Estimated future benefit payments reflecting anticipated service, as appropriate, are expected to be paid as shown below: (in thousands of dollars) 2015 $ ,564 Total $10,296 The University offers a deferred compensation plan under Internal Revenue Code 457(b) to a select group of management and highly compensated employees. There is no University contribution related to this deferred compensation plan. The University has recorded both an asset and a liability related to the deferred compensation plan that totaled $54 million and $43 million at August 31, 2014, and 2013, respectively; these are included in investments and deposits payable and actuarial liability of annuities payable on the consolidated statements of financial position. 11. Related Parties Members of the University s Board of Trustees, senior management, and faculty may on occasion be associated either directly or indirectly with entities doing business with the University. The University bylaws and conflict of interest policies establish guidelines for disclosure and regulation of such activities as circumstances warrant. When such associations exist, measures are taken, in the best interests of the University, to mitigate any actual or perceived conflict. Transactions with related parties may include investment management, common membership in investment partnerships or other investment vehicles, and the purchase of goods or services. Northwestern Medical Faculty Foundation (NMFF), a related party in fiscal year 2013, reorganized in fiscal year NMFF is a multispecialty physician organization committed to providing clinical care to patients and to supporting the research and academic endeavors of Northwestern s Feinberg School of Medicine (Feinberg). NMFF entered into an agreement with Northwestern Memorial Healthcare Corporation (NMHC) and became a wholly owned subsidiary of that organization as of September 1, 2013, and assumed the name Northwestern Medical Group (NMG). NMHC is the not-for-profit parent corporation of Northwestern Memorial Hospital, which is the primary teaching hospital of Feinberg. 26

27 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, 2013 NMG retains its corporate form as a not-for-profit organization, and its primary mission remains the same. NMG is governed by a board of directors, and its physicians are full-time faculty members or researchers at Feinberg. As such, NMHC and NMG are related parties of the University. Under terms of agreements effective in fiscal 2014 between the University, NMG, and NMHC, the University received one-time payments and will continue to receive recurring contributions from NMHC to support the Feinberg research and education programs, basic and applied biomedical research facilities and programs, and research and educational support services. As of August 31, 2014, accounts receivable and accounts payable arising from operational activities with NMHC totaled $11.3 million and $6.4 million, respectively, and are included in accounts receivable and accounts payable on the consolidated statements of financial position. Through August 31, 2014, contributions relating to the reorganization of NMFF into NMHC totaling $289.1 million, and other contributions totaling $125.6 million, have been made from NMHC to the University and are included in private gifts on the consolidated statement of activities. As of August 31, 2013, accounts receivable from operational activities with NMFF totaled $10.1 million and are included in accounts receivable on the consolidated statements of financial position. Under the terms of an agreement with the University in effect in that year, NMFF contributed a percentage of its revenue to a research and education fund, medical education programs, basic and applied biomedical research facilities and programs, and research and educational support services. NMFF also contributed funds to Feinberg s teaching and research activities on a discretionary basis. These contributions totaled $60.8 million in fiscal year 2013 and are included in private gifts on the consolidated statement of activities. 12. Self-Insurance Reserves and Other Contingencies Reserves for losses under the University s self-insurance program, aggregating $5.6 million and $10.3 million at August 31, 2014, and 2013, respectively, include reserves for probable known losses and for losses incurred but not yet reported. A portion of the reserves pertaining to professional, general, and automobile liability has been determined on a discounted presentvalue basis. The discount rate was 7.5 percent in fiscal years 2014 and Self-insurance reserves are based on estimates of historical loss experience, and while management believes that the reserves are adequate, the ultimate liabilities may be more or less than the amounts provided. These reserves are included in accounts payable and accrued expenses on the consolidated statements of financial position. Under an agreement in effect through fiscal year 2013 between the University and NMFF, now known as NMG, a proportionate share of primary medical professional liability costs that arise out of events prior to November 1, 2004, was borne by NMG. As a part of the clinical integration agreement among NMFF, NMHC, and the University, signed September 1, 2013, any remaining liabilities related to the period prior to November 1, 2004, are the obligations of the University and are included in the fiscal 2014 reserves for losses noted above. In October 2013, a lending agency sold the Univer sity a $61 million portfolio of private education loans that it had purchased from the University before 2009 and that the University had serviced. The loans totaled $64.6 million as of August 31, 2013, and $54.7 million as of August 31, 2014, and are included in notes receivable on the consolidated statements of financial position. The University continues to service the repurchased loans. The University managed the program to break even and generated no servicing assets or liabilities from it in fiscal years 2013 and At August 31, 2014, and 2013, $170,000 and $204,000, respectively, were reserved in anticipation of future defaults. Notes receivable on the consolidated statements of financial position are shown net of these reserves in fiscal years 2014 and In August 2009, the University, as originating lender, began participation in a student loan securitization program. It sold to a school trust student loans totaling $65 million in 2009, $19.8 million in 2010, and $22.5 million in 2012; the University issued University guaranteed notes, which were purchased by a funding trust that procures financing to support the lending program. The programs are managed to break even and generate no servicing assets or liabilities. Guaranteed notes under these programs totaled $50.7 million and $63.6 million as of August 31, 2014, and 2013, respectively. These loans are included in notes receivable and deposits payable on the consolidated statements of financial position. Reserves in anticipation of securitized student loan future defaults totaled $157,000 and $178,000 at August 31, 2014, and 2013, respectively. Notes receivable on the consolidated statements of financial position are shown net of these reserves at August 31, 2014, and

28 Notes to the Consolidated Financial Statements For the fiscal years ended August 31, 2014, and August 31, 2013 From time to time, various claims and suits generally incidental to the conduct of normal business are pending or may arise against the University. It is the opinion of management, after taking into account insurance coverage, that any losses from the resolution of pending litigation should not have a material effect on the University s financial position or results of operations. All funds expended in connection with government grants and contracts are subject to audit by government agencies. While any ultimate liability from audits of government grants and contracts by government agencies cannot be determined at present, management believes that it should not have a material effect on the University s financial position or results of operations. 13. Grants and Contracts Grants and contracts are summarized on the consolidated statement of activities as follows: (in thousands of dollars) August 31, 2014 August 31, 2013 Federal grants $401,885 $402,984 Private grants and contracts 134, ,933 State grants 9,680 5,930 Total grants and contracts $546,165 $542, Functional Classification of Expenses Expenses by functional categories reflect salaries, wages, benefits, goods, and services used for those specific purposes. The University has allocated functional expenses for maintenance of facilities, as well as for depreciation, accretion for asset retirement obligations, and interest on indebtedness, to other functional categories based on the functional use of space on the University s campuses. Operating expenses incurred in the fiscal years ended August 31, 2014, and 2013, were as follows: (in thousands of dollars) August 31, 2014 Maintenance of facilities Depreciation and accretion Interest on indebtedness All other operating expenses Total Instruction $26,765 $16,855 $5,821 $668,990 $718,431 Research 47,806 30,108 10, , ,901 Academic support 35,170 22,149 7, , ,550 Student services 24,041 15,140 5, , ,482 Institutional support 8,493 5,348 1, , ,409 Auxiliary services 43,946 27,676 9,559 32, ,255 Total $186,221 $117,276 $40,504 $1,629,027 $1,973,028 (in thousands of dollars) August 31, 2013 Maintenance of facilities Depreciation and accretion Interest on indebtedness All other operating expenses Total Instruction $22,186 $15,234 $4,429 $607,045 $648,894 Research 41,479 28,480 8, , ,556 Academic support 31,190 21,415 6, , ,196 Student services 20,740 14,240 4, , ,738 Institutional support 7,556 5,188 1, , ,566 Auxiliary services 37,620 25,832 7,510 34, ,549 Total $160,771 $110,389 $32,093 $1,579,246 $1,882,499 28

29 Research and Development Cluster Agency for International Development Intravaginal Devices for the Sustained Delivery of Tenof AGMT-APSA //AID-OAA-A-I $27,159 Agency for International Development Total $27,159 Department of Agriculture Credit Access and Supermarket Consumption Amongst the Li // $17,500 New Evidence on Why Children s Food Security Varies Acro /AG-3198-B /AG-3198-B $95,305 Department of Agriculture Total $112,805 Department of Commerce National Institute of Standards and Technology Advanced Materials Center for Excellence: Center for Hie NANB14H012 $519,595 Context-based Modules for Teaching of Standards and Stan NANB12D288 $4,361 NIST Summer Undergraduate Research Fellowship Program NANB13H030 $500 Rapid Qualification & Certification (RQC) Using Calorime G2A62519 PO143327//70NANB13H194 $212,816 $737,272 United States Patent and Trademark Office Conference on Intellectual Property and Entrepreneurship $8,001 Department of Commerce Total $745,273 Department of Defense Air Force Office of Scientific Research (MURI-07) Bioinspired Supramolecular Enzymatic Sys FA /P00006 ($176) ABC Stochastic Multiresolution Theory for Microstructure FA $160,409 Active and Passive User Trust in Sociotechnical Systems K754 Amend No.3//FA $61,314 Biomimetic Lipid Nanoparticles: Bio-Sensing and Bio-Func FA $206,901 BioProgrammable One-,Two-, and Three-Dimensional Materia FA Mod. P00005 $1,263,867 Carbon Nanotube Thermoelectric Coolers FA /P00002 $190,847 Combinatorial Screening of Emergent Nanophotonic Behavio FA Mod. P00003 $652,979 Electrochemical Imaging and Mechanistic Studies FA Mod. P00001 $1,315,108 Fundamental studies of reactive processes at plasma-surf //FA $125,303 Hybrid Plasmonic-MOF Nanoparticle Superlattices FA $5,511 Logic-Enabled Spectroscopy of Single Trapped Molecular I FA P00001 $378,317 Nanostructured Interfaces and Patterning Tools for Probi FA P00002 $149,569 The accompanying footnotes are an integral part of the 29 (Continued)

30 New Directions in Theory-Guided Realization of Ultra-Hig R732735//FA $70,458 Optical Buffering Switching and On-Line Data Sampling vi FA $127,452 Optically Controlled Distributed Quantum Computing Using FA /P00006 $141,067 Paradigms for Emergence of Shape and Function in Biomole FA P00003 $891,177 Plasmonic Encoding FA /P00008 $206,110 Plasmonic Optoelectronic Interactions FA Mod. P00001 $140,324 Polymeric and Molecular Materials for Advanced Organic E FA P00002 $149,830 Secure Communication via Key Generation with Quantum Mea FA /P00002 ($1) Spatial and Spectral Control of Excitons within Quantum FA $453,098 Theoretical Studies of Gas-Surface and Gas-Phase Dynamic FA ($2,264) Towards Long-Lived Learning Software Collaborators FA /P00005/P00006 $225,150 Type II Superlattices as Wide Thermal Range Peltier Refr FA ($54,692) $6,857,834 Modified Nanoparticles for Lipophilic Toxin Sequestratio Agmt 6/10/13//FA C-0007 Agmt 6/10/13//FA C-0007 $194,320 Air Force Research Laboratory Managing the Mosaic of Microstructure // FA $248,404 MSEE on Unified Foundation for Representation, Inference G PA097/5 // FA $89,388 Compact and Integrated IMU for GPS Denied Navigation Usi Agmt 3/26/2013 // FA C-0018 Agmt 3/26/2013 / 01 // FA C-0018 $88,421 STTR Phase-II Extension: Novel Protocol for Quantum Key Agmt 6/4/14 // FA C-0241 Agmt 6/4/14 // FA C-0241 $29,696 STTR Phase-II: Novel Protocol for Quantum Key Distributi Agmt 9/4/12 // FA C-0241 Agmt 9/4/12 // FA C-0241 $122,401 Ultrasensitive and Compact Superluminal Ring Laser Accel Agreement 3/26/13//FA C-0011 Agreement 3/26/13 / 01//FA C-0011 $16,849 Simultaneous Inversion for Three Dimensional Velocity St 12.FA C-0231 FA C-0231 $84,919 Next Generation Nano-electronic Circuit Elements Using G FA C-0045 Agmt 11/3/13 // FA C-0045 $61,037 The Virtual World Observatory: Identifying Real World (R PO //FA C-7010 PO //FA C-7010 ($1,068) Army A New and Comprehensive Approach for the Development of HEH/01//W911NF $33, : Astrocytic Disruption in Traumatic Brain Injur W81XWH $436,270 A Novel Approach to Assay DNA Methylation in Prostate Ca W81XWH $105,588 Aberrant Recapitulation of Developmental Program: Novel W81XWH $325,756 Adaptations in Locus Ceruleus Induced by Post-Traumatic W81XWH $442,084 Balancing Pro-Tumor and Anti-Tumor Immunity to Control B W81XWH ($363) Balancing Pro-Tumor and Anti-Tumor Immunity to Control B W81XWH ($1,039) The accompanying footnotes are an integral part of the 30 (Continued)

31 BC123474: Fas protects breast cancer stem cells from dea W81XWH $147,093 BIOMASK: The Use of an In-Vivo Bioreactor as a Biologic W81XWH $772 Delivery of Nano-Tethered Therapies to Brain Metastases W81XWH $121,840 Development of Sub-Ischial Prosthetic Sockets with Assis W81XWH $349,022 Development of the Replica Barcode Selection Technolog W81XWH ($59) Effect of Teriparatide, Vibration & the Combination on B W81XWH $521,983 Glutamate Signaling and Mitochondrial Dysfunction in Mod W81XWH $101,476 In-vivo functional muscle regeneration utilizing an impl WFUHS441082CF12/W81XWH $70,006 Locally applied statins to reduce scarring WFUHS SR-02//W81XWH $156,931 PASTOR PO# /W81XWH $803,480 Pathophysiology of Post Amputation Pain //W81XWH $86,305 Pro-Apoptotic Breast Cancer Nanotherapeutics W81XWH $2,090 Protein Aggregation Inhibitors for ALS Therapy W81XWH $21,806 PsychoMotor and Error Enabled Simulations: Modeling Vuln //W81XWH $5,708 Role of mrna methylation in prostate cancer W81XWH $104,515 Stabilized Hemoglobin Wound Healing Development Agmt 10/21/11 // W81XWH $17,333 Targeted reinnervation as a means to treat neuromas asso WX1XWH $235,680 TGF-Beta Antibody for Prostate Cancer: Role of ERK W81XWH ($10,095) The Chicago Prostate Cancer Association (CPCa): A Cooper // W81XWH $37,670 Therapeutic Value of PLK1 Knockdown in Combination with W81XWH $27,090 Vitamin D Levels and Related Genetic Polymorphisms, Sun W81XWH ($1,234) $4,107,708 4pi-Steradian Curved And Lensless Imagers (4pi-SCALE) W911NF /P00003/P00004 $427,393 Capacitance-Voltage Measurement of Type-II Superlattice W911NF /P00005 $60,206 Complex Dynamics and Systems: Controlling Energy Flow in W911NF $57,538 Computational Analysis and Screening of Materials W911NF Mod. P00004 $82,791 Creating and Manipulating High-Dimensional Photonic Enta W911NF /P00004 $122,843 Engineering Synthetic Ribosomes (Topic 9.1) W911NF /P00002 $81,169 High-Performance Single-Photon Sources via Spatial Multi W911NF $178,386 Identification of Genetic and Brain Molecular a W911NF /P00007 $261,692 Infinite Coordination Polymer Nano- and Micro-Particles W911NF Mod. P00004 $131,050 In-situ, Nanosecond, High Resolution TEM Instrumentation W911NF $101,863 Laser Filamentation Science /04//W911NF $56,018 Modular Extracellular Sensor Architecture and Multigenic W911NF Mod: P00006 $285,707 Multiscale Design and Manufacturing of Hybrid DWCNT-Poly W911NF /P00007 $1,122,765 The accompanying footnotes are an integral part of the 31 (Continued)

32 PECASE: Organic Ligands as Tools to Analyze and Control W911NF $236,930 Section II, A2, G-7.5 Metal-Organic Framework Materials W911NF $280,270 Single-Photon Nano-Injection Detector (SPID) Arrays W911NF /P00004 $148,989 Stabilization of Reactive Chemical Species and Fundament W911NF $41,436 Strong Electron-Photon Coupling using Plasmonic Light Co W911NF /P00003 $159,239 TOPIC Infrared Detectors: Demonstration of Dual-Ba W911NF /P00001 $423,856 Validated Predictive Modeling of Engineered Cellulose Ma W911NF $115,704 warchitectured Porous Shape Memory Alloys and Composites W911NF /P00002 ($192) $4,375,653 Information Network Academic Research Center: An Integra //W911NF $100,129 Microscopic Computational Analysis of Fiber-Matrix Inter W912HZ-12-P-0137 $37,755 Pre-Spending Information Network Academic Research Cent W911NF // $149,771 Social/Cognitive Networks Academic Research Center A71357//W11NF Y4 & 5 $166,543 $454,198 Macroscopic Quantum Communications Using Photonic Qudits W31P4Q /P00006 $2,381,393 Network Sciences Collaborative Technology Alliance // Agmt 11/10/10 // W911NF /0013//W911NF $181,432 High Operating Temperature MWIR FPA Camera Agmt 11/3/11 - #W909MY-11-C-0033 Agmt 11/3/11 - #W909MY-11-C-0033 ($147) STTR Phase-II: High Speed Room Temperature Single Photon Agmt 2/11/13 // W911NF-13-C-0028 Agmt 2/11/13 // W911NF-13-C-0028 $36,816 Induction of Donor Specific Tolerance in Recipients of L Agmt 3/14/11//W81XWH Agmt 3/14/11//W81XWH $15,527 Fabric Plasmonic Nanosensors for Chemical Warfare Agents Agmt 4/15/13 //W911NF-13-C-0051 Agmt 4/15/13 //W911NF-13-C-005 P00003 $77,980 Industrial Production Methods for Ultra-High-Strength Fi AGMT031913//W912HZ-13-P-0015 AGMT031913//W912HZ-13-P-0015 $37,655 Numerical Simulation of the Micromechanical Behavior of PO No. 4791//W912HZ-12-C-0020 PO No. 4791//W912HZ-12-C-0020 $26,447 The Coevolution of Multi-Dimensional Dynamic Networks of 12.W5J9CQ-12-C-0017 W5J9CQ-12-C-0017 Mod. P00009 $430,098 Coupling between Pore Water Fluxes, Structural Heterogen 12.W912HQ-10-C-0024 W912HQ-10-C-0024/P00003 $55,189 Assistant Secretary of Defense for Health Affairs Radioprotective functions of Deinococcus Mn complexes fo // HT $1,231 Defense Advanced Research Projects Agency Aerospace Micro-Mesoscale Manufactuing (AM3) Demonstrati G2A62487 PO136085//W150KN $59,587 Architectural and Microstructural Optimization of Braide W91CRB // $366,276 Exploring Flexible Multimodal Instruction of Intelligent D12AP00026/0001 $178,069 In Vivo SERS Nanoplatforms for Diagnostics HR Mod. P0004 $1,467,746 Spherical Nucleic Acids for In Vivo Therapeutics HR /P00003 $2,767,431 The accompanying footnotes are an integral part of the 32 (Continued)

33 Topological Insulators--Solid State Chemistry, New Mater G PA104//N ($586) Using Temporal Phase Signatures to Predict and Control B D12AP00023/0009 $2,187,370 Web-scale Active Learning D11AP00268 $116,314 $7,142,207 Understand and Utilize Context-Aware Information Dissemi W911NF-12-C //No. W911NF-12-C-0028 $118,921 Revolutionizing Prosthetics FP46087//N C-4056 FP46087//N C-4056 ($5,406) IPA to the Defense Advanced Research Projects Agency (DA 12.IPA Agmt 01/30/2013 IPA Agmt 01/30/2013 $250,310 Defense Security Cooperation Agency Novel Light Sources Based On Nonlinearity Enhanced By Na PO# PO# /1 $94,133 Defense Threat Reduction Agency Hierarchically engineered porous organic polymer catalys HDTRA $65,703 Reticular Materials as Sorptive, Catalytic and Chemo-Sen HDTRA ($2,716) Sensing Fissile Materials at Long Range HDTRA /P00004 $236,728 Synthesis, Experimental Investigation and Mechanistic Co HDTRA /P00005 $329,233 $628,948 Department of Defense Optical Neural Techniques for Combat/Post-Trauma Healthc $2,858 Brain-Controlled Intrafasicular Nerve Stimulation with H //W81XWH $35,524 Molecular basis of food allergy and food tolerance RSUB//W81XWH-10-GSFARP-IA $2,880 Parkinson Associated Risk Factor Study (PARS): Evaluatin Agmnt 8/30/07 $2,542 $40,946 Neuropathology Studies of Traumatic Brain Injury PO# A02//HT $6,281 WRMC Pain Management MED0026//W911QY-13-C-0103 MED0026//W911QY-13-C-0103 $131,421 Intelligence Advanced Research Projects Spoken Wordsearch with Rapid Development and Frugal Inva Agmt 7/3/12//W911NF-12-C-0014 Agmt 7/3/12//W911NF-12-C-0014 $121,190 The accompanying footnotes are an integral part of the 33 (Continued)

34 Missile Defense Agency STTR Phase II: Highly Sensitive Light-Weight Gyroscope Agmt 12/23/10//HQ C-7070 Agmt 12/23/10 // MDA08-T005 $32 Development of high energy laser analysis software along Agmt 3/26/2013 // HQ C-7404 Agmt 3/26/2013 // HQ C-7404 $12,563 SBIR Phase II: Novel Precision Fiber Optic Gyroscope SIBR Contract No:HQ C-7029 SIBR Contract No:HQ C-7029 $10,356 Navy A Bio-inspired Underwater Robot for Station keeping with N $100,994 Advanced Instrumentation for Printed Flexible Electronic N $20,804 Algorithms for Mixed Integer and Stochastic Optimization N P00007 $184,737 All Fiber Adaptive Two-Wave Mixing Demodulator and Adapt N P00003 $184,461 An Analogical Approach to Autonomy and Social Inference N $442,811 Atomically Precise Control and Characterization of Graph N $111,006 Autonomous Vehicle Dynamic Navigation System N P00008 $54,500 Central Pathways for Auditory Nociception N $12,906 Conductive DNA Systems and Molecular Devices N Mod. P00007 $1,367,987 Cutset Sampling Topologies for Intelligence, Surveillanc N $49,656 Cyberalloys 2020: Naval Materials by Design N $290,581 Drugs to Stimulate Neurite Regeneration from Damaged Coc N $405,238 Dynamically Textured Polymer Surfaces N $275,447 Elastomeric Polymer-by-Design for Blast-Induced Shock-Wa //N $54,838 Engineered Ribosomes for the Production of Sequence Defi N Mod. P00006 $189,879 Enhancing the Penetration and Fragmentation Behavior of N /P00007 $27,363 Finding Allies for the War of Words: Mapping the Diffusi //N $72,690 Fin-Powered Autonomous Underwater Vehicle for Research o N $67,839 Functional One-Dimensional Structures Based Upon On-Wire N /P00002 $137,588 Functionalized Two-Dimensional Nanoelectronic Heterostru N $17,830 In Situ Synthesis as a Chemical Approach to Molecular El N $232,493 Instrumentation for Chemically Functionalized Graphene N $595,366 Intergovernmental Personnel Act Agreement for Seok Jong agmnt 3/31/11 ($862) Large Sandwich Panels for Lightweight Ship Hulls: Buckli N /P00004 $8,942 Large Scale Optimization Methods for Data Science Applic N $44,219 Learning by Reading for Robust Reasoning in Intelligent N $72,539 Li-ion Battery Safety - Electrode Microscale to Cell Sca N $24,835 lunderstanding Atomic Scale Structure in Four Dimensions N $1,392 Materials Informatics Applied to Nanocomposites for Adva A12480//N $45,008 Materials Informatics Applied to Nanocomposites for Appl A12161//N $499 The accompanying footnotes are an integral part of the 34 (Continued)

35 Modeling Li-Ion Battery Performance and Safety, Bridging N $84,618 Multiscale Modeling of Thermoplastic Elastomers for Enha N $24,172 Nanomanufacturing for Enhancing the Human-Machine Interf A //N $344,932 Overcoming Noise and Delay in Mobile Sensor Networks N P00002 $179,847 Physics-Based Multidisciplinary Failure Analysis of Subm C // N $6,980 Re-Engineering the Quantum Cascade Laser for Highly Effi N /P00001 ($2,500) Response of Composite Materials and Structures to Impact N $138,216 Robust Learning and Reasoning for Intelligent Agents N /P00015 $25,891 Structure-Properties Relationship of Particles of Crumpl N P00002 $135,773 Symbolic Supercomputer for Artificial Intelligence and C N $6,077 The Dynamics of Nanowire Growth N $11,046 The Mutual Influence of Sacred Values and Social Respons Agmnt 6/30/14 //FA $41,384 Tsunami Warning & Ionosphere Seismic Tomography (TWIST) N P00003 $15,977 Tuning the entropic spring: A predictive modeling approa N P00003 $148,017 Understanding kinetic pathways of phase transformations N $111,386 $6,365,402 New Theoretical and Experimental Methods for Predicting C //W911NF $3,168 A Clinically Viable Brain Machine Interface RC100950A//N ($452) Combating Bacterial Threats with Programmable Bactericid N $77,051 Continuous Sensing in Complex Biofluids Using Surface-En N $166,376 Entangled Photon Generation in Fluorescent Proteins N /P00009 $119,672 Scanning Probe Epitaxy N /P00004 $106,590 Sensors Based on Quantum Spin Coherences in Photosynthet N /P00006 ($2,819) Synthesis of Sequence-Defined Vinyl Polypeptides for Fun N $119,745 $586,163 A Physics-Based Predictive Computational Model for the H B // N C B//N C-0105 $8,366 Fracture Evaluation and Design Tool for Welded Aluminum //FFP-2011-UTEP //FFP-2011-UTEP-0919//N C-048 ($12,231) III-Nitride Based High-Power 340 nm Lasers Agmt 11/09 // // N Agmt 11/09 // // N C-0025 $92,017 Ultra-Low-RF-Power Ultra-Wide-RF-Bandwidth High-Optical Agmt 12/31/14 // N C-0379 Agmt 12/31/14 // N C-0379 $6,020 High-Speed Electronically Tunable Fiber Optic Wavelength Agmt 2/1/13 // N C-0370 Agmt 2/1/13 // N C-0370 $20,391 Ultra-Wide Continuous Wave Electrical Tuning with a Mult Agmt 2/14/14 // N C-0124 Agmt 2/14/14 // N C-0124 $7,863 Low-Cost-By-Design Mid-Wave Infrared Semiconductor Surfa Agmt 4/8/14 // N C-0342 Agmt 4/8/14 / P0002 // N C-0342 $13,649 irots: Interoperable Robust Orthogonal Translation Syste C13K11518(K00183)//N C-4211 C13K11518(K00184)//N C-4211 Amd 4 $854,035 The accompanying footnotes are an integral part of the 35 (Continued)

36 Total Fatigue Life Assessment of Complicated Structures FFP-2012-NWU-0815//N C-0311 FFP-2012-NWU-0815//N C-0311 $655 High Performance Solar-Blind FPAs for Next Generation Mi MPTNU //N C-0084 MPTNU //N C-0084 $74,972 Office of Naval Research Basic Research Challenge- Enhan P.O //N C RE#3 // N C-0160 $256,694 Biologically-derived Medicines on Demand P //N C-4024 P Mod 02//N C-4024 $320,524 Department of Defense Total $37,159,506 Department of Education Fulbright-Hays Doctoral Dissertation Research Abroad P022A $53,727 Fulbright-Hays Doctoral Dissertation Research Abroad P022A $2,856 $56,583 Advanced Rehabilitation Research Training Project for Re H133P / Action #5 ($32,828) Midwest regional Spinal Cord Injury Care System: Mobili //H133N $1,243 Rehabilitation Engineering Research Center on Prosthetic H133E $469,781 Rehabilitation Strategies, Techniques, and Interventions //H133E $47,362 $485,558 Reading for Understanding Across Grades 6 through 12: Ev Agmt 10/06/10 // R305F $615,313 Teaching Perceptual and Conceptual Processes in Graph In R305A $306,682 $921,995 An Efficacy Trial of Enhanced Milieu Teaching Language I /R324A $57,084 New Terrain for Preservice and Inservice Teachers of Sci // $1,776 ARRA - Project READS: Using Data to Promote Summer Reading & Cl //U396B $34,216 Institute of Education Sciences A Summer RCT Training Institute for Established Research R305B $191,536 A Three Year Proposal to Conduct Two Annual Workshops on R305U $3,467 Better Warranted Quasi-Experimental Practice for Evidenc R305D $154,150 CALDER - State and Local Mod. 1//R305C $184,343 Center for Interactive Knowledge Utilization //R305C $43,854 The accompanying footnotes are an integral part of the 36 (Continued)

37 Continuing Support for the Development of SREE: The Soci R305U /6 $512,704 IES GBG PD MODELS // R305A $19,680 Multidisciplinary Program in Educational Sciences R305B080027/01 $116,929 Multidisciplinary Program in Educational Sciences R305B $24,917 Post Doctoral Research Training Fellowship in Education R305B $73,459 Prevention of Truancy in Urban Schools through Provision R305A $633,200 Proposal for an RCT Training Institute RC100872NU//R305U $171,404 State-Specific Design Parameters for Designing Better Ev NU/Amd 4//R305D $247,563 $2,377,206 National Institute on Disability and Rehabilitation Research Development of A Low-Cost Dilatancy-Based System for Ort H133G $213,091 Development of Quality Measures for Post-Stroke Rehabili //H133G100182/Amend 02 $2,307 Enhancing Written Communication in Persons with Aphasia: // H133G $12,713 Improving Measurement of Medical Rehabilitation Outcome //H133B $83,656 Machines Assisting Recovery from Stroke and Spinal Cord CC 81765//H133E Amd. 2 $70,433 Northwestern University Advanced Rehabilitation Research H133P $16,629 Rehabilitation Research Training in Neurologic Communica H133P $131,258 Rehabilitation Sciences for Basic Scientists & Engineers H133P $128,568 RRTC: Enhancing the Functional and Employment Outcomes /A3//H133B /3 $3,705 The Development of a Commercial Rehabilitation Device to H133G $86,974 The Development of an Algorithm for Intuitive Control of H133G $103,857 The Effect of Resistance to Participant-Supported Reachi H133G $210,039 $1,063,230 Office of Innovation and Improvement Validation of the Effectiveness of an Innovative Early M s //u411b a $16,123 Department of Education Total $5,013,771 Department of Energy Advanced Research Projects Agency-Energy Versatile Single-Component Protein Scaffolds for Methane DE-AR $516,636 Actinide Transition-Metal Chalcogenides and Pnictides DE-FG02-04ER15522/004 ($8,810) An Optimizing Compiler For Petascale I/O Leadership-Clas DE-SC $1,023 Antiferromagnetism and Superconductivity DE-FG02-05ER46248 $89,476 The accompanying footnotes are an integral part of the 37 (Continued)

38 Approaches to Integrated Photochemical Systems for Solar DE-FG02-99ER14999 Mod $327,518 Argonne-Northwestern Solar Energy Research (ANSER) Cente DE-SC /004 $3,233,112 ARRA - Center for Integrated Training in Far-from-Equilibrium a DE-SC $3,167,754 ARRA - Chemical Control of Charge Trapping and Charge Transfer DE-SC $164,876 Collaboration with Photosynthetic Antenna Research Cente WU-HT MOD-4//DE-SC $138,125 Coordination-Chemistry-Derived Materials Featuring Nanos DE-FG02-08ER15967/005 $131,154 Damsel: A Data Model Storage Library for Exascale Scienc DE-SC $486,151 Department of Energy Computational Science Graduate Fell Letter 9/16/14 $1,230 Effect of Low Dose Irradiation on NFKB Signaling Networ DE-SC /005 $1,867,606 Electronic Structure and Novel Properties in Complex Oxi DE-FG02-88ER45372 $55,609 Electronic Structure Theories of Singlet Fission DE-SC $148,840 Electrostatic Driven Self-Assembly Design of Functional DE-FG02-08ER46539/003 $224,611 Enabling Exascale Hardware and Software Design through S DE-SC $165,461 Epitaxial Multifunctional Oxide Heterostructures DE-FG02-06ER46346 $72,119 Fundamental Studies of Light-Induced Charge Transfer, En DE-FG02-87ER13808/A028 $133,409 Granular Constraints and Size Effects in Polycrystalline DE-SC $202,805 High Performance Nano-Crystalline Oxide Fuel Cell Materi DE-FG02-05ER46255/04 $428,926 Imaging Carrier Generation, Transport, and Collection in DE-FG02-07ER46401/002 $98,451 Institute for Environmental Catalysis DE-FG02-03ER15457 $788,591 Kinetics and Thermodynamics of Metal and Complex Hydride DE-FG02-07ER46433 $109,787 Light-Driven Charge Transfer in Face-to-Face Donor-Space DE-FG02-96ER14684 $141,771 Materials Genomics P.O // DE-SC $104,983 Materials Science of Electrodes and Interfaces for High DE-FG02-08ER $446,458 Mechanical Properties and Microstructural Evolution in A DE-FG02-98ER45721 $145,982 Metal Flux Synthesis of Heterometallic Aluminum Silicide DE-FG02-07ER46356 $2,268 Metastable Vortex Lattices-Properties and Applications //DE-SC $52,898 Microstructural, Microchemical and Electromagnetic Chara P.O // DE-AC02-76CH03000 $18,803 Minimizing Irreversible Capacity Loss of SiNode Material Agreement 4/1/13 // DE-SC $33,355 Molecular Nanocages for Catalysis: An Investigation of E DE-FG02-01ER15184 Mod 0014 $84,410 Nanoengineering of Complex Materials DE-FG02-00ER $483,684 Nanoporous Materials Genome: Methods and Software to Op A Amd. 1//DE-SC $193,698 New Directions in Intense Laser Alignment DE-FG02-04ER15612 $53,353 New Methods for Atomic Structure Determination of Nanosc DE-FG02-01ER45945 $188,600 Nonlinear Optimization and Applications DE-FG02-87ER25047/028 $176,634 Probing Coherent States of Light and Matter in Two-Dimen DE-SC $16,069 Research in High Energy Physics DE-SC $984,083 The accompanying footnotes are an integral part of the 38 (Continued)

39 Revolutionary Materials for Solid State Energy Conversio A/Amd 4//DE-SC $643,670 Scalable and Power Efficient Data Analytics for Hybrid E DE-SC $380,775 Scalable Data-Management, Analysis, and Visualization (S DE-SC $75,427 SISGR: Single Molecule Chemical Imaging at Femtosecond T DE-SC $626,403 Sparse Grid Scenario Generation and Interior Algorithms DE-SC $53,654 Strong Interaction Studies with Medium Energy Probes DE-FG02-87ER40344/A030 $322,770 Supported Organometallic Complexes: Surface Chemistry, S DE-FG02-86ER13511/033 $185,279 Surface Plasmon Enhanced Chemistry DE-SC Mod $132,526 Templating Routes to Supported Oxide Catalysts by Design DE-SC /003 $119,041 The Evolution of Topologically Complex Structures: Coars DE-FG02-99ER45782/013 $143,781 $17,838,199 A Novel Lubricant Formulation Scheme for 2% Fuel Efficie DE-EE $142,439 Rapid Freeform Sheet Metal Forming: Technology Developme A10-PO //RQ13-235R07//DE-EE $413,515 $555,954 ARRA - National Advanced Biofuels Consortium Agmt10/29/10/1 // ZCE /DE-AC36-08GO28308 $8,048 Cellulosic Biomass Sugars to Advantaged Jet Fuel - Catal DE-EE /Agmt 12/13/11 $68,846 Efficient Discovery of Novel Multicomponent Mixtures for DE-FG36-08GO18136 Mod: 0010 $385,135 $462,029 Computational Design of Creep-Resistant Alloys and Exper OR-A S002-A04//DE-FE $63,520 DOE NNSA Stewardship Science Graduate Fellowship Program Letter 9/26/11//DE-FC5208NA28752 $495 DOE NNSA Stewardship Science Graduate Fellowship Program Letter 9/26/11//DE-FC52-08NA28752 $1,305 High-Pressure Elastic Properties of Minerals, Glasses an Amd 1//DE-NA $112,138 $113,938 NEET-3: Reactor Materials - Predictive Characterization DE-NE $46,408 Commercial Prototype Adsorbed Natural Gas (ANG) System f GTI Subcontract #S402/DE-AR $354,585 Nonlinear Ultrasonic Techniques to Monitor Radiation Dam //RC936-S2 RC936-S2// $105,680 Nonlinear Ultrasonic Diagnosis and Prognosis of ASR Dama //DE-AC07-05ID //DE-AC07-05ID14517 $425,912 Novel Metal Sulfides to Achieve Effective Capture and Du //DE-AC07-05ID //DE-AC07-05ID14517 $371,025 Microplane Constitutive Model for Carbon-Polymer Laminat AMP// DE-EE AMP// DE-EE $134,882 Hobbes: OS and Runtime Support for Application Compositi / /2 $47,387 Midwest Center for Structural Genomics F M0004//DE-AC02-06CH F M0009//DE-AC02-06CH11357 $408,133 The accompanying footnotes are an integral part of the 39 (Continued)

40 Giant Nanocrystal Quantum Dot for High-Efficiency Soli // DE-AC52-06NA // DE-AC52-06NA25396 $70,381 Develop and, then, numerically test a fracture model for // DE-AC52-06NA // DE-AC52-06NA25396 $74,702 Novel Tailored-Precipitate Ferritic (TPF) Steels for Rea // // DE-AC52-06NA // // DE-AC52-06NA25396 $80,811 Joint Center for Energy Storage Research F // DE-AC02-06CH F M0006 // DE-AC02-06CH11357 $230,376 Support for Yue Sun J-30081/3J A 3J-30081/3J A $27,069 Support for Junjing Deng J-30081/3J A 3J-30081/3J A $37,350 Support for Kenan Li J-30081/3J A 3J-30081/3J A $34,662 Rational Synthesis of Superconductors J-30081/3J A 3J-30081/3J A $52,778 ARRA - Support for Daikang Yan J-30081/3J A 3J-30081/3J A $30,116 Understanding Complex Oxide Surfaces in Reactive Environ J-30081/3J A 3J-30081/3J A $60,912 Modeling Degradation of Battery Materials J-30081/3J A 3J-30081/3J A $13,189 Development of Rail Mode Energy and Emissions Characteri J-30081/3J A 3J-30081/3J A $11,595 Support for Joseph Sklenar J-30081/3J A 3J-30081/3J A $11,314 Support for Young Pyo Hong J A 3J B//DE-AC02-06CH11357 $38,700 Optimization of the Process Conditions for the Growth of J A 3J A $11,699 Aspen Simulations of Pretreatment Technologies J A 3J A $29,975 Aspen Simulations of Process to Make Bioproducts J A 3J A $46,118 Synchrotron X-Ray and Computational Studies of Strains J A//BOA 3J J A//BOA 3J $44,401 Biomimetic Hybrid Architectures for Solar Chemical Energ J A (0007B)//DE-AC02-06CH1 3J A//DE-AC02-06CH11357 $111,084 Complex Oxide Heterostructures J A 3J A $34,552 Mineral Surface and Interface Synchrotron X-ray Studies J A 3J A $21,222 Synchrotron X-ray Studies of Nanostructured Polymer Film J A Revision No. 0013B 3J A Revision No. 0013B $30,060 Li Ion Battery X-ray Interface Studies J A 3J A $40,588 Synthesis and Modification of Graphene for Catalytic and J A 3J A $34,267 Synthesis and Modification of Graphene for Catalytic and J A 3J A $2,526 Development of distributionally-robust optimization meth J A 3J A $23,250 Development and Application of Modeling Software J A//BOA 3J J A//BOA 3J $33,415 Energy-Economic Systems Analysis of Emerging Manufacturi J A 3J A $56,498 Optimizing Superconductor Transport Properties J A 3J A $19,700 Unconventional Signatures for Characterizing Culture Con J A 3J A $486 Fluid Interfaces Reactions, Structures, and Transport (F //DE-AC05-00OR //DE-AC05-00OR22725 $59,457 Local Electrode Atom Probe (LEAP) Analysis of Two Silica //DE-AC05-00OR //DE-AC05-00OR2272 ($2,324) Geochemical Equilibria and Reaction Dynamics: Atomic- to /DE-AC05-00OR /DE-AC05-00OR22725 $60,546 Nanostructured Biocomposite Materials for Energy Transdu F // DE-AC02-06CH F // DE-AC02-06CH11357 $6,400 Complex Oxide Heterostructures J A 8J A//DE-AC02-06CH11357 $8,759 Support for Rachel Mak J-00061/8J A//DE-AC02-06CH 8J-00061/8J A//DE-AC02-06CH11357 $3,061 The accompanying footnotes are an integral part of the 40 (Continued)

41 Support for Junjing Deng J-00061/8J A 8J-00061/8J A $2,350 Biomimetic Hybrid Architectures for Solar Chemical Energ J A/0011B 8J A/Revision No.0011A//DE-AC02-06CH1135 $10,579 Rational Synthesis of Superconductors J A 8J A/0025B $35,162 Rare-Earth Silicate Coatings for Power-Generation Applic J A//DE-AC02-06CH J A//DE-AC02-06CH11357 $11,880 Li Ion Battery X-Ray Interface Studies J A 8J C $11,646 Synchrotron X-Ray and Computational Studies of Strains a J A // DE-AC02-06CH J A // DE-AC02-06CH11357 $434 Raman Spectroscopy of Catalysis J A/ Revision No. 0031C 8J A/ Revision No. 0031C $156,951 Industry Energy Futures (IEF) Scenarios to evaluate th J A 8J A $2,160 Advanced Algorithm and Optimization-Based Decision Makin J A 8J A $2,304 Synchrotron X-ray Studies of Nanostructured Polymer Film J A//DE-AC02-06CH J A//DE-AC02-06CH11357 $6,912 Synthesis and Modification of Graphene for Catalytic and J A 8J A $13,742 Synthesis and Modification of Graphene for Catalytic and J A//DE-FG02-06CH J A//DE-FG02-06CH11357 $9,023 Support for Yue Sun J A 8J A $2,333 Support for Kenan Li J A // DE-AC02-06CH J A // DE-AC02-06CH11357 $3,551 Tailored Interfaces in Electrical Energy Storage (TIES) F-31901//DE-AC02-06CH F-31901//DE-AC02-06CH11357 $653,955 Institute for Atom-Efficient Chemical Transformations (I F-31924//DE-AC02-06CH F-31924//DE-AC02-06CH11357 $740,774 Joint Appointment Agreement for Xiaohui Liu Agmt 05/18/11 // DE-AC02-06CH11357 Agmt 05/18/11 // DE-AC02-06CH11357 $41,591 Argonne Joint Appointment--Francis Petriello Agmt 07/13/12 // DE-AC02-06CH11357 Agmt 07/5/13 // DE-AC02-06CH11357 $106,791 Argonne Joint Appointment--Poeppelmeier Agmt 07/13/12 // DE-AC02-06CH11357 Agmt 07/23/13 // DE-AC02-06CH11357 $204,792 Joint Appointment Sonbinh Nguyen Agmt 07/13/12 // DE-AC02-06CH11357 Agmt 07/23/13 // DE-AC02-06CH11357 $24,417 Joint Appointment Mercouri Kanatzidis Agmt 07/22/2012//DE-AC02-06CH11357 Agmt 07/5/2013//DE-AC02-06CH11357 $202,503 Joint Appointment Peter Stair Agmt 08/18/11 // W ENG-38 Agmt 7/23/13 // DE-AC02-06CH11357 $178,709 Argonne Joint Appointment--Wasielewski Agmt 3/9/11 // W ENG-38 Agmt 7/5/13 // DE-AC02-06CH11357 $50,836 Fermi Joint Appointment - Eric Dahl Agmt 6/27/12 // DE-AC02-07CH11359 Agmt 6/27/12 // DE-AC02-07CH11359 $62,828 Joint Appointment Ian Low Agmt 7/13/12 // DE-AC02-06CH11357 Agmt 7/5/13 // DE-AC02-06CH11357 $88,818 Joint Appointment Joseph Hupp Agmt 7/22/2012 // DE-AC02-06CH11357 Agmt 7/5/2013 // DE-AC02-06CH11357 $39,267 Protected High-Capacity Anodes for Li-ion Battery Applic Check 10/9/13 Check 10/9/13 $24,621 Development of a New, Lightweight Alloy for Advanced Cyl DE-EE // PO# TCS DE-EE // PO# TCS $136,483 Exciton Dissociation in Single Quantum Dot-Molecule Invoice# ANLNW50K-2 Invoice# ANLNW50K-2 $43,401 Dynamic Processes in Organic Solar Cells No. 8J A // DE-AC02-06CH113 8J G // DE-AC02-06CH11357 $376 Maintenance and Operations Activities Related to the US P.0. # // DE-AC02-07CH11359 P.0. # $101,488 Energy Frontier Research Center for Solid-State-Lighting P.O. #947617/4 P.O. #947617/4 $86,620 Laura Fields Fermilab Intensity Frontier Fellowship P.O //DE-AC02-76CH03000 P.O //DE-AC02-76CH03000 $16,000 Center for Inverse Design: A New Approach to Material Sc XCI // DE-AC36-08GO28308 XCI /M06// DE-AC36-08GO28308 $644,445 Nanolaminate Coatings for Improved Nuclear Fuel Cladding J A 8J B//8J $59,975 The accompanying footnotes are an integral part of the 41 (Continued)

42 National Nuclear Security Administration Compressive Sensing and Super-Resolution of Passive Mill DE-NA /004 $156,974 Perceptual Data Analysis and Semantic Information Extrac DE-NA $148,950 Ternary Heavy Metal Halide Semiconductors for Y-Radiatio DE-NA $46 $305,970 Department of Energy Total $26,977,670 Department of Health and Human Services Eliminating Lupus Health Disparities Initiative (ELHDI) AGMT / CPIMP $10,236 Evaluation of the Dementia-Capable Home & Community Serv DCG1407//90DS $4,721 Administration for Children and Families Expanding the Cycle of Opportunity: Simultaneously Educa YR $214,185 CareerAdvance: A Dual-Generation Programs Effects PH $412,984 CareerAdvance: A Dual-Generation Program s Effects on Fa PH0020/02 $64,309 $477,293 Administration for Children and Families CareerAdvance Agmt 1/28/11 Agmt 10/10/13 Amd 1 $215,480 Agency for Healthcare Research and Quality Health Services Research Training Grant FP037911//2T32HS $95,623 Institutional National Research Service Award T32 HS ($75,679) Northwestern University-University of Chicago HSR Postdo T32HS $460,853 $480,797 Best Practices For Integrating Clinical Decision Support R18HS $280,645 Comparative Effectiveness of Dynamic Patterns on Glucose R01HS $22,433 Creating simulation-based performance assessment tools f VUMC38171 // R18 HS $15,763 Engaging Patients and Hospitals to Expand Public Reporti R21HS $242,538 Enhanced Spanish Drug Label Design to Promote Patient Un R01HS $26,829 Impact of Somatic & Cognitive Symptoms on Depression Mea R03HS $29,217 Improving ED Quality and Safety by Enhancing Opera K08HS $133,264 Innovative Methods for Modeling Longitudinal Medical Cos R01HS $502,239 INTERdisciplinary Approaches to Communication and Teamwo R18HS ($944) The accompanying footnotes are an integral part of the 42 (Continued)

43 Mount Sinai Collaboration for Advancing Pediatric Qualit //5U18HS $21,484 NICU-2-Home: Using HIT to Support Parents of NICU Gradua R21HS $107,179 Northwestern University Patient-centered Intervention K12HS $12,095 NU Center to Advance Equity in Clinical Preventive Servi P01HS REVISED $1,174,035 Pediatric Measurement Center of Excellence Amend //5U18HS $648,929 Reducing Healthcare-Associated Infections Using an Infec agrmnt 7/6/11//R18HS $25,030 Strategic Liver Allocation by Stochastic Game Models - C R36HS $151 Symptom Monitoring and Reporting System for Pediatric Ch R21HS $32,256 The Seven Pillars: Crossing the Patient Safety-Medical L //1R18HS $80,865 Tools for Optimizing Medication Safety (TOP-MEDS) U19HS $744,432 Use of Simulation-Based Mastery Learning for Thoracentes R18HS $209,284 $4,307,724 ARRA - A Low Literacy Multimedia Approach to Disseminate Biling R18HS REVISED $110,266 Comprehensive Patient Safety and Medical Liability Commu HHSA I//80322 HHSA I//80322 $57,801 Centers for Disease Control Chicago Community-Acquired Pneumonia Consortium II U18IP $42,710 Capacity Building and Technical Assistance Activities //HSPH-01 u/5uggh $135,902 Implementation of Programs for Prevention, Care and Trea Agreement Date: 1/17/12//PS $36,839 Implementation of Programs for the Prevention, Care and //5U2GPS ($5,444) $167,297 Prevention of the Complications of Bleeding Through HTC / 5U27DD $11,124 Economic Analysis of Risk Management Outcomes //R01OH $30,498 The roles of TfRs and HSPA5 in Pu uptake R01OH $203,298 $233,796 Center for Adolescent Health Promotion and Disease Preve // U48 DP $13,288 HIV Behavioral Surveillance Activities //5U1BPS $92,616 HIV Behavioral Surveillance Activities //5U1BPS REVISED $3,782 Effectiveness of a National Health Care Community Partne U58DP $663,971 HIV Outpatient Study (HOPS) Agmt 10/01/06 // Agmt 10/01/06 ($45,859) Biostatistical Support for HIV Outpatient Study (HOPS) Agmt Signed 2/21/12// Agmt Signed 2/21/12// $72,436 The accompanying footnotes are an integral part of the 43 (Continued)

44 Evaluation of Rapid HIV Self-Testing Among MSM in High P Agmt signed 2/22/12// Agmt signed 2/22/12// $131,674 HIV Outpatient Study Agreement Date: 6/11/12//CDC No Agreement Date: 6/11/12//CDC No $188,081 Tracking needs, increasing awareness, and supporting dec BO NU// BO NU// $105,935 Centers for Medicare & Medicaid Services Community Rx System: Linking Patients with Community-Ba FP050938E//1C1CMS $294,979 Dissemination of the Aging Brain Care Program // 1C1CMS $52,121 Geriatric Emergency Department Innovations (GEDI WISE) /C1CMS $1,022,705 Health Care Innovation Challenge: Improving Quality and //1C1CMS $60,923 Integrated Inpatient/Outpatient Care for Patients at Hig FP // 1C $15,666 $1,446,394 CHIPRA Quality Demonstration Grant Project //MED124-A1 $89,304 Patient Safety Education Program - National Content Deve NWU/HHSM IDIQ NWU/HHSM IDIQ $113,143 Patient Safety Education Program - Hospital Engagement C Fully-executed 2/28/12 Fully-executed 2/28/12 $108,000 Food and Drug Administration Diagnostic alternative to endoscopy in the evaluation of Agmt Dated //1R01FD $25,795 Health Resources and Services Administration Evaluation of a Culturally Competent Website on Living K R39OT $234,496 Graduate Psychology Education Program D40HP $191,363 ARRA - A Community Alliance for Technology Enabled Comparative Agrt dtd //UB2HA20234 $79 Northwestern McGaw Family Medicine Residency Program, Mc T91HP $3,162,620 Northwestern McGaw Family Medicine Residency Program, Mc T91HP $265,170 $3,427,790 Physician Faculty Development in Primary Care Program D55HP $138,795 Hemophilia Treatment Center (HRSA Award) H30MC24052 H30MC24052 $26,197 National Institutes of Health The 29th International Workshop on HIV Dynamics and Evol NIH Office of AIDS Research 4/19/13 $24,000 American Heart Association Tobacco Regulation and Addict FX-ATRAC-NWU-01//1P50HL $98,424 The accompanying footnotes are an integral part of the 44 (Continued)

45 Association of ALS to gene-environment mediated changes R01ES $559,599 Carbon Nanotube Structure-Activity Relationships for Pre G RA276//1R01ES $41,688 Epigenetic Mechanisms of PM-Mediated CVD Risk //1R01ES A1 $876,219 Ex Vivo Female Reproductive Tract Integration In a 3D Mi UH3TR $18 Ex Vivo Female Reproductive Tract Integration In a 3D Mi UH2ES $764,989 Gene-Environment Interaction of ZnT8 Cadmium - A Link to K08ES $156,070 Histamine and Neutrophil Influx in the Pathogenesis of A F30ES $43,606 Histone Modifications and Respiratory Effects of Traffic R21ES A1 $187,835 Mechanisms of Airborne Particulate Matter Induced Thromb R01ES $291,704 Micro-RNA Profiling and Cardiovascular Effects of Traffi R21ES $145,246 Mitigation of Asbestos-Induced Alveolar Epithelial Cell R01ES Revised $379,044 Molecular and Epigenetic Mitochondriomics of Air Particl //5R01ES $13,305 NRSA fellowship in support of The Role of Mitochondrial F30ES $43,466 Signaling in the Lung Induced by Particulate Matter Air R01ES $482,104 $3,984,893 Longitudinal Studies of Coronary Heart Disease Risk Fact N01-HC ($6,566) Biologically Inspired Polymer Adhesives R37DE REVISED $220,541 CFM: Longitudinal Outcomes in Children pre-kindergartene SUB // 5R01DE $54,541 Cortico-Striatal Plasticity in the Transition to Chronic R01DE $474,990 Craniofacial Microsomia: Longitudinal Outcomes in Child SUB//5R01DE $4,471 Do Early Maternal Antibodies Facilitate Oral Transmissio //1R01DE ($4,721) Does Inflammation Enhance Regeneration? /01 // 5R01DE $150,292 EBV and Innate Immunity in HIV+ and Normal Oral Epitheli RES507908//5P01-DE $93,105 Epigenetic Profiling of Oral Cancer Cells R21DE $3,010 Matrix Component Interactions in Bone, Dentin, and Inver R01DE $607,313 Nanotechnology Strategies for the Growth of Bones and Te R01DE $395,911 Neurobehavioral Correlates of Craniosynostosis // R01 DE $104,472 NRSA: SoxE Regulation of Neural Crest Development F31DE $35,474 Regenerative Wound Healing Via Inflammation-Modulating B //5R01DE A1 $111,359 U54: The Oncofertility Consortium: Fertility Preservatio UL1DE ($3,927) $2,246,831 The accompanying footnotes are an integral part of the 45 (Continued)

46 A Personalized Genomic Medicine Pilot Program Using the U01HG $1,149,916 Gene Ontology Consortium Agmt 3/1/2014/5U41HG $75,209 Mathematical modeling of the voltage driven translocatio R01HG $6,786 $1,231,911 A Family-Genetic Study of Language in Autism R01DC REVISED $279,393 Acoustic and Perceptual Effects of WDRC Amplification R01DC $150,896 Anatomical Physiology of Semantic Associations in Primar R03DC A1 $40,544 Aphasia Rehabilitation: Modulating Cues, Feedback, and P //R01DC $14,565 Artificial Grammar Learning in Aphasia: An Implicit Lear F31DC $32,848 Attention-dependent neural oscillations in the human olf K99DC $89,044 Auditory Function at the Base of the Human Cochlea F31DC A1 $11,843 Behavioral and Neurologic Factors in Speech Learning R01DC $110,563 Can Consumers and Audiologists Detect Ear Disease Prior R21DC $86,984 Cellular Mechanisms Underlying Corticocollicular Modulat ( )//R56DC $15,075 Characterizing Variability in Hearing Aid Outcomes Among R01DC $270,437 Core Center for Integrated Research on Human Communicati P30DC $347,614 Dynamic Interaction Among Proteins in Hair Cells R01DC $357,403 Elucidating the Role of Type II Afferent Neurons in Audi F31 DC $24,244 Functional Expression of Human Trace Amine-Associated Re R21DC $233,871 Genetic Analysis of Glomerular Map Formation R01DC $376,844 Infrared Photoactivation of Inner-Ear Hair Cells //R01DC A1 $39,535 Insm1 in Development of Spiral and Vestibular Ganglia F31DC $37,318 Language in Primary Progressive Aphasia R01DC $603,701 Nanotechnological Regeneration of Spiral Ganglion Neuron K08DC $37,284 Neural Correlates of Auditory Function and Training in O R01DC $283,155 Neurobiology of Language Recovery in Aphasia: Natural Hi P50DC $1,826,731 Neuroliguistic Investigations of Aphasia and Recovery R01DC $184,590 NRSA Postdoctoral Fellowship for Christina Zelano in Sup F32DC REVISED $9,680 NRSA Predoc F31 Fellowship for J Howard in support of: N F31DC $40,048 NRSA: Functional Analysis of Trace Amine-Associated Rece F32DC $50,219 NRSA: Translational Research in Communication Sciences a T32DC $311,176 Online measure of selective attention and neural functio F31DC $12,379 Perceptual Coding and Moducation of Odor Obje R01DC $208,180 Perceptual Coding and Modulation of Odor Objects in the R01DC A1 $48,801 Peripheral Mechanisms of Hearing R01DC $536,369 The accompanying footnotes are an integral part of the 46 (Continued)

47 Pre-Implantation Communication Treatment for Children wi R03DC $120,051 Processing of Spoken Language in Young Children Who Use G1A62450//1R15DC $33,335 Rehabilitation and Prophylaxis in Primary Progressive Ap GR NU // R01 DC $4,393 Role for B-cell Mediated Olfactory Loss in Chronic Rhino K23DC $265,344 Sensory Mechanisms of Voice Control R01DC REVISED $419,632 Spatiotemporal Coding in the Human Olfactory System R21DC $29,326 Spatiotemporal Mechanisms of Olfactory Processing in the R01DC A1 $405,125 Structural Basis for KCNE Modulation of the KCNQI Channe VUMC42969//5R01DC $36,300 Studies in Cochlear Hair Cell Transduction R01DC $541,671 Talker-Listener Alignment During Speech Production and P R01DC $249,479 The Roles of Espins in Hair Cell Stereocilia R01DC $212,271 Trace Amine-Associated Receptors and Olfactory Behavior R01DC A1 $120,010 Understanding the Benefits of Infrared Nerve Stimulators R01DC A1 $497,633 User-centered Control of Hearing Aid Signal Processing Agmt 5/24/13//1R44DC Rev. $16,880 Vestibular Control of Axial Motor Circuitry K99DC $86,878 $9,709,662 Brain mechanisms for clinical placebo in chronic pain R01AT $597,311 Investigating Pain Processing in the Brain, Brainstem, a F32AT REVISED $63,486 $660,797 Circadian Timing, Sleep and Adiposity K23HL $158,906 Sleep and Cardiovascular Health R01HL REVISED $13,372 Sleep Disturbance and Risk for Adverse Pregnancy Outcome R01HL $726,537 $898,815 1/2 - Online Collaborative Learning Intervention to Prev R34MH $117,998 2/2 - Suicide Prevention in Chinese Older Adults R34MH A1 $6,539 A Comprehensive Probabilistic-Micro-Simulation Model to //5R01MH $1,478 A Family-Genetic Study of Autism and Fragile X Syndrome R01MH $604,728 A Mobile Behavioral Monitoring Intervention for Bipolar R34MH $202,857 A Multiparametric MR Study of Early and Late Stage HIV I R01 MH $23,516 A Smartphone Intervention to Improve Adherence to Antips SR / R34MH $39,394 Acute Estradiol Regulation of Excitatory Synapses R01MH REVISED $366,157 Aging and Antipsychotic Efficacy - Epigenetic Mechanisms R21MH REVISED $206,321 Antipsychotic Treatment Effects on Attention and Working K23MH $131,066 The accompanying footnotes are an integral part of the 47 (Continued)

48 Artificial Intelligence in a Mobile Intervention for Dep R01MH $447,793 Auditory Cortical Circuits and Plasticity in Schizophren //5R01MH $30,945 Automated Text Messaging to Improve Depression Treatment //K23MH $30,908 Behavioral Relevance of Active Dendritic Mechanisms of I R01MH $524,311 Center for Prevention and Early Intervention PO # // P30 MH $11,797 Characterizing the Hippocampal-thalamic-prefrontal Circu F31MH $39,400 Collaborative Data Synthesis for Adolescent Depression T R01 MH $335,607 Common and Specific Risk Factors for Emotional Disorders R01 MH ($1,405) Connecting Patients and Therapists Using a Tech-Based Tr K08MH A1 $17,659 Control of mirna-mediated Translational Repression in Ne R21MH ($1,695) Cross-Cultural Neuroimaging of Emotion in South Africa, R21MH $40,257 Developing an Integrated Mental Health Model for Home Vi R34 MH $14,237 Development of a Mobile System for Self-Management of Sc //5R34MH $34,270 Developmental Characterization of Preschool Disruptive B R01MH REVISED $269,622 Dimensions of Early Temper Loss and Low Concern: Clinica U01MH $141,496 Early Traumatic Stress Exposure: Neurodevelopmental Mech UCHC // U01-MH $542,004 Early Traumatic Stress Exposure: Neurodevelopmental Mech UCHC A1//U01-MH $114,040 Effectiveness Trial of Youth Suicide Prevention Delivere PO G//R01 MH $46,385 Epigenetic modulation of antipsychotic-induced side effe R36MH A1 $38,551 Examining Several Possible Causes of GxE Non-Replication F32MH ($333) Harnessing the Power of Text Messaging to Invigorate ANS Agmt 7/10/14//R01MH $159,724 Identification of cell type specific actions of antipsyc AGMT 6/30/14 // P50MH $167,981 IGFI and Depression R01MH REVISED $421,359 LATIN-MH: Latin America Treatment and Innovation Network //U19MH $145,308 Mechanisms of Stress-Enhanced Aversive Conditioning R01MH $491,806 Mobile Technology to Engage and Link Patients and Provid R34MH $201,093 Molecular mechanisms of Abnormal Dendritic Spine Plastic R01MH REVISED $665,239 Necessary Role of PFC-MTL Interactions in Memory Tested //P50MH REVISED $71,113 Neuromorphometry in Schizophrenia by Computer Algorithm R01MH A1 Revised ($37) NRSA F32 Postdoc Fellowship for Katherina Hauner in supp F32MH $333 NRSA: Multivariate Pattern Analysis and Memory Reactivat F31MH $28,136 NRSA: Overgeneral Autobiographical Memory: Genetic Mecha F31MH A1 $3,628 Positive Affect Regulation for HIV Prevention in People K24MH $18,521 Positive affect skills for depression: Optimizing intern R34MH $11,446 Preclinical and Patient Studies of Affective Disorders i R21MH A1 $32,737 Primary Care Internet-Based Depression Prevention for Ad //5R01MH $47,058 The accompanying footnotes are an integral part of the 48 (Continued)

49 Recording Neural Activities onto DNA //1R01MH $261,845 Reducing HIV Stigma to Improve Health Outcomes for Afric / R01MH $144,891 Relationships as a Context for HIV Prevention in Vulnera R21MH $45,046 Risk for Bipolar Disorder: Reward-Related Brain Functio NW//R01MH A1 $28,128 Role of Kalirin Signaling in Synaptic Plasticity R01MH $317,883 SchizConnect: Large-Scale Schizophrenia Neuroimaging Dat U01MH A1 $432,828 Sex Differences in Acute Estradiol Regulation of the Syn R21MH REVISED $213,241 Simulated Job Interview Training for People with Psychia Agmt 10/31/12 //5R44MH $52,026 Sleep Homeostasis, Plasticity and Memory R01MH $486,695 SSRIs and Self-Harm in Borderline Personality Disorder B// R01MH $10,863 Stepped Telemental Health Care Intervention for Depressi R01MH $517,451 SYMPTOM DIMENSIONS OF THREAT-AND REWARD-RELATED NEUROCIR G RC848//1R01MH A1 $104,766 Technology Assisted Intervention for the Treatment and P P20MH $846,299 Telephone IPT Intervention for HIV-Infected Rural Person RR / //7R01MH $6,611 Test of an intervention to improve retention in HIV care //5R01MH $29,318 The Hippocampal System and Relational (Declarative) Memo //5R01MH $6,201 The role of glutamate receptors in compulsive and persev R01MH $450,163 Training Program in Neurobiology of Information Storage T32MH ($28,433) Training Program in Neurobiology of Information Storage T32MH $153,371 $10,920,541 Alcohol Biomarkers in Post Liver Transplant Patients K24AA $172,987 Brain-Gut Circadian Rhythm Interactions in Alcohol-Induc R01AA /3 // 5R01AA $98,795 College Alcohol Assessment and Intervention Training Sim R44AA $59,811 Development and Validation of a Comprehensive Stress Bat SG096//1R21AA ($38) Epigenetic Consequences of Prenatal Alcohol Exposure R01AA S1 $282,538 Modulation of epigenetically controlled cardiac repair m K01AA $55,124 $669,217 A Systems-Level Approach to Studying HIV/AIDS Susceptibi R01DA $616,821 An Effectiveness Trial of Maintenance Therapy for Nicoti Amendment #04 //R01DA $95,445 Center for Prevention Implementation Method for Drug Abu P30DA REVISED $1,127,262 Chemokine Receptor Function in the Nervous System R01DA $395,199 Comparative Effectiveness of Adding Weight Control to Sm Agr. 8/13/14//1R01DA A1 $36,934 Development of an International Cultural Neuroscience Co R13DA $24,406 Different Components of Nicotine-Induced Upregulation of FP052975//1R01DA $67,348 The accompanying footnotes are an integral part of the 49 (Continued)

50 Drug Abuse, Incarceration, Health Disparities in HIV/AID R01DA $1,944,436 Efficacy of Internet-Based HIV Prevention R01DA $618,124 fmri-based biomarkers for multiple components of pain //DA $54,589 Gene-Environment Interactions Effects on HIV Risk R01DA $196,673 HEART to HAART: Smartphone Intervention to Improve HAART SR /DA $49,318 Investigating change in HIV risk in a self-monitoring di R03DA $137,713 KiiDS: Knowing about Intervention Implementation in Dete T // U01 DA $20,653 Multilevel Influences on HIV and Substance use in a YMSM U01DA $226,486 New Inactivators of GABA Aminotransferase for Addiction R01DA REVISED $341,871 Prenatal Smoking and the Substrates of Disruptive R01DA REVISED $794,737 RCT of an integrative intervention for non-treatment-see sc//R01DA S1 $3,704 Syndemic Development and HIV Risk Among Vulnerable Young //R01 DA $202,536 Syndemic Development and HIV Risk Among Vulnerable Young NU Amend 1//R01DA $26,670 The Development and Analysis of a Macro-Network of Vulne R03DA REVISED $103,031 The UIUC Neuroproteomics Center on Cell-Cell Signaling //P30DA018310B $104,992 Trajectories of Drug Abuse in High Risk Youth R01 DA $77,623 UIUC Neuroproteomics and Neurometabolomics Center on Cel //2P30DA $14,579 $7,281,150 Roles of Kainate Receptors in Compulsive-Like Behaviors K01MH $104,179 Tech-Based Depression and Anxiety Treatment for Youth in K08MH $163,273 $267,452 Kainate receptor signaling in striatal synaptic function F31MH $39,571 Understanding the Role of Epac2 in Cognitive Function F30MH A1 $42,880 $82,451 Antifouling Peptide Mimetic Polymers R01EB $224,906 Antigen Loaded Particles for Tolerance Induction R01EB $366,312 Application of core-shell Ti02 Nanoconjugates R01EB $226,349 Bioactive Scaffolds for Regeneration in Spinal Cord Inju R01EB S1 $598,174 Controlled Release Scaffolds for Nerve Regeneration R01EB REVISED $347,463 Development of MRI-based Cerebral Oxygen Extraction Frac R21EB A1 $49,115 Electrostatically Triggered Hydrophobic Self-Assembly of F31EB $11,565 Enhancing Biomedical Engineering Senior Design at Northw R25EB $19,969 High-throughput molecular-specific cell nanocytology for R01EB A1 $209,937 The accompanying footnotes are an integral part of the 50 (Continued)

51 Interdisciplinary Graduate Education in Movement and Reh T32EB $224,949 Magnetic Nanocomposites for Catheter-Directed Drug Deliv R21EB $86,498 Mechanisms of Light Scattering in Living Tissue R01EB $277,925 P30 A: Biomaterials Core (6 of 10) PL1EB REVISED ($4,867) Point-of-Care Influenza Testing for Emergency-Pandemic-D Sub NWU//5U54EB $11,990 Preclinical Investigation of a Bioengineered Vascular Gr R01EB $462,997 Protein-Releasing Microporous Scaffolds for Cell Replace R01EB REVISED $186,338 q-modulated Magnetic Resonance Imaging Contrast Agents R01EB $245,634 Shape Control and Transfection of Self-Assembled Polymer Amd 1//1R21EB A1 $31,995 Steroid-Based Contrast Agents for Magnetic Resonance Ima R01EB $356,340 Validation of Sensorized Breast Models for High-Stakes C K180//5R01EB ($2,013) X-ray Fluorescence Microscopy (XFM) in Biology R13EB $7,000 $3,938,576 Adjunct Vitamin D as a Means to Reduce the Disparity in WSU14035//5R01MD $10,051 Center of Excellence in Eliminating Disparities: Chicago // P60 MD $7,558 Community Participatory Intervention with High-Risk Afri SG044/R24 MD $28,120 Extending Cancer Navigation to Underserved Suburban Wome R24MD $266,364 Improving Patient Safety and Healthcare Delivery with Ad Agmt /R42MD $1,048 Longitudinal associations of neighborhood-level racial r //P-60MD $13,331 The Price of Debt: The Unequal Burden of Financial Debt Sweet-001//1R01MD $16,054 $342,526 Fertility Preservation in Newly Diagnosed Female Cancer //TL1CA ($3,900) NIH Director s Pioneer Award: Reconstructing Sub-cellula DP1EB $501,896 R01C: Preservation and Growth of Human Follicles (4/10) RL1HD ($18) R25: Learning Modules in Oncofertility (8 of 10) RL5CA $53,559 Regulatory Circuits Controlling Regenerative Growth DP2DE $491,359 $1,042,896 Online patient self-assessment system for care and resea AGMT Dated 3/13/2013//1R43TR $12,792 Disease Chronicity in Juvenile Dermatomyositis (JDM): Ep NU //R01NR $1,933 EHR-Based Health Literacy Strategy to Promote Medication R01NR $664,292 HippoPCI Hippocampal Predictors of Cognitive Impairment R01NR $510,700 Life Enhancing Activities for Family Caregivers of Peopl sc//R01NR $1,852 The accompanying footnotes are an integral part of the 51 (Continued)

52 Medtable: An EMR Strategy to Promote Patient Understandi //R01NR $44,853 Optimizing Kidney Transplant Patients Informed Consent R21NR $143,920 Pivotal Career Decisions Guiding Potential Women Science R01NR $133,245 Quality of Life in Caregivers of Traumatic Brain Injury: //R01NR $47,259 Refinement and expansion of the Palliative Care Research //1U24NR $22,225 $1,570,279 Annual International Science of Team Science Conference R13TR $4,204 Development of a Novel Laser Instrument for Advanced Med R21EB $178,525 Mentoring and Research in Mouse Pathobiology K26OD REVISED $159,743 Northwestern University Clinical and Translational Scien UL1RR $4,330,977 Northwestern University Clinical and Translational Scien KL2TR $261,676 Northwestern University Clinical and Translational Scien TL1TR ($5,504) Science Club: Building a Science Community Parternship w R25RR $251,397 $5,181,018 Adapting Patient Navigation To Promote Cancer Screening R01CA REVISED $365,835 Aldo-Keto Reductase Family 1 Member B10 AKR1B10 in Pancr R01CA $265,434 AMPK as a Molecular Target for Chemoprevention by Apigen R21CA $89,127 Antiretroviral Therapy Strategies to Lower Cancer Risk i /R01CA $12,429 Apigenin Restores TSP-1 Expression in UVB-Irradiated Ker R01CA REVISED $537,847 Assessing PROMIS Other Simple Patient-Reported Measures R01CA154537/ PO# $124,829 Breast Cancer Prevention by Letrozole in High Risk Women QF // 5 R01 CA ($16,156) Cancer Risk After Renal Transplant in Autoimmune Disease R03CA A1 $117,522 Cancer Risk: Advancing knowledge in systemic rheumatic d //CA $37,993 Co(III) Schiff Base Complexes as Selective and Irreversi R03CA $93,553 Contralateral Prophylactic Mastectomy: The Patient Decis R21CA A1 $14,833 E=MC2: Environment-Driven Mathematical Modeling for Clin G2//5U54CA $169,452 Extended Duration Varenicline for Smoking Among Cancer P //1R01CA $306,011 Genistein-Mediated Regulation of Prostate Cancer Cell Mo R01CA $23,043 GSK3B Mediates Radiation-Induced Cytotoxicity in Hippoca R01CA163838/PO#RF $12,877 Herpesvirus Gene Expression in Transformed Cells R01CA REVISED $228,553 HPV and the DNA Damage Response R01CA $278,329 Improving Longitudinal Quality of Life Assessment in Hep R03CA A1 $86,861 In Vivo Model of Epstein-Barr Virus Latency R01CA REVISED $63,840 In Vivo Model of Epstein-Barr Virus Latency R01CA $52,975 The accompanying footnotes are an integral part of the 52 (Continued)

53 Inhibition of pancreatic carcinogenesis via targeting c R01CA $281,304 Inhibitors of the Epstgein-Barr Entry Machinery B//R01CA $145,985 Integration of Palliative Care Training into Oncology R25CA A1 $149,138 Interactions Between Intermediate Filaments and Nucleus R01CA $284,977 Kaposi s Sarcoma-associated Herpesvirus Mimics of Cellul R01CA A1 $153,869 Life Cycle of Human Papillomaviruses R37CA $278,438 Low-Literacy Physician-Patient Intervention Promoting Co R01CA $52,370 Mastectomy Reconstruction Outcomes Consortium (MROC) Stu //5-R01-CA $25,692 MiR-182 overexpression in early tumorigenesis of high gr R21CA A1 REVISED $182,536 N-3 Fatty Acid-Induced Akt Suppression: Chemoprevention R01CA $309,863 On Campus: Prosthesis Control by Forward Dynamic Simulat R01EB A $75,660 Prostate Cancer Susceptibility: The ICPCG Study //2U01CA A1 $31,694 Regulation of Human Papillomavirus Gene Expression R01CA REVISED $137,158 Regulation of Human Papillomavirus Gene Expression R01CA REVISED $138,072 Research on Adverse Drug Events and Reports: Novel Multi R01CA REVISED $365 ROS and HIFa as molecular targets for chemoprevention in R01CA $314,227 SIRT3 is a Mitochondrial Tumor Suppressor in ER/PR Posit R01CA $291,015 Social-Emotional Contexts of Adoloscent Smoking Patterns //P01CA $9,755 Soluble Epoxide Hydrolase as a Novel Target of Colitis-I R01CA $1,111 Targeted ehealth intervention to reduce fear of recurren R21CA A1 REVISED $178,457 Targeting Diet-Induced Promotion of Kras-Initiated Pancr GRA214//5P01CA $10,815 The National Person-Centered Assessment Resource (PCAR) U2CCA $65,988 Tumor Targeted Nanobins for the Treatment of Metastatic U01CA $439,759 $6,423,435 (PQD5) imaging systemic tissue injuries induced by antic R01CA $109,171 A Comparison of Interventions to Teach Melanoma Patients R01CA $578,614 A Phase IB/II Trial of ALT-801 in Combination with Cispl CA-ALT //5R44CA $5,279 Administrative Supplement: Patient-Specific Predictive M //3R01CA S1 $104,643 Biophotonics Noninvasive Detection of Ovarian Cancer R21CA $174,721 ECOG Pathology Coordinating Office: Human Specimen Banki U24CA // PCOGBCMP21 $640,498 Fox Chase Clinical Epidemiology and Validation Center FCCC // 2U01CA ($178) MRI of Early, Non-Invasive Rodent Mammary Cancers FP000101/R01CA $30,151 MRI of Iron-Labeled Microsphere Biodistribution for Radi R01CA REVISED $239,758 Nanocytological Fecal Assessment to Personalize Colonosc Agmt 10/07/13//1 R42 CA $40,550 Nanoscale/Molecular Analysis of Fecal Colonocytes for Co R01CA $572,043 The accompanying footnotes are an integral part of the 53 (Continued)

54 Optical Nanoscale Analysis of Buccal Cells: Transforming R01CA $770,925 Patient-Specific Predictive Modeling that Integrates Adv //R01CA $301,317 Prespend: Spectral Markers for Early Detection of Colon Prespend ($11,346) Quantitative MRI-Guided Nanoembolization for Liver Cance R01CA $548,780 Spectral Markers for Early Detection of Colon Neoplasia Activity# //BMC# 3728// 7U01CA $399,336 Spectral Markers for Early Detection of Colon Neoplasia EH S1//6U01CA $6,808 Spectral Markers for Early Detection of Colon Neoplasia EH S1//6U01CA $1,168 Spectroscopy of Blood Supply Changes in Early Precancer R01CA $242,526 Sun Protection Internet-based Program for Kidney Transpl R21CA Revised $217,630 Targeted Transcatheter Magneto-Mechanical Therapy for He R21CA A1 $134,540 Transforming Colorectal Cancer Screening through Multimo R01CA //Activity# $234,413 Transforming Colorectal Cancer Screening Through Multimo EH S1-Amd 3//R01CA $11,773 $5,353,120 A Randomized Feasability Study of Dilator Use and and an S760780//7R21CA $35,700 Children s Oncology Group Central Reviewer XXXX//U10CA $1,701 Discovery of New Treatment Options for EBV-Associated Ly R01 CA $98,874 ECOG and ACRIN Consolidation - Nursing Committee Sub#ONCEAMBO// U10CA ($6,225) ECOG Clinical Trials U10CA REVISED $252,491 ECOG Cytogenetics CYTO39YZ CYTO39YZ-00//U10CA $10,569 ECOG Pathology Coordinating Office-Reference Lab PCOO36XY-02 // U10CA $262,850 Functional MRI Monitoring of Hepatic Chemoembolization R01 CA ($10,413) Gynecology Oncology Group Cooperative Trials Agreement # $224,664 High Density Lipoprotein Nanoparticles for sirna Deliver R01CA $348,784 Home-Based Symptom Management via Reflexology for Advanc RC100551NWU//R01CA $54,636 Loss of mtsirt3, Decreased MnSOD Activity, and IR Induce R01CA REVISED $344,406 Molecular Targeting of Diffuse Large B-Cell Lymphoma Amendment #6//R01CA $99,238 Nanovalve Platform: Targeted, Controlled Release of Anti G MB529 // 5 R01 CA $4,575 Novel Biophotonics Methodology for Colon Cancer Screenin R01CA $671,193 NU JWU07M1 - Multicenter Selective Lymphadenectomy for M Agmt signed // P01CA $581 Radiation Therapy Oncology Group Cooperative Extension A Prime Grant # CA21661 $35,612 SPORE in Prostate Cancer: Admin Core P50CA S1 REVISED $1,378,059 Targeting Solid-Tumor Vasculature with Coencapsulated Ar //1R21CA $22,788 Tele-based Psychosocial Intervention for Symptom Managem R01CA $659,183 $4,489,266 The accompanying footnotes are an integral part of the 54 (Continued)

55 (B7H1) Mediated Immunosuppression in Glioma R01CA $211,029 Activin Signaling and Regulation in the Colon R01CA $65,974 An In vivo Metastatis Sensor R01CA $800,789 Arsenic Trioxide Activated Pathways in Malignant Cells R01CA $254,453 CD73 and Tumor Immunity R01CA $450,164 ELMO1, Dock180 and Glioma Invasion R01CA $233,558 Elucidating the Role of mir-31 in Retinoblastoma Invasio NU//R21CA $24,297 Evaluation of Sun Protection Education for Kidney Transp R03CA $66,010 Fibrosis-Protease Cross-Talk Regulating Pancreatic Cance R01CA REVISED $60,741 Genetic Modifiers for Cancer Stem Cells in Secondary MDS R21CA A1 $82,584 Influence of AKT Pathway on Progesterone Receptor Functi R01CA $315,728 Interferon-Induced SLFNs and Tumorigenesis R01CA $307,801 Investigating the mechanisms of CD44s splice isoform in R01CA $114,466 Mechanism and Control of the Predatory, Levy Walks of R21CA A1 $58,893 Mechanisms of Leukemogenesis in Down Syndrome R01CA $381,281 Microsystems for Targeting Levy Walks in Metastatic Canc R21CA $291,586 Mitochondrial Metabolism and ROS Regulate Lung Cancer R01CA $268,703 Mnk Pathways and IFN-responses in Malignant Cells R01CA $260,403 Modulation of Oncogenic Signaling in Glioblastomas R01CA $457,620 Molecular Targets of Tranlocation T(14:4) in Multiple My WU //1R01CA $14,245 Multimeric Signaling Complexes in PRLr Transduction R01CA $46,721 Proinflammatory T Regulatory Cells in Colon Cancer R01CA A1 $80,701 Prostate Cancer Recurrence: models and mechanisms R01CA $230,330 Regulation of Desmosomal Cadherins in Oral Cancer R01CA $207,739 Regulation of MicroRNA Silencing by Tumor Suppressor PTE R21CA $173,239 Role of a Novel THAP-Family Protein in Transcription and R01 CA $264,905 Role of Cdc25A in Breast Cancer R01 CA ($1,753) Role of Cdc25A in Breast Cancer R01CA $298,860 Role of Maspin in Breast Cancer Progression R01CA REVISED ($190) Role of Oncogenic Kinase Pim-1 in Prostate Cancer R01CA $83,654 Signal Transduction of Type 1 Interferons in Malignant C R01CA S1 $240,577 Signal Transduction of Type I Interferons in Malignant C R01CA ($83) Sirt2 Directs Kras IR Cell Resistance and Tumorigenesis R01CA A1 $47,691 The Role of Beta-Adrenergic Signaling in Prostate Cancer R00CA $2,433 The role of deubiquitinating enzyme USP33 in Slit-Robo s R01CA $102,975 The Role of Fas as a Tumor Promoter R01CA $187,767 The accompanying footnotes are an integral part of the 55 (Continued)

56 The role of ICSBP in the pathogenesis of chronic myeloid R01CA $210,022 The Role of MicroRNAs in Tumor Progression R01CA $153,907 The Role of NOV (CCN3) in Prostate Cancer Progression R01CA $275,076 Transcriptional Functions and Targets of the MMSET Prote R01CA REVISED $200,294 $7,525,190 Brain Tumor SPORE Grant (Project 4: Overcoming Local and sc//2P50CA $195,771 Coding, Decoding, Transfer, and Translation of Informati U54CA REVISED $2,179,033 ECOG/FSTRF PSA for ECOG Clinical Trial Protocols Agmt 8/13/12 / U01CA $60,564 Improving Quality of Life among Hispanic/Latino Breast, /153127//U54CA $222,105 Nanomaterials for Cancer Diagnostics and Therapeutics U54CA $1,942,232 NU NEIGHBORS: A Social Science Partnership to Reduce Can P20CA $288,290 Targeting the Multiple Myeloma Epigenome: Project / P50CA $20,410 The Robert H. Lurie Comprehensive Cancer Center P30CA S5 ($8,502) The Robert H. Lurie Comprehensive Cancer Center P30CA S3 $4,708,852 $9,608,755 A Highly Specific, Tissue-Permeable Inhibitor of Gli Tra F31CA $20,481 Assessment, Development and Application of Positive Psyc K07CA $125,855 Cancer Nanotechnology in Imaging and Radiation Oncology R25CA $397,667 Carcinogenesis Training Program T32CA $318,779 Cardiac Sparing Whole Lung IMRT in Children and Young Ad R21CA $247,213 CAREER: Adverse Drug Reactions in Geriatric Cancer Patie K01 CA ($5,822) Clinical Oncology Research Training Program T32CA $102,425 Development & Dissemination of Education in Pediatric Pa / R25CA $109,715 Development of an MRI gene and application to probing th F31CA $42,707 Molecular Mechanism of Hepatocyte Growth Factor Signalin F30CA $42,748 Novel Pathway Analysis Methods for Identifying Genomic c K22CA $111,487 NRSA Fellowship for Elizabeth Tarasewicz in Support of: F31CA $37,072 NRSA Postdoc Fellowship for E Beauchamp in support of: T F32CA $9,107 NRSA Postdoc Fellowship for F. Kohlhapp in Support of: R F32CA $38,873 NRSA: Depth-Resolved Imaging of Alterations in Mucosal M F31CA $37,017 Overcoming Temozolomide Resistance using MGMT-targeting F30CA $46,613 Polyvalent sirna-gold Nanoparticle Constructs to Eradica F32CA REVISED ($1,431) Real-Time Analysis of Diet and Activity Data K07CA $132,646 Targeted Delivery of Nanodiamonds for Breast Cancer Imag F30CA $35,057 The accompanying footnotes are an integral part of the 56 (Continued)

57 The role of E-cadherin phosphorylation in regulating cel F30CA $30,631 The Role of HMGN2 in Enhancing Transcription During Prol F30CA $39,244 Training Program in Oncogenesis and Developmental Biolog T32CA $52,389 Training Program in Signal Transduction in Cancer T32CA $262,307 $2,232,780 Chicago Cancer Navigation Project U01CA S4 ($2,163) ECOG CCOP Research Base NWUC28RB-00//5U10CA $93,891 ECOG CCOP Research Base POSC27LW-00\U10CA ($15,613) ECOG-ACRIN Patient-Centered Outcomes and Survivorship Co POSC28LW-00//5U10CA $90,247 Nipple Fluid Hormone Levels and Breast Cancer Risk R01 CA ($24) Prot# PFED20-NWC-01: Study of Tamoxifen and Raloxifene ( PFED20-NWC-01/ U10 CA37377 $272,201 $438,539 ARRA - ACL Injury Mechanisms and Offaxis Neuromuscular Diagnosi R01AR REVISED ($685) ARRA - Alzheimer s Disease Neuroimaging Initiative Grand Opport NWU ADNI-GO//RC-2AG ($14,576) ARRA - Creation and Demonstration of a Palliative Care Research //1 UC4 NR ($255) ARRA - ENGAGED: E-Networks Guiding Adherence to Goals for Exerc RC1DK ($5,231) ARRA - Integrated Multidisciplinary Strategies for Detection of K31/A3//1RC4EY $25,602 ARRA - Interactive Mechanisms of Pelvic Pain U01DK S1 ($39,291) ARRA - POINT: Platelet-Oriented Inhibition in New TIA Agreement signed 11/9/10 // 1U01NS A1 $54,211 ARRA - PROsetta Stone Rc4CA $1,770 ARRA - Translating Theory to Practice to Diversify the Biomedic DP4GM $36,791 ARRA - Use of Behavioral Economics to Improve Treatment of Acut H47012//RC4AG $232,456 ECOG PCO-RL: Interaction of Anti-Angiogenic and Cytotoxi //5R01CA $18,867 $309,659 4D Magnetic Resonance Imaging for Atrial Flow Assessment R21HL REVISED $165,389 A novel implementation and social network strategy for a K23HL $132,106 Acute Coronary Syndrome Quality Improvement in Kerala (A K99HL $74,071 Acute Coronary Syndrome Quality Improvement in Kerala (A R00HL $21,168 Arterial Elasticity, Subclinical, and Clinical CVD in ME P //R01HL $3,625 Association of Sleep Disorders with Cardiovascular Healt //5R01HL $59,052 AsthmaNet Clinical Trials agr. 05/06/2014//U10HL $681,379 Beyond PECAM: Mechanisms of Transendothelial Migration R37HL REVISED $400,960 Biomedical Imaging Research Institute Visiting Graduate //5R01EB $113,854 The accompanying footnotes are an integral part of the 57 (Continued)

58 Blood Markers of Vulnerability in High Risk Vascular Pat R01HL $217,294 Cannabimimetic Treatment of Obstructive Sleep Apnea: A P / UM1HL $358,556 Cardiopulmonary Structure and Function in the Multi-Ethn //R01 HL $11,601 Cardiovascular Regenerative Medicine P01HL $2,371,022 Chicago Healthy Aging Low Risk MRI Angiography (CHARISMA R01HL $81,095 Chicagoland Metropolitan AsthmaNet Consortium U10HL $858,180 Comprehensive Cardiac Structure-Function Analysis in Hea R01 HL A1 $203,582 Computer Modeling and Cardiac MR of Structural Factors o R21HL $68,796 CXCR4-c-Kit Signaling and BM Progenitor Cell Recruitment R01HL Revised $377,156 Decrypting Variants of Uncertain Significance in Long-QT R01HL A1 $45,034 Deep Sequencing of Kawasaki Disease Tissues R21HL $128,801 Developing a Survey Instrument for Patients with Abdomin /5K23HL $1,626 Disruption of Autonomic Pathways in the Left Atrium by I R01HL REVISED $262,229 Dissemination of Tobacco Tactics for Hospitalized Smoker //U01HL $4,157 E2F1 in Cardiac Neovascularization R01HL Revised $290,474 Effect of Chronic Alcohol on Ischemic Injury and Endothe R01HL REVISED $300,816 Efferocytosis Directed Inflammation Resolution and Repai R01HL $122,789 Efferocytosis in CVD & Inflammation R00HL $203,837 Engaging Physicians to Improve Prenatal Screening for He //U10HL $1,331 Epidemiologic Determinants of Cardiac Structure and Func WFUHS //5R01HL $108,738 Exploiting Tie2 Activation for the Treatment of Vascular R01HL $7,097 F32 for Mazen Saadi Albaghdadi in Support of: Evaluation F32HL $58,468 Favorable Cardiovascular Health and the Compression of M R01HL A1 $140,485 Femoral Plaque Composition, Oxidative Stress, and Corona R01HL $431,464 FIGHT: Functional Impact of GLP-1 for Heart Failure Trea //U10HL $6,438 Fox Transcriptions Factors in Vascular Development R01HL $117,100 Functional Cardiovascular 4D MRI in Congenital Heart Dis R01HL $387,201 HCMR - Novel Predictors of Outcome in Hypertrophic Cardi Study# 2222/0003//1U01HL A1 $1,648 Hemodynamic Loading of the Left Ventricle and Aorta in A K25 HL A1 $38,341 Hispanic Community Children s Health: Study of Latino Yo //5R01HL $290,006 Hypercapnia and Neutrophil Function in Pulmonary Host De K01HL $149,510 Imaging Vascular Phosphatidylethanolamine R01HL Revised $480,130 Implantable Monitor-Guided Anticoagulation for Non-Perma R34HL REVISED $297,887 Implantable Monitor-Guided Anticoagulation for Non-Perma //7R34HL $2,613 Increasing Activity in Peripheral Arterial Disease R01 HL ($877) Longitudinal Changes is Pericardial Adiposity and Subcli VUMC42376//R01HL $32,767 The accompanying footnotes are an integral part of the 58 (Continued)

59 Longitudinal Study of Cognition, Health Literacy, and Se //R01 HL $229,460 Make Better Choices (MBC) - Multiple Behavior Change in R01HL $734,539 Maternal-Offspring Metabolics: Family Intervention Trial U01HL $945,585 Mechanisms of Oxygen Sensing R21HL $107,831 Mechanistic Insights into the Cardioprotective Effects o K02HL $102,870 Mediators of Atherosclerosis in South Asians Living in A SC//R01HL $70,638 Mediators of impaired fetoplacental angiogenesis in feta R01HL A1 $10,333 Metabolomics-Measured Urinary Metabolites/Diet & BP, R01HL $466,031 microrna mediation of Endothelial Progenitor Cell functi R01HL A1 $68,084 MtDNA variant modifiers of cardiopulmonary responsivenes UFDSP //R01HL $4,298 Multi-Center Trial of Limiting PGY2&3 Resident Work Hour / U01HL $23,219 Multi-Ethnic Study of Autoimmunity and Cardiovascular Di R01HL REVISED $416,805 NEAT:Nitrates Effect on Activity Tolerance in Heart Fail //U10HL $3,888 Neonatal Long QT Syndrome and Sudden Infant Death R01HL $82,182 NO Inhibits Arterial Injury After Vascular Procedures vi R01HL Revised $413,183 Non-Contrast Magnetic Resonance Angiography of Periphera EH S1//R01HL $10,433 Non-invasive detection of heart transplant rejection wit F31HL REVISED $43,915 Novel Approaches to Ischemic Tissue Repair R01 HL $121,952 Novel Vehicles for Targeted Cardiovascular Repair R01HL $999,050 NRSA F32 Postdoc Fellowship for Elaine Gregory in suppor F32HL A1 $57,876 Oxidant Stress and Gene Polymorphisms in Bronchopulmonar NU / K23HL $24,611 PACEmaker & ß-Blocker Therapy Post-Myocardial Infarct U01HL REVISED $435,903 PAI-1 and Vascular Senescence R01HL A1 $39,822 Parents Dense and Supportive Social Networks Facilitate F32HL $33,431 Pediatric Heart Transplantation: Transitioning to Adult NU//1R34HL $64,626 Phagocyte Intoxication by ExoU in Pseudomonas Pneumonia F30HL Revised $39,594 Pitch-HF: Phosphodiesterase Type 5 Inhibition with Tadal Sub under U01 HL $7,300 Plasma Chlorinated Lipids as Predictors of Cardiovascula SLU NU//1R21HL ($13,314) Postdoc NRSA fellowship for Lisa VanWagner in support of F32HL $61,592 PRE-DETERMINE: Biologic Markers and MRI SCD Cohort Study //5R01HL $6,620 Pregnancy as a Window to Future Cardiovascular Health U10HL $92,776 Refining Conceptual Models for the Role of Health Litera //1R01HL $87,673 Repressor-PPAR Interactions in Inflammation and Atherosc K08HL $13,110 Research Coordination Unit - Translating Basic Behaviora U01HL $126,924 Research Training in CVD Epidemiology and Prevention T32HL $85,949 RESEARCH TRAINING IN CVD EPIDEMIOLOGY AND PREVENTION T32HL $84,707 The accompanying footnotes are an integral part of the 59 (Continued)

60 REVIVE-IT Randomized Evaluation of VAD InterVEntion Befo // HHSN C $37,816 Risk Stratification in Older Persons with Acute Myocardi Agmt 8/30/13//R01HL $20,901 Role of CC Chemokine Ligand 23 in Chronic Rhinosinusitis R21HL REVISED $267,255 Role of the Mitochondrial ATP-Binding Cassette Protein R01HL ($1) Sleep Patterns as a Risk Factor for Disease in the Hispa / R01HL $100,554 Social and Cultural Influences on Cardiovascular Risk in R01HL $187,370 Study of Cardiac Mechanics in Systemic Hypertension R01HL $269,482 Study of Latinos-Nutrition Assessment Study (SOLNAS) //R01HL $12,722 Subclinical Vascular Disease and Metabolic Abnormalities //R01HL $76,198 The F-Bar Protein CIP4 in WAS-Dependent Thrombocytopenia R21HL $56,995 The Role of CD99 in Leukocyte Transendothelial Migration F30HL $40,167 The Role of Group 1 CD1-Restricted T Cells in Atheroscle R21HL REVISED $233,637 The Role of MicroRNA210 in Cardiomyocyte Response to Ich R01HL $335,052 The Roles of Endothelial Cell PECAM and the LBRC in leuk R01HL $356,852 Therapeutic Angiogenesis in Vascular Medicine IV R01HL $199,795 Time Resolved MRA of the Intracranial Vasculature R01 HL ($1,934) TNF mrna Stability and Restenosis R01HL $73,672 Training Grant in Circadian and Sleep Research T32HL A1 $82,019 Training Grant in Sleep Research T32HL $192,854 Translating a Heart Disease Lifestyle Intervention into R21HL REVISED $107,439 Vascular Medicine at Northwestern University K12 HL A1 $48,010 Vascular Surgery Scientist Training Program T32HL $87,507 Vascular Surgery Scientist Training Program T32HL A1 REVISED $43,769 Vitamin D Levels and Peripheral Arterial Disease Outcome R01HL $54,284 $19,094, Hydroxytryptophan Regulation of Endothelial Cell Sign R01HL $388,313 A Randomized Double-Blind Placebo-Controlled Trial of Ga //5U01HL $1,012 Central and Peripheral Elements of Respiratory Pattern F R01HL $1,133 CPAP Protocol: Effect of Positive Airway Pressure on Red Award Letter 8/17/12 $6,662 Effects of Hypoxia on Alveolar Epithelial Cytoskeleton R01HL $354,492 Genes Mediating Innate Immune Suppression by Hypercapnia R01HL REVISED $367,519 Glucocorticoid Receptor Translational Isoforms in Asthma R01 HL Revised $24,448 Glucocorticosteroid Action in Inflammatory Disease R37HL $321,005 Glucocorticosteroid Action In Inflammatory Disease R37HL REVISED $23,944 Lung Function Decline and Disease Risk from Young Adulth R01 HL $11,388 The accompanying footnotes are an integral part of the 60 (Continued)

61 Metabolic Regulation of Pulmonary Vascular Remodeling R01HL $291,935 MFMU Network Capitation for ALPS Study Agmt 4/25/14//U10HL $570 Molecular Basis of Circadian Desynchrony in Cardiometabo R01 HL ($17,291) Molecular Mechanisms of Central Chemoreception in Breath R01HL $427,310 Multi-Level Understanding of Social Contributors to SES R01HL $414,798 Mycophenolate vs. Oral Cyclophosphamide in Scleroderma I G KB116 / R01HL ($1,089) New Approaches for Empowering Studies of Asthma in Popul //1R01HL $49,110 Pathophysiology of Alveolar Epithelial Lung Injury P01HL REVISED $1,490,251 PROgenitor Cell Release Plus Exercise to Improve Functio R01HL $1,381,129 Pulmonary Microvascular Blood Flow and Cor Pulmonale Par (GG007619) // R01HL $9,759 Redox Regulation of Vascular cgmp Signaling in Neonatal R01HL $401,802 Regulation of Inflammation and Acute Lung Injury by the R01HL A1 Revised $136,740 Respiratory and Metabolic Adaptation to Hypoxia R01HL $186,274 Right Ventricular-Pulmonary Vascular Interactions in Pul K960/R01HL $81,067 Role and Regulation of Sodium, P-ATPase in Lung R37 HL ($137) Role and Regulation of Sodium, Potassium ATPase in Lung R37HL $442,160 Role for Wnt/beta-Catenin Signaling in Alveolar Repair a R01HL REVISED $481,699 Role of Epithelium in Immunity, Inflammation and Disease R01HL Revised $145,916 Role of the Na K ATPase Beta 1 subunit in alveolar epith R01HL $274,635 Role of vimentin in influenza A-induced acute lung injur R01HL $5,458 Role of Wnt/b-Catenin Signaling in Pulmonary Fibrosis K08HL $124,888 Safety and Efficacy of Aerosolized Xylitol in Cystic Fib //5U01HL $131,262 Seniors Health Literacy, Beliefs and Asthma Self-Manage //R01 HL $126,634 Smoking in Asthmatic Pilot Study (SAPS) Award Letter 11/29/12 $1,175 Study of Asthma and Nasal Steroids (STAN) Letter dated 12/17/2009 $11,616 Study of Soy Isoflavones in Asthma (SOYA) U01HL $122,297 Study of Soy Isoflavones in Asthma (SOYA) Award Letter 12/17/09/ U01 HL $16,487 Substrate Stiffness Regulates Alveolar Epithelial Cell B R01 HL Revised $125,791 The Injurious Effects of Hypercapnia on the Alveolar Epi R01HL REVISED $393,978 Training Program in Lung Science T32HL REVISED $355,033 Training Program In Lung Sciences T32HL A1 $16,985 Treating Lung Inflammation by Targeting Siglecs //5P01HL $310,296 Trial of Late SURFactant (TOLSURF) to Prevent BPD (Clini sc / U01HL $11,140 $9,449,594 The accompanying footnotes are an integral part of the 61 (Continued)

62 Aberrant Megakaryopoiesis in the Myeloproliferative Neop R01HL A1 $334,437 Autonomic, Endothelial, and Inflammatory Correlates of S R01HL $69,916 Coboglobins-Cobalt-Substituted Hemoglobins and Myoglobin R01HL $383,522 Cyclin E Regulation in Normal and Neoplastic Hematopoies R01HL $317,519 Electron Transfer Within Protein Complexes R01HL REVISED $355,798 FGF-23 and the Risk of Stroke and Cognitive Decline H/5R01HL $8,810 Functional Analysis of mdia Formins in Hematopoietic Ste R00HL $260,369 HoxA10 Function During Myeloid Differentiation R01HL ($1,095) ICSBP Function During Myeloid Differentiation R01HL ($1) Motors Regulating Targeted Recycling of the Lateral Bord F31HL A1 $35,458 The Role of TET Oncogene Family Member 2 in Myeloprolife F32HL ($247) $1,764,486 A Multi-Center Prospective Study of Quality of Life in A WU Amendment 04 //1R01AR $21,085 A Prospective Study of Human Bone Adaptation Using a Nov //R01AR ($428) A regulatory checkpoint in the pathogenesis of inflammat R01AR $427,913 Adaption and Validation of PROMIS for use in Vasculitis //1R01AR PO# $30,020 Biomarkers and Pathogenesis of Systemic Sclerosis (NIAMS Amend1//P50AR $6,878 Caspase 8: A Novel Suppressor of Dendritic Cell-Mediated K01AR $131,710 Desmoplakin Assembly and Function in EpidermisDesmoplaki R37AR Revised $515,311 Development of a Nonpsychotropic Cannabinoid Agonist for Award Agreement: 11/5/12//1R43AR $16,650 Development of a Novel RA/Atherosclerosis Mouse Model R01AR $376,515 Dynamic Instability in Persons with Knee Osteoarthritis R01AR $205,281 EphA/Ephrin-A Signaling in Epidermal Differentiation and R01AR A1 $314,675 Fatigue and Lifestyle Physical Activity in SLE R21AR ($26,201) Fibroblast TGF-beta/Signaling in Scleroderma: Modulation R01AR ($17,429) Function of Desmoglein 1/Pemphigus Foliaceus Antigen R01AR $501,088 Functional and Structural Links Between Cadherin Adhesio R01AR $281,870 Genome Wide Association Study in African Americans with Agmnt 11/14/13 //R01AR $4,467 In Situ Measurement of Sarcomere Operating Range in Pass R21AR REVISED $164,960 Intercadherin Interactions in Epithelial Cells R01AR $367,303 Joint ADventure: A Worksite Activity-Diet Intervention f R21AR $118,305 Keratinocyte Migration and Wound Healing R01 AR $2,405 Knee OA: Predictors and Outcomes of Physical Inactivity R01AR $281,586 Long-term Significance of Pre-radiographic Lesions in Pe R01AR $95,234 Molecular Basis of Fibrosis: Regulation of Collagen R01AR $380,259 The accompanying footnotes are an integral part of the 62 (Continued)

63 Multidisciplinary Clinical Research Center in Rheumatolo P60 AR ($57,726) NIAMS Multidisciplinary Clinical Research Center in Rheu P60AR $959,901 NIAMS: Core Center - Proteomics and Clinical Core /P30AR $36,507 NIH PROMIS Statistical Coordinating Center U01AR ($30,016) Northwestern University Skin Disease Reseach Core Center P30AR $25,310 Northwestern University Skin Disease Research Core Cente P30AR $474,065 NRSA Postdoc Fellowship for B Korman in support of: PPAR F32AR $58,240 Osteoarthritis Progression and Sensory Pathway Alteratio R01AR $175,923 Patient reported outcomes in routine clinical care of pa //3U01AR $39,989 Planning Activity and Nutrition Trial in Lupus to Energi U34AR A1 $95,501 Post Graduate Program In Cutaneous Biology T32AR A1 $108,768 Postdoctoral Rheumatology Training T32AR $225,837 Predictive ability of gene expression signatures in skin K23AR $104,765 Program Project in Genetics of SLE / P01AR ($6,899) PROMIS Statistical Center U54AR $742,279 Pt Reported Outcomes Measurement Information System Tech U54AR S3 $850,380 Relationship of Hip Muscle Group Weakness to Deteriorati R01AR $75,172 Role of BH3-Domain Proteins in the Effector Phase of RA R01AR ($17,707) Role of CCR7 in Clinical Response in Inflammatory Arthri R21AR $165,357 Role of Stress-Response Protein gp96 in the Persistence R01AR $39,628 Simultaneous Targeting of IRE1a in B Cells and Macrophag R01AR $37,503 sirna-gold Nanoparticle Mediated Ganglioside Depletion f R21AR $98,037 Targeting Adiponectin Signaling: Novel Peptide Therapy f R21AR $140,166 The GIT2-PIX-PAK Complex in T cell Migration, Activation K01AR $120,708 The PROMIS Social Function-Ability Short Form in Diverse RX NU//5U01AR $24,892 Therapeutic Role for P21 in Suppressing IL-1 beta Mediat R01AR $314,625 Topical Delivery of sirna Nanoconjugates: Suppressing Ep R01AR A1 $396,977 Topically-delivered Mutation-specific Gene Targeting for AGMT 8/15/14//1R43R $1,480 Validation of PROMIS Measures in Children with Brain Tum R01CA $263,652 $9,662,771 A Multi-Center Study of Acute Liver Failure in Adults GMO // 2U01DK $119,662 A novel autophagy gene beclin 2 in the prevention of typ R00DK Revised $261,596 A Novel Target of Type 1 Diabetes DP2DK ($967) A2ALL-Patient Safety System Improvements in Living Donor R01DK $525,715 Adduct Dipstick for Diagnosis of Acetaminophen Toxicity // R42 DK $15,286 The accompanying footnotes are an integral part of the 63 (Continued)

64 Adult Life Predictors of Genitourinary Disorders M1//5R01 DK $38,915 An Assessment of Liver Disease in HIV-infected and HIV/H K23DK $107,536 Basic Science Training Grant in Urology T32DK $72,563 Brain imaging based strategies for treating UCPPS pain R01DK $175,651 Calcium Handling and Secondary Hyperparathyroidism in Ch K23DK $22,248 Chemokine Mechanisms in Chronic Pelvic Pain R01DK $375,384 Cholestasis and the Unfolded Protein Response R01DK $360,766 Clinical Islet Transplantation: Data Coordinating Center //2U01DK $305,070 Collaborative Islet Transplant Registry (CITR) CITR Agmt 4/22/2013 $1,570 Community Translation of a Lifestyle Intervention to Imp R18DK $438,464 Defining Clinically Relevant Phenotypes of PPI Non-Respo R01DK $301,126 Diabetes Prevention Program Outcomes Study- Phase U01DK $467,549 Disordered Mineral Metabolism in the CKiD Children: Role sc//R01DK $2,348 ECDI Coupled Cells for Tolerance in Allogeniec Islet Cel DP2 DK ($62,296) Epidemiology of Diabetes Interventions and Complications RES508239//DK $127,167 Establishing Immunological Tolerance to Transplanted Pan VUMC38573/2 U01 DK $147,130 Fellowship for Roger Warren Sands in support of: Program F30DK $2,364 FGF23 and Cardiovascular Disease in CKD R01DK $84,045 FGF-23 and Clinical Outcomes in ADPKD patients FY //5R01DK $3,938 GATA1 Mutation in Defective Erythropoiesis R01DK $309,840 Genetics and Evolution of Fetal Human Fat Accretion Duri R01DK $366,089 Genetics and Genomics of Maternal Glycemia During Pregna R01DK A1 $225,152 Hyperglycemia and Adverse Pregnancy Outcome (HAPO) Follo U01DK $3,610,843 Induction and Modulation of Host Responses by UPEC R01DK REVISED $210,956 Induction of Donor Tolerance in Renal Transplants BDDB v2 // R42 DK $689,669 Integration of Feeding and Glucose Metabolism by the Cir R01DK $578,256 Interplay of Dietary Lipid and Circadian Dysregulation i R01DK A1 $2,229 Living Donor Liver Transplant - Predictive Models for Lo U01DK $498,697 MARTX of Vibrio Cholerae Targets Neutrophils to Establis F30DK $51,530 Maternal Obesity and Gestational Diabetes: Impact on Me R01DK $347,351 Mechanisms of Erythroblast Enucleation R56DK $20,830 Med1 in Liver Metabolism, Regeneration and Cancer R01DK $240,607 Mentored Patient Oriented Research in Mineral Metabolism K24DK $32,249 Microbiomes of Interstitial Cystitis R24DK $48,870 Mouse Urinary Bladder Identifying Targets to Treat Overa R01DK A1 $32,089 Multifunctional Printed Scaffolds for Enhancing Hepatocy K01DK $129,795 The accompanying footnotes are an integral part of the 64 (Continued)

65 NEAT! Technology to Increase Breaks in Sedentary Behavi P30DK092949//FP $2,416 Neurobiological Mechanisms Underlying Effectiveness of C GQB924//5R01DK $105,978 NRSA F30 Fellowship for Alison Affinati in Support of: D F30DK $53,227 NW University Program in Endo Diabetes and Hormone Actio T32DK $275,204 Online Patient Self-Assessment for Chronic Pancreatic an Agmt2/27/13/R43DK ($487) Optimization and control of hepatocyte activity via biof K08 DK $33,880 Opt-IN: Optimizing Intensive Lifestyle Interventions for R01DK $695,326 Pathogenesis of Diabetic Nephropathy R01DK $419,917 Patients and Providers Perspectives on Metformin for D FP047431//P30DK $12,762 Pelvic Pain and Depression U01DK $87,115 PERL: A multicenter clinical trial of allopurinol to pre //1UC4DK $138,936 Phenotype of urinary symptoms and relationships with gen U01DK $229,128 Pilot Studies Targeting Mineral Metabolism in CKD U01DK REVISED $13,490 Postdoctoral NRSA fellowship for Clara Bien in Support o F32DK $40,588 Primary Care-Community Partnerships to Prevent Diabetes R18DK ($8,863) Quality of Informed Consent for Adult-to-Adult Living Do R03DK $12,820 Role of FGF23 in Mineral Metabolism Across the Spectrum R01 DK $7,574 Role of Pattern Recognition in Prostate Epithelial Infla K01DK $23,208 Signaling Pathways in Renal Fibrogenesis R01DK $378,500 Sonic Hedgehog, a Regulator of CN Injury Induced Apoptos R01DK REVISED $21,362 Strategies for ACE2 Amplification to Treat Diabetic Kidn R01DK $203,875 T cells in Chronic Pelvic Pain R01DK REVISED $237,758 Targeting Estrogen Receptors to Protect Functional Beta R01DK A1 ($2,666) The Esophagogastric Junction in Health and Disease R01DK $289,029 The Mechanics of Symptom Generation in Dysphagia R01DK $131,651 The role of emergency granulopoiesis in the pathogenesis R01DK A1 $141,482 The Role of PAI-1 and Circadian Disruption in the Pathog K08 DK A1 $125,453 The Role of the Amygdala in Weight Gain Susceptibility / R01DK $19,158 Training Grant in Gastrointestinal Physiology and Psycho T32DK $12,320 Transcriptional Coactivators in Liver Function R01DK $185,619 Transplant Surgery Scientist Training Program T32DK $216,164 Vitamin D and type 2 diabetes (D2d study) SERV//U01DK $333,922 Vitamin D Catabolism in Chronic Kidney Disease //1R01DK A1 $5,702 $15,729,430 The accompanying footnotes are an integral part of the 65 (Continued)

66 Self-administered CBT for IBS: A Multicenter Trial R869352/ /2/46627/U01 DK $343,370 Collaborative Islet Transplant Registry (CITR) Agreement 10/16/2003 $10,296 Donor Stem Cells, Campath, T/B Cell Regulation in HLA Id R01 DK ($304,698) Interactive Mechanisms of Pelvic Pain U01DK $942,579 Nocturnal Hypertension and Prevention of Microalbuminuri U01 DK $4,308 Role of TNF in Bladder Inflammation R01 DK ($7,528) $644,957 A New Genetic Tool for Analyzing Protocadherin Diversity R03NS $62,245 A Primate Model of an Intra-Cortically Controlled FES Pr R01NS $339,980 A role for beta-arrestins in mglur-dependent plasticity R21NS $13,847 Acetylcholine Receptor Gene in Slow-Channel Syndrome //R01NS $28,478 Action Potentials vs. Field Potentials as Inputs to a Br K08NS $6,218 Assessing Aberrant Motor Learning in Parkinsons Disease A//1R21NS A1 $15,966 B7-H1 Expressing Macrophages Mediate Immunosupression in R00NS $7,790 Behavioral and molecular responses to high-intensity exe F31NS $25,575 Cajal-Retzius Cells and Neuronal Signaling in Postnatal R01NS REVISED $91,722 Cajal-Retzius cells and neuronal signaling in postnatal R01NS A1 $150,139 Cellular dissection of herpes simplex encephalitis with R01NS $4,841 Cellular Pathways Underlying Polyglutamine Degeneration R01NS $312,238 Cerebellar Microcircuits: Organization and Development R01NS $237,637 Chemokine Signaling in Diabetic Neuropathy K08NS $159,024 Chronic Pain and Emotional Learning and Memory R01NS REVISED ($4,607) Circadian Rhythms and Sleep-Wake Cycle in Parkinson s Di K23NS A1 $1,444 C-kit Signaling Pathways Regulate EAE Susceptibility in F31NS $47,385 Clinical Coordination Center for STEADY-PD U01NS A1 $675,479 Clinical Research Sites for the Network of Excellence in U10NS $268,595 Clinical Trial of Ceftriaxone in ALS CEFT3 Northwestern / U01NS $46,359 Combined Approach to Genetic Modifiers of Inherited Epil R01NS $18,279 Computer Models of Normal and Abnormal Discharge Pattern // R01 NS A1 $19,894 Computer Simulations of Populations of Mammalian Motor U R01NS $264,246 Concordance of TDP-43 Inclusions with Cortical Atrophy a R01NS A1 $13,627 Cortical Pathophysiology of Pain R01NS $64,130 CRCNS: Collaboration on High Resolution Maps of Synapses R01NS $234,099 Degeneration of Motoneurons Caudal to Spinal Lesion Agmt 9/17/12//1R21NS A1 $2,364 The accompanying footnotes are an integral part of the 66 (Continued)

67 Determinants of Neurodegenerative Decline in Primary Pro R01NS REVISED $354,559 Development of a Bidirectional Brain Machine Interface R01NS $605,949 Development of mouse models of optineurin-linked ALS R21NS $181,628 Direct nicotinic excitation of layer 5 neocortical pyram R01NS A1 REVISED ($555) Directed Differentiation of Stem Cell Transplants into M F32NS REVISED $32,004 Disease Mechanisms in Human Ubiquilinopathy R01NS $476,020 Dopaminergic and Muscarinic Signaling in the Striatum R01NS $249,039 Dopaminergic and Muscarinic Signaling in the Striatum R01NS $62,848 DProt#99-705: Carotid Revascularization Endarterectomy v Agmt / R01 NS $14,836 Effects of Monamines on Motoneuron Discharge Patterns R01NS REVISED $130,070 Electrical and Mechanical Properties of Motor Units in a R01NS $563,152 Elucidating the Relations of Heat Shock Factors, Molecul R01NS ($973) Estrogen-Induced Hippocampal Seizure Susceptibility R01NS S1 $258,160 Exploratory Study of Different Doses of Endurance Exerci FY / R01NS $41,609 Fellowship for Julianne Hatfield in support of: Mast Cel F31NS REVISED $9,812 Fellowship for R. Huda in Support of Contribution of ASI F31NS REVISED $2,018 Function and dysfunction of brain networks for the flexi F32NS $51,696 Functional Development of Motor Networks R01NS REVISED $296,312 Galectin Modulation of Glutamate Receptors and Neuronal R01NS REVISED $360,243 General Motor Control Mechanisms and Disease Training Pr T32NS $433,667 Generation of High Passage and Immortalized Human Microg R21NS A1 $66,158 Genetic labeling and visualization of CSMN in models of R21NS $175,250 Genetic Modifiers of Childhood Epilepsy R01NS A1 $21,715 HCN Channel Trafficking in Epilepsy R01NS REVISED $1,542 HCN channel trafficking in epilepsy R01NS A1 $93,527 Hereditary Defects in Human Sodium Channels R01NS $109,493 Identification of a Novel Gene for Parkinson Disease R21NS ($10,922) Immobilizing Gradients of Neurotrophic Factors On an Ali F32NS $49,289 Immunoregulation and Pathology of Chronic Relapsing EAE R01NS $231,189 Improving neurologic outcome measurement for interventio /225/27/NU-03 Amend2//1R25NS $122,238 In Vitro and In Vivo Functional Analysis of Ikbkap in Fa F31NS $28,739 In Vivo Analysis of Cortical Projection Neurons R21NS $98,682 Induced Pluripotent Stem Cell Core for NINDS Investigato P30NS $517,160 Innate and Adaptive Immunity in Epileptogenesis NU/R01NS A4 $56,430 Innate Regulation and CD+Th1/17 Immunityin TMEV-Induced R01NS $270,665 Intercellular Signaling in the Circadian Clock R01 NS $2,845 The accompanying footnotes are an integral part of the 67 (Continued)

68 Interdepartmental Two-Photon Imaging Center (Admin. Core P30NS REVISED ($579) Interneuron and Motoneuron Properties in Chronic Spinal AGMT 4/18/14//R01NS $115,302 Intrinsic Plasticity and Information Storage in Cerebell FP038885//R01NS62771 $5,890 Ionic Currents and Spiking in Cerebellar Nuclear Neurons R01NS ($1,870) Ionic currents and spiking in cerebellar nuclear neurons R56NS $417,926 Ionic currents and spiking in cerebellar nuclear neurons R37NS A1 $57,888 L-DOPA-induced dyskinesias and dysregulation of striatop F32NS $50,016 Learning and Adaptation of Multi-Joint Arm Movements // NS A2 $15,878 Maternal Outcomes and Neurodevelopmental Effects of Anti T100667/U01NS $57,650 Mechanisms Governing Neuronal Development R01NS $147,335 Mechanisms of Distorted Inputs in Chronic Spinal Injury R01NS $39,305 Mechanisms of EarlY Recurrence in Intracranial Atheroscl //1R01NS A1 $14,666 Mechanisms Regulating Reduced c-kit-dependent EAE Suscep R21NS $188,940 Minimally Invasive Surgery plus rt-pa for ICH Evacuation //U01NS $862 Molecular basis of Scapuloperoneal SMA and Charcot-Marie R01NS $335,469 Molecular Basis of Somatic Sensation R01NS REVISED $153,563 Myoelectric Computer Interface to Reduce Muscle Co-Activ R21NS A1 $59,835 Neural Systems for the Dynamic Use of Memory R00NS REVISED $265,271 Neurogenetic Approaches to Study Directed Behavior in Dr R01NS $158,815 Neurological AIDS Research Consortium WU //5U01NS $3,863 Neurological Emergencies Treatment Trials: Clinical Coor Amend No.1//U01NS $53,570 Neuromechanical Substrates for Post Stroke Asymmetric Ga //R01 NS A4 $45,466 NeuroNEXT Clinical Trials Master Agrmnt 2/27/12/ U10NS $38,659 Neuroprotection Exploratory Trials in Parkinson s Diseas U10NS $10,076 Neuroprotection Studies in PD: A Coordinating Center / U01 NS ($25,939) Neuroprotection Studies in PD: A Coordinating Center / U01NS $61,538 Novel Marine-Derived Ligands for Probing GluR Function R01 NS $58 Novel Tools for Evaluation and Prediction of Radiotherap R01NS REVISED $323,566 NRSA F31 Predoctoral Fellowship for Sarah Brooker in sup F31NS $3,672 NRSA Predoctoral Fellowship for Alan Lewis in Support of F30NS REVISED ($955) NRSA Predoctoral Fellowship for Christina Whiteus in Sup F31NS REVISED ($3,628) NRSA: The Structural and Molecular Determinants of Resur F31NS $16,822 PDiPS Cell Line Consortium //1U24NS $126,665 Prevention and Risk Identification of SUDEP Mortality RES508547//5P20NS $62,493 Protein Acetylation and Selective Autophagy R01NS $258,360 Putting the Pieces Together: The Role of CCS in Intracel F31NS ($1) The accompanying footnotes are an integral part of the 68 (Continued)

69 Racial Disparities in Pain Experience: Neuroimaging ad B R21NS A1 $120 Regulation of neuronal survival by gamma protocadherins R21NS $76,511 Regulation of Neurotransmitter Metabolism R01NS $362,584 Rhythmicity and Synchrony in the Basal Ganglia P50NS $76,610 Rhythmicity and Synchrony in the Basal Ganglia P50NS $1,422,128 Role of 4.1 Proteins in Kainate Receptor Localization an R01NS $201,216 Role of high density lipoprotein particles in amyotrophi R56NS A1 $172,297 Role of mtorc2 in GBM - Development of a Novel Therapeut //5R01NS $890 Role of TRIP8b in Epilepsy R21NS $24,588 ScanImage: Flexible Software for Laser Scanning Microsco R24NS NU $20,455 Spatial and Temporal Scales of Motor Sequence Learning Amendment #3//P01NS A1 $131,204 Spinal Muscular Atrophy: Inducing SMN Expression NU/2R01NS A1 $83,402 Store-Operated Channels in the Nervous System R01NS REVISED $432,954 Stretch Reflex Contributions to Multijoint Coordination /2R01NS $45,575 Striatopallidal GABAergic Signaling in Mouse Models of P R01NS $257,859 Stroke Trials Network - Regional Coordinating Stroke Cen U10NS $250,758 Synaptic Circuit Organization of Motor Cortex R01NS $18,391 Synaptic Circuit Organization of Motor Cortex R01NS $403,696 Synaptic Transmission, Plasticity and Integration in the R37NS $510,696 Synaptic Transmission, Plasticity and Integration of the R01NS REVISED ($15,220) The Developmental Basis of Dopaminergic Neuron Diversity R21NS $60,268 The Function of a Novel Conserved Ion Channel in Daily B R56NS A1 ($1,245) The Loss of Independent Joint Control of the Upper Limb R01NS ($2,049) The Prefrontal Cortex in Neuropathic Pain R01 NS $32,594 The Representation of Uncertainty in the Sensorimotor Sy RIC NU/ R01 NS AMD 4 $206,343 The Role of Lysosomal Glucocerebrosidase in Synucleinopa R01NS $231,632 The Role of Mast Cells in Relapsing-Remitting EAE F31NS $10,525 The Role of MicroRNAs in Schwaan Cell Development and Di R01NS $371,020 The role of neonatal kainate receptors in developing hip R21NS REVISED $189,810 The Role of Prefrontal Cortex and Thalamus During Trace R01 NS ($514) The role of Sirt1 in Huntington s Disease R01NS $457,224 The role of UCHL1 on the health and stability of upper m R01NS $238,040 The Role of Uncertainty in Human Motor Learning and Adap Amendment #3//R01NS06339-A102 $52,989 The Role of USP 14 in Regulating Neuronal Function //5R01NS $9,681 Therapeutic Candidates for Huntington s Disease: From Le //1U01NS A1 $85,822 Tr1-Specific Tolerance: A Novel Treatment of Multiple Sc Agmt Signed 7/17/12 $96,906 The accompanying footnotes are an integral part of the 69 (Continued)

70 Training in Neurotherapeutics Discovery and Development //5R25NS $11,415 Training Program in the Neuroscience of Human Cognition T32NS $354,381 Understanding the cellular basis of Movement Disorders R01NS $360,296 Validation of the HD-HRQOL (Huntington Disease Health Re //5R01NS A1 $42,867 Wrist/Grasp Muscle Activity Patterns for EMG-neural Inte F31NS $26,185 $19,430,439 A Novel and Improved Mouse System for Studying Macrophag R21AI ($45,178) ACTG Committees-AEC, Hepatitis TSG, Hepatitis TSG Steeri //7UM1AI $4,707 ACTG LOC Protocol A5320 Vice-Chair //2UM1AI $2,374 ACTG LOC Protocol Co-Chair for Protocol A //2UM1AI $9,544 ACTG Research Group DMC Committee Chair //2UM1AI $20,089 Aging and Fracture Risk Among HIV-infected and HIV-uninf //R01AI $107,230 AhR Activation in Th17 and Treg Cell Differentiation R01AI $540,125 AIDS Clinical Trial Group Network Protocol Funds Mod 1 //2UM1AI $11,834 Alloantigen Delivery Via ECDI-Fixed Cells for Tolerance N //5U01AI $145,224 Alpha-Herpesvirus Transport on Axons R01AI REVISED $425,976 Alpha-herpevirus Assembly Egress and Viral Particle Hete R01AI REVISED $371,223 Analysis of HIV-1 Uncoating F32AI $53,381 Anti IL5 and Churg Strauss Syndrome: a double blind, pla /1U01AI $17,602 Anti-TSLP (AMG 157) plus antigen-specific immunotherapy FY14ITN011//1UM1AI $13,376 ARRA - Randomized Double-Blind Phase 2 Study Comparing the Effi CRB-DCR01-S //HHSN /2/3I $28,601 Bioresponsive Combination Microbicide Delivery System fo R33AI $246,594 BWH Protocol Support for ACTG NU CRS and / UM1AI $9,847 Capsid-Targeting HIV-1 Antivirals VUMC36464 Amendment #5//R01AI $20,272 Cervical/Vaginal Mucus and Microbicides R33AI $449,188 Chicago Clinical Trials Unit UM1AI REVISED $1,035,747 Chicago Women s Interagency HIV Study (WIHS V) NWU1-AI $43,353 Chronic Rhinosinusitis Integrative Studies Program (CRIS U19AI $1,281,476 Clinical Islet Transplantation at Northwestern U01AI ($232,069) Continuation Funding for the Immune Tolerance Network [I FY14ITN048//1UM1AI $6,606 CRISPR Cas Genes and Legionella Pneumophila Infection R21AI $204,679 CTOT-11: Novel Therapies to Improve Renal and Cardiac Al // U01 AI $15,807 Development of Drugs that Target the M2 Proton sc//U01AI ($3,241) Development of Tissue Explant Models for Microbicide Eva R33AI REVISED ($633) Differential expression of non-coding RNAs during influe //5U01AI $36,938 The accompanying footnotes are an integral part of the 70 (Continued)

71 DLL4 Regulation of T Cell Migration in EAE R01AI REVISED $377,961 Do Early Maternal Antibodies Facilitate Oral Transmissio //R01DE $178,160 Drug at the Right Place & Concentration: Optimizing Comb U19AI $294,435 Drug at the Right Place and Concentration: Optimizing Su I Amd. 2//5U19AI $227,760 Drug at the Right Place and Concentration: Optimizing Su G//1UA9AI $152,603 E1A Oncoprotein Induced Deregulation of Replication Orig R21AI $52,865 Early Events in Mucosal SIV Pathogenesis R01AI //TUL-HSC /1 $70,617 ExoU and the Pathogenesis of Psuedomonas Pneumonia R01AI $168,369 Expanding Small Molecule Functional Metagenomics through AGMT 07/25/2014//2R44AI $14,839 Function of Vibrio Vulnificus MARTX Toxin During Early G R01AI Revised $262,202 Genetic and Biochemical Study of V. Cholerae RTX Toxin R01AI REVISED ($3,447) Genetics of Iron Acquisition by Legionella Pneumophila R01AI $339,505 Genomics for Transplantation: Discovery and Biomarkers //5 U19 AI $198,434 Global innate immune responses to HIV-1 infection Agreement Date: 12/9/11 // AI $276,894 Glucocorticoids and glucocorticoid receptor translationa R21AI $19,857 Group 1 CD1 in Infectious Disease and T Cell Development R01AI REVISED $431,310 Helicase Regulation of dsrna Signaling and Innate Antivi R01AI $13,484 Herpes Simplex Virus Entry Receptors in Immune Memory an K08AI ($2,427) HIV Centers for Underrepresented Populations in Research NU// //2UM1AI $618 HIV Susceptibility and Pathogenesis in the Female Genita Agmt 1/7/11 // AI $13,922 Host-Pathogen Interactions in a Failing Global lineage o USTTB/NU/1R01AI $20,811 Identification of the Initial Targets of Transmission R01AI $1,356,026 Immunology and Molecular Pathogenesis Training Program T32AI $245,047 Improving Food Allergy Management through an Electronic R21AI $194,679 IMVC Pilot Project: Lonza 4D-Nucleofactor System upgra //5U01AI $22,750 Integration and Excision by Serine Intergrases ( ) Amd 3 // R01 AI $98,752 Intravaginal Ring Delivery of Safe & Effective Microbici A//U19AI $59,199 Mechanism of Azithromycin Activity in Pseudomonas Infect R21AI REVISED $11,121 Mechanisms of Gonococcal Pilin Antigenic and Phase Varia R37AI REVISED $398,116 Mechanisms of MCMV reactivation in immunodeficient trans R01AI $47,316 Mechanistic Studies of Patatin-like Toxins R01AI A1 $14,250 Metabolic Heterogeneity and Antibiotic Susceptibility in R01AI $316,808 Microbicide Delivery System to Target Lymphoid Organs R33AI082738//5R21AI A2 $107,730 Microscopic Analysis of the Interaction of HIV with the P01AI Amd. 4//5P01AI08297 $273,765 Molecular Basis of Paramyxovirus-Induced STAT Degradatio R01AI $15,298 Molecular Genetics of the Gonococcus R01AI $427,805 The accompanying footnotes are an integral part of the 71 (Continued)

72 Molecular Mechanism of V. Vulnificus MARTX Toxin in Path R01AI $300,968 Multicenter AIDS Cohort Study U01AI REVISION2 $2,422,618 Multicenter AIDS Cohort Study U01AI $1,318,599 Multicenter AIDS Cohort Study - Part B (Baltimore Center //5U01AI REVISED $54,578 Multicenter AIDS Cohort Study - Part B (Baltimore Center //U01AI $2,413 Neisseria Gonorrhaeae G4-Binding Proteins That Regulate F32AI $28,645 New Paradigms in Gene Regulation During Influenza Virus U01AI $461,025 Northwestern University Allergy Immunology Research Prog T32AI $133,664 Novel long-acting microbicide and contraceptive intraute Sub#121881//1R01AI $23,170 Novel Therapies of Chronic Allograft Dysfunction (B-Cell / 5 U01 AI ($16,948) NRSA F31 Fellowship for Rangel in support of The Role of F31AI $23,348 NRSA Fellowship for A. DuMont in Support of Mechanism of F32AI $7,638 Patient-Oriented Research on Hospital-Acquired Pathogens K24AI $106,035 Point of Care Use Flu Drug Resistance Test agrmnt 12/18/10//R44AI ($444) Post Genome-Wide Association Study of Food Allergy // 5U01 AI $13,844 Prevention of HIV Transmission/acquistion through inform //R01AI $53,103 Project 3: An omics approach towards influenza A repli //5U19AI $318,955 Proteogenomics for Organ Transplantation: Prediction, Di U01AI REVISED $2,245,346 Proteomic Predictors of Chronic Kidney Disease in Liver R21AI $708 Pseudomonas Aeruginosa Genomic Islands and Virulence R01AI REVISED $248,754 Pyomelanin and Legionella Pneumophila Infection R21AI ($112) Regulation and Functions of Mast Cell-Derived Il R56AI REVISED $90 Regulation of Allergic Inflammation by Histamine R01AI $395,883 Regulation of cytosolic pattern recognition receptor sig R01AI $479,332 Regulation of food allergy and anaphylaxis by IL R01AI A1 REVISED $148,274 Regulation of Food Allergy and Anaphylaxis by IL R56AI $76,348 Regulation of T Cell Migration by Histamine R01 AI ($7,464) Role of Innate Immunity and Injury in Transplant-Induced R21AI $110,144 Role of Novel TH17 Cells in Allograft Rejection and Tole K08 AI ($15,915) Role of the Plasminogen Activator Protease During Pneumo R01AI Revised $312,780 Role of Thymic Stromal Lymphopoietin in Chronic Rhinosin R01AI A1 $93,126 S. aureus and Regulatory T cells in the Failure of Oral K23AI A1 $120,964 SIV Transmission in Male NHP Amend #2//R01AI $140,383 Small, noncoding RNAs and the evolution of Yersinia pest R21AI $175,596 Structural and Functional Studies of gp42 and HLA Class R01AI REVISED ($4,954) Structural and Functional Studies of gp42 and HLA Class R01AI $415,798 The accompanying footnotes are an integral part of the 72 (Continued)

73 Targeting Siglec-8/-F to treat eosinophil and mast cell R01AI $305,366 The APOBEC/Vif Conflict and HIV Pathogenesis R01 AI $10,837 The impact of HIV status and race on disparities in pros SP //P30AID $242,154 The Outer Surface of Vibrio cholerae UTA //R01AI $5,735 The Regulation and Function of CD1d-Restricted T Cells R01AI $14,415 The regulation and function of CD1d-restricted T cells R01AI A1 $65,495 The Role of MHC Class Ib in T Cell Development and Infec R01AI $385,516 The Role of the Aryl Hydrocarbon Receptor in Intestinal R21AI $78,181 The roles of Sirt1, a deacetylase, in immune tolerance a R01AI $474,235 The roles of Synoviolin in immune tolerance and autoimmu R01AI A1 $38,558 The Structure and Function of the Influenza Virus Genome R01AI $273,999 Training Program in Viral Replication T32AI $157,912 Translational Control of Gene Expression during Poxvirus R21AI $67,519 Translational Research Training in Infectious Diseases T32AI $129,930 Type II Secretion and Legionella pneumophila Infection R01AI A1 $4 Type II Secretion and Legionella Pneumophila Infection R01AI $156,356 Type III Secretion Inhibitors for Anti-Infective Therapy Agmt Signed 8/07/13 // R44AI $102,117 Unconventional APC Inducing Autoimmune Th17 Cell Expansi R01AI $369,119 Units for HIV/AIDS Clinical Trials Networks NU//5UM1AI $24,919 Units for HIV/AIDS Clinical Trials Networks (Northwester UM1AI $666,519 UTI Immune Modulation by LPS Structure F31AI REVISED $32,424 Validating Targets in P. Aeruginosa Type III Secretion U Agmt Signed 3/25/14 // 5R01AI $183,303 Virulence-Associated Accessory Genomic Elements of Pseud F32AI $50,793 Women s Health Inter-Network Scientific Committee //7UM1AI $17,417 Women s Health Inter-Network Scientific Committee //2UM1AI $21,156 Women s Interagency HIV Study NWU2-AI034993//5U01AI $52,340 $25,630,717 A Computational Biology Approach to Mapping Nucleosomes R01GM A1 $60,717 A Systems Approach to Stress Biology and Proteostasis R01GM REVISED $58,811 Activities of nucleoprotein complexes visualized in sing R01GM $233,008 Alpha catenin phosphorylation in adhesion F31GM $32,722 Architectures for the Macromolecule-Mediated Assembly of F32GM $46,572 Biotechnology Predoctoral Training Program T32GM $199,632 Biotechnology Predoctoral Training Program T32GM $25,674 Carbene Catalysis Strategies for Organic Synthesis R01GM $173,132 The accompanying footnotes are an integral part of the 73 (Continued)

74 Career Decision-Making of Future Minority Biomedical Sci R01GM $332,867 Cellular and Molecular Basis of Disease Training Program T32GM ($22) Cellular and Molecular Basis of Disease Training Program T32GM $758,609 Center for Transcriptional Network Dynamics and Evolutio // 1P50GM ($1,505) Characterization of the antiviral and nuclear regulatory R01GM S2 $70,045 Characterization of the P1B-5ATPase Hemerythrin-like and F32GM $48,935 Chemistry of Life Processes Predoctoral Training Program T32GM $181,448 Chicago Systems Biology Center for Study of Transcriptio //P50GM S1 $18,832 Coboglobins-Cobalt-Substituted Hemoglobins and Myoglobin R01GM $229,508 Control and Function of Ndr/LATS Signaling Systems R01GM A1 $122,301 Control and Function of the Yeast RAM Network R01GM S1 $89,118 Copper Acquisition by Methanotrophs F32GM $20,563 Cryo Ptychography Combined with X-Ray Fluorescence Analy R01GM REVISED $282,830 Design, Synthesis, and Biology of Inhibitors of Neuronal F32GM $20,908 Development of Bioresponsive Lipids for Intracellular De Amd 3//1R01GM $9,556 Development of DictyBase, an Online Informatics Resource R01GM $507,980 Developmental Dynamics of Ciliated Epithelia R01GM $285,246 DNA zip codes and the spatial organization of the yeast R01GM A1 $295,526 Elucidating the Mechanism of Particulate Methane Monooxy F32GM S1 $32,827 Eukaryotic Post-Translational Modifications R01GM $369,010 Genetic Predictors of Response to Anti-TNF Therapy in Rh / U01GM $1,450 Global Characterization of Protein Palmitoylation in Try R01GM A1 $309,152 High Throughput Screening for Small-molecules Facilitati R01 GM $5,496 International Population Study on Macronutrients and BP R01HL $630,214 L-carnitine Treatment for Vasopressor Dependent Septic S NU//1R011GM $195 Mass Spectrometric Studies of Thiotemplate Biosynthesis R01GM $150,989 Measuring Signaling Pathway Dynamics During Tissue Growt R01GM $251,298 Mechanism of Nuclear Signaling and cell-cell adhesion by R01GM $328,433 Mechanisms of CRISPR Interference R01GM REVISED $117,472 Mechanisms of hnrnpm in Alternative Splicing Regulation R01GM $69,495 Mechanisms of Kinesin Self-Regulation R01GM $267,303 Mechanisms of Nuclear Body Biogenesis SubK RFUMS Agreement Date: 4/30/14//R01GM09015 $56,615 Medical Scientist Training Program T32GM $1,080,027 Mentoring for Success: Developing Fundamental Skills for R25GM $532,806 Metalloregulation by MerR and Fur Protein Families R01GM $404,098 MicroRNA Regulation of Biological Mechanisms R01GM $298,978 The accompanying footnotes are an integral part of the 74 (Continued)

75 Molecular Biophysics Training Grant T32GM $213,258 Molecular Mechanisms of Basolateral Targeting in Polariz R01GM $283,232 Molecular Mechanisms of Gene Silencing by RNAi R01GM $400,050 National Infrastructure for Standardized and Portable EH //5R01GM $103,495 NetLogo 2.5D - Phase //8DP1 GM $24,584 New Methods for the Concise Synthesis of Bioactive Polyc R01GM $200,819 Northwestern University - Select Teaching and Research T K12GM $100,871 NRSA: Nucleosome Organization and Nucleosome-Transcripti F31GM $8,354 Nuclear Control of Respiratory Chain Expression R01GM REVISED $79,714 Nucleosome Positioning R01GM $106,645 Nucleotide Substitution in trna R01GM REVISED $232,885 Orthogonal Ubiquitin Transfer to Profile E3 Substrate Sp SP //5R01GM $83,009 Particulate methane monooxygenase R01GM $240,493 Predictive Modeling of Collective Swimming in Bacterial NU-DHHS-4978//5R01GM $141,665 PYRIN Proteins as Regulators of Innate Immune Pathways R01GM REVISED ($29,314) Regulation and Function of Intermediate Filaments in Cel P01GM $1,822,855 Regulation of Microtubule Motors R01GM $466,203 Regulation of SoxE Function During Neural Crest R01GM $215,272 Research Careers for Hispanic Students: Testing the Mult //5R01GM $18,320 Selective Inhibition of Neuronal Nitric Oxide Synthase R01GM $343,278 Src kinase phosphoregulation of the human mitotic kinesi R01GM $297,358 Structural Biology of Copper Homestasis /3 // 5 P01 GM $199,922 Structural Biology of Membrane Scaffolds R01GM $370,678 Structural mechanism of membrane remodeling during herpe Agmt Signed 6/4/14//R01GM $22,262 Structural Mechanisms in Semaphorin Signaling R01GM $230,059 Structural Studies of a Spectrin/Ankyrin Complex R01GM $226,559 Structural Studies of RNase P R01GM $301,384 Structural Studies of Type I Topoisomerases R01GM REVISED $298,044 Structure and Function of the Trypanosome Flagellar Memb R01GM $164,858 Structure and Specificity in Metal Ion Homeostatis R01GM REVISED $330,075 Structure Determination of Reaction Intermediates in Mac K99GM ($790) Super-resolution microscopy of nuclear lamin and spindle //R01GM $151,571 Synthetic Information Systems for Better Informing Publi Mod 01//2U01GM $30,171 Targets for Design of Drug Combinations that Select agai R01GM $10,041 The Academy for Future Science Faculty Diversity through R01GM $352,734 The Dictyostelium Stock Center R01GM REVISED $139,563 The accompanying footnotes are an integral part of the 75 (Continued)

76 The Endocrine Society Minority Access Program Evaluation Agmt Dtd 05/12/2014 $14,206 The role of the microtubule regulators Kif4 and EB1 in H (GG010108)//1P01GM A1 $45,099 The Structure and Function of Perinucleolar Compartment R01GM $314,938 Tissue morphogenesis: A study of molecular machines and R01GM A1 $297,548 Tri-Institutional Center of Excellence in Chemical Metho /A3//P50-GM ($10,738) Tube size control by Src and Yorkie/YAP R01GM $111,538 Virus Imaging Core P50 GM CHEETAH //P50GM A1 $322,262 Why Do Research Prizes Have Effects on Minorities R01GM $206,005 $18,489,906 Genes, Androgens and Intrauterine Environment in PCOS P50HD ($262,214) The Inflammatory Response Pathway in the Etiology of Pol R01HD $311,822 $49,608 A Controlled Trial of CBT for MS Inflammation NCIRE 725-NW-001 Amendment 6//1 R01 HD $18 A Pharmacokinetic Evaluation of Levonorgestrel Implant A R21HD $55,411 A pharmacokinetic evaluation of levonorgestrel implant a //5R21HD $21,702 A Preschool Biomarker for Literacy R01HD $420,404 A Randomized Study to Abate Truancy and Violence in Grad R01HD REVISED $705,006 Admin Core - Center for Reproductive Research at Northwe U54HD ($15,385) Adolescent Social Relationships and Immune, Endocrine F32HD $47,589 Amantadine + rtms as a Neurotherapeutic for Disordered C Pape-VA 0005//1R21HD $14,680 Biological Embedding of Early-Life SES R01HD REVISED $294,316 Career Development in Women s Health (CDWH) K12HD $514,553 Center for Reproductive Research after Disease U54HD $1,579,670 Characterizing the Role of Male Circumcision in HIV Sexu K08HD $130,939 Child Health, Cognition and Behavior: Domain-Specific, E //R01HD A2 ($1,597) Chorionic Villus Sampling and Genetic Loss of Imprinting IN NW//1R21HD A1 $1,917 Cloning Genes that Cause Mental Retardation AGMT 10/28/13//R01HD $99,455 Cognitive Architecture of Bilingual Language Processing R01HD $181,266 Combinatorial Contributions of Heritable Neuroendocrine //R15HD $4,239 Effect of Neural Constraints on Movement in Stroke R01HD $300,343 Effects of Male Circumcision on Human Penile Epithelia R03DK REVISED $60,340 Endometriosis and Retinoids R37HD $686,282 Engineering Career Development Center in Movement and Re K12HD $686,026 Engineering for Neurologic Rehabilitation Agmt 9/16/14//5R24HD $17,481 The accompanying footnotes are an integral part of the 76 (Continued)

77 Exoskeleton Evaluation for Hemiplegia Therapy Subaward 5/20/14 // 5R24HD $40,066 Genes, Androgens and Intrauterine Environment in PCOS P50HD $1,387,041 Hormonal Signals that Regulate Ovarian Differentiation P01HD $1,211,394 Housing Trade-Offs As They Are Perceived and As They Aff R01HD A1 $254,237 Influence of Placental Structure and Function on Birth W R03HD $33,892 Intensive Rehabilitation Research Grant Writing Workshop MUSC14-024//T15HD $4,026 INTER-CAMBIO: Community-Academic Meetings to Bridge Init R13HD A1 $22,456 Intersecting Roles of Parents and Early Education in Pro F32HD $52,717 Kiddio: Video Game to Improve Vegetable Parenting Practi AGMT-11/4/13//1R44HD $10,840 Manipulating cgmp Pathway to Impact Vascular Development R21HD A1 $1,775 MFMU Network Capitation Agreement Agmt 4/25/14//U10HD $485,738 Modeling the Developmental Origins of Adult Risk Factors /A2//5R01HD $237,678 Molecular Etiology of Cervicovaginal Adenosis by in Uter R01CA REVISED $130,242 Molecular Etiology of Cervicovaginal Adenosis by in Uter //R01CA $21,240 Motor Learning in a Customized Body-Machine Interface fo CC#81750//R01HD A2 $73,942 Neural Development and Disorders of Math Processing R01HD $538,917 Neural Development of Deductive Reasoning R03HD $45,588 Neural Development of Lexical Processing R01HD ($17,782) NICHD Maternal Fetal Medicine Units Network U10HD $284,475 NICHD Maternal Fetal Medicine Units Network Agmt 07/2/09/HD ($110,265) Non-Invasive Method to Evaluate the Quality of Human Ooc Agmt. 5/23/13//1R41HD A1 $60,150 NRSA F32 for Daniel John Stieh in support of: Analysis o F32HD $10,946 numom2b Capitation Funding AGMT 9/24/10 // U10HD $145,136 numom2b Sleep Disordered Breathing Substudy L//U10HD $17,820 Oncofertility Consortium Annual Conference R13HD $2,619 Optimizing Treatment of Mental Illness during Pregnancy: R13HD $3,613 Pathophysiology and Rehabilitation of Neural Dysfunction T32HD $267,490 Pathways Linking Social Disparities, Inflammation, and H R01HD A1 $111,477 Pilot newborn screening project for identification and p /R01HD $39,976 Prenatal Cytogenetic Diagnosis by Array-based Copy Numbe (GG )//5U01HD $35,674 Preterm Birth in Nulliparous Women: An Understudied Popu U10HD $311,880 Prognostic Biomarkers to Predict Progression of Pediatri NU / R01HD $132,557 Promoting Safe Use of Pediatric Liquid Medications: A He / /1R01HD A1 $109,833 Research Career Development in Obstetrics and Gynecology K12HD $304,328 Role of MicroRNA-29 in Uterine Leiomyoma Pathogenesis R21HD $177,797 Self-regulation as a Health-Protective Factor in Adverse F32HD A1 $7,383 The accompanying footnotes are an integral part of the 77 (Continued)

78 Statistical Learning, Memory Systems, and Sleep-Based Me F32HD A1 $5,940 Tailored Outcomes for Female Urinary Incontinence //R21HD $1,559 The Effect of Wrist Motion on Pattern-Recognition-Based F31HD $27,804 The Fetal Adrenal Gland as a Predictor of Spontaneous Pr (GG006282)//5 R21 HD $13,773 The Lis1-Nde1 Pathway in Cerebral Cortical Development R01HD $260,057 The Role of Estrogen Receptor-beta in Human Fetoplacenta K08HD $21,075 Toddlers Initial Representation of Verbs: Effects of De R03HD A1 $50,858 Training in the Neurobiology of Movement and Rehabilitat T32HD $205,457 Uterine Leiomyoma Research Center Program P01HD $1,050,510 Xenograft Study on the Growth-Control of Human Uterine L R01HD $172,453 Young Men s Health and the Transition to Fatherhood K23HD $71,760 $14,132,797 A novel, nanoparticle-based molecular MRI probe for earl R21AG A1 $52,782 Alterations of Sleep and Circadian Timing in Aging: Admi /A4//P01AG $238,840 Alzheimer s Disease Core Center P30 AG ($1,631) Alzheimer s Disease Core Center P30AG $1,050,811 Alzheimer s Disease Neuroimaging Initiative - 2 (ADNI-2) ADNI-2//U01 AG24904 $44,402 Alzheimer s Drug Discovery Using Unique Nanotechnology P R21AG $266,642 Anti-Amyloid Treatment in Asymptomatic Alzheimer s Disea //2U19AG $2,015 BACE1 as a Therapeutic Target for Alzheimer s Disease R01AG ($6,646) BACE1 as a Therapeutic Target for Alzheimer s Disease R01AG $218,619 Breaking the Cycle of Poverty Among Seniors and Their Fa R03AG $12,100 C. elegans Model for Neurodegenerative Diseases of Aging R37AG $488,245 Cardiovascular and HIV/AIDS Effects on Brain Structure/F //R01AG $44,083 Comparative Effectiveness of Customary F&S vs Fit and St / R01AG $19,612 Developing a Longitudinal Resource for Genetic Research K930//1R01AG A1 $97,825 English and Spanish Assessment of Cognition in Elderly Northwestern//R01AG $37,987 Epidemiology of Psychological Distress in a Chinese Agin R01AG //5R01AG $7,088 High-Dimensional Movement Analysis as a Diagnostic Tool F31AG $36,110 Hospital Discharge and Cognitive Changes in Older Adults R21AG $156,581 Integrative Analysis of Longitudinal Studies of Aging _NU//P01AG $177,564 Integrative Pathways to Health and Illness K612//P01AG $38,183 International Conf on Alzheimer Disease and Related Diso R13AG $29,527 Intervention to Enhance Lateral Balance Function and Pre SR // R01AG Amend 4 $13,314 LitCog II: Health Literacy and Cognitive Function R01AG REVISED $421,182 The accompanying footnotes are an integral part of the 78 (Continued)

79 Living Well With Later Life Multimorbidity: A Biopsychos //1R01AG A1 $20,645 Mechanical Regulation of Luteal Cell Function in a Tissu F30AG ($3,134) Mechanisms of Aging and Dementia Training Program T32AG $492,850 Mechanisms Regulating Tau Alternative Pre-mRNA Splicing R01AG $474,234 Modifying Age-related Changes in Mouse Neuroinflammation //5R01AG $18,923 Multi-Center Trial to Evaluate Home-Based Assessment Met HBA ADC-030/U01 AG10483 ($3,341) Multidimensional Pathways to Healthy Aging Among Filipin Amd. 3//5R01AG $218,384 National Alzheimer s Coordinating Center (NACC) - Year //5U01AG $5,060 Non-Invasive Treatment of Abdominal Aortic Aneurysm Clin // R01 AG $41,379 NRSA Fellowship in Support of Neurobiological Substrates F31AG A1 $21,888 NRSA: Soluble Membrane Protein Libraries: Design and Use F32AG A1 $4,716 Personality and Well-Being Trajectories in Adulthood R01AG $368,207 Physical Exercise to Prevent Disability (The Life Study) UFDSP //U01 AG $805,870 Preclinical Alzheimer s Disease Drug Development of Nove U01AG $1,047,401 Probabilistic Thinking and Economic Behavior //5-P01-AG $49,596 RESveratrol To Improve Outcomes in older people with PAD R21AG $33,303 Self-Reported Health and Function among Older Adults and R03AG $91,423 Slow Outward Currents & Learning in Aging Hippocampus R37AG REVISED $426,900 Strategies for the Treatment of Dysphagia in Patients wi R21AG $205,843 Surgical Simulations to Optimize the Treatment of Wrist F31AG $38,271 Synaptic Substrates of Age-Dependent Memory Deficits RO1AG $272,892 Testosterone Trial //5U01AG REVISED $391,005 The Aging Kidney in HIV-Infection: Biomarkers for Early //1R01AG $21,975 Therapeutic Effect of Intranasal Insulin on Cognition, F ///7RF1AG $13,520 $8,503,045 Cornea Donor Study EY12358 (Letter 9/15/04) $6,100 Corneal Epithelial Stem Cells R01 EY $3 Corneal Epithelial Stem Cells R01EY $458,231 CRCNS: Biophysical Properties of Parallel Neural Circuit Z043401//R01EY $8,721 Critical Period Plasticity and Binocular Matching R01EY $250,713 Diabetic Retinopathy Clinical Research Network Chair Gra U10EY $243,238 Eye Movement Maps in Superior Colliculus R21EY $200,355 First Line Antimetabolites as Steroid-sparing Treatment sc//U10EY $561 Function of Basal Synapses at Mammalian Photoreceptors R01EY REVISED ($6,649) Function of Basal Synapses at Mammalian Photoreceptors R01EY $236,576 The accompanying footnotes are an integral part of the 79 (Continued)

80 Hyperspectral Imaging of the Normal and Age-related Macu Proj #100944//5R01EY $169,701 Long-term Follow-up of Patients Who Participated in the Agmt. 4/4/13//2U10EY $12,020 Mechanisms of Anterior Segment Development and Corneal N R01EY $251,553 Multimodal Retinal Functional Imaging for Diab //7R01EY $374,497 Multimodal Retinal Functional Imaging for Diabetic Retin //7R01EY $9,632 Neural Mechanisms of Fixation Choice While Searching Nat R01EY $423,223 Neurotrophic Mechanisms in Retinal Ganglion Cell Maturat R01 EY $6,623 Novel Antiangiogenic Peptides for Treatment of Exudative K284 // 1R24EY $604,870 Novel Antiangiogenic Peptides for Treatment of Exudative K221 // 5R24EY $102,467 NRSA: The flexibility of individuation and ensemble repr F32EY $47,125 Role of Host Cell Factors in Herpes Simplex Virus (HSV) R21EY $40,806 Signal Processing in the Inner Retina R01 EY ($75,291) Signal Processing in the Inner Retina R01EY $822,956 Studies of Ocular Complications Amendment #11//U10EY $199,833 The Mechanical Basis of Primary Open Angle Glaucoma R01EY $821,990 The Retinal Microenvironment in Diabetic Retinopathy R01EY $371,523 The Role of MicroRNAs in Corneal Epithelial Homeostasis R01EY $250,027 The Role of MicroRNAs in Corneal Epithelial Homeostasis R01EY $63,341 Understanding Feature-based Auditory-Visual Interactions R01EY $312,330 $6,207,075 A New Generation Clinical Decision Support System ( ) // R01LM01163 $39,361 A Novel Graph Processing Architecture to Ascertain & Mon K01LM REVISED $9,389 Improving the Efficiency and Efficacy in Authoring Essen R00LM REVISED $178,400 Informatics Platform for Mammalian Gene Regulation at Is Letter //R01LM $173,082 MEETING CLINICIANS INFORMATION NEEDS WITH HIGHLY TAILOR /R01LM $94,604 $494,836 Diabetic Retinopathy Clinical Research Network Agmt 12/13/12 // U10 EY14231 $89,145 Cardiovascular Research Training in Biostatistics, Aging Agmt 12/18/12 $7,599 Developing Innovative Interdisciplinary Biomedical Engin D43TW A1 $200,162 Medical Education Partnership Initiative /225/27/NU-04 // R24TW $234,079 Multidisciplinary NeuroAIDS Research Training to Improve D43TW $222,317 The accompanying footnotes are an integral part of the 80 (Continued)

81 Northwestern and Jos University Research Training Progra D43TW A1 $17,866 Northwestern University AITRP D43TW $88,710 $770,733 ARRA - National Standard for Normal Fetal Growth HD /HHSN C/ HD /HHSN C/0003 $11,943 Ad5.hAC6 Gene Transfer for CHF NU SUB//CRB-HLBI1-S NU SUB//CRB-HLBI1-S $61,224 Folic Acid and Zinc Supplementation Trial (FAZST) //HHSN C //HHSN C $2,987 Longitudinal Studies of Coronary Heart Disease Risk Fact N01-HC N01-HC $18,287 The Cancer Genome Atlas XS548//HHSN E 12XS548//HHSN E $8,713 Annotation and Image Markup (AIM) Development, Operation XS577//HHSN E 12XS577//HHSN E $133,683 Early Therapeutics Development With Phase II Emphasis / HHSN C / HHSN C $9,645 Jackson Heart Study Field Center NHLBI-HV NWU/HHSN C NWU/HHSN C $32,645 ARRA - National Standard for Normal Fetal Growth //HHSN C 9784//HHSN C $19,049 COMPASS: Capturing and Analyzing Sensor and Self-Report Agmt 1/9/14//HHSN C Agmt 1/9/14//HHSN C $57,528 Atopic Dermatitis Research Network (ADRN) Agmt 6/26/12//HHSN C Agmt 9/5/12//HHSN C $225,640 Combined Top Down and Bottom Up Proteomics of CompRef Ca Agmt No. 13XS108//HHSN E Agmt No. 13XS108 Mod. 1//HHSN E $39,769 Intergovernmental Personnel Act (IPA) Agreement for Warr 93.Agmt Signed 9/19/13 Agmt Signed 9/19/13 $298,781 Development of a Patient-Reported Outcomes Instrument to Agmt. 4/2/13//HHSN C Agmt. 4/2/13//HHSN C $71,815 CTOT-12: An Observational Study to Assess the Prevalence agrmnt 1/24/11//N01-AI agrmnt 1/24/11//N01-AI $51,624 Multi-Site Study of the Efficacy of Speech Perception Tr CDT //R33DC CDT //R33DC $73,588 Treatment of Preserved Cardiac Function Heart Failure wi CT Agmt 8/26/08 // N01-HC CT Agmt 8/26/08 // N01-HC $10,621 Age-Related Eye Disease Study II (AREDS II) HHS-N C/NEI HHS-N C/NEI $25,199 Cancer Prevention Agent Development Program: Early Phase 93.HHSN HHSN I / Task Order 006 $418,325 Hispanic Community Health Study - Field Centers 93.HHSN C HHSN C/ MOD #13 $13,294 Women s Health Initiative Extension HHSN C// HHSN C// $4,602 Coronary Artery Risk Development in Young Adults (CARDIA 93.HHSN C HHSN C $612,283 Neuro-QOL: Interim Sustainability and Training 93.HHSN C HHSN C $98,554 Center for Structural Genomics of Infectious Disease 93.HHSN C/N01 HHSN C ($2,373) Inner City Asthma Consortium (ICAC): Asthma Phenotypes i HHSN C Agmt No. 491K934 $48,234 Center for Structural Genomics of Infectious Diseases 93.HHSN C HHSN C $5,194,013 National Children s Study: Vanguard Study (South ROC) 93.HHSN I HHSN I $8,155,403 NCS Navigator IMS Hub 93.HHSN C HHSN C $127,061 Asthma Cohort Support Contract 93.HHSN C HHSN C $162,618 Replicating Rochester: Understanding User Information Ne HHSN C HHSN C ($629) Prot# ITN030ST: A Phase II Trial to Assess the Safety of ITN sc//N01-AI ITN sc//N01-AI $139,364 Phase I and II Clinical Trials of Cancer Chemopreventive 93.N01-CN-35157/004 N01-CN $645,110 The accompanying footnotes are an integral part of the 81 (Continued)

82 Longitudinal Studies of Coronary Heart Disease Risk Fact 93.N01-HC N01-HC $19,872 Multi-Ethnic Study of Atherosclerosis (MESA) - Field Cen 93.N01-HC-95164/Amend #25 N01-HC / Mod 33 $1,166,636 3-way approach for ED prevention 93.RD Prespend $92 A prospective study of human bone adaptation using a nov RD //7R01AR $5,416 ECOG-ACRIN NCI Community Oncology Research Program (NCOR RD Prespend $740 Preventing Depression in Disconnected African American A 93.RD Prespend $15,022 Impact of Aggressive Empiric Antibiotic Therapy and Dura UF11289//97591//HHSN C /UFDSP //HHSN C $98,352 Office of the Director, National Institutes of Health Self-Organization of the Human Genome DP2OD $498,251 A SPECT_CT Scanner for Preclinical Imaging Studies S10OD A1 $540,240 Office of the National Coordinator for Health Information Technology ARRA - Strategic Health IT Advance Research Projects on Securit A2180// //90TR0003 $459,545 ARRA - The Chicago HIT Regional Extension Center RC0020 $1,215,017 Health Information Exchange White Space Program 5 93.Agmt. Signed 10/24/13 Agmt. Signed 10/24/13 $221,615 CMS ONC CHIPRA Project Subject Matter Expertise Relate Agr. 07/07/2014//HHSP WC Agr. 07/07/2014//HHSP WC $4,455 Substance Abuse and Mental Health Services The Great Recessions Effects on Non-marital and Multi-Pa K010 // 1H9AE $7,798 National Child Traumatic Stress Initiative (NCTSI) Cate Agreement Date: 1/28/14 $51,070 National Child Traumatic Stress Initiative Treatment and U79SM $114,973 National Child Traumatic Stress Initiative Treatment and U79SM $449,651 Trauma Informed Youth Services Initiative Agrmnt $4,132 $619,826 National Child Traumatic Stress Initiative (NCTSI) Cat Agreement Date: 10/1/12 Agreement Date: 2/27/2014 $48,924 Department of Health and Human Services Total $272,077,336 Department of Homeland Security Netelogo 2.5D Agmt //2010-ST-061-PA0001 $14,000 ARI-MA: Design and Growth of High Density, Wide Band-Gap DN-077-ARI $450,894 Next Generation Semiconductor Detectors for Identificati C14-09//Agmt //HSHQDC-13CB0039 C14-09//Agmt //HSHQDC-13-C-B0039 $143,141 The accompanying footnotes are an integral part of the 82 (Continued)

83 Monolithic, Widely Tunable, Quantum Cascade Laser Source 97.HSHQDC-13-C HSHQDC-13-C $388,435 Novel Compound Semiconductor Radiation Detectors SUB-01//HSHQDC-14-R-B0009 SUB-01//HSHQDC-14-R-B0009 $113,828 Department of Homeland Security Total $1,110,298 Department of Justice IPA Assignment Agreement, Department of Justice 16.Agreement 02/15/2013 Agreement 02/15/2013 $257,535 National Institute of Justice Judgments About Forensic Identification Evidence //2008-DN-BX-0003 $151 Office of Justice Programs Northwestern Juvenile Project: Archiving Data, Part I JR-FX-0005 $176,923 Assessing ADM Disorders Among Juvenile Detainees JF-FX-0068 ($3,434) Trajectories of Delinquency and the Juvenile Justice Sys JF-FX-0057 $425,375 Department of Justice Total $856,550 Department of Labor Building LINCS for Supply Chain Management (Leveraging TC A-17 $13,709 Department of Labor Total $13,709 Department of Transportation Infrastructure Technology Institute DTRT06-G-0015 $212,079 Tier II University Transportation Center DTRT06-G-0036/M3 ($6,516) $205,563 Enhancing Sleep Efficiency on Towboats in the U.S. Inlan NCFRP-45//DTOS59-06-G NCFRP-45//DTOS59-06-G $139,784 Super-Weathering Steel for Infrastructure Applications NCHRP-160//DTFH61-08-H-0035 NCHRP-160//DTFH61-08-H-0035 $6,647 Federal Highway Administration 2013 Dwight David Eisenhower Graduate Fellowship DTFH64-13-G $4, Dwight David Eisenhower Graduate Fellowship DTFH64-13-G $4,640 $9,606 The accompanying footnotes are an integral part of the 83 (Continued)

84 Tools for Tactical Decision-Making/Advancing Methods for Pre //P //DTFH61-12-D //P //DTFH61-12-D $53,882 Deployment of Weather-Responsive Traffic Estimation and DTFH61-12-D-00038//OA-F P //DTFH61-12-D-00038//OA-F $129,808 Analysis of Network and Non-Network Impacts Upon Travele P //DTFH61-06-D P //DTFH61-06-D $3,922 Concept Development and Needs Identification for Intelli P // DTFH61-06-D // 46 P // DTFH61-06-D // ($1,349) T : Modeling and Forecasting of Toll Revenues P // DTFH61-06-D // 46 P // DTFH61-06-D // $1,181 Work Zone Performance Measurement using Probe Data P //DTFH61-06-D P //DTFH61-06-D ($930) Urban Travel Reliability Analysis with Consumer GPS Data SHRP L-15(D)//DTFGH61-06-H SHRP L-15(D)//DTFGH61-06-H ($858) Federal Railroad Administration NCRRP Project 12-02: Strategic Plan/Research Agenda NCRRP R12-02/ /SUB NCRRP R12-02/ /SUB $97,774 Department of Transportation Total $645,030 Department of Veterans Affairs Edward Hines, Jr. VA Hospital Intergovernmental Personnel Act (IPA) agreement for Meng /151 $21,656 Intergovernmental Personnel Act Agreement for Elisa Gor /151 $29,061 Intergovernmental Personnel Act Agreement for Larry Manh Agmt signed 8/25/10 $15 IPA Agmt for Inger Burnett-Zeigler /151 $22,632 VA IPA: A Comparison of Two Surgical Procedures that Res Letter 10/03/13 $41,115 James A. Haley Veterans Hospital IPA for Victorson: Measuring Quality of Life in Veterans IPA Agmt 07/03/2014 (673-D47034) $10,726 $125,205 James J. Peters VA Medical Center Development of the Blood Pressure Symptom Subdomain for 64.VA C-0234 VA C-0234 $27,027 Extending Veteran Participation in the Validation of the 64.VA C-0050 VA C-0050 $6,452 Jesse Brown VA Medical Center 2014 IPA Agreement for Michael Dixon Agmt Signed 4/30/14 $13,623 Craig Heckathorne VA IPA IPA $1,561 Intergovermental Personnel Agreement for C. Shah Agreement Date: 8/22/12 $18,238 Intergovernmental Personnel Act for Dennis Goussetis IPA Agmt signed 8/16/12 $3,326 Intergovernmental Personnel Act for Ling Bei IPA Agmt signed 08/22/13 $31,971 Intergovernmental Personnel Act for Margaret Baker IPA Agmt signed 11/08/2013 $44,345 Intergovernmental Personnel Act for Pritin Soni Agreement Date: 10/2/12 $24,464 The accompanying footnotes are an integral part of the 84 (Continued)

85 Intergovernmental Personnel Act for Saul Soberanes agr. 08/2/2014 $58,934 Intergovernmental Personnel Agreement for Kazumi Ebine Agreement 07/30/14 $55,145 Intergovernmental Personnel Agreement for Krishan Kumar Agreement Date: 07/30/14 $61,481 IPA Agmt for Elspeth Beauchamp Agreement Signed: 12/19/13 $41,921 IPA Agmt for Luisa Isabel Morales Nebreda Agr. 8/28/2014 $56,316 IPA Agmt for Petr Pyagay IPA Agreement signed 11/16/12 $5,182 IPA Agmt for Recep Nigdelioglu Agreement Date: 09/12/2013 $49,416 IPA Agreement for Janet Martinez IPA Agr. 07/31/2014 $11,145 IPA Agreement for Qun Jiang IPA Agr. 07/31/2014 $53,064 IPA Agreement for Vera Shively IPA Agr. 07/31/2014 $48,702 IPA for David Williams IPA Agreement Date: Agr. 8/28/14 $46,852 IPA for Marina Matsuda Agreement Date: 10/4/12 $7,071 IPA for Paul Cheresh Agr. 08/28/2014 $64,483 John Brinkmann VA IPA IPA $4,246 Linda India VA IPA IPA $1,310 VA IPA - Antonella Sassano Agmt Signed 9/24/13 $46,090 VA IPA for Weiqi Huang IPA Agmt. signed 03/26/14 (537/151) $10,996 Tuscaloosa VA Medical Center Intergovernmental Personnel Agreement: Development of a D45017 $25,942 $785,824 Department of Veterans Affairs Total $944,508 Institute of Museum and Library Services Variations on Video: Building the Next Generation Librar PO# /BL NU // LG $90,595 Institute of Museum and Library Services Total $90,595 National Aeronautics and Space Administration NASA Ames Research Center NASA Aeronautics Scholarship Program-Training Grant for NNX14AF45H $36,574 Balancing the Budget Simultaneous Near- and Mid-IR Phase // // $650 The Eccentric Exoplanets: A Survey of Atmospheric Heatin RSA No //NNN13D076T RSA No //NNN13D076T $8,737 Weather on Substellar Worlds: Mapping the Atmospheres o RSA No: RSA No: $8,135 The accompanying footnotes are an integral part of the 85 (Continued)

86 NASA George C. Marshall Space Flight Center Coarsening of Dendritic Solid-Liquid Mixtures: The Low V NNX10AV36G $36,207 Coarsening of Dendritic Solid-Liquid Mixtures: The Low V NNX14AB73G $62,280 $98,487 Fast Light Optical Gyroscopes for Precision Inertial Nav NNM13AA28C ($76,110) Fast Light Optical Gyroscopes for Precision Inertial Nav NNM13AA60C $238,568 $162,458 NASA Goddard Space Flight Center Accreting Binary Populations from Billions of Years Ago NNX12AL39G/ $38,158 Confirming Small Planets and Measuring Their Masses with NNX14AB88G/ $72,127 Deciphering Kepler s Planetary Systems NNX14AD21G $9,212 Detecting and Characterizing Planetary Systems With Tran NNX13AN43G/ $35,865 Dynamics of Extrasolar Planetary Systems NNX12AI86G $217,830 Improving the Performance of X-Ray Optics with Magnetost NNX11AG05G $271,875 Low Frequency Gravitational Wave Astrophysics NNX13AM10G $81,563 Swift Monitoring of the Encounter Between SGR A* and the NNX14AC30G $14,278 Synthesis and Analysis of Putative Secondary Organic Aer NNX13AN8-9H $29,630 The Architectures of Near-resonant Kepler Planets NNX14AG98G $15,041 The Gamma-Ray Variability of SGR A* Induced by an Infall NNX12AO82G $53,721 Time Variability Analysis of the Diffuse Gamma-Ray and R NNX11AQ04G ($56) Titan s Impact Craters and Associated Fluvial Features: NNX13AO02H $30,001 $869,245 Implementing a Near-Optimal Optical Receiver for Inter-P NNX12AN27H/ $77,100 Integrating Two-Dimensional Nanomaterials and Molecular NNX12AM44H $56,352 $133,452 Broadband Electrically Tunable Monolithic Mid-Infrared L NNX13AT10G/ $140,383 Excitronics Based on Carbon Nanomaterials: A Pathway Tow NNX11AM87H $57,736 Tailorable Porous Ceramics via Freeze Casting NNX11AM91H $61,413 $259,532 NASA John F. Kennedy Space Center NASA Self-Repairing Fatigue Damage in Metallic Structure NNX13AR52A $25,075 The accompanying footnotes are an integral part of the 86 (Continued)

87 NASA John H. Glenn Research Center at Lewis Field NASA-BME Senior Design Capstone Project: Medical Suction /NNC13VB03P $1,217 Coarsening in Solid-Liquid Mixtures II NNX07AW01G/00004 $45,024 NASA Lyndon B. Johnson Space Center HERO Twin Astronaut Study Consortium (TASC) Project: Met NNX14AH26G $9,749 National Aeronautics and Space Administration A New Insight into Open Cluster Internal Dynamics and Ne GO B//NAS $862 An X-ray Census of the Young Stellar Population in Infra G B//NAS $10,069 Joint Chandra/XMM/EVLA Monitoring of the Gas Cloud G2 as GO X//NAS $46,571 Optical Instrumentation for the Development of Space Ope MH//NNX09AU90A $151,961 Rosette: Understanding Star Formation in Molecular Cloud G A//NAS $9,705 The Balloon-borne Large Aperture Submillimeter Telescope //NNX13AES0G $58,081 The Origin of Diffuse 6.4 kev Line Emission from two Clo GO X $39,509 The Origin of Elevated X-ray Emission in Strong H-alpha GO B//NAS $19,580 The Physics of Black Hole Feedback PF Amd 1//NAS $107,398 The Remarkable Case of NGC 5252: Turning Chandra into a GO A//NAS ($2,048) X-Ray Constraints on the Dynamical History of Omega Cent GO B $1,348 $443,036 Quantum Cascade Lasers (QCLs) //NMO //NMO ($323) 2010 NASA Training Grant Announcement/National Space Gra // NNX10AK65H // NNX10AK65H $48,627 A Chandra Survey of Extended Emission-line Regions in ne HST-GO A//NAS HST-GO A//NAS $7,282 The Awakening of the Super-Massive Black Hole at the Cen HST-GO A HST-GO A $1,890 Herschel OT1 Observing Research Support Agreement RSA No: RSA No: $17,476 SOFIA Wide-Field Far-IR Polarimetry and Fine-Structure-L Subk No //NNN12AA01C Subk No //NNN12AA01C $172,329 National Aeronautics and Space Administration Total $2,348,652 National Endowment for the Humanities A History of Birth Registration in America FA $396 Chaozhou Sojourners: Violence, Migration, and Power in t FA $398 $794 The accompanying footnotes are an integral part of the 87 (Continued)

88 Luxury in the Mediterranean: A medieval history (10th ED $2,164 National Endowment for the Humanities Total $2,958 National Science Foundation A Novel Non-Contact Technique for Dynamic Loading of Thi CMMI $84,250 A Quantum-Eraser Approach to Heralding High-Quality Sing ECCS /003 $114,105 Addressing Geographical Disparities in Transplant Organ CMMI $76,043 Advancing Dynamic Relief Response: Integration of New Da CMMI /001 $94,676 Advancing the Capabilities of Adaptive Management Techni CMMI /001 $18 An Interatomic Potential for LixSi Alloys and Its Applic CMMI $47,072 Assessing Supply Chain Technology Variability and Enviro CBET $100,778 Atom-Precise Adsorption Sites from Grafted, Intrinsicall CBET $4,190 Biomolecular Cell Injection with Nanofountain Probe Syst IIP $16,629 Biophotonic Detection of Field Carcinogenesis of Pancrea CBET $97,460 CAREER: A Hybrid Approach for Flexible Nanomanufacturin CMMI $67,170 CAREER: Functional Imaging to Prevent Blindness CBET $72,707 CAREER: Mechanics of Geomaterials Exposed to Multi-Physi CMMI $17,986 CDI-Type I: Discovery of Novel Biochemical Pathways CBET $10,607 CDI-Type II: Cyber-Enabled Discovery in Neuromechanical CMMI $171,024 Collaborative Research in Biophotonics: Towards High-Res CBET /001 $77,948 Collaborative Research: Full Field Measurement of Cutti CMMI $1,877 Collaborative Research: CybeR-Enabled Demand-Interactive CMMI $20,828 Collaborative Research: Engineering Polymer Nanodielectr CMMI $72,742 Collaborative Research: Ergodic Trajectories in Discrete CMMI $50,029 Collaborative Research: Integrated Measurement and Predi CBET $37,709 Collaborative Research: Laser-driver Micro-Transfer Prin CMMI $44,787 Collaborative Research: Leveraging Noncontact Dimensiona CMMI $64,224 Collaborative Research: Manipulation Thz Wave Using Thre ECCS $80,432 Collaborative Research: Molecular Basis for Protein Sorp CBET $122,543 Collaborative Research: Optimizing Direct-Marketing Stra CMMI $29,804 Collaborative Research: The Positive Role of Queues on C CMMI $81,053 Collaborative Research: The Unintended Ecological Conseq CBET $100,805 Collaborative Research: Tribochemically Induced Gelation CMMI $56,706 Collaborative Research: Virtual Full-Duplex Wireless Net ECCS /002 $76,910 Curved Waterjet-Guided Laser Micro-Manufacturing CMMI $106,723 Design and Control Principles for Mobile Health Care Ope CMMI $63,184 The accompanying footnotes are an integral part of the 88 (Continued)

89 Design and Development of Fire-Resistant Ferritic Steels CMMI $86,380 Direct Measurement of the Role of Confinement and Chemis CMMI /001 $117,256 Distribution and Moment-Robust Optimization Models and A CMMI $15,153 DMREF: A Fundamental Approach to Study the Effect of Str CMMI $162,361 DMREF: Collaborative Research: Simulation-Based Design o CBET //AGMT-07/05/13 $61,814 DynSyst_Special_Topics: A Dynamical Systems Approach to CMMI $88,064 EAGER: Cloud-Computing and High-Speed Internet Enabled M CMMI $2,859 EAGER: Collaborative Research: From Pricing to Cap-and-T CMMI $85,063 EAGER: New Biophotonics and Computational Molecular Dyna CBET $206,433 EAGER: Study of Casimir force Engineering by Modeling an ECCS $27,659 EAGER-Collaborative Research: New Concept of Sorption Hy CMMI $11,375 EFRI-BioFlex: Miniature, Low-cost Fiber-optics Technolog EFRI $269,337 EFRI-BioSA: Bio-Inspired Arrays of Haircell Sensors for EFRI $547,594 EFRI-BSBA: Nanoactuation and Sensing of Neural Function NSF-EFRI $74,384 EFRI-BSBA: Photonic Technique for Sensing and Understand EFRI $227,050 Engineering a recombinant methane monooxygenase to conve PNU-001//IIP $30,494 Enhancing Identifiability of Computer Simulation Models CMMI $89,007 Ensemble Modeling of Carvone Pathway to Guide Multivaria Agmt 02/26/13 //IIP ($5,183) Excessive Bridge Deflections: Inverse Analysis to Identi CMMI $78,579 Friction in Full View CMMI $16,474 GOALI - Collaborative Research: Fundamental Study and P CMMI $32,969 GOALI Portfolio of Renewable Energy Generation CMMI $73,923 GOALI/Collaborative Research: Electrically-Enhanced Prec CMMI $77,818 GOALI: Effects of Gas in Design and Verification of Blas CMMI $231,376 GOALI: Models and Methods for Marathon Course Design usi CMMI $9,454 GOALI: Quantifying Input Uncertainty in Stochastic Simul CMMI $124,989 Green Solution-Processing of All-Carbon and Carbon-Rich CMMI $67,816 Highly Efficient Laser Cryo-coolers Based on Adiabatic B ECCS ($633) IDR: Engineering Electroactive-Polymer-Based Phononic Cr CMMI $165,343 Incremental Forming at Multi-Scales CMMI $6,382 Integrative Modeling/Simulation and Experimental Validat CMMI $8,721 Investigating the Effect of Pore Fluids on the Stability CMMI $13,726 Investigation of Oxide Nanophotonic Devices ECCS $203,600 Laser-Induced Plasma Micro-Machining (LIP-MM) CMMI $103,280 Man-made Hazard Mitigation of Reservoir Dams: Monte Carl CMMI $52,864 Mechanics of Transfer Printing // CMMI $1,827 The accompanying footnotes are an integral part of the 89 (Continued)

90 Models and Algorithms for Risk Adjusted Optimization wit CMMI $9,928 Molecular Organization and Transport in Synthetic and Bi CBET $8,094 Multi-Objective Robust Stochastic Planning and Schedulin CMMI $76,633 Multivariate Dynamic Stochastic Models of Credit Risk CMMI $7,257 Nanoscale Science and Engineering Center for Scalable an // CMMI $20,586 Network Frontier Workshop 2013; Evanston, Illinois; Dece CMMI $13,000 NSF/DOE Thermoelectrics Partnership: SEEBECK: Saving Ene CBET /004 $107,196 Overcoming Metabolic Pathway Limitation through De Novo Agreement 8/23/13//IIP $66,519 Photonic-jet Coupled Optical Antenna for Near Room Tempe ECCS $116,963 Physical Design and Feedback Control of Hybrid Mechanica CMMI $105,271 Process Modeling and Enhancements of Laser-Induced Plasm CMMI $24,568 RAPID: Confirmation of Structural Dynamics Concepts for CMMI $14,154 REU Site in Nanoscale Science and Engineering EEC ($17,026) REU Site: Center for Scalable and Integrated Nanomanufac GNA273//EEC $1,900 REU Site: Research Experience for Undergraduates in Nano EEC $120,308 Robust Design to Account for Geometric Imperfections in CMMI $157,935 Room Temperature, High Power, Monolithic Optical THz Sou ECCS /002 $67,044 Scalable Fabrication of Nanodiamond Patch Platforms for G RC987\\CMMI $25,973 Service Systems with Outbound Work and Blending CMMI $20,615 Shrinkable and Stretchable NanoManufacturing CMMI $15 Soil Slip Versus Flow Failure in Rain-infiltrated Slopes CMMI $49,619 Stochastic Multiscale Computational Design Methodology CMMI $6,720 Stretchable Optoelectronics and Applications in Hemisphe ECCS $13,077 Structural Dynamics of Polymer and Surfactant Solutions CBET $85,288 Surface Plasmon Photoacoustic Imaging of Subsurface Obje CMMI $5,479 Synchrotron Studies and Computational Modeling of Flow-I CMMI $76,836 Tribology in Full View CMMI ($653) Tunable Continuous Wave THz Source Based on a Room Tempe ECCS $69,773 Two-compartment microfluidic bioreactor with functionali CBET $76,175 Ultra-High Performance Fiber Reinforced Concrete Structu //CMMI $19,777 Using Biofluiddynamics to Interrogate the Spinal Circuit CBET $114,534 US-Poland Workshop: Interfacial Phenomena at the Nanosca CBET $4,163 Workshop on Future Research Needs in Advanced Manufactur CMMI $39,782 $6,936,130 The accompanying footnotes are an integral part of the 90 (Continued)

91 3D Studies of Solid Oxide Cells in Collaboration with Ri DMR ($282) 73rd Midwest PDE Seminar DMS $9,000 An Atom-Probe Tomography and Lattice Kinetic Monte Carlo DMR $108,517 Anomalous Diffusion in Pattern-Forming Systems DMS /001 $66,942 Approximation properties of groups and operator algebras DMS $32,702 Architecture of Planetary Systems: Solar and Extrasolar AST $193,904 ATD: A Mixture Modeling Framework for Statistical Identi DMS $200,315 Bioengineering Single Crystal Growth DMR /004 $119,971 Bio-Resorbable and Eco-Resorbable Electronics Material Agmt 01/14/2013//DMR $82,231 Biouptake of Mercury: Speciation and Processes at the Ce CHE $90,645 Broadband, Quasi-Crystalline, and Low-Symmetry Plasmonic DMR $101,247 CAREER: Arithmetic of Cohomological Automorphic Forms DMS /004 $93,187 CAREER: Bose-Einstein Condensation Using Different Flavo DMR /002 ($707) CAREER: Interfacial Assembly of Soft Layered Materials DMR /001 $165,735 CAREER: Quantum Phases and Non-Equilibrium Dynamics of S PHY $78,864 CAREER: Rescue and Control of Complex Networks of Dynami DMS $60,300 CAREER: Synthesis and Studies of One-Dimensional Magnets DMR $86,167 CAREER: Theories for Magnetic Properties of Lanthanide a CHE $77,143 CDS&E: Black Holes in Dense Star Clusters AST $146,718 CEMRI: Multifunctional Nanoscale Material Structures DMR $2,774,066 Charge Transfer/Transport in Molecular Systems: Three Ch CHE $19,768 Chirality in Aerosol Chemistry CHE /02 $146,083 Chromatic Stable Homotopy Theory and Derived Algebraic G DMS $45,780 Cohomological and singularity invariants via Hodge modul DMS $33,786 Collaborative Research: Modern Oil-based Paints: A Mec DMR $225,034 Collaborative Research: CDS&E: FIRE: Physically-Predicti AST $5,819 Collaborative Research: Computational Thermochemistry of DRL $56,558 Collaborative Research: Enabling Magnetoplasticity in Po DMR /002 $55 Collaborative Research: Mathematics and Climate Change R DMS /001 $37,338 Collaborative Research: Methods for Stochastic and Nonli DMS $88,008 Collaborative Research: NanoMine: Data Driven Discovery DMR $37,060 Collaborative Research: Size Effects on Magneto-Mechanic DMR $15,321 Collaborative Research: Sustainable Energy Pathway: Deve CHE $161,887 Collaborative Research: Synthetic Integrons for Continuo PHY ($24,309) Computational Study of Water/Vapor, Ice/Vapor and Ice/Wa CHE /002 $19,499 Conference on Global Dynamics Beyond Uniform Hyperbolic DMS $1,412 The accompanying footnotes are an integral part of the 91 (Continued)

92 Construction of the COUPP-500kg Bubble Chamber for Dark FP C//PHY $79,172 Design and Synthesis of Non-Equilibrium Systems CHE $160,972 Designing Multi-scale Nanomaterials with Structural CHE /002 $119,586 Dielectric Effects in Dynamical Self-Assembly of Anisotr DMR $77,756 Disorder Effect on Magnetism in Dilute Magnetic Semicond DMR $121,541 Distribution of Word Maps in Groups DMS $37,081 DMREF/Collaborative Research: Computationally Driven Tar DMR $54,495 DMREF: Simulation-Driven Design of Highly Efficient MOF DMR $189,463 Doping in Non-Planar Heterostructures DMR $128,779 Doping Profiles in Semiconductor Nanowires DMR ($58) Double Loop Groups and Algebras, Central Extensions, and DMS $307 Dynamics of Partially Hyperbolic Systems and Geodesic Fl DMS /002 $10,963 EAGER: Towards Atomic-Scale Imaging of Hybrid Nanomateri DMR $83,812 Elliptic and parabolic complex Monge-Ampere equations on DMS $26,846 EMSW21-RTG: Applied Mathematics Training Program for Int DMS /005 $295,771 Excitations, Topological Defects and Quantum Transport i DMR $134,796 Factorization Homology and the Topology of Manifolds DMS $52,421 First Passage and Optimal Stopping Problems for Subordin DMS $68,244 Foundations for Trapped Molecular Ion Parity-Violation PHY $34,947 FRG: Development and Validation of Novel Computational T // DMR $63,941 Geometric Langlands Program and Arithmetic Algebraic Geo DMS $47,438 Geometry and Analysis on Calabi-Yau and Hermitian Manifo DMS $60,819 Geometry, Representation Theory, and the Langlands Progr DMS $71,061 Global Harmonic Analysis and Quantum Dynamics DMS $89,758 Global School for Advanced Studies (GSAS) Sessions on Ad DMR ($1,979) Gravitational-Wave Astronomy with Binary Compact Objects PHY $23,438 Gravitational-Wave Astrophysics: Getting Ready for the A PHY /002 $156,056 High-throughput Computational Discovery of New Nanoporou DMR $67,753 Homological Mirror Symmetry for Calabi-Yai Hypersurfaces DMS $76,399 Intrinsically Acentric High-Response Electro-Optic Multi RES504561/A1//DMR Mod. 5 $61,029 LHC Theory Initiative Postdoctoral Fellowship: Sonny Man //PHY $3,147 Linear Partial Differential Equations on Singular Spaces DMS $68,925 Liquid Surfaces and Interfaces: X-Ray Studies DMR $56,644 Local and Global Chromatic Stable Homotopy Theory DMS $55,459 Manipulating Multi-Spin Dynamics in Systems Targeting Or CHE $128,330 Mapping Magnetic Fields Near Low-Mass Protostars AST $8,543 The accompanying footnotes are an integral part of the 92 (Continued)

93 Materials World Network: Ceramic Composites from Natural DMR /003 $13,161 Materials World Network: Chemical and Biological Approac DMR $62,304 Mathematical Modeling of Biomembranes DMS $47,153 Mathematical Research Post-Doctoral Research Fellowship DMS $4,177 Microlocal Category DMS $39,811 Midwest Topology Seminar DMS $2,651 Molecular Plasmonics: Single Nanoparticle Assemblies, Si CHE /001 $216,983 MRI: Acquisition of a Hybrid High Performance Computer C PHY ($5,683) MRI: Development of a Cryogenic Sample Preparation Instr DMR $507,268 Multifunctional Nanodiamond Platforms for Targeted Imagi GRB519//DMR $79,238 Multiple-Scale Mathematical Models of Ultra-Short-Pulse DMS $14,212 Multi-Scale Analysis of Lignin for Drop-In Biofuels CHE $138,483 NEB: Scalable Sensing, Storage and Computation ( ) $134,120 New Lewis Bases for Chemical Catalysis CHE $144,386 New Silicon-Based Strategies for Organic Synthesis CHE /001 $6,590 Nonlinear PDEs and complex geometry DMS $42,922 Novel Algorithms for Nonlinear Optimization DMS $54,919 NRAO Student Observing Support for Marc Royster GSSP11-005// ($100) Optical Control of Transport and Dynamics in Junctions CHE /001 $97,275 Organization of Charged Molecules in Heterogeneous Media DMR $77,034 Organo-f-Element Chemistry: Integrated Synthetic, Mechan CHE $159,628 Partial Hyperbolicity and Rigidity-Graduate Student Supp FP054353//DMS $24,447 Phase I Center for Chemical Innovation, Nanoparticles an K242//CHE $129,201 Plasmon-Exciton Energy Transfer in Metal Nanocavities DMR $38,602 Postdoctoral Research Fellowship for Dean Russell Baskin $1,112 Preparation, Characterization, and Application of Monodi DMR $158,478 Proposed Conference Support: Ergodic Theory with Connect DMS $3,969 Quantum Coherent Phenomena in Superconducting Heterostru DMR $138,878 Representation Theory, Integrable Systems, and Quantum F DMS $41,100 Ricci Curvature and Geometric Analysis DMS $39,887 Shape and Dimensional Precision in Polymeric Nanostructu DMR $197,820 Solid State Chemistry of Chalcogenides for Materials Dis DMR $177,313 Solid-State Oxides and Oxide-Flourides DMR $101,577 Spectrum Sharing in the Shadow of Uncertainty: Risk, Inc AST $125,630 Spin Coherences in Photosystem I Reaction Center Protein CHE $122,705 Statistical Inference Based on an Integrated Likelihood DMS $32,383 The accompanying footnotes are an integral part of the 93 (Continued)

94 Statistical Mechanics of DNA-Protein Interactions and Ch DMR $86,222 Statistical Methods for Functional Metagenomics Analysis //DMS $34,845 Stimuli-Responsive Supramolecular Assemblies CHE Amd. 002 $92,942 Study of the Evolution of Nanoparticle Crystallization a UTSI //DMR $32,944 Surface Chemical Synthesis of Catalytic Structures CHE $77,651 Surface Structure of Oxides DMR $67,201 Surface/interface order in liquids with electrostatic co DMR $29,861 Surface-Enhanced Raman Spectroscopy for Art Research, wi CHE $14,403 Synthesis and Coherent Vibrational Laser Spectroscopy of CHE $112,960 Synthesis and Properties of Complex Crystalline and Glas DMR $1,545 The 35th Midwest Probability Colloquium DMS $17,633 The Center for Chemistry at the Space-Time Limit (CaSTL /A5//CHE $230,627 The Center for Chemistry at the Space-Time Limit (CaSTL) //CHE $8,525 The Geometry and Global Analysis of Arithmetic Manifolds DMS $28,209 The Interplay of Ergodic Theory, Additive Combinatorics, DMS $131,436 The Massive Black Hole at the Center of the Galaxy and I AST /002 $88,739 Theoretical Modeling Inertial Phenomena in Chaotic Advec PHY /002 $51,200 Theory and Computation for Self-Assembly in Soft Matter CHE $91,763 Thermodynamics and Hydrodynamics of Anisotropic Colloids DMR $42,573 Topological Surface States and New Phases in Superfluid DMR $189,483 Toughness and Friction of Model Polyelectrolyte Gels DMR $7,586 Upgrade of 400 MHz NMT Capabilities for Research, Educat CHE ($1) UTSA-NU Partnership for Research and Education in Materi NWU - Amd 5//DWR $48,670 $12,726,070 CAREER: Effects of Hydration on the Physical Properties EAR $15,228 CAREER: Estimating Temperature and Water Content of the EAR /002 $83,228 CAREER: The Role of Sulfur in Regulating the Marine Carb EAR $129,580 CO2 evasion from the Greenland ice sheet PLR $88,805 Collaborative Research: Assessing the Impact of Small, PLR $55,193 Collaborative Research: A Multi-Proxy Approach to Early EAR $55,453 Collaborative Research: Bighorn Basin Coring Project (BB EAR $61,439 Collaborative Research: Coupled Glacial and Lacustrine E EAR $1,103 Collaborative Research: Geophysical Investigation of the EAR $85,416 Collaborative Research: Integrating Radioisotopic and As EAR /003 $3,055 Collaborative Research: Linking Scales of Geomorphology EAR /002 ($59) The accompanying footnotes are an integral part of the 94 (Continued)

95 Collaborative Research: Paleohydrology of the Paleocene EAR $2,619 Collaborative Research: Role of Interfacial Turbulence i EAR $82,021 Collaborative Research: Superior Province Rifting Earths EAR $112,908 Collaborative Research: Testing Mechanisms for Holocene EAR $18,959 Collaborative Research: Use of Novel True Triaxial Test EAR $232 Critical Zone Observatory Network for Intensively Manage //EAR $24,259 ELT COLLABORATIVE RESEARCH: Perturbation of the Marine EAR $9,714 Expedition 341 South Alaska Margin, USSSP Support BA-109//OCE $20,752 Hazards SEES Type 2: From Sensors to Tweeters: A Sustain ( )//OCE $33,381 INSPIRE Track 1: Earthcasting fluvial systems: Physical EAR $92,807 MRI: Acquisition of Multicollector Thermal Ionization Ma EAR /003 $44,604 The Subduction Margin Carbon Cycle: A Preliminary Assess OCE $65,004 Tracking multicycle carbon in active margin environments SAF 12-06//OCE $1,614 $1,087,315 A Joint Database of Experiments and Models of Reaching M Amendment #4//ISS $2,594 A Low-Cost Integrated Agent-based Modeling and Physical IIS $4,999 AF: Small: Combinatorial Algorithms and Computational Co CCF $98,577 CAP: Collaborative Research: Building a Network to Advan IIS $13,145 CAREER: Hardware/Software Support for Probabilistic Arch CCF ($393) CAREER: Holistic Computer Architectures for Nanoscale Pr CCF /001 $38,612 CAREER: Mechanism Design CCF /002 $183,239 CAREER: Natural Activities as an Avenue to Next Generati IIS /005 $106,348 CAREER: Networked Game Theory and Mechanism Design CCF $67,762 CC-NIE Networking Infrastructure: High Performance Scien ACI $342,965 CGV: Medium: Collaborative Research: Visualizing Compari IIS /001 $142,721 CIF: Medium: Collaborative Research: Cooperative Network CCF $3,160 CIF:Small: Limited Feedback and Information Exchange for CCF /002 $79,270 CINET //ACI /005 $4,722 Collaborative Research: Major: Puppet Choreography and IIS /001 ($1,568) Collaborative Research: Social Networking Tools to Enab IIS ($3,183) Collaborative Research: Advanced Compiler Optimizations CCF $2,884 Collaborative Research: An Application Driven I/O Optimi CCF ($1,056) Collaborative Research: Responses of the Rodent Vibrissa IIS $112,313 Collaborative Research: Robust and Secure Cognitive Radi CNS $83,958 Collaborative Research: Understanding Climate Change: A CCF /003 $92,482 The accompanying footnotes are an integral part of the 95 (Continued)

96 CPS: Large: Cybernetic Interfaces for the Restoration of Amd 4 // CNS $243,104 CPS: Synergy: Collaborative Research: Mutually Stabilize CNS $105,228 CT-ISG: High-Speed Network Defense with Massive and Dive CNS ($7,602) EAGER: Collaborative Research: Some Assembly Required: U IIS $61,210 EAGER:Collaborative Research: Model based Autonomic Clou CNS $15,904 EXP: Augmenting Household Technologies for Learning and IIS $124,500 EXP: Collaborative Research: Engaging Interdisciplinary IIS $67,099 EXP: Digital Lofts: Online Learning Environments for Rea IIS $193,589 EXP: Transforming High School Science via Remote Online IIS $227,303 GENI Spiral 4: Prototype GENI Multi-Services Network Exc BBN Ref ID 14303//CNS $12,558 HCC: Large: Collaborative Research: Information Technolo IIS $52,779 HCC: Medium: Collaborative Research: Force Feedback for IIS $221,502 HCC: Medium: Collaborative Research: Surface Haptics via IS $271,056 HCC: Small: Building Audio Interfaces with Crowdsourced IIS $175,710 HCC-SMALL: A Joint Action Approach to Understanding and IIS /003 $183,658 ICES: Large: Collaborative Research: Towards Realistic M CCF $66,368 ICES: Small: Collaborative Research: Understanding the R CCF $65,468 ICES: SMALL: Mechanism Design With Information-Sensitive CCF $72,150 III: Large: Collaborative Research: Moving Objects Datab IIS $6,347 III: Small: An Architecture and Platform for Frictionle lls /001 $80,824 III: Small: Inferring First Movers in Large-Scale Networ IIS $131,993 III-COR-Small: Bootstrapping Adaptive Personalized Music IIS ($348) InquirySpace: Technologies in Support of Student Experim //IIS $216,436 InstaGENI: A Meso-Scale National Distributed Facility Wi IIL-RG-03/ Mod. 2 $474,630 MRI: Equipment Development: Bimanual Robotic Manipulatio CNS $178,965 NeTS: Small: A Dual-Objective Platform for Internet Expe CNS $180,304 NeTS: Small: Endpoint User Profile Control CNS $57,608 NeTS: Small: WaveCube: A Scalable, Fault-Tolerant, High CNS $138,500 NeTS:Large: Collaborative Research: Context-Driven Manag CNS /005 $168,285 NetSE: Large: Collaborative Research: Contagion in Large CNS ($1,061) NetSE: Medium: Collaborative Research: Auditing Internet CNS $159,746 NRI: Small: Modeling, Quantification, and Optimization o //IIS $13,749 NRI-Small: Collaborative Research: Addressing Clutter an IIS $47,225 RI Small: Computational Models of Context-awareness and IIS $150,652 RI: Medium: Collaborative Research: Learning Representat IIS $43,196 RI: Medium: Planning and Control for Dynamic Robotic Man IIS $170,237 The accompanying footnotes are an integral part of the 96 (Continued)

97 RI: Small: Contextual Mining and Learning for Video Scen IIS /001 $14,766 RI: Small:Hierarchical Planning, Estimation, and Control IIS $34,338 SHF: Medium: Collaborative Research: Semantics Engineeri CCF $115,859 SHF: Small: Collaborative Research: A Systematic Approac CCF $96,805 SHF: Small: Collaborative Research: Designing a Patient CCF /001 $212,741 SHF: Small: Collaborative Research: Elastic Fidelity: Tr CCF $68,381 SHF: Small: Integrating Compiler and Architecture Design CCF $120,225 SHF: Small: Thermal-Aware High-Performance DRAM Architec CCF $62,267 SoCS: Leveraging Shared Social Interest in a Content Cen CNS $225,962 TC: Medium: Collaborative Research: Experience-Based Acc CNS $6,796 Travel Support for the Organizational Communication IIS $15,147 TWC SBE: Medium: Collaborative: Incentive Compatible Wir CNS $41,604 TWC: Medium: Collaborative: Neuroscience Meets Computer CNS $169,487 Type 1: Casting a Wide Net: Applied Computational CNS $294,997 VOSS: Teams Emerging from the Crowd: Virtual Team Struct ACI $27,483 WORKSHOP: Computer Supported Cooperative Work 2014 Docto IIS $22,677 $7,271,958 Biophysical Studies of Metalloenzymes MCB $180,739 CAREER: The Virtual Whisking Rat: Linking Mechanics an IOS /005 $85,906 CEIN: Predictive Toxicology Assessment and Safe Implemen G NA210 // DBI $25,076 CEIN: Predictive Toxicology Assessment and Safe Implemen Subaward 0521 G RA112 // FAU AN $74,591 Collaborative Research: Engineering Genetically Augmente MCB $144,118 Collaborative Research: Exploiting the Syntegron Techno MCB $312,230 Collaborative Research: IDBR: Type A: The Nanosizer: A DBI $3,028 Collaborative Research-IDBR: The Nanosizer: A New Nanoli DBI $109,953 IDBR: Development of Higher Eigenmode Ultrasound Bioprob DBI $128,460 IDBR: Type A: Directly Integratable Photoacoustic Micros DBI $46,283 Investigation of the Yeast Prion [SWI+] MCB $247,916 Micromechanical Analysis of Chromosome Structure MCB $141,234 Rocky Mountain Sustainability and Science Network: Enhan G //DBI $52,494 Understanding the Mechanism of Import for Bacterial Tran MCB $169,312 $1,721,340 The accompanying footnotes are an integral part of the 97 (Continued)

98 A Cultural and Linguistic Anthropological Analysis of Yo BCS $102,133 A Framework for Demand and Pricing Dynamics SES $48,114 Advertising Agency: Producing Racial Imagery of Asian Am BCS /001 ($709) Approximating Large Contests and other Auction-Like Game SES $115,826 Behavioral Mechanism Design SES $33,457 CAREER: Comparative Statics and Dynamic Models SES /002 $81,219 CAREER: Health, Environmental Issues, and Price Effects SES /003 $95,966 CAREER: Individuation in Visual Cognition BCS $67,052 CAREER: Social Networks, Labor Markets and Agricultural SES /001 $105,725 CAREER: The Impact of Interorganizational Network Evolut SES /003 $103,259 CAREER: The Role of Advanced Simulation Technologies to SES $13,421 CDI-Type II: Collaborative Research: Groupscope: Instrum BCS ($22,041) Clausal Ellipsis, Its Structure and Online Processing BCS $70,862 Collaborative Research: Culture, Psychological Distance SES $65,710 Collaborative Research: Equilibria in Health Exchanges: SES $49,054 Collaborative Research: Extending the Scope of Inference SES $48,419 Collaborative Research: Media Characters: The Unhidden P BCS $102,274 Collaborative Research: Mind Mapping Consumers and Activ SES $27,661 Collaborative Research: SBE Alliance: Great Lakes Allian SES /003 $38,462 Collaborative Research: Using Web Data to Study U.S. Con SES $11,997 Doctoral Dissertation Improvement Grant: A Diachronic In BCS $5,653 Doctoral Dissertation Improvement Grant: Keeping It Toge BCS $18,900 Doctoral Dissertation Research in Political Science: Int SES $2,179 Doctoral Dissertation Research on the Role of Domain-Gen BCS $386 Doctoral Dissertation Research: Human Rights and the War SES $1,737 Doctoral Dissertation Research: Implications of Housing SES $5,166 Doctoral Dissertation Research: Intergenerational Progra BCS $8,820 Doctoral Dissertation Research: Legal Strategies by Soci SES $4,098 Doctoral dissertation research: Morphosyntactic mismatch BCS $1,935 Doctoral Dissertation Research: Technological Wonder: Th SES $10,083 Doctoral Dissertation Research: Testing Information and NCSE $217 Doctoral Dissertation Research: The Social Determinants SES $11,910 Doctoral Dissertation Research: The Wealthy and Stratifi SES $2,276 Early Word Learning in English- and Mandarin-Acquiring I BCS $104,782 Ecology of Inflammation in Lowland Bolivia BCS ($2,873) Engineering Children s Learning BCS $4,377 The accompanying footnotes are an integral part of the 98 (Continued)

99 Fostering Positive Interracial Interactions BCS $72,186 How Words and Sounds Influence Category Formation in Inf BCS $25,972 INSPIRE: Gradient Symbolic Computation // BCS $13,949 Interactive-Specialization of Language Development BCS $41,296 Investigating the Origin and Development of Analogical P BCS $44,922 Latino Suburbia: Examining the Politics of Race and the BCS $36,735 Longitudinal Study of Human Male Reproductive Ecology BCS $189,798 Market Structures for Efficient Spectrum Sharing SES $35,856 Mechanism Design with Costly Verification SES $96,611 Motivations for Promotion and Prevention in Relationship BCS $16,180 Musical and Lexical Tone Deafness BCS $261,136 Musical Experience in Older Adults: Impact on Hearing Sp BCS $66,543 NCRN-SN: Census Bureau Data Programs as Statistical Deci SES $191,227 Price Discrimination and Competition in Many-to-Many Mat SES $62,967 Rationalization SES $42,535 Spatial Intelligence Learning Center Amd 4//SMA $893,530 SPRF-IBSS: Applying Structural Equation Modeling to Popu SMA $102,424 Standard Research Grant: A Comparative Study of ICTs and SES $80,471 Strategically Strengthening Declarative Memories During BCS $76,515 The Effect of School Finance Reforms on the Distribution SES $71,473 The International Cognitive Ability Resource SMA $37,206 The LIFE Center: Learning in Informal and Formal Environ Amd. 5//OMA Amd. 8 $225,571 Time-Sharing Experiments for the Social Sciences (TESS): SES $679,540 Topics in the Organization of Markets SES $12,105 Workshop: Refugee Protection Outside of the Internationa SES $30,870 $4,745,125 Center for Advancing Research and Communication in Scien NWU.Hedges/5 // DRL $63,934 Collaborative Proposal: Students Attempts at Understan DRL /001 $18,889 Collaborative Research to Understand the Role of Culture DRL $50,996 Collaborative Research: An Interactive Steel Connection DUE $33,524 Collaborative Research: Cultural Epistemologies and Scie DRL $207,703 Collaborative Research: Leveraging Matched Administrativ DRL $245,301 Collaborative Research: Research: Culturally Based Citiz DRL $244,981 Collaborative Research: Using Educational DVDs to Enhanc DRL $23,742 Enabling Modeling and Simulation-Based Science in the Cl DRL /002 $705,805 The accompanying footnotes are an integral part of the 99 (Continued)

100 Enhancing Critical Thinking in STEM Disciplines: A Facu DUE $28,055 Facilitating Academic Careers in Engineering and Science check # $8,425 Findings from Empirical Within Study Comparisons About t DRL $156,581 FUSE Studios: An Alternative Infrastructure for STEM Lea DRL $152,436 Graduate Research Fellowships Program (GRFP) DGE /003 $5,119,751 IGERT: Integrative Training in Motor Control and Movemen A5//DGE $74,085 IGERT: Quantum Coherent Optical and Matter Systems DGE /004 $139,704 Improving the Generalizability of Findings from Educatio DRL $163,426 INSPIRE Track 1: Primary School Organizations as Open Sy DRL /003 $170,269 Learning Ethnographies of New Engineers: A New Approach DRL $91,344 Learning Evolution through Model-Based Inquiry: Supporti DRL $276,247 Life on Earth //DRL $35,064 NEBRASKA MATH // DUE $48,503 New GK-12: Reach for the Stars: Computational Models for DGE /006 $657,286 ORGANIZATIONAL: The Women s Health Science Program DUE $5,998 Supporting Scientific Practices in Elementary and Middle DRL $440,916 The CIRTL Network: 25 Research Universities Preparing a K851 // DUE $45,029 TUES Type 3: Collaborative Research: The Institutionaliz DUE $19,422 $9,227,416 Collaborative Research: IPY: Reconstruction of Human G ARC ($24,979) Collaborative Research: Chemical Weathering and Organic ARC ($1,358) Collaborative Research: Explosive Ice-Shelf Disintegrati ANT $1,258 Collaborative Research: Response of the Northwestern Gre ARC $71,383 $46,304 MOSFET-Embedded Microcantilever-Based Multiplexed Sensor OISE $17,654 Photoacoustic characterization of diffusively scattering RUE VL-12//OISE $5,940 PIRE: US-Asia Network of Centers for Intelligent Structu OISE $151,151 $174,745 Collaborative Research: FLASH! Fueling Learning Alliance OCI $63,838 Collaborative Research: SCC-SBE: Research Coordination N OCI $92,992 EAGER: Discovering Knowledge from Scientific Research Ne OCI $208,794 The accompanying footnotes are an integral part of the 100 (Continued)

101 IRNC: ProNet: TransLight/StarLight //OCI $50,410 RAPID: Collaborative Research: 3dWomen: exploring three OCI ($2,678) $413,356 ARRA - CAREER: Infomechanics - The Interdependence of Animal I IOS $140,165 ARRA - CAREER: Integrating Grammatical and Psycholinguistic App BCS $4,972 ARRA - CAREER: Lightweight, Blame-Aware Contract Checking CCF $12,186 ARRA - CAREER: Resource Attainment and Social Context in Negoti SES $4,917 ARRA - CAREER: Tax Progressivity and American Political Economy SES $28,845 ARRA - CAREER: Unlocking the Synthetic Potential of N-Allylhydr CHE $102,506 ARRA - Causal Supports for Early Word Learning BCS ($12,185) ARRA - Chicago Transformation Teacher Institutes (CTTI) Agreement 7/31/09//DUE $52,449 ARRA - Collaborative Research: Backdating the U.S. Supreme Cour SES $7,918 ARRA - Collaborative Research: Coupled Models of Diffusion and OCI ($2,122) ARRA - Collaborative Research: Three-dimensional Microstructura DMR $29,011 ARRA - Deformation and Fracture of Metallic Nanostructures - In DMR $553 ARRA - Engineering Enhancement of Endothelial Cell Retention on CBET $3,503 ARRA - GOALI: Process Analysis and Variation Control in Micro-S CMMI ($320) ARRA - Heterogeneous Oxidations of Chemically Diverse Organic S ATM ($608) ARRA - International Materials Institute for Solar Energy Conve DMR $576,043 ARRA - Major: Computational Creativity: Building a Model of Mac IIS $1,556 ARRA - MRI-R2: Development of Instrumentation for Nanoscale Spa DMR ($1,203) ARRA - NeTS: Medium: Design of Dynamic Spectrum Markets for Wir CNS $12,196 ARRA - New Approach to Nanoindentation Experiments and Modeling CMMI ($1,172) ARRA - REU Site: Bioengineering Education Research EEC ($224) ARRA - Rheo-X-Ray Investigation of Structure Development in Pol DMR $8,726 ARRA - Science Master s Program in Engineering and Global Healt DGE $21,589 $989,301 Graduate Research Fellowships Program (GRFP-GROW) 47.RD Prespend $14,560 National Science Foundation Total $45,353,620 The accompanying footnotes are an integral part of the 101 (Continued)

102 U.S. Environmental Protection Agency Prospective Study of Atherosclerosis, Clinical Cardiovas / RD $81,508 Novel Molecular Methods for Probing Ancient Climate Impa FP $1,196 Reducing Human Health Risks from Water-Borne Diseases: A FP $8,757 Tracking Arctic Climate Change with Calcium Isotopes FP $22,519 $32,472 Building Energy Efficiency in the U.S. Industrial Sector MGBO //EP-BPA-12-H MGBO //EP-BPA-12-H-0012 $15,956 U.S. Environmental Protection Agency Total $129,936 Vietnam Education Foundation VEF Fellowship Support F12003F $28,000 Vietnam Education Foundation Fellowship Letter 3/23/2012 $27,000 Vietnam Education Foundation Fellowship Agmt 2/19/13 $27,382 Vietnam Education Foundation Total $82,382 TOTAL RESEARCH AND DEVELOPMENT CLUSTER $393,691,758 Student Financial Assistance Cluster Department of Education Federal SEOG P007A ($5,513) Federal SEOG P007A131246/FSEOG $2,085,529 $2,080,016 Federal Work-Study P033A $81,069 Federal Work-Study P033A131246/FWS $3,365,594 Federal Work-Study P033A $94,979 $3,541,642 Federal Pell Grant P063P $5,369,826 P063P Federal Pell Grant P063P ($350) $5,369,476 Federal Direct Loan Program 2011/ P268K ($6,046) Federal Direct Loan Program 2012/ P268K ($74,359) The accompanying footnotes are an integral part of the 102 (Continued)

103 Federal Direct Loan Program P268K141371/Direct Loan $147,046,276 Federal Direct Loan Program P268K $14,914,083 $161,879,954 Federal TEACH Grant P379T $6,124 Federal TEACH Grant P379T $3,634 $9,758 Department of Education Total $172,880,846 TOTAL STUDENT FINANCIAL ASSISTANCE CLUSTER $172,880,846 Highway Planning and Construction Cluster Department of Transportation Formability of New High Performance Grade 50 Structural //11-BOB-135 $11,317 Department of Transportation Total $11,317 TOTAL HIGHWAY PLANNING AND CONSTRUCTION CLUSTER $11,317 JAG Program Cluster Department of Justice Bureau of Justice Assistance Mental Health Treatment for Incarcerated Women $29,185 Sheriff s Women s Justice Program //2010-DJ-BX-0015 $172,303 Department of Justice Total $201,488 TOTAL JAG PROGRAM CLUSTER $201,488 Medicaid Cluster Department of Health and Human Services Office of the National Coordinator for Health Information Technology ARRA - Electronic Health Record (EHR) Regional Extension Center RC0020 // A $817,372 Department of Health and Human Services Total $817,372 TOTAL MEDICAID CLUSTER $817,372 The accompanying footnotes are an integral part of the 103 (Continued)

104 Other Department of Commerce United States Patent and Trademark Office Research Conference on Innovation Economics $58,476 Department of Commerce Total $58,476 Department of Defense Army Cooperative Team Networks W911NF $10,967 Network Frontier Workshop W911NF $12,000 $22,967 Navy Frontiers Workshop Mechanical Engineering and Civil and N P-1006 ($399) Department of Defense Total $22,568 Department of Education Jacob K Javits Fellowship Program (Wilhoit) P170B $5,000 Jacob K. Javits Fellowship for Robin Hoecker P170B $8,245 $13,245 Department of Education Total $13,245 Department of Energy Serial Sectioning of Advanced Cast Iron PO Number 1004/DE-EE $5,255 Serial Sectioning on a Fatigue Crack of a Cladding Mater PO Number 996 PO Number 996 $5,254 Department of Energy Total $10,509 Department of Health and Human Services Administration for Children and Families Permanency Innovations Initiative //90CT0156 ($4,293) Permanency Innovations Initiative Contract # $518,426 Permanency Innovations Initiative $67,222 $581,355 The accompanying footnotes are an integral part of the 104

105 Centers for Disease Control and Prevention Engaging Indigenous Organizations to Sustain and Enhance Sub under U2GGH $240,244 Describing optimal communication features of collaborati RF //U65PS $13,035 Proposal for State and Metropolitan Area-Based ALS Surve Award Letter 11/1/12 // F-36 Award Letter 11/1/12 // F $169 Centers for Medicare & Medicaid Services FL-IL CHIPRA AHCA Contract No. MED agr. 12/01/2013//1Z0C $106,522 Health Resources and Services Administration Mothers and Babies Illinois: Maternal, Infant and Early FCSSS03432 $17,107 Mothers and Babies Illinois: Maternal, Infant and Early Agr. No. FCSTS03738 $2,675 $19,782 Substance Abuse and Mental Health Services Teen Court Program Agmt / #1 TI $10,620 Department of Health and Human Services Total $971,727 Department of Justice Bureau of Justice Assistance Comprehensive Case Investigations in Post-Conviction Cla FA-BX-0001 $18,093 Hiring Initiative for the Womens Project: Creating Two N FA-BX-0004 $112,800 $130,893 Department of Justice International School of Police Staff and Command EGL //DJJ11-C-2180 EGL //DJJ11-C-2180 $2,570 International School of Police Staff and Command PO# SVA // NUCPS.10/ PO# SVA // NUCPS.10//DJJ11-C-2180 $41,646 Office on Violence Against Women OVW Fiscal Year 2011 Grants to Reduce Sexual Assault, Do WA-AX-0005 $204,332 Department of Justice Total $379,441 Department of State Young African Leaders Initiative FY14-YALI-NWU-01/S-ECAGD-14-CA-1038 $91,623 Department of State Total $91,623 The accompanying footnotes are an integral part of the 105 (Continued)

106 National Aeronautics and Space Administration Chandra HETG Ultra-Deep Grating Spectroscopy of Sgr A* GO H//NAS $2,912 Meteoritic Nanodiamond Analysis by Atom-Probe Tomography WU-14-06//NNX13AF53G $41,553 $44,465 National Aeronautics and Space Administration Total $44,465 The Corporation for National and Community Service Jumpstart Northwestern $64,665 The Corporation for National and Community Service Total $64,665 TOTAL OTHER $1,656,719 TOTAL EXPENDITURES OF FEDERAL AWARDS $569,259,500 The accompanying footnotes are an integral part of the 106 (Continued)

107 Legend for Pass-Through Award Prime Recipients ID Sponsor Full Name ID Sponsor Full Name 1 Advanced BioDevices, LLC 2 AIDS Prevention Initiative Nigeria, Ltd. 3 Albert Einstein College of Medicine of Yeshiva University 4 Alere Wellbeing, Inc. 5 Alliance of Chicago Community Health Services 6 Altor BioScience Corporation 7 American College of Radiology 8 American College of Rheumatology 9 American Heart Association 10 American Institutes for Research 11 American Lung Association 12 Ann & Robert H. Lurie Children s Hospital 13 Archimage, Inc. 14 Arizona State University 15 Arkansas Children s Hospital Research Institute 16 Associated Universities, Inc., National Radio Astronomy Observatory 17 AuraSense Therapeutics, LLC 18 AuraSense, LLC 19 Battelle Energy Alliance, LLC, Idaho National Laboratory 20 Baylor College of Medicine 21 BBN Technologies 22 Benaroya Research Institute at Virginia 23 Beth Israel Deaconess Medical Center 24 Booz, Allen & Hamilton Inc. 25 Boston Medical Center 26 Boston University 27 Brigham and Women s Hospital 28 BrightOutcome Inc. 29 California Institute of Technology, Jet Propulsion Laboratory 30 Carnegie Institution of Washington 31 Carnegie Mellon University 32 Case Western Reserve University 33 Cedars-Sinai Medical Center 34 Cellex Inc. 35 Centre for Chronic Disease Control 36 Cerner Corporation 37 Chicago Association for Research and Education in Science 38 Chicago Department of Public Health 39 Children s Hospital of Philadelphia 40 Children s Hospitals and Clinics of Minnesota 41 Clark University 42 College of William and Mary 43 Colorado State University 44 Columbia University 45 Communication Disorders Technology, Inc. 46 Community Action Project of Tulsa County 47 Concord Consortium 48 CONRAD Program 49 Consortium for Ocean Leadership 50 Cornell University 51 CPM Systems, Inc. 52 D&S Consultants, Inc. 53 Dana-Farber Cancer Institute 54 Dartmouth College 55 Delaware State University 56 DePaul University 57 Digital Optics Technologies, Inc. 58 Duke University 59 Ear Machine LLC 60 Eastern Virginia Medical School 61 ECOG Research and Education Foundation, 62 Econometrica, Inc. 63 EMMES Corporation 64 Emory University 65 Endocrine Society 66 Engility Corporation 67 Engineering and Software System Solutions, Inc. 68 EveryFit, Inc. 69 Fermi Research Alliance, LLC, Fermi National Acceloratory Laboratory 70 Florida International University 71 Ford Motor Company 72 Fox Chase Cancer Center 73 Fred Hutchinson Cancer Research Center 74 Frontier Science and Technology Research Foundation 75 Fundação Faculdade de Medicina 76 Gas Technology Institute 77 General Motors Corporation 78 George Washington University 79 Georgetown University 80 Georgia Institute of Technology 81 Georgia Regents University 82 Georgia State University 83 Global Engineering and Materials, Inc. 84 Government of Israel Ministry of Defense 85 Great Lakes Hemophilia Foundation 86 Greenwood Genetic Center 87 Gynecologic Oncology Group 88 H. Lee Moffitt Cancer Center & Research 89 Harvard University 90 Health Management Associates, Inc. 91 Health Research and Educational Trust 92 Hektoen Institute for Medical Research 93 Henry M. Jackson Foundation for the Advacement of Military Medicine 94 Hewlett-Packard Company 95 ICF International, Inc. 107 (Continued)

108 Legend for Pass-Through Award Prime Recipients ID Sponsor Full Name ID Sponsor Full Name 96 ICON Clinical Research 97 IKOR, Inc. 98 Illinois Criminal Justice Information Authority 99 Illinois Department of Children and Family Services 100 Illinois Department of Healthcare and Family Services 101 Illinois Department of Human Services 102 Illinois Department on Aging 103 Indiana University 104 Indiana University Purdue University Indianapolis 105 Infinitesimal, LLC 106 Institute for Neurodegenerative Disorders 107 Intact Genomics, Inc. 108 International Business Machines Corporation 109 International Computer Science Institute 110 International Research & Exchanges Board 111 Internet Solutions for Kids, Inc. 112 Iowa State University 113 Jackson Laboratory 114 Jaeb Center for Health Research 115 JB Therapeutics, Inc. 116 John B. Pierce Laboratory 117 John Wayne Cancer Institute 118 Johns Hopkins University 119 Joint Commission Resources, Inc. 120 Joslin Diabetes Center, Inc. 121 Jumpstart for Young Children, Inc. 122 Kaiser Foundation Research Institute 123 Krell Institute 124 L-3 MPRI 125 Leidos Biomedical Research, Inc. 126 Leidos, Inc. 127 Lockheed Martin Aculight Corporation 128 Los Alamos National Security, LLC, Los Alamos National Laboratory 129 Los Gatos Research, Inc. 130 Louisiana State University Health Sciences Center 131 Ludwig Institute for Cancer Research 132 MANILA Consulting Group, Inc. 133 Manus Biosynthesis 134 Marine Biological Laboratory 135 Massachusetts General Hospital 136 Materials and Electrochemical Research Corporation 137 Mayo Clinic 138 McKing Consulting Corporation Inc. 139 McLean Hospital 140 Medical College of Wisconsin 141 Medical University of South Carolina 142 MedPro Technologies, LLC 143 Michigan State University 144 Microbiotix, Inc. 145 Midwest Research Institute, Battelle Memorial Institute 146 MKS Technology, LLC 147 Mount Sinai School of Medicine 148 MP Technologies, LLC 149 NanoCytomics 150 National Academy of Sciences 151 National Jewish Medical and Research Center 152 National Stem Cell Foundation 153 New England Research Institute, Inc. 154 New School 155 New York University 156 Nicasa, NFP 157 Nious Technologies Incorporated 158 Northern California Institute for Research 159 Northern Illinois University 160 NorthShore University HealthSystem Research Institute 161 NSABP Foundation, Inc. 162 NuCrypt LLC 163 Ohio State University 164 One Hope United 165 OptoNet, Inc. 166 Oregon Health & Science University 167 Patient Provider Communications, Inc. 168 Pennsylvania State University 169 Princeton University 170 Protabit LLC 171 Purdue University 172 Queens College, CUNY 173 QuesTek Innovations LLC 174 Radiation Monitoring Devices, Inc. 175 Radikal Therapeutics Inc. 176 Regenerex LLC 177 Rehabilitation Institute of Chicago 178 Rehabilitation Institute Research Corporation 179 Renova Life Inc. 180 Rensselaer Polytechnic Institute 181 Research Institute of the McGill University Health Centre 182 Research Triangle Institute 183 Rockefeller University 184 Rosalind Franklin University of Medicine 185 Rush University Medical Center 186 Saint Louis University 187 Salk Institute for Biological Studies 188 Sandia Corporation, Sandia National Laboratory 189 Science Applications International Corporation 190 Scripps Research Institute 191 Seattle Children s Hospital 192 SIMmersion LLC 193 SiNode LLC 108 (Continued)

109 Legend for Pass-Through Award Prime Recipients ID Sponsor Full Name ID Sponsor Full Name 194 Smithsonian Astrophysical Observatory 195 Social & Scientific Systems, Inc. 196 Space Telescope Science Institute 197 Stanford University 198 State University of New York at Buffalo 199 Temple University 200 Texas Biomedical Research Institute 201 Transportation Research Board 202 Tufts University 203 Tulane University 204 U.S. Civilian Research & Development Foundation 205 UChicago Argonne, LLC, Argonne National Laboratory 206 United States Council for Automotive Research 207 Université de Bamako 208 Universities Research Association, Inc., Fermi National Accelerator Laboratory 209 University of Alabama at Birmingham 210 University of Alberta 211 University of Arizona 212 University of California, Berkeley 213 University of California, Davis 214 University of California, Irvine 215 University of California, Los Angeles 216 University of California, San Diego 217 University of California, San Francisco 218 University of Central Florida 219 University of Chicago 220 University of Chicago, National Opinion Research Center 221 University of Colorado 222 University of Colorado Denver 223 University of Connecticut Health Center 224 University of Florida 225 University of Georgia 226 University of Ibadan 227 University of Illinois at Chicago 228 University of Illinois at Urbana-Champaign 229 University of Iowa 230 University of Kansas Medical Center Research Institute, Inc. 231 University of Kentucky 232 University of Maryland, Baltimore 233 University of Maryland, College Park 234 University of Massachusetts Boston 235 University of Medicine and Dentistry of New Jersey 236 University of Miami 237 University of Michigan 238 University of Minnesota 239 University of Mississippi Medical Center 240 University of Missouri-Columbia 241 University of Nebraska Medical Center 242 University of Nebraska-Lincoln 243 University of North Carolina at Chapel Hill 244 University of North Texas Health Science Center 245 University of Notre Dame 246 University of Pennsylvania 247 University of Pittsburgh 248 University of Rochester 249 University of Southern California 250 University of Tennessee 251 University of Tennessee Space Institute 252 University of Texas at Austin 253 University of Texas at El Paso 254 University of Texas at San Antonio 255 University of Texas Health Science Center 256 University of Texas Southwestern Med 257 University of Utah 258 University of Washington 259 University of Wisconsin-Madison 260 UT-Battelle, LLC, Oak Ridge National Lab 261 Vanderbilt University 262 Veterans Medical Research Foundation of San Diego 263 Vidrio Technologies, LLC 264 Virent Energy Systems, Inc. 265 Virginia Polytechnic Institute and State University 266 Wake Forest University Health Sciences 267 Washington University in St. Louis 268 Wayne State University 269 WestEd 270 Wistar Institute of Anatomy and Biology 271 Women & Infants Hospital of Rhode Island 272 Worcester Polytechnic Institute 273 Yale University 274 Youth Network Council (Concluded) 109

110 Notes to 1. ORGANIZATION AND SCOPE OF OPERATIONS Northwestern University (the University ) is a corporation organized under the laws of the State of Illinois, whose charter establishes a Board of Trustees to oversee the implementation of its mission to carry out research and education. All significant operations of the University are included in the scope of the U.S. Office of Management and Budget Circular A-133 audit (the Single Audit ). The U.S. Department of Health and Human Services has been designated as the University s cognizant agency for the Single Audit. 2. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES Basis of Accounting The accompanying schedule of expenditures of federal awards (the Schedule ) summarizes the expenditures of the University and its subsidiaries under programs of the federal government for the year ended August 31, The Schedule is prepared on the accrual basis of accounting. Since the Schedule presents only a selected portion of the operations of the University, it is not intended to, and does not, present the financial position or changes in net assets of the University. For purposes of the Schedule, federal awards include all grants, contracts, and similar agreements entered into directly between the University and agencies and departments of the federal government and all subawards to the University by nonfederal organizations pursuant to federal grants, contracts, and similar agreements. Complete CFDA numbers and pass-through numbers are provided on the Schedule when available. Expenditure and Revenue Recognition The Schedule presents the expenditures of individual programs. All program outlays, including accrued expenditures and capital outlays, are reported as expenditures. Related revenues are recognized up to award amounts for financial statement and program reporting. Award reporting periods do not necessarily coincide with the fiscal reporting period of the University. Negative amounts presented in the Schedule represent adjustments, in the normal course of business, to expenditures reported in prior years. Pass-Through Awards The University receives certain federal awards from pass-through awards of the State of Illinois and other nonfederal organizations. The total amount of such pass-through awards is included in the Schedule. Subrecipients The University passes through certain funds to subrecipient organizations. 110

111 by Federal Agency 3. SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS BY FEDERAL AGENCY Federal Agency Expenditures Agency for International Development 27,159 U.S. Department of Agriculture 112,805 U.S. Department of Commerce 803,749 U.S. Department of Defense 37,182,074 U.S. Department of Education 177,907,862 U.S. Department of Energy 26,988,179 U.S. Department of Health and Human Services 273,866,435 U.S. Department of Homeland Security 1,110,298 U.S. Department of Justice 1,437,479 U.S. Department of Labor 13,709 U.S. Department of State 91,623 U.S. Department of Transportation 656,347 U.S. Department of Veterans Affairs 944,508 Institute of Museum and Library Services 90,595 National Aeronautics and Space Administration 2,393,117 National Endowment for the Humanities 2,958 National Science Foundation 45,353,620 The Corporation for National and Community Service 64,665 U.S. Environmental Protection Agency 129,936 Vietnam Education Foundation 82,382 TOTAL 569,259, FEDERAL STUDENT LOAN PROGRAMS Loans made by the University to eligible students under federal student loan programs and federally guaranteed loans originating with the University and issued to its students during the year ended August 31, 2014, are summarized as follows: Federal Perkins Loan Program (CFDA ) $ 7,644,184 Federal Direct Loan Programs (CFDA ) 161,879,954 Total Federal Student Loan Programs $169,524,138 The Perkins and Health Professions Student Loan (HPSL) programs are administered directly by the University and balances and transactions relating to these programs are included in the University s consolidated financial statements. The balances of loans outstanding under the Perkins, HPSL-Medical (CFDA ), and HPSL-Dental (CFDA ) programs were $41,046,416, $94,188 and $154,436, respectively, at August 31, The University incurred $250,000 and $0 in administrative expenses under the Perkins and Federal Work Study programs, respectively, for the year ended August 31, The Perkins Loans principal cancelled (CFDA ) amount is $427,

112 Notes to 5. SCHEDULE OF EXPENDITURES BY SUBRECIPIENTS OF PASS-THROUGH FEDERAL FUNDS The following is a schedule of expenditures by agencies to whom Northwestern has awarded passthrough federal funds. Federal Grantor/Subrecipient Name CFDA Number 112 Expenditures Department of Commerce QuesTek Innovations LLC $116,027 Department of Commerce Total $116,027 Department of Defense Arizona State University $352,285 Arizona State University $54,838 Duke University $124,116 New York University $195,689 Chicago Association for Research and Education in Science $57,767 Geneva Foundation, The $19,876 Henry M. Jackson Foundation for the Advancement of Military Medicine $82,006 Purdue University $8,807 Rehabilitation Institute Research Corporation $8,968 Rehabilitation Institute Research Corporation $4,236 University of Chicago $18,511 University of Illinois at Chicago $30,111 University of Pittsburgh $22,162 Massachusetts Institute of Technology $74,140 Materials & Electrochemical Research Corporation $18,437 Mount Sinai School of Medicine $30,000 SRI International $8,801 University of Connecticut $52,571 University of Michigan $112,194 University of Nebraska-Lincoln $208,770 Washington University in St. Louis $41,691 Arizona State University $34,132 California Institute of Technology $93,669 Georgia Tech Research Institute $114,188 Research Foundation of the City University of New York $30,194 University of Pittsburgh $171,682 University of Texas at Austin $222,120 University of Utah $14,770 University of Washington $52,728 Applied Communications Sciences $132,392 Aurasense Therapuetics LLC $672,650 Aurasense Therapuetics LLC $77,068 Montana State University $145,207 MRIGlobal $167,028 Raytheon BBN Technologies $482,141 SRI International $124,493 Stanford University $451,766 University of Calgary $301,097 University of California, Davis $470,311 University of Chicago $534,875

113 to Subrecipients Federal Grantor/Subrecipient Name CFDA Number Expenditures University of Illinois at Urbana-Champaign $301,038 University of Michigan $319,511 University of Minnesota $307,027 University of Minnesota $82,382 University of Texas, Arlington $122,357 South Carolina Research Foundation B // N C-0105 $10,843 Georgia Tech Research Institute 12.W5J9CQ-12-C-0017 $172,749 University of Michigan 12.W912HQ-10-C-0024 $48,379 Department of Defense Total $7,182,773 Department of Education Rehabilitation Institute Research Corporation $3,120 Rehabilitation Institute Research Corporation $16,618 Westside Institute for Science and Education $73,075 City of Chicago, Board of Education $341,081 Georgia State University Research Foundation Inc $39,623 Michigan State University $16,824 Society for Research on Educational Effectiveness $460,861 University of Chicago $143,835 University of Michigan $53,011 University of Minnesota $15,480 Department of Education Total $1,163,528 Department of Energy ARRA - Harvard University $309,169 ARRA - Pennsylvania State University $218,378 Siena College $23,018 University of California, Davis $539,445 University of California, Los Angeles $106,081 University of Chicago $130,683 University of Chicago $870,701 University of Illinois at Urbana-Champaign $141,122 ARRA - University of Massachusetts Boston $6,693 ARRA - University of Michigan $130,592 University of Michigan $133,628 University of Pittsburgh $55,887 University of Wisconsin-Madison $6,463 Yale University $435,541 California Institute of Technology $11,305 Ohio State University $2,859 University of California, Los Angeles $48,154 California Institute of Technology $77,222 Protabit LLC $59,928 Georgia Tech Research Institute //DE-AC07-05ID14517 $125,120 Pacific Northwest National Laboratory //DE-AC07-05ID14517 $25,000 UT-Battelle, LLC, Oak Ridge National Laboratory //DE-AC07-05ID14517 $50,000 Department of Energy Total $3,506,989 Department of Health and Human Services Dana-Farber Cancer Institute $8,271 Harvard University $65,271 Harvard University $144,344 Massachusetts Institute of Technology $38, (Continued)

114 to Subrecipients Federal Grantor/Subrecipient Name CFDA Number Expenditures University of Illinois at Chicago $18,397 University of Southern California $174,638 National Kidney Foundation of Illinois $7,568 NorthShore University HealthSystem Research Institute $31,117 Boston University $191,729 Johns Hopkins University $269,512 Massachusetts General Hospital $150,409 Mayo Clinic Florida $36,980 University of Castilla, La Mancha $14,326 University of Colorado at Boulder $69,821 University of Colorado at Boulder $15,679 University of Iowa $2,811 University of North Carolina at Chapel Hill $73,633 University of Texas at San Antonio $298,097 University of Washington $38,769 Center on Halsted $22,216 University of Chicago $108,576 Advocate Hope Children s Hospital $27,322 Advocate Lutheran General Hospital $27,322 Alliance of Chicago Community Health Service, LLC $95,800 Alliance of Chicago Community Health Service, LLC $84,757 Ann & Robert H. Lurie Children s Hospital of Chicago $1,511 Ann & Robert H. Lurie Children s Hospital of Chicago $6,937 Ann & Robert H. Lurie Children s Hospital of Chicago $19,970 Brigham and Women s Hospital $8,251 Discerning Systems Inc $31,174 Erie Family Health Center $70,497 Heartland Health Outreach $23,456 Hektoen Institute for Medical Research $30,228 Institute for Safe Medication Practices $13,733 Louisiana State University Health Sciences Center $13,054 Mount Sinai Hospital $23,089 National Patient Safety Foundation $21,634 Near North Health Service Corporation $12,116 Near North Health Service Corporation $29,519 North Country Healthcare Inc $49,742 Northwestern Medical Faculty Foundation, Inc $4,014 Northwestern Memorial Hospital $3,530 Pennsylvania State University $4,386 University of Chicago $244,491 University of Chicago $75,943 University of Illinois at Chicago $133,771 University of North Carolina at Chapel Hill $20,013 University of Washington $19,916 University of Washington $53,895 Case Western Reserve University $32,388 Columbia University $87,629 Indiana University Purdue University Indianapolis $20,374 Magee-Womens Research Institute & Foundation $124,708 Research Triangle Institute $53,890 University of California, Irvine $82, (Continued)

115 to Subrecipients Federal Grantor/Subrecipient Name CFDA Number Expenditures University of Illinois at Chicago $2,493 University of Pennsylvania $29,510 University of Utah $95,706 Rice University $7,798 Cornell University $30,606 Georgia State University Research Foundation Inc $14,927 Mind Research Network, The $64,172 NorthShore University HealthSystem Research Institute $89,719 Northwestern Memorial Hospital $2,626 Rush University Medical Center $105,060 University of California, San Diego $58,835 University of Connecticut Health Center $18,255 University of Illinois at Chicago $99,682 University of North Carolina at Chapel Hill $165,621 University of Oxford $83,500 University of Southern California $136,553 University of Southern California $33,743 Yale University $15,370 Beth Israel Deaconess Medical Center ($25) La Rabida Children s Hospital $1,250 Mount Sinai Beth Israel $11,441 University of Chicago $1,563 University of Ottawa $20,000 Argonne National Laboratory $25,000 University of Wisconsin-Madison $22,841 Arizona State University $2,930 Emory University $50,133 Emory University $97,549 King s College London $40,533 Loyola University Chicago $10,753 Mount Sinai School of Medicine $36,112 Research Foundation of the City University of New York $117,762 Salk Institute $63,945 Sanford-Burnham Medical Research Institute $5,495 University of California, Davis $161,605 University of California, San Francisco $111,527 University of Chicago $17,838 University of Chicago $21,839 University of Illinois at Chicago $91,398 University of Miami $102,494 University of Nebraska-Lincoln $387,200 University of Oregon $10,507 University of Southern California $28,608 Virginia Commonwealth University $60,500 Wayne State University $3,000 NorthShore University HealthSystem Research Institute $4,388 University of California, Irvine $191,359 University of Illinois at Chicago $202,020 Access DuPage $111,138 Access Community Health Network $226,867 Campbell-Kibler Associates, Inc $3, (Continued)

116 to Subrecipients Federal Grantor/Subrecipient Name CFDA Number Expenditures Rehabilitation Institute Research Corporation $620 University of Alabama at Birmingham $49,484 Ann & Robert H. Lurie Children s Hospital of Chicago $652,684 Boys & Girls Clubs of Chicago $37,255 Northwestern Memorial Hospital $1,879,399 Access Community Health Network $12,091 Chinese American Service League $43,704 DePaul University $23,334 Mercy Hospital & Medical Center $73,715 NorthShore University HealthSystem Research Institute $144,892 Optimum Therapeutics, LLC $7,670 Research Foundation, SUNY $28,691 Rush University Medical Center $33,855 University of California, Davis $23,901 University of California, Davis $37,558 University of California, Davis ($651) University of Chicago $133,489 University of Illinois at Chicago $3,614 University of Wisconsin-Madison $92,329 Boston Medical Center $64,512 Boston Medical Center $243,515 Boston Medical Center $178,888 NorthShore University HealthSystem Research Institute $66,643 Pennsylvania State University $235,473 Vanderbilt University $4,785 Vanderbilt University $60,250 Boston Medical Center $254,398 Indiana University Purdue University Indianapolis $55,125 NorthShore University HealthSystem Research Institute $143,000 Saint Louis University $79,216 University of Chicago $185,492 University of Pittsburgh $79,556 University of Southern California $39,759 University of Wisconsin-Milwaukee $27,795 Westside Institute for Science and Education $45,850 Ann & Robert H. Lurie Children s Hospital of Chicago $24,825 Louisiana State University Health Sciences Center $4,303 Oklahoma Medical Research Foundation $30,767 University of Chicago $15,706 University of Texas Health Science Center $4,919 Ann & Robert H. Lurie Children s Hospital of Chicago $55,800 Ann & Robert H. Lurie Children s Hospital of Chicago $4,653 Ann & Robert H. Lurie Children s Hospital of Chicago $33,284 California Institute of Technology $82,701 Cinvestav - Unidad Irapuato $954 Dana-Farber Cancer Institute $100,000 Hektoen Institute for Medical Research $11,361 University of California, Los Angeles $22,572 University of Chicago $55,052 University of Chicago $112,420 University of Colorado at Boulder $1, (Continued)

117 to Subrecipients Federal Grantor/Subrecipient Name CFDA Number Expenditures University of Illinois at Chicago $45,008 University of Miami $22,559 University of Wisconsin-Madison $49,719 Weizmann Institute of Science $75,626 Emory University $36,362 Medical College of Wisconsin $82,533 Memorial Sloan-Kettering Cancer Center $8,937 Northwestern Memorial Hospital $22,822 University of Chicago $70,331 University of Massachusetts Worcester $118,565 University of Illinois at Chicago ($2,162) Erie Family Health Center $1,900,364 Community Action Project of Tulsa County, Inc $74,230 Oklahoma State University $26,839 Northwestern Medical Faculty Foundation, Inc $124,440 Northwestern Memorial Hospital $346,712 Community Action Project of Tulsa County, Inc $24,698 Community Action Project of Tulsa County, Inc $8,493 Oklahoma State University $19,295 University of Oklahoma $30,312 University of Oklahoma $15,263 University of Texas at Austin $28,211 University of Texas at Austin $30,167 ARRA - Florida International University $27,149 ARRA - Cancer Help Institute Ltd $15,261 ARRA - Hektoen Institute for Medical Research $95,006 ARRA - Alliance of Chicago Community Health Service, LLC $108,020 ARRA - Ann & Robert H. Lurie Children s Hospital of Chicago $26,400 ARRA - GFK Custom Research, LLC $71,100 ARRA - Rush University Medical Center $182,600 ARRA - University of Chicago $94,600 ARRA - Alliance of Chicago Community Health Service, LLC $147,484 Amarillo Heart Clinical Research Institute, Inc $995 Ann & Robert H. Lurie Children s Hospital of Chicago $80,724 Ann & Robert H. Lurie Children s Hospital of Chicago $16,641 Ann & Robert H. Lurie Children s Hospital of Chicago $148,758 Ann & Robert H. Lurie Children s Hospital of Chicago $9,984 Ann & Robert H. Lurie Children s Hospital of Chicago $83,368 Ann & Robert H. Lurie Children s Hospital of Chicago $4,434 Arkansas Site Management Services $17,995 Baptist Hospital of Miami $6,530 Beth Israel Deaconess Medical Center $47,397 Brentwood Biomedical Research Institute, Inc $4,645 Bridgeport Hospital $6,210 Center for Chronic Disease Control $22,776 Cleveland Clinic Lerner College of Medicine of CWRU $17,999 Colorado State University $9,942 Hektoen Institute for Medical Research $30,061 Imperial College London $256,269 Johns Hopkins University $132 Loyola University Chicago $12, (Continued)

118 to Subrecipients Federal Grantor/Subrecipient Name CFDA Number Expenditures Maimonides Medical Center $1,595 Marshfield Clinic $1,015 Methodist Hospital Research Institute $22,685 Metropolitan Asian Family Services, Inc $24,803 Orlando Regional Medical Center $19,720 Park Nicollet Institute $2,820 Piedmont Heart Institute, Inc $7,120 Providence Health Center $5,565 Rhode Island Hospital $4,465 Rush University Medical Center $178,409 Rush University Medical Center $20,676 St. John Hospital & Medical Center $3,325 Stanford University $8,949 Stanford University ($258) Temple University $50,297 University of Alabama at Birmingham $4,262 University of Calgary $40,850 University of California, San Francisco $1,190 University of California, San Francisco $22,673 University of Chicago $2,572 University of Chicago $196,577 University of Illinois at Chicago $348,948 University of Illinois at Chicago $10,560 University of Illinois at Chicago $215,361 University of Illinois at Chicago $3,503 University of Illinois at Chicago $79,924 University of Pittsburgh $8,520 University of Tennessee, Memphis $1,863 University of Vermont $175 University of Washington $19,939 University of Washington $3,970 Wake Forest University $29,739 Washington University in St. Louis $51,765 Winthrop-University Hospital $4,585 Ann & Robert H. Lurie Children s Hospital of Chicago $43,690 Ann & Robert H. Lurie Children s Hospital of Chicago $15,581 Ann & Robert H. Lurie Children s Hospital of Chicago $143,121 Ann & Robert H. Lurie Children s Hospital of Chicago $50,476 Ann & Robert H. Lurie Children s Hospital of Chicago $50,450 Ann & Robert H. Lurie Children s Hospital of Chicago $9,430 NorthShore University HealthSystem Research Institute $25,486 Stanford University $6,631 University of California, Los Angeles $52,237 University of Chicago $8,633 University of Chicago $7,482 University of Chicago $1,125 University of Wisconsin-Madison $27,828 Washington State University $50,033 Washington University in St. Louis $5,668 Washington University in St. Louis $16,360 Mayo Clinic Rochester $48, (Continued)

119 to Subrecipients Federal Grantor/Subrecipient Name CFDA Number Expenditures University of Chicago $7,037 Ann & Robert H. Lurie Children s Hospital of Chicago $3,328 Ann & Robert H. Lurie Children s Hospital of Chicago $23,026 Duke University $3,363 Evidera, Inc $31,720 NorthShore University HealthSystem Research Institute $32,716 Ohio State University $38,831 Paracelsus Medizinische Privatuniversität $57,600 Rehabilitation Institute Research Corporation $398 Rehabilitation Institute Research Corporation $61,554 Rehabilitation Institute Research Corporation $11,718 Rehabilitation Institute Research Corporation $4,691 Rush University Medical Center $12,784 Temple University $17,454 United BioSource Corporation $12,785 University of California, Los Angeles $81,118 University of California, San Francisco $5,000 University of Colorado at Denver $38,372 Ann & Robert H. Lurie Children s Hospital of Chicago $190,416 Ann & Robert H. Lurie Children s Hospital of Chicago $49,926 Case Western Reserve University $197,044 Chinese University of Hong Kong $146,667 Duke University $229,164 Duke University $55,333 Duke University $166,841 Hospital for Sick Children, The $157,705 Kaiser Foundation Research Institute $443,438 Management and Development for Health $3,850 McGaw YMCA $14,733 Mor Research Applications LTD $212,349 NorthShore University HealthSystem Research Institute $54,711 Pennsylvania State University $83,621 Rajavithi Hospital $151,514 Rice University $57 Royal Victoria Hospital $174,953 Southern Illinois University $3,864 University of California, San Francisco $5,848 University of Illinois at Urbana-Champaign $56,231 University of Manchester $176,823 University of Pennsylvania $72,136 University of the West Indies at Cave Hill $94,501 Virginia Commonwealth University $26,233 YMCA of Greater Indianapolis $2,810 NorthShore University HealthSystem Research Institute $13,196 Ann & Robert H. Lurie Children s Hospital of Chicago $27,834 Ann & Robert H. Lurie Children s Hospital of Chicago $13,734 Ann & Robert H. Lurie Children s Hospital of Chicago $4,660 Banner Alzheimer s Institute $9,885 Case Western Reserve University $86,821 Centre National de la Recherche Scientifique $122,626 Hektoen Institute for Medical Research $2, (Continued)

120 to Subrecipients Federal Grantor/Subrecipient Name CFDA Number Expenditures Loyola University Chicago $6,299 Michigan State University $20,595 Rush University Medical Center $12,355 Stanford University $97,772 University of Chicago $192,043 University of Chicago $12,572 University of Oklahoma $141,126 University of Tennessee, Memphis $19,137 University of Texas at San Antonio $20,452 University of Texas M. D. Anderson Cancer Center $188,987 University of Washington $47,847 University of Washington $178,404 AIDS Arms, Inc $172,252 AIDS Arms, Inc $50,472 Ann & Robert H. Lurie Children s Hospital of Chicago $115,511 Ann & Robert H. Lurie Children s Hospital of Chicago $102,060 Baylor Research Institute $60,369 Children s Hospital Los Angeles $16,245 Cleveland Clinic Lerner College of Medicine of CWRU $111,612 David Ostrow & Associates, LLC $29,264 Geisinger Health System $250,306 Hektoen Institute for Medical Research $317,769 King s College London $10,837 Mayo Clinic Florida $21,411 Mayo Clinic Scottsdale $170,666 Medical University of South Carolina $71,542 Midwestern University $5,333 Mount Sinai School of Medicine $24,329 Rush University Medical Center $29,864 Rush University Medical Center $199,806 Scripps Health $54,302 Scripps Research Institute $985,042 Stanford University ($607) Stanford University $228,396 Tulane University $238,288 Tulane University ($420) Tulane University $492,239 University of Bamako $107,358 University of Bamako $34,551 University of California, Los Angeles $59,923 University of Chicago $315,702 University of Chicago $78,166 University of Illinois at Chicago ($1,003) University of Nebraska Medical Center $8,405 University of Nebraska Medical Center $5,308 University of Nebraska-Lincoln $21,132 University of Washington $147,705 University of Washington $76,290 University of Wisconsin-Madison $8,184 University of Wisconsin-Madison ($1,175) American Society for Microbiology $24, (Continued)

121 to Subrecipients Federal Grantor/Subrecipient Name CFDA Number Expenditures Ann & Robert H. Lurie Children s Hospital of Chicago $11,320 Argonne National Laboratory $58,106 Campbell-Kibler Associates, Inc $55,661 Harvard University $556,856 Imperial College London $307,565 Northeastern Illinois University $49,642 University of California, San Francisco $27,038 University of Connecticut $219,134 University of Illinois at Chicago $48,057 University of Illinois at Urbana-Champaign $98,219 University of Massachusetts, Amherst $29,072 University of Minnesota $28,984 University of Pennsylvania $269,772 University of Texas at El Paso $65,072 Ann & Robert H. Lurie Children s Hospital of Chicago $119,120 Ann & Robert H. Lurie Children s Hospital of Chicago $7,018 Ann & Robert H. Lurie Children s Hospital of Chicago $52,406 Baylor College of Medicine $14,396 Boston University $50,858 Centre National de la Recherche Scientifique $11,250 Chicago Hispanic Health Coalition $14,533 City of Chicago, Board of Education $378,748 Infectious Diseases Institute, Makerere University Kampala $39,908 Medical University of South Carolina $6,319 Michigan State University $207,417 National Opinion Research Center $13,274 NorthShore University HealthSystem Research Institute $39,330 NorthShore University HealthSystem Research Institute $189,702 Palo Alto Institute for Research and Education, Inc $25,666 Stanford University ($398) University of California, Irvine $10,333 University of California, San Francisco $23,489 University of Chicago $215,515 University of Illinois at Chicago $9,343 University of Illinois at Chicago $249,307 University of Michigan $71,624 University of Michigan $220,104 University of Minnesota $15,464 University of North Carolina at Chapel Hill $136,530 University of North Carolina at Chapel Hill $10,913 University of Southern California $85,726 University of Texas at Austin $61,796 University of Washington $126,301 University of Wisconsin-Madison $481,155 University of Wisconsin-Madison $434,717 University of Wisconsin-Milwaukee $122,893 Wayne State University $15,190 Access Community Health Network $19,616 Boston University $76,688 Columbia University $194,519 Harvard University $1, (Concluded)

122 to Subrecipients Federal Grantor/Subrecipient Name CFDA Number Expenditures Rush University Medical Center $169,631 University of Illinois at Urbana-Champaign $131,570 Ann & Robert H. Lurie Children s Hospital of Chicago $42,055 Boston University $45,766 Duke University $235,356 Harvard University $231,011 Imperial College London $106,767 Johns Hopkins University $88,361 Rehabilitation Institute Research Corporation $40,153 University of Michigan $73,161 Erie Family Health Center $121,376 Indiana University Purdue University Indianapolis $98,761 UnitedHealth Group, Inc $107,823 YMCA of the USA $5,205 Ann & Robert H. Lurie Children s Hospital of Chicago $3,427 Jos University Teaching Hospital $22,679 University of Bamako $14,156 University of Cape Town $39,438 University of Chicago $5,074 University of Ibadan $18,703 University of Ibadan $21,470 University of Ibadan $26,787 University of Lagos, College of Medicine $6,148 University of North Carolina at Chapel Hill $22,368 ARRA - Northwestern Medical Faculty Foundation, Inc HD /HHSN C/0003 $8,679 Loyola University Chicago N01-HC $840 Stanford University N01-HC $506 University of Illinois at Chicago N01-HC $14,868 Stanford University 93.12XS577//HHSN E $8,821 ARRA - Northwestern Medical Faculty Foundation, Inc //HHSN C $4,142 Oklahoma State University 93.Agmt 1/28/11 $95,825 Washington University in St. Louis 93.Agmt No. 13XS108//HHSN E $3,588 Pervasive Health, Inc. 93.Agmt. Signed 10/24/13 $126,000 Loyola University Chicago 93.HHSN C $7,392 J. Craig Venter Institute 93.HHSN C $517,393 Sanford-Burnham Medical Research Institute 93.HHSN C $289,047 University College London 93.HHSN C $86,985 University of Chicago 93.HHSN C $1,345,640 University of Texas Southwestern Medical Center 93.HHSN C $178,415 University of Toronto 93.HHSN C $584,621 University of Virginia 93.HHSN C $540,443 Washington University in St. Louis 93.HHSN C $205,004 Ann & Robert H. Lurie Children s Hospital of Chicago 93.HHSN I $94,042 Arkansas Children s Hospital Research Institute 93.HHSN I $130,777 Children s Hospital of Philadelphia, The 93.HHSN I $307,592 Delve LLC 93.HHSN I $2,350,789 Magee-Womens Research Institute & Foundation 93.HHSN I $289,583 NorthShore University HealthSystem Research Institute 93.HHSN I $48,047 Tulane University 93.HHSN I $14,057 University of California, Irvine 93.HHSN I $81,385 University of Ibadan 93.HHSN I ($2,830) 122 (Continued)

123 to Subrecipients Federal Grantor/Subrecipient Name CFDA Number Expenditures University of Texas at San Antonio 93.HHSN I $172,821 Health Research, Inc. Roswell Park Cancer Institute Division 93.N01-CN-35157/004 $199,055 NorthShore University HealthSystem Research Institute 93.N01-CN-35157/004 $42,046 University of Chicago 93.N01-CN-35157/004 $56,583 University of Kentucky 93.N01-CN-35157/004 $52,206 Vanderbilt University 93.N01-CN-35157/004 $147,878 Loyola University Chicago 93.N01-HC $840 Stanford University 93.N01-HC $506 University of Illinois at Chicago 93.N01-HC $14,868 Loyola University Chicago 93.N01-HC-95164/Amend #25 $26,812 Stanford University 93.N01-HC-95164/Amend #25 $1,521 University of Illinois at Chicago 93.N01-HC-95164/Amend #25 $15,430 Department of Health and Human Services Total $43,288,588 National Science Foundation Boston Medical Center $33,305 Harvard University $9,247 Johns Hopkins University $33,750 University of Illinois at Urbana-Champaign $262,875 Clemson University $22,602 DePaul University $5,054 Harvard University $35,760 Missouri University of Science & Technology $28,863 University of Arizona $37,391 Michigan State University $34,598 University of Pennsylvania $6,343 GFK Custom Research, LLC $421,553 London School of Economics and Political Science $29,410 University of Illinois at Chicago $15,417 University of Notre Dame $4,133 University of San Carlos $157,992 American Institutes for Research $49,890 City Colleges of Chicago $14,092 Horizon Research, Inc $44,225 Inquire Learning, LLC $48,618 Inquire Learning, LLC $49,270 Michigan State University $78,291 Stanford University $60,946 Teachers College $35,108 Texas A&M Research Foundation $14,135 University of California, Berkeley $68,249 University of Illinois at Chicago $10,259 University of Wisconsin-Madison $23,432 Vanderbilt University $90,901 Wright State University $45,146 University of Illinois at Chicago $128,701 ARRA - Louisiana State University $6,540 ARRA - University of Southern California ($1,023) ARRA - Washington University in St. Louis $6,618 National Science Foundation Total $1,911,691 Grand Total $57,169,

124 Independent Auditor s Report on Internal Control Over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards Board of Trustees Northwestern University Evanston, Illinois We have audited, in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards issued by the Comptroller General of the United States, the consolidated financial statements of Northwestern University (the University ), which comprise the consolidated statement of financial position as of August 31, 2014, and the related consolidated statement of activities and of cash flows for the year then ended, and the related notes to the financial statements, and have issued our report thereon dated January 12, Internal control over financial reporting In planning and performing our audit of the consolidated financial statements, we considered the University s internal control over financial reporting ( internal control ) to determine the audit procedures that are appropriate in the circumstances for the purpose of expressing our opinion on the consolidated financial statements, but not for the purpose of expressing an opinion on the effectiveness of the University's internal control. Accordingly, we do not express an opinion on the effectiveness of the University s internal control. A deficiency in internal control exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control such that there is a reasonable possibility that a material misstatement of the University s consolidated financial statements will not be prevented, or detected and corrected on a timely basis. A significant deficiency is a deficiency, or a combination of deficiencies, in internal control that is less severe than a material weakness, yet important enough to merit attention by those charged with governance. Our consideration of internal control was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control that might be material weaknesses or significant deficiencies. Given these limitations, during our audit we did not identify any deficiencies in internal control that we consider to be material weaknesses. However, material weaknesses may exist that have not been identified. PricewaterhouseCoopers LLP, One North Wacker, Chicago, IL T: (312) , F: (312) , 124

125 Compliance and other matters As part of obtaining reasonable assurance about whether the University s consolidated financial statements are free from material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. Purpose of this report The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the University s internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the University s internal control and compliance. Accordingly, this communication is not suitable for any other purpose. Chicago, Illinois January 12,

126 Independent Auditor s Report on Compliance with Requirements That Could Have a Direct and Material Effect on Each Major Program and on Internal Control Over Compliance in Accordance with OMB Circular A-133 Board of Trustees Northwestern University Evanston, Illinois Subject: Report on compliance for each major federal program We have audited Northwestern University s (the University ) compliance with the types of compliance requirements described in the OMB Circular A-133 Compliance Supplement that could have a direct and material effect on each of the University s major federal programs for the year ended August 31, The University s major federal programs are identified in the summary of auditor's results section of the accompanying schedule of findings and questioned costs. Management s responsibility Management is responsible for compliance with the requirements of laws, regulations, contracts, and grants applicable to its federal programs. Auditor s responsibility Our responsibility is to express an opinion on compliance for each of the University s major federal programs based on our audit of the types of compliance requirements referred to above. We conducted our audit of compliance in accordance with auditing standards generally accepted in the United States of America; the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States; and OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations. Those standards and OMB Circular A-133 require that we plan and perform the audit to obtain reasonable assurance about whether noncompliance with the types of compliance requirements referred to above that could have a direct and material effect on a major federal program occurred. An audit includes examining, on a test basis, evidence about the University s compliance with those requirements and performing such other procedures as we considered necessary in the circumstances. We believe that our audit provides a reasonable basis for our opinion on compliance for each major federal program. However, our audit does not provide a legal determination of the University s compliance. Opinion on each major federal program In our opinion, the University complied, in all material respects, with the types of compliance requirements referred to above that could have a direct and material effect on each of its major federal programs for the year ended August 31, PricewaterhouseCoopers LLP, One North Wacker, Chicago, IL T: (312) , F: (312) , 126