NORTHWESTERN UNIVERSITY Single Audit Report Year ended

NORTHWESTERN UNIVERSITY

Single Audit Report

Year ended August 31, 2023

NORTHWESTERN UNIVERSITY

Single Audit Report

Year ended August 31, 2023

Table of Contents

Page

Independent Auditors’ Report 1

Consolidated Financial Statements:

Consolidated Statements of Financial Position 3

Consolidated Statements of Activities 4

Consolidated Statements of Cash Flows 6

Notes to Consolidated Financial Statements 7

Supplementary Schedule of Expenditures of Federal Awards 28

Notes to Supplementary Schedule of Expenditures of Federal Awards 78

Independent Auditors’ 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 80

Independent Auditors’ Report on Compliance for Each Major Federal Program; Report on

Internal Control Over Compliance; and Report on Supplementary Schedule of

Expenditures of Federal Awards Required by the Uniform Guidance 82

Schedule of Findings and Questioned Costs 85

Independent Auditors’ Report

The Board of Trustees

Northwestern University:

Report on the Audit of the Consolidated Financial Statements

Opinion

We have audited the consolidated financial statements of Northwestern University (the University), which

comprise the consolidated statements of financial position as of August 31, 2023 and 2022, the related

consolidated statements of activities and cash flows for the years then ended, and the related notes to the

consolidated financial statements.

In our opinion, the accompanying consolidated financial statements present fairly, in all material respects, the

financial position of the University as of August 31, 2023 and 2022, and the changes in its net assets and its

cash flows for the years then ended in accordance with U.S. generally accepted accounting principles.

Basis for Opinion

We conducted our audits in accordance with auditing standards generally accepted in the United States of

America (GAAS) and the standards applicable to financial audits contained in Government Auditing Standards,

issued by the Comptroller General of the United States. Our responsibilities under those standards are further

described in the Auditors’ Responsibilities for the Audit of the Consolidated Financial Statements section of our

report. We are required to be independent of the University and to meet our other ethical responsibilities, in

accordance with the relevant ethical requirements relating to our audits. We believe that the audit evidence we

have obtained is sufficient and appropriate to provide a basis for our audit opinion.

Responsibilities of Management for the Consolidated Financial Statements

Management is responsible for the preparation and fair presentation of the consolidated financial statements in

accordance with U.S. generally accepted accounting principles, and for 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.

In preparing the consolidated financial statements, management is required to evaluate whether there are

conditions or events, considered in the aggregate, that raise substantial doubt about the University’s ability to

continue as a going concern for one year after the date the consolidated financial statements are issued.

Auditors’ Responsibilities for the Audit of the Consolidated Financial Statements

Our objectives are to obtain reasonable assurance about whether the consolidated financial statements as a

whole are free from material misstatement, whether due to fraud or error, and to issue an auditors’ report that

includes our opinion. Reasonable assurance is a high level of assurance but is not absolute assurance and

therefore is not a guarantee that an audit conducted in accordance with GAAS and Government Auditing

Standards will always detect a material misstatement when it exists. The risk of not detecting a material

misstatement resulting from fraud is higher than for one resulting from error, as fraud may involve collusion,

forgery, intentional omissions, misrepresentations, or the override of internal control. Misstatements are

considered material if there is a substantial likelihood that, individually or in the aggregate, they would influence

the judgment made by a reasonable user based on the consolidated financial statements.

KPMG LLP

Aon Center

Suite 5500

200 E. Randolph Street

Chicago, IL 60601-6436

KPMG LLP, a Delaware limited liability partnership and a member firm of

the KPMG global organization of independent member firms affiliated with

KPMG International Limited, a private English company limited by guarantee.

In performing an audit in accordance with GAAS and Government Auditing Standards, we:

• Exercise professional judgment and maintain professional skepticism throughout the audit.

• Identify and assess the risks of material misstatement of the consolidated financial statements, whether

due to fraud or error, and design and perform audit procedures responsive to those risks. Such procedures

include examining, on a test basis, evidence regarding the amounts and disclosures in the consolidated

financial statements.

• Obtain an understanding of internal control relevant to the audit 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, no such opinion is expressed.

• Evaluate the appropriateness of accounting policies used and the reasonableness of significant accounting

estimates made by management, as well as evaluate the overall presentation of the consolidated financial

statements.

• Conclude whether, in our judgment, there are conditions or events, considered in the aggregate, that raise

substantial doubt about the University’s ability to continue as a going concern for a reasonable period of

time.

We are required to communicate with those charged with governance regarding, among other matters, the

planned scope and timing of the audit, significant audit findings, and certain internal control related matters that

we identified during the audit.

Other Reporting Required by Government Auditing Standards

In accordance with Government Auditing Standards, we have also issued our report dated December 15, 2023

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.

The purpose of that report is solely 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 the effectiveness of

the University’s 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

December 15, 2023

Consolidated Statements of Financial Position

As of August 31, 2023 and 2022

(in thousands of dollars) 2023 2022

Assets

Cash and cash equivalents $436,057 $372,337

Accounts receivable, net 305,141 275,580

Contributions receivable, net 179,323 206,677

Notes receivable, net 238,107 131,870

Investments 14,030,298 14,383,550

Right-of-use assets –operating, net 149,791 142,653

Land, buildings, and equipment, net 3,165,387 3,120,855

Total assets 18,504,104 18,633,522

Liabilities

Accounts payable and accrued liabilities 291,342 217,0 86

Deferred revenue 446,135 292,267

Deposits payable and actuarial liability of annuities payable 235,906 191,533

Lease liabilities–operating 156,474 149,019

Bonds, notes, and other debt payable, net 2,425,512 2,432,759

Total liabilities 3,555,369 3,282,664

Net assets

Without donor restrictions 9,109,534 9,413,091

With donor restrictions 5,839,201 5,937,767

Total net assets 14,948,735 15,350,858

Total liabilities and net assets $18,504,104 $18,633,522

See Notes to the Consolidated Financial Statements, beginning on page 11.

Consolidated Statements of Activities

For the ﬁscal years ended August 31, 2023 and 2022

Operating expenses

Salaries, wages, and beneﬁts 1,675,337 1,556,945

Services, supplies, maintenance, and other 1,059,170 895,136

Depreciation 209,913 204,358

Interest on indebtedness 93,640 90,737

Total operating expenses 3,038,060 2,747,176

Excess of operating revenues over expenses $8,590 $138,749

(in thousands of dollars) 2023 2022

Net assets without donor restrictions

Operating revenues

Net tuition and fees (net of aid, $586,372 in 2023 and $558,947 in 2022) $733,083 $740,877

Auxiliary services 115,638 108,327

Grants and contracts 885,512 828,525

Private gifts 291,509 270,909

Investment return designated for operations 481,107 436,784

Sales and services 230,298 217,826

Professional fees 50,965 53,960

Net assets released from restrictions 258,538 228,717

Total operating revenues 3,046,650 2,885,925

Consolidated Statements of Activities continued on next page.

See Notes to the Consolidated Financial Statements, beginning on page 11.

(in thousands of dollars) 2023 2022

Nonoperating revenues and expenses

Investment loss, reduced by operating distribution (322,154) (621,639)

Change in value of derivative instruments 2,591 8,269

Net assets reclassiﬁed 6,172 16,652

Other nonoperating revenue, net 1,244 7,288

Excess of nonoperating revenues over expenses

(312,147) (589,430)

Change in net assets without donor restrictions

(303,557) (450,681)

Net assets with donor restrictions

Private gifts with donor restrictions and grants for buildings and equipment 64,000 10,100

Private gifts with donor restrictions 152,405 115,091

Net gain on annuity obligation 2,353 3,034

Investment loss with donor restrictions (52,614) (143,645)

Net assets reclassiﬁed (6,172) (16,652)

Net assets released from restrictions (258,538) (228,717)

Change in net assets with donor restrictions

(98,566) (260,789)

Change in total net assets (402,123) (711,470)

Beginning net assets 15,350,858 16,062,328

Ending net assets $14,948,735 $15,350,858

Consolidated Statements of Activities (continued)

For the ﬁscal years ended August 31, 2023 and 2022

See Notes to the Consolidated Financial Statements, beginning on page 11.

Consolidated Statements of Cash Flows

For the ﬁscal years ended August 31, 2023 and 2022

(in thousands of dollars) 2023 2022

Cash ﬂows from operating activities

Change in net assets ($402,123) ($711,470)

Adjustments to reconcile change in net assets to net cash used in operating activities

Depreciation 209,913 204,358

Losses on disposals, retirements, and sales of buildings and equipment, net 13,128 4,574

Accretion of debt issuance costs, premiums, and discounts, net (587) (584)

Realized and unrealized (gains) losses on investments, net (25,030) 354,100

Gifts of contributed securities (24,987) (43,446)

Proceeds from sale of unrestricted contributed securities 13,264 19,950

Change in value of derivative instruments (2,591) (8,269)

Restricted contributions received for long-term investment and capital projects (212,064) (118,748)

Changes in assets and liabilities

Accounts receivable (29,095) (60,945)

Contributions receivable 18,038 29,584

Notes receivable (6,690) —

Reduction in the carrying amount of the right-of-use assets–operating (7,138) 16,553

Accounts payable and accrued liabilities 64,100 8,710

Deferred revenue 66,511 86,517

Deposits payable and actuarial liability of annuities payable 32,491 8,981

Lease liabilities–operating 7,455 (16,604)

Net cash used in operating activities (285,405) (226,739)

Cash ﬂows from investing activities

Purchases of investments (2,505,088) (2,623,339)

Proceeds from sales of investments 2,894,785 3,021,023

Acquisitions of land, buildings, and equipment (255,152) (146,871)

Proceeds from sale of land, buildings, or equipment 326 3,839

Student loans disbursed (36,141) (25,179)

Principal collected on student loans 25,220 30,035

Other (1,268) (615)

Net cash provided by investing activities 122,682 258,893

Increase in cash and cash equivalents 63,720 87,278

Cash and cash equivalents at beginning of year 372,337 285,059

Cash and cash equivalents and restricted cash at end of year $436,057 $372,337

Supplemental disclosure of cash ﬂow information

Change in accrued liabilities for construction in progress $12,659 $9,653

Cash paid for interest 93,640 91,343

Issuance of note receivable, net of discount for sale of stock $87,357 —

Cash ﬂows from ﬁnancing activities

Principal payments on notes, bonds, and other debt payable

(6,660) (104,790)

Proceeds from sale of restricted contributed securities

11,723 18,390

Restricted contributions received for long-term investment and capital projects

221,380 141,524

Net cash provided by ﬁnancing activities

226,443 55,124

See Notes to the Consolidated Financial Statements, beginning on page 11.

1. Summary of Signiﬁcant Accounting Policies

University Activities

Northwestern University (Northwestern or the

Univer sity) is a major private research university with

more than 23,000 students enrolled in 12 colleges and

schools on two lakefront campuses in Evanston and

Chicago and an international campus in Doha, Qatar.

Northwestern’s mission is to provide excellent

teaching, pursue innovative research, and promote the

personal and intellectual growth of its students in a

diverse academic community.

Basis of Accounting

General

The University maintains its accounts and prepares

its consolidated ﬁnancial statements on the accrual

basis of accounting in conformity with US generally

accepted accounting principles (GAAP). The Financial

Accounting Standards Board (FASB) Accounting Stan-

dards Codiﬁcation (ASC) is the source of authoritative

GAAP. The University prepares its consolidated ﬁnan

cial statements in accordance with the Not

-for-Proﬁt

Entities Topic of the FASB ASC. The accompanying con-

solidated ﬁnancial statements include all wholly owned

subsidiarie

s. All signiﬁcant inter

-entity transactions

and accounts have been eliminated in consolidation.

Net Asset Classiﬁcations

Net assets and related changes therein are classiﬁed

into two categories based on the existence or absence

of donor-imposed restrictions.

The category Net Assets without Donor Restrictions

describes funds that have no donor-imposed

restrictions. All revenues, expenses, gains, and losses

that are not restricted by donors are included in

this classiﬁcation. Certain net assets without donor

restrictions are institution-designated for speciﬁc

uses under the internal operating budget.

The category Net Assets with Donor Restrictions

describes funds subject to donor-imposed restrictions

that will be met either by actions of the University, the

passage of time, or may be perpetual in nature. These

net assets include gifts for which donor-imposed

restrictions have not been met in the year of receipt

(these may include future capital projects), as well as

trust activity and pledges receivable. Net assets with

perpetual restrictions consist of donor-restricted

endowment funds, contributions receivable for such

funds, and certain trusts. For further discussion of the

classiﬁcation of donor-restricted endowment funds

and disclosures about both donor-restricted and

institution-designated endowment funds, see notes 4

and 10, respectively.

Revenue from donor-restricted sources is reclassiﬁed

as an increase to net assets without donor restrictions

when the circumstances of the restrictions have been

fulﬁlled or the restrictions expire. Donor-restricted

contributions whose restrictions are met within the

same ﬁscal year in which they are received are reported

as revenue without donor restrictions. All expenses

are reported in net assets without donor restrictions.

Absent explicit donor stipulations indicating otherwise,

the University reports expiration of donor restrictions

on long-lived assets as net assets without donor restric

tions when the assets are placed in service.

Net assets as of August 31 are as follows:

Notes to the Consolidated Financial Statements

For the ﬁscal years ended August 31, 2023 and 2022

(in thousands of dollars) 2023

Nature of speciﬁc net assets

Without donor

restrictions

With donor

restrictions

Total

net assets

Teaching, research, and program support $3,102,111 $3,702,402 $6,804,513

Student ﬁnancial aid 802,970 1,091,299 1,894,269

Capital and operations 1,158,701 696,506 1,855,207

Endowment net assets subtotal

5,063,782 5,490,207 10,553,989

Pledges — 179,323 179,323

Unexpended gifts — 81,472 81,472

Annuity and other split-interest agreements — 53,044 53,044

Student loan funds 59,268 35,155 94,423

Operating and plant 3,986,484 — 3,986,484

Total $9,109,534 $5,839,201 $14,948,735

(in thousands of dollars) 2022

Nature of speciﬁc net assets

Without donor

restrictions

With donor

restrictions

Total

net assets

Teaching, research, and program support $3,188,523 $3,815,249 $7,003,772

Student ﬁnancial aid 838,033 1,121,571 1,959,604

Capital and operations 1,235,834 680,640 1,916,474

Endowment net assets subtotal

5,262,390 5,617,460 10,879,850

Pledges — 206,677 206,677

Unexpended gifts — 24,899 24,899

Annuity and other split-interest agreements — 54,917 54,917

Student loan funds 63,113 33,814 96,927

Operating and plant 4,087,588 — 4,087,588

Total $9,413,091 $5,937,767 $15,350,858

Operating Activities

Operating activities in the consolidated statements

of activities reﬂect all transactions increasing or

decreasing net assets without donor restrictions, and

excludes private gifts and grants for buildings and

equipment; restricted private gifts; investment return

net of operating distributions; gains (losses) from

annuity obligations and derivative instruments; and

certain other nonrecurring items.

Fair Value Measurements

The University makes fair value measurements and

related disclosures thereon as required by the Fair

Value Measurements and Disclosures Topic of the

FASB ASC. For further discussion, see note 4.

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

investments with original maturities of three months

or less. As of August 31, 2023, the University maintains

$83.09 million in cash balances that are subject to

restrictions on their use. These restrictions primarily

arise from speciﬁc donor agreements and can only be

utilized in accordance with the terms speciﬁed by the

donor. There were no signiﬁcant restricted cash bal-

ances as of August 31, 2022. Cash and cash equivalents

that are held for investment purposes are classiﬁed

as investments on the consolidated statements of

ﬁnancial position and excluded from cash and cash

equivalents on the consolidated statements of cash

ﬂows, as these funds are not used for operating needs.

For further discussion, see note 4.

Contributions

Contributions received, including unconditional

promises to give (contributions receivable), are recog-

nized by the University as revenues at their fair values

at the date of gift. Private gifts, including uncondi-

tional promises to give, are recognized as revenues

in the period received. Conditional promises to give

are not recognized until all barriers to entitlement of

the assets are overcome and the promisor’s rights of

return or release have elapsed.

Investments

Investments in 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, whereas

unobservable inputs reﬂect the entity’s own assump-

tions 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 following describes the fair value hierarchy

and the primary valuation methodologies used by the

University for assets and liabilities 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 observ-

able 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 terms of

the assets or liabilities. Inputs may be obtained from

various sources, including market participants, deal-

ers, 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.

An investment’s categorization within the valua-

tion hierarchy is based on the lowest level of input

signiﬁcant to the fair value measurement. The cat-

egorization 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. As a practical expedient as permit-

ted under GAAP, the reported net asset value (NAV)

of investments with external managers is used to

estimate their fair value. Such investments, for which

NAV is used as a practical expedient, are not catego-

rized in and are shown separately from the valuation

hierarchy. For further discussion, see note 4.

Equity securities with readily determinable fair

values 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 primarily classiﬁed as

Level 1 because the securities have observable market

inputs. Most ﬁxed income securities and debt securi-

ties are valued based on dealer-supplied valuations;

since these securities have signiﬁcant other observ-

able inputs, they are classiﬁed as Level 2.

The estimated fair values of equity securities

without readily determinable fair values and of other

generally less liquid investments are based on valu-

ation information received on the relevant entities

and may include last sale information or independent

appraisals of value. In addition, standard valuation

techniques, including discounted cash ﬂow models

or valuation multiples based on comparable invest-

ments, may be used. Because the fair values for these

assets are based predominantly on unobservable

inputs, they are classiﬁed as Level 3.

Investments in certain real assets and other invest-

ments are recorded at acquisition or construction

cost or, if received as a contribution, at fair value as of

donation date. The University periodically assesses

these assets for impairment by comparing their

expected future cash ﬂows with their carrying values.

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, 2023 and 2022. 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 appro-

priate and consistent with those of other market

participants, the use of different methodologies or

assumptions to determine the fair value of certain

investments 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 may enter into swap agreements to

hedge future interest rate movements. It may also

add various interest rate options to hedge the overall

portfolio and use interest rate swap agreements to

hedge variable interest rate exposures. 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

interest rate swaps 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 securi

ties, yield curves, credit curves, measures of volatility,

and pr

epayment ra

tes as well as correlations of such

inputs. Due to signiﬁcant other observable inputs,

interest rate swaps are classiﬁed as Level 2. For further

discussion, see note 4.

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. Accounts

receivable deemed to be uncollectible are written off

at that time.

Notes receivable are recorded at net realizable value

and are predominantly student loans with varying

maturities. Notes receivable deemed to be uncollect-

ible are written off.

Contributions Receivable

Contributions receivable that represent uncondi-

tional promises to give are recognized at fair value as

contributions with donor restrictions in the period

such promises are made by donors. The amount will

be recognized as revenue in the periods in which the

conditions are fulﬁlled. Contributions are discounted

at a risk-adjusted rate commensurate with the dura-

tion of the donor’s payment plan. Amortization of

the discounts is recorded as additional contribution

revenue. Allowance is made for uncollectible contribu-

tions based on management’s expectations regarding

collection of outstanding promises to give and past

collection experience. As of August 31, 2023 and 2022,

there were conditional promises to give totaling $598

million and $385 million, respectively. This gift, with

donor restrictions, is conditioned upon the comple-

tion of a new building.

Leases

The University has entered into a variety of operating

leases for real estate and ﬁnancing leases for ﬁxtures

and equipment. On the consolidated statements of

ﬁnancial position, operating leases as a lessee are

included in right-of-use assets—operating, net, and

lease liabilities—operating. Right-of-use assets repre-

sent the University’s right to use an underlying asset

for the lease term. Lease obligations represent the

University’s liability to make lease payments aris-

ing from the lease. The obligations associated with

these leases have been recognized at their respective

commencement dates as a liability in the consolidated

statements of ﬁnancial position based on future lease

payments, discounted by an appropriate incremen-

tal borrowing rate. The incremental borrowing rate

is based on the estimated interest rate for borrow-

ing over a term similar to that of the lease payments

available at the commencement of the lease. The

credit quality of the University and current prevailing

market conditions were factors used to determine the

incremental borrowing rate. Northwestern has elected

the practical expedient to account for lease and non-

lease components as one lease component.

Lease terms may include options to extend or termi-

nate certain leases. The value of a lease is reﬂected in

the valuation if it is reasonably certain management

will exercise an option to extend or terminate a lease.

Land, Buildings, and Equipment

Land, buildings, and equipment are recorded at cost

or, if received as gifts, at fair value at the date of gift.

Signiﬁcant renewals and replacements are capital-

ized. 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 equipment, which

are estimated to be 3 to 20 years; of buildings, build-

ing improvements, and land improvements, which

are estimated to be 10 to 40 years; and of leasehold

improvements, which are estimated to be the shorter

of the useful life or the lease term.

Charitable Remainder Trusts

Charitable remainder trusts are classiﬁed as net assets

with donor restrictions and recognized at fair value.

Annuities Payable

Annuities payable consist of annuity payments cur-

rently 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, automobile

liability, property damage, educators’ liability, cyber

liability, and certain employee and student insur-

ance coverages. This pro gram is supplemented with

commercial excess insurance above the University’s

self-insurance retention. The reserves for self-

insurance, postemployment beneﬁts, and post-

retirement medical and life insurance beneﬁts are

based on actuarial studies and management esti-

mates. See notes 11 and 13 for additional discussion.

Revenue Recognition

Revenues from tuition and fees are reﬂected net of

reductions from institutional student aid and are

recognized as the services are provided over the

academic year, including pro-rata adjustments for

educational programs crossing over ﬁscal years.

Institutional student aid includes amounts funded

by endowment earnings, gifts, and other sources and

reduces the published price of tuition for students

receiving such aid. Fiscal year 2024 noncancelable fall-

quarter tuition and fees, billed and received in ﬁscal

year 2023, are reported as deferred revenue in ﬁscal

year 2023. Fiscal year 2023 noncancelable fall-quarter

tuition and fees, billed and received in ﬁscal year 2022,

are reported as deferred revenue in ﬁscal year 2022.

(For further discussion of deferred revenues, see note

7.) Of the $733.1 million and $740.9 million in revenue

recognized for the years ended August 31, 2023 and

2022, respectively, $685.8 million and $699.3 million,

respectively, was from academic credit programs, and

$47.3 million and $41.6 million, respectively, was from

nonacademic credit programs.

Revenues from auxiliary services, such as resi-

dence 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. Of the

$115.6 million and $108.3 million in revenue recog-

nized for the years ended August 31, 2023 and 2022,

respectively, $108.1 million and $99.4 million, respec-

tively, was from room and board, while the remaining

revenue was from other miscellaneous residence and

food services.

Grants and contracts revenue is received from

federal and other sponsors. It may represent either

an exchange transaction for an equivalent beneﬁt

in return or a nonexchange transaction in which

the resources provided are for the beneﬁt of the

University, the funding organization’s mission, or

the public at large. Revenues from exchange transac-

tions are recognized as performance obligations are

satisﬁed, which in most cases are as related costs

are incurred. Revenues from nonexchange transac-

tions are recognized as revenue when qualifying

expenditures are incurred and applicable condi-

tions and restrictions under the agreements are met.

Conditional awards from federal sponsors outstand-

ing as of August 31, 2023 and 2022, were $693.7 million

and $715.2 million, respectively.

Sales and services revenues represent fees for

services and goods provided to external parties in

the course of educational activities, revenues from

the provision of physical plant services and goods

to external institutions contiguous to the University

campuses, and trademark and royalty revenues aris-

ing from licensing of innovative technologies, copy-

rights, and other intellectual property. These revenues

are recognized in the ﬁscal year in which goods and

services are provided.

Professional fees arise from faculty and department

services provided to external institutions such as

hospitals. Revenues are recognized in the ﬁscal year in

which the services are provided.

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 taxable income (UBTI),

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 2020

through 2022.

The University had no uncertain tax positions in

ﬁscal year 2023 or ﬁscal year 2022.

The University is subject to excise taxes on execu-

tive compensation, net investment income, and the

calculation of UBTI. For the years ended August 31,

2023 and 2022, the University is subject to the federal

excise tax of 1.4 percent.

Uses of Estimates in the Preparation

of the Consolidated Financial Statements

The preparation of the consolidated ﬁnancial state-

ments in conformity with GAAP requires manage-

ment 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.

Recent Accounting Pronouncements

In June 2016, the FASB issued ASU 2016-13, amending

guidance on impairment of ﬁnancial instruments,

including those held by the University. The University

is currently evaluating the standard, which will affect

certain ﬁnancial instruments such as student and

notes receivables. Certain ﬁnancial instruments such

as pledge receivables will not be impacted by the

standard. The effective date for adoption is ﬁscal year

2024.

2. Accounts Receivable and Notes Receivable

Accounts receivable as of August 31 are summarized on the consolidated statements of ﬁnancial position

as follows:

(in thousands of dollars) 2023 2022

Research and other sponsored programs support $166,531 $169,193

Student receivables 25,496 37,4 60

Other receivables 113,709 69,521

Accounts receivable subtotal 305,736 276,174

Less allowances for student uncollectible amounts (595) (594)

Total accounts receivable, net $305,141 $275,580

Notes receivable as of August 31 are summarized on the consolidated statements of ﬁnancial position

as follows:

(in thousands of dollars) 2023 2022

Notes receivable $240,699 $13 4,170

Less allowances for student uncollectible amounts (2,592) (2,300)

Total notes receivable, net $238,107 $131,870

There is one note receivable that makes up 38 percent of the total balance as of August 31, 2023.

3. Contributions Receivable

Contributions receivable as of August 31 are summarized on the consolidated statements of ﬁnancial

position as follows:

(in thousands of dollars) 2023 2022

Unconditional promises expected to be collected in

Less than one year $43,616 $48,825

One to ﬁve years 81,244 101,958

More than ﬁve years 80,218 85,416

Contributions receivable subtotal 205,078 236,199

Less unamortized discounts (24,562) (26,237)

Less allowances for uncollectible amounts (1,193) (3,285)

Total contributions receivable, net $179,323 $206,677

Contributions receivable are discounted at rates ranging from 0.28 to 4.23 percent. There are two unconditional

promises that make up 59 percent and 56 percent of the total contributions receivable balance as of August 31,

2023 and 2022, respectively.

4. Investments

The University’s investments are overseen by the

Investments Committee of the Board of Trustees.

Guided by the policies established by the Investment

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,

expendable funds with donor restrictions temporarily

invested, and commercial real estate.

Substantially all of these assets are merged into an

internally managed long-term investment pool on a

market value basis. Each holder of units in the invest-

ment pool subscribes to or disposes of units on the

basis of the market value per unit at the beginning of

each month.

Fair Value Disclosures

The following tables show the estimated fair value of investments, charitable trusts, and derivatives, grouped by

the valuation hierarchy as deﬁned in note 1, as of August 31:

(in thousands of dollars) 2023

Quoted prices in

active markets

(Level 1)

Signiﬁcant

other observable

inputs (Level 2)

Signiﬁcant

unobservable

inputs (Level 3)

NAV as Practical

Expedient (NAV)

Total

fair value

Cash and cash equivalents

(a)

$239,550 — — — $239,550

Public equity 256,292 — $156 $3,836,045 4,092,493

Private equity 36,007 $321 12,312 1,621,616 1,670,256

Fixed income 93,690 714,894 — — 808,584

Absolute return — — — 2,174,813 2,174,813

Venture capital — 417 3,758 2,871,162 2,875,337

Real assets 71,709 — 665 2,012,513 2,084,887

Other investments 47,308 301 25,698 — 73,307

Subtotal investment assets

at fair value

744,556 715,933 42,589 12,516,149 14, 019,227

(b)

(a)

This amount includes positions sold or redeemed pending settlement of $102,487 thousand as of August 31, 2023.

(b)

Investments held at cost totaling $22,624 thousand should be added to the subtotal investment assets at fair value,

and beneﬁcial interest in charitable remainder trusts totaling $11,533 thousand should be subtracted from the subtotal

investment assets at fair value to reconcile to total investment assets of $14,030,298 thousand as of August 31, 2023.

(in thousands of dollars) 2022

Quoted prices in

active markets

(Level 1)

Signiﬁcant

other observable

inputs (Level 2)

Signiﬁcant

unobservable

inputs (Level 3)

NAV as Practical

Expedient (NAV)

Total

fair value

Cash and cash equivalents $482,738 — — — $482,738

Public equity 372,126 — $147 $3,481,797 3,854,070

Private equity 38,685 $ 321 15,203 1,503,206 1,557,415

Fixed income 93,869 830,898 — — 924,767

Absolute return — — — 2,064,494 2,064,494

Venture capital 1,127 — 3,904 3,219,881 3,224,912

Real assets 67,174 15,350 665 2,101,351 2,184,540

Other investments 45,542 300 26,923 — 72,765

Subtotal investment assets

at fair value

1,101,261 846,869 46,842 12,370,729 14,365,701

(a)

Interest rate swaps — (2,591) — — (2,591)

Total $1,101,261 $844,278 $46,842 $12,370,729 $14,363,110

(a)

Investments held at cost totaling $28,935 thousand should be added to the subtotal investment assets at fair value,

and beneﬁcial interest in charitable remainder trusts totaling $11,086 thousand should be subtracted from the subtotal

investment assets at fair value to reconcile to total investment assets of $14,383,550 thousand as of August 31, 2022.

Investments reported as NAV as Practical Expedient Investments reported as NAV as Practical Expedient

consist primarily of the University’s ownership in consist primarily of the University’s ownership in

partnership investments (principally limited partner-partnership investments (principally limited partner-

ship interests in long-only equity and credit, hedge ship interests in long-only equity and credit, hedge

funds, private equity, real estate, and other similar funds, private equity, real estate, and other similar

funds). As a practical expedient, when quoted market funds). As a practical expedient, when quoted market

prices are not available, the estimated fair values of prices are not available, the estimated fair values of

these investments are generally based on reported these investments are generally based on reported

partners’ capital or NAV provided by the associated partners’ capital or NAV provided by the associated

external investment managers. In cases where the external investment managers. In cases where the

practical expedient threshold is not met, such as practical expedient threshold is not met, such as

an investment report not being in compliance with an investment report not being in compliance with

GAAP, or where a statement of partners’ capital is not GAAP, or where a statement of partners’ capital is not

provided, the investment is reported as Level 3. Since provided, the investment is reported as Level 3. Since

a range of possible values exists for these partnership a range of possible values exists for these partnership

investments, the estimated values may be materially investments, the estimated values may be materially

different from the values that would have been used different from the values that would have been used

had a ready market for these partnership investments had a ready market for these partnership investments

existed.existed.

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, 2023 and 2022:

(in thousands of dollars) 2022 2023

Fair value Purchases

Sales and

settlements

Realized and

unrealized gains

(losses)

Transfers

into and out

of Level 3 Fair value

Public equity $147 — — $9 — $156

Private equity 15,203 — — (2,891) — 12,312

Venture capital 3,904 $1,737 ($23) (1,860) — 3,758

Real assets 665 — — — — 665

Other investments 26,923 — — (1,225) — 25,698

Total investments $46,842 $1,737 ($23) ($5,967) — $42,589

(in thousands of dollars) 2021 2022

Fair value Purchases

Sales and

settlements

Realized and

unrealized gains

(losses)

Transfers

into and out

of Level 3 Fair value

Public equity $178 — — ($31) — $147

Private equity 10,203 $5,000 — — — 15,203

Venture capital 4,859 — ($1,250) 295 — 3,904

Real assets 665 — — — — 665

Other investments 29,765 — — (2,842) — 26,923

Total investments $45,670 $5,000 ($1,250) ($2,578) — $46,842

In ﬁscal years 2023 and 2022, there were no trans-

fers into or out of Level 3.

As of August 31, 2023 and 2022, investments

held at cost included real estate totaling $19.4 mil-

lion. Investments held at cost also included property

co-ownerships, mortgages, and other investments

totaling $3.2 million and $3.3 million as of August 31,

2023 and 2022, respectively.

The next table presents funding obligations and

redemption terms of investments by asset class.

The University is required under certain partner-

ship 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, 2023, the

University was committed to making future capital

contributions of $2.8 billion, primarily in the next ﬁve

years, as detailed in the table. Certain agreements also

contain notice periods, lock-ups, and gates that limit

the University’s ability to initiate redemptions.

(in thousands of dollars)

Fair value

Remaining

life

Uncalled

commitments Redemption terms Redemption restrictions

Public equity $4,092,493 No limit $47,052 Daily to greater than

annually, with 1- to

180-day notice periods

Lock-up provisions ranging

from none to 5 years; side

pockets on many funds; one

partnership not redeemable

Private equity $1,670,256 No limit to

12 years

$1,299,688 Partnerships ineligible for

redemption; equity securities

daily, with 1-day notice

Private partnerships not

redeemable; equity securities

have no lock-up provisions

Fixed income $808,584 No limit — Daily No lock-up provisions

Absolute

return

$2,174,813 No limit $232,432 Daily to greater than

annually, with 1- to

120-day notice periods;

private partnerships

ineligible for redemption

Lock-up provisions ranging

from none to 3 years;

side pockets on many

funds; three partnerships

not redeemable

Venture

capital

$2,875,337 No limit to

12 years

$495,610 Partnerships ineligible for

redemption; equity securities

daily, with 1-day notice

Private partnerships not

redeemable; equity securities

have no lock-up provisions

Real assets $2,084,887 No limit to

14 years

$702,693 Partnerships ineligible

for redemption; commodity

and equity funds weekly

to quarterly, with 1- to

60-day notice periods

Drawdown partnerships

not redeemable; no

restriction on equity funds

Cash and cash equivalents for investment purposes

include bank accounts holding cash and money mar-

ket funds consisting of short-term US Treasury securi-

ties. Cash equivalents are highly liquid and are carried

at amortized cost, which approximates fair value.

The University’s public equity categories include

investments in US equity, international equity, and

long-short equity strategies via separately managed

accounts, partnerships, and commingled funds. US

equity strategies include large-, mid-, and small-cap

public equities.

International equities include developed market

(ex–US public equities) and emerging market strate-

gies. Eleven investments in public equity may not be

redeemed over the next year.

Fixed income strategies include US government

securities, agency securities, inﬂation-linked bonds

(TIPS), corporate bonds, global bonds, and short-term

cash investments.

The absolute return portfolio is weighted toward

uncorrelated strategies, diversifying event-driven

or hedged tactical credit strategies, and distressed

debt funds. Two investments in this portfolio may

not be redeemed over the next year due to lock-up

provisions. As of August 31, 2023, the remaining

investments have either full or partial liquidity over

the next year, with the exception of those having side

pockets.

The private equity portfolio includes investments in

global buyout, including large cap, middle market, and

growth equity. Venture capital includes investments

in early stage and late stage fund vehicles. The real

assets portfolio includes the University’s investments

in energy, timber, real estate, and public investments

in certain commodity and equity funds.

Lives of the speciﬁc 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 Univer-

sity’s obligation to fund these commitments may be

waived by the fund managers for a variety of reasons,

including changes in the market environment and/or

investment strategy.

Investment Return

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. Gross investment income from spe-

ciﬁc investments held at cost totaled $17.7 million

for the ﬁscal years ended August 31, 2023 and 2022.

Investment expenses related to speciﬁc investments

held at cost totaled $6.3 million and $4.7 million

for the ﬁscal years ended August 31, 2023 and 2022,

respectively. All other investment returns are catego-

rized as non operating.

Certain direct expenses paid by the University for

investment management and custody services have

been netted against investment earnings.

Derivative Financial Instruments

The University has entered into hedging transactions

via interest rate swaps, and the interest rate swaps

have matured as of August 31, 2023.

The University continued its use of uncollateral-

ized variable-to-ﬁxed-rate interest rate swaps during

ﬁscal year 2023 and has maintained those positions

since ﬁscal year 2008. The University manages its

exposure to interest rate risk by using highly rated

counter parties and on a net basis had obligations

to counterparties as of August 31, 2023 and 2022,

as disclosed in the following tables. As a result, the

University has limited its interest rate risk associated

with $125 million in variable-rate debt (IFA–Series

2008 bonds).

The University regularly reviews the use of deriva-

tive ﬁnancial instruments by each of the managers of

alternative investment funds in which it participates.

While these outside managers generally use such

instruments for hedging purposes, derivative ﬁnan-

cial instruments are employed for trading purposes

by numerous independent asset managers of the

University.

There are no derivative ﬁnancial instruments held by the University as of August 31, 2023. The table below sum-

marizes the derivative ﬁnancial instruments held by the University as of August 31, 2022.

(in thousands of dollars) 2022

Notional

amount Assets Liabilities

Fiscal year

net gain

Interest

rate range

Maturity

date

Debt-related derivatives

Interest rate swaps $125,002 — ($2,591) $8,269 4.12–4.38% 08/31/23

Total derivative ﬁnancial instruments $125,002 — ($2,591) $8,269 4.12–4.38% 08/31/23

5. Land, Buildings, and Equipment

Land, buildings, and equipment as of August 31 consisted of the following:

(in thousands of dollars) 2023 2022

Land $29,986 $29,986

Construction-in-progress 166,716 75,399

Buildings and leasehold improvements 4,827,318 4,721,191

Equipment 774,878 746,311

Accumulated depreciation (2,633,511) (2,452,032)

Total land, buildings, and equipment, net $3,165,387 $3,120,855

Included in construction-in-progress costs are building and leasehold improvement capitalizations.

Building costs are funded by bonds, gifts (received or pledged), grants, and funds without donor restrictions.

Under the University’s interest capitalization policy, actual interest costs incurred during the period of con-

struction of an asset for University use are capitalized until that asset is substantially completed and ready for

use. The capitalized cost is reﬂected in the asset’s total cost and depreciated over the asset’s useful life. Assets

qualifying for interest capitalization may include buildings and major equipment.

6. Leases

University as Lessee

At August 31, 2023, the net operating right-of-use assets and corresponding operating lease liabilities associated

with future lease payments on the consolidated statements of ﬁnancial position were $149.8 million and $156.5

million, respectively. Other lease information is summarized below.

(in thousands of dollars) 2023 2022

Cash paid for amounts included in the measurement of lease liabilities:

Operating cash ﬂows from operating leases $28,267 $24,252

Right-of-use assets obtained in exchange for new operating lease liabilities 17,8 09 4,632

Weighted average remaining lease term 10 years 11 years

Weighted average discount rate 1.90% 1.52%

Lease Cost

The components of lease expense—included in services, supplies, maintenance, and other—for the ﬁscal years

ended August 31 are as shown in the following table:

(in thousands of dollars) 2023 2022

Operating lease expense $28,411 $24,648

Variable lease expense 733 494

Short-term lease expense 259 233

Less sublease income (3,465) (3,461)

Total lease expense $25,938 $21,914

Future Lease Payments

Shown below are the lease payments expected to be paid for each ﬁscal year ending August 31:

(in thousands of dollars)

2024 $24,393

2025 24,863

2026 22,961

2027 21,352

2028 17,179

2029 and thereafter 57,69 0

Total future lease payments 168,438

Less present value discount (11,964)

Lease liabilities—operating $156,474

University as Lessor

The University is entitled as lessor under its operating leases to receive rental income. Operating leases consist

primarily of leases for the use of real property and have terms expiring through ﬁscal year 2040. The future

minimum rental revenues associated with these leases through ﬁscal year 2040 are $35.6 million.

7. Deferred Revenue

Deferred revenue as of August 31 is summarized on the consolidated statements of ﬁnancial position as follows:

(in thousands of dollars) 2023 2022

Tuition and housing $166,191 $162,474

Sponsored contracts (exchange) 73,564 104,797

Conditional contributions and grants 189,204 12,773

Other deferred revenue 17,176 12,223

Total deferred revenue $446,135 $292,267

8. Deposits Payable and Actuarial Liability of Annuities Payable

Deposits payable and actuarial liability of annuities payable as of August 31 are summarized on the consolidated

statements of ﬁnancial position as follows:

(in thousands of dollars) 2023 2022

Agency deposits $208,353 $164,880

Actuarial liability of annuities 15,525 16,349

Student tuition and room and board 7,381 8,468

Other deposits payable 4,647 1,836

Total deposits payable and actuarial liability of annuities payable $235,906 $191,533

9. Bonds, Notes, and Other Debt Payable

Bonds, notes, and other debt payable as of August 31 are summarized on the consolidated statements of ﬁnancial

position as follows:

(in thousands of dollars)

Interest rate

mode

Fiscal year

maturity

Interest

rate

(a)

2023 2022

Illinois Finance Authority (IFA)–Series 2004 Variable 2035 4.13% $135,800 $135,800

IFA–Series 2008 Variable 2047 3.93% 125,000 125,000

Taxable–Series 2012 Fixed 2040–2048 4.20% 200,000 200,000

Taxable–Series 2013 Fixed 2034–2045 4.64% 5 47,915 547,915

Taxable–Series 2015 Fixed 2035–2049 3.80% 500,000 500,000

IFA–Series 2015 Fixed 2023–2029 2.99% 121,885 128,545

Taxable–Series 2017 Fixed 2048–2058 3.71% 500,000 500,000

Taxable–Series 2020 Fixed 2050–2051 2.64% 300,000 300,000

Commercial paper ($300,000 available) Variable NA NA — —

Bonds, notes, and other debt payable subtotal 2,430,600 2,437,260

Unamortized issuance costs, premiums,

and discounts, net

(5,088) (4,501)

Total bonds, notes, and other debt payable, ne t $2,425,512 $2,432,759

(a)

Weighted average interest rate at August 31, 2023

Total obligations including bonds, notes, and other

debt payable at August 31, 2023, are scheduled to

mature through August 31 of each period as noted in

the table below. The schedule has been prepared based

on the contractual maturities of the debt outstand-

ing at August 31, 2023. Accordingly, if remarketings of

variable-rate debt offerings fail in future periods,

debt repayments may become more accelerated

than presented here. The potential failed remarket-

ings coincide with the interest rate reset dates and

amounts noted above.

(in thousands of dollars)

2024 $7,710

2025 10,240

2026 10,750

2027 29,840

2028 31,130

2029 and thereafter 2,340,930

Total $2,430,600

10. Endowments

Donor-restricted endowment funds are subject to

Illinois’s enacted version of the Uniform Prudent

Management of Institutional Funds Act (UPMIFA).

The University interprets UPMIFA as requiring that

the fair value of the original donor-restricted endow-

ment gift be preserved as of the gift date unless

there are explicit donor stipulations to the contrary.

Therefore, the University classiﬁes the following as

part of net assets with donor restrictions: the original

value of gifts donated to the permanent endowment,

the original value of subsequent gifts, and accumula-

tions to the permanent endowment made in accor-

dance 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 is classiﬁed as net assets with donor restrictions

until those amounts are 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 whether to appropriate or accumulate

donor-restricted endowment funds:

• The duration and preservation of the

endowment fund

• The purposes of the institution and of the

endowment fund

• General economic conditions

• Possible effects of inﬂation or deﬂation

• 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 3,100

individual donor-restricted endowment funds and

about 1,000 funds it designates to function as endow-

ments. 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 restric-

tions. Institution-designated endowment funds

include quasi-endowments 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.

The following tables present the endowment net asset composition by type of fund at fair value as of

August 31:

With donor restrictions

(in thousands of dollars) 2023

Without donor

restrictions

Funds held in

perpetuity

Accumulated

gains (losses) Total Total funds

Institution-designated endowment funds $5,063,782 — — — $5,063,782

With donor restrictions

Underwater funds

$248,081 ($12,279) $235,802 235,802

All other funds

1,971,288 3,283,117 5,254,405 5,254,405

Endowment net assets, end of year $5,063,782 $2,219,369 $3,270,838 $5,490,207 $10,553,989

With donor restrictions

(in thousands of dollars) 2022

Without donor

restrictions

Funds held in

perpetuity

Accumulated

gains (losses) Total Total funds

Institution-designated endowment funds $5,262,391 — — — $5,262,391

With donor restrictions

Underwater funds

$96,539 ($4,574) $91,965 91,965

All other funds

1,962,766 3,562,729 5,525,495 5,525,495

Endowment net assets, end of year $5,262,391 $2,059,304 $3,558,155 $5,617,460 $10,879,850

Underwater Endowment Funds

The University monitors endowment funds to identify

those for which historical cost was more than fair

value. Associated unrealized losses of $12.3 mil-

lion and $4.6 million as of August 31, 2023 and 2022,

respectively, are recorded in the net assets with donor

restrictions classiﬁcation; subsequent gains increase

net assets with donor restrictions.

Investment and Spending Policies

The University’s endowment is primarily invested

in the Long-Term Balanced Pool. The Investments

Committee of the Board of Trustees annually reviews

the 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 empha-

sizes the need for a long-term perspective in formulat-

ing 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

5.1 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 deter-

mining the total. The spending element is an amount

equal to the current ﬁscal year’s spending amount

increased by 1.0 percent plus the actual rate of inﬂa-

tion. 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 bal-

ance is reinvested in the Long-Term Balanced Pool on

behalf of the unit holders.

The University’s policy is to reinvest the current

income of all other investment pools.

(in thousands of dollars) 2022

Without donor

restrictions

With donor

restrictions Total

Endowment net assets, beginning of year $5,562,129 $5,799,053 $11,361,182

Interest and dividends, net of expenses (28,802) (27,062) (55,864)

Net appreciation, realized and unrealized (116,426) (109,390) (225,816)

Total investment loss (145,228) (136,452) (281,680)

Contributions — 130,194 130,194

Appropriation of endowment assets for expenditure (190,612) (204,791) (395,403)

Other changes

Transfers to create institutional funds 56,659 — 56,659

Transfers of institutional funds per donor requirement — 32,375 32,375

Spending of institution-designated endowment fund (14,729) — (14,729)

Other reclassiﬁcations (5,829) (2,919)

(8,748)

Endowment net assets, end of year $5,262,390 $5,617,460 $10,879,850

Changes in Endowment Net Assets

The following tables represent changes in endowment net assets for the ﬁscal years ended August 31:

(in thousands of dollars) 2023

Without donor

restrictions

With donor

restrictions Total

Endowment net assets, beginning of year

$5,262,390

$5,617,460 $10,879,850

Interest and dividends, net of expenses (27,819) (29,626) (57,445)

Net depreciation, realized and unrealized (28,048) (29,869) (57,917)

Total investment loss (55,867) (59,495) (115,362)

Contributions — 150,206 150,206

Appropriation of endowment assets for expenditure (209,799) (229,848) (439,647)

Other changes

Transfers to create institutional funds 83,009

—

83,009

Transfers of institutional funds per donor requirement

—

18,056 18,056

Spending of institution-designated endowment fund (22,123) — (22,123)

Other reclassiﬁcations 6,172 (6,172)

Endowment net assets, end of year 5,063,782 5,490,207 10,553,989

11. Postretirement and Postemployment Beneﬁt 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 certain mutual

funds offered by Fidelity Investments. Participating

employee and University contributions are immedi-

ately vested. The University contributed $91.1 million

and $85.5 million to the two plans in 2023 and 2022,

respectively.

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 aver-

age 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 reimburse-

ment plans and may receive a payment for sick days

accumulated at retirement. Certain postemployment

beneﬁt plans are also sponsored.

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 post-

employment beneﬁt programs and the accumulated

postretirement beneﬁt obligation (APBO) for post-

retirement beneﬁt programs, such as a retiree health-

care plan. In the consolidated statements 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 obliga-

tions as of the date of its ﬁscal year end and makes

speciﬁed disclosures for the upcoming ﬁscal year.

The accrued cost for post employment beneﬁts was

$8.9 million and $7.8 million at August 31, 2023 and

2022, respectively, and is included in accounts payable

and accrued liabilities on the consolidated statements

of ﬁnancial position.

The University funds the plan on a pay-as-you-go

basis. The following table sets forth key amounts for

the postretirement plan for the ﬁscal years ended

August 31:

(in thousands of dollars) 2023 2022

Beneﬁt obligation $14,618 $16,396

Beneﬁts paid 3,024 3,127

Employer contributions 1,978 2,068

Contributions from participants 1,046 1,059

Net periodic postretirement beneﬁt cost 1,462 2,065

Fair value of plan assets — —

Service costs included in net periodic post-

retirement beneﬁt cost shown above were $743 thou-

sand and $1.1 million as of August 31, 2023 and 2022,

respectively.

The changes in other than periodic beneﬁt cost

included in net assets without donor restrictions on

the consolidated statements of activities totaled net

gains of $1.2 million and $33 thousand as of August 31,

2023 and 2022, respectively, for an increase of $1.2 mil-

lion due to net gains during the ﬁscal year.

The APBO was $14.6 million and $16.4 million at

August 31, 2023 and 2022, respectively, and is included

in accounts payable and accrued liabilities on the

consolidated statements of ﬁnancial position.

The following tables present key actuarial assump-

tions used in determining APBO as of August 31, 2023

and 2022. For both ﬁscal years 2023 and 2022, the

ultimate healthcare cost trend rate was 5 percent, and

the year when the trend rate will reach the ultimate

trend rate was 2032.

Additional assumptions used to determine beneﬁt obligations for the ﬁscal years ended August 31 were

as follows:

2023 2022

Weighted average settlement (discount) rate 5.0% 4.3%

Weighted average rate of increase in future compensation levels 3.0% 3.0%

Healthcare cost trend rate 7.5% 7.0%

The assumptions used to determine net periodic beneﬁt cost for the ﬁscal years ended August 31:

2023 2022

Discount rate 4.3% 2.3%

Weighted average rate of increase in future compensation levels 3.0% 2.5%

Healthcare cost trend rate 7.0% 5.0%

Estimated future beneﬁt payments reﬂecting

anticipated service, as appropriate, are expected

to be paid as shown below for the ﬁscal years

ended August 31:

(in thousands of dollars)

2024 $931

2025 872

2026 933

2027 1,010

2028 1,067

2029–2033 5,899

Total $10,712

The University offers a deferred compensation

plan under Internal Revenue Code 457(b) to a select

group of management and highly compensated

employees. The University does not contribute

this deferred compensation plan. The University

has

recorded both an asset and a liability related to

the deferred compensation plan that totaled $129.5

million and $117.7 million as of August 31, 2023 and

2022, respectively; these are included in investments

and deposits payable and actuarial liability of

annuities payable on the consolidated statements of

ﬁnancial position.

12. Related Parties

Members of the University’s Board of Trustees, senior

management, and faculty may on occasion be associ-

ated 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 invest-

ment management, common membership in invest-

ment partnerships or other investment vehicles, and

the purchase of goods or services.

The University maintains several clinical and educa-

tion afﬁliation agreements with other organizations.

Revenues and expenses from these agreements are

accounted for in the operating activities section of

the consolidated statement of activities. The most sig-

niﬁcant agreements are with Northwestern Medical

Group (NMG) and Northwestern Memorial Healthcare

Corporation (NMHC). NMG is a not-for-proﬁt, multi-

specialty physician organization committed to pro-

viding clinical care to patients and to supporting the

research and academic endeavors of Northwestern’s

Feinberg School of Medicine (Feinberg). NMG is gov-

erned by a board of directors, and its physicians are

full-time faculty members or researchers at Feinberg.

It is a subsidiary of NMHC, the not-for-proﬁt parent

corporation of Northwestern Memorial Hospital

(NMH), which is the primary teaching hospital of

Feinberg. Under terms of agreements effective in ﬁscal

year 2014 between the University, NMG, and NMHC,

the University receives recurring contributions from

NMHC to support the Feinberg research and educa-

tion programs, basic and applied biomedical research

facilities and programs, and research and educational

support services.

13. Self-Insurance Reserves and Other

Contingencies

Reserves for losses under the University’s self-

insurance program, aggregating $21.2 million and

$14.9 million at August 31, 2023 and 2022, respectively,

include reserves for probable known losses and for

losses incurred but not yet reported. The reserves are

presented on a discounted basis. The discount rate

was 6.55 percent in ﬁscal years 2023 and 2022. Self-

insurance reserves are based on estimates of histori-

cal 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

liabilities on the consolidated statements of ﬁnancial

position.

From time to time, various claims and suits gener-

ally incidental to the conduct of normal business are

pending or may arise against the University. It is the

opinion of management of the University, after taking

into account insurance coverage, that adequate provi-

sion has been made and 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 govern-

ment agencies. While any ultimate liability from

audits of government grants and contracts by gov-

ernment agencies cannot be determined at present,

management believes that it should not have a mate-

rial effect on the University’s consolidated ﬁnancial

position or results of operations.

14. Grants and Contracts

Grants and contracts for the ﬁscal years ended August 31 are summarized on the consolidated statements

of activities as follows:

(in thousands of dollars) 2023 2022

Federal grants $682,779 $653,671

Private grants and contracts 195,020 169,621

State grants 7,713 5,233

Total grants and contracts $885,512 $828,525

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.

15. Liquidity and Availability

Financial assets and resources available within one year of August 31 for general expenditure are as follows:

(in thousands of dollars) 2023 2022

Financial assets

Cash and cash equivalents $352,965 $372,337

Accounts receivable, net 293,608 264,493

Notes receivable 25,220 28,570

Contributions receivable 29,618 24,096

Endowment payout made available for operations 744,500 666,000

Financial assets available within one year 1,44 5,911 1,355,496

Liquidity resources

Commercial paper 300,000 300,000

Bank lines of credit 625,000 625,000

Total ﬁnancial assets and liquidity resources available

within one year for general expenditure

$2,370,911 $2,280,496

The University manages liquidity by structuring

its ﬁnancial assets to be available as its operating

expenses, liabilities, and other obligations come due.

Working capital funds, which are generated through

the temporary differences between operating receipts

and disbursements, are held in a variety of money

market instruments or are invested in the Long-Term

Balanced Pool. The income from investing them is

used for general operating purposes.

In addition, the University may place commercial

paper under a $300 million Taxable Commercial

Paper Note. Under this agreement, no outstanding

borrowings existed as of August 31, 2023 and 2022.

The University also may draw $625 million in standby

lines of credit to supplement working capital require-

ments. Under this agreement, no outstanding borrow-

ings existed as of August 31, 2023 and 2022.

Lastly, the University holds institution-designated

endowments of $5,064 million and $5,262 million as

of August 31, 2023 and 2022, respectively. Although

the University does not intend to spend from its

institution-designated endowment funds—other

than amounts appropriated for spending through its

annual budget approval and appropriation process—

amounts from its institution-designated endowment

could be made available if necessary, subject to liquid-

ity of the underlying investments.

16. 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 depreciation, interest on indebtedness, and

certain other expenses related to operation and maintenance of plant to other functional categories based on the

functional use of space on the University’s campuses.

(in thousands of dollars) 2023

Academic Research Support Total

Salaries, wages, and beneﬁts $1,026,265 $349,926 $299,146 $1,675,337

Services, supplies, maintenance, and other 687,930 244,538 126,702 1,059,170

Depreciation 153,100 42,406 14,407 209,913

Interest on indebtedness 68,296 18,917 6,427 93,640

Total $1,935,591 $655,787 $446,682 $3,038,060

(in thousands of dollars) 2022

Academic Research Support Total

Salaries, wages, and beneﬁts $953,253 $329,092 $274,600 $1,556,945

Services, supplies, maintenance, and other 621,709 220,951 52,476 895,136

Depreciation 138,941 48,837 16,580 204,358

Interest on indebtedness 61,692 21,683 7,362 90,737

Total $1,775,595 $620,563 $351,018 $2,747,176

17. Subsequent Events

The University has evaluated subsequent events in accordance with the FASB ASC Subsequent Event Topic

through December 15, 2023, the date when the consolidated ﬁnancial statements were issued. The University did

not identify any events to be disclosed.

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Research and Development:

Department of Agriculture (USDA):

Developing Mathematical Models for the Formation of New Collaborations at Conferences 166 10.001 27675//58-3022-0-005 $ 111,860 —

Increasing Production Capacity, Metabolomic Understanding, and Knowledge of Cancer Survivor Consumer Attitudes of Maple-Based Products for Health Promotion 10.174 AM22ACERIL1017-00 84,144 50,000

The Effect of the Opioid Crisis on the Farm Sector: Implications from the Rural Economy 233 10.310 SUB00001814//2019-67023-29347 2,716 —

National Institute of Food and Agriculture:

The Family Check-Up 4 Health: A Family-Centered Health Maintenance Approach to Improve Nutrition and Prevent Obesity in Early Childhood 19 10.310 ASUB22-03//2018-68001-27550 40,219 —

A defensible, next generation approach to quantifying and characterizing land use change 10.312 2018-10008-28530 — —

A defensible, next generation approach to quantifying and characterizing land use change 10.312 2018-10008-28530 79,356 79,356

119,575 79,356

Total Department of Agriculture 318,295 129,356

Department of Commerce:

National Oceanic and Atmospheric Administration:

Using Habitat Suitability Modeling to Determine the Vulnerability of Rare Illinois Plant Species to Climate Change 161 11.417 F0008309702069//NA18OAR4170082 5,685 —

Illinois Indiana Sea Grant 161 11.417 F0008309702095//NA22OAR4170100 7,380 —

Evaluating the Social and Ecological Aspects of Lawn Replacement 161 11.417 F0008309702121//NA22OAR4170100 573 —

13,638 —

National Institute of Standards and Technology:

Development of Levitated, Macroscopically Delocalized Atom Interferometers for a New Measurement of Newton’s Constant G 11.609 60NANB19D168 AMD 2 11,142 —

Advanced Materials Center for Excellence: Center for Hierarchical Materials Design (CHiMaD) 11.609 70NANB19H005 Amnd 4 4,510,292 1,495,214

4,521,434 1,495,214

Total Department of Commerce 4,535,072 1,495,214

Department of Defense:

"Rational design and implementation of novel polymer adsorbents for selective uptake of per-and polyfluoroalkyl substances from groundwater" 56 12.RD 82296-11070 AMD 2//W312HQ18C052 253 —

Air Force Office of Scientific Research:

Foreign Military Training: Building Effective Armed Forces in W eak States 12.630 FA9550-20-1-0277 P00003 105,966 —

Development of a Targeted Intravascular Therapy to Stop Non-Compressible Torso Hemorrhage Human Fix a Flat 227 12.800 013840-00002 AMD 1//FA8650-21-2-6K01 293,999 —

MURI: Unraveling the Biology, Chemistry and Nanoscience of Natural and Synthetic Melanins 222 12.800 104170196 005//FA9550-18-1-0142// P00005 293,139 —

Stochastic Self-Consistent Clustering Theory for Composite Performance Prediction: from extreme value microstructure attributes to design of interphase for toughness 66 12.800 313-0866-05//FA9550-18-1-0381 6,518 —

Scientific Autonomous Reasoning Agent (SARA) integrating Materials Theory, Experiment and Computation 56 12.800 80776-11044//FA9550-18-1-0136 76,525 —

Hybrid biomolecular synapses for multifunctional sensing and neuromorphic computing at the edge of biology 264 12.800 A23-0483-S001//FA9550-22-1-0426 191,316 —

Hierarchical Assembly of Spider Silk Proteins: Exploring Structural Biology of Biomaterials from the Atomic to the Mesoscale 178 12.800 D8771-03 SA752 A2 5A157A 7802 // FA9550-20-1-0103 70,376 —

Engineering bacterial transcription factors to sense human performance biomarkers 12.800 FA2386-21-1-4078 33,229 —

PECASE: Multi-dimensional Vibrational-Electronic Spectroscopy to Probe Electronic-to-Vibrational Energy Transfer in Hybrid Nanomaterials 12.800 FA9550-16-1-0379-P00004 21,445 —

Reconfigurable Matter from Programmable Atom Equivalents 12.800 FA9550-17-1-0348-P00004 (29,791) —

Molecular Ion Quantum Control 12.800 FA9550-17-1-0352-P00004 32,410 —

Rotation, Shift and Scale Invariant Ultrafast Automatic Image Recognition Using an Opto-Electronic Correlator 12.800 FA9550-18-1-0359-P00003 142,844 —

Investigation of Experimental and Theoretical Challenges for Developing Superluminal Sensors 12.800 FA9550-18-1-0401 P00003 24,538 —

A Biophysical Approach to Uncover the Role of Cell Membrane Mechanics in Sensing Mechanical Force 12.800 FA9550-19-1-0039 P00004 4,763 —

Low-dimensional materials for high-efficiency/high-power nonlinear optical applications at infrared 12.800 FA9550-19-1-0243-P00001 (3,484) —

Fundamental Dynamics, Predictability, and Uncertainty of Scientific Discovery & Advance 12.800 FA9550-19-1-0354 P00006 1,292,546 379,450

Fundamental Study of p-Type Doping in MOCVD-Grown Ga2O3 12.800 FA9550-19-1-0410 94,871

—

Reasoning for Social Autonomous Agents 12.800 FA9550-20-1-0091 P0003 487,043 —

Phonon Propagation in Biological Structures and Implications on Phononic Tunability of Synthetic Materials 12.800 FA9550-20-1-0258 P00002 81,128 —

Expanding functionality and enhancing documentation of scQubits, an open-source Python package for superconducting qubits 12.800 FA9550-20-1-0271 13,986 —

Manipulation of Intra-Manifold Excitonic Energy Redistribution in Colloidal Semiconductor Nanoplatelets: Toward High-Temperature Quantum Emitters 12.800 FA9550-20-1-0364 P00003 95,653 —

Determining the Absolute Molecular W eights of Pi-Conjugated Polymers for Mechanically Flexible and Stretchable Electronics 12.800 FA9550-22-1-0158 145,539 —

Robotic Architected Materials with Distributed Sensorimotor Capabilities via Free-form Electrochemical Composites 12.800 FA9550-22-1-0218 175,901 —

Stabilization of Silica Bubbles in Ultra High Temperature Ceramic Nanocomposites 12.800 FA9550-22-1-0221 P00001 143,004 —

Closed and Open Architecture Colloidal Crystals with Properties by Design 12.800 FA9550-22-1-0300 868,587 —

Photocontrolled synthesis of pi-conjugated polymers 12.800 FA9550-22-1-0421-P00001 159,141 —

Soft Hybrid Materials for Flexible, Stretchable, Patternable Electronics 12.800 FA9550-22-1-0423-P00001 96,786 —

SEM Acquisition for Structural and Mechanical Characterization of Bio-, Meta- and Low Dimensional Materials 12.800 FA9550-22-1-0474 101,561 —

Low-Temperature, High-Magnetic Field Photonic Measurement System for Magneto-Photonics Research 12.800 FA9550-22-1-0512 158,020 —

Discovery and Exploration of Quantum Nitrides 224 12.800 KK2340//FA9550-23-1-0042 123,038 —

Machine Learning for Physics-based Systems: Optimal Approximations, Architectures, and Training 267 12.800 UTA20-001225//FA9550-21-1-0084 227,280 —

5,527,877 379,450

Air Force Research Laboratory:

AFRL RESCU Cloud: Secure and Verifiable SQL for the Zero-Trust Cloud 12.800 FA8750-22-2-0156-P00006;P00007 219,407 —

Optimization of Ink-Printed, 2D-Materials for Selective, W earable, Environmental Sensors 209 12.800 S-193-001-001//NB18-21-19//FA86501825402 146,101 —

Searching for what’s new: the systematic development of dynamic x-ray microscopy 125 12.800 s6091 PO # 943367//FA9550-23-1-0284 1,243 —

366,751 —

VeriGOOD-ML: Verilog Generator (Open-source), Optimized for Designs for Machine Learning 250 12.910 A008043202//FA8650-20-2-7009 Amd No. 4 111,846 —

Normalizing Timing of Rhythms Across Internal Networks of Circadian Clocks (NTRAIN) 12.910 FA8650-21-2-7119 P00008 6,374,226 3,947,798

6,486,072 3,947,798

Army:

Beta-Blockers for the Prevention of Acute Exacerbations of COPD 214 12.420 000507860-SC008-A08//W81XWH-15-1-0705 3,439 —

A pilot clinical trial to assess the effect of transfemoral socket design on hip muscle function 236 12.420 17748//W81XWH1910507 3,386 —

CRISPR-Cas9 Gene Therapy for ALS Enhanced by TJ-Targeted Barrier Modulation 268 12.420 2008590//W81XWH2110219 AMD 2 60,355 —

Targeting Balance Confidence as a Strategy to Increase Integration and Improve Outcomes in Users of Lower-limb Prostheses 174 12.420 322801NWU//W81XWH-17-1-0697 (1) —

Fieldable Ultrasound Treatment to Enhance Inflammatory-Proliferative Phase Transition and Reduce W ound Healing Time.

80 12.420 401171213//W81XWH-15-9-0001 413,588 —

Optimizing Prosthetic Shock Absorption for High Demand Mobility of Service Members with Leg Amputation 251 12.420 45-1014-1000-202//W81XWH2120007 41,175 27,707

(Continued)28

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Improving Diagnosis and Clinical Management of Familial Hypercholesterolemia Through Integrated Machine Learning, Implementation Science, and Behavioral Economics 258 12.420 582840//W81XWH-21-1-0421 $ 36,331 —

Personalized Mobility Interventions Using Smart Sensor Resources for Lower-Limb Prosthesis Users 165 12.420 7197 cc82196amd//W81XWH1820057 950 —

Personalized Mobility Interventions using Smart Sensor Resources for Lower-limb Prostheses Users 165 12.420 82196.NU.Y101//W81XWH1820057 73,370 —

Targeting Ovarian Cancer Stem Cells Interactions with the Niche 103 12.420 8260-NW//W81XWH-19-1-0008 17,504 —

Blood-Based DNA Methylation Biomarkers of Acquired Platinum Resistance in W omen with Ovarian Cancer 103 12.420 8904//W81XWH-21-1-0281 47,969 —

Electrical Stimulation to Accelerate Nerve Regeneration 150 12.420 GR121986/SPC-1000004983 Amnd 2//W81XWH1920065 83,983 —

Role of Subtype-Specific Essential Factor Networks in Small Cell Lung Cancer 12.420 HT9425-23-1-0360 45,500 —

Integrative analysis of exitrons in metastatic prostate cancer 250 12.420 P007461501 Amendment 1//W81XWH1910161 223,385 —

Restoration of the Functional Aesthetic Craniofacial Envelope and Extremities 131 12.420 S3-W81XWH-19-2-0038//W81XWH1920038 (362) —

Assessing Rehabilitation Outcomes after Severe Neuromusculoskeletal Injury: Development of Patient Reported Outcomes Assessment Instruments 232 12.420 UDR0000202//W81XWH-17-1-0335 100,719 —

Targeted reinnervation as a means to treat neuromas associated with major limb amputation 12.420 W81XWH-13-2-0100 (1,484) (1,484)

Targeting EZH2 in castration-resistant prostate cancer 12.420 W81XWH-17-1-0405 882 —

Targeting EZH2 in castration-resistant prostate cancer 12.420 W81XWH-17-1-0406 P00003 (27) —

D-Cycloserine for the Treatment of Chronic, Refractory Low Back Pain 12.420 W81XWH-17-1-0426 1,169,618 —

Role of C10orfl12 in Prostate Cancer 12.420 W81XWH-17-1-0578 3,043 —

A novel serum and tissue immunoglycomic biomarker panel to distinguish progressive Prostate Cancer 12.420 W81XWH-17-1-0642-P00001 5,470 —

Testing of Novel Pro-Survival Strategies in the Setting of Prolonged Damage Control Resuscitation 12.420 W81XWH-17-1-0701 590,034 —

Assessing high affinity anti-latent TGFbeta binding protein-4 antibodies in combination with steroid treatment for DMD 12.420 W81XWH1810244 32,071 —

TOWARDS CHIMERIC ANTIGEN RECEPTOR TRANSGENIC T CELL THERAPY FOR TUBEROUS SCLEROSIS COMPLEX 12.420 W81XWH1810479-P00002 6,173 —

Uncovering the circulating factor in FSGS 12.420 W81XWH1810748 52,733 43,261

Stem Cell Regeneration of Human Spiral Ganglion Neurons toward Hearing Restoration 12.420 W81XWH1810752 P00002 56,506 42,242

Understanding and Supporting Public Information Needs about VCA Donation 12.420 W81XWH1810780 14,952 —

Immune control of triple negative breast cancer by W EE1 inhibition 12.420 W81XWH1910106 (280) —

Restoring pancreatic endocrine function via autologous islet transplantation to the omentum 12.420 W81XWH1910230 117,058 —

Optimal Selection of Prosthetic Knee and Foot Combination for Improving W alking and Standing Performance in Transfemoral Prosthesis Users 12.420 W81XWH1910447 254,093

57,208

Investigation of the Tumor Microenvironment as a Protective Niche that Supports Treatment Resistance of Bladder Cancer 12.420 W81XWH1910477-P00001 (933) —

The role of A-to-I RNA editing in advanced prostate cancer 12.420 W81XWH1910563 76,669 —

T cell Trafficking Into the Cold Tumor Immune Microenvironment 12.420 W81XWH1910582 P00001 138,998 —

Modulating the Cochlear Proteostasis Network to Prevent Hidden Hearing Loss 12.420 W81XWH1910627 6,592 —

Comparative Effectiveness of Socket Casting Methods: Improving Form and Fit 12.420 W81XWH1910835-P000022 590,320 426,089

Ethical Factors Impacting Patients’ Decisions to Pursue VCA 12.420 W81XWH1920033 101,029 —

Targeting CysLTR1 in triple negative breast cancer 12.420 W81XWH-20-1-0024 364,319 —

Uncovering New Therapeutics and Neuroprotective Mechanisms for TBI 12.420 W81XWH2010211 199,200 —

Towards a Self-Administered Hearing Protection Regimen 12.420 W81XWH2010484 511,404 —

The role of BMI1-associated lncRNAs in advanced prostate cancer 12.420 W81XWH2010504 168,451 —

Improving Acceptability and Outcomes for Upper Extremity Transplantation in Service Members and Veterans 12.420 W81XWH2010507 59,091 —

Determinants of basal forebrain cholinergic neuron vulnerability in Parkinson’s disease and Lewy body dementia 12.420 W81XWH2010667 442,282 —

Glycoprotein sialylation of CTC clusters in breast cancer metastasis 12.420 W81XWH2010679 297,276 —

EHR-based LongItudinal Cohort to Explore Pregnancy OuTComes in SLE (ELIPTCL) 12.420 W81XWH2010692 P00001 141,545 8,431

The regulatory axis of lncRNA PRCAT71-AR in advanced prostate cancer 12.420 W81XWH2110146 232,354 —

Suppression of TDP-43 Proteinopathy in Mice by Targeting rad-23 12.420 W81XWH-21-1-0236 232,667 —

Targeting Cholesterol Metabolism in Platinum-Resistant Ovarian Cancer 12.420 W81XWH2110378 362,886 —

Mechanism and therapeutic potential of PTEN-regulated MDSCs in glioblastoma 12.420 W81XWH2110380 331,818 —

Dysfunction in Sensory Circuits in Fragile X Syndrome 12.420 W81XWH2110493 554,974 359,779

Role of E3 Ubiquitin Ligase TRIM25 in Prostate Cancer 12.420 W81XWH2110548 144,068 —

Overcoming androgen receptor-mediated prostate cancer resistance to immunotherapy 12.420 W81XWH211057401 306,852 —

Mechanisms Underlying Sleep Disturbances in Parkinson’s Disease 12.420 W81XWH2110582 415,352 —

Mechanisms Underlying Sleep Disturbances in Parkinson’s Diseases 12.420 W81XWH2110749 353,923 —

Expanding an Active Surveillance Cohort to Improve Survivorship for Black Men with Favorable Risk Prostate Cancer 12.420 W81XWH-21-1-0849 146,039 —

Sites-Specific Nanofiber-Coated Regulatory T Cells for the Induction of Tolerance in Vascularized Composite Allotransplants 12.420 W81XWH2110862 206,432 —

Sites-Specific Nanofiber-Coated Regulatory T Cells for the Induction of Tolerance in Vascularized Composite Allotransplants 12.420 W81XWH2110911 321,115 —

Aligning Dosimetry and Biomarkers of Lung Injury with Prophylaxis and Mitigation of Damage from Radionuclides and Metals 12.420 W81XWH2110984

1,638,773 1,018,261

Leveraging Systematic Chemical-Genetic Profiling as a Path to Expand Precision Medicine in Breast Cancer 12.420 W81XWH2210018 292,351 —

Enhanced Targeting of CBP/p300 in a Subtype of Metastatic Prostate Cancer 12.420 W81XWH2210125 200,718 —

Identification and Utilization of Upper Motor Neuron Biomarkers for ALS 12.420 W81XWH2210166 99,007 —

Discovery of In Vivo Molecular Pathways Mediating Tau Induced Sleep and Circadian Disruption 12.420 W81XWH2210217 314,493 —

Developing Cell-Based and Mechanism-Focused Preclinical Platforms with Diseased Upper Motor Neurons 12.420 W81XWH-22-1-0271 213,146 —

Targeting Chromothripsis in Malignant Glioma 12.420 W81XWH2210373 98,371 —

Targeting an RNA Binding Protein Network in Glioblastoma by Decoy RNA Oligonucleotides 12.420 W81XWH2210374 122,156 —

A New Humanized Mouse Model For The Study of Peripheral Neuropathies 12.420 W81XWH2210386 40,610 —

New PROTACs Targeting Tissue Transglutaminase in Ovarian Cancer 12.420 W81XWH2210470 163,387 —

New PROTACs Targeting Tissue Transglutaminase in Ovarian Cancer 12.420 W81XWH221047101 156,068 —

Elucidating the Biology of Aggressive Kinase-fusion-driven Cutaneous T Cell Lymphomas. 12.420 W81XWH2210763 132,071 —

Enhancing Cochlear Proteome Fidelity to Prevent Noise-Induced Hearing Loss 12.420 W81XWH-22-1-0773 405,299 —

HYPERBARIC OXYGEN THERAPY TO MITIGATE CHILDHOOD RADIATION INDUCED NEUROCOGNITIVE AND SKELETAL TOXICITY: MULTIMODALITY EVALUATION IN A YOUNG

RODENT MODEL 12.420 W81XWH2210822 180,899 —

Multi-institutional Phase 2/3 Trial of Fresh Frozen Plasma (FFP) in Patients with Moderate to Severe Traumatic Brain Injury (TBI) 12.420 W81XWH2211106 351,207 —

Creation of an Anesthesia Resuscitation Kit (ARK) for Prolonged Field Care of Military Casualties with Traumatic Brain Injury 12.420 W81XWH2220060 103,161 —

Developing a MALDI/PET Early W arning Imaging System for Lethal Prostate Cancer 288 12.420 WU-20-307-MOD-3//W81XWH1910795 23,392 —

14,691,965 1,981,494

SCAN: Socio-Cultural Attitudinal Networks 245 12.431 104773-Z8424106-B//W911NF1610342 58,480 —

Machine learning enhanced models: enabling new materials for hypersonic and protection applications 161 12.431 13001195-045//W911NF-22-2-0123 73,083 —

Developing Quantum Nano-Wire (non-tunnel-junction) Based Superconducting Qubits 228 12.431 1562164//W911NF-22-1-0050 61,724 —

Specifically Triggerable Multi – Scale Responses in Organized Assemblies 246 12.431 16-008956-E-04 // W911NF-15-1-0568 851 —

Generation, manipulation, control, and applications of entanglement in a large network 215 12.431 641796 Mod 2//W911NF2110325 P00001 90,937 —

Self-assembly of Hybrid Synthetic Organelles 222 12.431 703559//W911NF-13-1-0383 57,759 —

Plasma Driven Solution Electrochemistry 250 12.431 A008178002 6 REV//W911NF2010105 P00006 230,272 —

Formal Foundations of Algorithmic Matter and Emergent Computation 85 12.431 AWD-000084-G2//W911NF1910233 114,059 —

Novel Solid Electrolytes Based on Polymeric Ionic Liquids 224 12.431 KK2349//W911NF-23-1-0015 230 —

(Continued)29

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Design and Construction of a High throughput Oxidation Screening Test (HOST) 80 12.431 PO401182952//W911NF2220114 $ 196,595 —

Predicting and Controlling the Response of Particulate Systems through Grain-Scale Engineering 33 12.431 S428657-08//W911NF1910245 126,187 —

Disorder engineering: A Geometry-Enhanced Network Theory for irregular METamaterials (GENT-MET) 33 12.431 S576544//W911NF2220109 106,623 —

Realizing High-Fidelity Gates in Protected Qubits 159 12.431 SUB0000298//W911NF1910016 99,359 —

Endosymbiotic control and enhancement of leafhopper brochosomes 267 12.431 UTA20-000832//W911NF2010195 AMD 03 43,706 —

Engineering the translation apparatus for the synthesis of electronically active sequence-defined polymers 12.431 W911NF-16-1-0372 P00018 508,102 264,437

7.4 Reactive Chemical Systems: Assembly and Dynamics of Soft Matter Observed by Liquid Cell TEM 12.431 W911NF-17-1-0326 P00009 30,175 28,409

Stimuli-Responsive Control of Protein-Based Molecular Structure 12.431 W911NF-18-1-0200 P00010 918,473 434,684

Failure Probability and Safety Gain of Super-Strong Biomimetic Nacreous Materials 12.431 W911NF1910039 P00007 28,511 —

The impact of organizational strategy on performance of in vitro biosynthesis reactions 12.431 W911NF-19-1-0298 P00002 58,759 —

II.A.1.b.iii.3: Coupling Magnetic and Ferroelectric Phenomena in Designed 2D Thio- and Selenophosphate Crystals 12.431 W911NF1910335-P00003 3,065 —

II.A.1.a.i.4: Towards Design Rules for the Synthesis of Functional Metal-Organic Frameworks in Aqueous Media at Ambient Temperature for Targeted Applications 12.431 W911NF1910340/P00005 (13,426) —

Sensitivity and Non-Normality in Network Control and Failure Propagation 12.431 W911NF1910383 P0005 51,197 —

3D Mesostructures as Active Interfaces to Individual Neurons in 3D Neural Networks 12.431 W911NF1920169-P00010 97,196 —

SR SEQUESTRATION AND MINERALIZATION IN ACANTHAREA 12.431 W911NF2010137 P00004 212,838 —

Development of Metal-Organic Framework@Fiber-based Solid State Catalyst for Degradation of Chemical W arfare Agents: A.1.a.i.4 12.431 W911NF2020136 P00005 174,211 —

Enhancing Material Development and Manufacturing Technologies of Lightweight Alloys and Tribological Performances for Unmanned Aerial Systems 12.431 W911NF2020292 176,272 —

Deciphering the role of endogenous neurotransmitters in bacterial biofilms 12.431 W911NF-21-1-0291-P00002 164,186 —

Building Constitutive Relationships in Responsive Thermosets: A Multi-scale Experimental and Simulation Effort 12.431 W911NF2120085 P00001 (48,483) —

CCE-ScMVR-2: High-Power-Density and Energy-Efficient Engine and Drivetrain Technologies (Integrating Materials and Manufacturing Development of Lightweight Alloys and Tribological

solutions for UAS) 12.431 W911NF2120199 P00002 1,407,516 —

Examining the Outcomes of Repeated Client Referrals Based on the Trajectories of Care 12.431 W911NF2210180 129,362 —

Dynamics of Grain Shape Evolution in Particulate Media Subjected to Impact 12.431 W911NF2210204 P00001 94,630 —

Generative Models for Tool Use from Robot Play 12.431 W911NF2210286 P00002 124,686 —

Tuning the Molecular Topology of Polymeric Materials for Superior Ballistic Performance 12.431 W911NF2210287-P00001 72,495 —

Improving the engineering performance of coarse-grained soils with direct current electric fields 12.431 W911NF2210291 P00001 124,916 —

The Army Synthetic Biology Center for Predictive Materials Design (PreMaDe) 12.431

W911NF2220246 P00001 161,718 —

Preparative Methods for Responsive Polymers 12.431 W911NF-23-1-0098 85,884 —

Exploiting Asymmetry for the Control of Multi-Agent Systems 12.431 W911NF-23-1-0102 18,254 —

Chemical Sciences (2) Electrochemistry: Earth Abundant Electrocatalytic Materials for Converting CO2 to Value-Added Products 12.431 W911NF-23-1-0141 146,105 —

Electrochemistry ARL-BAA-0025: Megalibraries of Electrocatalysts – Synthesis and Optical Screening Methods 12.431 W911NF2310285 27,824 —

Emergent Properties from Hybridization of Conjugated Organic-Inorganic Semiconductor (H-COINS) Halides 171 12.431 X03060652//W911NF2210158 26,164 —

6,040,495 727,530

DoD Center of Excellence in Advanced Quantum Sensing (CoE-AQS) 62 12.630 21-155HEH AMD 3 // W911NF202076 421,577 —

Rate Effects in the Deformation of Microscale Metallic Samples – Experiments and Simulations 114 12.630 PO #2004091092//W911NF1220022 393 —

The Signatures of Success in Human-Agent Teams 12.630 W911NF1920140-P00005 247,461 150,277

669,431 150,277

Distributed cell-free manufacturing of biologics-based medical countermeasures 12.910 W911NF2320039 P00002 284,052 11,693

Profiling changes in enzyme activities arising from viral infection using SAMDI mass spectrometry 287 12.RD 1667-45829-11000000777//W15QKN-16-9-1002 227,187 —

Operator 4.0 via Fatigue and Motion Analyses in a Human Digital Twin Enabled Framework for Smart Manufacturing 210 12.RD 19-13-05//W15QKN-19-3-0003 83,256 54,180

MTEC-17-08-MT-0340; The Effects of Complete and Partial Resuscitative Endovascular Balloon Occlusion of the Aorta (REBOA) with Pharmacologic Treatment in Swine Models of

Hemorrhagic Shock, Traumatic Brain Injury, and Complex Vascular Injuries. 2 12.RD 2021-590//W81XWH-19-9-0009 569,815 99,352

AlGaN for Solar-Blind Avalanche Photo Detectors 148 12.RD ST18C-003//W912CG-20-C-0009 63,881 —

BA150793: Dose Optimization of Valproic Acid in a Swine Model of Traumatic Brain Injury, Hemorrhage, and Poly-Trauma, with the Initiation of a Clinical Trial. 249 12.RD SUBK00015247//W81XWH-17-C-0246 2,118 —

Adaptive Technology to Optimize Rehabilitation of Lower Extremity Musculoskeletal Injuries throughout Recovery 204 12.RD TSI-5077-22-20210199//W81XWH-22-C-0102 1,675 —

Drinking W ater Treatment Residuals as Material for in-situ Capping of Metal Contaminated Sediments 233 12.RD UFDSP00012338//W912HQ18C0039 62,061 —

Cell-free Biomanufacturing Institute 12.RD W52P1J-21-9-3023 P00001/CS-21-0701 4,726,350 —

CHIPs 259 12.RD W81XWH2190014//FY2022-18520-SVC 74,498 —

Assistant Secretary of Defense for Health Affairs:

Top Down Proteomics of Laser Capture Microdissected Samples for the Cancer Moonshot – Supplement 95 12.750 5674 Amnd 2//HU00012120002 (70,532) —

The Biological Basis of Cognitive and Physical Resilience 95 12.750 5902/66627/HU00012020026 43,821 —

Top Down Proteomics of Laser Capture Microdissected Samples for the Cancer Moonshot 95 12.750 Subaward 5872 PO 1038625 HJF# 66941//HU00012220006 162,870 —

136,159 —

Defense Advanced Research Projects Agency:

TRAUMAS: Treatment and recovery augmented with electrical and ultrasound- mediated actuation and sensing 53 12.910

2(GG015670) AMD6//D20AC00004 142,753 —

Self

‐

Assembled Morphogenic Metal Coatings 114 12.910 2005560827 Mod No. 2//HR00112220033 219,815 —

D20AC00002 -REPAIR Regenerative Elec. Platform 259 12.910 AWD00001593 (419447-2)//D20AC00002-08 444,222 —

REPAIR: Regenerative Electronic Patch through Advanced Intelligent Regulation 259 12.910 AWD00001593(416052-2) AMD2//D20AC00002 (27,597) —

779,193 —

EURYALE: Combating Emergent Execution with a GLANCE 19 12.RD ASUB00001148//N6600122C4026-P00004 23,716 —

Bringing Auditability to Privacy-Preserving Electronic Health Record Aggregation using Zero-Knowledge Proofs 191 12.RD HR001120C0087 7,664 —

W izkit: W ide-Scale Zero-Knowledge Interpreter Toolkit 191 12.RD Wang AGMT 3/8/21//HRO002230C0087 84,522 —

Defense Logistics Agency:

Integration of ICME Tools in Casting Design and Process Optimization for Intelligent Manufacturing 11 12.RD AGMT 2/27/23//SP4701-17-D-1134 7,424 —

Defense Threat Reduction Agency:

An integrated multi-scale camouflaging platform for cloaking immunogenicity and evading non-specific clearance of therapeutic proteins 56 12.351 90425-20126 Amd2// HDTRA12010004 49,485 —

Highly Stable and Bifunctional Bio-inspired Catalytic MOFs for Destruction of Chemical Threats 12.351 HDTRA11810003-P00005 13,124 —

Topology-Enhanced Diffusion of Chemical W arfare Agents in Metal-Organic Frameworks for Detoxification 12.351 HDTRA11910007-P00008 346,104 —

Novel Reactive, Porous, and Processable Polymers for Chem-Bio Defense 12.351 HDTRA1-19-1-0010 Amnd P00005 121,127 —

Machine learning-guided design of modular, protein-based medical countermeasures 12.351 HDTRA12110038 P00004 487,953 114,022

Elimination of Chemical Threats via Reactive Metal-Organic Frameworks 12.351 HDTRA12210035 107,080 —

Flexible and Breathable 2-D HOF Composite Fibers for HD Blocking and Degradation in the Dark 12.351 HDTRA12210041 P00001 124,731 —

Interaction with Ionizing Radiation with Matter, University Research Alliance (IIRM–URA) 157 12.351 SA21-09 AMD 04//HDTRA12020002 218,458 —

1,468,062 114,022

(Continued)30

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Intelligence Advanced Research Projects:

GRAIL: Generative Range and Altitude Identity Learning 263 12.RD No. SCON-00002884//No. 2022-21102100007 $ 250,180 —

Navy:

A CyberOctopus that Learns, Evolves, and Adapts 237 12.300 095643-17467//N00014-19-1-2373 Amd. 5 49,292 —

From Percolation to Passivation (P2P): Multiscale Prediction and Interrogation of Surface and Oxidation Phenomena in Multi-Principal Element Alloys (MPEAs) 114 12.300 2004734071//N00014-20-1-2368 Amd. #1 328,288 —

Integrated Harvesting and Storage of Oxygen from Seawater Using Efficient Bipolar Membrane Electrolysis, Impurity Tolerant Electrocatalysts, and Desig 257 12.300 234640C//N00014-20-1-2517 173,126 —

Mesoscopic quantum science and metrology with levitated mechanical systems 260 12.300 417315/URFAO: GR510772 AMD. 10//N00014-18-1-2370 53,336 —

Development of Lightweight, Power-Efficient, Soft Electronic Sensor Systems for Next-Generation Oceanographic Measurements 230 12.300 438651//N00014-21-1-2342 19,541 —

Generating Documents that are Consistent with a Knowledge Base 82 12.300 E2045224 Amnd 4//N00014-18-1-2670 A00002 386,454 —

Understanding Atomic Scale Structure in Four Dimensions to Design and Control Mesoscale Morphologies for Oxidation Resistant Alloys 12.300 N00014-16-1-2280-P00011 223,270 125,391

Hierarchical Nanoscale Metamaterials 12.300 N00014-17-1-3023 P00005 238,860 —

Plasmonic-Dielectric Metamaterials for Enhanced Spectroscopy and Controlled Chemistry 12.300 N00014-17-1-3024 P00005 486,022 —

Screening For and Preclinical Evaluation of Drugs for Hearing Loss 12.300 N00014-18-1-2508 P00005 111,946 —

High-Strength High-Toughness 10%Ni Naval Steels 12.300 N00014-18-1-2594 P00005 (1) —

A New Method for Compact, High-Performance Atom Interferometric Sensors 12.300 N00014-19-1-2181 P00004 897 —

Theoretical Foundations and Scalable Algorithms for Mixed-Integer Convex Optimization with System Choice 12.300 N00014-19-1-2321 P00001 55,508 53,169

Building Adaptive, Dependable, and Secure Systems with a Cross-Layer W eakly-Hard Paradigm 12.300 N00014-19-1-2496 P00004 160,265 91,957

Manufacturing Process Compiler – A Foundation for New Process Generation 12.300 N00014-19-1-2642-P00004 375,598 —

Disruptive Durable All-Polymer Solar Cells (FY2019-000119-AS) 12.300 N00014-20-1-2116-P00004 245,048 —

Integrated Computational Materials Engineering of Functional Materials Using Phase Field Methods 12.300 N00014-20-1-2327 218,544 —

Towards Intelligent Agents that Learn by Multimodal Communication 12.300 N00014-20-1-2447-P00004 174,815 —

COVID-19: Retrofitting stainless steel with a self-sanitizing surface layer 12.300 N00014-20-1-2685//P00001 1,835 —

Design of 1D/2D/3D perovskite composites for enhancing the stability of high efficiency solar cells 12.300 N00014-20-1-2725 P00003 127,485 —

3D assembly of bidirectional bioelectronic scaffolds towards accelerated tissue repair 12.300 N00014-20-1-2777 182,518 —

Automated Mental Health Assessment (AMHA) to Predict Destructive Behaviors 12.300 N00014-21-1-2216 P00002 98,313 —

Direct Laser Writing of In-Fiber Ring Resonator Acoustic Emission Sensors for Structural Health Monitoring 20-000000919 12.300 N00014-21-1-2233 P00001 81,283 —

Collective Coupling in Hybrid Plasmon Lattice-Exciton Materials 12.300 N00014-21-1-2289 P00002 342,967

—

Fundamental Principals of Phase Transformations, Strength and Toughness in High-Strength 10 wt.% Ni Steels for US Naval Applications 12.300 N00014-21-1-2398 P00004 61,481 —

Multi-scale Metamorphic Manufacturing (MMM): Double-Sided Incremental Forming for Functional Metal Plates with Multi-scale Riblet Textures 12.300 N00014-21-1-2484 P00001 147,645 —

Stochastic Constrained Optimization 12.300 N00014-21-1-2675 P00004 137,751 —

Surface and Interface Engineering of Borophene Nanoelectronic Materials 12.300 N00014-21-1-2679 P00004 234,962 —

ACTIVE LEARNING SENSOR-OBJECT MODELS IN HIGHLY VARIABLE ENVIRONMENTS 12.300 N00014-21-1-2706 P00002 121,194 —

Additive manufacturing of ultra-strong precipitation-hardened aluminum alloys for high and ambient temperature applications 12.300 N00014-21-1-2782 P00002 137,175 —

Phase Field Fracture Simulation Assessment 12.300 N00014-21-1-2784 P00002 248,592 139,638

Femtosecond Fiber Laser Engine for Multiscale Multiphoton 3D Direct Laser W riting 12.300 N00014-21-1-2874 263 —

Physics-Based Machine Learning Parametrization of Force Fields with in-situ TEM Experimental Validation 12.300 N00014-22-1-2133 P00002 200,774 —

Towards the exploitability escalation for software vulnerabilities 12.300 N00014-22-1-2158/P00003 175,931 —

Cognitive Expertise by Repetition-Enhanced Simulation-based (CERES 2) Training continuation 12.300 N00014-22-1-2162 P00001 211,780 —

Disorder-Promoted Synchronization. 21-000000008 12.300 N00014-22-1-2200 P00004 315,085 169,754

Self-Sensing, Optoelectronic Artificial Muscle Tissues for Energy Efficient Locomotion in Soft Machines 12.300 N00014-22-1-2447 P00001 191,028 —

Generalized Submodular Optimization: Theory, Algorithms, and Computation (21-000000918) 12.300 N00014-22-1-2602-P00002 117,188 —

Mechanistic investigations of the production of fuels from captured CO2 12.300 N00014-22-1-2690 279,481 —

Microstructure, mechanical properties, and damping capacity in High-Mn Steels 12.300 N00014-22-1-2693/P00001 35,362 —

Revealing The Electrode and Electrolyte Microstructure in Li-Ion Batteries 12.300 N00014-22-1-2747 166,933 —

Learning by Multimodal Communication by Intelligent Agents 12.300 N00014-23-1-2294 42,048 —

Discovery of High-Capacity Oxysulfide Cathode Materials with Reversible Anion Redox 12.300 N00014-23-1-2311 12,376 —

Femtosecond Laser Structuring of Active Optical Fiber Sensors for System Health Monitoring 12.300 N00014-23-1-2529 93,443 —

7,065,702 579,909

Planar Type-II Superlattice Photodetectors for High Operating Temperature MW IR 148 12.RD AGMT 9/19/22//N6833521C0650 36,999 —

Monolithic Integration of Quantum Cascade Lasers on Silicon Substrates 148 12.RD AGMT 9/19/22//N6893622C0023 51,024 —

Planar Type-II Superlattice Photodetectors for High Operating Temperature MW IR 148 12.RD LETTER – 07/27/2021//N6833521C0650 (12,146) —

Total Department of Defense 49,776,236 8,045,705

Department of Education:

Fulbright Hays DDRA De Leon 84.022 P022A200036-1 25,884 —

Real Pay for Real Jobs: Virginia DIF 284 84.421 CTR011717//H421D220008

111,981 —

Institute of Education Sciences:

Evaluation of an Intervention to Improve Academic Outcomes for Low-Income Urban Youth through Instruction in Effective Coping Supported by Mentoring Relationships 63 84.305 501600SG2205//R305A210263 105,008 —

Moving Beyond the Average: Building a Comprehensive Model of Classroom Quality that Incorporates Children’s Individual Experiences 253 84.305 5117878//R305A200308 5,211 —

Validity Evidence on the Spatial Ability Assessment for STEM Instruction and Evaluation 213 84.305 A21-0360-S002-A01//R305A210428-22 45,760 —

Sense-Making in the Disciplines: Supporting Reading and Argumentation in Literature and History 84.305 R305A180463-21 225,088 20,974

A Summer RCT Institute for Established Researchers 84.305 R305B200029-22-3 171,373 21,619

Multidisciplinary Program in Educational Sciences 84.305 R305B200037-3 1,250,583 —

Design Comparable Effect Sizes for Single Case Designs 84.305 R305D220052-23 91,475 —

W hat We have Learned in 20 Years of IES Randomized Trials 84.305 R305U200005 – 21 210,223 —

Exploring the Spatial Alignment Hypothesis in STEM Learning Environments 293 84.305 S-00014999 // R305A170165 45,759 —

Meta-Analysis Training Institute 86 84.305 SP00014145-01 Amnd 2//R305B190002 18,101 —

Meta-analysis Training Institute 86 84.305 SP00015498-02//R305B220007 24,911 —

2,193,492 42,593

Rethinking Accessibility Using NAEP Process Data: Exploring Universal Design and Accommodations 12 84.324 0517600001 MOD No. 01//R324P210002 22,553 —

Training-Induced Language and Literacy Improvement in Children with Cochlear Implants 78 84.324 R01834 // R324A160193 5,480 —

Reducing Time to Autism Diagnosis for Toddlers Enrolled in Early Intervention 84.324 R324X220088 – 23 683,332 —

711,365 —

Total Department of Education 3,042,722 42,593

(Continued)31

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Department of Energy:

Autoxidation Mechanisms and Methods for Plastics Upcycling 275 81.049 0000002714//DE-SC0023281 $ 3,574 —

Quantum Materials for Energy Efficient Neuromorphic Computing (Q-MEEN-C) 222 81.049 112383860//DE-SC0019273 (15,489) —

Enhancing the Performance of Plasma-facing Materials Through Solute-stabilized Nanostructured Tungsten Alloys 190 81.049 1142453/2/79383 // DESC0017899 (607) —

Surfactants at Air-Aqueous Interfaces for Lanthanide Recovery 258 81.049 583468 AMND 1//DE-SC0022240 46,087 —

Nanoporous Materials Genome: Methods and Software to Optimize Gas Storage, Separations, and Catalysis 250 81.049 A003127002 Amd 11//DE-SC0008688 16,216 —

EFRC/UMN: Inorganometallic Catalysts 250 81.049 A004527502//DE-SC0012702 Amd #10 24,601 —

Development of Machine Learning and Molecular Simulation Approaches toAccelerate the Discovery of Porous Materials for Energy-Relevant Applications 250 81.049 A010026304//DE-SC0023454 124,613 —

Center for Interacting Geo-processes in Mineral Carbon Storage 250 81.049 A010319801//DE-SC0023429 106,334 —

Development of LiInP2Se6 for Ultra-High Resolution Neutron Imaging 264 81.049 A19-0447-S002//DE-SC0019446 104,517 —

Quantum Wrapper Networking for Entanglement Management and Control in Transparent Optical Quantum Networks 217 81.049 A22-1495-S001//DE-SC0022336 124,921 —

Tailoring the Selective Transport Pathway of Rare Earth Elements in Solid Ionic Channels Guided by In Situ Characterization and Predictive Modeling 226 81.049 AWD102447 (SUB00000607) Amnd 1//DE-SC0022231 53,482 —

Institute for Environmental Catalysis 81.049 DE-FG02-03ER15457-0020 1,508,286 —

Antiferromagnetism and Superconductivity 81.049 DE-FG02-05ER46248-0018 (1,633) —

Epitaxial Multifunctional Oxide Heterostructures 81.049 DE-FG02-06ER46346-0015 7,876 —

Coordination-Chemistry-Derived Materials Featuring Nanoscale Porosity and Selective Chemical Separation Capabilities 81.049 DE-FG02-08ER15967/0017 269,877 —

Electrostatic Driven Self-Assembly Design of Functional Nanostructures 81.049 DE-FG02-08ER46539-0014 227,224 —

Fundamental Studies of Light-Induced Charge Transfer, Energy Transfer, and Energy Conversion with Supramolecular Systems 81.049 DE-FG02-87ER13808 Mod 0041 216,898 —

Approaches to Integrated Photochemical Systems for Solar Energy Conversion 81.049 DE-FG02-99ER14999-0024 406,893 —

Center for Bio-Inspired Energy Science (CBES) 81.049 DE-SC0000989-0012 1,266,176 599,078

CENTER FOR LIGHT ENERGY ACTIVATED REDOX PROCESSES (LEAP) (Formerly ANSER) 81.049 DE-SC0001059 Amd 0010 (79) (79)

Surface Plasmon Enhanced Chemistry 81.049 DE-SC0004752-0013 139,779 —

Design of Next Generation Thermoelectrics 81.049 DE-SC0014520-0006 116,713 —

Research in the Energy, Cosmic and Intensity Frontiers and Theoretical Physics at Northwestern University 81.049 DE-SC0015910-0007 1,076,039 —

Missing links in biological methane and ammonia oxidation 81.049 DE-SC0016284 0005 107,179 —

Properties, Electrochemical Activity, and Stability of Solid Oxide Cell Materials Under Extreme Conditions

81.049 DE-SC0016965-0006 224,650 —

Geophysical Feedbacks between Fluid-Assisted Sediment Fracture, Compaction and Faulting 81.049 DE-SC0017615 0006 138,641 —

Establishing a Clostridia foundry for biosystems design by integrating computational modeling, systems-level analyses, and cell-free engineering technologies 81.049 DE-SC0018249-P0004 1,250,402 802,203

Employing bacterial microcompartments to create privileged redox pools for biofuel production 81.049 DE-SC0019337 0002 (1,175) —

Biosynthesis of bioprivileged, linear molecules via novel carboligase reactions 81.049 DE-SC0019339/0003 (16,427) —

Towards the Mechanism of N2 Fixation by Nitrogenase 81.049 DE-SC0019342/0005 225,546 —

Creating and Interfacing Designer Chemical Qubits 81.049 DE-SC0019356-0005 1,516,420 1,020,457

PROTEUS: Machine Learning Driven Resilience for Extreme-scale Systems 81.049 DE-SC0019358//18SC503797 316,756 —

Systems for Transducing Entanglement between Photons and Electron Spins 81.049 DE-SC0020168 0002 136,387 67,047

Supramolecular Dynamics in Self-Assembling Materials 81.049 DE-SC0020884-0003 43,566 —

Understanding functional dynamics on the nano scale through an integrated experimental-computational framework 81.049 DE-SC0020885-0002 214,286 —

Toward Selective Photocatalytic Conversion of Methane to Methanol by a Colloidal Quantum Dot: Spatio-Temporal Reaction Control and in Situ Methanol Protection Schemes 81.049 DE-SC0021169 0002 48,457 —

Catalytic Kinetics and Mechanisms in Phosphorus Recycling from Ribonucleotide Structures by Iron Oxide Minerals 81.049 DE-SC0021172 002 74,692 —

Center for Molecular Quantum Transduction (CMQT) 81.049 DE-SC0021314 0003 3,319,156 1,514,320

RAPIDS2: A SciDAC Institute for Computer Science, Data, and Artificial Intelligence 81.049 DE-SC0021399-0003 121,481 —

Structure-Property Relationships in Porous Electrodes for Electrochemical Energy Storage 81.049 DE-SC0022119-0002 127,618 —

Engineering bacterial microcompartments in Clostridium autoethanogenum to overcome bottlenecks in sustainable production of synthetic rubber 81.049 DE-SC0022180-0002 647,443 438,439

Quantitative Analysis of Metabolic Segregation of Lignin Deconstruction and Catabolism in Outer Membrane Vesicles of Soil Pseudomonas species 81.049 DE-SC0022181-0002 142,893 —

Low-Valent Actinide Complexes Featuring Tunable Carborane-Based Ligands 81.049 DE-SC0022204/0003 271,424 —

X-CELLENT: X-Compiler Extending LLVM for Enhanced Natural Translation 81.049 DE-SC0022268-0002 187,550 —

Spatio-Temporal Dynamics of CO2 Capture by Sorbents: Multimodal, In-Situ and Operando Measurements 81.049 DE-SC0022332 0002 1,215,456 369,568

Modeling Accelerated Development of Interface Engineered Tungsten Alloy Plasma Facing Materials 81.049 DE-SC0023219-0001 177,496 —

Systems for Transducing Entanglement between Photons & Electron Spins 81.049 DE-SC0023233 Mod0001 212,527 45,215

Integrating cell-free systems and genome engineering to accelerate biosystems design for carbon-negative biomanufacturing 81.049 DE-SC0023278-0001 191,591 —

Interfacial Spectromicroscopy of W ater Oxidation at Earth Abundant Solar Photoanodes 81.049 DE-SC0023342 002 294,538 —

Community Research On Climate and Urban Science (CROCUS) 81.049 DE-SC0023364 63,753 —

EFRC: Catalyst Design for Decarbonization Center 226 81.049 DE-SC0023383//AWD103461 (SUB00000767) 443,677

—

Hydrogen in Energy and Information Sciences (HEISs) 81.049 DE-SC0023450/0001 1,222,388 437,115

Scale Invariance, Unitarity Limit and Entanglement Suppression in Nuclei and Hardons 81.049 DE-SC0023522 76,633 —

Redesigning Polymers to Leverage A Circular Economy (RePLACE) 52 81.049 G-64020-02 AMND No. 1//DE-SC0022290 358,206 —

Hybrid Metal Halides: Advancing Optoelectronic Materials 224 81.049 KK2107 02//DE-SC0012541 223,514 —

Switchable Quantum Buffer for Transparent Optical Quantum Network 158 81.049 Kumar AGMT 6/16/21//DE-SC0020537 333,245 —

High Efficiency Semiconductors for Nuclear Material Accounting 163 81.049 RMD C21-15//DE-SC0020039 (4,873) —

LiInP2Se6, a New Semiconductor Detector Material for High Resolution Neutron Imaging 163 81.049 RMD C22-19 Amnd 1//DE-SC0021554 151,745 —

Biological Imaging Using Entangled Photons 249 81.049 SUBK00015295-1//DE-SC0022118 246,132 —

Mechano-Chemical Understanding of Solid Ion Conductors (MUSIC) 249 81.049 SUBK00017482//DE-SC0023438 140,502 —

20,265,773 5,293,363

Artificial Intelligence (AI) – Assisted Hybrid Renewable Energy, Nutrient, and W ater Recovery from Municipal W astewater 226 81.086 AWD102571 (SUB00000611)//DE-EE0009505 134,312 —

Theory-Guided Design and Discovery of Materials for Reversible Methane and Hydrogen Storage 81.086 DE-EE0008816-0003 112,429 —

Crossing the Finish Line: Integration of Data-Driven Process Control for Maximization of Energy and Resource Efficiency in Advanced W ater Resource Recovery Facilities 289 81.086 DE-EE0009508//5143 38,694 —

Replacing Cerium with Energy-Efficient Mischmetal in Cast Aluminum Alloys for Aerospace Applications 81.086 DE-EE0010221 69,328 —

Securing Grid-interactive Efficient Buildings (GEB) through Cyber Defense and Resilient System (CYDRES) 198 81.086 M2001973-02//DE-EE0009150 53,995 —

A Digitally Informed Approach to Enhanced Heat Recovery through Additive Manufacturing of “Adaptive Thermoelectric Modules” for Energy Conversion Plat 3 81.086 PO 200136011//DE-EE0009104 286,713 —

Novel Organosulfur-Based Electrolytes for Safe Operation of High Voltage Li-ion Batteries Over a W ide Operating Temperature 81 81.086 PO 4301480253//DE-EE0009644 114,738 —

810,209 —

Role of Fluid and Temperature in Fracture Mechanics and Coupled THMC Processes for Enhanced Geothermal Systems 161 81.087 14000614-021-02//10039612-PURDUE-5-2557 129,017 —

Reprocessing and Upcycling of Mixed Polyurethane W aste Streams 193 81.087 20-01-RR-4071//DE-EE0007897 275,285 50,000

Identifying Performance Advantaged Biobased Chemicals Utilizing Bioprivileged Molecules 107 81.087 401-20-25A AMD 3//DE-EE0008492/003 217 —

Development of Instruments and Techniques that Can Assess Tire Life and Increase Re-Manufacturing of Commercial Vehicle Tires 133 81.087 AGMT 3/29/22//DE-EE0007897 30,144 —

Engineered reversal of the ß-oxidation cycle in clostridia for the synthesis of fuels and chemicals 81.087 DE-EE0008354-0002 146,791 146,133

Efficient Reversible Operation and Stability of Novel Solid Oxide Cells 81.087 DE-EE0008437-0005 7,393 5,847

ResIn: Responsible Innovation for Highly Recyclable Plastics 81.087 DE-EE0008928 Mod No. 0005 391,088 —

(Continued)32

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

REMADE: Chemical Recycling of Mixed PET/Polyolefin Streams Through Sequential Pyrolysis and Catalytic Upgrading 156 81.087 S002565-RI//20 01 RR 4034(DE-EE0007897) $ 147,993 —

Integrated biochemical and electrochemical technologies (IBET) to convert organic wastes to biopower via North American research and educational partnerships 249 81.087 SUBK00013108 AMD 1//DE-EE0009284 133,954 —

1,261,882 201,980

Novel Algae Technology to Utilize CO2 for Value Added Products 93 81.089 DE-FE0031710 70,556 —

Versatile Reversible Solid Oxide Cell System for Hydrogen and Electricity Production 143 81.089 DE-FE0031986//Barnett 2/18/22 70,889 —

141,445 —

Uranium Recovery from Used Nuclear Fuel Using Metal Sulfides 81.121 DE-NE0009173-0001 163,018 —

Concurrent Design of a Multimaterial Niobium Alloy System for Next-generation Turbine Applications 162 81.135 Agreement 5/16/23//DE-AR0001436-0002 80,437 —

Accelerated Discovery of Compositionally Complex Alloys for Direct Thermal Energy Conversion 188 81.RD 197455//DE-AC02-76SF00515-MOD05 179,635 —

Statement of W ork by Northwestern University for SuperCDMS Operations 188 81.RD 219799//DE-AC02-76SF00515 24,707 —

Growth and Integration of Two-Dimensional Transition Metal Dichalcogenides for Logic and Memory 139 81.RD 2207198//DE-NA0003525 150,983 —

DOE NQI Center: Co-design Center for Quantum Advantage 30 81.RD 390039-Mod 5//DE-SC0012704 231,039 —

Structure and Properties of Al-Ce-based eutectic alloys created by Laser Powder-Bed fusion 277 81.RD 4000179340//DE-AC05-00OR22725 5,356 —

Compressive Creep Behavior of Cast Al-Cu-Mn-Zr Alloys 277 81.RD 4000182026 Mod# 6//DE-AC05-00OR22725 100,927 —

Rational Design and Development of Crystalline and Amorphous Metal Sulfides for the Sequestration of Pertechnetate from Simulated Nuclear W aste Streams and Tank W aste 111 81.RD 634D74-NWU//TOA 0000456322 (63) —

Illinois-Express Quantum Network (IEQNET) 76 81.RD 664603 MOD 3//DE-AC02-07CH11359 220,240 —

QuantiSED research at Fermilab 76 81.RD 667512//DE-AC02-07CH11359 MOD 2 61,508 —

Support for Eric Viklund 76 81.RD 669754//DE-AC02-07CH11359 Mod. 2 70,948 —

(SQMS Prime) Superconducting Quantum Materials & Systems 76 81.RD 674560-MOD004//DE-AC02-07CH11359 3,438,401 —

Graduate Student Support: Tae-Yoon Kim 76 81.RD 675487//DE-AC02-07CH11359 61,508 —

Joint Appointment of Vedran Brdar 76 81.RD 675731 8,137 —

Research on potential of 3D printing superconductor for SCU applications 76 81.RD 677927//DE-AC02-07CH11359 69,167 —

Accelerator Real-time Edge AI for Distributed Systems (READS) 76 81.RD 678041 Mod. 1//DE-AC02-07CH11359 164,131 —

Neutrino Theory Network 76 81.RD 679023//DE-AC02-07CH11359

90,772 —

A Design Methodology for ASICs in Cryogenic Operation 76 81.RD 679396//DE-AC02-07CH11359 31,712 —

Multi-Node Entanglement Swapping Demonstrator 76 81.RD 687755//DE-AC02-07CH11359 79,125 —

For support of Innes Bigaran 76 81.RD 692681//DE-AC02-07CH11359 61,087 —

Development of the Quantum Science Center Underground Test Stand (QUIET) 76 81.RD 692966//DE-AC02-07CH11359 58,528 —

LUX-ZEPLIN (LZ) Experiment Support and Operations 219 81.RD 7579174-Mod02//DE-AC02-05CH11231 1,841 —

Joint BioEnergy Institute 219 81.RD 7653251 Mod No. 1//DE-AC02-05CH11231 55,339 —

Effects of Ultrafast and Coherent Electronic and Nuclear Motions in Photochemical Processes 208 81.RD 8F-30078-M0007//DE-AC02-06CH11357 2,090 —

Joint Center for Energy Storage Research 208 81.RD 8F-30158//DE-AC02-06CH11357 M00014 232,819 —

Center for Electrolyte-Electrode Interface Science (CEEIS) 208 81.RD 8J-30009//8J-30009-0009A-0009E (117) —

Biofuels for enhanced fuel economy 208 81.RD 8J-30009-0019A Rev No. 0019E 94,254 —

High-performance I/O Research, Development, and Deployment for DataLib 208 81.RD 8J-30009-0020A 77,920 —

COVID-19: Tunable, Robust, Foul-resistant, Hybrid Hydrophobic-Hydrophilic (TuRF) Metasurfaces for High Temperature Heat Exchange Operations 208 81.RD 8J-30009-0021C 58,020 —

Exploring Machine Learning-based Approaches to Auto-tuning Distributed Memory Communication 208 81.RD 8J-30009-0027A Rev No. 0027E 148,200 —

Threadwork: A Transformative Co-Design Approach to Materials and Computer Architecture Research 208 81.RD 8J-30009-0032A REV NO. 0032C 196,422 —

National Quantum Information Science Research Centers 208 81.RD 8J-30009-0033B 164,039 —

Advanced Statistical Analysis of Coherent X-Ray Diffraction Data 208 81.RD 8J-30009-0036A//DE-AC02-06CH11357 58,463 —

Ultrafast Dynamics and Coherence Measurements in Organic Frameworks 208 81.RD 8J-30009-0037A//DE-AC02-06CH11357 26,952 —

Support for Mauricio Angelone 208 81.RD 8J-30009-0038B//DE-AC02-06CH11357 17,369 —

Rational Synthesis of Superconductors 208 81.RD 8J-30009-0039A//DE-AC02-06CH11357 127,125 —

Experimental investigation of dynamic behavior in colloids powered by Quincke rotations 208 81.RD 8J-30009-0040A REV NO. 0040B 68,190 —

Graduate Student Work Order – Anirudh Ramesh: Quantum Entanglement Distribution over Deployed Fiber at Argonne 208 81.RD 8J-30009-0043A-0043B//DE-AC02-06CH11357 44,828 —

Selective Upgrading of Alkenes via Organometallic-Support Electronic Interactions 208 81.RD 8J-30009-0044A//DE-AC02-06CH11357 22,778 —

Graduate Student Work Order – Shinjan Dutta 208 81.RD 8J-30009-0045A 50,525 —

Support for Kagan Simsek 208 81.RD 8J-30009-0046A//DE-AC02-06CH11357 15,132 —

Exploration of skyrmion lattice behavior in 2-D materials 208 81.RD 8J-30009-0047A 46,487 —

Advanced Materials for Energy-Water Systems 208 81.RD 8J-30009-0048B//DE-AC02-06CH11357 85,191 —

Support of Emmanuel Aneke 208 81.RD 8J-30009-0049A//DE-AC02-06CH11357 15,377 —

W astewater Systems 208 81.RD 8J-30009-0050A//DE-AC02-06CH11357 19,722 —

Perovskite Semiconductors 208 81.RD 8J-30009-0051A//DE-AC02-06CH11357 18,346 —

Redesigning Multimodal Transit Systems with Shared Fleet Mobility Services (SFMS) 208 81.RD 8J-30009-0052A REV NO. 0052B 65,581 —

Mobile Robotic Hot Cell/Glovebox System for Hazardous and Radioactive W aste Disposition 208 81.RD 8J-30009-0053A 112,175 —

Ultrafast Functional Structural Dynamics in Solar Energy Conversion 208 81.RD 8J-30009-0054B//DE-AC02-06CH11357 35,374 —

Joint appointment-Pyosang Kim Argonne funding 208 81.RD Agmt 02/01/2023 44,577 —

Advanced Materials for Energy-Water Systems (AMEWS) 208 81.RD Agmt 08/01/22 // 8J-30009-0008A-Revision 0008F 3,347 —

Advanced Materials for Energy-Water Systems (AMEWS) 208 81.RD Agmt 09/15/21 // 8J-30009-0007A-0007E 31,777 —

Argonne joint appointment funding-Shu Xu 208 81.RD Agmt 1/6/2022 ANL-JA-9629 44,661 —

Renewal JA – W ei-Keng Liao 208 81.RD Agmt 10/19/2022 293,801 —

Sri Bala Gorugantu Argonne joint appointment funding 208 81.RD AGMT 10/28/22 42,071 —

ANL joint appointment funding-Alok Choudhary-data libraries 208 81.RD Agmt 10/31/2022 12,301 —

JA Renewal for Jennifer Dunn 208 81.RD Agmt 10/31/2022 41,008 —

Joint Appointment Funding Qunfei Zhou 208 81.RD Agmt 12/13/2022 46,964 —

Hacksung Kim Renewal JA funding 208 81.RD AGMT 12/13/22 104,533 —

Luqing Wang JA funding 208 81.RD Agmt 12/8/2022 71,442 —

ANL JA Funding Bhupendra Raut 208 81.RD Agmt 2/1/23 78,339 —

Argonne joint appointment funding for Joseph Swantek 208

81.RD Agmt 5/4/2022 40,057 —

Haoran Wu Joint Appointment Funding 208 81.RD Agmt 7/7/2022 69,720 —

Joint appointment-funding for Hacksung Kim 208 81.RD AGMT 8/24/22 53,376 —

Argonne Joint Appointment – Low 208 81.RD Agmt 9/1/21 (3,580) —

Argonne joint appointment funding for Joshua Paul 208 81.RD Agmt# 09/26/22 75,964 —

Support for Daniel W iegand 208 81.RD Agreement 9/14/18 (1) —

Joint Appointment – Yinsheng Huang 208 81.RD ANL-JA-10754 40,021 —

Joint Appointment – Minglei Xiao 208 81.RD ANL-JA-10757 43,184 —

Argonne Joint Appointment – Kanatzidis 208 81.RD ANL-JA-11582 203,411 —

Argonne Joint Appointment – Low 208 81.RD ANL-JA-11583 102,408 —

(Continued)33

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Argonne Joint Appointment – Petriello 208 81.RD ANL-JA-11584 $ 117,229 —

Joint Appointment – Poeppelmeier 208 81.RD ANL-JA-11867 10,240 —

Argonne joint appointment funding for Sai Phani Kumar Vangala 208 81.RD ANL-JA-8364 13,230 —

Argonne joint appointment funding for Sabyasachi Das 208 81.RD ANL-JA-9267 11,203 —

Argonne Joint Appointment – Kanatzidis 208 81.RD EDSR Agmt. 08/20/14 5,095 —

Joint Appointment Agreement – Petriello 208 81.RD EDSR Agmt. 08/26/14 (4,090) —

Unlocking the Tunable Plasmonic Properties of Borophene for Optoelectronics 149 81.RD Letter 6/30/21 8,409 —

SFA-Secure Biosystems Design: Rapid Design and Engineering of Smart and Secure Microbiological Systems 208 81.RD No. 8J-30009 0029C-Rev No. 0029F 138,054 —

Development of Hi-Z X-ray Detector 208 81.RD NO. 8J-30009-0031D 106,527 —

Exploring Role of Disorder on Artificial Spin Ices 208 81.RD NO. 8J-30009-0041B 61,983 —

Mapping Atomic Scale Topological Excitations in Quantum Materials 208 81.RD NO. 8J-30009-0042B 60,432 —

SFA-Secure Biosystems Design: Intrinsic Control for Genome and Transcriptome Editing in Communities 139 81.RD PO 2223937//DE-NA0003525 311,576 —

Resistive Memory Development 139 81.RD PO# 2330357 Rev.4//DE-NA0003525 131,444 —

REMADE: Material Characterizations and Sorting Specifications That Can Allow the Development of Advanced Tire Constructions with High Incorporation of Recovered Rubber Materials 133 81.RD REMADE-18-02//DE-EE0007897 (47) —

Institute for Cooperative Catalysis in Upcycling of Polymers (iCOUP) 108 81.RD SC-20-534 Mod 7//DE-AC02-07CH11358 246,535 —

Synthesis and Analysis of Performance-Advantaged Bioproducts (PABPs) 6 81.RD SUB-2021-10692 Mod. 3//DE-AC36-08GO28308 121,744 —

Structure and Properties of Al-Ce-based eutectic alloys created by Laser Powder-Bed Fusion 277 81.RD Task Order 4000192632//DE-AC05-00OR22725 65,175 —

Rational Synthesis of Superconductors and Superconductivity and Magnetism 208 81.RD WO 8J-30009-0028A-0028D 68,427 —

Advanced Research Projects Agency-Energy:

Additive Manufacturing of Ultrahigh Temperature Refractory Metal Alloys 275 81.135 0000001327//DE-AR0001431 101,131 —

Hybrid Interior-Point/Active-Set PSCOPF Algorithms Exploiting Power System Characteristics 119 81.135 543891-78001//DE-AR0001073 26,111 —

Adaptive Discovery and Mixed-Variable Optimization of Next Generation Synthesizable Microelectronic Materials 81.135 DE-AR0001209-001 144,625 15,395

LOCOMOTIVES: LOwering CO2 -- Models to Optimize Train Infrastructure, Vehicles, and Energy Storage 81.135 DE-AR0001469-0004 323,317 —

Self-Assembling Cell-Free Systems for Scalable Bioconversion 274

81.135 UWSC13104 AMND No. 1//DE-AR0001514 40,422 —

635,606 15,395

National Nuclear Security Administration:

Chicago-DOE Alliance Center – A Center of Excellence for High Pressure Science and Technology 236 81.112 18046-03//DE-NA0003975 Mod 0010 96,661 —

Actinide Center for Excellence 255 81.112 203186NU AMD 6//DE-NA0003763 156,841 —

253,502 —

Advanced Grid Modeling Project on Optimized Resilience for Distribution and Transmission Systems 203 81.RD 6656 Mod. 2//89233218CNA000001 112,934 —

Total Department of Energy 33,605,643 5,510,738

Department of Health and Human Services:

Administration for Children and Families:

Florida’s Office of Early Learning Sunshine Portal Project 233 93.434 SUB00002383-02//P0177546//90TP0068-01-00 73,980 —

Administration for Community Living:

Rehabilitation Research Training Center (RRTC) on employment for people with Physical Disabilities 165 93.433 80413//90RTEM0001-05-00 22,374 —

Collaborative Machines Enhancing Therapies (COMET) 165 93.433 82258//90REGE0005 6,436 —

Rehabilitation Science for Basic Scientists and Engineers: An Advanced Training Program 93.433 90AR5031-05-03 5,028 650

Advanced Rehabilitation Research Training (ARRT) Program – Community Living and Participation 93.433 90ARCP0006-01-01 10,790 —

Advanced Rehabilitation Research Training (ARRT) Program – Community Living and Participation 93.433 90ARCP0006-02-00 16,210 —

Advanced Rehabilitation Research Training (ARRT) Program – Employment 93.433 90AREM0003-02-00 (360) —

Advanced Rehabilitation Research Training (ARRT) Program – Employment 93.433 90AREM0003-03-00 5,337 —

Advanced Rehabilitation Research and Training (ARRT) Program: Northwestern University Advanced Rehabilitation Research Training Application 93.433 90ARHF0003-04-00 28,960 —

Advanced Rehabilitation Research and Training (ARRT) Program: Northwestern University Advanced Rehabilitation Research Training Application 93.433 90ARHF0003-05-00 60,209 —

Advanced Rehabilitation Research Training: Interventions for Neurologic Communication Disorders 93.433 90ARHF0007-01-00 1,634 —

Advanced Rehabilitation Research Training: Interventions for Neurologic Communication Disorders 93.433 90ARHF0007-02-00 120,977 12,977

Advanced Rehabilitation Research Training: Interventions for Neurologic Communication Disorders 93.433 90ARHF0007-03-00 28,962 —

Northwestern University Policy Research Fellowship 93.433 90ARPO0001-05-02 37,147 —

Enhancing Community Living and Increasing Participation through Self Efficacy (Eclipse) 165 93.433 90RTCP0005-01-00AMD1//90RTCP0005-02-00 25,813 —

Enhancing Community Living and Increasing Participation through Self Efficacy (Eclipse) 165 93.433 90RTCP0005-01-00-AMD2//CL9664 5,656 —

Multi-site Clinical Trial of Hypoxia in Incomplete SCI 165 93.433 cc81478 6323//90SIMS0001-05-00 73,635 —

Sensor Technology Applied to Rehabilitation in Stroke – STARS 165 93.433 CC82285 Amnd 1//90REGE0010-04-00 103,015 —

Sensor Technology Applied to Rehabilitation in Stroke 165 93.433 cc82288 8161//90REGE0010 -01-01 49,421 —

601,244 13,627

Agency for Healthcare Research and Quality:

Northwestern University-University of Chicago HSR Postdoctoral Training Program 93.225 2T32HS000078-17 (2,778) —

The University of Chicago and Northwestern University Predoctoral Health Services Research Program 226 93.225 AWD037911 (5213438601-4) AMD 5//5T32HS000084-24 AM 103,934 —

101,156 —

Improving Safe Antibiotic Prescribing in Telehealth: A Randomized Trial 263 93.226 110597268 // 5R01HS026506-04 3,267 —

Improving Interhospital Transfer of Patients with Neurologic Emergencies 93.226 1K08HS029208-02 129,624 —

Outcomes and Affordability of Observation Status for Children (OASIS) 93.226 1R01HS029004-01A1

1,158 —

Patient-reported health-related quality of life as complex patient outcomes in stroke survivors 93.226 1R36HS028941-01A1 36,927 —

The Community Health Center – Reproductive Life Plan (CHC-RLP) Project 7 93.226 205-RLP-NU//1R03HS027686-01A1 2,730 —

A Cluster-Randomized Trial of the Northwestern Embedded Emergency Department Physical Therapy (NEED-PT) Protocol for Acute Low Back Pain 93.226 3R01HS027426-04S1 424,014 —

COVID-19: A Chicago Center of Excellence in Learning Health Systems Research Training (ACCELERAT) 93.226 5K12HS026385-05 1,480 1,480

A Chicago Center of Excellence in Learning Health Systems Research Training (ACCELERAT) 93.226 5K12HS026385-05 414,606 128,660

Evaluating the Implementation of a Multi-Component Quality Collaborative 93.226 5R01HS024516-05 (2,237) —

Preventing Wrong-Drug and Wrong-Patient Errors with Indication Alerts in CPOE Systems 93.226 5R01HS024945-05 (3,619) —

Preventing Wrong-Drug and Wrong-Patient Errors with Indication Alerts in CPOE Systems 93.226 5R01HS024945-05 87,606 87,606

A Randomized Controlled Trial of Geriatric Emergency Department Innovations 93.226 5R01HS026489-04 331,555 51,724

Implementation of Digital Mental Health Tools in Ambulatory Care Coordination 93.226 5R01HS028003-03 265,106 —

Redesigning Systems to Improve Quality for Hospitalized Patients 93.226 5R18HS025649-05 Revised 106,896 —

Implementation and Testing of a Diabetes Discharge Intervention to Improve Safety During Transitions of Care 93.226 5R18HS026143-03 236,858 709

Expansion, Implementation & Evaluation of Electronic Health Record-Integrated Patient-Reported Symptom Screening in a Comprehensive Cancer Center 93.226 5R18HS026170-03 REVISED 98,274 16,910

(Continued)34

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

INtervention in Small Primary care practices to Implement Reduction in unhealthy alcohol usE (INSPIRE) 93.226 5R18HS027088-03 $ 164,616 105,121

Identify, Teach and Treat (IT2): Automating clinical decision pathways for the care of women 93.226 5U18HS028744-02 264,422 —

Newborn Circumcision Care Redesign 17 93.226 A23-0008-S002 – NU//1R18HS028783-01A1 13,114 —

Newborn Circumcision Care Redesign 17 93.226 A23-0008-S005 – NU Amendment 2//5R18HS028783-02 4,129 —

Targeted Healthcare Engineering for Systems Interventions in Stroke (THESIS) 226 93.226 AWD100490 (SUB00000216) AMD 3//5R18HS027264-04 53,030 —

Enhancing Stroke Prehospital and Emergency Evaluation and Delivery (E-SPEED) study 226 93.226 AWD100573 (SUB00000238)//5R18HS025359-05 2,053 —

Preventing Opioid Misuse through Safe Opioid Use Agreements between Patients and Surgical Providers (PROMISE ME) 269 93.226 SA0002723//7R18HS027331-03 65,185 —

Healthy Hearts in Michigan (H2M) 8 93.226 SC-21-003//5U18HS027954-02 408,080 —

COVID-19: The Role of Telehealth in COVID-19 Response 263 93.226 SCON-00002221 Amnd 1//5R01HS028127-02 30,336 —

Safely Improving Emergency Diagnostic Testing through Clinical Safe Harbors 280 93.226 VUMC73418 AMD 5//5R18HS025931-05 29,429 —

3,168,639 392,210

Centers for Disease Control and Prevention:

A novel innate immunity risk factor for amyotrophic lateral sclerosis 93.061 5 R01TS000294-03-00 4,326 —

A Sentinel Network for Evaluation of the Reach, Implementation, Effectiveness, and Costs of Evidence-Based Lifestyle Interventions to Prevent Type 2 Diabetes in U.S. Adults 93.068 5 U18DP006709-02-00 366,230 —

Developing and Disseminating Programs to Build Sustainable Lupus Awareness, Knowledge, Skills, and Partnerships 10 93.068 AGMT 11-30-22//5NU58DP006908-03-00 6,413 —

376,969 —

Public Health Surveillance for the Prevention of Complications of Bleeding Disorders 87 93.080 ATHN2020CDC-VW-03//NU27DD000020-03-00 13,834 —

Identifying host biomarkers that determine susceptibility to colonization with an emerging fungal pathogen Candida auris. 109 93.084 JCVI-21-005 02//1U54CK000603-01-00 37,685 —

Microbiome of Driveline Exit Sites 109 93.084 JCVI-21-006 Mod 2//U54CK000603-01-01 29,615 —

81,134 —

Firearm Involvement in Adolescent Children of Formerly Incarcerated Parents: A Prospective Intergenerational Study of Resilience W ithin Families 93.136 5 R01CE003271-03-00 422,815 —

Chicago Center for Youth Violence Prevention 226 93.136 FP061138 (5201068601-5)//5U01CE002712-07 11,794 —

434,609 —

W astewater-Based Epidemiology to Monitor Infectious Pathogens in the State of Oklahoma 256 93.323 2022-81//Agr 05242022//NU50CK000535 36,690 —

Midwest TXTXT: Scale up of an Evidence-based Intervention to Promote HIV Medication Adherence 17 93.943 901638-NU//5U01PS005214-02-00 7,363 —

Effects of Medicaid Coverage and State-Level Delivery Approaches on Healthcare Quality, Outcomes, and Costs for Adults with Diabetes 93.945 5 U18DP006524-04-00 533,790 132,687

Assessing the Burden of Diabetes By Type in Children, Adolescents and Young Adults (DiCAYA) – 2020 Component A (#90164) 17 93.945 901641-NU//U18DP006693

19,005 —

Assessing the Burden of Diabetes By Type in Children, Adolescents and Young Adults (DiCAYA) – 2020 Component B (#901642) 17 93.945 901642-NU//U18DP006694 18,670 —

615,518 132,687

Intergovernmental Personnel Act (IPA) Assignment Agreement for Debra Duquette 93.RD 1IPA2109977 MOD1 36,096 —

CDC Intergovernmental Personnel Agreement 93.RD 21-IPA-2108989 960 —

CDC Intergovernmental Personnel Agreement 93.RD 21-IPA-2108990 105,462 —

Intergovernmental Personnel Act Agreement for Theresa Rowe-IPA 93.RD 22IPA2212990 54,708 —

Group A Streptococcus Molecular Epidemiology and Ecology 17 93.RD 75D30122C15605//A23-0011-S001/AWD001702 49,103 —

The HIV Outpatient Study (HOPS) Activity to Abstract Data from Persons Receiving Ambulatory Care for HIV Infection in the United States 40 93.RD Agmt# 11-14-22 Amnd 2//75D30120C08752 115,164 —

Food and Drug Administration:

Methods to Improve Clinical Trials for A-T 114 93.103 2005729193//R01FD007605-01 21,324 —

Northwestern University Clinical Outcome Assessment Team (NUCOAT) 93.103 5UG3FD006794-03 (321) —

Northwestern University Clinical Outcome Assessment Team (NUCOAT) 93.103 5UG3FD006794-03 24,921 24,921

Northwestern University Clinical Outcome Assessment Team (NUCOAT) 93.103 5UH3FD006794-04 811,848 58,475

Qualification Plan Preparation to Support DDT COA #000123 PROMIS Physical Function Short Form for Individuals with Multiple Sclerosis: Development of a Qualification Plan for

the PROMIS Short Form v2.1--Physical Function-Multiple Sclerosis 15a (DDT COA # 58 93.103 DDT COA #000123-01//1 U01 FD006999-01 1,823 —

Development of a Full Qualification Package for the PROMIS Short Form v1.0—Fatigue-Multiple Sclerosis 8a (DDT COA #000069) 58 93.103 FDA-1U01FD007765-NU2023//1U01FD007765-01 72,088 —

A double blind, randomized, vehicle controlled, crossover study with an open-label long-term extension, to evaluate the safety and efficacy of topical naloxone hydrochloride lotion, 0.5%, for

the relief of pruritus in patients with the mycosis fungoides 70 93.103 No.EL-1007-01-01//R01FD005396 6,720 —

Preparing a clinical outcomes assessment set for nephrotic syndrome [Prepare-NS] 249 93.103 SUBK00014282 Amd3//5UG3FD007308-02 124,334 —

1,062,737 83,396

Development and Validation of CRRT-Specific Beta-Lactam Population Pharmacokinetic Models to Guide Treatment for Patients with Hospital-Acquired Pneumonia 135 93.RD 11-1075-7211-5790//75F40122C00134 5,475 —

Evaluation of a Global Item for Side Effect Bother 93.RD 75F40121C00162 191,336 87,687

Assessing the Effectiveness of Text Enhancements to Prevent Drug Name Confusion Errors 93.RD 75F40122C00191 61,340 —

Health Resources and Services Administration:

Awareness and Access to Care for Children and Youth with Epilepsy 17 93.110 901579 – NU//5 H98MC33237-04-00 15,742 —

Hemophilia Treatment Center (HRSA Award) 87 93.110 Agmt. Signed 10-15-21//H30MC24052 24,937 —

40,679 —

SPNS Initiative Emerging Strategies to Improve Health Outcomes for People Aging with HIV: Capacity-Building Provider 91 93.145 5740-06//5U28HA27644-03-00 21,097 —

Affordable Care Act Teaching Health Center (THC) Graduate Medical Education (GME) Payment Program 93.530 2 T91HP21542-10-00 1,396,083 678,821

Teaching Health Center Graduate Medical Education Program 93.530 2 T9CHP42255-02-00 1,428,784 —

2,845,964 678,821

Academic Units for Primary Care Training and Enhancement 93.884 6UH1HP29963-05-01 — —

Academic Units for Primary Care Training and Enhancement 93.884 6UH1HP29963-05-01 30,414 30,414

30,414 30,414

Special Projects of National Significance – Demonstration/Implementation Sites 226 93.928 AWD103147 (SUB00000891)//6 H97HA46079-01-04 4,392 —

Geriatrics W orkforce Enhancement Program: Collaborative Action Team training for Community Health — Older adult Network (CATCH-ON) 175 93.969 15012901-Sub13 Amnd 4//6 U1QHP28715-06-01 2,551 —

National Institutes of Health:

Effects of Flame Retardants on brain function and attentional deficits in school-age children – brain imaging, neurobehavioral, and gut microbiome studies in a longitudinal birth cohort 53 93.113 1(GG013015-01)//5R01ES027845-05 80,113 —

Environmental Obesogens and Weight Change in the POUNDS LOST Trial 89 93.113 111308-5113944 // 5R01ES022981-08 55,659 —

Environmental Pollutants and AHR pathway in Uterine Leiomyoma 93.113 1R01ES034753-01 293,553 —

Arsenic suppresses progesterone receptor signaling and promotes tamoxifen resistance and metastasis of ER+ breast cancer 93.113 1R56ES033398-01A1 145,358 —

Monocyte-derived alveolar macrophages drive inflammatory response to lung ozone exposure 66 93.113 303001342//1R01ES034350-01 84,786 —

(Continued)35

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Investigating the role of the membrane in particulate methane monooxygenase (pMMO) structure and function 93.113 5F31ES034283-02 $ 43,169 —

Mechanisms of Cadmium Induced Dysglycemia and Type 2 Diabetes Mellitus 93.113 5R01ES027011-05 (1,087) —

Environmental Arsenic in the Subtype Specification of Breast Cancer 93.113 5R01ES028149-05 191,695 —

Discovery of conserved molecular mechanisms underlying population-wide variation in toxin responses 93.113 5R01ES029930-05 634,031 362,726

Investigating Environmental Risk Factors for Breast Cancer Using Adductomics 93.113 5R01ES031809-03 769,125 38,615

PCOS and androgen-related disease modeling and drug testing in Multi-organ Integrated Microfluidic Reproductive Platform 93.113 5UH3ES029073-05 447,835 177,618

Role of alveolar macrophages in particulate matter-induced cardiopulmonary disease 226 93.113 AWD058473-03-PR-AMD4//5R01ES015024-15 40,325 —

Particulate Air Pollutants and Autism Risk: Exposure Characteristics, Indicators of Susceptibility, and Mechanistic Pathways 116 93.113 RNG114259-NW//5R01ES029963-04 30,328 —

2,814,890 578,959

Enamel atlas: systems-level amelogenesis tools at multiple scales 223 93.121 11549sc//5UG3DE028872-02 3,354 —

Enamel atlas: systems-level amelogenesis tools at multiple scales 223 93.121 13003sc AMND 01//4UH3DE028872-03 REVISED 377,164 —

Effectiveness of Nicotine Replacement Therapy Sampling in Dental Practices 94 93.121 15429-5//4UH3DE029973-03 50,719 —

The Role of SoxE Transcription Factors in Neural Crest Cell Specialization 93.121 1K99DE031825-01A1 12,862 —

Identifying Sox family transcription factor partners and targets essential for neural crest formation 93.121 5F32DE029113-03 5,042 —

Role of translational fidelity in cellular physiology of oral streptococci 240 93.121 AWD-0002569 AMD 2//5R01DE031455-02 16,128 —

Multi-Tissue Craniofacial Engineering using 3D-BMP9-Notch-Synergized Graphene Citrate Composite Scaffolds 226 93.121 AWD101989 (SUB00000493) AMD 3//5R01DE030480-03 430,883 —

896,152 —

Creating Comprehensive Maps of Worm and Fly Transcription Factor Binding Site 274 93.172 11524//5U41HG007355-08 211,191 —

Decoding the Noncoding Regulatory Genome with Super-resolution via Single-cell Multiomics Integration 218 93.172 2022-1775//HG012572-01 52,415 —

Mapping the 3D architecture of native human replisomes 177 93.172 33221-213-415 AMD2//5R01GH10658-04 112,108 —

NORTH CAROLINA CLINICAL GENOMIC EVALUATION BY NEXT-GEN EXOME SEQUENCING 2 253 93.172 5117472//3U01HG006487-08 79,812 —

Visualization, modeling and validation of chromatin interaction data 93.172 5R01HG009906-06 213,314 —

Computational methods to identify neo-TADs and enhancer-hijacking in rearranged genomes 93.172 5R01HG011207-03 385,338 40,709

Maximizing Quantitative Structural Information from High-Throughput RNA Structure Probing 93.172 5R03HG011113-02 REVISED 71,998 —

Use of a Machine Learning Approach to Impute Gene Expression in African Americans 93.172 5R21HG011695-02 226,348 —

COVID-19: Northwestern Genomic Risk Assessment and Management Program 93.172 5U01HG011169-03

55,512 —

Northwestern Genomic Risk Assessment and Management Program 93.172 5U01HG011169-03 1,332,825 —

Molecular and cellular characterization of essential human genes. 93.172 5UM1HG012649-02 1,456,532 —

Production Center for Mapping Regulatory Regions of the Human Genome 187 93.172 62295506-124217//5UM1HG009442-03 (947) —

Elucidating the phenome-wide impact of sex and gender on disease 280 93.172 VUMC95892//5R01HG011405-02 127,693 —

W ashU-Northwestern Genomic Variation and Function Data and Administrative Coordinating Center 288 93.172 WU-22-0138//1U24HG012070-01 (43,205) —

W ashU-Northwestern Genomic Variation and Function Data and Administrative Coordinating Center 288 93.172 WU-23-0051//5U24HG012070-02 238,548 —

4,519,482 40,709

Maximizing and predicting sentence processing treatment outcomes in aphasia 93.173 1R56DC019157-01A1 20 —

Outer hair cells and noise-induced hearing loss 93.173 1R56DC020542-01A1 11,983 —

Outer and Inner Hair Cell Development 93.173 3R01DC015903-05S1 (52,120) —

Spatiotemporal Mechanisms of Olfactory Processing in the Human Brain 258 93.173 579297//5-R01-DC-018075-03 13,186 —

Evaluating Human Cochlear Aging Using Otoacoustic Emissions (OAEs) 93.173 5F32DC019557-03 74,004 —

Investigating the relationship between directional microphones, compression, and working memory in realistic spatial conditions 93.173 5K01DC018324-02 61,684 —

Development of Afferent and Efferent Innervation in the Inner Ear 93.173 5K01DC018852-04 118,999 —

Data Science Applications in Communication andSwallowing Disorders 93.173 5K24DC012801-10 188,508 —

Neurolinguistic Investigations of Aphasia and Recovery 93.173 5R01DC001948-24 125,254 —

Acoustic and Perceptual Effects of W DRC Amplification 93.173 5R01DC006014-16 91,172 19,344

Language in Primary Progressive Aphasia 93.173 5R01DC008552-15 (1,552) —

A Family-Genetic Study of Language in Autism 93.173 5R01DC010191-11 418 —

Characterizing Variability in Hearing Aid Outcomes Among Older Adults 93.173 5R01DC012289-10 139,070 5,185

Principles of olfactory reward processing in the human brain 93.173 5R01DC015426-07 511,098 —

Outer and Inner Hair Cell Development 93.173 5R01DC015903-07 529,550 —

COVID-19: The When to Worry about Language Study (W2W-L): Joint consideration of developmental patterning and neural substrates for enhancing earlyidentification of language impairment 93.173 5R01DC016273-05 REVISED 72 —

The When to Worry about Language Study (W2W-L): Joint consideration of developmental patterning and neural substrates for enhancing earlyidentification of language impairment 93.173 5R01DC016273-05 REVISED 602,162 24,674

The function of respiratory-linked local field potential oscillations in human olfactory and limbic brain regions 93.173 5R01DC016364-05 374,703 33,245

Type-2 inflammation mediates olfactory loss in Chronic Rhinosinusitis: mechanisms and therapeutic opportunities 93.173 5R01DC016645-05 496,949 —

Early Communication Intervention for Toddlers with Hearing Loss 93.173 5R01DC016877-05 726,401 23,061

Molecular Mechanisms of Tonotopy Development in the Brain Stem 93.173 5R01DC017167-04 336,002 —

Defining the pathological mechanisms of hereditary hearing loss 93.173 5R01DC017482-05 REVISED 318,120 —

Characterizing the primary olfactory subregions of the human amygdala 93.173 5R01DC018539-03 405,552 39,712

Opto-Electrical Cochlear Implants 93.173 5R01DC018666-03 401,481 29,397

Mechanisms of Trace Amine-associated Receptor Gene Choice 93.173 5R01DC018738-04 543,073 —

Hearing Protection in Cisplatin Chemotherapy 93.173 5R01DC019434-02 305,427 —

Transdifferentiation in the Cochlea 93.173 5R01DC019834-02 744,467 —

Optimizing Outcomes through Sequencing Parent-Mediated Interventions for Young Children with Autism 93.173 5R01DC020457-02 356,745 36,258

Novel Computational Analysis of Prosody in ASD and the Broad Autism Phenotype 93.173 5R03DC018644-02 5,447 —

Connectome-guided high-definition tDCS for the treatment of tinnitus 93.173 5R21DC015880-04 (2,284) —

Parent-toddler EEG neural synchrony as a window into social communication deficits in autism 93.173 5R21DC017210-02 15,800 —

Phase 2 Development of a Spoken Language Biomarker of Cognitive Impairment in Parkinson’s Disease 93.173 5R21DC017255-03 51,516 —

Spoken Language Processing as an Early Marker of Language Impairment in Bilingual Children 93.173 5R21DC018357-03 REVISED 207,532 —

Mechanisms of accented speech recognition in native and non-native listeners: Biological insights 93.173 5R21DC019448-03 228,299 —

Defining Trajectories of Cognitive-Communicative and Quality of Life Outcomes followingStroke 165 93.173 82910//5R01DC017174-05 32,091 —

Supplement to Defining Trajectories of Cognitive- Communicative and Quality of Life Outcomes following Stroke 165 93.173 82915 AMD 1//3R01DC017174-02S1 16,216 —

An Open-source Speech Processing Platform (OSP) for Research on Hearing Loss and Related Disorders 137 93.173 Agmt 01/24/2023//1R44DC020406-01 41,647 —

Modulating Stimuli Intensity to Improve Clinical Outcomes in Aphasia Treatment 165 93.173 cc82912 AMD 5//R01DC016979 41,731 —

Implementation of Communication Disability Collection and Accommodations in Primary Care Settings 229 93.173 FY23.966.002//1R01DC020188-01A1 8,555 —

Hyperglycemia, Hearing Loss and Vestibular Dysfunction: The CARDIA Study 250 93.173 P007560702Amd5//5R01DC017613-04 33,593 —

Role of Subthalamic nucleus in Speech and Movement among people with Parkinson’s as Revealed by Intraoperative Recordings and Deep Brain Stimulation 238 93.173 S01816-01-03//5R01DC017718-04 38,223 —

Maximizing outcomes for preschoolers with developmental language disorders: testing the effects of a sequentially targeted naturalistic intervention 279 93.173 UNIV60403-AMD6//5U01DC017135-05 528,753 —

(Continued)36

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Auditory-Motor Control of Voice in Individuals with Essential Vocal Tremor 267 93.173 UTA19-001014-03//1R21DC017001-01A1 $ 1,534 —

Excitability and Excitotoxicity in Type-I Cochlear Afferents: Synapse Structure and Function 288 93.173 WU-22-0420-MOD-01//2R01DC014712-07 117,153 —

8,788,234 210,876

Evaluating inflammatory response to a mobile health well-being intervention 275 93.213 0000002879//1U24AT011289-01 12,809 —

FOREST (Fostering Optimal Regulation of Emotion for prevention of Secondary Trauma): Implementation and evaluation of a burnout prevention program for staff in gun violence

prevention programs. 93.213 1R21AT011863-01 261,562 71,354

Mass Spectrometric Studies of Thiotemplate Biosynthesis 93.213 5R01AT009143-17 (8,414) —

Mapping and Understanding Production of Natural Products in Fungi 93.213 5R01AT009143-19 443,705 16,462

Creating and Optimizing Mindfulness Measures to Enhance and Normalize Clinical Evaluation (COMMENCE) 93.213 5R01AT009539-05 721,757 456,347

SCH: INT: Collaborative Research: Development and analysis of new mathematical and statistical models for chronic pain 93.213 5R01AT010413-04 209,749 68,651

Mind-Body Approach to Improve Health-Related Quality of Life for People with Narcolepsy 93.213 5R34AT009551-02 101,402 —

1,742,570 612,814

93.233 5K01HL149987-04 163,334 —

Developing an intervention targeting sleep disturbances among minority bereaved individuals 93.233 5R01HL140580-05 REVISED 690,466 —

Strengthening circadian signals to enhance cardiometabolic function 93.233 5R01HL141881-04 505,444 84,719

Leveraging a Unique existing Cohort to elucidate the Link between sleep and cardio-metabolic disease 93.233 5R01HL152442-03 1,038,462 266,309

Determinants and Cardiovascular Consequences of Disparities in Sleep and Circadian Rhythms between Black and W hite Adults 93.233 5T32HL007909-24 494,057 —

Training Grant in Circadian and Sleep Research 2,891,763 351,028

Harm avoidance and incompleteness as dimensional endophenotypes in anxiety and OC spectrum disorders 31 93.242 00001242//5R01MH110449-05 65,607 —

Individualized approaches to determining likelihood of ASD caseness 223 93.242 13922sc//1R01MH128288-01A1 REVISED 25,429 —

Social Processing Deficits in Remitted Adolescent Depression 167 93.242 147186//5R01MH119771-02 397,549 —

How Early-Life Experiences Create Individual Variation in Dopamine Circuit Architecture: Understanding Risk for Psychiatric Disease 93.242 1DP2MH122401-01 556,125 —

Development matters: Characterizing patterns of emergent ADHD risk through a neurodevelopmental framework 93.242 1F31MH133395-01 15,541 —

Clarifying the Role of Psychomotor Retardation in Reward-Based Reinforcement Learning Deficits in MDD: A Computational and fMRI Study 93.242 1K23MH129607-01A1 91,522 —

Plasticity and Function of Dopamine Circuits Regulating the Transition to Habit 93.242 1R01MH125885-01A1 58,508 —

Targeting Postsynaptic Small G-protein Regulators 93.242 1R01MH130838-01 651,281 —

Reducing HIV vaccine and prevention hesitancy among sexual and gender minority adolescents 93.242 1R01MH132414-01 7,298 —

Multimodal Neuroimaging Predictors of Non-Suicidal Self-Injury in the ABCD Study 93.242 1R01MH132920-01 37,776 —

Understanding the synergistic roles of water insecurity and food insecurity in the health of Mexican adults 93.242 1R03MH133200-01 39,480 —

Training Program in Translational Science, HIV, and Sexual and Gender Minority Health 93.242 1T32MH130325-01 219,011 —

The Short Course on the Application of Machine Learning for Automated Quantification of Behavior 110 93.242 210389-0324-03//5R25MH129298-02 786 —

Linking VA and non-VA data to study the risk of suicide in chronic pain patients 113 93.242 222891-4//5R01MH1219071-03 92,347 —

RCT of a parent-focused approach to improving sexual health in adolescent men who have sex with men 83 93.242 22-M19 AMD1//5R01MH129169-02 66,955 —

Integrated Reward-Inflammation Model of First Onset of Major Depression in Adolescence 196 93.242 267148-NWU AMD 2//1R01MH123473-03 66,616 —

Integrated Reward-Circadian Rhythm Model of First Onset of Bipolar Spectrum Disorders in Adolescence 196 93.242 267715-NWU Amd 2//5R01MH126911-03 99,902 —

Rac-GEF signaling in dendritic spines 93.242 2R01MH071316-17A1 14,908 —

Small GTPase signaling in dendrites and spines 93.242 2R56MH071316-16 (25,056) —

Training Program in Neurobiology of Information Storage 93.242 2T32MH067564-21 12,607 —

Multidisciplinary Training Program in Digital Mental Health 93.242 2T32MH115882-06A1 18,208 —

Screening, Tracking and Treatment for Anxiety and Depression in Community Colleges 220 93.242 3814 G LA104//5P50MH126337-02 22,046 —

Expanding College Student Mental Health with Stress Management Mobile Technologies 93.242 3K08MH112878-04S1 9,679 —

mHealth for suicide prevention: Design, development, and feasibility of a scalable SMS-based safety planning intervention 93.242 3K08MH128640-02S1 151,158 —

Generating an Earlier Science of When to W orry: A Neurodevelopmental, Transactional Approach to Characterizing Irritability Patterns Beginning in Infancy 93.242 3R01MH107652-05S1 28,800 —

Mechanisms regulating lncRNA short and long range signaling 93.242 3R01MH111267-05S1 551,241 127,753

Optimizing prediction of preschool psychopathology from brain: behavior markers of emotion dysregulation from birth: A computational, developmental cognitive neuroscience approach 93.242 3R01MH121877-04S1 2,743,546 1,489,803

Effectiveness of a Targeted Brief Intervention for Recent Suicide Attempt Survivors 260 93.242 417659-G/UR FAO GR511006//R01 MH119264-04 3,200 —

Hippocampal Mechanisms of Stress-Induced Generalization of Negative Memories 93.242 5F30MH122130-04 39,554 —

60058064 NRSA F30 for Radhika Rawat: Neurogenesis, BMP signaling, and mechanisms of Ketamine’s antidepressant effects 93.242 5F30MH124269-02 15,604 —

The Neural Mechanisms of Motor Dysfunction in Clinical High-Risk Youth. 93.242 5F31MH123121-02 REVISED 142 —

NRSA Predoc Fellowship for Sarah Lurie: The Role of Hippocampal Theta Phase in Human Memory Encoding 93.242 5F31MH125577-02 18,282 —

Characterizing phosphorylation-dependent regulation of metabotropic glutamate receptors by middle-down mass spectrometry 93.242 5F31MH129114-02 41,006 —

Technology-Enabled Prevention Service for At-Risk Youth 93.242 5K01MH121854-03 189,792 —

Adaptive Messaging to Support Depression Self-Management 93.242 5K01MH125172-03 158,041 —

Opioid-BNST interactions in the regulation of trauma-induced anxiety states 93.242

5K08MH126166-04 152,916 —

60059499 K99 for Elif Tunc-Ozcan in support of: Neural activity and circuitry-mediated hippocampal stress responses 93.242 5K99MH125016-02 73,968 —

Technology Enabled Services for Coordinated Care of Depression in Healthcare Settings 93.242 5P50MH119029-04 1,500,170 290,998

CAUSAL MECHANISMS OF DISTRIBUTED BRAIN NETWORK FUNCTION DURING EPISODIC MEMORY RETRIEVAL 93.242 5R00MH117226-05 174,107 —

Modeling a Neural Circuit for Flexible Control of Innate Behaviors 93.242 5R00MH117264-05 265,135 —

Mechanisms Underlying Large-Scale Coordination of Cortical Activity during Perceptual Decisions 93.242 5R00MH120047-05 263,887 —

A Family-Genetic Study of Autism and Fragile X Syndrome 93.242 5R01MH091131-10 660,551 27,080

Synaptic and dendritic dysfunction in psychiatric disorders 93.242 5R01MH097216-10 (486) —

The role of glutamate receptors in compulsive and perseverative behavior 93.242 5R01MH099114-10 177,622 —

Behavioral relevance of active dendritic mechanisms of integration and plasticity 93.242 5R01MH101297-10 508,064 —

Postsynaptic roles of ankyrins 93.242 5R01MH107182-07 482,903 —

2-Arachidonoylglycerol signaling in anxiety, depression, and stress adaptation 93.242 5R01MH107435-08 793,306 —

Molecular, anatomic, and functional characterization of midbrain dopamine neuron subtypes 93.242 5R01MH110556-05 123,334 —

LiveW ell: A Mobile Intervention for Bipolar Disorder 93.242 5R01MH110626-04 125 —

LifeSense: Transforming Behavioral Assessment of Depression Using Personal Sensing Technology 93.242 5R01MH111610-04 231,688 97,392

2/3 Community psychosis risk screening: An instrument development study 93.242 5R01MH112545-05 89,758 —

New Tools to Study Neurosteroid Estrogens 93.242 5R01MH113189-05 109,113 —

BMP Signaling and Neurogenesis in Major Depressive Order 93.242 5R01MH114923-05 349,001 —

Development of Sub 100 nm Resolution X-ray Nanotomography of Centimeter-Sized Tissues 93.242 5R01MH115265-04 52,787 —

Neurohypophyseal regulation of midbrain dopamine systems. 93.242 5R01MH117111-05 266,232 —

Synthesis of Trials to Prevent Suicide Risk Behavior in Sexual and Gender Minorities 93.242 5R01MH117598-04 245,839 145,220

A pragmatic trial of two strategies for implementing an effective eHealth HIV prevention program 93.242 5R01MH118213-05 956,680 114,229

An examination of psychomotor disturbance in current and remitted MDD: An RDoC Study 93.242 5R01MH118741-04 818,098 141,733

Central Amygdala Glutamatergic Circuits in Fear Learning and Extinction 93.242 5R01MH119817-06 470,262 —

(Continued)37

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

2/5 CAPER Computerized assessment of psychosis risk 93.242 5R01MH120088-04 $ 290,948 —

A Comparative Effectiveness Trial of Strategies to Implement Firearm Safety Promotion as a Universal Suicide Prevention Strategy in Pediatric Primary Care 93.242 5R01MH123491-05 104,972 —

A Stepped Wedge Hybrid Type II Trial of an Online Positive Affect Intervention: Blending Implementation and Effectiveness to Improve HIV Continuum Outcomes in Ryan White Clinics in Chicago 93.242 5R01MH124632-04 1,093,597 476,524

Role of myeloid cells in CNS and systemic reservoirs and rebound 93.242 5R01MH125778-02 893,454 225,160

Effectiveness and implementation of text messaging to improve HIV testing in sexual and gender minority adolescents 93.242 5R01MH129207-02 544,850 —

Effectors of presynaptic cAMP dependent potentiation at mossy fiber synapses 93.242 5R01MH130428-02 760,820 —

Promoting Sustained Viral Suppression Through Implementation of an Adapted Evidence-Informed Low-Barrier Care Model in a System of HIV Primary Care Clinics 93.242 5R01MH132149-02 608,797 —

Title: Neurobiology of seizure generalization during electroconvulsive therapy for major depression 93.242 5R03MH121769-02 REVISED 12,441 —

Mouse models for live-cell imaging of endogenous Evf2 lncRNA 93.242 5R03MH126145-02 117,046 —

High-Risk Psychosis Youth and Caregivers: Emotion in Interaction 93.242 5R21MH115231-02 (2,893) —

Using Speech Acoustics to Reveal Motor Disruptions in Psychosis 93.242 5R21MH119677-02 38,260 —

Post-Graduate Research Training Aligned with the NIMH Strategic Plan 93.242 5R25MH115855-05 238,081 —

Digital Mental Health Service for Non-Treatment Seeking Young Adults 93.242 5R34MH124960-03 212,399 25,241

Digital Mental Health Intervention for Nonsuicidal Self-Injury in Young Adults 93.242 5R34MH128410-02 396,256 32,621

Prevention of Perinatal Depression in Birthing People with a History of Adverse Childhood Experiences: A Type 2 Effectiveness Implementation Trial 93.242 5R34MH130969-02 76,142 —

Training Program in Neurobiology of Information Storage 93.242 5T32MH067564-20 172,163 —

Multidisciplinary Training Program in Digital Mental Health 93.242 5T32MH115882-05 219,259 —

Northwestern University Mental Health, Earlier: Transdiagnostic, Transdisciplinary, Translational Training Program in Neurodevelopmental Mechanisms of Psychopathology 93.242 5T32MH126368-02 253,634 —

Developing an app-based behavioral intervention to help depressed individuals return to work 104 93.242 60061119//R42MH127971-01 215,432 —

Synaptic Protein Networks, Genetic Risk, and Spine Loss in Schizophrenia 259 93.242 AWD00000863 (133093-1)//5R01MH118497-03 31,782 —

Implementation and Dissemination of Evidence-Based Interventions to Improve PrEP Care Continuum Outcomes Among W omen in Community Health Clinics in the Southern US 226 93.242 AWD102381(SUB00000565)//5R01MH128051-02 40,385 —

Human hippocampal contributions to rapid encoding-retrieval interactions during memory formation 226 93.242 AWD103402 (SUB00000774)//1R01MH128552-01 43,928 —

ProNET: Psychosis-Risk Outcomes Network 296 93.242 CON-80004439 (GR120608) Amnd 4//5U01MH124639-04 357,674 —

HARM-A: A neurobiological predictor of comorbidity and stress reactivity in anxiety disorders 199 93.242 M2102399//5R01MH125083-03 32,800 —

Integrating a suite of mental health apps for depression in a healthcare setting 1 93.242 NU_Mohr-Year 3/00028727//2R44MH114725-03 46,792 —

Scaling a Parenting EBI for Latinx Youth Mental Health in Primary Care

248 93.242 OS00000743//1R01MH124718 68,443 —

Altered auditory networks in HIV-induced central nervous system dysfunction 60 93.242 R1072//5R01NS108809-05 67,573 —

Genetic Influences on Infant Brain Development: Understanding the Developmental Origins of Mental Illness 134 93.242 RC112665D- AMD1//R01MH123716 31,120 —

Transformation of the stress response into motor behavior by the external globus pallidus 269 93.242 SA0000539 // 5R01MH112768-05 (6,803) —

Prodromal Inventory for Negative Symptoms (PINS): A Development and Validation Study 234 93.242 SUB00001927//5R01MH116039-05 185,314 —

Mapping Dimensional Aspects of Biobehavioral Threat Reactivity in Young, Violence-Exposed Children: Linkages to Fear and Distress 231 93.242 UCHC7-160980729-A4//U01MH113390 8,298 —

Targeting negative affect through mindfulness training in youth at risk for internalizing problems 279 93.242 UNIV61518//5R61MH119270-02 126,855 —

Development of in vivo probes to study the function of TRIP8b in cognition 280 93.242 VUMC105874 Amnd 1//5R56MH128747-02 166,469 —

Development of Memory Networks in Children 290 93.242 WSU22173//5R01MH107512-07 51,522 —

Early Life Adversity, Biological Embedding, and Risk for Developmental Precursors of Mental Disorders 288 93.242 WU-19-11-MOD-6//5R01MH113883-05 21,370 —

22,768,731 3,193,754

Addressing alcohol misuse in HIV prevention and care: The Brown University Alcohol Research Center on HIV (ARCH) 31 93.273 00002144//5P01AA019072-13 100,580 —

Endocannabinoid Mechanisms in the Pathophysiology of Alcohol Use Disorders 93.273 2R01AA026186-07A1 174,857 —

COVID-19: Role of Alcohol Disparities in HIV Risk among Sexual Minority Youth 93.273 3R01AA024409-05S1 114,909 22,292

COVID-19: Role of Alcohol Disparities in HIV Risk among Sexual Minority Youth 93.273 3R01AA024409-05S2 181,388 111,592

A mixed-methods approach to understanding stress and hazardous drinking among same-sex female couples 93.273 4R00AA028049-04 153,015 —

Corticolimbic Neuroimmune Determinants of Social Stress-Associated Alcohol Drinking 93.273 4R00AA029180-03 31,752 —

Deep brain live imaging of cAMP and protein kinase A activities underlying synaptic- and circuit-level mechanisms during learned behaviors 93.273 5R00AA027740-03 327,889 —

Efficacy of Couples-Based HIV Prevention in Vulnerable Young Men 93.273 5R01AA024065-05 193,368 —

Role of Alcohol Disparities in HIV Risk among Sexual Minority Youth 93.273 5R01AA024409-05 9,811 —

Intersectional Approaches to Population-Level Health Research: Role of HIV Risk and Mental Health in Alcohol Use Disparities among Diverse Sexual Minority Youth 93.273 5R01AA029044-03S1 583,818 55,533

Project Recognize: Improving Measurement of Alcohol Use and Other Disparities by Sex, Sexual Orientation, and Gender Identity through Community Engagement 93.273 5R01AA029076-03 740,050 117,034

Endocannabinoid Mechanisms in the Pathophysiology of Alcohol Use Disorders 93.273 7R01AA026186-06 6,595 —

2,618,032 306,451

The Neuroproteomics and Neurometabolomics Center on Cell-Cell Signaling 237 93.279 096739-17681 AMD 3 // 2P30DA018310-16 211,264 —

Collaborating Consortium of Cohorts Producing NIDA Opportunities (C3PNO) 220 93.279 1935 G XA461-04//5U24DA044554-05

(10,664) —

Collaborating Consortium of Cohorts Producing NIDA Opportunities (C3PNO) Bridge Funding Supplement 220 93.279 1935 G XA461-AMD6//3U24DA044554-05S3 41,688 —

How Do Parents’ Experiences with Services Influence Their Children’s Service Use? A Longitudinal, Intergenerational Study of High-Risk Families 93.279 1F31DA057811-01A1 2,256 —

A Mixed Methods Evaluation of Violence, Substance Use, and HIV Risk Among a Vulnerable Population of Male Couples 93.279 1F32DA057128-01 53,756 —

Integrated neuroimmune model of problematic substance use and depression in people living with HIV 93.279 1K01DA057143-01A1 51,298 —

Network Canvas 2.0: Enhancing network data capture for drug use and HIV research 93.279 1R01DA057973-01A1 186,071 —

Leveraging state drug overdose data to build a comprehensive case level national dataset to inform prevention and mitigation strategies. 93.279 1R21DA058583-01 109,224 —

COVID-19: 2/2 Optimizing access, engagement and assessment to elucidate prenatal influences on neurodevelopment: The Brains Begin Before Birth(B4 ) Midwest Consortium 93.279 1R34DA050266-01 REVISED 3,033 —

2/2 Optimizing access, engagement and assessment to elucidate prenatal influences on neurodevelopment: The Brains Begin Before Birth(B4 ) Midwest Consortium 93.279 1R34DA050266-01 REVISED 1,027 —

Research Adoption Support Center 187 93.279 1U2CDA057717-01//63067731-257650 201,932 —

Reduced complexity mapping of oxycodone self-administration and stress responsiveness in rats 265 93.279 22-3008-NWU AMD 2//5R01DA048017-03 46,471 —

W ake Forest NCORP Research Base 287 93.279 360-32491-11000001232//3UG1CA189824-09S1 77,263 —

Interferon-modulated vaccines against HIV 93.279 3DP2DA051912-01S2 397,673 —

Developing and Testing a Social Network Data Capture Tool to Improve Partner Services 93.279 3R34DA052216-03S1 315,961 —

Improving Outcomes of Adolescents in Residential Substance use Treatment via a Technology-Assisted Parenting Intervention 93.279 3R37DA052918-03S1 526,121 104,616

FP: Wake Forest NCORP Research Base 287 93.279 487-32491-11000001232 AMD 2//3UG1CA189824-09S1 23,983 —

Contribution of the Virome to HIV/AIDS pathogenesis 93.279 5DP1DA048493-05 REVISED 724,005 —

The design, synthesis, and evaluation of natural product-inspired small molecules targeting the 5-HT2C receptor as novel therapeutics for opioid use disorder 93.279 5F30DA050445-03 REVISED (2,033) —

Chronic Pain Modulation of Mesolimbic Dopamine Signaling for Natural and Opiate Rewards (NRSA Predoc Fellowship for Gabriela C. Lopez, MS.) 93.279 5F31DA056200-02 46,769 —

Pilot Implementation of Measurement-Based Care in Community Opioid Treatment Programs 93.279 5K23DA050729-04 206,717 —

COVID-19: Center for Prevention Implementation Methodology for Drug Use and HIV (Ce-PIM) 93.279 5P30DA027828-10 (14,627) —

Center for Prevention Implementation Methodology for Drug Use and HIV (Ce-PIM) 93.279 5P30DA027828-10 (73,895) —

Center for chronic pain and drug abuse 93.279 5P50DA044121-05 1,882,442 160,487

Drug Abuse and Related Health Disparities: An Intergenerational Longitudinal Study of Offspring of Delinquent Youth (Northwestern Offspring Project) 93.279 5R01DA042082-05 581,561 —

netCanvas: Development, Hardening, and Dissemination of a Software Suite for the Collection of Complex Network and Contextual Data in HIV and Drug Research 93.279 5R01DA042711-05 58,549 —

Implementing contingency management in opioid treatment centers across New England: A hybrid type 3 trial 93.279 5R01DA046941-04 363,444 72,428

Elucidating Mechanisms of Pregnancy’s Protective Effect on Drug Abuse Using Integrated Data Analysis 93.279

5R01DA050700-02 260,367 181,619

Leveraging data synthesis to identify optimal and robust strategies for HIV elimination among substance-using MSM 93.279 5R01DA055502-02 538,794 202,085

(Continued)38

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Autophagic regulation of cocaine abuse 93.279 5R01DA056720-02 $ 463,425 58,908

COVID-19: Multilevel Influences on HIV and Substance Use in a YMSM cohort 93.279 5U01DA036939-09 135,784 —

Multilevel Influences on HIV and Substance Use in a YMSM cohort 93.279 5U01DA036939-09 2,057,902 —

9/24- Healthy Brain and Child Development National Consortium 93.279 5U01DA055355-03 1,519,209 156,304

Stagewise Implementation To Target – Medications for Addiction Treatment (SITT-MAT) 187 93.279 62756859-181406//5R01DA052975-03 35,991 —

Center for Dissemination and Implementation at Stanford (C-DIAS) 187 93.279 62967837-199049//1P50DA054072-01A1 278,047 —

Center for Dissemination and Implementation At Stanford (C-DIAS) 187 93.279 62968986-199049//1P50DA054072-01A1 288,241 —

Research Adoption Support Center 187 93.279 63005326-257650//1U2CDA057717-01 54,319 —

Development and Preliminary Testing of an Adjunct Smartphone App to Reduce Marijuana Use in Court-Involved, Non-Incarcerated Adolescents 93.279 7K23DA048062-04 130,498 —

Assessing the impact of opioid prescription duration limits 93.279 7R21DA050047-02 92,203 73,871

Robust modeling of within- and across-area population dynamics through the development of a practical recurrent neural network toolkit 71 93.279 A580885//1RF1DA055667-01 150,424 —

Examining the Quality of Opioid Use Disorder Treatment in a Medicaid Research Network 259 93.279 AWD00000068 (132578-11)//5R01DA048029-03 29,943 —

Improving racial equity in opioid use disorder treatment in Medicaid 259 93.279 AWD00006300 (138503-13)//1R01DA055585-01 16,721 —

The Healthy Brain and Child Development National Consortium Administrative Core 222 93.279 KR 705056//5U24DA055325 124,634 —

Optimizing PrEP Adherence in Sexual Minority Men who Use Stimulants 248 93.279 OS00000283//5R01DA051848-03 10,979 —

Family-based Recovery Support Service Network for Youth OUD 155 93.279 PTEA AGMT 10/21/22//1R24DA051946-01 36,640 —

Supporting Treatment Adherence for Resilience and Thriving (START): A mHealth intervention to improve ART adherence for HIV-positive stimulant-using 248 93.279 SPC-002231//R01DA049843 18,321 —

Neuroscience, Immunology, Social Adversity and the Roots of Addictive Behaviors: Toward a New Framework for Drug Use Etiology and Prevention 234 93.279 SUB00002412 Amnd 4/5P50DA051361-03 315,416 —

Stress and Opioid Misuse Risk: The Role of Endogenous Opioid and Endocannabinoid Mechanisms 280 93.279 VUMC10071//1R01DA050334-01A1 11,626 —

Development of an implantable closed-loop system for delivery of naloxone for the prevention of opioid-related overdose deaths 288 93.279 WU-22-0220 AMND No. 2//4UH3DA050303-03 1,504,304 —

14,085,077 1,010,318

Valency and distance co-optimized peptide bound PEG-b-PPS Filomicelles hydrogel depot for anti-integrin therapeutics 236 93.286 18850 AMND 1//5R03EB032602-02 6,964 —

Development of a Novel Split Enzyme Diagnostic Platform for Use at the Point of Care 93.286 1K99EB034778-01 25,977 —

Rationally Designed, Target-specific Imaging Probes for Nephro-urology Diagnoses 93.286 1R01EB033377-01A1 Revised 105,207 —

Novel MRI coil technology for safe imaging of children with implants

93.286 1R01EB034377-01 18,701 —

Assessing RF heating of active implantable medical devices in low-field MRI system 93.286 1R03EB033864-01 67,248 —

BehaviorSight: Privacy enhancing wearable system to detect health risk behaviors in real-time. 93.286 1R21EB030305-01 194,572 —

COVID-19: The Center for Innovation in Point-of-Care Technologies for HIV/AIDS at Northwestern University (C-THAN) RADx Supplemental Request 93.286 3U54EB027049-02S1 REVISED 308,080 25,128

The Center for Innovation in Point-of-Care Technologies for HIV/AIDS at Northwestern University (C-THAN) 93.286 3U54EB027049-05S1 1,568,645 543,562

High-content High-speed Chemical Imaging of Metabolic Reprogramming by Integration of Advanced Instrumentation and Data Science 26 93.286 4500004177 AMD 001//1R01EB032391-01 Revised 16,837 —

An Enzyme Self-Amplification System for Ultrasensitive Detection of Biomarkers at the Point of Care 93.286 5F32EB031608-02 61,172 —

Developing a virtual placenta biobank 93.286 5K08EB030120-03 148,785 —

Patient-adjustable MRI technology for high-resolution imaging of deep brain stimulation 93.286 5R00EB021320-04 (5,459) —

Image-Guided Transcatheter Delivery of Natural Killer Cell Therapy Augmented with IFN-Gamma Eluting Microspheres 93.286 5R01EB026207-04 146,031 —

Design-driven engineering of robust mammalian sense-and-respond functions 93.286 5R01EB026510-04 145,292 —

Developing a SMART scaffold for bladder augmentation 93.286 5R01EB026572-04 473,764 —

Reconfigurable MRI technology for safe and high-resolution imaging of deep brain stimulation at 3T 93.286 5R01EB030324-03 586,323 167,783

A universal multi-drug encapsulation and delivery system employing supramolecular nanogels that self-assemble via dynamic sulfone bonding 93.286 5R01EB030629-02 691,419 —

Assessing RF heating of deep brain stimulation implants in high-field open-bore MRI systems 93.286 5R03EB029587-02 13,063 —

Application of machine learning for fast prediction of MRI-induced RF heating in patients with implanted conductive leads 93.286 5R03EB032943-02 51,924 —

Rapid Pediatric Cardiovascular MRI without Contrast Agent or Anesthesia 93.286 5R21EB024315-02 REVISED 17,614 17,614

Next-Generation Cardiovascular MRI powered by Artificial Intelligence 93.286 5R21EB030806-02 REVISED 139,016 —

3D Bioprinting of Strong Living Scaffolds 93.286 5R21EB032535-02 124,964 —

Interdisciplinary Graduate Education in Movement and Rehabilitation Sciences 93.286 5T32EB009406-12 46,514 —

Graduate Training Program for Magnetic Resonance Imaging 93.286 5T32EB025766-05 204,371 —

Regenerative Engineering Training Program (RE-Training) 93.286 5T32EB031527-03 295,429 —

Enabling Next Generation Machine Learning for Large Scale Image Analysis 172 93.286 Advance Account//2R44EB032722-02A1 5,931 —

Human and Machine Learning for Customized Control of Assistive Robots 165 93.286 cc 81301 Amend 4//1R01EB024058 99,568 —

COVID-19: RADx Clinical Studies Core 247 93.286 OSP/WPM33765-NW//3U54HL143541-02S2 924,291 353,698

Development of Software to Rapidly Assess Placenta Images at Birth 156 93.286 S003662-DHHS//1 R01 EB030130-01A1 9,035 —

Bioresorbable RF Coils for Post-Surgical Monitoring by MRI 279 93.286 UNIV61946//5R21EB027881-02 149 —

6,491,427 1,107,785

Genomic Analysis of Enhanced Response to Heart Failure Therapy in African Americans (GRAHF) 259 93.307 0041119(124864-3)//5R01MD009118-05 REVISED (364) —

Understanding health disparities in Pakistani, Bangladeshi and Asian Indian immigrants: the role of socio-cultural context, acculturation and resilience resources 223 93.307 13067sc//5R01MD016071-03 172,868 —

2021 National LGBTQ Health Conference: Bridging Research and Practice 93.307 1R13MD015672-01 22,199 —

Racial disparities in police use of deadly force as a cause of racial disparities in sleep health across the life course 124 93.307 236743 Amd 3//5U01MD014023-03 18,557 —

Developing and Pilot Testing Peer Ambassador Stories for Increasing HIV-Prevention and Behavioral Health Treatment Uptake among Latino MSM 248 93.307 5K23MD015690-03/ OS00000839 Amd 2 19,655 —

Reducing Assessment Barriers for Patients with Low Literacy 93.307 5R01MD010440-05 640,412 382,370

Understanding socioeconomic disparities in perinatal risk: The role of epigenetic and transcriptional regulation in the placenta 93.307 5R01MD011749-05 102,655 —

Effectiveness and Implementation of a Mindfulness Intervention for Depressive Symptoms Among Low-income, Racial/Ethnic Minority Adults in a Federally Qualified Health Center 93.307 5R01MD012236-05 166,913 —

Characterizing PrEP Adherence and Patterns of Use in a Diverse Community Cohort of Young Men 93.307 5R01MD013609-04 167,962 —

COVID-19: Collateral Consequences of Parents Incarcerations for Their Adolescent Children: A Prospective Longitudinal Study 93.307 5R01MD014020-04 42,506 —

Collateral Consequences of Parents Incarcerations for Their Adolescent Children: A Prospective Longitudinal Study 93.307 5R01MD014020-04 702,338 —

The OPTIMIZE Study: Optimizing Patient Navigation for Perinatal Care 93.307 5R01MD014068-05 475,108 343,438

Simulation Modeling to Understand and Address HIV Disparities in Racial, Ethnic, and Sexual Minority Populations 93.307 5R01MD014703-04 REVISED 429,776 324,236

Enhancing Perinatal Care Support to Improve Maternal Mortality Disparities 93.307 5R01MD016280-03 187,654 74,487

Preventing postpartum depression among immigrant Latinas through a virtual group intervention 93.307 5R01MD017622-02 343,192 136,910

African-American Social Support Effectiveness Treatment- Partners Alleviating Perinatal Depression (ASSET-PPD) 93.307 5R21MD014798-02 123,901 42,785

Northwestern University Minority Health and Health Disparities Research Training (NU-MHRT) 93.307 5T37MD014248-05 285,387 169,568

A Pragmatic Trial of An Adaptive eHealth HIV Prevention Program for Diverse Adolescent MSM 93.307 5U01MD011281-05 328,194 19,647

Unraveling Racial Disparities in Portal Hypertension: A Clinical, Spectroscopic and SNP Approach 23 93.307 MD013631-02//7R21MD013631-03 19,090 —

VietAmerican Health Pilot Study 254 93.307 RF00219-2021-0066//1R21MD013542-01A1 3,717 —

A Community Based Participatory Trial to Increase Stroke Treatment 249 93.307 SUBK00018347//5U01MD010579-05 41,371 —

4,293,091 1,493,441

Impact of Culturally Aware Mentoring Interventions on Research Mentors and Graduate Training Programs 275 93.310 0000002668//1U01GM132372-1 48,680 —

Enhanced Grant Writing Coaching Groups for a Diverse Biomedical W orkforce 272 93.310 10050224-03//5U01GM132366-04 76,839 —

Identifying Mechanisms Governing T Cell Diversity 93.310 1DP2AI136599-01 (6,222) —

(Continued)39

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Cell-free DNA sequencing approaches to define the genetic etiology of unexplained epilepsy 93.310 1DP2NS111506-01 REVISED $ 426,649 —

NURTURE: Northwestern University Recruitment to Transform UnderRepresentation and achieve Equity 93.310 1U54CA272163-01 353,491 —

COVID-19: RADx-UP Coordination and Data Collection Center 66 93.310 303000056 AMD2 // 5U24MD016258-03 62,860 —

The 4D nucleome of muscle regeneration in ischemia-induced tissue damage and repair 66 93.310 303000909//5U01HL156064-03 68,343 —

Mechanisms of Genome Organization in Brain Development and Behavior 93.310 5U01DA053691-04 485,298 —

Nutrition Precision Health for All of Us (Chicago Center) 93.310 5UG1HD107697-02 758,879 217,150

Renewable and Specific Affinity Reagents for Mapping Proteoforms in Human Tissues 93.310 5UH3CA246635-03 (1,233) —

The 4D nucleome of muscle regeneration in ischemia-induced tissue damage and repair 66 93.310 A034155-01//1U01-HL156064-01 (63,743) —

The 4D nucleome of muscle regeneration in ischemia-induced tissue damage and repair 66 93.310 A035307//5U01-HL156064-02 55,014 —

COVID-19: Community network driven COVID-19 testing among most vulnerable populations in the Central United States 226 93.310 AWD101615 (SUB00000363)//3UG1DA050066-03S1 106 —

COVID-19 testing and vaccination social network diffusion for diverse criminal legal involved communities 226 93.310 AWD102706 (SUB00000760)//5U01MD017414-02 10,584 —

COVID-19: SCENTinel: A Rapid Smell Test for COVID-19 Surveillance 136 93.310 NIH073A03DALTO//5U01DC019578-03 106,755 —

A streamlined platform for phosphoproteome mapping of human tissues 154 93.310 No. 546717, Mod 3//1UG3CA256967-01 107,871 —

The role of nucleoli in human genome organization in normal and disease states 247 93.310 OSP33101-00//5U01CA260699-03 403,906 —

Center for 3D Structure and Physics of the Genome 247 93.310 OSP33133-04//5UM1HG011536-03 99,000 —

Center for 3D Structure and Physics of the Genome 247 93.310 OSP33133-05//5UM1HG011536-03 69,123 —

Midwest Murine-Tissue Mapping Center (MM-TMC) – Admin Core 250 93.310 P009924301//1U54AG079754-01 46,984 —

Midwest Murine-Tissue Mapping Center (MM-TMC) – BIOLOGICAL ANALYSIS CORE 250 93.310 P010409101//1U54AG079754-01 Revised 274,628 —

Midwest Murine-Tissue Mapping Center (MM-TMC) – DATA ANALYSIS CORE 250 93.310 P010409601//1U54AG079754-01 REVISED 36,888 —

Evaluating diverse technologies for detecting and validating senescent cells in vivo 32 93.310 SA16036-NU//5UG3CA268105-02 203,228 —

Evaluating diverse technologies for detecting and validating senescent cells in vivo 32 93.310 SA16042-NU//5UG3CA268105-02 59,774 —

Biospecimen Core for Procurement of Human Somatic and Reproductive Tissues for Senescent Cell Mapping 32 93.310 SA60001-NU AMD1//5U54AG075932-02 219,232 —

Center for 3D Structure and Physics of the Genome 247 93.310 SUB00000208//3UM1HG011536-03S1 78,591 —

Genetics and quantum chemistry as tools for unknown metabolite identification 234 93.310 SUB00001824//U2CES030167 6,428 —

3,987,953 217,150

Translating Scientific Evidence into Practice using Digital Medicine and Electronic Patient Reported Outcomes 96 93.350 0255-D514-4609//5U01TR002997-04 87,039 —

Informing Ethical Translation of Xenotransplantation Clinical Trials 90 93.350 410Amd2//5R01TR003844-02 123,487 —

Northwestern University Clinical and Translational Science Institute (NUCATS) 93.350 5KL2TR001424-09 867,529 160,708

Northwestern University Clinical and Translational Science Institute (NUCATS) 93.350 5TL1TR001423-08 225,837 —

CRITICAL: Collaborative Resource for Intensive care Translational science, Informatics, Comprehensive Analytics, and Learning 93.350 5U01TR003528-03 1,306,436 909,486

COVID-19: Northwestern University Clinical and Translational Science Institute 93.350 5UL1TR001422-08 34,807 —

Northwestern University Clinical and Translational Science Institute 93.350 5UL1TR001422-08 6,068,465 776,365

COVID-19: Clinical and Translational Science Award – Trans-NIH Research Support (Sub award) 128 93.350 AGMT Black 8/16/22//3UL1TR001436-07S1 175,354 —

Advancing Standardized Clinical Outcome Tools for Duchenne Muscular Dystrophy 283 93.350 FP00014097_SA001//5R21TR004007-02 8,280 —

8,897,234 1,846,559

Analyzing and Interpreting Clinician and Patient Adverse Event Data to Better Understand Tolerability in ECOG-ACRIN Studies 59 93.353 1204004//5U01CA233169-05 AMD6 100,752 —

Structure and Function of the SS18-SSX-containing mSWI/SNF (BAF) Complex Unveiling New Paths Toward Therapeutic Targeting 59 93.353 1205703//1U54CA231638-01 REV (200) —

Structure and Function of the SS18-SSX-containing mSWI/SNF (BAF) Complex Unveiling New Paths Toward Therapeutic Targeting 59 93.353 1205704//1U54CA231638-01 REVISED (38,002) —

Structure and Function of the SS18-SSX-containing mSWI/SNF (BAF) Complex Unveiling New Paths Toward Therapeutic Targeting 59 93.353 1205705//1U54CA231638-01 REV 376,212 —

Center for Synovial Sarcoma Biology and Therapeutics 59 93.353 132501//3U54CA231638-01S1 55,885 —

Elucidating the mechanism of Ga13 mediated tumor suppression in pancreatic cancer

93.353 1R01CA283925-01 99 —

Structure and Function of the SS18-SSX-containing mSWI/SNF (BAF) Complex Unveiling New Paths Toward Therapeutic Targeting 59 93.353 1U54CA231638-01//1205702 (6,421) —

Implementation and Evaluation of an Expanded Bilingual Electronic Symptom Management Program across a Multi-site, Fully-integrated Comprehensive Cancer Center 93.353 3UM1CA233035-01S1 1,781,279 246,056

Advancing the Quality of Cancer Care through Behavioral Economics and Implementation Science 258 93.353 5-P50-CA-244690-03//585589 61,879 —

Scalable TELeheaLth Cancer CARe: The STELLAR Program to Treat Cancer Risk Behaviors 93.353 5P50CA271353-02S1 984,202 —

Using Information Technology to Improve Outcomes for Children Living with Cancer 93.353 5U01CA246612-04 394,325 —

Accelerating Colorectal Cancer Screening and Follow-up through Implementation Science in Chicago (ACCSIS-Chicago) 226 93.353 AWD069107-01-PR (SUB00000212)Amd3//5UH3CA233229-05 37,899 —

3,747,909 246,056

COVID-19: Transcending COVID-19 barriers to pain care in rural America: Pragmatic comparative effectiveness trial of evidence-based, on-demand, digital behavioral treatments for chronic pain 39 93.361 0001896810//1R01NR019947 19,966 —

Pain Response Evaluation of a Combined Intervention to Cope Effectively (PRECICE) 287 93.361 349-33391-11000001253 AMD2//1UG3NR019196-01 38,959 —

Managed Problem Solving for ART Adherence and HIV Care Retention Delivered by Community Health W orkers: A Stepped W edge Hybrid Type II Effectiveness Implementation Trial 258 93.361 580811//5-R01-NR-019753-03 114,365 —

EHR-based Universal Medication Schedule to Improve Adherence to Complex Regimens 93.361 5R01NR015444-05 69,517 69,517

Building a causal pathway framework to identify interventions to eliminate racial/ethnic disparities in severe maternal morbidity 187 93.361 62736588-206060 AMD1//5R01NR020335-02 33,816 10,878

276,623 80,395

Mitigating Long-term Treatment-related Morbidity in Childhood Cancer Survivors 214 93.393 000519160-003//5R35CA220502-04 148,002 —

Disease Beliefs and Cognition: Effect on Diabetes Management in Older Breast Cancer Survivors 96 93.393 0255-3801-4609 Amnd 8//5R01CA214491-05 110,291 —

Modeling Best Approaches for Cardiovascular Disease Prevention in Cancer Survivors 96 93.393 0255-H281-4609//1R01CA271604-01A1 16,440 —

Novel Health Equity Intervention to Improve Pediatric Oncology Outcome Disparities: Targeting Poverty and Psychosocial Stress 59 93.393 1289702//5R01CA267107-02 19,762 —

Every Day Counts: A lifestyle program for women metastatic breast cancer 128 93.393 1R01CA258759-01A1//Bonini AGMT 7/12/22 20,074 —

West Africa Self-Sampling HPV Based Cervical Cancer Control Program (WA-SS-HCCP) for WLWHA: Barriers, challenges, and needs 93.393 1U01CA275129-01 609,413 259,082

Patient-Centered Reminders to Inform, Motivate, and Engage Colorectal Cancer Screening Adherence in Rural Communities: The PRIME-CRC Trial 121 93.393 21-08-003 AMD 2//5R01CA240496-03 95,028 —

Improving Emergency Care and Outcomes of Immune-related Adverse Events: The Immune-related Emergency Disposition Index (IrEDi) 270 93.393 3001922293 Amnd 1//5R01CA267856-02 81,286 —

Using MOST to EMPOWER: Optimizing an emotion regulation intervention to enhance well-being among young adult cancer survivors 287 93.393 412-45117-10000550033Amd3//5R01CA242849-04 75,031 —

Testing Novel Pharmacogenetic and Adherence Optimization Treatments to Improve the Effectiveness of Smoking Cessation Treatments for Smokers with HIV 258 93.393 578028//5R01CA243914-03 210,577 —

K00 for Deanna Tiek in support of: Novel relationships of splicing factors in temozolomide-resistant glioblastoma 93.393 5K00CA234799-06 93,515 —

Regulation of Human Papillomavirus Gene Expression 93.393 5R01CA059655-30 358,354 —

HPV and the DNA Damage Response 93.393 5R01CA142861-10 (7,473) —

Patient Navigation 2.0: Addressing the Challenge of Scaling Navigation through Checklist-based Implementation 93.393 5R01CA163830-10 650,387 (8,131)

Progesterone Signaling and Blockade in Human Breast Tumorigenesis and Prevention 93.393 5R01CA192124-05 (145) —

Reducing the Effects of Active Surveillance Stress, Uncertainty and Rumination thru Engagement in Mindfulness Education (REASSURE ME) 93.393 5R01CA193331-06 REVISED 110,693 23,825

The inhibitory network between EZH2 and PARP1 in triple-negative breast cancer 93.393 5R01CA208257-07 176,859 —

Evaluating the protective effect of a tissue selective estrogen complex (TSEC) in women with newly diagnosed ductal carcinoma in situ 93.393 5R01CA218436-05 294,057 118,366

Genomic Prediction of Doxorubicin-Induced Cardiotoxicity 93.393 5R01CA220002-05 474,830 —

Translating buccal nanocytology for lung cancer screening into clinical practice 93.393 5R01CA225002-06 543,804 162,466

Role of NF90 in Prostate Cancer 93.393 5R01CA227918-05 198,035 —

(Continued)40

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Determinants of transdermal drug delivery to the normal and the radiated breast 93.393 5R01CA235647-05 $ 324,406 9,708

Targeting Posttranslational Modifications in Breast Carcinogenesis 93.393 5R01CA250110-02 (204) —

Small molecule probes of MYC stability and function intumorigenesis 93.393 5R01CA257258-03 661,949 —

Predicting and Preventing Chemotherapy-Induced Cardiotoxicity in African American Children 93.393 5R01CA261898-03 648,204 322,043

Optimization of a mHealth Physical Activity Promotion Intervention with Mindful Awareness for Adolescent and Young Adult Cancer Survivors 93.393 5R01CA262357-02 779,281 85,981

Evaluating Patient-Reported Outcomes Monitoring in Routine Care of Patients with Chronic Myeloid Leukemia for Increasing Adherence and Clinical Response to THerapY:

The EMPATHY Pilot Study 93.393 5R21CA230367-02 2,189 1,670

Mutations of Chromatin and its Modifying Machineries in Malignancies 93.393 5R35CA197569-07 (15,264) —

Mutations of Chromatin and its Modifying Machineries in Malignancies 93.393 5R35CA197569-09 1,007,855 —

Technology Facilitated Behavioral Intervention for Depression among Diverse Patients in Ambulatory Oncology 93.393 5R37CA255875-03 814,767 252,214

Surgical Multispecialty Access to Research in Residency Training (SMART) 93.393 5R38CA245095-03 387,206 61,738

Informatics Tools for Quantitative Digital Pathology Profiling and Integrated Prognostic Modeling 93.393 5U01CA220401-04 103,926 65,277

Subcontract: Targeting Posttranslational Modifications in Breast Carcinogenesis 71 93.393 A662277//7R01CA250110-03REVISED 79,425 —

Improving PRO Interpretation at the Individual Level for Patients with Cancer using Conversational Agents and Data Visualization 205 93.393 AMD 7/17/23//R01CA271145 54,116 —

CXCR4 as a target for colon cancer chemoprevention 226 93.393 AWD100181 (SUB00000087) AMD 3\\5R01CA240710-04 39,729 —

Evaluating a mobile application to reduce distress in breast cancer survivors using an adaptive design 273 93.393 GB10933.PO#2333666//R37CA248434-02 18,911 —

Biomarker-Based Phase IIB Trial of (Bazedoxifene-Conjugated Estrogen) to Reduce Risk for Breast Cancer 240 93.393 GR16843//5R01CA249437-02 1,083 —

Structural Cell Biology of DNA Repair Machines 219 93.393 NO. 7615718-02//5P01CA092584-22 65,861 —

Biomarkers to Improve Targeting of Breast Cancer Prevention in W omen with Atypical Hyperplasia 126 93.393 NWU-263646-04 Amendment 5//5R01CA237607-04 54,623 —

The ECOG-ACRIN SUPPORT Trial: Multilevel Intervention to Improve Diverse Enrollment in Cancer Clinical Trials 69 93.393 U01CA274996-01-NWU1//1U01CA274996-01 88,329 —

9,395,212 1,354,239

Multi-site adaptive trial of a technology-based, EHR-integrated physical activity intervention in breast and endometrial cancer survivors 275 93.394 0000000266//1R37CA225877-01A1 Amd. No. 2 9,249 —

Predicting Pancreatic Ductal Adenocarcinoma (PDAC) through Artificial Intelligence Analysis of Pre-diagnostic CT Images 39 93.394 0002121330//5R01CA260955-02 79,707 —

Optimization of a remote intervention to improve nutrition and physical activity in colorectal cancer survivors 223 93.394 12586sc//5R37CA248774-03 20,301 —

Establishing the clinical utility of cell-free tumor DNA methylation profiling as a reliable liquid biopsy approach in brain tumors 211 93.394 1R01CA263196-01 2,071 —

Development of Next-Generation Blood-to-barcode (B2B) chip for In Vivo CRISPR-Based Discovery of Metastasis Regulators 93.394 1R01CA277507-01

308,579 —

Imaging in 2020: Imaging in Immuno-oncology (I3O) 93.394 1R13CA254380-01 REVISED 5,609 —

Special Public T Cell Receptor Sequences that Predict Outcomes for Cancer Patients 93.394 1R21CA277285-01 82,064 —

Comprehensive validation and commercial readiness of SpliceIO, a software platform for neoantigen discovery using RNA-seq data 72 93.394 1R44CA265446-01-NU//1R44CA265446-01A1 165,155 —

Hybrid Intelligence for Trustable Diagnosis And Patient Management of Prostate Cancer (HIT-PIRADS) 93.394 1U01CA268808-01A1 13,689 —

Infection-Associated Cancer Research Training Program in Mali 93.394 5D43CA260658-03 267,938 131,380

Risk-stratification of Prostate Cancers via Field Carcinogenesis Nanocytology 93.394 5R01CA200064-05 96,580 96,100

Tumor immune and glycan biomarkers for progressive prostate cancer 93.394 5R01CA212409-05 220,164 55,476

Catheter-Directed Image-Guided Delivery of Cytostatic and Cytotoxic Combination Therapy to Liver Tumors 93.394 5R01CA218659-05 275,862 49,185

Radiologist-Centered Artificial Intelligence (RCAI) for Lung Cancer Screening and Diagnosis 93.394 5R01CA240639-03 571,454 111,521

A Multilevel Physical Activity Intervention for South Asian W omen and Girls 93.394 5R01CA242520-05 580,713 122,142

Novel IL-12 Gene Delivery Vehicles for Transformation of Solid Tumors 93.394 5R01CA244872-04 1,121,764 34,353

Cyst-X: Interpretable Deep Learning Based Risk Stratification of Pancreatic Cystic Tumors 93.394 5R01CA246704-04 776,171 97,614

Development of microfluidic enabled CRISPR-Cas9 functional genetic screening technologies for target discovery in cancer immunotherapy 93.394 5R01CA260170-03 260,900 80,913

Fit2ThriveMIND: Optimizing a mHealth Physical Activity Intervention with Mindful Awareness Lessons in Breast Cancer Survivors 93.394 5R01CA266178-02 570,747 —

Microvasculature in Colon Field Carcinogenesis: Clinical-Biological Implications 23 93.394 7000001387//5R01CA224911-05 153,832 —

Multi-Site adaptive trial of a technology-based, EHR -integrated physical activity intervention in breast and endometrial cancer survivors 93.394 7R37CA225877-05 156,925 —

Multi-site adaptive trial of a technology-based, EHR-integrated physical activity intervention in breast and endometrial cancer survivors 275 93.394 893K546 AMD 5//1R37CA225877-01A1 161,766 —

Improved whole-brain spectroscopic MRI for radiation therapy planning 71 93.394 A659518-Amnd 1//5U01CA264039-05 36,226 —

A highly sensitive linear amplification based DNA methylation profiling technique for clinical cancer research 226 93.394 AWD103095 (SUB00000749)//1R33CA269100-01 101,816 —

Improved Detection of Cerebral Metastases using a Novel T1 Relaxation-Enhanced Steady-State (T1RESS) MRI Technique 147 93.394 EH21-211-S1//1R01CA263091-01A1 16,426 —

Development of 5hmC and 5mC biomarkers in cell-free circulating DNA for sensitive colon cancer detection and prognosis 226 93.394 FP064995//5U01CA217078-05 36,938 —

Epigenomic markers of circulating cell-free DNA and treatment outcome in multiple myeloma 226 93.394 FP066297-02-PR-B//5R01CA223662-05 90,486 —

Fluorescent Indocarbocyanine PEGylated Lipid Nanoparticles for Understanding and Overcoming Barriers to Drug Delivery in Invasive Glioblastoma 229 93.394 FY23.1060.001//1R01CA257958-01A1 130,390 —

Real-time volumetric specimen imager for 3D intra-operative lumpectomy margin assessment 48 93.394 S01//5R44CA206801-05 167,601 —

Spherical Nucleic Acid nano-architectures as first-in-class cGAS agonists for the immunotherapeutic treatment of Glioblastoma 288

93.394 WU-23-0259//1R01CA275430-01 181,948 —

6,663,071 778,684

Early Therapeutics and Rare Cancer Vice Chair Role 152 93.395 1013080_NORTHWESTERN//5U10CA180888-09 AMD 4 19,622 —

Alliance for Clinical Trials in Oncology (Alliance Executive Officer) 27 93.395 120870//5U10CA180821-10 121,658 —

Alliance Operations – Administrative Core 27 93.395 120870//5U10CA180821-10 220,174 —

Optimizing pre-analytic sample handling for high throughput TCR sequencing in cutaneous T cell lymphoma 27 93.395 123941 AMD 3//5U01CA253190-04 46,991 —

Lineage Plasticity, due to Disruption of MnSOD Biology, drives resistance to Ionizing Radiation / Androgen Deprivation Therapy 269 93.395 169448/169447//5 R01 CA257148-02 16,176 —

Innovative Research for Cancer Nanotechnology (IRCN) for Enhancing Melanoma-specific Immune Responses by the Rational Design of Spherical Nucleic Acids 93.395 1R01CA257926-01A1 625,680 —

Chemo-mediated transcriptional reprogramming in ovarian cancer 93.395 1R01CA267544-01 349,629 —

Phenotypic marker-guided development of selective antimetastasis therapeutic leads 93.395 1R01CA269967-01 594,019 194,792

A Phase II Clinical Trial in Newly Diagnosed Glioblastoma Patients Treated with W P1066 and Radiation 93.395 1R01CA272639-01A1 33,380 —

A Novel ULK1 Pathway as a New Therapeutic Target in Melanoma 93.395 1R21CA245447-01A1 71,522 —

Pelvic fascia spARing radical prostatectomy TrIAL (PARTIAL) 113 93.395 213607//1 R01 CA259173-01A1 69,476 —

Evaluation of Transperineal Biopsy under Local Anesthesia, a Novel approach to Decrease Post-Biopsy Infections and Improve Cancer Detection 113 93.395 223295-2 amd3//5R01CA241758-03 94,349 —

Phase II trial of mTORC1/mTORC2 inhibitor AZD2014 for sporadic meningioma 124 93.395 229149 AZD2014//5R01CA201130-04 (8,589) —

Epigenetic study of oral HPV infection-associated oral cancer in people living with HIV in Nigeria 93.395 3R01CA274952-02S1 585,385 349,787

North American Star Consortium 211 93.395 410013075//3UM1CA186644-06S2 94,549 —

A biomarker-driven strategy to guide the use of radiotherapy in non-small cell lung cancer 93.395 4R37CA222294-06 72,431 —

Modulation of Microglia and T Cell Interactions in Malignant Glioma 93.395 5R01CA120813-15 502,839 132,859

Separating autoimmunity and anti-tumor immunity 93.395 5R01CA191317-05 (262) —

NKG2D superagonist co-stimulation to enhance adaptive immunotherapy of cancer 93.395 5R01CA208246-05 223,295 —

Retrospective NCI Phantom-Monte Carlo Dosimetry for Late Effects in W ilms Tumor 93.395 5R01CA219013-05 516,137 513,237

Radiation induced cancer risk reduction as a function of dose protraction: interspecies comparison 93.395 5R01CA221150-05 (6,136) —

Giving and receiving: A reciprocal support writing intervention to reduce symptoms during stem cell transplant 93.395 5R01CA223963-04 384,364 187,937

Targeting Lipid Unsaturation in Ovarian Cancer Stem Cells 93.395 5R01CA224275-05 521,732 169,862

Reducing Cancer Transcriptional Heterogeneity through Regulation of Chromatin Structure 93.395 5R01CA228272-05 REVISED 518,953

84,671

Yittrium-90 radiation lobectomy: Dose optimization and prediction of FLR hypertrophy to enable resection of HCC 93.395 5R01CA233878-03 250,185 —

Blood-brain barrier disruption with implantable ultrasound to enhance paclitaxel delivery: A Phase 1-2 clinical trial in recurrent glioblastoma 93.395 5R01CA245969-03 403,022 —

(Continued)41

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Using Prostate Health Index and MRI in Combination for Cost-effectively Detecting High-Grade Prostate Cancer in Minorities 93.395 5R01CA249973-04 $ 726,262 252,593

Bioinspired chemical probe approach targeting telomerase reverse transcriptase 93.395 5R01CA254047-03 519,396 264,941

Investigating Rational Combination Therapies for Triple-Negative Breast Cancer 93.395 5R01CA258833-02 189,280 —

Ornithine Aminotransferase Inactivation, a New Approach for Treatment of Cancers 93.395 5R01CA260250-03 450,399 26,558

Training Swallowing Initiation during Expiration: Impact on Safety and Efficiency Following Treatment for Oropharyngeal Head and Neck Cancer 93.395 5R01CA262502-03 588,347 —

Co-targeting BET Bromodomain Proteins and MNK Kinases in Pancreatic Cancer 93.395 5R01CA265997-02 457,006 —

W eb-based Pain Coping Skills Training to Improve Pain and Poor Adherence caused by Aromatase Inhibitor-Associated Arthralgia In Breast Cancer Survivors (SKIP-Arthralgia): A Randomized

Controlled Trial 93.395 5R01CA271220-02 435,901 66,074

Rapid evaluation of immunotherapy regimens in ex vivo human pancreatic tumor slice cultures. 93.395 5R21CA255291-02 92,230 —

Therapeutic Targeting of Malignant Glioma Stem Cells 93.395 5R35CA197725-08 (1,163) —

A biomarker-driven strategy to guide the use of radiotherapy in non-small cell lung cancer 93.395 5R37CA222294-05 332,023 —

Development of B-cell-based vaccine for Glioblastoma 93.395 5R37CA258426-03 353,351 —

Nano-therapeutics Reprogramming of Immunosuppressive Myeloid Cells Potentiate Radiotherapy for Glioblastoma 93.395 5R37CA266487-02 358,107 —

Cellular plasticity gives rise to phenotypic equilibrium in small cell lung carcinoma 93.395 5U01CA268052-02 430,570 5,034

Northwestern University Lead Academic Participating Site 93.395 5UG1CA233320-05 799,970 —

In vivo Drug Testing of Pediatric CNS Tumors Using Patient Derived Orthotopic Xenograft Models 17 93.395 901640-NU AMD 1//5U01CA199288-07 33,361 —

Acceptance and Commitment Therapy for Fatigue Interference in Metastatic Breast Cancer 103 93.395 9121_NW//5R01CA230542-04 24,646 —

Radiation Oncology Chair of the Children’s Oncology Group 160 93.395 AR10934//U10CA180886 22,624 —

Institutional Membership-Alliance for Clinical Trials in Oncology 5 93.395 Fully-executed 11/13/13 30,107 —

Toward Translation of an Immunotherapeutic Nanomedicine for Neuroblastoma 279 93.395 OSA00000121//1R01CA274675-01 44,369 —

PSMA-targeted AuNPs for MR guided radiotherapy and radiosensitization 38 93.395 RES516065 Amnd 3//5R01CA260847-03 188,993 —

ECOG-ACRIN Deputy Chair of Policy and Implementation 69 93.395 U10CA180820-06-NWU1A//5U10CA180820-10 62,304 —

12,458,664 2,248,345

Pre-clinical development of a novel class of immunotherapeutic antibody for metastatic prostate cancer 35 93.396 1001NU//1R44CA247503-02 (636) —

Advancing treatment and understanding of immunotherapy in glioblastoma 223 93.396 13167sc Amendment 1//5U19CA264338-02 300,650 —

MnSOD-K68-Ac reprograms a lineage plasticity switch / stemness in ER+ breast malignancies 269 93.396 169017/169016//5R01CA253678-02 16,255 —

Optogenetic Control of Tumor Initiation and Tumor Progression in vivo 236 93.396 19012 AMD 1//5R33CA258012-02 78,273 —

Targeting posttranslational modifications of CD73 in TNBCs 93.396 1R01CA258857-01 (3,815) —

Novel immune suppressive activities of Fas/CD95 in triple negative breast cancer 93.396 1R01CA267815-01A1 482,133 —

The hypoxic niche in glioblastoma is maintained by myeloid produced creatine 93.396 1R01CA279686-01 133,758 —

Mechanisms of KSHV-induced endothelial cell loss of contact inhibition of proliferation 93.396 1R01CA285193-01 52,945 —

Mechanism and therapeutic potential of macrophage regulation in glioblastoma 93.396 5R00CA240896-04 291,090 —

Tumor suppressive functions of TET proteins in B cell malignancies: role of G-quadruplex structures 93.396 5R00CA248835-04 303,218 —

Signal Transduction of Type 1 Interferons in Malignant Cells 93.396 5R01CA077816-22 382,025 —

Targeting Novel Protein Complexes for the Treatment of Acute Myeloid Leukemia 93.396 5R01CA121192-15 288,985 —

Renewal: HPV and the DNA Damage Response 93.396 5R01CA142861-12 304,766 —

Target MIC shedding to revive anti-tumor immunity 93.396 5R01CA204021-07 270,437 —

The role of GPSM3 in tumor-promoting emergency myelopoiesis 93.396 5R01CA208354-05 95,703 —

Identification and targeting of mechanisms specific to glioma stem cells in glioblastoma 93.396 5R01CA214928-05 275,164 30,482

MnSOD Acetylation Promotes Cancer Stem Cell Phenotypes in Breast Cancer 93.396 5R01CA216882-05 247,841 —

Galpha13 and pancreatic cancer progression 93.396 5R01CA217907-05 236,141 —

Targeting Musashi-2 (MSI2) regulation of VEGFR2/VEGF-A in lung cancer 93.396 5R01CA218802-05 229,594 20,571

WEE1 inhibition and tumor immunity 93.396 5R01CA222963-06 210,352 —

Role of Desmoglein 1 in Keratinocyte-Melanocyte Communication and Melanoma 93.396 5R01CA228196-05 416,087 9,255

Genetic mechanisms underlying sexual dimorphism in cancer and response to therapy 93.396 5R01CA229618-06 690,551 324,141

Targeting a Treg deubiquitinase in antitumor immune therapy 93.396 5R01CA232347-05 288,445 —

How Circulating Melanoma Cells Usurp the Leukocyte Transmigration Mechanism for Successful Metastasis 93.396 5R01CA236904-05 482,245 —

Understanding Progesterone Receptor action in Obesity for Endometrial Cancer Prevention 93.396 5R01CA243249-05 418,285 71,814

Molecular mechanisms underlying circulating tumor cell aggregation 93.396 5R01CA245699-04 431,944 —

Transcriptional Control of Cellular Survival and Proliferation in KSHV-transformed B Cells 93.396 5R01CA247619-04 438,092 —

Modeling the Glioblastoma Microenvironment to Uncover Progression Mechanisms and Therapeutic Targets 93.396 5R01CA247905-03 646,793 19,445

The distinct role of cysteinyl leukotriene receptor for myeloid-derived suppressive cells 93.396 5R01CA250101-04 611,385 —

Reactive Oxygen Species in the Initiation, Survival and Racial Disparity of Uterine Leiomyoma 93.396 5R01CA254367-03

562,580 —

A non-canonical role for EZH2 in rRNA methtlation 93.396 5R01CA256741-02 522,781 107,635

Comprehensive analyses of HOXB13-regulated transcriptional programs critical for prostate cancer progression 93.396 5R01CA257446-02 REVISED 441,320 —

A deubiquitination module controls Treg adaptation to tumor microenvironment 93.396 5R01CA257520-03 727,566 —

Genome-wide mapping and characterization of exitrons in human cancer 93.396 5R01CA259388-02 293,590 —

Mechanisms of Lymphomagenesis of Skin Resident Gamma Delta T cells 93.396 5R01CA260064-02 REVISED 526,225 121,266

Stinging the Glioma Immune Landscape 93.396 5R01NS120547-03 REVISED 285,338 49,509

KSHV-induced oncogenic changes in a primary human lymphatic endothelial cell model of Kaposi’s Sarcoma 93.396 5R21CA265574-02 203,911 —

DISE – a natural cancer surveillance mechanism – a new road to cancer therapy 93.396 5R35CA197450-07 (2,405) —

Mitochondrial metabolism and ROS regulate cancer 93.396 5R35CA197532-07 794,419 —

Computational Approaches for Studying Transcription Elongation Control in Cancer 93.396 5R50CA265372-02 142,780 —

Matching panels of in vivo and in vitro model system of pediatric brain tumors 17 93.396 901599-NU AMD 2//5U01CA217613-03 16,427 —

Targeting posttranslational modifications of B7-H4 in carcinogenesis and therapy 71 93.396 A679170//7R01CA258765-02REVISED 11,916 —

Targeting posttranslational modifications of CD73 in TNBCs 71 93.396 A679670//7R01CA258857-02 REVISED 426,132 —

13,571,286 754,118

SPORE for Translational Approaches to Brain Cancer 93.397 2P50CA221747-06 2,253 —

Adapting Colorectal Cancer Screening Education Material for Two-Spirit, LGBTQIA, and Urban Native Americans 91 93.397 3P30CA016056-44S3 7,258 —

Northwestern University Center for Chromatin NanoImaging in Cancer (NU-CCNIC) 93.397 3U54CA268084-02S1 1,603,005 —

Mechanical determinants of organ-selective metastatic colonization, dormancy and outgrowth 59 93.397 4560701//U54CA261694/S5594 PO#709222 292,367 —

The Robert H. Lurie Comprehensive Cancer Center – Merit Extension 93.397 4P30CA060553-29 260,692 —

The Northwestern University Cancer Health Equity Research SPORE (NU-CHERS) 93.397 5P20CA233304-03 1,142,135 59,874

The Robert H. Lurie Comprehensive Cancer Center 93.397 5P30CA060553-28 5,657,743 —

SPORE in Prostate Cancer 93.397 5P50CA180995-05 (679) —

SPORE in Prostate Cancer 93.397 5P50CA180995-07 1,945,581 25,571

SPORE for Translational Approaches to Brain Cancer 93.397 5P50CA221747-05 1,902,762 68,236

(Continued)42

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

1/3: The Chicago Cancer Health Equity Collaborative (ChicagoCHEC) 93.397 5U54CA203000-08 $ 1,497,111 —

Epigenomic Biomarkers of HIV-Associated Cancers in Nigeria 93.397 5U54CA221205-05 233,933 58,492

14,544,161 212,173

The HDAC3 pathway in LKB1-mutant lung cancer and senescence 93.398 1K22CA251636-01A1 174,120 —

Development and Initial Testing of a Behavioral Intervention to Increase Pre-Test Genetic Counseling Among Families at Risk of Lynch Syndrome 93.398 1K99CA277584-01 51,668 —

NU-TRIHO (Northwestern University Translational Research in Hematology-Oncology) Training Program 93.398 1T32CA268935-01A1 25,330 —

Training Program in Signal Transduction and Cancer 93.398 2T32CA070085-26A1 25,706 —

Tissue factor regulation of receptor tyrosine kinases in glioblastoma 93.398 5F30CA243288-03 46,302 —

Elucidation of a structural rationale for the binding of Myc by small molecule inhibitors 93.398 5F30CA250196-04 50,046 —

Investigating Mechanisms of Cancer Redox Homeostasis with Metabolic CRISPR-Based Screens 93.398 5F30CA250236-04 44,601 —

Mechanistic Basis of Resistance to Chemohormonal Treatment in Prostate Cancer 93.398 5F30CA250248-03 48,272 —

Development of Rationally Designed Cancer Vaccines using Protein-Like Polymers (PLPs) 93.398 5F30CA257519-03 60,931 —

Elucidating the Role of C16orf72 in the Cellular Stress Response Network 93.398 5F30CA264513-03 30,742 —

The design, synthesis, and characterization of potent and selective MEK7 inhibitors as targeted therapies for T-cell acute lymphoblastic leukemia 93.398 5F31CA228431-04 REVISED 40,597 —

Bioresponsive MR probes for imaging pancreatic cancer 93.398 5F31CA235997-04 REVISED 8,213 —

Irreversible Inhibtion of Cerebellar Gli Transcription Factors by Cobalt (III) Complexes 93.398 5F31CA236175-04 REVISED 60 —

A patient-specific hiPSC model of breast cancer to identify genetic determinants of subclonal response and resistance to PARP inhibitors 93.398 5F31CA247395-03 40,975 —

Ovarian Inflammaging as a Mechanism for Ovarian Cancer – NRSA in support of Shweta Satish Dipali 93.398 5F31CA257300-02 39,735 —

Characterizing the role of SRCAP in Epidermal Homeostasis and Squamous Cell Carcinoma 93.398 5F31CA261114-03 45,435 —

Elucidating transcriptional and epigenetic regulators of aggressive cutaneous T cell lymphoma 93.398 5F31CA268839-02 REVISED 41,853 —

FOXA1 loss-of-function induces inflammatory cytokine signaling and immune suppression in prostate cancer 93.398 5F31CA271826-02 28,654 —

Top-down proteomic characterization of MEK/ERK in MAPK-driven cancers 93.398 5F32CA246894-02 REVISED 10,813 —

Exosomal CD44 in the metastasis of triple negative breast cancer 93.398 5F32CA257345-02 42,202 —

Mechanisms and therapeutic implications of temozolomide resistance in glioblastoma 93.398 5F32CA264883-02 68,284 —

Improving adherence to posttreatment follow-up care for rural lung cancer survivors through a community-clinical survivorship care team model 93.398 5K01CA262342-03 151,647 —

Using Real Time Mobile Health Approaches to Understand and Promote Oral Chemotherapy Adherence in Adolescents and Young Adults with Leukemia 93.398 5K08CA241335-06 116,944 —

Mechanisms of Translation Regulation by N4-acetylcytidine in Cancer Cells 93.398 5R00CA245035-04 207,436 —

Discovery of Small Molecule-Mediated Protein Degradation Pathways in Human Cancer

93.398 5R00CA248715-04 273,992 —

Carcinogenesis Training Program 93.398 5T32CA009560-35 (1,444) —

Carcinogenesis Training Program 93.398 5T32CA009560-37 305,850 —

Training Program in Signal Transduction and Cancer 93.398 5T32CA070085-25 123,501 —

Behavioral and Psychosocial Research Training in Cancer Prevention and Control 93.398 5T32CA193193-09 331,323 —

Collaborative Northwestern Surgical Oncology Research Training (CONSORT) 93.398 5T32CA247801-04 310,931 —

2,744,719 —

Northwestern Cancer Prevention Consortium 93.399 5UG1CA242643-04 987,121 185,932

NCI Community Oncology Research Program (NCORP) Research Bases (UG1) 69 93.399 UG1CA189828-06-NWU1//5UG1CA189828-09 182,290 —

ECOG-ACRIN NCORP Research Base: Cancer Care Delivery Research (CCDR) 69 93.399 UG1CA189828-06-NWU2//5UG1CA189828-09 38,329 —

ECOG-ACRIN NCORP Research Base – CT – Pilot Study 69 93.399 UG1CA189828-07-NWU4//5UG1CA189828-07 30,002 30,000

ECOG-ACRIN NCORP Research Base-Clinical Trials-NWU6 69 93.399 UG1CA189828-07-NWU6//5UG1CA189828-09 40,836 —

ECOG-ACRIN NCORP Research Base-CCDR-NWU7 69 93.399 UG1CA189828-07-NWU7 Amend 2//5UG1CA189828-09 20,476 —

1,299,054 215,932

Young Adult and Midlife Transitions in Physical Activity and Sedentary Behavior with Heart Failure Risk and Progression: Coronary Artery Risk Development in Young Adults (CARDIA) 214 93.837 000528250-SC001//5R01HL149796-01A2 131,985 —

Risk Assessment of Cerebral Aneurysm Growth with 4D flow MRI 161 93.837 11001052-014Amd3//5R01HL115267-08 103,179 —

Machine Learning for the Automated Identification and Tracking of Rare Myocardial Diseases 27 93.837 120816//5R01HL140731-04 92,613 —

Leveraging a Natural Experiment to Estimate the Effects of School Racial Segregation on Cardiovascular Risk Factors among Youth and Young Adults 223 93.837 12245sc AMD 2//R01HL151638 13,438 —

Cardiac Exosomes in myocardial Ischemic injury 27 93.837 123168//5R01HL150401-04 54,134 —

Intersection of Material-Need Insecurities and Health Outcomes among People Living with HIV 223 93.837 12480sc-Amnd 02//5R01HL155226-03 10,749 —

Genomics of Post-Operative Atrial Fibrillation after Cardiac Surgery 27 93.837 125218//5R01HL149998-03 44,056 —

Proteomics of Cardiovascular Risk: The Multiethnic Study of Atherosclerosis 223 93.837 12917SCAmd1//5R01HL159081-02 34,162 —

Metabolic effects and mechanisms for heart failure in South Asians 223 93.837 12997sc//1R01HL149809-02 602,177 —

Are Interventions Supporting Physical ACtivity modified by the Environment (InSPACE)? 181 93.837 13018SUB//5R01HL157166-02 6,383 —

Are Interventions Supporting Physical ACtivity modified by the Environment (InSPACE) consortium opportunity 181 93.837 13023SUB // 5R01HL157166-02 6,127 —

Enabling AI/ML Readiness and Modernization of Longitudinal Pregnancy and Cardiovascular Health Data 169 93.837 15-312-0217457 Amnd 1//3U01HL145358-03S1 12,631 —

Cholesterol Regulation of Endothelial K+ Channels 236 93.837 18591//5R01HL73965-15 45,958 —

Coronary Artery Calcium and its Association with Protective/Risk Factors and Epigenetic Patterns in Diverse US Hispanic/Latino Adults 236 93.837 18741 AMD1//5R01HL152692-02 275,996 —

High-Definition Conformal Electronics for VT/VF 83 93.837 19-S13-02//5R01HL141470-03 (103,329) —

Dissecting the Role of Desmoplakin in Inflammation in Cardiomyopathy 93.837 1F30HL162454-01A1 22,916 —

Dual-Venc 5D flow for Assessment of Congenital Heart Disease in Pediatrics 93.837 1F30HL165805-01A1 4,218 —

Utilizing Patient-Specific hiPSC-CMs to Investigate Pediatric Calmodulinopathy (NRSA Predoc Fellowship for Katherine A. Fetterman, BA.) 93.837 1F31HL156596-02 11,171 —

A Mixed-Methods Evaluation of mHealth W eight Management for Racial/Ethnic Minorities 93.837 1F31HL162555-01A1 41,814 —

Mechanosensing and Mechanotransduction in the Endothelial Nucleus 93.837 1F31HL165767-01 38,682 —

Measurement of ab-initio physiomarker using wearable sensors to predict aneurysm growth and formation 93.837 1F32HL162417-01 REVISED 64,062 —

Physiologic stress in advanced tissue culture models of cardiomyopathy 93.837 1K08HL163392-01A1 74,361 —

Mechanisms linking the frail sarcomere to noncompaction cardiomyopathy 93.837 1K99HL168239-01 6,818 —

Reagentless Sensor Technologies For Continuous Monitoring of Heart Failure Biomarkers 93.837 1R01HL165002-01A1 225,200 —

Quantitative Detection of Coronary Microvascular Dysfunction in Long COVID Patients using a Comprehensive, Rapid, Free-Breathing Cardiovascular MRI 93.837 1R01HL167148-01A1 52,824 —

Extracellular matrix regulation of cellular crosstalk in cardiac fibrosis 93.837 1R01HL167813-01 29,388 —

STRIVE:Understanding the contributions of stress reactivity to racial disparities in adverse placental and pregnancy outcomes 93.837 1R01HL168409-01 39,238 —

Bridging Basic and Translational Science in Cardiovascular Disease 93.837 1R13HL165778-01 30,000 —

Mitral Regurgitation Quantification Using Dual-venc 4D flow MRI and Deep learning 93.837 1R21HL168612-01 2,341 —

Optimization of electromechanical monitoring of engineered heart tissues 93.837 1R33HL168758-01 85,838 —

Optimizing the Implementation of a Population Panel Management Intervention in Safety-Net Clinics for Childhood Hypertension 93.837 1R56HL148192-01 — —

Optimizing the Implementation of a Population Panel Management Intervention in Safety-Net Clinics for Childhood Hypertension 93.837 1R56HL148192-01 625 625

Blood Pressure as a Modifiable Risk Factor for Cardiovascular Events in Liver Transplant Recipients 93.837 1R56HL155093-01 210,550 133,410

2-Generation Interventions to Improve Cardiovascular Health in Indiana and Illinois Through Home Visiting (2-NOURISH) 93.837 1UG3HL163121-01 556,187 59,537

The Rhythm Evaluation for Anticoagulation with Continuous Monitoring of Atrial Fibrillation Trial (REACT-AF) 93.837 1UG3HL165065-01 1,809,168 1,391,630

Interplay of Myocardial Fibrosis and Cardiac TTR Amyloidosis in Age-Related Cardiac Remodeling in MESA 114 93.837 2005511387//1R01HL159987-01A1 43,154 —

(Continued)43

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Effect of Hospital-Cardiologist Integration on Clinical Practice, Healthcare Quality, and Medicare Spending 83 93.837 20-M38 AMD3//5R01HL153154-03 $ 190,964 —

Stigma and the non-communicable disease syndemic in aging HIV positive and HIV negative MSM 176 93.837 25400369//7R01HL60326-03 13,633 —

Pleiotropic Role of PAI-1 in Cardiovascular Aging 93.837 2R01HL051387-26 25,545 —

Implementing an evidence-based mHealth healthy diet and physical activity intervention: Make Better Choices 2 for rural Appalachians 241 93.837 3200004756-23-020//5R01HL152714-03 72,716 —

Decrypting Variants of Uncertain Significance in Long-QT Syndrome 93.837 3R01HL122010-08S1 (35,481) —

Decrypting Variants of Uncertain Significance in Long-QT Syndrome 93.837 3R01HL122010-08S1 43,069 43,069

An Interpersonal Relationships Intervention for Improving Cardiovascular Health in Youth 93.837 3R01HL136676-05S1 753,365 303,116

COVID-19: Administrative Supplement to Real-time W ideband Cardiac MRI for Patients with a Cardiac Implantable Electronic Device 93.837 3R01HL151079-01S1 131,293 —

Immunologic, Inflammatory, and Clinical contributors to HIV-Related Heart Failure with Preserved Ejection Fraction (HFpEF) 93.837 3R01HL156792-03S1 868,889 430,341

Mitochondrial DNA, Nuclear DNA Methylation, and Cardiometabolic Disease Traits 26 93.837 4500004054 AMD 001//5R01HL155569-02 24,950 —

Racial/Ethnic Disparities in Heart Failure: A cross-cohort collaboration 118 93.837 5001732-02-NORTHW//5R01HL150170-02 79,002 —

Cook County Clinical Research Site (CC_CRS) of the MACS/W IHS Combined Cohort Study (MW _CCS) 92 93.837 50811-324-NWU//5U01HL146245-03 AMD 05 36,079 —

Metabolic pathways to cardiovascular disease: A multi-omics approach 253 93.837 5116709/5R01HL143885-04 27,130 —

Efficacy of Potassium Nitrate In Heart Failure with Preserved Ejection Fraction 258 93.837 574598 Amnd 6//5R01HL121510-05 (4,176) —

Early Psychosocial Intervention and Child and Parent Cardiovascular Disease Risk 156 93.837 5875-NU-DHHS-7809 AMD 5//HL137809 35,187 —

Evaluation of Aortic Hemodynamics and Compliance in Aortic Stenosis 93.837 5F30HL145995-04 39,809 —

Skin-like, stretchable, and wearable sensors for monitoring QT interval and hemodynamic variables in Atrial Fibrillation (Fellowship award for Andreas Tzavelis) 93.837 5F30HL157066-03 32,504 —

Requirements and mechanisms of alloantigen-induced cardiac allograft survival by cDC1s – NRSA F30 to support Samantha Leigh Schroth 93.837 5F30HL162456-02 41,588 —

Alternative Mechanisms of Monocyte Transendothelial Migration in Inflammation (NRSA Predoc Fellowship for Margarette Clevenger) 93.837 5F31HL147413-04 REVISED 48,529 —

"Youth Exposure to Violence and Pulmonary and Cardiovascular Health: Meta- and Primary-Analytic Approaches to Understanding Mediators and Moderators." 93.837 5F31HL147509-03 REVISED 23,754 —

NRSA Predoc Fellowship for Emily Pinheiro: A Patient-Specific hiPSC Model of Nilotinib-Induced Peripheral Artery Disease Pharmacogenomics 93.837 5F31HL151160-03 29,625 —

NIH NRSA Predoc Fellowship for Mallory Filipp: MerTK as a new target to understand and ameliorate HFpEF (Fellow-Mallory Filipp) 93.837 5F31HL156408-03 45,463 —

Elucidating the Mechanisms by which Macrophages and their TAM Receptors Promote Cardiac Regeneration F31for Connor W Lantz 93.837 5F31HL158200-02 49,073 —

Arrhythmia-resolved 5D Flow MRI in Atrial Fibrillation and Stroke 93.837 5F31HL165915-02 41,978 —

Social Network Characteristics and Cardiovascular Health in South Asian Americans 93.837 5F32HL149187-02 (2,208)

—

Neighborhood-level Structural Racism and Cardiovascular Health Among African American Youth and Young Adults 93.837 5F32HL164050-02 68,612 —

Predicting risk of cardiotoxicity among young and emerging adult breast cancer patients from treatment to survivorship 93.837 5K01HL152009-04 184,631 —

Pathogenesis of Heart Failure with Preserved Ejection Fraction in Chronic Kidney Disease 93.837 5K23HL150236-03 193,465 —

Electronic Health Record Nudges to Improve Quality of Care in Heart Failure 93.837 5K23HL155970-03 182,998 —

MASALA-2G: Multi-level Assessment of the South Asian Life-course of Atherosclerosis (2nd Generation Offspring Study) 93.837 5K23HL157766-02 168,556 —

Mentored patient-oriented research of novel mechanisms for cardiovascular disease in patients with chronic kidney disease 93.837 5K24HL150235-04 136,680 —

A Fully Biodegradable, Implantable, Wireless, Battery-free, Miniaturized Cardiac Pacemaker with Closed-loop System for Neonatal and Pediatric Patients 93.837 5K99HL155844-02 12,418 —

Non-contrast 3D T1p Mapping for Myocardial Fibrosis Quantification of Pediatric Cardiomyopathy Patients 93.837 5K99HL161469-02 73,410 —

PAI-1 and Vascular Senescence 93.837 5R01HL051387-25 213,467 39,149

Sarcoglycan in Myopathy and Muscle Membrane Stability 93.837 5R01HL061322-23 225,330 —

Prox1 in Mammalian Lymphangiogenesis 93.837 5R01HL073402-19 (114,637) —

Determinants, Trajectories, and Consequences of Abnormal Cardiac Mechanics 93.837 5R01HL107577-08 (56,797) —

Functional Cardiovascular 4D MRI in Congenital Heart Disease 93.837 5R01HL115828-09 348,476 229,479

Precision MRI of Left Atrial Fibrosis for Patients with Atrial Fibrillation 93.837 5R01HL116895-08 625,671 81,148

Comprehensive Cardiac Structure-Function Analysis in Heart Transplantation 93.837 5R01HL117888-07 614,010 116,451

Decrypting Variants of Uncertain Significance in Long-QT Syndrome 93.837 5R01HL122010-10 1,099,685 547,574

Efferocytosis-Directed Inflammation Resolution and Repair in the Hypoxic Heart 93.837 5R01HL122309-09 Revised 532,174 90,886

Cardiomyopathy Genomes Project 93.837 5R01HL128075-09 625,820 289,247

Mechanical circulatory support: Measures of adjustment and quality of life 93.837 5R01HL130502-05 68,827 —

Improve PAD PERformance with METformin. The PERMET Trial 93.837 5R01HL131771-05 REVISED) 295,113 38,171

Community Translation of the South Asian Healthy Lifestyle Intervention (SAHELI) 93.837 5R01HL132978-05 349,493 168,899

Metabolic Pathways Underlying the Contrasting Sodium-BP and DASH/OmniHeart-BP Relationships 93.837 5R01HL135486-04 83,117 19,185

Methods to Improve Personalized Cardiovascular Disease Prevention Across the Life Course 93.837 5R01HL136942-04 114,798 —

Rapid Real-Time Cardiovascular MRI for Detecting Coronary Artery Disease 93.837 5R01HL138578-03 2,203 —

Mechanistic insights into the deleterious effects of SIRT2 in the heart under stress conditions 93.837 5R01HL138982-04 Revised 271,369 —

TAM-Kinases in Transplant 93.837 5R01HL139812-04 377,140 51,757

Mechanistic insights into the role of mitochondrial iron in doxorubicin-induced cardiomyopathy using human induced pluripotent stem cells 93.837 5R01HL140927-04

475,966 —

Regulating fibrosis and growth through latent TGFbeta binding proteins 93.837 5R01HL140938-04 3,069 —

Mechanistic insights into HIV-mediated heart failure with preserved ejection fraction 93.837 5R01HL140973-04 101,778 —

Low-Profile 3D-Printed Radiopaque Bioresorbable Vascular Scaffolds 93.837 5R01HL141933-04 613,108 17,471

Spontaneous cardiac fibrosis in PAI-1-deficient mice and men: A rare mutation informs a common molecular pathophysiology 93.837 5R01HL142761-04 Revised 208,668 —

Molecular mechanisms of Foxc-mediated angiogenesis 93.837 5R01HL144129-04 142,346 —

Epigenetic Determinants of Lipoproteins Across the Early Adult Life Course 93.837 5R01HL146844-04 325,053 11,364

Pathogenesis of lung injury mediated by lung-restricted antibodies 93.837 5R01HL147290-04 258,933 97,696

Role of Spleen educated monocytes in mediating ischemia-reperfusion injury following lung transplant 93.837 5R01HL147575-04 136,524 —

Non-invasive Evaluation of Intracranial Atherosclerotic Disease Using Hemodynamic Biomarkers 93.837 5R01HL149787-04 576,429 295,107

Cardiovascular Health Associations with Minority stress: Biobehavioral Evaluations and self-Reported Sociopsychological outcomes by SOGI status (CHAMBERS) 93.837 5R01HL149866-04 613,290 271,797

Real-time W ideband Cardiac MRI for Patients with a Cardiac Implantable Electronic Device 93.837 5R01HL151079-04 REVISED 574,051 72,516

Functional roles of lymphatics in organogenesis and tissue repair 93.837 5R01HL151388-03 Revised 507,148 —

The identification and pathophysiology of non-infarcted but injured myocardium in the post-ischemic heart 93.837 5R01HL152712-03 Revised 830,009 12,163

Targeting the Meta-organismal Butyrate Pathway to Prevent Arterial Restenosis after Vascular Surgery 93.837 5R01HL153306-03 787,218 57,865

Myocardial Vulnerability to Ischemia-Induced Dysfunction and Heart Failure: The Impact of HIV/SIV, ART, and Targeted Immunotherapy 93.837 5R01HL154862-03 732,708 550,662

Cardiovascular Health Trajectories from Birth Thru Adolescence in A Diverse Cohort of Children 93.837 5R01HL155864-03 809,252 237,493

Role of mRNA-binding protein tristetraprolin in cardiac mRNA regulation and the development of heart failure 93.837 5R01HL155953-02 Revised 357,523 6,912

Combining longitudinal cohort studies to examine cardiovascular risk factor trajectories across the adult lifespan and their association with disease 93.837 5R01HL158963-03 681,847 290,918

Contributions of Myeloid Metabolism to Diastolic Dysfunction 93.837 5R01HL159964-02 484,565 —

New roles of endothelial regrowth in ischemic tissue recovery and regeneration 93.837 5R01HL159976-02 597,305 7,879

Defining cellular mechanisms of chronic graft failure in transplanted hearts with single cell multi-omics 93.837 5R01HL160552-02 389,381 37,653

PRegnancy OuTcomEs and subclinical Cardiovascular disease sTudy: (PROTECT) 93.837 5R01HL161514-02 Revised 523,546 304,220

Mitochondrial respiration as a regulator of lymphatic cell fate and therapeutic lymphangiogenesis 93.837 5R01HL162800-02 525,293 —

Microbe-Related Modulation of Neointimal Hyperplasia after Arterial Injury 93.837 5R03HL146880-02 (550) —

4D Virtual Catheter (vCath) Assessment of Hemodynamic Pathways in Aortopathy Pathogenesis 93.837 5R21HL150498-02 REVISED 16,029 —

Risk-Based Primary Prevention of Heart Failure 93.837 5R21HL165376-02 55,202 —

Vascular Growth and Regeneration 93.837

5R35HL140014-06 1,087,274 —

New and Disruptive Therapeutic Approaches to Target Fundamental Molecular Mechanisms Underlying Atrial Fibrillation 93.837 5R35HL161249-02 1,387,533 —

(Continued)44

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Research Training in CVD Epidemiology and Prevention 93.837 5T32HL069771-20 $ 293,457 —

Vascular Surgery Scientist Training Program 93.837 5T32HL094293-15 151,538 —

Northwestern University Molecular and Translational Cardiovascular Training Program 93.837 5T32HL134633-05 97,180 —

Northwestern CORE Clinical Research Site: Trans-omics for HIV/AIDS Research 93.837 5U01HL146240-04 3,907,367 189,556

Underlying Mechanisms in CADASIL 93.837 5U01HL151203-03 593,925 —

CHIcago Center for Accelerating nextGen Omics, deep phenotyping, and data science in Heart Failure (CHICAGO-HF) 93.837 5U01HL160279-03 267,923 —

HeartShare DeCODE-HF: Data translation center to Combine Omics, Deep phenotyping, and Electronic health records for Heart Failure subtypes and treatment targets 93.837 5U54HL160273-03 2,435,234 576,881

1/2 + PROmote weight loss in obese PAD patients to preVEnt mobility loss: the PROVE Trial 93.837 5UH3HL141729-05 494,423 149,599

Precision Medicine for Dilated Cardiomyopathy in European and African Ancestry 150 93.837 60077268//5R01HL128857-05 (3,730) —

The WHI Strong and Healthy SilenT Atrial febrillation Recording study (WHISH STAR) 187 93.837 61526610-125216//5R01 HL 136390-05 1,386 —

Continuation of the nuMoM2b Heart Health Study 169 93.837 7-312-0217457 Amnd 2//1U01HL145358-02S2 291,404 —

Identifying effective strategies used by Medicare Accountable Care Organizations to improve outcomes for patients with heart failure: A mixed-methods study 93.837 7R01HL139985-04 333,253 128,879

High-Definition Conformal Electronics for VT/VF 93.837 7R01HL141470-05 492,037 —

Graphene optoelectronic biointerfaces for enabling optical cardiac pacemaking 93.837 7R21HL152324-03 104,959 —

Response of the Gut Microbiome and Circulating Metabolome to Diet Intervention in Young Children: Ancillary Study to the Keeping Ideal Cardiovascular Health Family Intervention Trial (KIDFIT) 17 93.837 901552-NU-AMD 05//5K23HL145101-04 15,308 —

Understanding Inflammatory and Metabolic Pathways of Myocardial and Vascular Dysfunction in South African Youth Living with Perinatal HIV 17 93.837 901603-NU//5R01HL151287-03 13,104 —

Physical Activity Measurement in Toddlers 17 93.837 901653-NU//5R01HL155113-02 189,309 —

MMP Responsive Nanoparticles for Treating Acute Myocardial Infarction 222 93.837 97966869 (S9001870)//5R01HL139001-04 (20,251) —

A New Biological Therapy for Atrial Fibrillation 49 93.837 982-SUB//3U54HL119810-05S1 (5,467) —

Hyperglycemia and Adverse Pregnancy Outcome Study- Cardiovascular Health of HAPO Offspring (HAPO CVH) 17 93.837 A23-0031-NU//1R01HL160921-01A1 33,129 —

MMP Responsive Polymeric Materials for Treating Acute Myocardial Infarction 222 93.837 Advance Account//2R01HL139001-05A1 1,984 —

Randomized Evaluation of Bromocriptine in Myocardial Recovery Therapy for Peripartum Cardiomyopathy (REBIRTH) 259 93.837 AWD00004314(138609-47A)//4UH3HL153847-02 2,445 —

Microbiomic Mechanisms of Association Between Early-Life Social Determinants and Young-Adult Subclinical CVD 17 93.837 AWD001632-NU//1R03HL162767-01 5,133 —

Development of a multi-modal targeted nanotherapeutic to prevent restenosis in an atherosclerotic environment 273 93.837 AWD-004057.GR101253//1R01HL157054-01A1 115,546 —

Renin cell identity and blood pressure homeostasis 273 93.837 GB10827.PO#2257593 Amd 003//5R01HL148044-04 20,233 —

Precision medicine for dilated cardiomyopathy – novel assessment of cardiac mechanics via speckle tracking echocardiography to identify early phenotypes 150 93.837 GR116057/SPC-1000003925 Amnd 3//5R01HL149423-04 294,061 —

Plaque and blood derived macrophages: a multi-omic assessment of CVD pathogenesis in PLW H 150 93.837 GR125077|SPC-1000006221 Amnd 2//1R01HL158592-01 122,810 —

Pim1 kinase coordinates PPAR gamma pathway and mitochondrial function to mediate pro-atherogenic responses in macrophages 128 93.837 MCW Agmt 5/23/23//5R01HL153397-02 47,910 —

REPRIEVE A5332 and A5333s 124 93.837 Mod. 6/PS#225707//U01HL123336-06 40,185 —

Trans-omic analysis of epicardial adipose tissue in atrial fibrillation 248 93.837 OS00000639 amd2 //5R01HL155718-03 43,567 —

Processed Food Intake, Metabolomics, and Adiposity 250 93.837 P008292501-AMD2//5R01HL150053-03 179,995 —

A New and Disruptive Gene Based Therapy for Atrial Fibrillation 170 93.837 R44HL154912 NU Amnd 01//R44HL154912-02 8,308 —

Genetic Architecture of Cardiac Structure and Function and Its Impact on Heart Failure 269 93.837 SA0002993//1R01HL160793-01A1 7,957 —

CARDIALEN CL007: Novel Therapy System for Atrial Fibrillation 36 93.837 SBIR2020-02//5R44HL154937-02 8,961 —

Impacts of Discriminatory Mortgage Lending Practices on Obesity 164 93.837 SCON-00000510//1R01HL155187-01A1 42,336 —

HCMR – Novel Predictors of Outcome in Hypertrophic Cardiomyopathy 97 93.837 Study# 2222/0003//1U01HL117006-01A1 30,054 —

INVESTED – : INfluenza Vaccine to Effectively Stop Cardio Thoracic Events and Decompensated heart failure (INVESTED) 27 93.837 SUB 5.22.17//5U01HL130163-02 11,138 —

The Fragile Families Cardiovascular Health Follow Up Study 159 93.837 SUB0000420 AMD 3//5R01HL149869-03 Revised 123,962 —

Cardiac Mechanisms of Sudden Unexpected Death in Epilepsy 249 93.837 SUBK00012386//5R01HL149363-04 33,253 —

Pravastatin Clinical Center Participation Terms and Conditions – Clinical Center (#28 83 93.837 U24HL140168 5,520 —

Dietary sodium, inflammation, and salt sensitivity of blood pressure 280 93.837 VUMC76348 AMD-03//5R01HL148661-04 158,232 —

A double-blind randomized controlled trial to assess the effectiveness and tolerability of a quadruple ultra-low-dose treatment for hypertension (QUARTET) 288 93.837 WU-23-0285//7R33HL139852-04 172,681 —

38,949,380 7,350,305

Video Telehealth Pulmonary Rehabilitation to Reduce Hospital Readmissions in Chronic Obstructive Pulmonary Disease 214 93.838 000530409-SC006/1UG3HL155806-01A1 56,945 —

Self-management Behaviors Among COPD Patients with Multi-morbidity 96 93.838 0255-8785-4609//5R01HL126508-05 (1,854) —

COVID-19: Collaborative Cohort of Cohorts for COVID Research (C4R) 53 93.838 12(GG015997-03) //RTI 22-312-0217571-66178 105,259 —

Classification and Prognostication in Pulmonary Thromboembolism Using Computed Tomography Image Analytics 27 93.838 127795//1R01HL164717-01 177,296 —

The transcription factor Miz1-mediated mechanisms of lung aging 236 93.838 17843//5R01HL141459-04 (20,721) —

COVID-19: NIH Community Engagement Alliance (CEAL) Against COVID-19 Disparities 236 93.838 18774-AMD3//OT2HL158287 276,880 —

Metabolic control of regulatory T cells during metabolic stress caused by viral pneumonia – F31 for Manuel Andres Torres 93.838 1F31HL162490-01A1 25,648 —

COVID-19: Transitions Among Discrete Clinical States During ICU Stays in Patients with SARS-CoV-2 Pneumonia – F32 to support Catherine A. Gao 93.838 1F32HL162377-01A1 51,326 —

The role of epigenetic regulator UHRF1 in stability of induced regulatory T-cell function during influenza A virus-induced lung injury -F32 for Anthony Joudi 93.838 1F32HL162418-01 35,405 —

Outcomes for Children with Asthma on Medicaid: Elucidating Key Determinants at the Policy, Plan, Neighborhood, and Person Levels to Address Disparities. 93.838 1K01HL163457-01 143,633 —

Time to ATTAC: Adoptive Transfer of T cells Against gp100+ Cells to treat LAM 93.838 1R01HL165841-01A1 53,071 —

Precision phenotyping of emphysema in the elderly: the MESA Lung Study 53 93.838 2(GG017929-01)//5R01HL077612-14 109,959 —

Pathogenesis of lung injury mediated by lung-restricted antibodies 93.838 2R01HL147290-05 33,506 —

An Anesthesia-Centered Bundle to Reduce Postoperative Pulmonary Complications: The PRIME-AIR Study 53 93.838 3(GG015000-01)//7UH3HL140177-04 14,268 —

Combined Cardiopulmonary Failure in COPD: SPIROMICS HF 53 93.838 3(GG015835-03) SAPO: G16997//5R01HL093081-11 302,584 —

PreCISE Network site study 253 93.838 5125917-H3NORTHWES Amd 3//5U24HL138998-06 47,422 —

Implementation of Behavioral Economic Approaches to Improve Evidence Uptake for Mechanically Ventilated Patients 258 93.838 587267//5-R01-HL-141608-05 31,782 —

Understanding the interstitial phenotype of impaired respiratory health through CT imaging and blood biomarkers – F32 for Gabrielle Y-Hui Liu 93.838 5F32HL162318-02 84,615 —

NRSA Postdoc Fellowship for J. Ho in support of: Role of peptidylarginine deiminase in modulating macrophage functions in sepsis 93.838 5F32HL162378-02 86,537 —

Mitochondrial metabolic regulation of lung epithelium: alveolar generation and regeneration 93.838 5K08HL143138-05 175,305 —

Mechanisms of regulatory T-cell mediated endothelial repair following viral pneumonia in aged hosts 93.838 5K08HL159356-03 221,177 —

Mechanisms of Recovery from Viral Pneumonia 93.838 5P01HL154998-03 2,902,540 17,019

Transitions from Impaired Respiratory Health to Lung Disease 93.838 5R01HL122477-09 1,886,331 1,373,246

W nt-beta-catenin cross interactions in alveolar macrophages and epithelial cells in persistence of SSc-ILD 93.838 5R01HL134800-04 revised 247,306 —

Donor nonclassical monocytes initiate lung injury following transplantation 93.838 5R01HL145478-05 REVISED 517,963 —

Role of hypercapnia on the lung airways 93.838 5R01HL147070-04 REVISED 216,790 —

Regulation of airway epithelial cell-mediated inflammation by CRAC channels 93.838 5R01HL149385-04 237,647 9,087

Mechanisms of regulatory T cell-mediated recovery from severe influenza A virus infection 93.838 5R01HL149883-04 519,742 —

Lung transplant injury drives chronic lung allograft dysfunction via recruitment of monocyte-derived alveolar macrophages 93.838 5R01HL153312-04 1,020,016 —

Targeting linear ubiquitination to attenuate inflammation and promote repair after IAV infection 93.838

5R01HL154686-02 (489) —

COVID-19: Targeting abnormal alveolar immune activation and failed epithelial repair in COVID-19 93.838 5R01HL158139-02 710,595 —

Patterns of Cardiopulmonary health across the life course 93.838 5R01HL159250-02 333,062 25,504

Alveolar epithelial stress-induced polyploidization in lung injury and repair 93.838 5R01HL163611-02 290,297 —

A redox-sensitive switch in the macrophage nucleus regulates acute phase inflammatory injury 93.838 5R01HL163820-02 266,210 82,533

Training Program In Lung Sciences 93.838 5T32HL076139-20 577,761 —

The American Lung Association (ALA) Lung Health Cohort 93.838 5U01HL146408-05 3,686,492 3,439,908

(Continued)45

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

The Role of Placental Maternal Vascular Underperfusion in Neonatal Pulmonary Hypertension 222 93.838 705214//7R01HL139798-06 $ 12,860 —

Pulmonary Complications in a Birth Cohort after a Randomized Trial of Exposure to AntenatalCorticosteroids: the ALPS Follow-Up Study 83 93.838 Agmt 6/7/17//5R01HL098354-08 188 —

W earable Microfluidic Systems for Measuring Sweat Biomarkers in Cystic Fibrosis Patients During Exercise 73 93.838 Agmt 8/30/2023 Amnd 1//1R43HL162246-01 29,886 —

COVID-19: MFMU PASC-PREG: Post-Acute Sequelae of SARS-CoV-2 Infection in Pregnant Patients and Their Offspring 272 93.838 Agreement 10063508-08-NWU//OT2HL161847-01 40,574 —

Losartan Effects on Emphysema Progression Trial (LEEP) 13 93.838 ALA-ACRC LEEP 6/1/2021//5U01HL128954-04 10,349 10,000

A novel data science and network analysis approach to quantifying facilitators and barriers of low tidal volume ventilation in an international consortium of medical centers 147 93.838 EH17-325-S7 AMD 4//5R01HL140362-05 129,735 —

COVID-19: RECOVER-EHR-PCORnet Research Program 44 93.838 EHR-02-21//OT2HL161847-01 58,911 —

Metabolic perturbations in conventional dendritic cells modulate Tfh13 induction in asthmatic sensitization 283 93.838 FP00017337_SA001//1R01HL162991-01A1 13,398 —

Azithromycin and the Airway Microbiome in Asthma 226 93.838 FP064388-02 // 5R34HL136991-02 (13,719) —

Chicago Metropolitan Asthma Consortium for severe/exacerbation-prone asthma 226 93.838 FP066077-E AMD 7//5UG1HL139125-06 59,085 —

Third Coast HIV-related Cardiovascular and Sleep Disorders K12 Career Development Program (TC-CSK12) 226 93.838 FP068767-01-PR Amnd 4//5K12HL143959-05 176,470 —

Resolution of Diffuse Inflammatory Lung Injury in Neonatal Mice 44 93.838 GRT-00000547/PO No. 20203251//5R01HL114800-08 (9,689) —

Eliminating Monitor Overuse (EMO) Hybrid Effectiveness-Deimplementation Trial 44 93.838 GRT-00001474-0823/ PO# 20414085//5U01HL159880-02 38,170 —

COVID-19: PASC Recover Capitation Agreement 83 93.838 Miller AGMT 5/18/22//OT2HL161847-01 426,983 98,146

COVID-19: Lung delivery of novel ACE2 proteins for COVID-19 16 93.838 NU-001//1R43HL160432-O1A1 2,638 —

PAD2 and CitH3 in Pathogenesis of Sepsis-induced ALI 249 93.838 SUBK00014340#1//5R01HL155116-02 37,727 —

Mechanisms of Alveolar Homeostasis, Injury, Regeneration, and Fibrosis 249 93.838 SUBK00014970-01//5R35HL160770-02 8,036 —

16,443,908 5,055,443

Targeting gasdermin D to treat myelodysplastic syndromes 93.839 1R01HL169507-01 12,245 —

Understanding thrombosis formation in myeloproliferative diseases 258 93.839 579931//5R01HL148014-03 AMD 2 61,427 —

Probing silent cerebral infarct pathogenesis in sickle cell disease with cerebrovascular MRI – F31 for Kristina Marie Zvolanek 93.839 5F31HL166079-02 42,036 —

Tailored Adaptation of the AHRQ VTE QI Guide to Local Hospital Context. 93.839 5K08HL145139-04 1,006 —

Implementing Prevention of Venous Thromboembolism for Ambulatory Patients with Cancer (PREVenT-APC) 93.839 5K23HL157758-02 167,806 —

Timeliness of Management of Trauma Related Hemorrhage and Trauma Related Coagulopathy 93.839 5K23HL157832-02

183,008 —

The roles of mDia2 in hematopoietic stem and progenitor cell engraftment and migration 93.839 5R01HL148012-04 494,068 52,673

MOLECULAR MECHANISMS UNDERLYING CLONAL EXPANSION OF HEMATOPOIETIC STEM CELLS 93.839 5R01HL150624-04 355,310 —

The role of Pleckstrin-2 as a functional node in myeloid proliferation 93.839 5R01HL150729-09 657,356 24,275

An ultra-low-input RNase footprinting assay to quantify cytosolic and mitochondrial translation simultaneously 93.839 5R01HL161389-02 456,090 —

Transendothelial Migration of Leukocytes: Developing New Paradigms in Health and Disease 93.839 5R35HL155652-03 873,374 —

Leveraging the Microbiome, Local Admixture, and Machine Learning to Optimize Anticoagulant Pharmacogenomics in Medically Underserved Patients 215 93.839 638586 AMD1//5R01HL158686-02 83,590 —

Immunobiology of Transfusion 273 93.839 GB10756.169831//5P01HL132819-05 (1) —

Developing small molecule inhibitors of Pleckstrin-2 to treat thrombosis 18 93.839 NU-1//1R43HL165997-01 44,841 —

Links between Cardiovascular disease, Lung disease, and Obstructive sleep apnea in HIV: Understanding complex patients 274 93.839 UWSC14529 BPO# 73413//2R01HL126538-04 18,419 —

1/2 CATHETER-DIRECTED THERAPY FOR CHRONIC DVT(C-TRACT TRIAL) 288 93.839 WU-18-261//UG3HL138325 7,844 —

Supplemental funds: 1/2 CATHETER-DIRECTED THERAPY FOR CHRONIC DVT(C-TRACT TRIAL) 288 93.839 WU-23-0360//5UH3HL138325-05 23,312 —

3,481,731 76,948

Supporting Transitions to Primary care among Under-resourced, Postpartum women: The STEP-UP 93.840 1R01HL168832-01 303,742 43,449

The International Seminar on Cardiovascular Epidemiology and Prevention, 2020 93.840 1R13HL154583-01 4,831 —

Implementation and scale-up science of salt reduction policies in Nigeria 212 93.840 1UG3HL152381-01_NU_001 AMD1//UG3HL152381 9,095 —

Mentoring in community engaged implementation research to reduce cardiovascular disparities 93.840 3K24HL155897-03S1 129,173 —

A mixed methods study to identify and refine implementation strategies to increase use of cardiac rehabilitation for patients with heart failure 93.840 3R01HL146884-05S1 723,046 268,868

Leveraging Behavioral Economics to Equitably Implement Cascade Screening in Individuals with Familial Hypercholesterolemia in Partnership with the FH Foundation 93.840 4R33HL161752-02 97,712 10,830

Evaluating the Implementation and Scale-Up of Nigeria National Sodium Reduction Program 212 93.840 4UH3HL152381-03_NU_001 76,907 —

Leveraging Behavioral Economics to Equitably Implement Cascade Screening in Individuals with Familial Hypercholesterolemia in Partnership with the FH Foundation 258 93.840 584319//1R61HL161752-01 68,293 —

Development and Validation of an Observational Rating System for Individual Tailoring in Family-Based Pediatric Obesity Interventions 93.840 5F31HL160534-02 REVISED 43,751 —

Community Intervention to Reduce CardiovascuLar Disease in Chicago (CIRCL-Chicago) 93.840 5UG3HL154297-03 1,503,422 530,536

Integrating Hypertension & Cardiovascular Disease Care into existing HIV Services Package in Botswana 216 93.840 AGMT 2-16-23//4UH3HL154499-03//4UH3HL154409-03 11,396 —

Transforming Hypertension Management in Nigeria 288 93.840 WU-23-0306//7R01HL144708-04 161,896 —

Transforming Hypertension Management in Nigeria 288 93.840 WU-23-0484//5R01HL144708-05

54,939 —

3,188,203 853,683

Characterization of the lupus nephritis microRNAome 214 93.846 000518393-002-A06//5R01AR073850-04 4,123 —

Molecular Pathways of Pain Generation in Osteoarthritis 175 93.846 10012005-Sub04//5R01AR060364-10 76,096 —

Osteoarthritis Progression And Sensory Pathway Alterations 175 93.846 12052504-Sub05//5R01AR064251-09 AMD 7 190,974 —

Regulation of T helper cell functions by aryl hydrocarbon receptor 27 93.846 125457 Amendment 2//5R01AR078769-03 23,322 —

Knee Arthroplasty AcTivity (KArAT) Trial 27 93.846 128060//1R01AR080346-01A1 25,960 —

The Role of Mechanosensation Pathways in Osteoarthritis Joint Damage and Pain 175 93.846 19050702-Sub01//5R01AR077019-03 8,101 —

Phosphatase-dependent regulation of desmosome intercellular junctions 93.846 1F32AR081677-01A1 28,908 —

Mentored Patient-Oriented Research of Novel Mechanisms Linking Pain, Sleep-Wake Patterns, and Autonomic Activity in Rheumatic Diseases 93.846 1K24AR080840-01A1 90,087 3,357

Role of healthy skin molecular phenotype in the switch to specific skin diseases 93.846 1R21AR081520-01 60,001 —

An In Silico, Medical Record-based Model for Understanding the INitiation of Autoimmune Events (IMMUNE) 93.846 1R61AR076824-01 REVISED 29,127 —

Chicago Center for Translational Research in Musculoskeletal Pain 175 93.846 20032404-Sub01 AMT1//5P30AR079206-02 164,605 —

SKOAP – A Sequenced-Strategy for Improving Outcomes in Patients with Knee Osteoarthritis Pain 114 93.846 2004852077//4UH3AR077360-04 72,612 —

Mapping the joint-nerve interactome of the knee 175 93.846 22021106-SUB02//1UC2AR082186-01 62,307 —

Replacing Sedentary Time using an Innovative mHealth Intervention among Total Knee Replacement Patients 261 93.846 22-4828//5R21AR074780-03 12,142 —

Computer-guided Action Planning to Support Physical Activity (CAPPA) for Employees with Chronic Knee Symptoms 123 93.846 2417-02-02//1R21AR081007-01A1 51,764 —

Function of Desmoglein 1/Pemphigus Foliaceus Antigen 93.846 2R01AR041836-30 448,017 —

Noninvasive tools for assessing muscle structure and function 93.846 2R01AR071162-07 514,620 236,537

Transcriptional regulation of skin stem cells and their niche 93.846 2R01AR071435-07 246,166 —

Breaking down barriers: defining the role of EphA2 in building epidermal tight junctions in atopic dermatitis 93.846 3K01AR072773-03S1 365 —

Targeting keratinocyte cholesterol metabolism to reveal novel mechanisms for treating inflammatory skin disease 93.846 5F31AR081685-02 27,176 —

Core Center for Clinical Research at Northwestern University 93.846 5P30AR072579-05 REVISED 18,459 8,413

Core Center for Clinical Research at Northwestern University 93.846 5P30AR072579-07 844,036 —

Northwestern University Skin Biology and Diseases Resource-based Center 93.846 5P30AR075049-05 706,139 —

Function of Desmoglein 1/Pemphigus Foliaceus Antigen 93.846 5R01AR041836-29 44

—

Desmoplakin Assembly and Function in Epidermis 93.846 5R01AR043380-28 619,242 —

Inter-junctional signaling in epithelial junctional complex 93.846 5R01AR044016-24 (3,438) —

CNS Pain Mechanisms in Early Rheumatoid Arthritis: Implications for the Acute to Chronic Pain Transition 93.846 5R01AR064850-10 544,275 265,002

(Continued)46

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Genetic Analysis of MicroRNA Functions in Skin Stem Cells In Vivo 93.846 5R01AR066703-10 REVISED $ 530,381 —

Inflammatory arthritis: mechanistic insights into initiation and progression 93.846 5R01AR070025-05 (7,426) —

Cadherin Clusters and actin filaments 93.846 5R01AR070166-07 REVISED 460,831 —

Lupus Intervention Fatigue Trial (LIFT) 93.846 5R01AR071091-05 528,387 88,428

Noninvasive tools for assessing muscle structure and function 93.846 5R01AR071162-05 — —

Noninvasive tools for assessing muscle structure and function 93.846 5R01AR071162-05 10,990 10,990

Transcriptional regulation of skin stem cells and their niche 93.846 5R01AR071435-06 102,486 —

Supramolecular nanofibers for recombinant growth factor-free spine fusion 93.846 5R01AR072721-05 506,040 393,553

The molecular basis of Interleukin-31 driven itch 93.846 5R01AR073279-05 349,546 —

Brain Pathophysiology of Osteoarthritis Pain 93.846 5R01AR074274-05 REVISED 544,046 —

Damage-Associated Molecular Patterns Driving Fibrosis Progression in Scleroderma 93.846 5R01AR074997-02 (127) (127)

Epidermal Gene Regulation by Transcription Elongation and Termination 93.846 5R01AR075015-04 308,479 —

Synovial Macrophage Transcriptional Signatures for Predicting Therapeutic Efficacy 93.846 5R01AR075423-05 489,747 9,833

Neuron-Keratinocyte Communication in the Epidermis in Normal and Diabetic Wound Healing 93.846 5R01AR077691-03 758,509 —

Social Determinants and Timeliness of Total Knee Replacement: A National Perspective 93.846 5R01AR078342-02 771,521 33,759

Leveraging Community-Academic Partnerships and Social Networks to Disseminate Vaccine-Related Information and Increase Vaccine Uptake Among Black Individuals with

Rheumatic Diseases 93.846 5R01AR080089-02 690,693 381,716

Macrophage Heterogeneity in Rheumatoid Arthritis 93.846 5R01AR080513-02 REVISED 925,852 —

Investigate MOF regulated epigenetic mechanisms of skin development 93.846 5R01AR081103-02 523,188 —

Investigating immunophenotypic and transcriptional heterogeneity as biomarkers of pain centralization in rheumatoid arthritis 93.846 5R21AR080351-02 179,537 —

Automatic MRI segmentation for upper limb muscles for clinical applications 93.846 5R21AR080953-02 73,463 29,452

Identification of therapeutic small molecules for treatment of skin fibrosis by modulating epidermal pro-inflammatory signaling 93.846 5R21AR081475-02 134,085 —

Post Graduate Program in Cutaneous Biology 93.846 5T32AR060710-10 187,624 —

Translation of novel and repurposed drugs to address the acute and late effects of mustard exposure 93.846 5U01AR071168-05 204,519 20,436

Barrier Damage and The Immune Cascade: Northwestern University CounterACT Center of Excellence (NUCCX) *Admin Core A* 93.846 5U54AR079795-02 2,907,355 20,653

MicroRNA-mediated regulation in mammalian skin 93.846 7R01AR059697-11 (2,042) —

The pregnancy transcriptome in rheumatoid arthritis 93.846 7R01AR073111-05 208,504 8,381

A precision medicine approach to assess progression from undifferentiated arthritis to rheumatoid arthritis 93.846

7R21AR076026-03 85,462 —

IMPACCT: Infrastructure for Musculoskeletal Pediatric Acute Care Clinical Trials. 17 93.846 901634-NORTHWESTERN-AMD//5U01AR079113-02 12,850 —

Evolving Adaptive and Effector Mechanisms from Pre-RA Through Established Disease 229 93.846 FY17.090.001 FY23.090.001_AMD11//5UH2AR067681-05 (43,907) —

Pathogenic W nt-beta catenin target genes in macrophages and fibrosis 296 93.846 GR106866(CON-80001829) Amnd 4//5R01AR073270-03 345,936 —

ELLIPSS: ELucidating the Landscape of Immunoendotypes in Psoriatic Skin and Synovium 260 93.846 SUB00000303/UR FAO:GR532320 Amnd 1//1UC2AR081029-0 58,608 —

Understanding and Improving Therapies for the Muscular Dystrophies 233 93.846 SUB00002815//2P50AR052646-16A1 139,271 —

Understanding and Improving Therapies for the MuscularDystrophie 233 93.846 SUB00003405//P50AR052646 286,585 —

Understanding and Improving Therapies for the Muscular Dystrophies 233 93.846 SUB00003406//P50AR052646 8,965 —

Metaorganismal TMAO pathway driving scleroderma pathogenesis: novel gene-environment interaction paradigm and therapeutic target 249 93.846 SUBK00015632//7R61AR076821-02 12,131 —

Metaorganismal TMAO pathway driving scleroderma pathogenesis: novel gene-environment interaction paradigm and therapeutic target- R33 Phase - 249 93.846 SUBK00017921//4R33AR076821-03 9,070 —

Postdoctoral Rheumatology Training 93.846 T32AR007611-20 211,809 72,094

Establishing the validity, responsiveness, and appropriateness of patient-reported outcome measures for adult traumatic brachial plexus injury 288 93.846 WU-22-0495-MOD-1//5R01AR079139-03 4,280 —

17,382,478 1,582,477

Advancing Multiparametric Kidney Functional Magnetic Resonance Imaging to Identify Kidney Histopathologic Lesions 25 93.847 01_NWU_05439//5U2CDK114886-4 2,365 —

SpHincterotomy for Acute Recurrent Pancreatitis Trial (SHARP) 152 93.847 1020881_NORTHWESTERN Amnd 1//5U01DK116743-05 10,272 —

Phosphate Binder Therapy and Chronic Kidney Disease in Children 220 93.847 1652 G YA008//5U01DK122013-03 107,950 —

Mechanisms of Diabetes From Acute Pancreatitis in African Americans and Hispanics 236 93.847 18174 Amnd 2//5U01DK127378-03 22,098 —

Imaging Morphology of Pancreas in Diabetic Patients following Acute Pancreatitis (IMMINENT) 236 93.847 19093//5 U01 DK127384-03 / UILCDK127384-SUP 113,455 —

Dissecting the role of dynamic epigenome prompting pathways leading to kidney allograft fibrosis 244 93.847 19283 Amendment 3//5R01DK122682-05 20,533 —

A role for hypothalamic dopamine in predicting homeostatic need 93.847 1F32DK135313-01 29,963 —

Circadian SCN-Liver Axis in the Neuroendocrine Response to Calorie Restriction 93.847 1R01DK132647-01A1 225,994 —

Role of FGF23 peptides in chronic kidney disease (CKD) 93.847 1R01DK132657-01A1 329,344 —

SMARTer weight loss management 93.847 1R01DK134629-01 10,225 —

Identifying Neutrophil Specific Mechanisms for Resistance to Biologics in Ulcerative Colitis 93.847 1R01DK135620-01 22,139 —

Hyperbaric Oxygen Therapy for Ulcerative Colitis Patients Hospitalized for Moderate to Severe Flares: A Phase 3 Multi-Center, Randomized, Double-Blind, Sham-Controlled Trial 93.847 1U01DK134321-01

463,032 —

W ireless mechano-electrical stimulation of pudendal nerve using piezoelectric platform for stress urinary incontinence 50 93.847 200002654//1R01DK135472-01 713 —

Expanding live donor kidney transplantation through advocacy training and social media 114 93.847 2003447902//5R01DK1119662-05 7,780 —

W ake Forest Collaborative Application for an APOLLO Clinical Center 287 93.847 287-32841-11000000854//5U01DK116040-05 10,223 —

Mechanism of autophagy activation in exercise-induced anti-diabetic benefits 93.847 2R01DK113170-06 347,403 —

Transplant Surgery Scientist Training Program 93.847 2T32DK077662-16A1 33,135 —

10/22 Limited Competition for the Continuation of the Diabetes Prevention Program Outcomes Study (DPPOS) – Clinical Center 93.847 2U01DK048380-28 REVISED 49,270 —

Renal Osteodystrophy Precision Medicine Project 53 93.847 3(GG016514-01)//1R56DK127986-01A1 267,022 —

HiLo – Pragmatic trial of higher vs. lower serum phosphate targets in patients undergoing hemodialysis (UH3 phase) 66 93.847 303000905//5UH3DK118748-05 23,398 —

Accelerate AHEAD Study: Evaluating Diabetes Technology Use in Primary Care 4 93.847 312131//5P30DK020541-47S1 62,228 —

NRSA Postdoc Fellowship for Chelsea Hepler: A Central Circadian Clock-Adipose Tissue Circuit Regulates Thermogenesis and Energy Balance 93.847 3F32DK122675-03S1 45,044 —

SenseWhy: Overeating in Obesity Through the Lens of Passive Sensing 93.847 3K25DK113242-04S1 63,809 —

Endothelial PHD2/HIF Axis in Ischemic Kidney Injury and Inflammation 93.847 3R01DK115850-05S1 71,230 —

Enhanced Clinical Decisions for Management of Benign Prostatic Hyperplasia Using Patient-Reported Outcomes 93.847 3R01DK130963-02S1 339,730 93,517

NW University Program in Endo Diabetes and Hormone Action 93.847 3T32DK007169-44S1 283,977 68,079

Glycemic Profile of Pregnancy Consortium Biostatistics Research Center 93.847 3U01DK123759-03S1 2,922,636 2,112,851

Preconceptional health of Latinas and its association with child adiposity 253 93.847 5112424 AMD 5//5R01DK116028-05 36,278 32,372

Cure GN 2.0 – UNC-PCC 253 93.847 5124463 AMD2//5U01DK100867-10 8,356 —

CUREGN -2.0 – Travel supplement 253 93.847 5126187//5U01DK100867-10 2,132 —

Technology Enabled Strategies to Promote Treatment Adherence in Liver Transplant: The TEST Trial 258 93.847 585109 Amnd 1//5R01DK131547-02 103,991 —

Continuation of the Coordinating Center for the Chronic Renal Insufficiency Cohort (CRIC) Study 258 93.847 585234//5U24DK060990-22 41,066 —

Strategies in Renal Nanomedicine to Impact Treatment Paradigms in Kidney Disease 93.847 5F30DK123985-05 35,595 —

Biomechanical Mechanisms Underlying Pathologic Hepatic Stellate Cell Behavior in Liver Fibrosis 93.847 5F30DK129002-02 35,357 —

Circadian Mechanisms of Hedonic Feeding in Obesity 93.847 5F31DK130589-02 46,769 —

Testing Intervention Strategies for Addressing Obesity and Binge Eating 93.847 5K01DK116925-05 148,663 —

Dissecting the Nutritional Regulation of Feeding Circuits

93.847 5K08DK118188-05 47,501 —

Non-invasive Imaging Biomarkers to Identify a High-risk Chronic Kidney Disease Phenotype 93.847 5K23DK120811-03 73,200 —

Circadian Neuronal Basis for Obesity and Diabetes 93.847 5K99DK124682-02 REVISED 11,927 —

(Continued)47

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Disordered Tissue Biomechanics as a Driver of Esophageal Disease 93.847 5P01DK117824-05 $ 1,330,691 82,860

Kidney Therapeutics: Translating Discoveries into Prevention, Treatment and Cures for Kidney Diseases 93.847 5P30DK114857-05 1,147,147 44,738

Pathogenesis of Diabetic Nephropathy 93.847 5R01DK060635-19 383,829 —

Mast cells in male pelvic pain and lower urinary tract dysfunction 93.847 5R01DK083609-10 (4,103) —

Integration of Feeding Time and Glucose Metabolism by the Circadian Gene Network 93.847 5R01DK090625-11 692,684 —

Targeting Hypervigilance and Autonomic Arousal: the Psycho-physiologic Model of GERD 93.847 5R01DK092217-10 448,452 104,683

Cholestasis and the Unfolded Protein Response 93.847 5R01DK093807-08 (170) —

Regulation of FGF23 in Chronic Kidney Disease (CKD) by iron and inflammation 93.847 5R01DK102815-08 574,521 —

A Culturally Targeted Transplant Program to Increase Live Donation in Hispanics 93.847 5R01DK104876-05 6,130 —

Lipoteichoic acid mediated modulation of chronic pain 93.847 5R01DK108127-06 438,158 —

Barrier integrity, microbiome and HIV target cell interactions in the human male genital tract pre and post circumcision 93.847 5R01DK108434-05 501,210 160,442

SMART Weight Loss Management 93.847 5R01DK108678-05 6,286 —

Nuclear Repressors in Genomic Control of Healthful Obesity 93.847 5R01DK108987-08 457,663 —

Nonhuman Primate Model of Bladder Regeneration Using Autologous Bone Marrow Cells 93.847 5R01DK109539-05 330,460 277,445

Novel Diagnostics and Therapeutic Targets for Calcification in CKD 93.847 5R01DK110087-05 11,454 1,046

Transplant Regimen Adherence for Kidney Recipients by Engaging Information Technologies: The TAKE IT Trial 93.847 5R01DK110172-04 — —

Transplant Regimen Adherence for Kidney Recipients by Engaging Information Technologies: The TAKE IT Trial 93.847 5R01DK110172-04 32,585 32,585

The Circadian System as a Neuronal Regulator of Feeding Time and Body W eight Setpoint 93.847 5R01DK113011-04 75,092 —

Mechanism of autophagy activation in the prevention of type 2 diabetes 93.847 5R01DK113170-05 25,030 22,587

Role of HNF4a in the regulation of FGF23 in health and disease 93.847 5R01DK114158-04 27,406 —

Molecular Mechanisms of Epithelial Contribution to Esophageal Inflammation and Tissue Repair 93.847 5R01DK116988-05 REVISED 175,934 —

Predicting Newborn and Childhood Adiposity: An Integrated Omics Approach 93.847 5R01DK117491-05 347,587 50,855

Rescuing Kidneys at Risk of Discard 93.847 5R01DK118425-04 438,442 78,840

Molecular mechanisms for bone marrow failure and clonal progression during the innate immune response in Fanconi Anemia 93.847 5R01DK121354-04 45,774 —

Estrogen and Abdominal Muscle Fibrosis 93.847 5R01DK121529-05 633,695 17,687

The Unfolded Protein Response in Fatty Liver 93.847 5R01DK121997-04 317,000 —

Clock Control of Muscle Glucose Metabolism and HIF Activity 93.847 5R01DK123358-04

339,760 —

Autophagy-facilitated secretion in metabolic maintenance 93.847 5R01DK123447-03 394,954 —

Molecular dysregulation of primary cilia TRPP2 channels caused by Finger 1 variants 93.847 5R01DK123463-05 427,539 —

Neutrophils instruct macrophage responses to promote mucosal healing 93.847 5R01DK124199-04 357,821 —

The roles of mDia2 in membrane remodeling and organelle clearance during reticulocyte formation 93.847 5R01DK124220-04 441,101 —

Effects of Epigenetic Regulation in Chronic Pelvic Pain Syndrome 93.847 5R01DK124460-03 231,907 —

Methodological and data-driven approach to infer durable behavior change from mHealth data 93.847 5R01DK125414-03 478,619 191,863

Evaluating the EVO treatment optimized for resource constraints: Elements Vital to treat Obesity 93.847 5R01DK125749-03 42,110 6,803

Evaluating the EVO treatment optimized for resource constraints: Elements Vital to treat Obesity 264 93.847 5R01DK125749-04 326,014 —

Promoting Preconception Care and Diabetes Self-Management among Reproductive-Aged W omen with Diabetes: The PREPARED Trial 93.847 5R01DK127184-03 565,641 125,680

Cross-regulation of Immunometabolism and Circadian Pathways in Obesity Pathophysiology 93.847 5R01DK127800-03 623,871 —

Integrating a culturally competent APOL1 genetic testing program into living donor evaluation 93.847 5R01DK128207-02 569,656 184,131

Rapid hormonal modulation of feeding circuit dynamics and its disruption in obesity 93.847 5R01DK128477-03 403,886 —

EAT: A Reliable Eating Assessment Technology for Free-living Individuals. 93.847 5R01DK129843-02 734,935 44,506

REDUCING DISPARITIES IN URINARY CONTROL SYMPTOMS FOR MINORITY WOMEN 93.847 5R01DK129849-02 157,666 —

Role of FGF23 and Phosphate in Chronic Kidney Disease 93.847 5R01DK131046-02-REVISED 599,839 —

Cilia calcium dysregulation in polycystic kidney disease 93.847 5R01DK131118-02 535,284 —

Natural history, risk prediction and cost of cirrhosis in insured Americans. 93.847 5R01DK131164-02 419,010 —

Telemetric Regenerative Bandage for Accelerating W ound Healing 93.847 5R01DK131302-03 879,672 —

Adaption, Implementation and Testing of a Telehealth Diabetes Discharge Intervention to Improve Transitions of Care 93.847 5R01DK131469-02 240,318 18,811

Macrophages and attenuation of inflammation resolution in APOL1 nephropathy 93.847 5R01DK131521-02 629,344 —

The role of DMP1 in FGF23-induced hypophosphatemia 93.847 5R01DK132342-02 700,173 —

Harnessing hypoxia responses to treat postischemic kidney injury and inflammation 93.847 5R01DK132672-02 262,360 —

A Micro-Randomized Trial to Optimize Just-in-Time Adaptive Intervention for Binge Eating & Weight-related Behaviors 93.847 5R01DK133300-02 432,989 26,082

W ildCam: A Privacy Conscious W earable Eating Detection Camera People will Actually W ear in the W ild 93.847 5R03DK127128-02 77,368 —

Designing a Mobile Obesity & Binge Eating Intervention for Implementation in Clinical Settings 93.847 5R03DK128531-02 67,343 —

Health and Economic Impacts of Coverage Requirements and Health System-Community Coordination for Diabetes Prevention 93.847 5R18DK110741-05 132,270 —

Behavioral Nudges for Diabetes Prevention (BEGIN) Trial in Primary Care

93.847 5R18DK123375-04 856,437 187,164

Use of simulation-based mastery learning to improve polypectomy outcomes 93.847 5R21DK124816-02 29,268 —

Sustaining W omen’s Engagement and Enabling Transitions after Gestational Diabetes Mellitus (SWEET) 93.847 5R34DK125958-02 69,709 —

Transplant Surgery Scientist Training Program 93.847 5T32DK077662-15 212,435 —

The Northwestern Summer Research Program for Medical Students 93.847 5T35DK126628-03 48,422 —

NRSA Training Core 93.847 5TL1DK132769-03 555,101 229,341

Pelvic Pain and Depression 93.847 5U01DK082342-13 126,863 —

LURN II: Enhanced Characterization of Patients with LUTS Using Biopsychosocial Approaches 93.847 5U01DK097779-11 520,834 149,430

Glycemic Profiles and Pregnancy Outcomes Study (GLOSS) 93.847 5U01DK123745-03 797,134 26,517

NORTHWESTERN UNIVERSITY PLUS CLINICAL SITE 93.847 5U01DK126045-04 257,356 —

Liver Cirrhosis Network: Scientific and Data Coordination Center 93.847 5U24DK130164-02 1,886,053 26,921

Chicago Kidney Urology Hematology network FOR city-W ide reseArch tRaining and career Development (Chicago KUH FORW ARD) 93.847 5U2CDK129917-03 401,047 35,469

Hyperbaric Oxygen Therapy for Ulcerative Colitis Patients Hospitalized for Moderate to Severe Flares: A Multi-Center, Randomized, Double-Blind, Sham Controlled Trial (HBOT-UC) 93.847 7U34DK126626-02 (23,837) —

Sharing Digital Self-Monitoring Data with Others to Enhance Long-Term Weight Loss: A Randomized Trial using a Factorial Design 65 93.847 900144 AMD 1//5R01DK129300-02 16,539 —

Aberrant DNA Methylation Underlying Adverse Prenatal Exposures and Increased Newborn and Childhood Adiposity 17 93.847 901556 – NU AMD 4//5R01DK118403-05 117,701 —

Aberrant DNA Methylation Underlying Adverse Prenatal Exposures and Increased Newborn and Childhood Adiposity 17 93.847 901608 – NU //3R01DK118403-02S1 REVISED 2,302 —

Stent vs. Indomethacin for Preventing Post-ERCP Pancreatitis: The SVI Trial 130 93.847 A00-2010-S010 Amnd 5//5U01DK104833-06 51,317 —

SpHincterotomy for Acute Recurrent Pancreatitis 130 93.847 A00-3656-S009//5U01DK116743-03 1,300 —

Excess Radiation Exposure in Infants and Children From Videofluoroscopic Swallow Studies 130 93.847 A20-0260-S001 Amd. 2//5R01DK122975-03 (5,161) —

Novel Biomarkers for Post-Liver Transplant NASH Fibrosis 259 93.847 AWD00006105 (138711-3) Amendment 1//5R01DK130294-0 70,776 —

Role of Clock-HIF signaling in adult muscle stem cell regenerative capacity during obesity 226 93.847 AWD035726-03-PR (SUB00000561)//5P30DK020595-45 45,226 —

Longitudinal patterns of cardiometabolic risk factors, gestational diabetes, and diabetes 226 93.847 AWD047431-02-PR (SUB00000333)//5P30DK092949-10 (3,000) —

Technology supported treatment of sleep apnea in prediabetes 226 93.847 AWD100319 (SUB00000080)//5R01DK120312-04 45,043 —

Longitudinal patterns of cardiometabolic risk factors, gestational diabetes, and diabetes 226 93.847 AWD102383 (SUB00000573)//2P30DK092949-11 1,330 —

Chicago Center for Diabetes Translation Research 226 93.847 AWD102383 (SUB00000604)-AMD1//5P30DK092949-12

206,606 —

Patient and Clinician Perspectives on Preventing and Managing T2DM among Older Adults Engaged in HIV Care 226 93.847 AWD102383 (SUB00000676) Amnd 1//2P30DK092949-11 10,703 —

Chicago Center for Diabetes Translation Research: Just a Spoonful of Sugar Helps the Messages Go Down: Improving Prediabetes Awareness and Risk Communication among

(Continued)48

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Hispanic/Latino Adults 226 93.847 AWD102383 (SUB00000696) AMD 1//2P30DK092949-11 $ 30,000 8,333

Inflammatory Pathways in BPH/LUTS 147 93.847 EH17-341-S1//5R01DK117906-04 28,640 —

A Multicenter Randomized Controlled Trial of Surveillance vs. Endoscopic Therapy for Barrett’s Esophagus with Low-grade Dysplasia: The SURVENT Trial 229 93.847 FY23.1035.018//1U01DK129191-01 20,809 —

Plasticity of Renin Cells in the Kidney Vasculature 273 93.847 GB10541.PO# 2231728//5R01DK116718-03 24,694 —

Shaping diabetogenic T cells by IL-27 in type 1 diabetes 128 93.847 MCW 1-9-23//5R01DK121747-04 79,981 —

Biochemical Mechanism of Beta-Cell Destruction 128 93.847 MCW Agmt 2/1/23//2R01DK052194-25 3,571 —

Data Coordinating Center for the Type 1 Diabetes in Acute Pancreatitis Consortium (T1DAPC) 156 93.847 NWUDK127384 Amnd 1//5U01DK127384-03 58,813 —

Data Coordinating Center for the Type 1 Diabetes in Acute Pancreatitis Consortium 156 93.847 NWUDK127384 -PC Amnd 1//5U01DK127384-03 7,342 —

Large-scale nutrigenetics and genomics in a tractable metazoan model 247 93.847 OSP2018042//5R01DK115960-04 (17) —

Epidemiology of Diabetes and Interventions and Complications (EDIC) 38 93.847 RES516366//5U01DK094157-11 (1,699) —

UroEDIC Bladder: Bladder Dysfunction in Type 1 Diabetes 38 93.847 RES516477//1R01DK116723-01A1 11,886 —

Epidemiology of Diabetes Interventions and Complications Study (EDIC) 38 93.847 RES600215//2U01DK094157-12 169,515 —

Novel Role of Hepatic SEL1L-HRD1 ERAD in FGF21 Gene Transcription 249 93.847 SUBK00009305//5R01DK120330-04 2,387 —

Novel Role of Hepatic SEL1L-HRD1 ERAD in FGF21 Gene Transcription 249 93.847 SUBK00017277//2R01DK120330-05 203,827 —

Control of islet beta specific Pdx-1 and MafA transcription 279 93.847 UNIV59587//5R01DK050203-22 (616) —

Regulation of Rhytmic m6A RNA Modification by ER associated Degradation 290 93.847 WSU21103-A2//5R01DK126908-03 308,762 —

33,235,609 4,441,638

Schwann Cell Reprogramming after Nerve Injury 275 93.853 0000003066//1R01NS130566-01A1 13,805 —

AtRial Cardiopathy and Antithrombotic Drugs in prevention After cryptogenicstroke (ARCADIA) "study" 227 93.853 010785-133385 Amd. 2//1U01NS095869-02 Revised 15,273 —

ARCADIA CSI (Cognition and Silent Infarcts) "Study" 227 93.853 012340-133385//5U01NS110728-02 2,158 —

Multimodal wireless electrical stimulation for tissue regeneration 220 93.853 0125 G LA398//1R01NS126918-01 403,306 —

FVIIa for Acute hemorrhagic Stroke Administered at Earliest Time (FASTEST) Trial 227 93.853 012765-00017//5U01NS110772-02 80,900 —

FVIIa for Acute hemorrhagic Stroke Administered at Earliest Time (FASTEST) Trial 227 93.853 012765-133385//1U01NS110772-01 17,487

—

Scalable Electrode Technology for High Resolution Chronic Recording of Brain 268 93.853 1806591 AMD 4//R01NS104344 147,792 —

Novel tools for in vitro electrophysiology and neurotrauma modeling 236 93.853 18429 Amd 4//5R01NS113935-05 271,983 —

Cracking the Olfactory Code (Project 1) 142 93.853 19-A0-00-1002081-113030 Amnd 4//5U19NS112953-05 644,939 —

Cracking the Olfactory Code (Project 3) 142 93.853 19-A0-00-1002081-113032//5U19NS112953-02 57,154 —

Combining Physiological, Genetic, and Computational Approaches with Naturalistic Climbing Behavior to Elucidate the Funcitonal Elements of Descending 93.853 1DP2NS120847-01 281,738 —

Comparative Approaches for the Study of Somatosensory Processing in Drosophila 93.853 1F31NS129270-01 22,520 —

Identifying mechanisms underlying sex differences in motoneuron discharge 93.853 1F31NS130767-01A1 1,362 —

The Role of Neutrophils in Ischemia/Reperfusion Injury following Acute Stroke 93.853 1F31NS130939-01 REVISED 30,224 —

The role of ER-phagy in maintaining protein homeostasis in PD patient derived neurons. 93.853 1F31NS131055-01 28,956 —

Glucocorticoid regulation of dopamine circuit function 93.853 1F99NS130873-01 42,732 —

Multi-scale disease modeling of SCN2A-related epilepsy due to gain-of-function variants 93.853 1K08NS121601-01A1 229,168 —

Mechanisms of Neurodegeneration in KIF5A ALS/FTD 93.853 1K08NS130146-01A1 12,758 —

Mitochondrial Fidelity in Mammalian Neurons 93.853 1K99NS126639-01A1 83,824 —

Precise Prediction and Treatment of Seizures After Intracranial Hemorrhage 93.853 1R01NS117608-01A1 1,596 —

Targeting RNA Splicing in Glioma 93.853 1R01NS125318-01A1 390,505 —

Post-stroke normal appearing white matter diffusion properties and cognitive trajectories across age 93.853 1R01NS126509-01A1 85,195 —

Elucidating cellular mechanisms underlying neurodegeneration 93.853 1R01NS127204-01 533,761 —

Regulation of Hippocampal Neurogenesis and Behavior by Noggin 93.853 1R01NS128053-01A1 225,512 —

The interplay between HIV-1 and amyloid precursor protein in infection and neurotoxicity 93.853 1R01NS131094-01A1 194,784 —

Development of an EMG-controlled BCI for biomimetic control of hand movement in humans 93.853 1R01NS131953-01 21,380 —

Investigating the Contribution of ALS/FTD-Associated Mutations in the NEK1 Kinase to Disease Pathophysiology 93.853 1R01NS134166-01 7,330 —

Blast-induced TBI in the ferret: small brains, big opportunities 93.853 1R21NS116638-01A1 114,074 —

Towards elucidation of circuit mechanisms for feeding-related manual dexterity 93.853 1R21NS116886-01 (4,059) —

A Synthesis Platform to Leverage the Neuroscience Potential of Yohimbine Alkaloids 93.853 1R21NS120521-01 125,342 —

The role of poison exons in neurodevelopment 93.853 1R21NS121572-01A1 253,433 —

Regulation of microglia-mediated neuroinflammation by store operated Orai1 channels 93.853 1R21NS122347-01 163,097

—

COVID-19: Neurological consequences of COVID-19 during the early recovery period: Imaging Analysis of the Blood Brain Barrier and Neurovascular alterations 93.853 1R21NS123871-01 168,099 —

A zebrafish model to study functional regeneration of motor circuits 93.853 1R21NS125207-01 177,752 —

Profiles of Common and Unique aspects of Upper Motor Neuron degeneration in HSP and ALS 93.853 1R21NS125465-01A1 173,830 —

Developing new paradigms for mouse forelimb sensorimotor circuit analysis 93.853 1R21NS125594-01 335,528 —

Cysteine Depletion-induced Ferroptosis as a Therapeutic Vulnerability in Glioblastoma Temozolomide Resistance 93.853 1R21NS126810-01 133,273 —

Adapting Neurogenetic Technologies for Use in the Desert-dwelling Fly Drosophila Mojavensis 93.853 1R21NS130554-01 154,121 —

Defining the Mechanisms by Which Mutations in DNAJC7 Increase Susceptibility to ALS/FTD 93.853 1R21NS131713-01 86,109 —

Genetic Mapping of Modifier Loci in a Mouse Model KCNB1 Encephalopathy 93.853 1R21NS134236-01 27,590 —

Brainstem circuits of corticospinal neurons 93.853 1R34NS116713-01 135,749 —

Bidirectional circuits of locus ceruleus and motor cortex neurons 93.853 1R34NS127119-01 213,736 —

The Physiology of Store-Operated Channels in the Nervous System 93.853 1R35NS132349-01 REVISED 143,689 —

Dementia Risk Prediction Pooling Project 93.853 1R61NS120245-01 64,616 56,712

VEGF-Mimetic Supramolecular Nanoparticles for Treating Spinocerebellar Ataxia Type 1 93.853 1R61NS127141-01A1 8,151 —

Examining the role of glycosphingolipids in the progression and heterogeneity of synucleinopathies 93.853 1RF1NS109157-01 REVISED 272,562 —

Multiplex Imaging of Brain Activity and Plasticity with Optimized FRET/FLIM-based Sensors 93.853 1U01NS128655-01 349,990 —

Development of anti-LTBP4 as a biologic to treat Neuromuscular Diseases 93.853 1UG3NS127383-01 804,694 —

Hippocampal neural dynamics driving affiliation and attachment 220 93.853 2000 G YK444//1UF1NS122124-01 Revised 86,559 —

Examining the role of phosphatidylethanolamine and autophagic disruption in Lewy Body Dementias and Parkinson’s disease 121 93.853 22-08-001//1R56NS114272-01A1 101,833 —

AT-HOME-PD (Tele-Health Extension for Phase 3 Parkinson’s Disease Trial Cohorts) 124 93.853 232297 AMD 05//5U01NS107009-05 54,317 —

Dopaminergic and Muscarinic Signaling in the Striatum 93.853 2R37NS034696-24 REVISED 656,739 —

Investigation of Pallidal Neurons in Motor Inhibition 93.853 2R56NS069777-11 338,534 —

Adhesion molecules and developmental epilepsy disorders 93.853 2R56NS100785-05A1 417,905 27,976

Cerebral Small Vessels in Motor and Cognitive Decline: Neuroimaging Signatures of Vulnerability & Resilience 93.853 2RF1NS085002-06 442,203 —

Clinical Research Site for the Network of Excellence in Neuroscience Clinical Trials (NeuroNEXT site) 93.853 2U24NS107213-06 13,497 —

Fgl2 neutralizing therapy for inducing tumor specific brain resident immune memory against CNS tumor relapse 270 93.853 3001813107 Amendment 3//5R01NS122857-03 86,527 —

5-Cog battery to improve detection of cognitive impairment and dementia: pragmatic clinical trial 4 93.853 312248//2U01NS105565-07

44,906 —

Fecal Microbiota Transfer Attenuates Aged Gut Dysbiosis and Functional Deficits after Traumatic Brain Injury 93.853 3K99NS130277-01S1 78,774 —

LRRK2-mediated molecular and synaptic events in the striatum 93.853 3R01NS097901-05S1 (416) —

A wireless, closed-loop neural probe for optogenetics, pharmacology and neurochemical monitoring 230 93.853 431257//RF1NS118287 356,218 —

Online education for high school students to reduce HIV and related sexual behavior risk 26 93.853 4500003971 AMD1//5R21HD105482-02 20,185 —

(Continued)49

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Role for Ion Conducting Proteins in Cortical Malformation Diseases 93.853 4R00NS112604-03 $ 171,606 —

Interpretable machine learning for understanding the neural control of movement 93.853 4R00NS119787-03 26,333 —

Dementia Risk Prediction Pooling Project 93.853 4R33NS120245-02 631,697 53,514

The role of ATP13A2/PARK9 in secretion of exosomes and alpha synuclein 93.853 4R37NS096241-05 (3,265) —

Functional Annotation of a Comprehensive Set of SCN2A Variants 29 93.853 5001370-5500001215//5R21NS110355-02 (64) —

The Use of Eye Movement Testing to Detect Neurocognitive Change Associated with Subconcussive Impacts 93.853 5F31NS106840-02 REVISED (566) —

Intraoperative functional mapping using infrared thermography 93.853 5F31NS115362-03 REVISED 6,459 —

A Predictive Model for Assessment of CSF Flow Through Ventricular Shunts 93.853 5F31NS115422-03 86 —

A subtype-specific ablation of dopamine neurons to mimic human Parkinson’s disease 93.853 5F31NS115524-03 47,667 —

Effects of oxaliplatin-based chemotherapy on proprioception in cancer survivors 93.853 5F31NS118832-02 (148) —

Trigeminal Nerve Stimulation in Chronic Hemiparetic Stroke 93.853 5F31NS120500-02 10,318 —

EEG Correlates of Inhibitory Control During STN Deep Brain Stimulation 93.853 5F31NS120695-02 16,488 —

NRSA in support of Maria Milagros Pereira Luppi: The role of transcription factor SOX6 in midbrain dopamine neuron lineage and molecular diversity 93.853 5F31NS122481-02 17,191 —

Characterization of a Novel Ataxia Phenotype (NRSA Predoc Fellowship for Alexander Telenson, MS.) 93.853 5F31NS122495-03 41,569 —

Dopamine Dependence of Offset Analgesia 93.853 5F31NS126012-02 39,868 —

Investigation of Histone H3 Post-Translational Modifications in Pediatric Brainstem Glioma 93.853 5K08NS097624-03 (36) —

Cerebellar Modulation of Innate Defensive Behaviors 93.853 5K99NS119783-02 8,702 —

Molecular mechanisms underlying mitochondria-lysosome membrane contact sites in neuronal function and neurodegeneration 93.853 5R00NS109252-05 83,372 —

A novel blood-CSF adaptive immune response in Alzheimer’s disease 93.853 5R00NS112458-04 182,512 —

Measuring Electrical Activity from the Human Brain to Predict Memory Formation and Behavior Across the Lifespan 93.853 5R00NS115918-04 251,567 —

Targeting the Integrated Stress Response to Protect Oligodendrocyte lineage Cells 93.853 5R01NS034939-23 503,729 —

Resilience, Dysregulation, and Rescue of Basal Ganglia Indirect Pathway Function in Progressive Parkinsonism 93.853 5R01NS041280-22 585,769 —

Myoferlin in muscle membrane fusion and repair 93.853 5R01NS047726-17 278,797 —

A primate model of an intra-cortically controlled FES prosthesis for grasp 93.853 5R01NS053603-15 273,202 —

Store-operated channels in the nervous system 93.853 5R01NS057499-15 312,917 —

The Loss of Independent Joint Control of the Upper Limb in Spastic Hemiparetic CP 93.853 5R01NS058667-09 REVISED 287,298 —

Synaptic Circuit Organization of Motor Cortex 93.853

5R01NS061963-15 343,981 —

Cajal-Retzius cells and neuronal signaling in postnatal cortical networks 93.853 5R01NS064135-13 304,505 —

ZFP24 Control of the myelination program of oligodendrocytes 93.853 5R01NS067550-09 400,845 —

Understanding the Cellular Basis of Movement Disorders 93.853 5R01NS082351-10 196,816 —

Genetic Modifiers of Childhood Epilepsy 93.853 5R01NS084959-09 REVISED 650,032 —

Concordance of TDP-43 Inclusions with Cortical Atrophy and Clinical Phenotype 93.853 5R01NS085770-09 567,760 169,409

Neurogenetic Approaches to Study Directed Behavior in Drosophilla 93.853 5R01NS086859-10 500,981 —

The role of a-synuclein accumulation in lysosomal hydrolase trafficking and function 93.853 5R01NS092823-07 404,250 —

Effect of Unilateral and Bilateral STN Stimulation on Eye-Hand Coordination 93.853 5R01NS092950-05 (2,112) —

Coding properties of Vibrissal-Responsive Trigeminal Ganglion Neurons 93.853 5R01NS093585-05 136,084 —

Biomimetic Somatosensory Feedback through Intracorticalmicrostimulation 93.853 5R01NS095251-05 (4,274) —

Biomimetic Somatosensory Feedback through Intracorticalmicrostimulation 93.853 5R01NS095251-05 (27,374) (27,374)

Microcircuits of the Subiculum and Epilepsy 93.853 5R01NS096092-05 307,609 —

Cellular Plasticity and equilibrium in GBM Progression 93.853 5R01NS096376-07 433,141 —

IDO1 and Immunotolerance in Glioblastoma 93.853 5R01NS097851-07 255,112 —

The Human Motor Output Map 93.853 5R01NS098509-05 (914) —

The Human Motor Output Map 93.853 5R01NS098509-05 34,403 34,403

The role of amyloid precursor protein in HIV-1 replication and associated neurodegeneration 93.853 5R01NS099064-05 116,810 —

A wearable myoelectric computer interface to reduce muscle co-activation in acute and chronic stroke 93.853 5R01NS099210-05 32,972 —

Regulation of CD4+ T cell-mediated Demyelination Following Oligo Ablation 93.853 5R01NS099334-05 (4,604) —

Mouse model studies of TMEM230-linked Parkinson’s disease 93.853 5R01NS099623-07 444,019 —

Investigation of ALS caused by mutant CHCHD10 93.853 5R01NS099638-05 (3,981) —

Subcortical auditory processing in sports-related concussions and contact/collision sports 93.853 5R01NS102500-05 320,552 —

Tissue Factor as a Key Determinant of IDH1 Mutant versus IDH1 W ild-type Glioma Thrombosis and Malignancy 93.853 5R01NS102669-05 (1,977) —

Determining How Defective Nucleo-Cytoplasmic Trafficking Leads To Neurodegeneration In C9orf72-Related ALS And FTD 93.853 5R01NS104219-05 112,772 3,253

Cellular and Molecular Role of CXCR4 signaling in Painful Diabetic Neuropathy 93.853 5R01NS104295-05 49,815 —

Deciphering the Roles of Kainate Receptors in Developing CNS Circuits 93.853 5R01NS105502-05 422,702 —

Contralesional Corticobulbospinal Structural and Functional Changes Post Stroke: Biomarkers for the upper limb flexion synergy

93.853 5R01NS105759-05 395,141 7,255

Genetic Approaches to Optimize CAR T cells for Glioblastoma Therapy 93.853 5R01NS106379-05 332,580 86,218

Molecular Mechanisms Integrating Circadian Timing and Photic Signaling 93.853 5R01NS106955-05 REVISED 212,661 —

The Role of Mitochondria in TDP-43 Proteinopathy 93.853 5R01NS107396-07 (207,324) —

Mechanisms of striatal structural and functional plasticity. 93.853 5R01NS107539-05 307,809 —

Reversible mRNA methylation in oligodendrocyte development and CNS myelination 93.853 5R01NS109372-05 396,230 —

Mechanisms of electrical stimulation of a canonical motor microcircuit 93.853 5R01NS109552-05 474,456 —

Role of Host Cell Factors in Newborn Herpes Simplex Virus (HSV) Encephalitis 93.853 5R01NS110631-04 169,944 —

MAPK as target of glioma immunoediting by CD8 T-cells, and predictor of response to immunotherapy 93.853 5R01NS110703-04 REVISED 356,345 —

Hemostasis, Hematoma Expansion, and Outcomes After Intracerebral Hemorrhage 93.853 5R01NS110779-05//5R01NS110779-05 820,086 373,436

Motoneuron mortality in neurodegenerative diseases induced by homeostatic dysregulation of excitability 93.853 5R01NS110953-05 532,833 332,285

Modulation of the prefrontal cortical network in neuropathic pain 93.853 5R01NS112292-04 523,086 16,422

Optimizing the restoration and rehabilitation of function using cortically-controlled FES following SCI 93.853 5R01NS112535-05 388,693 70,874

Role of purine metabolism in chemoresistance 93.853 5R01NS112856-05 285,926 —

Combining myoelectric training with sleep-based memory reactivation to improve motor recovery after stroke 93.853 5R01NS112942-05 680,047 —

SLFN5: A Novel Therapeutic Target for Glioblastoma 93.853 5R01NS113352-04 300,886 —

Development of Novel MNK Inhibitors for Treating Glioblastoma 93.853 5R01NS113425-05 500,242 —

Cellular mechanisms of hippocampal network neuroplasticity generated by brain stimulation 93.853 5R01NS113804-05 1,749,756 1,083,012

Neuronal excitability and copy number variation disorders 93.853 5R01NS114977-04 423,847 91,407

Role of Protein Methylation in Cell Mitosis and Glioblastoma 93.853 5R01NS115403-04 503,682 25,918

Glutamate receptor signaling pathways in the circuit integration of adult-born neurons 93.853 5R01NS115471-03 395,842 41,441

Regulation of synaptic plasticity and cognitive functions by store-operated Orai1 channels 93.853 5R01NS115508-03 407,510 11,937

Real-Time Tracking of Gene Therapy by Bioactivated MR contrast Probes 93.853 5R01NS115571-04 699,679 360,514

Arginine Metabolism Regulates Myeloid Immune Suppression in Glioblastoma 93.853 5R01NS115955-04 385,194 —

High-resolution Infrared Thermal Imaging (ITI) for Simultaneous Functional Mapping of the Entire Craniotomy in Awake Patients 93.853 5R01NS116190-03 REVISED 535,849 —

Models of rodent facial musculature for the study of active tactile sensing 93.853 5R01NS116277-03 380,591 —

Interaction between Tissue Factor, Junctional Adhesion Molecule-A, and Integrin B1 to drive self-renewal in glioblastoma 93.853 5R01NS117104-04 261,716 —

(Continued)50

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Immune-modifying nanoparticles for the treatment of traumatic brain injury 93.853 5R01NS117476-04 $ 330,483 —

Neuronal roles of Parkinsons Disease Vps13C in regulating autophagy and calcium dynamics 93.853 5R01NS117750-04 561,890 —

Quantitative ASL MR angiography and perfusion imaging for cerebral revascularization 93.853 5R01NS118019-05 125,975 —

Targeting IDH mutations to improve seizure control in glioma patients 93.853 5R01NS118039-04 498,610 —

Mechanisms of gene regulation and RNA processing in synucleinopathies 93.853 5R01NS118824-04 527,481 —

Development of a novel therapeutic strategy for treatment of SOD1-linked ALS by CRISPR/Cas9-mediated SOD1 promoter editing 93.853 5R01NS118928-03 234,504 —

Developmental underpinnings of substantia nigra vulnerability 93.853 5R01NS119690-03 558,457 —

The role of the cortex and brainstem in motor preparation for proximal and distal upper extremity movements 93.853 5R01NS120226-03 268,631 —

Determinants of Basal Ganglia Pathology in Parkinson’s Disease 93.853 5R01NS121174-03 728,545 —

Understanding the Behavior of Novel IL13Ralpha2-directed T cell Engager for GBM 93.853 5R01NS122395-03 340,212 42,221

Dopamine, Synaptic Plasticity and Striatal Ensemble Dynamics Underlying Motor Learning 93.853 5R01NS122840-02 576,175 —

RAD23 Control of ALS phenotypes 93.853 5R01NS122908-02 431,348 —

New Inactivators of GABA Aminotransferase for Epilepsy and Neuropathic Pain 93.853 5R01NS123057-03 643,871 173,886

Identifying pathogenic mechanisms underlying PACS1 Syndrome: implications for neural development 93.853 5R01NS123163-02 666,569 —

Mechanisms of Genome Architecture Regulation in Motor Learning 93.853 5R01NS123285-02 579,642 —

Mechanism and therapeutic potential of microglia regulation in glioblastoma 93.853 5R01NS124594-02 375,364 —

Defining mechanisms underlying C9orf72-associated frontotemporal dementia with C. elegans and mammalian models 93.853 5R01NS124802-02 752,950 243,104

Cellular Pathophysiology of Neuronal Na/K-ATPase Dysfunction 93.853 5R01NS125785-02 509,623 —

Supercomputer-based Models of Motoneurons for Estimating Their Synaptic Inputs in Humans 93.853 5R01NS125863-02 319,862 92,944

Trauma, the gut, and the brain: the gut microbiota-microglia axis in traumatic brain injury 93.853 5R01NS127865-02 711,709 20,978

Modern approach to electrical conductivity mapping of spinal cord tissues 93.853 5R21NS120166-02 189,681 13,695

Improving Human Cerebrovascular Function Using Acute Intermittent Hypoxia 93.853 5R21NS121742-02 REVISED 299,384 —

Targeting ATG4B to Treat Glioblastoma 93.853 5R21NS122375-02 158,485 —

The Role of Aortic-Carotid Hemodynamics and Aberrant Flow in HIV Cerebral Injury 93.853 5R21NS122511-02 157,330 57,745

Kainate Receptors as a Target for the Anticonvulsant Perampanel 93.853 5R21NS123780-02 130,464 —

Imaging tools to assess circuit connectivity and function in zebrafish 93.853 5R21NS125187-02 155,198 —

Investigating Divergent Disease Severity in Human Neuronal Models of KCNQ2-Related Developmental and Epilepsy Disorders 93.853 5R21NS125503-02 REVISED

252,390 —

Exploring the Pathogenic Mechanisms of Batten’s disease MFSD8 mutations using patient iPSC derived neurons. 93.853 5R21NS125847-02 208,467 —

Characterized Adult Primary Human Microglia Cells for Research 93.853 5R24NS104160-04 222,977 —

Research Education Program for Trainees in Neurology 93.853 5R25NS070695-13 94,190 —

Synaptic Coding in the Cerebellar Corticonuclear Circuit 93.853 5R35NS116854-03 712,357 —

Mechanistic Analysis of Genetic Modifiers in Parkinson’s Disease 93.853 5R35NS122257-02 1,121,773 —

General Motor Control Mechanisms and Disease Training Program 93.853 5T32NS041234-20 266,232 —

TRAINING PROGRAM IN THE NEUROSCIENCE OF HUMAN COGNITION 93.853 5T32NS047987-15 145,360 —

Clinical Coordination Center for STEADY-PD3 93.853 5U01NS080818-04 357 —

Primary Care Detection of Cognitive Impairment Leveraging Health and Consumer Technologies in Underserved Communities: The MyCog Trial 93.853 5U01NS105562-07 733,893 —

Study in Parkinson Disease of Exercise Phase 3 Clinical Trial: SPARX3 93.853 5U01NS113851-02 3,817,568 2,186,294

Clinical Research Sites for the Network of Excellence in Neuroscience Clinical Trials (NEXT Sites) 93.853 5U24NS107213-05 265,756 —

Channelopathy-Associated Epilepsy Research Center 93.853 5U54NS108874-05 2,446,047 1,556,815

MyCog – Rapid detection of cognitive impairment in everyday clinical settings 93.853 5UH3NS105562-05 10,012 3,981

Maternal Outcomes and Neurodevelopmental Effects of Antiepileptic Drugs (MONEAD) II 187 93.853 61869966-125439//5U01NS038455-20 37,621 —

Perfusion imaging to identify posterior circulation candidates for thrombectomy (PRECISE) 187 93.853 62747531-193654 AMND 1//5R01NS121720-02 5,630 —

Epigenetic Regulation of Nerve Injury 275 93.853 761K946//5R01NS100510-05 2,558 —

An Intracortical Brain-Computer Interface Model for High-Efficiency Development of Closed-Loop Neural Decoding Algorithms. 77 93.853 800010796/000153//R01NS109257 AMD 3 99,812 —

Safety and Cognitive Effects of Acute Intermittent Hypoxia-Induced Neuroplasticity in TBI 165 93.853 80255-03 Amendment 2//1R21NS114815 52,549 —

Targeting Transcriptional Elongation in Pediatric Glioma 17 93.853 901657-NU//1R01NS126513-01 7,633 —

From Neural Control of Movement to Treatments for Spinal Cord Injury 165 93.853 9833//1R35NS122336-01 21,937 —

Targeting Transcriptional Elongation in Pediatric Glioma 214 93.853 ADVANCE ACCOUNT 2,015 —

Perinatal Arterial Stroke (PAS): A Phase III Multi-site Trial of I-ACQUIRE 17 93.853 Agmt 3/3/20//1U01NS106655-01A1 13,618 —

MACC/EPICC-Net as a Hub for the HEAL Initiative EPICC-NET 128 93.853 AGMT 5/20/21 Amnd 2//1U24NS115679-01 REVISED 7,754 —

MR Imaging of Bioscaffold-Induced Neural Progenitor Migration 259 93.853 AWD00004190 (136332-1) Amnd 2//1R01NS122768-03 128,306 —

Calcium Channels in Glioblastoma

273 93.853 AWD-004192.GR-100549//1R01NS122222-01A1 70,073 —

Predicting Stroke Risk in Intracranial Atherosclerotic Disease with Novel High Resolution, Functional and Molecular MRI Techniques 226 93.853 AWD101460 (SUB00000411)//5R01NS114632-02 158,534 —

The Interplay between Kinematic and Force Representations in Motor and Somatosensory Cortices during Reaching, Grasping, and Object Transport 226 93.853 AWD102733 (SUB00000633)//5R01NS125270-02 81,711 —

The contribution of the vermiform appendix to Parkinson’s disease 278 93.853 CON-000008 Amd 1//5R01NS114409-04 27,618 —

Role of interneurons in brain tissue oxygen regulation 147 93.853 EH17-251-S1//5R01NS107383-05 53,636 —

Cell Type Specific Genetic Manipulation to Dissect Cholinergic Interneuron Function and Plasticity in a Symptomatic Model of DYT1 Dystonia 271 93.853 GMO210305 PO 0000002283 03//5R01NS110853-03 67,206 —

(CREST-2) Trial: Carotid Revascularization and Medical Management for Asymptomatic Carotid Stenosis Trial 127 93.853 NWU-224063-03//5U01NS080168-07 1,125 —

Molecular and cellular dissection of the pathogenesis of herpes simplex encephalitis with iPSC-derived CNS and PNS cells 173 93.853 SUB00000264 AMD 5// 5R01NS072381-12 106,873 —

Molecular and cellular dissection of the pathogenesis of herpes simplex encephalitis with iPSC-derived CNS and PNS cells 173 93.853 SUB00000338//5R01NS072381-13 47,502 —

W eb-based Automated Imaging Differentiation of Parkinsonism 233 93.853 SUB00003119//U01NS119562 24,010 —

W eb-based Automated Imaging Differentiation of Parkinsonism 233 93.853 SUB00003776//5U01NS119562-03 480 —

Multiplatform Variant Prediction (MVP) in Epilepsy 249 93.853 SUBK00011889AMD2//5U54 NS117170-03 135,726 —

NN110 – A Dose Selection Trial of Light Therapy for Impaired Sleep in Parkinson’s Disease 124 93.853 U01NS114001 19,613 —

Revealing neural circuits underlying zebrafish behavior using mesoscopic light field microscopy 288 93.853 WU-22-0102-MOD-1-Mod-2//1R34NS123913-01 114,234 —

54,841,195 7,210,275

COVID-19: ACTG CoVPN Startup Fund: COVID Vaccine Prevention Network ("CoVPN") 220 93.855 (CoVPN) 1560 B WA693 // 3UM1AI068636-14S2 REVISED (8,452) —

Fecal Microbiota Transplant for C. Difficile Infection in Solid Organ Transplant Recipients 275 93.855 0000001731//5U01AI125053-04 4,819 —

Fecal Microbiota Transplant for C. difficile infection in Solid Organ Transplant Recipients 275 93.855 0000002711//5U01AI125053-05 19,619 —

COVID-19: CoVPN 3006 Protocol Funding (Fixed-Price) 79 93.855 0001062455 Amnd 3//3 UM1 AI068614-15S1 253,366 —

Fluomics: The Next Generation 96 93.855 0255-A135-4609-04 // 5U19AI135972-05 24,193 —

COVID-19: SARS-CoV adaptations through a Systems Biology Lens (SYBIL) 96 93.855 0255-A136-4609//2U19AI135972-06 30,321 —

Dengue Human Immunology Project Consortium (DHIPC) Core B 96 93.855 0255-C164-4609//5U19AI118610-07 (53,711) —

Systems Biology of Early Atopy (SUNBEAM) Analysis and Bioinformatics Center 96 93.855 0255-H271-4609//1UM1AI173380-01 108,615 —

EpiMoRPH: A simulation environment for generating spatially-refined intervention strategies for the control of infectious disease

145 93.855 1005080-02//R01AI168144 201,046 —

CHEETAH CENTER FOR THE STRUCTURAL BIOLOGY OF HIV INFECTION, RESTRICTION, AND VIRAL DYNAMICS 272 93.855 10062103-07-NW AMD 1//5U54AI170856-02 389,900 —

Systems-based pharmacologic modeling to elucidate beta-lactam clinical pharmacodynamics and define optimal dosing regimens in severe pneumonia 135 93.855 11-1075-7116-5792 Amnd 1//5R01Al158530-02 147,696 —

Applying precision MEdicine to optimize desensitization with noveL bIOlogics or cellular theRApies in highly sensiTIzed kidney transplant patiEnts (AMELIORATE) 223 93.855 13136SC//5U01AI113362-09 19,400 —

QCRG Pandemic Response Program 223 93.855 13650sc//1U19AI171110-01 179,459 —

(Continued)51

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

HARC Core 2: Genetics 223 93.855 13895sc Amd 1//1U54AI170792-01 $ 49,850 —

HARC 2.0: Project 3: Genetics and evolution of HIV restriction factors 223 93.855 13901sc//5U54AI170792-02 66,080 —

Controlling HIV Latency By Manipulating CycT1 Turnover 223 93.855 14151sc//1R01AI167778-01A1 21,004 —

Recent Advances in AIDS and HIV Research 223 93.855 14200sc//5R13AI102630-10 14,611 —

Understanding the Role of HUWE1 in HIV Infection 223 93.855 14548sc//5U54AI170792-02 2,407 —

Development of Novel Antiviral Agents Targeting Viral Helicases 223 93.855 14578sc//1U19AI171110-01 10,690 —

COVID-19: COVID-19 CoVPN Protocol 3003/Janssen 220 93.855 1560 B YB245 AMD 9//3UM1AI068636-16S2 2,963 —

ACTG UCLA Protocol Funds 220 93.855 1560 B YB245 Amnd 7//2UM1AI068636-15 199,327 —

COVID-19: ACTG A5401 Protocol Chair Support 220 93.855 1560 G LB027//3UM1AI068636-15S1 10,834 —

AIDS Clinical Trials Group for Research on Therapeutics for HIV and Related Infections [ACTG LOC: TSG-Sci Comm-DMC] 220 93.855 1560 G YB416 Amnd 3//5UM1AI068636-17 67,237 —

ACTG A5357 Protocol Co-Chair Support 220 93.855 1560 G YB703 Amnd 3//5UM1AI068636-17 3,521 —

AIDS Clinical Trials Group for Research on Therapeutics for HIV and Related Infections [ACTG LOC: Chair A5382] 220 93.855 1560 G YB704 Amnd 2 // 2UM1AI068636-16 4,278 —

AIDS Clinical Trials Group for Research on Therapeutics for HIV and Related Infections [ACTG LOC: Chair A5392] 220 93.855 1560 G YB725 Amnd 2//5UM1AI068636-16 1,931 —

AIDS Clinical Trials Group for Research on Therapeutics for HIV and Related Infections [ACTG CF TSG CR] 220 93.855 1560 G ZB055//5UM1AI068636-16 1,176 —

Precise Combination Strategies Targeting Carbapenem-Resistant Klebsiella pneumoniae 236 93.855 19318//1R01AI173064-01 41,331 —

Determine host surface interactions of MARTX toxin of foodborne Vibrio vulnificus 93.855 1F31AI172382-01 41,965 —

Quantifying the potential contribution of asymptomatic screening and treatment to malaria control and elimination 93.855 1F31AI172387-01 37,240 —

Deciphering the roles of eosinophils and T lymphocytes in EGID 93.855 1K23AI171085-01A1 80,758 —

Unraveling the Mechanisms of HIV Persistence and Rebound 93.855 1P01AI169600-01 849,759 48,987

Clinical analysis and therapeutic development of exosomal ACE2 93.855 1R01AI167272-01A1 465,909 —

+TIPs as novel host capsid-binding co-factors in early HIV-1 infection 93.855 1R01AI172818-01A1 178,578 —

Turning off HIV White Noise: Switching from Long-Lived to Short-Lived Reservoir 93.855 1R01AI176599-01 96,744 —

Lakeside Conference on Protein Toxins and Effectors 2021 93.855 1R13AI154685-01A1 2,205 —

Stenotrophomonas Maltophilia Type IV Secretion: Modulator of Both Host-Cell Apoptosis and Interbacterial Killing 93.855 1R21AI139596-01A1

46,297 —

Stenotrophomonas maltophilia TfcA and TfcB: Antibacterial T4SS effectors from an emerging human pathogen 93.855 1R21AI171325-01A1 140,644 —

miR-342, a novel glucocorticoid-responsive miRNA necessary for Foxp3+ regulatory T cell function 93.855 1R21AI172135-01A1 64,016 —

Rethinking Legionella pneumophila type IV pili and their roles in intracellular infection 93.855 1R21AI173514-01A1 18,725 —

Ex vivo maintenance of endothelial cell barrier integrity via gap junction modification to prevent early ischemic injury in solid organ transplantation 93.855 1R21AI173763-01A1 1,446 —

Mucinases as Emerging Players in Legionella pneumophila Pathogenesis 93.855 1R21AI175460-01 98,293 —

A new mouse model to study the function of CD1b-restricted germline encoded, mycolyl lipid-reactive (GEM) T cells 93.855 1R21AI178629-01 20,299 —

TGFBR1 Blockade as Novel Release and Kill HIV Strategy 93.855 1R56AI157822-01A 84,182 —

Limited Interaction Efficacy Trial of MyPEEPS Mobile to Reduce HIV Incidence in Young Men who Have Sex with Men and Use of Targeted Geospatial Epidemiology (MyPEEPS Mobile-LITE) 53 93.855 2(GG017774-01)//1UG3AI169658-01 20,260 —

HOPE in Action: A Clinical Trial of HIV-to-HIV Liver Transplantation 114 93.855 2004130714//5U01AI138897-03 14,306 —

NEW HORIZONS IN THE PREVENTION AND TREATMENT OF FOOD ALLERGY – Opportunity Fund 114 93.855 2005712406//5UM2AI130836-07 20,956 —

Modulation of Lung Immune Responses to Viral Infection 110 93.855 210310-0223-23 Amnd 1//5U19AI142733-05 17,821 —

Partnering and Programming for a BIPOC SGM Runway to HIV Research 83 93.855 21-M107//5P30AI117970-07 72,889 —

Donor-specific anti-HIV/SIV immunity mediated by APOBEC3 enzymes 201 93.855 23-05097.101//1R56AI174877-01 8,878 —

Regulation of SAMHD1 antiviral activity. 4 93.855 2R01A1150455-08//311789 AMND 4 27,942 —

Mechanisms of Gonococcal Pilin Antigenic and Phase Variation 93.855 2R01AI033493-30A1 84,485 —

COVID-19: Successful Clinical Response In Pneumonia Therapy (SCRIPT) Systems Biology Center 93.855 2U19AI135964-06 REVISED 1,366,931 —

Evaluation of a Behavioral Intervention to Promote Food Allergy Self-Management Among Early Adolescents: The Food Allergy Mastery Program 45 93.855 30007544-01//1R01AI168090-01A1 39,808 —

Consortium of Eosinophilic Gastrointestinal Disease Researchers, 309363 46 93.855 309363 Amnd 2//5U54AI117804-08 32,634 —

Consortium of Eosinophilic Gastrointestinal Disease Researchers (CEGIR) 46 93.855 309364 (CT2) Amnd 2//5U54AI117804-08 74,136 —

Consortium of Eosinophilic Gastrointestinal Disease Researchers – Pilot Core 46 93.855 309365 Amnd 3//5U54AI117804-08 16,707 —

Neurotropic herpesvirus envelopment and microtubule-mediated transport 4 93.855 310227//5R01AI125244-06 1,595 —

Allograft Inflammatory Factor-1 and Immune Tolerance 4 93.855 312153//5R21AI171739-02 4,069 —

Neurotropic herpesvirus envelopment and microtubule-mediated transport 4 93.855 312269/P0926565//2R01AI125244-07A1 1,578 —

HIV Vaccine Research and Design (HIVRAD) Program (Project 1) 243 93.855

330183-01//5P01AI048240-16 4,601 —

COVID-19: Identification of the Initial Targets of Transmission 93.855 3R37AI094595-10S1 479,162 437,498

COVID-19: Assessing SARS-CoV-2 Variant Evolution in Patients 93.855 3U19AI135964-04S2 REVISED 251,518 —

COVID-19: Expansion of SARS-CoV-2 Testing Supplement, Chicago Clinical Trials Unit 93.855 3UM1AI069471-14S1 62,438 —

Examining Social Ecological and Network Factors to Assess Epidemiological Risk in a Large National Cohort of Cis-gender Women 53 93.855 4(GG017770-01)//1R01AI172469-01 12,024 —

Metabolic impairment plays a critical role in radiation-induced T cell immune dysfunction 84 93.855 425424_AWD7775243-NWU-Amnd 1//1U01AI170024-01 13,689 —

Rapid Access to Antibiotic Biosynthesis Machinery Using Synthetic Biology 29 93.855 5001434-5500001350Amd4//5U19AI142780-04 79,384 —

Influenza virus receptors on human airway epithelial cells 180 93.855 5-54319 Amnd 2//5R01AI114730-08 172,695 —

Innate Immune Surveillance of HIV-1 During Transmission and Systemic Infection 180 93.855 5-54728//7R01AI127302-06 86,995 —

An Age-Dependent Role of the Inflammasome in the Pathogenesis of HSV Encephalitis 93.855 5F30AI150049-04 Revised 44,483 —

Role of molecular drivers in memory group 1 CD1-restricted T cell differentiation and Mycobacterium tuberculosis infection 93.855 5F30AI157314-03 39,735 —

Combining Bacterial Glycosylation Tools and Nanotechnology to Optimize Siglec Ligands for the Treatment of Allergy and Anaphylaxis 93.855 5F31AI165279-02 REVISED 33,806 —

Cellular and Molecular Mechanisms of the Pathogenesis of Aspirin Exacerbated Respiratory Disease 93.855 5K23AI141694-04 193,998 —

Patient-Oriented Research on Pseudomonas aeruginosa 93.855 5K24AI104831-09 110,736 —

Northwestern-UNIJOS mentored Program for Enhanced Research Administration (NUMPERA) 239 93.855 5K43-1556-02//1G11AI169625-01 8,677 —

Small host GTPases: Direct targets of Vibrio vulnificus MARTX toxin effectors 93.855 5K99AI167819-02 80,793 —

Pathogenesis of Rebound SIV/HIV Viremia After Antiretroviral Therapy 93.855 5P01AI131346-05 799,075 159,568

Chronic Rhinosinusitis Integrative Studies Program 2 (CRISP2) 93.855 5P01AI145818-05 1,641,388 585,623

Multi-Scale Evaluation and Mitigation of Toxicities Following Internal Radionuclide Contamination 93.855 5P01AI165380-02 1,576,375 1,037,381

Third Coast Center for AIDS Research 93.855 5P30AI117943-05 REVISED (921) —

Third Coast Center for AIDS Research 93.855 5P30AI117943-05 REVISED (1,690) (1,690)

Third Coast Center for AIDS Research 93.855 5P30AI117943-09 4,812,725 1,615,747

ALPHA-HERPESVIRUS TRANSPORT IN AXONS 93.855 5R01AI056346-18 532,634 168,778

The Role of Group 1 CD1-restricted T Cells in Infectious Disease 93.855 5R01AI057460-16 78,518 —

Population Analysis of Pseudomonas aeruginosa Virulence 93.855 5R01AI118257-08 557,424 —

Harnessing MUC16-IgG Interactions to Enhance HIV Vaccine Function 93.855 5R01AI125171-05 167,770 —

The role of IL-27/Lag3 axis in regulating Foxp3+ regulatory T cell function 93.855 5R01AI125247-06 70,872 —

REDD1 dissociates the therapeutic and adverse effects of glucocorticoids in skin 93.855 5R01AI125366-05 287,436 —

Poxvirus manipulation of the host cell protein synthesis machinery 93.855 5R01AI127456-07 488,035 75,178

Hormones in allergic disease 93.855 5R01AI127783-05 51,072 —

Distinct mast cell responses in male and female SJL mice underlie sex dimorphic EAE susceptibility 93.855 5R01AI128292-05 (9,918) —

Food Allergy Management and Outcomes Related to Racial/Ethnic Differences from Infancy through Adolescence: The FORW ARD Study 93.855 5R01AI130348-07S1 917,384 257,614

Macrophage Redox State in Sterilizing and Injurious Inflammation 93.855 5R01AI131267-05 168,267 75,667

(Continued)52

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Autoantibody mediated pathogenesis in chronic rhinosinusitis with nasal polyps: mechanisms and consequences 93.855 5R01AI134952-05 $ 362,898 —

Immune mechanisms regulating allergy 93.855 5R01AI136942-06 784,741 —

Initiators, biomarkers and mechanisms of epithelial dysfunction and immune pathogenesis in chronic rhinosinusitis and aspirin exacerbated respiratory disease (AERD) 93.855 5R01AI137174-05 315,449 —

Structure and Function of EBV Protein Complexes that Trigger Epithelial Cell Entry 93.855 5R01AI137267-05 725,676 542,701

Siderophores of Legionella pneumophila 93.855 5R01AI139054-04 225,918 —

The role of non-classical MHC class I molecules in immune responses to Mycobacterium tuberculosis infection 93.855 5R01AI141083-05 326,131 —

Nuclear rotation and cellular reorganization during Cytomegalovirus infection¿ 93.855 5R01AI141470-05 496,594 —

Modulating endothelial cell immunometabolism and mitochondrial morphologyimplications for organ transplantation 93.855 5R01AI142079-06 466,715 57,752

Design and characterization of biomimetic nanobiomaterials to elicit CD1-restricted T cell responses during sub-unit vaccination 93.855 5R01AI145345-04 624,783 —

Targeting the functions of the gonococcal Type lV pilus 93.855 5R01AI146073-04 597,924 —

Characterizing Mucosal Changes in the FRT Leading to Increased HIV Acquisition 93.855 5R01AI146087-04 561,083 277,807

Foxp3+ regulatory T cell-dependent treatment of allergic inflammation by glucocorticoids 93.855 5R01AI147498-05 493,587 44,881

Mitochondria regulate adaptive immunity 93.855 5R01AI148190-05 423,942 —

Mechanism of Herpes Simplex Virus (HSV) Induced Membrane Fusion 93.855 5R01AI148478-04 642,147 179,029

Virus-host interactions governing alpha-herpesvirus genome delivery and neuroinvasion 93.855 5R01AI148780-04 624,026 93,270

The role of FEZ1 in early HIV-1 infection 93.855 5R01AI150559-09 227,181 —

Evolution and consequences of multidrug resistant ribosome 93.855 5R01AI150986-04 541,788 82,976

Functionally Defining HIV-Host Interactions During the Early HIV-1 Lifecycle 93.855 5R01AI150998-04 1,490,048 741,176

Heterogeneity of T cell phenotype and function in food allergy 93.855 5R01AI151707-05 229,071 86,605

Discovery of novel benzimidazole resistance mechanisms 93.855 5R01AI153088-03 573,043 291,675

Long Non-Coding RNAs in Allergy 93.855 5R01AI153344-03 343,069 —

Vascular endothelial cells and macrophages coordinate neutrophil trafficking in inflammation 93.855 5R01AI153568-03 461,912 —

Transcriptional Regulators in Aging Macrophages 93.855 5R01AI163742-03 557,216 42,203

Deciphering the Role of CPSF6 in HIV Infection 93.855 5R01AI165236-03 384,779 —

The Relationship Between Brain Macrophages and Cognitive Dysfunction in Systemic Lupus Erythematosus 93.855 5R01AI170938-02 743,911 —

Critical Role for KLF2 in Regulation of PD-1 Expression in T cells 93.855 5R03AI159591-02 34,532 —

HIV immune environment impact on pre-eclampsia 93.855 5R03AI170156-02

91,315 —

Mechanisms and Modifiers of Zika Virus Innate Immune Evasion 93.855 5R21AI148949-02 1,022 —

An unbiased screen to identify Neisseria gonorrhoeae genes important for survival to neutrophil killing mechanisms 93.855 5R21AI148981-02 109,876 —

Vibrio vulnificus toxin-receptor interactions 93.855 5R21AI149061-02 80,955 —

6mer seed toxicity and AIDS 93.855 5R21AI150910-02 7,475 —

Defining the Effector T cell KLF2 Transcriptome 93.855 5R21AI151333-02 65,509 —

Dynamics of Pseudomonas aeruginosa During Bacteremia 93.855 5R21AI153953-02 49,370 —

Dynamic interactions within alpha-herpesvirus virions and their impact on infection 93.855 5R21AI154104-02 48,574 —

The Role of Social, Economic and Environmental Factors in Food Allergy Disparities 93.855 5R21AI159562-02 193,721 19,211

Exploiting Siglec-6 for targeted anti-allergy drug delivery into human mast cells 93.855 5R21AI159586-02 145,810 —

Identification of the immunomodulatory mechanisms of nanocarrier-enhanced costimulation blockade in an allogeneic portal vein islet transplantation model 93.855 5R21AI159795-02 353,207 —

Targeting Ischemia/Reperfusion Stress to Inhibit Cytomegalovirus Reactivation After Lung Transplant 93.855 5R21AI163876-02 239,738 —

COVID-19: Assessing the Risk of SARS-CoV-2 Remdesivir Resistance 93.855 5R21AI163912-02 185,962 —

High-Risk Clones of Pseudomonas aeruginosa 93.855 5R21AI164254-02 174,140 —

Regulation of HPV Replication. 93.855 5R21AI165941-02 288,961 —

Novel Short ACE2 variant for Delayed Graft Function 93.855 5R21AI166940-02 219,137 —

Differentiating clinical characteristics between two subtypes of antiphosphatidylethanolamine 93.855 5R21AI171491-02 194,169 —

Ordered gene knockout libraries for Neisseria gonorrhoeae 93.855 5R24AI155395-03 547,358 —

Mechanisms of Gonococcal Pilin Antigenic and Phase Variation 93.855 5R37AI033493-29 373,483 —

Vibrio MARTX toxin effectors in signaling and pathogenesis 93.855 5R37AI092825-12 482,611 —

Identification of the Initial Targets of Transmission 93.855 5R37AI094595-10 147,207 35,161

Identification of the Initial Targets of Transmission 93.855 5R37AI094595-12 656,782 217,001

Immunology and Molecular Pathogenesis Training Program 93.855 5T32AI007476-25 1,440 —

Northwestern University Allergy and Immunology Research (NUAIR) Program 93.855 5T32AI083216-13 356,390 132,425

Northwestern University Infectious Diseases Education and Science (NuIDeas) 93.855 5T32AI095207-10 18,354 —

Proteogenomics for Organ Transplantation: Prediction, Diagnosis, Intervention 93.855 5U01AI084146-05 REVISED (9,795) (9,795)

Effectiveness of Relationship Education for Reducing HIV Incidence in Men W ho Have Sex with Men 93.855 5U01AI156874-03 1,426,269 —

Utility of Biomarkers of Rejection and Kidney Injury in Tailoring Liver Transplant Immunosuppression 93.855

5U01AI163081-03 620,706 280,531

Immune Basis of FPIES 93.855 5U01AI170836-02 146,491 10,754

COVID-19: Successful Clinical Response In Pneumonia Therapy (SCRIPT) Systems Biology Center 93.855 5U19AI135964-05 REVISED 16,070 —

Successful Clinical Response In Pneumonia Therapy (SCRIPT) Systems Biology Center 93.855 5U19AI135964-05 REVISED 878,902 57,623

Using siglecs and their ligands to treat allergic diseases SALTAD 93.855 5U19AI136443-05 Revised 621,030 366,194

Chicago Clinical Trials Unit 93.855 5UM1AI069471-17 1,117,771 14,122

Sustained Long Acting Prevention Against HIV Program Operation 93.855 5UM1AI120184-05 255,368 245,259

Innate Immune Surveillance of HIV-1 During Transmission and Systemic Infection 179 93.855 60088-12935-NWU// 5 R01 AI127302-05 (3,386) —

[U19] Integrated Genomics of Mucosal Infections: Viral Diversity and Pathogenicity in Mucosal Respiratory and Gastrointestinal Disease 23 93.855 7000000881//5U19AI144297-03 2,468 —

A novel multifunctional role of diverse substrate binding and import by the Haemophilus Sap transporter 168 93.855 700191-0223-00-4//5R01AI139519-05 228,995 —

lncRNA Control of Airway Epithelial Cell Responses to Type 2 Inflammation 93.855 7R01AI141609-05 276,977 —

Phenotypic, Functional and Transcriptional Heterogeneity in T Cell Exhaustion 93.855 7R01AI148403-04 171,190 —

Mechanisms for Initiation of Food Allergy Early in Life 103 93.855 8575 Amnd 3//1R01AI153239-02 2,455 —

Intervention to Reduce Early Peanut Allergy in Children (iREACH) 17 93.855 901576-NU//5U01AI138907-04 27,084 —

Identifying Specific Antigenic Targets of Kawasaki Disease 17 93.855 901622 AMD 2//5R01AI150719-03 16,599 —

Soy Isoflavones for Inner City Infants at Risk for Asthma (SIRA) 17 93.855 901635-NU FMM AMD 4//5U01AI160018-02 18,211 —

Soy Isoflavones for Inner City Infants at Risk for Asthma (SIRA) 17 93.855 901635-NU-DCC (Kim) Amd 3//1U01AI160018-02 29,299 —

EpiModel 2.0: Integrated Network Models for HIV/STI Prevention Science 71 93.855 A011168//5R01AI138783-03 97,129 —

Impact of Antibody Effector Function Diversity on Antiviral Activity In Situ 66 93.855 A035460 AMD 1//5P01-AI162242-03 160,068 —

Intervention to Reduce Early Peanut Allergy in Children (iREACH) 17 93.855 A19-0148-S001//5U01AI138907-04 628,058 —

Targeting Inflammation and Alloimmunity in Heart Transplant Recipients with Tocilizumab 124 93.855 AGMT 8/11/20//5U01AI136816-02 7,216 —

Dissecting How Xenobiotics Act as Adjuvants for Oral Allergic Sensitization 296 93.855 CON-80003656 (GR116267)//5R01AI162645-02 20,533 —

Next-Generation Phylodynamics-targeted Partner Service Models for Combined HIV Prevention 226 93.855 FP066835-A (5208888601-6) Amnd 5//5R01AI136056-05 46,246 —

Immune Tolerance Network 24 93.855 FY22ITN590//5UM1AI109565-09 33,643 —

Mucosal mechanisms of altered HIV susceptibility in adolescents

250 93.855 N008806602//R01AI128782 4,145 —

Consortium of Eosinophilic Gastrointestinal Disease Researchers 46 93.855 OS00000145/309362 (Admin.) // 5U54AI117804-09 19,112 —

Allergen Loaded Nanoparticles for Food Allergy Tolerance 249 93.855 SUBK00012728Amd2//5R01AI155678-03 306,931 —

(Continued)53

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Structure-based functional annotation of microbial genomes 249 93.855 SUBK00016785//5R01AI134678-06 $ 113,615 —

The Role of Lipid-specific T cells in Mediating Protection Against M. tuberculosis 274 93.855 UWSC12062//5R01AI146072-03 217,791 —

The Push and Pull of Inflammation on HIV Susceptibility: Impact of Host Variation in CD101 and AXL 274 93.855 UWSC14078- BPO# 68976//1R01AI172479-01 47,360 —

Cytomegalovirus (CMV) Vaccine in Orthotopic Liver Transplant candidates ("COLT") 274 93.855 UWSC14466//5U01AI163090-02 2,163 —

Comparison of High Dose vs. Standard Dose Influenza Vaccines in Lung Allograft Recipients 280 93.855 VUMC100494 amd1//5U01AI167789-02 13,972 —

Comparison of High vs. Standard Dose Influenza Vaccines in Adult Solid Organ Transplant Recipients 280 93.855 VUMC85656 Amendment 4//5U01AI152967-04 84,444 —

Viral and Host Determinants of Infant and Childhood Allergy and Asthma 280 93.855 VUMC94252 Amnd 2//5U19AI095227-14 207,162 —

45,799,768 8,268,912

Center for the Structural Biology of Cellular Host Elements in Egress, Trafficking, and Assembly of HIV (CHEETAH Center) 272 93.859 10044932-10//5P50AI150464-15 (1,237) —

Micromechanical basis of meiotic chromosome condensation and architecture 237 93.859 101111-18038Amd2//1R01GM135549-01A1 78,377 —

Cell Penetration Profiling for Biotherapeutics 206 93.859 102184-00001//2R01GM127585-05 12,659 —

Information Processing by Post-Translational Modification 89 93.859 153447.5111019.0005 AMD3//5R01GM105375-08 74,341 —

Optical nanosensor for 3D force sensing in intact tissues of live animals 228 93.859 1560378//1R21GM140347-01 Amd #1 59,611 —

High-throughput discovery of protein energy landscapes in natural and designed proteomes 93.859 1DP2GM140927-01 470,083 —

The dynamic architecture of living cells: Uncovering intra-organelle events at nanoscale levels 93.859 1DP2GM146322-01 625,155 —

Elucidating mechanisms of acetylcholine signaling in bacterial biofilms 93.859 1F31GM143907-01A1 42,584 —

F31 Microtubule function in the onset of whole-body regeneration 93.859 1F31GM149178-01 REVISED 9,767 —

Resource for Quantitative Elemental Mapping for the Life Sciences 93.859 1P41GM135018-01 (277) —

Intercellular junctions and cell polarity 93.859 1R01GM148571-01 292,485 —

Role of BAP1/ASXL3 complex in transcriptional regulation and development 93.859 1R35GM146979-01 478,789 —

Regulation of whole-body regeneration 93.859 1R35GM149280-01 64,450 —

HiDef B8: Commercialization and scaled production of defined, robust, and cost-effective media for iPSCs 61 93.859 1R44GM140750-01A1//Burridge AGMT 8/26/21 63,422 —

Sex differences in circadian circuits influence photic processing and photoperiodic encoding 123 93.859 2317-01-02//5R01GM143545-02 177,794 —

Northwestern University Postbaccalaureate Research Education Program 93.859 2R25GM121231-06 355,592 —

Structural and biophysical studies of proteins, nucleic acids, and their complexes 93.859

2R35GM118108-06 225,661 —

Accessing the Silent Majority: Induction of Gene Expression in Fungal Artificial Chromosomes for Natural Product Discovery 93.859 3F32GM134679-03S1 (667) —

Investigating the molecular mechanism and function of mitochondrial tethering 93.859 3R01GM120303-07S1 401,446 —

Regulation mechanisms of ABC transporters 93.859 3R01GM140584-04S1 308,260 —

Role of Membrane Trafficking in Epithelial Homeostasis 93.859 3R01GM141233-02S1 358,605 —

Metalloenzymes and metal homeostasis 93.859 3R35GM118035-08S1 660,132 —

Structural and biophysical studies of proteins, nucleic acids, and their complexes 93.859 3R35GM118108-05S1 173,351 —

Non-coding RNAs and their mechanisms and functions 93.859 3R35GM118144-08S1 559,246 —

The molecular mechanisms and functional significance of gene positioning 93.859 3R35GM136419-04S1 554,874 —

Computational approaches to delineate non-canonical splicing events 93.859 3R35GM142441-04S1 362,109 —

Medical Scientist Training Program 93.859 3T32GM008152-35S1 68,846 —

Medical Scientist Training Program 93.859 3T32GM144295-02S1 1,559,865 —

Postdoctoral Pathways – Broadening Access to Career Advancement 26 93.859 4500004318//3R25GM121257-05S1 61,765 —

Tissue-Based Metal Imaging Tools and Their Application Towards Spatiotemporal Mapping of Zinc Fluxes in Ovaries (NRSA Postdoc Fellowship Award for David Zhi Hong Zee, PhD) 93.859 5F32GM139401-03 59,795 —

Structural and functional characterization of putative Cu importer CopD 93.859 5F32GM140573-02 REVISED 16,632 —

A Biosynthetic Strategy to Manufacture Less Toxic Amphotericins 93.859 5F32GM142211-02 REVISED (6,563) —

Structural and Functional Synthetic Proteomimetics of Ankyrin Repeat Proteins 93.859 5F32GM143925-02 64,927 —

The Functions of Mitochondrial Membrane Contact Sites in Space and Time 93.859 5F32GM145160-02 68,149 —

Regulation and Function of Intermediate Filaments in Cell Mechanics 93.859 5P01GM096971-09 226,433 82,992

National Resource for Translational and Developmental Proteomics 93.859 5P41GM108569-09 1,743,944 —

Electrocatalysis for the synthesis of chiral and PET imaging pharmaceuticals 93.859 5R00GM140249-03 243,810 —

Metalloregulation by MerR and Fur Protein Families 93.859 5R01GM038784-31 REVISED 16,941 —

Developmental Dynamics of Ciliated Epithelia 93.859 5R01GM089970-13 323,543 —

Cryo ptychography combined with x-ray fluorescence analysis of metals in cells 93.859 5R01GM104530-08 (13) (13)

Activities of nucleoprotein complexes visualized in single-molecule experiments 93.859 5R01GM105847-06 Revised 378,104 —

Biological Transition Metals 93.859 5R01GM111097-51 revised 494,462 —

Assembly and epigenetic inheritance of the human centromere 93.859 5R01GM111907-09 368,497 —

Molecular Regulation of Radial Intercalation 93.859 5R01GM113922-06 375,648 —

Algorithms for Glyco-Proteoform Detection 93.859 5R01GM115739-06 64,005 —

Capturing Transient Protein and Nucleic Acid Structures During Their Functions on Multiple Spatial and Temporal Scales 93.859 5R01GM115761-09 449,418 —

Investigating the molecular mechanism of mitochondrial tethering 93.859 5R01GM120303-05 (470) —

RNA Ligation Pathways in Mammalian Unfolded Protein Response 93.859 5R01GM120307-04 28,879 —

Regulation and function of bacterial 100S ribosome 93.859 5R01GM121359-05 7,980 —

Regulation and function of bacterial hibernating 100S ribosome 93.859 5R01GM121359-07 361,087 —

Specific inhibition of transcription factors with Cobalt-Schiff Base Complexes 93.859 5R01GM121518-04 (5,615) —

New Methods and Strategies for the Concise Synthesis of Bioactive Polycyclic Molecules 93.859 5R01GM124089-04 215,703 —

Regulation of chromosome segregation during oocyte meiosis 93.859 5R01GM124354-05 REVISED 268,324 —

Social signals that regulate C. elegans development 93.859 5R01GM126125-03 318,423 —

Prion-mediated protein aggregation/co-aggregation and cellular consequence 93.859 5R01GM126318-05 250,562 —

Cadherin-catenin regulation in dividing epithelial cells 93.859 5R01GM129312-04 202,755 —

Cell signaling in regeneration and tissue scaling 93.859 5R01GM129339-04 REVISED 85,525 —

The role of monocyte and microglia interaction in the evolution of traumatic brain injury-induced neurodegeneration 93.859 5R01GM130662-05 369,907 2,311

Enhancement of neural regeneration 93.859 5R01GM130835-04 657,859 —

Functional Roles of Nascent RNA Structure in Regulating and Coordinating Gene Expression 93.859 5R01GM130901-04 REVISED 362,778 —

Continuous Probing of Nanoconstruct-Cell Interactions at Biologically Relevant Time Scales 93.859 5R01GM131421-04 173,849 —

Development of Photoreversible 4D Cell Culture Technologies 93.859 5R01GM132677-04 231,915 91,838

Molecular mechanisms controlling kinetochore-microtubule attachments during mitosis 93.859 5R01GM135391-04 366,615 —

Regulation of de novo purine synthesis by the MAPK/ERK pathway 93.859 5R01GM135587-04 REVISED 522,129 —

Structure and Mechanism of Non-Homologous End Joining 93.859 5R01GM135651-04 REVISED 129,780 5,066

Cytokinesis staging mechanisms 93.859 5R01GM137133-04 394,671 —

SCISIPBIO: Understanding and Assembling Dream Teams to Conduct Clinical and Translational Science 93.859 5R01GM137410-04 209,499 61,041

Intrinsic-contrast super-resolution imaging of DNA at 2-nm resolution 93.859 5R01GM139151-04 208,636 —

Quantitative analysis of metabotropic glutamate receptor activation and modulation 93.859 5R01GM140272-04 332,042 —

The Interplay of Electric Potential and Morphology of Biomembranes 93.859 5R01GM140461-04 410,298

—

Development of spectroscopic Single-Molecule Localization Microscopy 93.859 5R01GM140478-03 Revised 309,698 —

(Continued)54

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Mechanisms of acentrosomal spindle assembly and stability during oocyte meiosis 93.859 5R01GM141386-02 $ 215,441 —

Control of RNA methylation by growth signals through the mTORC1 pathway 93.859 5R01GM143334-02 511,893 —

Histone chaperone networks for new and evicted histones 93.859 5R01GM143638-03 428,331 —

Structure and Mechanism of Eukaryotic Transcription Regulation 93.859 5R01GM144559-02 387,639 12,509

Regulation and interplay of Heat Shock Factors in growth-associated proteotoxic stresses 93.859 5R01GM144617-02 306,660 —

Optogenomic mapping of chromatin accessibility in live cells 93.859 5R01GM149076-02 285,067 —

A Microfluidic Device for Temporal Live-Cell Analysis of Intracellular Biomolecules 93.859 5R21GM132709-02 65,887 —

Bright and switchable fluorophores for highly multiplexed super-resolution microscopy towards molecular interaction imaging 93.859 5R21GM141675-02 REVISED 6,278 —

Developing cell-penetrating miniproteins as a new class of therapeutics 93.859 5R21GM143560-02 157,718 —

Exploring the sepsis-delirium connection through glycoproteomics 93.859 5R21GM147847-02 147,571 —

Dictyostelium Community Resource 93.859 5R24GM137770-04 837,322 —

Northwestern University Interdepartmental Neuroscience Postbaccalaureate Research Education Program 93.859 5R25GM121231-05 (29,419) —

ESTELE: Developing The Next Generation Of NGSS Elementary Science Teacher Leaders 93.859 5R25GM146332-02 124,774 —

Integrated Empirical and Translational Research to Diversify the Scientific W orkforce 93.859 5R35GM118184-08 677,402 16,691

Impact of genetic variants on gene regulation and 3D genome organization in human diseases 93.859 5R35GM124820-05 1 —

High throughput interrogation of non-coding variants and 3D genome organization 93.859 5R35GM124820-07 364,759 —

The Roles of Enhancer RNAs in the Regulation of Gene Expression 93.859 5R35GM128900-05 358,905 —

Microtubule motors, cytoskeletal organization and cell polarity 93.859 5R35GM131752-05 1,130,335 —

Selective inhibition of nitric oxide synthase for multiple indications 93.859 5R35GM131788-04 351,589 53,626

New Cooperative Catalysis Concepts for Asymmetric Synthesis 93.859 5R35GM136440-04 327,830 —

Characterizing functional translation in putative ‘noncoding’ regions of a genome 93.859 5R35GM138192-04 371,301 —

Single Cell Mosaic Mutation Atlas of Human Organ 93.859 5R35GM142539-04 329,843 —

Emergent metabolic coordination and cell-to-cell signaling in bacterial biofilms 93.859 5R35GM147170-02 427,450 —

Cellular and Molecular Basis of Disease Training Program 93.859 5T32GM008061-40 953,455 —

Biotechnology Predoctoral Training Program 93.859 5T32GM008449-30 460,097 —

Chemistry of Life Processes Predoctoral Training Program 93.859 5T32GM105538-10 Revised 301,527 —

Molecular Biophysics Training Program at Northwestern University 93.859 5T32GM140995-03

388,117 —

Physical Genomics and Engineering Training Program 93.859 5T32GM142604-03 290,049 —

Dissecting functional cooperation among subunits in a catalytic ribonucleoprotein 150 93.859 60057276//R01GM120582 (66) —

The role of dynamics in GPCR and arrestin allostery 93.859 7R35GM143054-03 55,679 —

Genetic variation and function of body axis determinants in midges and other flies 226 93.859 AWD102729 (SUB00000627) Amnd 1//5R01GM127366-04 21,926 —

Establishing the market-readiness of an in vivo technology for assessing drug toxicity-induced tissue damage 67 93.859 NW-0221//1R41GM140538-01 43,571 —

Photoactivatable Fluorophores for High-Throughput Multiplexed Tracking of Single-Molecules in Live Cells 248 93.859 OS00000959//1R01GM143397-01A1 70,135 —

Resource for Quantitative Elemental Mapping for the Life Sciences 134 93.859 RC113087NWU-01 Amnd 2//P41GM135018 471,004 —

Mechanobiology of Vimentin Intermediate Filaments in 3D Collective Cell Migration 125 93.859 S5271, PO# 560195 AMD 2//R01GM140108-01 35,670 —

Orthogonal Ubiquitin Transfer to Profile E3 Substrate Specificity 86 93.859 SP00014037-01//3R01GM104498-07S2 15,326 —

Orthogonal Ubiquitin Transfer to Profile E3 Substrate Specificity 86 93.859 SP0013463-01//5R01GM104498-09 24,930 —

100K spontaneous mutations: the foundation for an evolutionary systems biology of C. elegans 233 93.859 UFDSP00012271 AMD 4//R01GM127433 123,001 —

30,436,647 326,061

New Evidence on Conception and Pregnancy Loss in the U.S 275 93.865 0000000695 AMD 2//1R01HD102207-01 10,258 —

Development of a standardized measure of social-communication abilities for children with neurodevelopmental disorders 223 93.865 10364sc//5R01HD093012-04 39,145 —

Molecular basis of altered drug metabolism during pregnancy 161 93.865 11001136-002//7R01HD089455-06 101,310 —

Pediatric HIV/AIDS Cohort Study (PHACS): 2020 89 93.865 117267-0107-5115573//5P01HD103133-04 54,974 —

Pediatric HIV/AIDS Cohort Study (PHACS) 2020 89 93.865 117267-0182-5119269//5P01HD103133-04 19,020 —

Health Outcomes around Pregnancy and Exposure to HIV/ARV (HOPE): 89 93.865 117270-5112849Amd2//5R01HD101351-02REVISED 56,353 —

Cortical Interneuron Dysfunction in Fragile X Syndrome 220 93.865 1580 G LA313//1R01HD108370-01 296,463 —

Cortical Priming to Optimize Gait Rehabilitation Post Stroke 236 93.865 18583//5R01HD075777-08 18,415 —

Universal strengths-based parenting support in pediatric health care for families with very young children following the Flint Water Crisis  142 93.865 18-A1-00-1001408 AMD 5//5R01HD096909-05 11,082 —

Effects of Bilateral Motor Priming and Task Specific Training on Corticomotor Excitability and Transcallosal Inhibition in People with Upper Limb Hemiparesis Secondary to Stroke 93.865 1F31HD111318-01 33,400 —

COVID-19: Bridging gaps in healthcare services for new families due to COVID-19 93.865 1R01HD105499-01 (3,897) —

Modeling p63-associated human birth defects with systems developmental biology approaches 93.865

1R01HD107841-01A1 448,273 —

Clinician perspectives on the postpartum pain experience and attitudes about pain management 93.865 1R03HD112103-01 48,691 —

Upper Midwest Summit for Reproductive Science 93.865 1R13HD113376-01 2,358 —

ENDEAVOR TO STOP NAUSEA/VOMITING ASSOCIATED WITH PREGNANCY (E-SNAP) 93.865 1R21HD105101-01A1 187,846 —

SBIR from Wearifi Inc 291 93.865 1R43HD101189//XU AGMT 8/19/21 320 —

Pelvic Floor Disorders Network Clinical Site 93.865 1UG1HD110057-01 74,885 —

Shift from unilateral to bilateral sensory-motor connectivity in chronic hemiparetic stroke 256 93.865 2023-31//1R01HD109157-01 15,058 —

Pathways linking Early Adversity and Support to Behavioral and Physical Health 255 93.865 203344NU//5R01HD091235-05 26,465 —

Quantification of Shoulder Pathology and Manual Wheelchair Propulsion in Children and Adults with Spinal Cord Injury using Advanced Biomechanical Modeling and Diagnostic Imaging 276 93.865 203405427//R01HD098698 AMD 2 (4,929) —

Glycemic Observation Using A1C for Gestational Diabetes Diagnosis 124 93.865 241200//5R01HD104756-02 28,819 —

Maternal Fetal Medicine Units Network – Northwestern Study Center 93.865 2UG1HD040512-24 100,628 —

School-age Outcome After In Utero ZIKV Exposure in Children W ithout Congenital Zika Syndrome 45 93.865 30006103-03//5R01HD102445-02 8,077 —

Pathophysiology and Rehabilitation of Neural Dysfunction 93.865 3T32HD007418-32S1 310,088 —

Bridging gaps in healthcare services for new families due to COVID-19 295 93.865 5001901-NWU//7R01HD105499-02 187,033 —

Multi-level factors affecting postpartum sterilization 253 93.865 5122028//5R01HD098127-04 8,220 —

Clinical utility of novel biomarkers for prediction of early pregnancy loss 258 93.865 586797//1-R01-HD-110448-01 19,242 —

Quantification of Musculoskeletal Structural Adaptations Underlying Passive Wrist Joint Properties in Children and Adults with Hemiparetic Cerebral Palsy -F31 to support Divya Joshi 93.865 5F31HD110236-02 41,940 —

Maternal psychological stress, adverse birth outcomes, and the role of inflammatory mediators in the placenta 93.865 5F32HD100076-03 REVISED 167 —

Cerebral organoid models of CHD2-associated intellectual and developmental disabilities (NRSA Postdoc Fellowship for Kay-marie Lamar, PhD.) 93.865 5F32HD101280-03 241 —

Intergenerational health impacts of interpersonal and community-based violence: From childbirth to childbearing 93.865 5F32HD102152-03 Revised (1,778) —

Developmental origins and downstream consequences of abstract verbal reference 93.865 5F32HD104408-03 73,071 —

Examining the Effects of a Two-Generation Education Intervention on Children’s Developmental Outcomes and Family Processes Using Diverse Methodological Approaches 93.865 5F32HD106691-02 REVISED 74,065 —

Research Career Development in Obstetrics and Gynecology 93.865 5K12HD050121-19 317,147 —

Interdisciplinary Engineering Career Development Center in Movement and Rehabilitation Sciences 93.865 5K12HD073945-10 689,066 649,132

Upper-Extremity Torque Perceptual Impairments in Chronic Hemiparetic Stroke 93.865 5K25HD096116-05 (869) —

Mechanotransduction mechanisms of ovarian aging 93.865

5K99HD108424-02 116,381 —

Northwestern Uterine Leiomyoma Research Center 93.865 5P50HD098580-05 1,323,755 530,002

Cognitive Architecture of Bilingual Language Processing 93.865 5R01HD059858-12 205,996 —

PED Screen: Pediatric Sepsis EHR Registry, Clinical Outcomes, and Predictive Model 93.865 5R01HD087363-05 REVISED 292,006 292,006

(Continued)55

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Integrative Genomics, Epigenomics and Bioinformatics Analyses of Human Uterine Fibroids 93.865 5R01HD089552-05 $ 208,769 108,089

Bilateral Priming Plus Task Specific Training for Severe Upper Limb Hemiparesis 93.865 5R01HD091492-05 163,692 107,338

Understanding Diverging Profiles of Academic and Physical Health Outcomes in African American Youth 93.865 5R01HD093718-05 713,159 97,902

Homeostatic to reactive hyaluronan matrices in ovarian reproductive aging 93.865 5R01HD093726-05 136,906 55,007

Firearm Involvement Among Parents and Their Adolescent Children: A Prospective Longitudinal Study of At-Risk Youth 93.865 5R01HD093935-05 573,405 —

Effects of device-assisted practice of activities of daily living in a close-to-normal pattern on upper extremity motor recovery in individuals with moderate to severe stroke 93.865 5R01HD095187-05 348,143 —

PRogressive Abduction LoadINg thErapy (PRALINE): A Phase IIb Stroke Rehabilitation Trial with Longitudinal Tracking 93.865 5R01HD096071-05 473,151 153,067

Effects of a Prenatal Depression Preventive Intervention on Parenting and Young Children’s Self-Regulation and Functioning (EPIC) 93.865 5R01HD097215-05 676,805 —

Patient navigation to improve outcomes among low-income women in the postpartum period 93.865 5R01HD098178-05 783,433 43,777

Clinical Trial of ENhancing Recovery in CHildren Undergoing Surgery – ENRICH-US 93.865 5R01HD099344-05 639,108 255,275

3/4: Pre-IVF treatment with a GnRH antagonist in women with endometriosis – A prospective double blind placebo controlled trial (PREGNANT) 93.865 5R01HD100318-04 253,087 —

AMH signaling pathway variation in PCOS 93.865 5R01HD100630-03 Revised 915,404 352,176

Defining epigenetic mechanisms for embryonic patterning 93.865 5R01HD101563-03 411,991 —

Oocyte genomic instability as a driver of the aging ovarian innate immune response 93.865 5R01HD105752-03 471,947 179,765

Extremely Long Lived Proteins and Female Reproductive Aging 93.865 5R21HD098498-02 (909) —

Determination of the Recruitment of Indirect Motor Pathways in Chronic Hemiparetic Stroke 93.865 5R21HD099710-02 44,952 11,787

Early origins of health disparities: Chronic inflammation 93.865 5R21HD101757-02 48,968 —

Safety Assessment of Perioperative Pain Medications for Children (SAPPhire) 93.865 5R21HD104078-02 303,596 97,955

Role of m6A modification in Alpha 1-antitrypsin deficiency induces liver disease 93.865 5R21HD104904-02 97,342 —

Language development in bilingual preschoolers: A cross-linguistic and cross-cultural comparison 93.865 5R21HD106759-02 143,222 —

COVID-19: Identification of Risk Factors for predicting outcomes of COVID-19-Related Multisystem Inflammatory Syndrome in Children (MISC) using Real W orld Clinical Data 93.865 5R21HD107571-02 78,384 —

Pathophysiology and Rehabilitation of Neural Dysfunction 93.865 5T32HD007418-30 (9,790) —

Northwestern Center for Reproductive Science Predoctoral Training Program in Reproductive Science, Medicine, and Technology 93.865 5T32HD094699-04 204,641 —

Research Training in Sensorimotor Neurorehabilitation 93.865 5T32HD101395-02 292,007 —

Maternal-Fetal Medicine Units Network -- The Northwestern Study Center 93.865 5UG1HD040512-23 150,351 50,086

Intensive Combination Approach to Rollback the Epidemic (iCARE) in Nigerian Adolescents 93.865 5UH3HD096920-05 1,347,017 730,416

Locomotor function following transcutaneous electrical spinal cord stimulation in individuals with hemiplegic stroke 165 93.865

80428.NU.Y101//R01HD106015 127,693 —

Center for Smart Use of Technology to Assess Rehabilitation 165 93.865 8963]//P2CHD101899 49,177 —

Intensive Rehabilitation Research Grant W riting W orkshops in the United States 130 93.865 A00-3512-S001//5R25HD074546-11 12,200 —

A Cognitive Test Battery for Intellectual Disabilities 217 93.865 A20-1951-S003 AMD2//R01HD076189 44,094 —

Preterm human milk composition in conditions of maternal overweight and obesity and effects of milk constituents on preterm infant body composition 17 93.865 A21-0107-S001//5R21HD102778-02 11,271 —

Developmental Origins of Polycystic Ovary Syndrome: Very Early Phenotypes During the Mini Puberty of Infancy and Beyond 17 93.865 A22-0163-S001 Amendment 1//1R01HD108399-01 30,141 —

Reverse Engineering the Extracellular Neighborhood to Support the Functional Tissue Unit: A Use Case to Restore Ovarian Function 17 93.865 A22-0169 – NU//1U01HD110336-01 101,018 —

SIESTA (Sleep of Inpatients: Empower Staff to Act) for Acute Stroke Rehabilitation 226 93.865 AWD100824 (SUB00000246) AMD 3//5R01HD097786-03 86,076 —

Accelerating Nerve Regeneration with Therapeutic Electrical Stimulation and Botulinum Toxin 165 93.865 cc 82347 AMD 1 // 5R03HD101090-02 25,485 —

Large scale genome sequencing and integrative analyses to define genomic predictors of recurrent pregnancy loss 296 93.865 CON-80003728 (GR116814) AMD1//5R01HD105267-02 20,238 —

Psychosocial Intervention, Maternal Inflammation, and Birth Outcomes: Centering vs Routine Prenatal Care (PIINC) 147 93.865 EH17-256-S2-1//5R01HD092446-05 105,016 —

Viral pathogenesis of chronic inflammatory lesions of placenta 147 93.865 EH21-007-S1//5R01HD103762-02 10,202 —

COVID-19: The Impact of structural racism and discrimination on perinatal health during the COVID-19 pandemic 147 93.865 EH21-184-S1//3R01HD092446-04S1 74,099 —

Identifying the contributions of the gestational and caregiving environments to socioeconomic disparities in child language and cognitive development 147 93.865 EH21-336-S1 Amd 1//5R01HD109291-02 136,226 —

FSH Glycoforms and Ovarian Signaling 229 93.865 FY22.1115.001_AMD2//5R01HD103384-02 86,466 —

Soft Spring Continence Pessary for Women 120 93.865 Gaupp AGMT 6/14/22//5R44HD105574-02 32,095 —

Cord Blood Adductomics in Bronchopulmonary Dysplasia 222 93.865 KR 705246//7R21HD100831-03 5,408 —

COVID-19: Prejudices and Discrimination Toward Asians and Hispanics During and After COVID-19 53 93.865 PO: SAPO G17333 Subaward #1(GG016142-01)//1R21HD10 13,077 —

Adolescent Medicine Trials Network for HIV AIDS Interventions (ATN) Scientific Leadership Center 78 93.865 R000003150//1UM2HD111102-01 445 —

Novel Pediatric Neurocognitive Screening Using Central Auditory Tests 60 93.865 R1064 4//5R01HD095277-05 88,306 —

Long-term effects of zika virus infection on sound processing in the brain 60 93.865 R1297//2R21DC017603-02 13,988 —

Intensive Rehabilitation Research Grant W riting W orkshops in the United States (TIGRR) 182 93.865 SHEP-23-0004//R25HD074546 4,329 —

Developmental, Contextual, and Psychosocial Predictors of W eathering and Health among Rural African Americans in their Fourth Decade of Life 234 93.865 SUB00002073Amd5//R01HD030588 204,819

—

MFMU Network Capitation Agreement 83 93.865 U24HD036801//AGMT 10/18/21 331,542 82,677

Gestational Diabetes and Pharmacotherapy (GAP)- A Randomized Controlled Trail Investigating Timing of Pharmacotherapy Initiation for Patients with Gestational Diabetes 128 93.865 YEE 1/17/23//1R01HD108194-01 7,185 —

16,318,162 3,796,457

Integrative Pathways to Health and Illness 275 93.866 0000000784//1U19AG051426-01A1 536 —

Best Case/W orst Case: A Multisite Randomized Clinical Trial of Scenario Planning for Patients with End-Stage Kidney Disease 275 93.866 0000002088 AMD 2 // 1R01AG065365-01 29,023 —

MIDUS: Integrative pathways to Health & Illness 275 93.866 0000002491//2U19AG051426-06A1 95,085 —

Natural Language Processing and Automated Speech Recognition to Identify Older Adults with Cognitive Impairment 96 93.866 0255-D461-4609-Amnd 3//5R01AG066471-04 117,016 —

The tRNA pool in C9-ALS/FTD 202 93.866 080-02000-S50301//1R21AG082005-01 8,505 —

Blood mitochondrial DNA biomarkers of midlife cognitive decline and adverse brain imaging changes – A longitudinal investigation in the CARDIA population-based cohort study. 53 93.866 1(G017449-01)-AMD3//5R01AG069120-04 313,536 —

A new biomarker for frontotemporal lobar degeneration with TDP-43 proteinopathy and Alzheimer’s Disease 272 93.866 10064064-01-NW//1R21AG080502-01 17,489 —

Long-term Outcomes of Knee OA in the OAI Cohort 223 93.866 10477sc//5R01AG050469-05 AMD 05 4,868 —

Glucose homeostasis and the risk of Alzheimer’s disease and Alzheimer’s disease related dementias in the Multi-Ethnic Study of Atherosclerosis 287 93.866 1100-45116-11000000260//1RF1AG070881-01A1 59,296 —

Structural characterization of Aβ strain variation in AD mouse models 263 93.866 110365091 AMD 4//5R01AG061865-05 217,929 —

The Subclinical Vascular Contributions to Alzheimer’s Disease: The Multi-Ethnic Study of Atherosclerosis (MESA) Multisite Study of AD 287 93.866 111-33664-10000551083//5R01AG058969 426,516 —

Predicting post-transplant mortality and global functional health based on pre-transplant functional status in liver transplantation 223 93.866 11739sc Amendment 4//5R01AG059183-05 27,666 —

Anti-Amyloid Treatment in Asymptomatic Alzheimer’s Disease (A4) Open-Label Extension Study 263 93.866 120151062//1R01AG063689-01/via BWH Subaward #12133 42,250 —

Application of Economics and Social Psychology to Improve Opioid Prescribing Safety (AESOPS) 263 93.866 124931788 Amnd 4 // 5R33AG057395-05 17,967 —

Longitudinal Relationships Among Sleep, Cognition and Alzheimer’s Disease Biomarkers: Discerning Causal Associations, Mediators, and Susceptibility 27 93.866 125298//5R01AG070867-03 256,603 —

The A3 Study: Ante-Amyloid prevention of Alzheimer’s disease 263 93.866 131741339//5R01AG054029-02 6,507 —

Combination anti-amyloid therapy for preclinical Alzheimer’s disease (A45) 263 93.866 131741549//1R01AG061848-01 68 —

Global Alzheimer’s Platform Trial-Ready Cohort for Preclinical/Prodromal Alzheimer’s Disease (TRC-PAD Fixed Price CTA) 263 93.866 135242420//1R01AG053798-01A1 20,551 —

Global Alzheimer’s Platform Trial-Ready Cohort for Preclinical/Prodromal Alzheimer’s Disease (TRC-PAD) 263 93.866 135871077//5R01AG053798-05 33,306 —

Alzheimer’s Disease Neuroimaging Initiative (ADNI3)[Diversity Taskforce Project] 263 93.866 137206820//U19AG024904-12 (391) —

Wake Forest REHAB-HFpEF 287 93.866 1481-32041-11000001166//1R01AG078153-01 49,076 —

Physical Rehabilitation for Older Patients with Acute HFpEF-The REHAB-HFpEF Trial (REHAB-PP) 287 93.866 1591-32041-11000001260//1R01AG078153-01 800 —

A Dynamic Environmental Exposure Approach to Study Behaviors in Mid-Life 236 93.866 17784//5R01AG062180-03 53,752 —

Hippocampal neurogenesis in cognitive function and dysfunction in Alzheimer’s disease 236 93.866 18994-01//5R01AG076940-02 27,674 —

Development of Protein Like Polymer Therapeutics for Modulating the Nrf2/Keap1 Protein Protein Interaction in Neurodegenerative Diseases 93.866 1F30AG076317-01A1 REVISED 40,904 —

The gut microbiome in Alzheimer’s disease: exploring the role of astrocytes 93.866 1F30AG079577-01 51,942 —

Antemortem W hite Matter Integrity Quantification from DTI and Relationship with Postmortem TDP-43 – F31 to support Ashley Alexandra Heywood 93.866 1F31AG079630-01 32,811 —

(Continued)56

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

NRSA Predoc Fellowship for N. Rao in support of: Elucidating the contribution of amyloidogenic APP processing to AD-relevant impaired synaptic protein turnover 93.866 1F31AG079653-01 $ 31,338 —

Heart-brain MRI for the evaluation of hemodynamic coupling in aging and Alzheimer’s disease 93.866 1K01AG080070-01 70,464 —

Cerebral Autoregulation, Metabolic derangement, and Edema in Encephalopathy Outcome (CAMEEO) 93.866 1K23AG078705-01A1 51,697 —

Defining native proteoform landscape for amyloid-beta in Alzheimers disease 93.866 1R01AG063903-01 595,591 —

Reducing High Risk Polypharmacy Using Behavioral Economics through Electronic Health Records 93.866 1R01AG070054-01A1 268,189 19,022

COVID-19: Long-Term Impact of the COVID-19 Pandemic on Self-Management of Chronic Conditions: The C3 Study 93.866 1R01AG075043-01 498,740 71,328

Understanding Amyloid Pathology – Multiomic Activity Imaging of Plaque Formation Dynamics (AmyMAP) 93.866 1R01AG078796-01 306,153 —

Epigenetic Regulation in Aging and Alzheimer’s Disease 93.866 1R01AG079989-01 200,451 —

PATIENT-TAILORED PHYSICAL ACTIVITY INTERVENTION AMONG OLDER WOMEN WITH GYNECOLOGIC CANCERS UNDERGOING CHEMOTHERAPY (FIT4TREATMENT) 93.866 1R01AG081291-01 224,012 —

Hepatocyte growth factor to Improve Functioning in PAD: the HI-PAD Study 93.866 1R21AG056903-01 (384) —

Molecular Targets of Aging-Triggered Memory Decline in a Stress-Reactive Rat Strain 93.866 1R21AG062968-01A1 (6,699) —

Understanding the impact of stress reactivity on racial/ethnic disparities in cognitive function. 93.866 1R21AG069435-01 33,415 11,776

Microglia mediate cognitive dysfunction in elderly survivors of pneumonia 93.866 1R21AG075423-01 154,583 —

Far Red Light to Improve Functioning in PAD: the LIGHT PAD Trial 93.866 1R21AG080426-01 51,064 —

Insights into Amyloid Pathogenicity Dynamics 93.866 1R21AG080705-01 127,384 —

Mitochondrial Stress Response in FUS proteinopathy and related dementia 93.866 1R56AG061327-01A1 REVISED 46,434 —

Evolutionary Advantage of Heterozygous PAI-1 Deficiency in Humans 93.866 1R56AG077278-01 301,100 —

Regulation of Peripheral Proteostasis 93.866 1RF1AG057296-01 (57,439) —

Molecular and cellular mechanisms of the UNC5C netrin receptor in Alzheimer’s disease pathogenesis 93.866 1RF1AG057727-01A1 REVISED 60,660 —

Sex Differences in Central Stress Response and Alzheimer’s Disease Neuropathology 93.866 1RF1AG057884-01 24,523 —

The Role of RNA Binding Protein Networks in Tauopathy and Related Dementia 93.866 1RF1AG068140-01 1,420,639 —

Exploring the origins of myelin abnormalities in normal ageing and in vascular dementia 93.866 1RF1AG072080-01 559,574 —

Estrogen, Astrocyte Reactivity, and Sex Differences in Alzheimer’s Disease 93.866 1RF1AG079419-01A1 164,065 —

Mechanisms of Angiotensin I Converting Enzyme in Alzheimer’s disease 93.866 1RF1AG080092-01 839,346 —

GMP Production and Extended Toxicology of an Oral Formulation Drug for Alzheimer’s Disease 93.866 1U01AG076480-01 1,641,593 588,576

ARMCADA – Advancing Reliable Measurement in Cognitive Aging and Decision-making Ability 93.866 1U24AG082022-01 189,886 38,477

Leveraging the 24-hour Movement Paradigm to Preserve Cognitive Function and Prevent Alzheimer’s Disease: The Multi-Ethnic Study of Atherosclerosis (MESA) 24H-ACT Study 53 93.866

2(GG0115353-03)//R01AG071032-02 78,555 —

The role of human blood and brain 5-hydroxymethylcytosine in linking vascular risk factors to ADRD in older White and Black persons 175 93.866 20112002-Sub02-AMD01//1RF1AG074549-01 146,766 —

Microbiome-mediated therapies for aging and healthspan in marmosets 201 93.866 22-04848.401//5R01AG065546-03 27,922 —

Physical Activity and W eight Loss to Improve Function and Pain after Total Knee Replacement 261 93.866 22-4568-AMD1//5R01AG070004-02 23,224 —

Chicago Asian Resource Center for Minority Aging Research (RCMAR) 176 93.866 2675 Amd 1//5P30AG059304-05 19,768 —

Communication Bridge: A person-centered Internet-based intervention for individuals with primary progressive aphasia 93.866 2R56AG055425-06 832,295 7,799

Synaptic substrates of age-dependent memory deficits 93.866 2RF1AG017139-15 7,766 —

BACE1 as a Therapeutic Target for Alzheimer’s Disease 93.866 2RF1AG022560-16 REVISED 300,703 —

Predoctoral and Postdoctoral Training Program in Aging and Dementia 93.866 2T32AG020506-21 394,184 —

The Mobile Toolbox for Monitoring Cognitive and Behavioral Function (MTB2) 93.866 2U2CAG060426-06 3,980 —

First-in-human SAD & MAD trials for MW 151, a novel Alzheimer’s disease drug candidate that attenuates proinflammatory cytokine dysregulation 241 93.866 3200002345-19-178//1R01AG061898-03 105,684 —

Novel Gastrocnemius Muscle Characteristics in Peripheral Artery Disease Patients Associated with Impaired Functional Performance 241 93.866 3200003801-21-236 AMD 2//5R01AG066724-03 19,375 —

COVID-19: Genetic Epidemiology of Caffeine and Cognitive Decline 93.866 3K01AG053477-05S1 97,623 —

Genetic Epidemiology of Caffeine and Cognitive Decline 93.866 3K01AG053477-05S1 (16,092) —

Integrative Multi-Scale Systems Analysis of Gene-Expression-Driven Aging Morbidity 93.866 3K99AG068544-02S1 64,242 —

Alterations of Sleep and Circadian Timing in Aging 93.866 3P01AG011412-22S1 732,508 151,374

Sustaining quality of life of the aged: Heart transplant or mechanical support? 93.866 3R01AG047416-05S1 (6,017) (6,017)

COVID-19: Pathogenic mechanisms of Neuro-PASC in older adults 93.866 3R01AG059291-04S1 469,522 —

Clinical, Neuroanatomic, and Pathologic Signatures of FTLD-tau in Dementia Phenotypes 93.866 3R01AG062566-04S1 481,439 —

Slow Outward Currents and Learning In Aging Hippocampus 93.866 3R37AG008796-28S1 (1,014) —

Boston Early Adversity and Mortality Study (BEAMS): Linking administrative data to long-term longitudinal studies 93.866 3RF1AG064006-01S2 905,940 594,931

Transition to Aging Research for Predoctoral Students (F99/K00 Clinical Trial Not Allowed) 93.866 4K00AG068511-03 44,404 —

Emotion, Aging, and Decision Making 63 93.866 501668SG2231 01//2R01AG043533-06A1 43,622 —

Life Course Process of Alzheimer’s Disease: Sex Difference and Biosocial Mechanisms 253 93.866 5113263 AMD 4//5R01AG057800-05 78,626 —

CARDIA Year 35 Brain MRI Renewal 258 93.866 578134//5R01AG062819-04 93,847 —

Effect of Post-Acute Care Pay for Performance in Skilled Nursing Facilities on Outcomes and Disparities 258

93.866 584483//5R01AG071610-02 42,699 —

Modeling Ovarian Aging Phenotype in Mechanically Tuned 3D Matrices (NIH NRSA Predoc Fellowship for Emma Gargus, BS.) 93.866 5F30AG058387-04 (90) —

NRSA in support of Michael Fernandopulle: Mechanisms of autophagic dysfunction in progranulin-related neurodegeneration 93.866 5F30AG060722-04 Revised 6,588 —

NRSA in support of W esley Peng: Regulation of neuronal calcium transfer between mitochondria and lysosomes in health and neurodegeneration. 93.866 5F30AG066333-04 34,426 —

Alzheimer’s Disease Characterization via a Novel Native Mass Spectrometry Platform 93.866 5F31AG069456-02 516 —

Dysfunction of microglial proteostasis drives neuroinflammation and cognitive decline following pneumonia 93.866 5F31AG071225-03 Revised 35,677 —

Pathologic Substrates of Neuropsychiatric Symptoms in Aphasic Dementia 93.866 5F31AG076318-02 Revised 55,021 —

Development of Novel Synthetic Proteomimetics for Mediating Tauopathy in Alzheimer’s Disease 93.866 5F31AG076334-02 40,229 —

The role of APOE and Bone Morphogenic protein 4 (BMP4) in early cellular pathophysiology of Alzheimer’s Disease 93.866 5F31AG079540-02 47,404 —

Management of Complex Medication Regimens among Older Adults with Alzheimer’s Disease and Related Dementias and their Caregivers 93.866 5K01AG070107-03 132,879 —

Aging, immunosenescence and glioblastoma 93.866 5K02AG68617-03 46,417 —

Investigating the role of neuroinflammation in Limbic-predominant age related TDP43 encephalopathy 93.866 5K08AG065463-03 REVISED 56,955 —

COVID-19: Disordered Proteostasis as a Driver of Disease in the Aging Lung 93.866 5P01AG049665-08 81,333 —

Disordered Proteostasis as a Driver of Disease in the Aging Lung 93.866 5P01AG049665-08 1,995,621 255,451

Proteostasis in Aging and Neurodegenerative Disease 93.866 5P01AG054407-05 2,991,980 2,395,047

Alzheimer’s Disease Core Center 93.866 5P30AG013854-25 (8,880) —

Alzheimer’s Disease Core Center 93.866 5P30AG013854-25 10,416 10,416

The Claude D. Pepper Older Americans Independence Center (OAIC) at Northwestern University 93.866 5P30AG059988-04 1,431,293 32,210

Northwestern Alzheimer’s Disease Research Center 93.866 5P30AG072977-02 3,226,207 —

Personality and W ell-being Trajectories in Adulthood 93.866 5R01AG018436-20 288,239 102,130

COVID-19: LitCog IV: Health Literacy and Cognitive Function Among Older Adults 93.866 5R01AG030611-16 2,252 —

LitCog IV: Health Literacy and Cognitive Function Among Older Adults 93.866 5R01AG030611-16 1,050,545 89,620

Noninvasive Stimulation to Improve Hippocampal-Dependent Memory in Older Adults 93.866 5R01AG049002-06 26,911 —

Stellate Ganglion Blockade for the Management of Vasomotor Symptoms 93.866 5R01AG049924-05 (158,453) —

Stellate Ganglion Blockade for the Management of Vasomotor Symptoms 93.866 5R01AG049924-05 262,735 262,735

Role of BMP Signaling in the Aging Brain 93.866 5R01AG054429-05 (130,011) —

Communication Bridge: A person-centered Internet-based intervention for individuals with primary progressive aphasia 93.866 5R01AG055425-04 81,467 60,031

Determinants of neurodegenerative decline in the aphasic variant of Alzheimer’s disease 93.866 5R01AG056258-10 REVISED 844,774 —

INTERmittent pneumatic ComprEssion for Disability rEversal in PAD: the INTERCEDE Trial 93.866 5R01AG057693-05 400,024 107,020

(Continued)57

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

LEAF 2.0: Randomized trial of a technology-based positive emotion intervention for informal caregivers of individuals with Alzheimer’s disease 93.866 5R01AG058613-05 $ 927,278 456,553

Decision Making and Implementation of Aging-in-Place/Long Term Care Plans among Older Adults 93.866 5R01AG058777-05 616,295 —

An Epidemiologic Study of Disparities in Sleep and Cognition in Older Adults (DISCO) 93.866 5R01AG059291-05 1,194,567 3,813

Lifecourse determinants and outcomes of epigenetic age acceleration across two generations 93.866 5R01AG061006-05 377,700 247,437

Novel Protein Aggregation Inhibitors and Upper Motor Neuron Stabilizers for ALS and other Neurodegenerative Diseases 93.866 5R01AG061708-04 718,844 —

The role of activity induced exosome signaling in synaptic pathology of Alzheimer’s Disease 93.866 5R01AG061787-05 141,622 —

Molecular Mechanisms Underlying Behavioral and Psychological Symptoms in Alzheimers Disease 93.866 5R01AG062249-05 492,957 120,075

Genetic modifiers of the Mediterranean-DASH diet Intervention for Neurodegenerative Delay (MIND) response 93.866 5R01AG065398-03 386,084 169,559

Bioenergetic Mechanisms Underlying Circadian Dietary Intervention 93.866 5R01AG065988-04 513,824 —

Contributions of stress reactivity to risk of Alzheimer’s disease and related dementia’s in a community-based cohort 93.866 5R01AG067557-03 1,118,309 268,132

Personality and Non-Cognitive Factors in the Prediction and Moderation of Risk of Dementia Progression and Physical Health 93.866 5R01AG067622-05 890,538 427,387

Cognitive SuperAging: A model to explore resilience and resistance to aging and Alzheimers disease 93.866 5R01AG067781-04 1,058,407 98,019

Negotiation Training to Optimize Caregiver Communication in Alzheimer’s Disease 93.866 5R01AG068421-04 519,149 7,249

COCOA flavanols to improve walking performance in PAD: the COCOA-PAD II Trial 93.866 5R01AG068458-03 802,417 244,203

Reconstructing the temporal landscape of gene regulation in aging 93.866 5R01AG068579-03 620,224 236,389

ToolBox Detect: Low Cost Detection of Cognitive Decline in Primary Care Settings 93.866 5R01AG069762-03 1,572,478 32,862

LIVOPT -- LIVer cirrhosis – Optimizing Prediction of Patient OuTcomes 93.866 5R01AG070194-02 594,705 —

Health Literacy and Cognitive Function among Middle-Aged Adults: The MidCog Study 93.866 5R01AG070212-03 753,932 65,341

BEET root juice to reverse functional impairment in PAD: The BEET PAD Trial 93.866 5R01AG073257-02 549,382 107,172

Development and Validation of a Telehealth Strategy for Routine Detection of Cognitive Impairment in Primary Care: The MyCog Mobile Assessment 93.866 5R01AG074245-03 908,110 —

Sequential Multiple Assessment Randomized Trial of Exercise for PAD: SMART Exercise for PAD 93.866 5R01AG076577-02 Revised 414,006 27,962

Asymmetric Neurodegeneration and Language in Primary Progressive Aphasia 93.866 5R01AG077444-17 1,280,814 317,227

The role of apolipoprotein E in Alzheimer’s adaptive immunity 93.866 5R01AG078713-02 690,219 —

Epigenomic landscape of individual- and neighborhood-level social disadvantages and cardiovascular health disparity 93.866 5R01AG081244-02 351,750 —

Longitudinal Trajectories of Physical and Cognitive Function among Persons Aging with HIV 93.866 5R03AG067980-02 120,918 —

A PILOT STUDY OF PREHABILITATION DURING THE NEOADJUVANT WINDOW OF OPPORTUNITY IN OLDER WOMEN WITH OVARIAN CANCER (FIT4SURGERY) 93.866 5R03AG074031-02 113,497 —

A test of the calcium hypothesis of Alzheimers disease 93.866 5R21AG060267-02

(276) —

Unacylated Ghrelin to Improve FuncTioning in PAD: the GIFT Trial 93.866 5R21AG063076-02 22,078 —

APelin, EXercise, and mobility in Peripheral Artery Disease, the APEX-PAD Study 93.866 5R21AG065705-02 REVISED 47,562 —

Long-lived proteins as pillars of mitochondrial architecture in rodent brains 93.866 5R21AG072343-02 238,063 —

FIsetin to Reduce Senescence and mobility impairmenT in PAD: the FIRST Pilot Randomized Trial 93.866 5R21AG075613-02 50,766 11,892

Behavioral Economics Applications to Geriatrics Leveraging EHRs (BEAGLE) 93.866 5R33AG057383-05 406,906 112,391

The Impact of Race on Quality of Life of the Aged after Heart Transplant or Destination Therapy Mechanical Support 93.866 5R36AG073531-02 57,002 —

Predoctoral and postdoctoral training program in aging and dementia 93.866 5T32AG020506-20 (979) —

Preclinical development of a novel small molecule inhibitor of Alzheimer’s disease-related cognitive impairment 93.866 5U01AG066722-04 913,365 371,429

Study to Uncover Pathways to Exceptional Cognitive Resilience in Aging (SUPERAging) 93.866 5U19AG073153-03 2,637,341 1,300,191

ARMADA: Advancing Reliable Measurement in Alzheimer’s Disease and cognitive Aging. 93.866 5U2CAG057441-03 760,889 273,491

The Mobile Toolbox for Monitoring Cognitive Function 93.866 5U2CAG060426-05 2,811,292 1,706,650

Role of perictyte nanotubes in age-related neurovascular dysfunction 23 93.866 7000001746//1R21AG074163-01A1 26,727 —

Prot #PBD 01187: A Phase 2A Randomized Double-Blind Placebo-Controlled Trial to Evaluate the Efficacy and Safety of Varoglutamstat (PQ912) in Patients with Early Alzheimer’s

Disease with a Stage Gate to Phase 2B (VIVA-MIND) 222 93.866 705194//5R01AG061146-03 18,697 —

Early Onset AD Consortium – the LEAD Study (LEADS) 103 93.866 7861_NW-Amnd 9//5U01AG057195-05 60,442 —

Alzheimer’s Disease Neuroimaging Initiative (ADNI3) 263 93.866 79634993 AMD 5//WEI2015-01/U19AG024904 110,499 —

Quantitative cerebral blood vessel imaging biomarkers for AD and VCID 93.866 7RF1AG072490-02 642,740 —

Long-Term Nicotine Treatment of Mild Cognitive Impairment 263 93.866 81622655//6R01AG047992-02 (22,448) —

The role of personality in cognitive aging and dementia 190 93.866 83945/2/1152237//5R01AG06093304 47,655 —

Contribution of Longitudinal Neighborhood Determinants to Cognitive Health and Dementia Disparities within a Multi-Ethnic Cohort 65 93.866 900142//5R01AG072634-03 46,734 —

Social Worker Funding – Subaward No. 9092_NW (SW) – LEADS 103 93.866 9092_NW (SW)//5U01AG057195-04 6,609 —

PRagmatic EValuation of evENTs And Benefits of Lipid-lowering in oldEr Adults (PREVENTABLE) 66 93.866 A032814//1U19AG065188-01 32,066 —

Functional Limitations and Disability Among Middle-Aged Adults 66 93.866 A033130//5R01AG062502-04 50,646 —

Personality and Health: A Longitudinal Study 153 93.866 AGMT 6/30/22//5R01AG020048-24 58,335 —

Cardiovascular and HIV/AIDS Effects on Brain Structure/Function and Cognition 259 93.866 CNVA00050794(128001-6)//5R01AG0348529-10 37,311

—

Building the Geriatric Emergency Care Applied Research (GEAR) Network 296 93.866 CON-80002943 (GR112405)//5R33AG058926-06 57,424 —

Improving Emergency Department Care and Care Transitions: Perspectives of Persons Living with Dementia and their Care Partners 296 93.866 CON-80003990 (GR118438)//5R61AG069822-02 30,989 —

Identifying Older Adults with Delirium in the Emergency Department: Risk Factors and Phenotypes 296 93.866 CON-80004022 (GR118506)//5R33AG058926-06 25,350 —

Geriatric Emergency care Applied Research network 2.0 – Advancing Dementia Care (GEAR 2.0 ADC) 296 93.866 CON-80004264(GR119224)//4R33AG069822-03 64,643 —

Improving Emergency Department Care and Care Transitions: Perspectives of Persons Living with Dementia and their Care Partners 296 93.866 CON-80004519(GR121110)//4R33AG069822-03 13,259 —

Geriatric Emergency care Applied Research network 2.0 – Advancing Dementia Care (GEAR 2.0 ADC) 296 93.866 GR113862 (CON80003141)//1R61AG069822-02 65,705 —

A harmonized medial temporal lobe subregion segmentation protocol: an essential element for dementia research 150 93.866 GR127026 PO-SPC-1000006859//R01AG070592 24,184 —

Amyloid beta oligomer induction of Alzheimer’s disease in nonhuman primates 285 93.866 Klein AGMT 5/20/21//9R44AG067832-02 6,618 —

ARTFL LEFFTDS Longitudinal Frontotemporal Lobar Degeneration (ALLFTD) 126 93.866 NOR-263134-02/PO#68234739//5U19AG063911-03 36,531 —

Optimization of small molecule SERCA2b activators to inhibit neuron loss in Alzheimer’s disease 140 93.866 NW-0521//2R42AG062001-02A1 93,901 —

ARTFL LEFFTDS Longitudinal Frontotemporal Lobar Degeneration (ALLFTD)--Fixed Price 126 93.866 NWU-263134-01//5U19AG063911-03 5,616 —

Trial of Parkinson’s And Zoledronic Acid (TOPAZ) 194 93.866 P-163-PO28000007864//R01AG059417 8,454 —

The Effect of High Intensity Walking on Frailty 47 93.866 R01AG060162/AGMT 12/17/2020 47,603 —

SAGE LEAF: Reducing Burden in Alzheimer’s Disease Caregivers through Positive Emotion Regulation and Virtual Support 28 93.866 R43AG065080-SB1//R43AG065080 (532) —

Tailored Non-Pharmacotherapy Services for Chronic Pain: Testing Scalable and Pragmatic Approaches 116 93.866 RNG210885-NORTHWESTERN//5UH3AG067493-04 28,375 —

Using the PROMIS Cognition Item Bank for Early Detection of Cognitive Decline in Primary Care 164 93.866 SCON-00000397-01//R61AG069776 30,555 —

Long-Term Nicotine Treatment of Mild Cognitive Impairment 263 93.866 SCON-00003468//2R56AG047992-07A1 371 —

Guiding Aging Long-Term Opioid Therapy Users Into Safer Use Patterns 263 93.866 SCON-00004067//3P30AG024968-20S1 56,892 —

(DPPOS-4) Alzheimer’s Disease and Alzheimer’s Disease Related Dementias in Prediabetes and Type 2 Diabetes: The Diabetes Prevention Program Outcomes Study AD/ADRD Project 83 93.866 S-DPA2223-LM10//1U19AG078558-01 282,898 —

Development of a novel anti-neuroinflammatory experimental therapeutic for epilepsy and Alzheimer’s risk 102 93.866 SP0064289 AMD 2//1R44AG071062-01A1 55,839 —

Production and quality analysis of clinical drug for a novel CNS protein kinase inhibitor therapeutic candidate 141 93.866 STTR//4R42AG062095 (20,170) —

National Alzheimer’s Coordinating Center (NACC) 274 93.866 UWSC12990//5U24AG072122-02 REVISED 43,176 —

Innovative Analytical Methods for DNA Methylation Age

288 93.866 WU-22-0335-MOD-1//5R21AG068955-02 15,916 —

W ell-being as a Protective Factor against Cognitive Decline and Dementia 288 93.866 WU-23-0295-MOD-1//4R00AG071838-04 78,185 —

Lifecourse CVD Risk and Midlife Cognitive Trajectories and Brain Aging: Implications for Alzheimer’s and Dementia Prevention 146 93.866 YAF2194-04 AMD3//5R01AG063887-04 41,015 —

55,472,555 11,397,350

(Continued)58

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Role of the ipRGC Circadian Clock in Visual Perception 93.867 1F31EY034387-01 $ 40,948 —

Health Disparities in Utilization, Quality, and Outcomes for Three Common Ocular Conditions (HealthDOC) 93.867 1R01EY034444-01 51,991 —

Investigating the function and mechanism of interleukin 7 receptor-expressing pro-angiogenic macrophages during experimental choroidal neovascularization 93.867 1R01EY034486-01 89,750 —

Novel ocular imaging and molecular analysis of anterior eye segment for glaucoma 93.867 1R01EY034740-01 166,911 —

Re-engineering Connectivity in the Drosophila Brain 93.867 1R21EY031849-01 217,300 —

Genetic Manipulation of Retinal Ganglion Cell Subtypes 93.867 1R21EY033523-01A1 180,951 —

Dynamic Tracer Kinetic Model to Detect Preclinical Diabetic Retinopathy 192 93.867 2103355-02 Amendment 1//5R01EY032222-03 114,471 —

Mechanisms of neurovascular coupling in the retina and their dysfunction in diabetes 93.867 5F30EY031565-03 46,586 —

NIH NRSA Predoc Fellowship for Andrew Jo: Intersectional Genetic Dissection of Inner Retinal Circuits 93.867 5F31EY031985-03 45,131 —

The role of beta2-adrenergic receptor and interleukin-6 signaling in macrophage-driven choroidal neovascularization 93.867 5K08EY030923-04 202,654 —

The Role of Vimentin Cytoskeleton in the Mechanobiology of Schlemm’s Canal Endothelium. 93.867 5K99EY032547-02 94,556 —

Function of Basal Synapses at Mammalian Photoreceptors 93.867 5R01EY012141-24 (3,606) —

Signal Processing in the Inner Retina 93.867 5R01EY018204-12 512,138 —

The Role of MicroRNAs in Corneal Epithelial Homeostasis 93.867 5R01EY019463-13 342,737 —

Activation of the Angiopoietin-Tie2/TEK Pathway to Treat Ocular Hypertension and Glaucoma 93.867 5R01EY025799-08 494,854 —

Mechanisms underlying the formation of the cornea and ocular surface epithelium 93.867 5R01EY028304-04 158,293 —

The Roles of Autophagy in Limbal/Corneal Epithelia. 93.867 5R01EY028560-05 337,892 —

Investigating nanoscale neuronal damages in early glaucoma towards clinical optical detection 93.867 5R01EY029121-04 282,731 66,855

Spatially resolved measurements of retinal metabolism 93.867 5R01EY029306-03 85,724 —

Exploring the angiogenesis-to-fibrosis transition in ischemic retinopathies 93.867 5R01EY030121-04 344,102 —

Cell types and functional circuitry in the mouse retina 93.867 5R01EY030169-05 319,847 —

Non-canonical GABAergic Pathways in the Visual System 93.867 5R01EY030565-04 472,133 —

Synapses as Independent Computational Units in the Excitatory Pathways of the Retina 93.867 5R01EY031029-04 427,885 —

Functional consequences of heterotypic retinal ganglion cell coupling 93.867 5R01EY031329-03 418,133 —

Monitoring the hemodynamic response to therapy in diabetic retinopathy 93.867 5R01EY031815-04 355,716 44,115

Regulation of kainate receptor expression in cone bipolar cells 93.867 5R01EY032506-02 378,140 —

The role of Angiopoietin-TEK signaling in polypoidal choroidal vasculopathy 93.867

5R01EY032609-03 517,824 —

Single-cell RNA sequencing reveals novel regulatory pathways in maintaining limbal epithelial stem cell homeostasis 93.867 5R01EY032922-03 324,160 —

A Nanocarrier Platform for Targeting Schlemm’s Canal Cells 93.867 5R01EY033813-02 288,607 2,244

Reconstructing positional information in the eye from scRNA-seq and relating it to signal transduction 93.867 5R21EY032233-02 REVISED 208,916 —

Multidisciplinary Visual Sciences Training Program 93.867 5T32EY025202-09 102,150 —

Clinical glaucoma management enabled by visible-light OCT 93.867 5U01EY033001-03 295,851 17,501

DRCR Retina Network Chair Emeritus – Diabetic Retinopathy Clinical Research Network 112 93.867 Agmt#12/3/19 Amd 2 55,292 —

CLARIFYING THE OPTIMAL APPLICATION OF SLT THERAPY (COAST) 259 93.867 AWD00002935 (136658-2)//5UG1EY031651-02 28,074 —

Diabetic Retinopathy Clinical Research Network 2019-2023 Master Agreement 112 93.867 DRCR Site 61: JCHR-Site DRCR Addendum AF 783 —

Data-Driven Biomechanical Simulation of Eye Movement and Strabismus 82 93.867 E2048123 AMD 4 // R01EY029715 33,794 —

ER stress and diabetic retinopathy 189 93.867 R1217228//5R01EY019949-13 98,594 —

8,132,013 130,715

Developing novel deep-learning based methods for deciphering non-coding gene regulatory code 190 93.879 1R01LM01372201//1170742/2/92468 AMD1 6,933 —

Network Models for Metabolomics 246 93.879 21-015788 A01//5R01LM013444-03 198,910 —

Guiding humans to create better labeled datasets for machine learning in biomedical research 93.879 3R01LM013523-02S1 513,658 276,978

Health For All: Advancing Library-Academic Medical Center Partnerships to Navigate Wellness and Scale Preventive Services Access 93.879 5G08LM013188-03 120,733 —

Modeling the Incompleteness and Biases of Health Data 93.879 5R01LM013337-04 254,881 218

Network of the National Library of Medicine Evaluation Center 93.879 5U24LM013751-03 798,786 16,434

1,893,901 293,630

Partnership for Global Health Research Training Program 89 93.989 117181-5121333 Amendment 2//5D43TW010543-07 18,730 —

Building capacity for patient-centered outcomes research to improve the quality and impact of HIV care in Tanzania 93.989 3D43TW010946-05S1 339,339 138,100

Simulator-Based Focused Cardiac Ultrasound (FoCUS) Training in Haiti 25 93.989 5970-NWUC-02A1//5 R21 TW012165-02 5,645 —

Northwestern/Nigeria Research Training Program in HIV and Malignancies (NN-HAM) 93.989 5D43TW009575-09 361,090 219,627

Expanded Multidisciplinary NeuroAIDS Research Training to Improve HIV Outcomes in Nigeria 93.989 5D43TW009608-10 235,793 94,249

Building the Next Generation of Researchers in TB/HIV Diagnostics in Mali (B-NextGen) 93.989 5D43TW010350-08 257,749 164,612

Cardiovascular Research Training In Nigeria (CeRTIN) 93.989 5D43TW011976-03 195,861 28,357

Global Hypomethylation Biomarkers for Cervical Cancer Screening in W omen Living with HIV in LMICs 93.989 5R21TW012092-02

88,114 11,887

University of Ibadan MEPI Junior Faculty Research Training Program (UI-MEPI-J) 235 93.989 7/225/29/NU-06/NCE//D43TW010140-05 10,065 —

Building Research And Innovation in Nigeria’s Science – (BRAINS) 242 93.989 SP0031902-60041063//5D43TW010134-05 1,476 —

1,513,862 656,832

ACTG A5423 Protocol Chair Support 220 93.RD 1560 G IA637//5UM1AI068636-17 10,463 —

A randomized, double-blind, placebo-controlled study of 4-hydroxtamoxifen topical gel in women with mammographically dense breasts -fixed pricing 270 93.RD 300861182//HHSN2612012000034I-TO11-4 1,275 —

Cognitive Function, Self-Management, and Health Outcomes among Liver Transplant Recipients: the LivCog Cohort 258 93.RD 584798 Amnd 1//5R01DK132138-02 115,733 —

Multi-Ethnic Study of Atherosclerosis – Field Center 93.RD 75N92020D00004/75N92020F00001-P00003 570,022 —

Multi-Ethnic Study of Atherosclerosis (MESA) Exam 7 – Task Area B 93.RD 75N92020D00004-75N92021F00001 407,043 —

Coronary Artery Risk Development in Young Adults (CARDIA) Study – Chicago Field Center 93.RD 75N92023D00004 63,954 —

Centers for Research on Structural Biology of Infectious Diseases 93.RD 75N93022C00035 3,475,209 2,058,208

Pilot Testing, Refinement, and Validating of the NBT, and Preparation for Norming Study (NIH Infant and Toddler Toolbox: TO 2) 93.RD 75N94019D00005 P00002 (6,148) —

NIH Infant and Toddler Toolbox Task Order 3 93.RD 75N94019D00005-75N94021F00001 1,976,023 987,074

NIH Infant and Toddler Toolbox Task Order 4 93.RD 75N94019D00005-75N94022F00001 1,866,473 900,028

A PreTACT meeting for study and milestone discussion for a BPN Biologics project (Contract for UG3-Development of anti-LTBP4 as a biologic to treat Neuromuscular Diseases) 93.RD 75N95A23P00038 2,400 —

NU NCI20C06 – Phase II Trial of the Immune Checkpoint Inhibitor Nivolumab in Patients with Recurrent Select Rare CNS Cancers 129 93.RD 75N98020D00086 6,618 —

W ashU-Northwestern Genomic Variation and Function Data and Administrative Coordinating Center 288 93.RD Advance Account 24,615 —

Determining how neurotensin mediates valence processing and compulsive cocaine seeking 93.RD Advanced Account 42,336 —

IPA for Michael Bass 93.RD Agmt 10/10/20 18,756 —

Cancer Prevention Agent Development Program: Early Phase Clinical Research 93.RD HHSN261201200035I 75N91019F00130 P00005 347,975 —

Cancer Prevention Agent Development Program: Early Phase Clinical Research 93.RD HHSN261201200035I/HHSN26100014 P00005 621,039 210,909

CARDIA Task Area B – Cohort Limited Exam (Year 35) 93.RD HHSN268201800003I 75N92020F00001 303,175 —

Coronary Artery Risk Development in Young Adults (CARDIA) Study – Chicago Field Center 93.RD HHSN268201800003I-P0003 503,466 8,179

Phase II Multi-Center, Prospective, Randomized, Double-Blind Study of Nitazoxanide in Acute and Chronic Norovirus in Hematpoietic Stem Cell and Solid Organ Transplant Recipients 93.RD HHSN272201600016C 42,053 29,786

Structural Genomics Centers for Infectious Diseases 93.RD HHSN272201700060C-14 P00017 (1,569) —

(Continued)59

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Structural Genomics Centers for Infectious Diseases 93.RD HHSN272201700060C-14 P00017 $ 1,333,603 1,333,603

Intergovernmental Personnel Act- IPA Assignment Agreement 93.RD IPA AGMT 10/28/22 25,107 —

Intergovernmental Personnel Act IPA Assignment Agreement 93.RD IPA AGMT 8/9/22 26,933 —

COVID-19: A Federated COVID-Rich ICU Database 125 93.RD S5207, PO#584331//75N97020C00013 18,426 —

Per- and polyfluoroalkyl substances (PFAS) and breast cancer risk in a racially and ethnically diverse U.S. cohort 184 93.RD SSS-FUN-S-22-01007//HHSN273201800005I 124,672 —

Adductomics analysis in the Sister Study 184 93.RD SSS-FUN-S-23-01015//HHSN273201800005I, TO HHSN2730 4,567 —

Rutgers-NYU Center for Asian Health Promotion and Equity 176 93.RD SUB00002389//7P50MD017356-02 30,604 —

Office of the Director, National Institutes of Health:

Comparing Harmonization Methods in ECHO 66 93.310 303001174//5U2COD023375-07 83,074 —

Infrastructure: Illinois Precision Medicine Consortium (IPMC) 93.310 3OT2OD026557-01S5 14,347,422 9,259,803

ECHO PRO Research Resource: A Developmentally-based Measurement Science Framework for Assessing Environmental Exposure and Child Health 93.310 5U24OD023319-05 4,283,576 364,954

All of Us Participant Technology Systems Center (OT2) 281 93.310 AGMT – 09/24/2021//3OT2OD030043-01S4 292,974 —

Promoting Color Brave Conversations in Families: A Public Health Strategy to Advance Racial Equity 207 93.310 TUL-HSC-559715-21&22//1U01OD033242-01 48,607 —

19,055,653 9,624,757

Kinetic Imaging Plate Reader for Drug Discovery and Biology 93.351 1S10OD030339-01 595,268 —

State-of-the-art High Field 7T MRI System Upgrade to Accelerate Translational Sciences 93.351 1S10OD032221-01A1 903,994 —

Illumina MiSeq High-Throughput DNA Sequencer 93.351 1S10OD032243-01A1 101,970 —

Electrical/Asymmetric Flow Field-Flow Fractionation (EAF4) System with Light Scattering Detection 93.351 1S10OD032342-01 324,593 —

A robotic plate handling system for high content screening and 3D organoid culture 93.351 1S10OD032367-01 137,000 —

Orbitrap Eclipse Mass Spectrometer for Northwestern University Neuroproteomic Collaboration Hub 93.351 1S10OD032464-01A1 1,345,196 —

SyncroPatch 384 Automated Patch Clamp Instrument 93.351 1S10OD034362-01 599,040 —

Understanding the mechanism(s) of systemic antibody delivery, distribution, and localization to mucosal sites in the in vivo macaque model 93.351 3K01OD026571-03S1 (1,863) —

Tandem Genetically Encoded Voltage and Calcium Indicator Mice for Optical Physiology of Excitable Cells 93.351 5R21OD025345-02 REVISED 65,611 —

Genetic and genomic tools for C. briggsae research 150 93.351 SPC1000006269 GR126698-001//5R21OD030067-02 49,164 —

4,119,973 —

Data and Research Support Center 280 93.368 VUMC 107289//1OT2OD035404-01 36,054 —

Data and Research Support Center: Precision Medicine Initiative Cohort Program Coordinating Center (U2C) 280 93.910 VUMC60724//5U2COD023196-05

62,065 —

Flexible Hybrid Cloud Infrastructure for Seamless Management of HuBMAP Resources 37 93.RD 1090672 -463891 // 1OT2OD026675 6,240 —

Comprehensive Structural and Functional Mapping of the Mammalian Cardiac Nervous System 220 93.RD 1553 G ZF013//OT2OD023848-01S7 21,800 —

Substance Abuse and Mental Health Services:

Center for Child Trauma Assessment, Services and Interventions 93.243 5H79SM085084-03 599,794 22,271

Implementing Agent Based Models to reduce overdose deaths 262 93.788 5820-1336-00-A//1H79T1083343 (SOR-CARE-39) 2,175 —

Total Department of Health and Human Services 522,502,954 84,894,169

Department of Homeland Security:

W ireless Physiological Monitoring for Heat Stress Accumulation 225 97.044 GR107351//EMW-2021-FP-00567 69,225 —

COVID-19: Value-focused Robust Optimization for Disaster Response 19 97.061 ASUB00000364//17STQAC00001-06-00 84,704 —

Total Department of Homeland Security 153,929 —

Department of Justice:

Office on Violence Against W omen:

Testing the effectiveness of a domestic violence intervention at reducing recidivism 16.026 2020-SI-AX-0009 106,707 —

National Institute of Justice:

Firearm involvement of parents and their adolescent children: A prospective intergenerational study of high-risk youth 16.560 2017-IJ-CX-0019 (479) —

Delinquent and Criminal Behaviors of Parents and Their Adolescent Children: A Prospective Intergenerational Study of Children of Former Juvenile Offenders 16.560 2020-MU-MU-0001 214,348 —

Improving Employment & Reducing Recidivism Among Prison Offenders via Virtual Reality Job Interview Training 249 16.560 SUBK00009850//2019-MU-MU-0004 – AMD 02 1,770 —

215,639 —

Total Department of Justice 322,346 —

Department of State:

Innovative Approaches to Evaluating Citizen-Led Rule of Law Initiatives in Ukraine 19.345 SLMAQM19GR2131 M003 42,355 —

Total Department of State 42,355 —

Department of the Interior:

United States Geological Survey:

Probabalistic Seismic Hazard Map testing in Nepal: A cooperative agreement between the USGS and Northwestern University 15.808 G19AC00104-02 2,434 —

Total Department of the Interior 2,434 —

Department of Transportation:

Tier I Center on TELEMOBILITY 20.701 69A3552047139 80,497 14,107

Federal Highway Administration:

Optimizing Bridge Abutment Slope Protection at Stream Crossing 294 20.RD 0092-21-02 6,028 —

Third Generation Simulation (TGSim) Data: A Closer Look at the Impacts of Automated Driving Systems on Human Behavior 237 20.RD 102471-18316//693JJ321C000002 36,893 —

Total Department of Transportation 123,418 14,107

Department of Veterans Affairs:

Edward Hines, Jr. VA Hospital:

Amplify Gait to Improve Locomotor Engagement in Spinal Cord Injury (AGILE SCI Trial) 64.RD 36C24E21D0007 P00002 34,581 —

VA IPA for Erin Reedy 64.RD Agmt 4/14/23 11,597 —

IPA For Todd Parrish: Neural Target Identification for Functional Disability Associated with Alcohol Related Characteristics Among Veterans with Co-occurring AUD+mTBI 64.RD Agmt 578/151 12,158 —

Intergovernmental Personnel Act (IPA) Assignment Agreement for Elizabeth Platt (Sponsored by NU Principal Investigator Dr. Bonnie Martin-Harris, PhD.) 64.RD IPA AGMT Signed 04/18/2023 8,072 —

VA IPA agreement for Shamali Dusane 64.RD IPA AGMT Signed 08-15-2022 (FY2022-23) 28,872 —

Intergovernmental Personnel Act (IPA) Assignment Agreement for Jungwha (Julia) Lee, Sponsored by Dr. Bonnie Martin-Harris 64.RD IPA Agmt. Signed 01/13/2023 (578/151) 6,615 —

Intergovernmental Personnel Act (IPA) Assignment Agreement for Jungwha (Julia) Lee (Sponsored by NU PI, Dr. Bonnie M. Harris, PhD.) 64.RD IPA AGMT. Signed 04/18/2023 3,780 —

Development of ultrasound imaging phantoms appropriate for quantification of muscle (Cheng Sun, Effort) 64.RD IPA AGMT. SIGNED 07/07/2022 10,751 —

(Continued)60

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Vu, Thanh Huyen VA Proposal 64.RD IPA AGMT. Signed 08/02/2022 (PO #578-D27103) $ 36,455 —

IPA Agreement for Megan McHugh 64.RD IPA AGMT. Signed 08/30/2023 31,687 —

Intergovernmental Personnel Act (IPA) Assignment Agreement for Heather Henderson 64.RD IPA AGMT. Signed 09/01/2021 6,837 —

Intergovernmental Personnel Act (IPA) Assignment Agreement for Erin Lindsay Reedy (FY2021-22) 64.RD IPA AGMT. Signed 12/19/2022 (578/151) 31,892 —

Intergovernmental Personnel Act (IPA) Assignment Agreement for Elizabeth Bisch Platt 64.RD IPA AGMT. Signed 12/20/22 (578/151) 13,705 —

Development of ultrasound imaging phantoms appropriate for quantification of muscle fascicle architecture and mechanical properties (Eric Perreault, Effort) 64.RD IPA AGMT. Signed 7/12/22 15,002 —

Jesse Brown VA Medical Center:

FY2020-21 VA IPA for Christina Spaulding 64.018 IPA Agmt 04/05/2021 6,799 —

Intergovernmental Personnel Act (IPA) Assignment Agreement for Elisa J. Gordon (NU Supervisor: David Bentrem) 64.018 IPA Agmt. Signed 08/03/2021 3,067 —

9,866 —

IPA for Fei Chen with Jesse Brown VA Medical Center 64.RD Agmt 08/01/2023 71,198 —

Intergovernmental Personnel Act (IPA) Assignment Agreement in support of Bin Liu 64.RD Agmt 08/10/22 59,686 —

Linda India IPA FY23 64.RD Agmt 10/05/22 1,424 —

VA IPA for Francis Suh FY22 64.RD AGMT Eklund 8/10/22 74,735 —

VA IPA for Nida Mubin 07/01/22-09/30/22 64.RD AGMT Munshi 7/14/22 6,115 —

VA-IPA for Nida Mubin 10/01/2022-09/30/2023 64.RD AGMT Munshi 7/14/22 48,922 —

IPA Agreement FY23 – Isac 64.RD Agreement 4/19/23 35,406 —

IPA for Marina S. Casalino Matsuda, PhD with Jesse Brown VA Medical Center 64.RD IPA Agmt 8/1/2023 38,660 —

Intergovernmental Personnel Act (IPA) Assignment Agreement for Yanni Yu FY2022-2023 (Sponsored by NU PI, Dr. Joshua Meeks, MD) 64.RD IPA AGMT. 04/06/2023 65,491 —

Dr. Marcelo Bonini VA-IPA 1101BX004268 64.RD IPA AGMT. Signed 03/04/2021 1,063 —

Intergovernmental Personnel Act (IPA) Assignment Agreement for Christina Spaulding (Dec FY2022 to Sept FY2023) 64.RD IPA AGMT. Signed 06/28/2022 60,708 —

IPA Agreement FY21 – Cardenas 64.RD IPA AGMT. Signed 06/28/2023 25,317 —

Intergovernmental Personnel Act (IPA) Assignment Agreement for Aneta Baran 64.RD IPA AGMT. Signed 08/10/2022 57,002 —

Intergovernmental Personnel Act (IPA) Assignment Agreement in Support of Weiqi Huang 64.RD IPA Agmt. Signed 08/26/22 72,335 —

Intergovernmental Personnel Act (IPA) Assignment Agreement for Hao W ang 64.RD IPA AGMT. Signed 08/26/22 95,354 —

Intergovernmental Personnel Act (IPA) Assignment Agreement for Julie Johnson (Supervisor: David Bentrem) 64.RD IPA AGMT. Signed 09/03/2021 1,334 —

Intergovernmental Personnel Act (IPA) Assignment Agreement for Yasuhiro Omura 64.RD IPA AGMT. Signed 09/12/2022 32,479 —

Intergovernmental Personnel Act (IPA) Assignment Agreement for Yinu Wang 64.RD IPA AGMT. Signed 09/17/2021 77,385 —

Intergovernmental Personnel Act (IPA) Assignment Agreement for Yaqi Zhang 64.RD IPA AGMT. Signed 09/17/2021 2,453 —

Intergovernmental Personnel Act (IPA) Assignment Agreement for Ryan Caldwell FY21 IPA 64.RD IPA AGMT. Signed 11/3/2022 12,896 —

Intergovernmental Personnel Act (IPA) Assignment Agreement for Stefania Fatone, Sponsored by Dr. Steven Gard 64.RD IPA AGMT. Signed 7/07/2021 (537/151) (4) —

VA IPA Agreement for Christopher Futtner for FY21 64.RD IPA AGMT. Signed 8/10/22 87,473 —

VA IPA FY20 for Elspeth Beauchamp 64.RD IPA AGMT. Signed 8/26/22 43,844 —

VA IPA: Jun Qian (2022-2023) 64.RD Meeks 7/14/22 89,666 —

VA IPA: Mairah Khan (2022-2023) 64.RD Meeks 7/14/22 46,086 —

VA-IPA for Anastasia Metropulos 10/01/2022-09/30/2023 64.RD Munshi AGMT 7/13/22 55,216 —

Total Department of Veterans Affairs 1,424,114 —

Environmental Protection Agency:

Approaches to Reduce Nutrient Loadings for Harmful Algal Blooms Management 289 66.509 Wells AGMT 12/15/20//84008601 48,202 —

Total Environmental Protection Agency 48,202 —

National Aeronautics and Space Administration:

Stellar Dynamics and Stellar Collisions in Star-by-Star Models of Nuclear Star Clusters 37 43.001 1110258 – 471048 // 80NSSC22K0722 66,118 —

Accretion Physics from Horizon Scale Black Hole Images and Movies 228 43.001 1558870 04//80NSSC20K0527 75,726 —

Testing the Predictions of RAT Theory in Star Forming Clouds 282 43.001 530105Northwestern//SOFIA Grant 09_0535 AMND No. 1 24,039 —

Biosignature Preservation in Sulfate-Dominated Hypersaline Environments 84 43.001 AWD7774162-GR206675//80NSSC20K0849 33,367 —

The Late-time X-ray Behavior of Short Gamma-ray Bursts: Implications for Energetics and Rates 183 43.001 GO1-22043X-1//NAS8-03060 8,818 —

Investigating a novel role for iron redox cycling in the lithification of microbial mats and the rise and fall of stromatolites in Earth history 263 43.001 SCON-00004012//80NSSC19K0479 92,875 —

Multi-Scale Modeling of AGN Outbursts & Feedback in M87 183 43.001 TM1-22005X Amd 2//NAS8-03060 34,650 —

Testing the Predicted Two-phase Growth of SMBHs with X-ray Observations Across Mass and Redshift 183 43.001 TM2-23005X AMD 1//NAS8-03060 49,655 —

385,248 —

Project FUSION: Facilitating Unified Systems of Interdependent Organizational Networks 234 43.003 SUB00001667//80NSSC18K0511 (74) —

Multiple Undergraduate Research Projects 237 43.008 099286-17921 05//80NSSC20M0046 98,495 —

Air-Carbon Boundary Layer Chemistry for Hypersonic Ablation. 228 43.012 1561377//80NSSC21K1574 24,270 —

ACRE – Autonomous Casting RovEr 138 43.RD Award Letter 3/9/23 108,254 —

Testing a new physical model for the formation of galactic disks and its implications for star formation variability, ISM kinematics and galactic winds 186 43.RD HST-AR-16124.001-A AMND #4//NAS5- 26555 73,411 —

Using the full power of the HST Archive to Address the Red Supergiant Problem (Support for Dr. Charles Kilpatrick) 186 43.RD HST-AR-16136.006-A Amnd 4//NAS5-26555 4,368 —

Measuring the Star Formation Efficiency of Molecular Clouds in the Small Magellanic Cloud 186 43.RD HST-GO-15912.001-A AMND #5//NAS5- 26555 52,578 —

The Panchromatic Hubble Andromeda Southern Treasury (PHAST) 186 43.RD HST-GO-16778.013-A//NAS5- 26555 13,399 —

Solidifying the Origin of a Possible Kilonova at 350 Mpc 186 43.RD HST-GO-16923.005-A//NAS5- 26555 24,586 —

Snapshot Observations of Type II Supernovae 186 43.RD HST-GO-17070.001-A//NAS5- 26555 51,092 —

Spatially Resolving the First z>1 Fast Radio Burst Host Galaxy 186 43.RD HST-GO-17277.006-A//NAS5- 26555 18,446 —

Stellar Afterlives and Black Hole Cataclysms: Learning about Stars, Galaxies, and the Cosmic Expansion with Gravitational W aves 186 43.RD HST-HF2-51455.001-A Amnd 1//NAS5-26555 20,328 —

The study of hyper-accreting black holes and the origin of gold in the Universe 186 43.RD HST-HF2-51487.001-A AMD#2//NAS5- 26555 100,987 —

Illuminating the Progenitors and Environments of Energetic Transients with Radio Observations 186 43.RD HST-HF2-51504.001-A Amd 1//NAS5-26555 116,420 —

High Contrast Imaging of Exoplanets and Exoplanetary Systems with JW ST 186 43.RD JWST-ERS-01386.047-A//NAS5- 03127 11,984 —

Imaging the Shadow of a Black Hole through SGr A* Monitoring 186 43.RD JWST-GO- 02235.001-A//NAS5-03127 36,740 —

The First Resolved View of Individual Star Formation Across a Spiral Arm 186 43.RD JWST-GO-02128.006-A//NAS5-03127 12,761 —

CECILIA: A direct-method metallicity calibration for CosmicNoon through the Epoch of Reionization 186 43.RD JWST-GO-02593.008-A//NAS5- 03127 36,960 —

NASA Ames Research Center:

Rodent Research Standard Housing Mission: Multidisciplinary Approach to Understanding Spaceflight Responses. 43.001 80NSSC23K0599 34,826 —

Effects of Partial Gravity on Multi-system Mammalian Physiology: Microbiome and Related Systems 43.007 80NSSC20K1519 P00004 229,352 —

Effects of Spaceflight on Gastrointestinal Microbiota in Mice: Mechanisms and Impact on Multi-System Physiology 43.007 NNX15AL05G 000015 12,265 —

276,443 —

(Continued)61

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

NASA George C. Marshall Space Flight Center:

The Columnar to Equiaxed Transitionand Dendrite Fragmentation 43.003 NNX17AD48G-000011 $ (12) —

Microstructure Evolution in Freeze-Cast Materials 43.007 80NSSC18K0196-P00013 150,216 —

Investigation of Spin Squeezing for Quantum Sensors. 43.012 80NSSC23M0106 28,662 —

NASA Goddard Space Flight Center:

The Strontium Isotope Composition of Neoproterozoic Carbonates: Implications for the Carbon Cycle and the Evolution of the Bioshpere 43.001 80NSSC17K0245 P00003 34,235 —

The Physics, Observational Signatures, and Consequences of AGN-Driven Galactic Winds 43.001 80NSSC18K1096 P00004 106,738 —

Tools for Modeling Selection Biases and for Advanced Astrophysical Interpretation of LISA Observations 43.001 80NSSC19K0323-P00002 188,175 —

Multi-messenger Constraints on Close Binary Evolution in the Milky W ay 43.001 80NSSC20K0504 – P00004 41,708 —

Magneto-Rotational Instability in the Sun? Global Radiation-MHD Simulations of the Near-Surface Shear Layer 43.001 80NSSC20K1280 P00002 481,927 302,890

Preparing LISA for Intermediate-Mass Black Hole Science 43.001 80NSSC21K1722 P00002 277,550 104,227

Relativistic Simulations of Accreting Neutron Stars 43.001 80NSSC21K1746 P00001 182,441 —

Simulating neutron star merger remnant outflows and their electromagnetic signatures 43.001 80NSSC21K1851 P00003 41,116 —

COVID-19: Supernova Remnant Observations with Micro-X COVID Extension 43.001 80NSSC21K1856 P00001 11,257 —

Simulating Dynamical Ejecta Effects On High Energy Emission From Neutron Star and Black Hole Collisions 43.001 80NSSC22K0031 80,000 —

A Search for the first X-ray counterpart to an extragalactic FRB 43.001 80NSSC22K0221 18,579 —

A SW IFT Response to Thermonuclear Explosions 43.001 80NSSC22K0541 8,139 —

On the quest of BeX-ray transients: how do highly magnetized neutron stars cool? 43.001 80NSSC22K0799 33,022 —

A Survey of Late-Time X-ray Emission in VLASS Detected Supernovae 43.001 80NSSC22K0800 8,576 —

The Physics of the CGM and its Role in Galaxy Evolution 43.001 80NSSC22K0809 52,622 —

Dynamical Signatures of Planet Formation in W ide-Separation Exoplanets and Brown Dwarfs 43.001 80NSSC23K0280 65,474 45,045

Remote quantification of evolving stability conditions in deep-seated landslides from InSAR displacement rate measurements, structural mapping, and geomechanical modeling 43.001 80NSSC23K0734 24,685 —

1,656,244 452,162

Self-Organized Nanostructured Bonds through Transient Liquid Phase Dealloying 43.012 80NSSC21K1810 P00002 163,394 —

Grain Boundary Engineering of Thermoelectrics for RTGs 43.012 80NSSC22K1217-P00001 68,541 —

231,935 —

NASA Lyndon B. Johnson Space Center:

Team Task Switching in Astronaut Crews on the International Space Station: Integrating Multiteam Membership, Multiteam Systems, multi-tasking, & Multidimensional Networks to

Monitor & Enable Functional W ork Shifts in Astronaut Crews 43.003 80NSSC18K0276 – P00016 18,965 —

Composing Teams with TEAMSTaR: Tool for Evaluating And Mitigating Space Team Risk 43.003 80NSSC21K0925 P00008 415,590 —

CREW S: Crew Recommender for Effective W ork in Space 43.003 NNX15AM32G-000022 8,793 —

443,348 —

Total National Aeronautics and Space Administration 3,977,089 452,162

National Science Foundation:

EFRI C3 SoRo: An integrated approach towards computational design, fabrication and understanding of bio-hybrid soft architectures capable of adaptive behavior 237 47.041 093088-175159//EFMA-1830881-03 1,213 —

Engineering Research Center for Innovative and Strategic Transformation of Alkane Resources – CISTAR 161 47.041 10001437-044 AMD 9 // 1647722-EEC 555,207 —

EFRI CEE: Engineered Retinal Epigenomics 263 47.041 132226948 AMD No. 2//EFMA-1933394 305,882 —

Novel force sensors for in vivo live animal applications 228 47.041 1562737 01//CBET 2029559 45,535 —

DMREF: Collaborative Research: A Data-Centric Approach for Accelerating the Design of Future Nanostructured Polymers and Composites Systems 66 47.041 333-2389 AMD 5//1818574 93,974 —

RAISE--EQuiP: Single--Chip, Wall--Plug Photon Pair Source and CMOS Quantum Systems on Chip 26 47.041 4500002864//ECCS-1842692 4,521 —

RoL: RAISE: DESYN-C3: A platform for Modular Pseudo-Organelles for Compartmentalization and Control of Pseudo-Cell Processes 47.041 4CBET-1844336 140,500 —

NRI: INT: Co-Robot Controllers for Human-Like Physical Interaction and Improved Motor Learning 165 47.041 8913 cc 82089//2024488 112,224 —

EFRI C3 SoRo: Strong Soft Robots—Multiscale Burrowing & Inverse Design 250 47.041 A007037602 AMD 1 // EFMA-1830950 3,991 —

Multi-functional, scalable graphene-based protective coatings for high energy density lithium-ion cathodes 286 47.041 AGMT 2-25-22//IIP-2036267 141,721 —

Scalable Manufacturing of Supramolecular Polymers for Regenerative Medicine 14 47.041 AGMT 4/22/22//IIP-2151711 14,813 —

Oleophilic Hydrophobic Multifunctional (OHM) Sponge: An Environmental Remediation Platform 132 47.041 Agmt 8-29-22//TI-2151578 76,961 —

SNM: Scalable Nanomanufacturing of Graphene-based Real-time Water Sensors through Customized Inkjet Printing 226 47.041 AWD101315 (SUB00000317)//2039268 (2,573) —

FMRG: Manufacturing Advanced Electronics through Printing Using Bio-based and Locally Identified Chemicals (MADE-PUBLIC) 226 47.041 AWD101466 (SUB00000407)-2//2037026 478,075 —

PIPP Phase I: Robust Epidemic Surveillance and Modeling (RESUME) 226 47.041 AWD103196 (SUB00000703)//2200234 46,893 —

Collaborative Research: DMREF: GOALI: Discovering Materials for CO2 Capture in the Presence of Water via Integrated Experiment, Modeling, and Theory 47.041 CBET 2119433 335,182 —

Spectroscopic photon localization microscopy for super-resolution molecular imaging 47.041 CBET-1706642 001 254 —

GOALI: Advanced biomanufacturing with inducible feedback promoters 47.041 CBET-1803747 15,108 —

GOALI: Charge Interactions in Transport of Mixed Solutes in Nanofiltration Membranes 47.041 CBET-1840816-001 92,747 —

COVID-19: Convergence: RAISE: Systems Approaches for Vulnerability Evaluation and Urban Resilience (SAVEUR) 47.041 CBET-1848683 16,469 16,469

Convergence: RAISE: Systems Approaches for Vulnerability Evaluation and Urban Resilience (SAVEUR) 47.041 CBET-1848683 (11,764) —

Convergence: RAISE: Systems Approaches for Vulnerability Evaluation and Urban Resilience (SAVEUR) 47.041 CBET-1848683 3,046 3,046

Collaborative Research: Towards a Generalized Microkinetic Description of Lignin Liquefaction 47.041 CBET-1926412 (124) —

GOALI: Flow driven segregation at the particle level 47.041 CBET-1929265 115,719 —

Collaborative Research: Cell-free glycoprotein synthesis technology for point-of-care vaccine biomanufacturing 47.041 CBET-1936789-001 61,154 —

Structural Health Monitoring of Biofilms for Sustainable Reactive Nitrogen Management 47.041 CBET-1937290 24,665 —

Elucidating and Computing Metabolic Networks for Co-Valorization of Cellulose and Lignin Derivatives 47.041 CBET-2022854 232,317 —

ECO-CBET: Collaborative Research: Towards a Circular Nitrogen Bioeconomy: Tandem Bio- and Chemocatalysis for Sustainable Nitrogen Recovery and Nitrous Oxide Mitigation 47.041 CBET-2033793 273,420 —

CAREER: Metabolomics-Enabled Approaches to Advance Characterization of Organic Matter Trapping in Natural and Engineered Matrices 47.041 CBET-2041669 49,328 —

CAREER: Redefining ‘antimicrobial’ in the context of microbe-chemical interactions indoors 47.041 CBET-2043156 -003 121,134 —

Collaborative Research: Engineering MS2 Capsid Assembly Using Systematic Fitness Landscapes

47.041 CBET-2043973 79,371 7,512

CAREER: Design Rules for Electrical Transport in Suspensions of Conductive Particles 47.041 CBET-2047365 61,783 —

Electrohydrodynamic interactions of drops 47.041 CBET-2126498 39,111 —

CAREER: Probing and Controlling Acidic Electrocatalytic Oxidation Mechanisms and Catalyst Degradation Processes 47.041 CBET-2144365 001 66,923 —

Addressing Rigor and Reproducibility in Heterogeneous, Thermal Catalysis 47.041 CBET-2152559 (49) —

GOALI: Fine Particle De-Mixing in Granular Flows 47.041 CBET-2203703 137,199 —

CAREER: Assessing Air Quality Co-Benefits and Tradeoffs of Sustainable Climate Solutions 47.041 CBET-2239834 22,725 —

Conference Travel: CECAM Flagship W orkshop, Lausanne, Switzerland 47.041 CBET-2317140 5,000 —

CONFERENCE: micro Flow and Interfacial Phenomena (µFIP) 47.041 CBET-2326060 13,100 —

Strong and Multifunctional Geopolymer Composites: A Multi-Scale Study 47.041 CMMI 1829101 002 (12,587) —

LEAP-HI: Catalyzing Resilient Urban Infrastructure Systems: Integrating the Natural and Built Environments 47.041 CMMI 1854827 004 528,584 350,360

(Continued)62

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

CAREER: The mechanics of subsurface urban heat islands 47.041 CMMI 2046586 $ 141,704 —

Collaborative Research: AI-Driven Multi-Scale Design of Materials under Processing Constraints 47.041 CMMI 2053929 133,351 —

EAGER: Collaborative Research: An Autonomous Modular Vehicle Technology-based Multifaceted Mobility Service Paradigm – A Proof-of-Concept Study 47.041 CMMI 2127678 98,515 —

Dynamic Matching Problems with Application to Kidney Allocation 47.041 CMMI 2137286 312,454 245,404

Exploiting Network Structure in Routing Problems: Applications to School Bus Routing 47.041 CMMI-1727744-002 (235) —

Data-driven multiscale damage and failure prediction 47.041 CMMI-1762035-001 (1) —

Equitable and Efficient Scarce Resource Allocation using Stochastic Fractional Optimization 47.041 CMMI-1763035 32,460 —

Collaborative Research: GOALI: Modeling and optimizing patient-flow dynamics in hospitals and hospital networks 47.041 CMMI-1763100 (127) —

Decision-Flow Queueing Networks for Analysis of Knowledge-Based Service Operations Systems 47.041 CMMI-1826353 (1,375) —

CAREER: Modeling Soil-Machine Interaction for Advances in Civil Construction and Terrestrial Robotics 47.041 CMMI-1846817 132,404 —

CAREER: Transformative mobility analysis: Mixed Methods framework 47.041 CMMI-1847537 122,652 —

Convergence: RAISE: Auto-regulatory Scaffolds for Directed Evolution of Non-living Functional Materials 47.041 CMMI-1848613 2,308 —

Asset Allocation: A Statistical Learning Approach 47.041 CMMI-1916616 33,792 —

Multi

‐

Scale Multi

‐

Material Printing of 3D Bead Arrays via Self

‐

Focused Electrohydrodynamic Jets 47.041 CMMI-1934350 97,741 —

Manipulating Nanoparticle-Modified Melt Pool Dynamics in Additive Manufacturing 47.041 CMMI-1934367-005 178,610 —

An Atomistic Experimental Investigation of Fracture in Transitional Metal Dichalcogenides 47.041 CMMI-1953806 76,282 —

Collaborative Research: A Hierarchical Multidimensional Network-based Approach for Multi-Competitor Product Design 47.041 CMMI-2005661-0001 156,823 —

Service Systems with Dependencies: Theory and Applications 47.041 CMMI-2006350 41,070 —

Freeze-Cast Manufacturing of Stable Iron-Alloy Foams for Energy Conversion and Storage 47.041 CMMI-2015641 144,432 —

NRI: INT: Robotic Shepherding for Flow Control in Uncertain Dynamic Environments 47.041 CMMI-2024774 330,330 —

Photonic Moiré Nanostructures for Scalable Fabrication of Quantum Structures 47.041 CMMI-2028773 101,984 —

New Kind of Experiment and Theory to Determine the Effect of Crack-Parallel Stresses on Fracture of Concrete and Similar Materials 47.041 CMMI-2029641 001 113,056 —

Linking Matrix Composition with Spatially Resolved Mechanical Properties in Polymicrobial Biofilms 47.041 CMMI-2100447 57,200 —

Micro-Casting of Titanium Alloys in Self-boiling Molds 47.041 CMMI-2132252 147,691 —

Policy-Robust Processing Networks: Characterization and Design 47.041 CMMI-2139566 251,844 225,338

CAREER: Catastrophic Rare Events: Theory of Heavy Tails and Applications 47.041 CMMI-2146530 164,097 —

Cusatis NSF Rotator Appointment 47.041 CMMI-2148861-006

319,859 —

Collaborative Research: Inference on expensive, grey-box simulation models 47.041 CMMI-2206973 41,786 —

Toward an integrative approach to machine learning for traffic management 47.041 CMMI-2225087 99,875 —

BRITE Fellow: AI

‐

Enabled Discovery and Design of Programmable Material Systems 47.041 CMMI-2227641 1,360 —

Travel Support for Dynamic Traffic Assignment Conference (DTA 2023); Evanston, Illinois; 10-12 July 2023 47.041 CMMI-2330274 15,145 —

Collaborative Research: Designing Polymer Grafted-Nanoparticle Melts through a Hierarchical Computational Approach 47.041 DMR-2226081 22,125 —

NNCI: Soft and Hybrid Nanotechnology Experimental (SHyNE) Resource 47.041 ECCS 2025633 AMD 004 1,255,976 444,385

CAREER: Principled Deep Reinforcement Learning for Societal Systems 47.041 ECCS 2048075 70,506 —

NCS-FO: How Ecology Induces Cognition: Paleontology, Machine Learning, and Neuroscience 47.041 ECCS-1835389 51,533 —

CPS: Medium: Information based Control of Cyber-Physical Systems operating in uncertain environments 47.041 ECCS-1837515 84,207 —

Anti-ferromagnetic Electric-field-controlled Memory Devices 47.041 ECCS-1853879 45,133 —

NSF-BSF: CCSS: Resistance Tomography with 2D Sensor Membranes 47.041 ECCS-1912694-001 78,414 —

BioNet: a distributed network of bioelectronic devices for closed-loop control of physiological processes 47.041 ECCS-2023849 422,761 109,239

Collaborative Research: SW IFT: LARGE: Dynamics and Security Aware Predictive Spectrum Sharing with Active and Passive Users 47.041 ECCS-2030251 167,171 —

Room temperature high-power terahertz semiconductor laser with high-quality beam shape and stable spectral emission 47.041 ECCS-2149908-003 169,220 —

Spintronic Spectrum Analyzer and Limiter based on Tunable Magnetic Tunnel Junction Arrays 47.041 ECCS-2203242 13,093 —

Scalable Three Terminal Memory Devices based on Silicon-Compatible Antiferromagnetic Materials 47.041 ECCS-2203243 14,020 —

REU SITE: RESEARCH EXPERIENCE FOR UNDERGRADUATES IN NANOSCALE SCIENCE AND ENGINEERING PROPOSAL 47.041 EEC-1757618 (23,653) —

RET Site: Collaborative Research: Research Experiences for Teachers across the National Nanotechnology Coordinated Infrastructure 47.041 EEC-1953437 32,080 —

EFRI CEE: Macrogenomic engineering via modulation of chromatin nanoenvironment 47.041 EFMA-1830961-006 614,063 43,596

EFRI-CEE: Epigenetic Cell Reprogramming In Situ: A Novel Tool for Regenerative Engineering 47.041 EFMA-1830968-008 209,023 —

EFRI CEE: Epigenomic Regulation Over Multiple Length Scales: Understanding Chromatin Modifications Through Label Free Imaging and Multi-Scale Modeling 226 47.041 FP068540-01-PR AMD 3//1830969 99,602 —

Partnership for development of high-performance magnetic memory technology 47.041 IIP-1919109 175,645 69,541

Collaborative Research: FW -HTF-R: Toward an Ecosystem of Artificial-intelligence-powered Music Production (TEAMuP) 47.041 IIS-2222369 70,860 —

NSF Engineering Research Center for Hybrid Autonomous Manufacturing Moving Evolution to Revolution (HAMMER) 150 47.041 SPC-1000006997 | GR128751//2133630 226,503 —

Collaborative Research: FW -HTF-R: Toward an Ecosystem of Artificial-intelligence-powered Music Production (TEAMuP) 260 47.041 SUB00000521/URFAO:GR533249//2222129 61,114 —

Integrating Human and Machine Learning for Enabling Co-Adaptive Body-Machine Interfaces 165 47.041 Subaward 9531//2054406

63,585 —

11,558,820 1,514,890

Unveiling the Obscured Formation of Stars and Galaxies: Large-Scale Legacy Surveys with a New Three Color High Resolution Imaging Polarimeter on a 50-m Telescope 246 47.049 17-009589 D Amd. 3/AST-1636621 79,040 —

PREM: UTA/NU Partnership for Functional Materials 266 47.049 2021GC0406//2122128 22,826 —

SII-Center: SpectrumX – The National Center for Spectrum Innovation 255 47.049 204303NU AMND 4//2132700 368,841 —

U.S. CMS Operations at the Large Hadron Collider 252 47.049 25-0521-0244-009//PHY-2121686 13,592 —

Center for the Chemistry of Molecularly Optimized Networks 66 47.049 333-2440// CHE-1832256 (3,774) —

CCI Phase I: NSF Center for Synthesizing Coherence 66 47.049 333-2555//CHE-1925690 (571) —

NSF Center for Molecularly Optimized Networks 66 47.049 333-2766//CHE-2116298-001 433,889 —

CCI Phase I: Center for Sustainable Separations of Metals 258 47.049 577550//1925708 22,801 —

U.S. CMS Upgrades for the High-Luminosity Large Hadron Collider 56 47.049 79433-20666-06//PHY-1946735 146,700 —

Center for Sustainable Polymers 250 47.049 A008060101//CHE-1901635 Amd.3 150,297 —

Center for Sustainable Polymers 250 47.049 A008060102-03//CHE-1901635 94,741 —

NSF Center for Sustainable Polymers: Quantitative framework for cost and sustainability evaluation of emerging sustainable polymers 250 47.049 A008060113 AMD2//CHE-1901635 104,700 —

Student Observing Support Program 20 47.049 Agmt 3/17/21//AST-1519126 525 —

Accretion and Star Formation Induced by the Galactic Center Supermassive Black Hole Sgr A* 47.049 AST-1517246 002 (1) —

CAREER: The Physics of Stellar Feedback and Star Formation Regulation in Galaxies 47.049 AST-1652522 168,729 —

W oU-MMA, Collaborative Research: Searches After Gravitational W aves Using Arizona’s Observatories 47.049 AST-1909358 (83) —

W oU-MMA: Luminous Supermassive Black Hole Accretion Systems as High-Energy Neutrino Factories 47.049 AST-2009884 163,036 —

CAREER: Navigating the Environments of the Universe’s Fastest Transients 47.049 AST-2047919 AMD 000 241,947 —

A Self-Consistent Bayesian Investigation of Star Cluster Binary Populations 47.049 AST-2107738 179,056 —

Collaborative Research: CDS&E: Constraining the uncertain physics of galaxy formation: cosmic rays, black holes, and beyond 47.049 AST-2108230 5,111 —

Gravitational W ave Sources from Dense Star Clusters 47.049 AST-2108624 79,827 —

REU Site: Preparing a Diverse W orkforce through Interdisciplinary Astrophysics Research 47.049 AST-2149425 127,637 —

Collaborative Research: Tidal Disruption of Stars by Massive Black Holes 47.049 AST-2206471 25,825 —

Materials Research and Science Engineering Center – Renewal 02 226

47.049 AWD101244 (SUB00000356)-3//2011854 151,349 —

ACME III: Advanced Cold Molecule Electron Electric Dipole Moment Search 226 47.049 AWD102289 (SUB00000527)//2136573 35,548 —

(Continued)63

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Conference: Active Matter and Complex Media 47.049 CBET-2227695 $ 14,997 —

Collaborative Research: Electronic Coherence Effects in Multichromophore Systems Probed by Two-Dimensional Electronic Spectroscopy 47.049 CHE 1955806 119,855 —

New Lewis Bases for Chemical Catalysis 47.049 CHE-1665141 14,820 —

Voltage-dependent interfacial structure and properties of room temperature ionic liquids: operando X-ray studies 47.049 CHE-1665255 540 —

Allosterically Regulated Supramolecular Capsules and Receptors Assembled via the W LA 47.049 CHE-1709888-001 (8,559) —

Correlative Tools for in Situ Analysis of Single Nanoparticles and their Ligands 47.049 CHE-1808502 137,165 —

Transient Physicochemical Properties of Nanomaterials 47.049 CHE-1808590 47,276 —

CAREER: Photocontrolled Dynamic Covalent Crosslinkers for Light-Responsive Polymer Networks 47.049 CHE-1847948 003 198,210 —

Synthetic, Mechanistic, and Catalytic Studies of Electrophilic d- and f-Element Complexes 47.049 CHE-1856619 001 180,844 —

Hyperpolarized Multi-Spin Systems as Qubits for Quantum Information Science 47.049 CHE-1900422 (532) —

Studying the Processes of Assembly and Stimuli-Responsive Morphological Transformations in Solvated Macromolecular Nano-Assemblies 47.049 CHE-1905270 (20,332) —

Studying the Processes of Assembly and Stimuli-Responsive Morphological Transformations in Solvated Macromolecular Nano-Assemblies 47.049 CHE-1905270 58,161 58,161

Collaborative Research: Isotopologue Synthesis and Use for Elucidating Important Chemical Mechanisms of Organic Condensation Reactions in Atmospheric Particles 47.049 CHE-2003359 119,741 —

Donor-acceptor energy transfer involving classical and quantum light in the presence of photonic and plasmonic structures 47.049 CHE-2055565 132,447 —

Spatial Organization of Ions in Supramolecular Nanostructures 47.049 CHE-2102662 340,564 —

Quantum control of nanochemistry 47.049 CHE-2108612 99,002 —

CAS-MNP: Molecular Probing Surface Reactivity Dynamics of Native versus Photo-Oxidized Microplastics and Nanoplastics in Environmental Aqueous Media 47.049 CHE-2109097 15,243 —

EAGER: ADAPT: Optimizing chemical reaction networks with AI 47.049 CHE-2141385 167,592 —

CAREER: Investigating Strong Electron-Phonon Interactions in Semiconducting Crystals Using Reciprocal-Space Quantum-Classical Modeling 47.049 CHE-2145433 48,171 —

Electrostatics and Structure at Electrode:Electrolyte Interfaces from Nonlinear Optics 47.049 CHE-2153191 192,774 —

Photogenerated Multi-Spin Systems as Qubits for Quantum Information Science 47.049 CHE-2154627-001 240,510 —

Catalytic Synthesis for Saturated Heterocycles 47.049 CHE-2154820 176,146 —

CCI Phase I: NSF Center for Chemoenzymatic Synthesis 47.049 CHE-2221346 398,084 153,618

Atom-Efficient Heteroatom Transformations Mediated by f-Element and d(0) Catalysts 47.049 CHE-2247666 1,660 —

Nanoscale Coronas: Surface Chemistry and Reactivity on Particle Scaffolds 47.049 CHE-2305039 8,234 —

Ink-based additive manufacturing of high-entropy alloys from oxide and hydride powders 47.049 DMR 2004769 127,699 —

MRSEC: Center for Multifunctional Materials 47.049 DMR-1720139-007

2,569,086 77,487

DMREF: Collaborative Research: Synthesis, Characterization, and Modeling of Complex Amorphous Semiconductors for Future Device Applications 47.049 DMR-1729016 (10,351) —

DMREF: Collaborative Research: Synthesis, Characterization, and Modeling of Complex Amorphous Semiconductors for Future Device Applications 47.049 DMR-1729016 104,365 104,365

DMREF: Collaborative Research: Accelerating Thermoelectric Materials Discovery via Dopability Predictions 47.049 DMR-1729487-001 68,979 —

CAREER: Understanding the Role of Structure on Ionic/Electronic Properties in Polymeric Mixed Conductors 47.049 DMR-1751308-004 56,015 —

JUAMI (Joint Undertaking for Africa Materials Institute) 47.049 DMR-1756245 919 —

Collaborative Research: Predictive theory, synthesis and characterization of a new type of transparent conductor without doping 47.049 DMR-1806912 685 —

EAGER: Enabling Quantum Leap: Driven Non-Equilibrium Room Temperature Quantum States 47.049 DMR-1838507 (509) (509)

Engineering New Anisotropic Superfluid Phases of 3He 47.049 DMR-1903053-003 66,718 —

Symmetry Breaking in Non-Hermitian Plasmonic Lattices 47.049 DMR-1904385-001 63,145 —

Solid-State Oxides and Oxide-Fluorides 47.049 DMR-1904701 003 193,021 —

Manipulation of Hole-pinned Vortices: Classical and Quantum 47.049 DMR-1905742-003 88,650 —

Total Tomography of Nonplanar Heterostructures for Quantum Information Processing 47.049 DMR-1905768 16,779 —

Bioengineering Single Crystal Growth 47.049 DMR-1905982-002 148,133 —

Optical Spin Orientation and Transport in Layered Mono- and Di-chalcogenide Semiconductors 47.049 DMR-1905986 68,636 —

GOALI : “Collaborative Research: An Experimental and Theoretical Study of the Microstructural and Electrochemical Stability of Solid Oxide Cells” 47.049 DMR-1912530/002 126,817 —

GOALI: Investigation of Cyclic Failure in Aluminosilicate Nanocomposites 47.049 DMR-1928702 001 116,762 —

Unconventional Heteroanion Ceramics: 2D Layered Seleno- and Thio-Phosphates 47.049 DMR-1929356 35,283 —

CAREER: Visualizing single-chain conformation and dynamics of bottlebrush polymers in the bulkstate 47.049 DMR-1945249-002 & 003 93,565 —

Collaborative Research: Optical Transitions in Metallic Nanoclusters at High Pressure 47.049 DMR-2002891 35,851 —

Synthesis of Complex and Advanced Chalcogenide Materials 47.049 DMR-2003476 229,501 —

Quantum Coherence Effects on Charge Generation in Organic Semiconductors 47.049 DMR-2003739 76,812 —

Collaborative Research: Impact of a colloidal suspension droplet: Suspension flows at extreme shear rates 47.049 DMR-2004176 002 88,862 —

Probing Fundamental Magneto-Electronic Properties of Two-Dimensional Metal Halides 47.049 DMR-2004420 109,050 —

Ions at aqueous interfaces: X-ray fluorescence and scattering studies 47.049 DMR-2004557-001 113,524 —

Peptide Brush Polymers: Theory and Synthesis for Functional Design 47.049 DMR-2004899 65,560 —

Motile Colloids with Tunable Random W alk: Individual Dynamics and Collective Behavior" 47.049 DMR-2004926 252,802 —

Structure and Function of Heteroanionic Materials 47.049

DMR-2011208 002 138,484 —

Joint Undertaking for an African Materials Institute (JUAMI) 47.049 DMR-2023698 202,760 —

COVID-19: RAPID: Regenerable Antiviral Nanoporous Materials for Protection 47.049 DMR-2029270 (1) —

Protein Crystallization Programmed with DNA 47.049 DMR-2104353 130,151 —

Collaborative Research: Design and Demonstration of Persistent Spin Textures in Ferroelectric Oxide Thin Film 47.049 DMR-2104397 60,080 —

Role of Organic Matrix Molecules in the Formation of Very High Magnesium Calcite 47.049 DMR-2104759-001 59,806 —

NSF-BSF Influences of cohesion enhancing elements, impurities and hydrogen or deuterium at grain boundaries and heterophase interfaces on embrittlement (ductilization) of steels 47.049 DMR-2105362 107,859 —

Collaborative Research: DMREF: Accelerated Data-Driven Discovery of Ion-Conducting Material 47.049 DMR-2118839 100,203 —

Collaborative Research: DMREF: GOALI: High-Affinity Supramolecular Peptide Materials for Selective Capture and Recovery of Proteins 47.049 DMR-2119686 202,634 —

Characterizing and Exploiting the Remarkable Surface Redox Chemistry of Ceria and Its Derivatives 47.049 DMR-2130831 150,441 —

CAREER: Hybrid membranes as platforms for biomolecule detection, synthesis, and transport 47.049 DMR-2145050-001 132,660 —

Designer Photonic Lattices and Multilayer Structures that support Bound Optical Modes and Electrically-driven Excitation 47.049 DMR-2207215 87,277 —

Collaborative Research: Metal-Organic Nanotubes as Tunable Porous Fibers 47.049 DMR-2207269-001 158,828 —

Collaborative Research: Compositional and Atomic-Scale Ordering Effects on Aqueous Passivation of Binary BCC and FCC Alloys 47.049 DMR-2208865 85,744 —

Quantum Coherent Applications of Superfluid 3He 47.049 DMR-2210112 002 199,291 —

N-Doping of Organic Semiconductor Materials 47.049 DMR-2223922 19,160 —

Probing topological effects in multiterminal Josephson junction devices 47.049 DMR-2303536 52,002 —

Defining Reaction Paths for Chalcogenide Materials Discovery 47.049 DMR-2305731 13,639 —

CAS: Reprocessable Thermosets for High Performance Composites 47.049 DMR-2308601 10,244 —

Northwestern University Materials Research Science and Engineering Center 47.049 DMR-2308691 8,322 —

Hybrid Bonding Polymers 47.049 DMR-2310178 43,550 —

Collaborative Research: Gel rupture under simple and dynamic loading: manipulation of failure mode via patterned heterogeneity in soft materials 47.049 DMR-2311698 9,405 —

K-Stability, Moduli Spaces and Singularities 47.049 DMS 2148266 001 3,729 —

Analysis on Manifolds 47.049 DMS-1502632-005 15,578 —

RTG: Interdisciplinary Training in Quantitative Biological Modeling 47.049 DMS-1547394-004 283,251 —

CAREER: Complexity of Disordered Systems 47.049 DMS-1653552 004 22,232 —

A Sheaf-Theoretic Approach to M5-Brane Geometry 47.049 DMS-1708503 7,513 —

(Continued)64

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Midwest Probability Colloquium 2017-2019 47.049 DMS-1744209-001 $ 7,520 —

Midwest Topology Seminar 47.049 DMS-1747457 4,782 —

Northwestern University Quantitative Biology Center (NUQuB) 47.049 DMS-1764421-004 542,408 —

Moduli of Galois representations and applications 47.049 DMS-1802037-002 15,176 —

Singularities and Smoothness in Geometric Partial Differential Equations 47.049 DMS-1809011 (197) —

Global Harmonic Analysis 47.049 DMS-1810747-002 28,156 —

Collaborative Research: Factorization Homology, Deformation Theory, and Duality 47.049 DMS-1812057-002 38,823 —

CAREER: An Integrated Inferential Framework for Big Data Research and Education 47.049 DMS-1841569/002 3,739 —

Collaborative Research: Adaptive Gaussian Markov Random Fields for Large-scale Discrete Optimization via Simulation 47.049 DMS-1854562 9,523 —

Problems in combinatorics and number theory via ergodic theoretic methods 47.049 DMS-1901453 18,369 —

Word distributions in groups 47.049 DMS-1902041 76,704 —

The 41st Stochastic Processes and Applications (SPA 2019) 47.049 DMS-1906251 16,329 —

Causeway Postbaccalaureate Program 47.049 DMS-1916410 191,202 —

FRG: Collaborative Research: Geometric Structures in the p-adic Langlands Program 47.049 DMS-1952678 AMD002 42,132 —

Collaborative Research: Variational inference approach to computer model calibration, uncertainty quantification, scalability, and robustness 47.049 DMS-1952897 4,925 —

Inducing and exploiting grid structures for fast, adaptive and accurate estimation 47.049 DMS-1953111 19,392 —

Nonlinear Partial Differential Equations and Geometry 47.049 DMS-2005311 59,809 —

Zero-Order and Stochastic Methods for Large-Scale Optimization 47.049 DMS-2011494 22,782 —

Novel Decomposition and Active-Set Techniques Enabling Scalable Computational Frameworks for Large-Scale Nonlinear Optimization Problems 47.049 DMS-2012410 60,483 —

Collaborative Research: High-Dimensional Decision Making and Inference with Applications to Personalized Medicine 47.049 DMS-2015568 003 19,392 —

CAREER: Rigidity of Group Actions on Manifolds 47.049 DMS-2020013 003 95,865 —

Linear Partial Differential Equations on Singular Spaces 47.049 DMS-2054424 95,716 —

Combinatorial and Algebraic Structures in Dynamics 47.049 DMS-2054643 76,188 —

Cyclotomic Spectra and p-Divisible Groups 47.049 DMS-2102010 125,392 —

Moduli Problems and Applications of Constructible Sheaves 47.049 DMS-2104087-001 108,281 —

Fractal Fourier Extension Estimates 47.049 DMS-2107729 3,516 —

Nonlinear dynamics of colloidal rotors: chaos and order 47.049 DMS-2108502

118,125 —

CAREER: Higher Brauer Groups and Topological Azumaya Algebras 47.049 DMS-2120005 (7,996) —

RTG: Dynamics: Classical, Modern and Quantum 47.049 DMS-2136217 270,632 —

REU Site: Quantitative Biology REU (QBREU) at Northwestern University 47.049 DMS-2150134 103,342 —

FRG: Collaborative Research: Higher Categorical Structures in Algebraic Geometry 47.049 DMS-2152235 23,193 —

Spin Glasses and Other Models of Disordered Media 47.049 DMS-2154076 48,608 —

Collaborative Research: AMPS: Robust Failure Probability Minimization for Grid Operational Planning with Non-Gaussian Uncertainties 47.049 DMS-2229410 55,042 —

W orkshops in Spectral Methods in Algebra, Geometry, and Topology 47.049 DMS-2230159 24,757 —

Dynamics of Lattice and Mean-Field Spin Systems 47.049 DMS-2246780 42,000 —

Quantized Lagrangian Submanifolds of Moduli Spaces and Representation Theory 47.049 DMS-2302624 55,662 —

Singularities of Minimal Hypersurfaces and Lagrangian Mean Curvature Flow 47.049 DMS-2306233 61,537 —

Abelian Varieties, Hecke Orbits, and Specialization 47.049 DMS-2337467 60,480 —

Institute for Data, Econometrics, Algorithms and Learning (IDEAL) 47.049 ECCS-2216970-001 349,764 —

The SuperCDMS at SNOLAB Operations Program 185 47.049 G002109-7500//2209186 84,878 —

Collaborative Research: A Mechanical Atlas for Embryogenesis at Single-Cell Resolution 47.049 MCB-2204237 52,866 —

Collaborative Research: Disciplinary Improvements: Creating a FAIROS Materials Research Coordination Network (MaRCN) in the Materials Research Data Alliance 47.049 OAC-2226417 34,514 —

Photochemical Strategies to Activate Far-Red Fluorescence with Green Light 248 47.049 OS00000274//CHE-1954430 29,715 —

Telecom-Band Rotational Cooling of a Heavy Molecular Ion 47.049 PHY – 1806861 002 67,479 —

Collaborative Research: Axion Resonant InterAction Detection Experiment (ARIADNE) – a renewal proposal 47.049 PHY 2111544 184,826 —

Collaborative Research: The SuperCDMS SNOLAB Experiment 47.049 PHY-1809730-003 20,958 —

Gravitational-Wave Inference from Binary Compact Objects 47.049 PHY-1912648 (1) —

Collaborative Research: Uncovering how riboswitches exploit out-of-equilibrium RNA folding pathways to make genetic decisions 47.049 PHY-1914567 002 114,853 —

Measuring gravity at the micron-scale with laser-cooled trapped microspheres: a renewal proposal 47.049 PHY-2110524 144,843 —

PM: Electron and Positron Magnetic Moments from a Quantum Cyclotron 47.049 PHY-2110565 180,821 —

Collaborative Research: The SuperCDMS at SNOLAB Science Program 47.049 PHY-2111324 001 77,515 —

Data Acquisition and Analysis for the MUonE Pilot Run 47.049 PHY-2111556-01 174,872 —

PM: Doped Inert Single Crystals for Probing Beyond the Standard Model 47.049 PHY-2207819 38,438 —

Gravitational-Wave Data Analysis and Population Inference 47.049 PHY-2207945 222,720 —

Q-Array Deployment and Science Analysis for the Ricochet Experiment 47.049 PHY-2209585 405,403 31,910

Collaborative Research NSF-ANR: Mechanisms of terminal erythroid enucleation 47.049 PHY-2210369 96,889 —

Universal Aspects of Quantum Entanglement in Higher Dimensional Disordered Quantum Magnets 47.049 PHY-2310706 28,842 —

The CSUF-led partnership for inclusion of underrepresented groups in gravitational-wave astronomy 34 47.049 S-7859_Northwestern//AST-2219109 4,022 —

Student Observing Support for Joseph Michail 20 47.049 SOSPADA-026//AST-1519126 9,931 —

NRAO Student Observing Support for Nycole W enner in Archival Studies of Star Formation in the Galactic Center Molecular Ring 20 47.049 SOSPADA-027//AST-1519126 4,965 —

CCI Phase I: NSF Center for Quantum Electrodynamics for Selective Transformations (QuEST) 260 47.049 SUB00000131AM1//UR FAO GR531225 124,871 —

Center for Integration of Modern Optoelectronic Materials on Demand (IMOD) 274 47.049 UWSC12982-1//2019444 85,354 —

17,586,529 425,032

Network Cluster CINet: Critical Interface Network in Intensively Managed Landscapes 237 47.050 101348-18067//EAR-2012850 75,024 —

NSFGEO-NERC: Collaborative Research: Developing a new Lower Cretaceous time scale: Foundation for the next generation of paleoceanographic 47.050 1951835 EAR-002 35,657 —

CAREER: triple-isotope approach to unraveling subsurface food webs 47.050 EAR 2042249 123,234 —

Collaborative Research: Evolution of Subsurface Microbe-Rock-Fluid Systems 47.050 EAR 2120912 75,618 —

Superdeep Diamonds from the Transition Zone and Lower Mantle 47.050 EAR-1853521 67,499 —

Collaborative Research: Dry Rifting In the Albertine-Rhino graben (DRIAR), Uganda 47.050 EAR-2021721-001 59,164 —

Effect of Pore Pressure Rate on Rate and State Frictional Slip In Experiments 47.050 EAR-2120374 63,952 —

NERC-NSFGEO SMARTWATER: Diagnosing controls of pollution hot spots and hot moments and their impact on catchment water quality 47.050 EAR-2331932 580 —

PREEVENTS Track 2: Collaborative Research: Defining precursors of ground failure: a multiscale framework for early landslide prediction through geomechanics and remote sensing 47.050 ICER-1854951 154,357 —

GP-IN: Graduate soft skills development through mentoring pre-university students through diverse geoscience 47.050 ICER-2023263 43,134 —

Focused CoPe: Strengthening Resilience of Manoomin, the Sentinel Species of the Great Lakes, with Data-Science Supported Seventh Generation Stewardship 47.050 RISE-2209226 96,509 36,917

794,728 36,917

Expeditions: Mind in Vitro – Computing with Living Neurons 237 47.070 108555-18951-01//IIS-2123781-002 138,429 —

Computing Innovation Fellows 2021 Project 54 47.070 2021 CIF-Northwestern-10//2127309 129,276 —

Computing Innovation Fellows 2021 Project – Fumeng Yang 54 47.070 2021CIF-Northwestern-45//2127309 130,958 —

(Continued)65

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

HDR Institute: Institute for Data Driven Dynamical Design 51 47.070 402052_5805-002//2118201 $ 108,226 —

CRI: CI-SUSTAIN: Racket on Alternative Platforms 144 47.070 502648-780501//CNS-1823244 (632) —

CAREER: Robot Learning from Motor-Impaired Instructors and Task Partners 165 47.070 81454 Amd 7//IIS-1552706 65,291 —

AitF: Collaborative Research: Algorithms for Probabilistic Inference in the Real W orld 47.070 CCF-1637585 (2,058) —

CAREER: Beyond W orst-Case Analysis: New Approaches in Approximation Algorithms and Machine Learning 47.070 CCF-1652491 004 194,182 —

Collaborative Research: TRIPODS Institute for Optimization and Learning 47.070 CCF-1740735 99,603 —

CAREER: SOlSTICe: Software Synthesis with Timing Contracts for Cyber-Physical Systems 47.070 CCF-1834701 002 93,955 —

CAREER: Design and Synthesis of Energy-efficient Time-domain Computing for Intelligent Edge Processing 47.070 CCF-1846424-002 86,622 —

SHF: Small: The Compiler-Architecture Solution to the Data Dependent, Circuit-Level Critical-Paths Variations 47.070 CCF-1908488 184,096 —

CIF: Small: Wireless Massive Access: From Fundamental Limits to Practical Design 47.070 CCF-1910168 40,947 —

HDR TRIPODS: Collaborative Research: Institute for Data, Econometrics, Algorithms and Learning . 47.070 CCF-1934931/001 270,464 —

Collaborative Research: AF: Medium: Design and Analysis of Models and Algorithms for Real-life Problems 47.070 CCF-1955351 003 180,621 —

Collaborative Research: CIF: Small: Convexification-based Decomposition Methods for Large-Scale Inference in Graphical Models 47.070 CCF-2007814 58,347 —

Collaborative Research: CIF: Small: A Unified Framework of Distributional Optimization via Variational Transport 47.070 CCF-2008827 39,363 —

SHF: Small: Development of Differentiable Memory Augmented Neural CPU Architecture for Cognitive Computing 47.070 CCF-2008906 180,180 —

Collaborative Research: PPoSS: Planning: Unifying Software and Hardware to Achieve Performant and Scalable Zero-cost Parallelism in the Heterogeneous Future 47.070 CCF-2028851-002 37,297 —

Collaborative Research: FET: Medium: Neuroplane: Scalable Deep Learning through Gate-tunable MoS2 Crossbars 47.070 CCF-2106964-001 & 002 136,609 —

Collaborative Research: PPoSS: Planning: A Disciplined Approach to Scaling in the Post-Moore’s Law Era 47.070 CCF-2118708 70,011 —

Collaborative Research: PPoSS: LARGE: Unifying Software and Hardware to Achieve Performant and Scalable Frictionless Parallelism in the Heterogeneous Future 47.070 CCF-2119069 002 205,204 —

Small: New Directions in Community Detection 47.070 CCF-2154100 76,722 —

SHF: Small: A Chip of "Happiness": Device-to-System Developments of Affective Computing for Human-in-the-loop Computer System 47.070 CCF-2208573 25,952 —

Collaborative Research: CIF: Medium: Learning to Control from Data: from Theory to Practice 47.070 CCF-2211210 10,846 —

AF: Small: Mechanism Design for the Classroom 47.070 CCF-2229162 135,086 —

CAREER: The Rational Programmer, An Investigative Method for Programming Language Pragmatics 47.070 CCF-2237984 29,840 —

Collaborative Research: SHF: Medium: Verifying Deep Neural Networks with Spintronic Probabilistic Computers 47.070 CCF-2311296 11,520 —

Interface-Aware Intelligence for Robot Teleoperation and Autonomy 47.070 CMMI-2208011 221,532 131,476

SCC-IRG Track 1: Strengthening Resilience of Ojibwe Nations Across Generations (STRONG) 47.070 CMMI-2233912 25,492 —

SaTC: CORE: Small: Efficient Logic Encryptions for Hardware IP Protection 47.070 CNS 2113704 121,014 —

CSR: Medium: Collaborative Research: Interweaving the Parallel Software/Hardware Stack 47.070 CNS-1763743 005 73,835 —

NeTS: Small: Incentivizing Internet-Scale Web Mining with Webcoin 47.070 CNS-1810582 206,543 —

CSR: Small: Development of Distributed Neural Processing Electronics for Whole-body Computing and Biomedical Sensor Fusion 47.070 CNS-1816870 97,694 —

Computer Science for All: Researcher Practitioner Partnerships Workshops (CS for All: RPP), Chicago and Los Angeles 47.070 CNS-1821362 532 —

SCC: I4all (interests for all): A smart socio-technical infrastructure to identify, cultivate, and sustain youth STEAM interests in a diverse midsized American city 47.070 CNS-1831685 (24,268) —

CPS: Synergy: Securing the Timing of Cyber-Physical Systems 47.070 CNS-1839511 (127) (127)

CAREER: Efficient Query Processing for Private Data Federations 47.070 CNS-1846447 003 94,265 —

CRII: CSR: Systems and Tooling Enabling Adaptive Intermittent Computing 47.070 CNS-1850496-002 (8,056) —

CNS Core: Small: Collaborative Research: The Interplay of Markets and Security in 5G Shared Spectrum Services 47.070 CNS-1908807 14,809 —

DCL: SaTC: Early-Stage Interdisciplinary Collaboration: Privacy Enhancing Framework to Advance Behavior Models 47.070 CNS-1915847 17,459 —

Envisioning Workshops for Computing in Undergraduate Education 47.070 CNS-1944777 45,635 —

Collaborative Research: MLW iNS: ANN for Interference Limited Wireless Networks 47.070 CNS-2003098 71,534 —

Collaborative Research: SaTC: CORE: Medium: Quicksilver: a W rite-oriented, Private, Outsourced Database Management System 47.070 CNS-2016240 59,668 —

Collaborative Research: Chameleon: A Large Scale, Reconfigurable Experimental Environment for Cloud Research 47.070 CNS-2027173 002 87,158 —

COVID-19: RAPID: Internet Traffic and Compliance with Government Stay-at-Home Measures 47.070 CNS-2027922 7,456 —

CPS: Medium: Batteryless Sensors Enabling Smart Green Infrastructure 47.070 CNS-2038853 229,948 —

SCC-CIVIC-PG Track B: Strengthening Resilience of Ojibwe Nations across Generations (STRONG): Sovereignty, Food, W ater, and Cultural (in)Security 47.070 CNS-2044053 2,944 —

CAREER: Designing for Learning at the Intersection of Sports, Analytics and Physical Computing 47.070 CNS-2047693-001 57,951 —

Collaborative Research: CNS Core: Medium: On the Criticality of the Submarine Cable Network 47.070 CNS-2107392-002 148,834 —

Collaborative Research: CNS Medium: Systems Foundations for Battery-free Body Area Intelligence and Sensing 47.070 CNS-2107400 43,944 —

SCC-PG: Improving healthcare access in marginalized communities through smart connected technologies 47.070 CNS-2125488 103,273 —

CAREER: Enabling Dynamic, Adaptive, and Reliable Battery-free Embedded Computing 47.070 CNS-2145584-001 299 —

RINGS: Accelerating the NextG Protocols Definition to Code Generation with an Automatic and Secure Verification-Compilation Tool-Chain 47.070 CNS-2148177 001 120,023 —

RINGS: Robust and Resilient W ireless Networks using Next Generation Spectrum 47.070 CNS-2148183 002 (1,023) —

CNS Core: Medium: A Systems and User-based Approach to Floating Point Correctness and Resilience 47.070 CNS-2211315-001 53,374

—

Collaborative Research: CNS Core: Medium: The Privacy Backplane – A Full Stack Approach to Individualized Privacy Controls Throughout the Internet-of-Things 47.070 CNS-2211508 53,367 —

SaTC: CORE: Small: Collaborative: Towards Facilitating Kernel Vulnerability Reproduction by Fusing Crowd and Machine Generated Data 47.070 CNS-2221122 105,449 —

Collaborative Research: SaTC: CORE: Small: Towards Label Enrichment and Re¿nement to Harden Learning-based Security Defenses 47.070 CNS-2225225 57,101 —

CAREER: Securing Deep Reinforcement Learning 47.070 CNS-2225234 002 107,406 —

CNS Core: Small: Enabling Streaming Analytics at the Network Edge 47.070 CNS-2226107 48,757 —

FMSG: Distributed Surface Patterning Through a Cohort of Robots 47.070 CNS-2229170 96,438 —

Collaborative Research: CNS Core: Small: Accelerating Serverless Cloud Network Performance. 47.070 CNS-2229454 72,818 —

CAREER: Pushing the Practicality of Secure Multiparty Computation 47.070 CNS-2236819 19,119 —

CHS: Small: Computer-supported Collective Deliberation for the Future of W ork 47.070 IIS 2008450 115,814 —

NSF Cyberlearning: Context-Aware Metacognition Practice: Instrumenting Classroom Ecosystems to Help Introductory Computer Science Students Develop Effective Learning Strategies 47.070 IIS 2016900 100,139 —

Collaborative Research: HCC: Medium: TouchBots for Surface Haptics 47.070 IIS 2106191 225,944 —

HDR DSC: Collaborative Research: The Metropolitan Chicago Data Science Corps (MCDC): Learning from Data to Support Communities 47.070 IIS 2123447-003 146,251 —

CAREER: Understanding and addressing geographic inequalities in location-aware technologies 47.070 IIS-1707296-003 34,174 —

EXP: Readily Available Learning Experiences: Turning the Entire Web into Scaffolded Examples to Bridge Conceptual Knowledge Gaps for Novice Web Developers 47.070 IIS-1735977 (10) —

CHS: Small: Collaborative Research: Structured Data Peer Production: Addressing Challenges and Leveraging Opportunities 47.070 IIS-1815507/001 13,199 —

RI: Small: A Unified Compositional Model for Explainable Video-based Human Activity Parsing 47.070 IIS-1815561 83,269 —

Making Minecraft Multimodal: A Naturalistic Platform for Collaborative Learning and Creating 47.070 IIS-1822865-002 2,542 —

Collaborative Research: NCS-FO: Discovering dynamics in massive-scale neural datasets using machine learning 47.070 IIS-1835345 3,507 —

BIGDATA: IA: Collaborative Research: Asynchronous Distributed Machine Learning Framework for Multi-Site Collaborative Big Brain Data Mining 47.070 IIS-1837999 9,379 —

CAREER: Computational Journalism: Integrating Algorithms and People in the Production of News Information 47.070 IIS-1845460-006 164,823 —

CHS: Medium: Next Generation Content Production Tools for People with Vision Impairments 47.070 IIS-1901456-005 175,107 27,674

CHS: Medium: Collaborative Research: Empirically Validated Perceptual Tasks for Data Visualization 47.070 IIS-1901485 104,408 —

CHS: Small: Collaborative Research: Representing and Learning Visualization Design Knowledge 47.070 IIS-1907941 150,187 —

CHS: Small: Collaborative Research: Modeling the Ecological Dynamics of Online Organizations 47.070 IIS-1910202-002 53,354 —

CAREER: Enhancing Critical Reflection on Data by Integrating Users’ Expectations in Visualization Interaction 47.070 IIS-1930642 /005 140,561 —

CAREER: Transforming Online Scholarly Communication with Networked Crowd Computation 47.070 IIS-1943506 003 37,319 —

Collaborative Research: RI: Medium: Living Architectures: From Army Ants to Self-Assembling Robot Swarms 47.070 IIS-1956019 22,034 —

(Continued)66

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

RI: Small: Extracting and Representing Commonsense Knowledge Using Language Models 47.070 IIS-2006851 $ 118,597 —

RI: Small: Visual Reasoning and Self-questioning for Explainable Visual Question Answering 47.070 IIS-2007613 180,427 —

Collaborative Research: NRI: FND: Flying Swarm for Safe Human Interaction in Unstructured Environments 47.070 IIS-2024615 112,831 —

CAREER: Towards Intelligent Learning Environments that Support the Practice of Programming 47.070 IIS-2045809 40,933 —

Collaborative Research: RI: Medium: Thermal Computational Imaging 47.070 IIS-2106786 56,308 —

Collaborative Research: HCC: Medium: Intelligent support for non-experts to navigate large information spaces 47.070 IIS-2107334 132,912 —

HCC: Medium: Visual Processing Capacity in Dynamic Data 47.070 IIS-2107490 82,703 —

Supporting Computational Literacy by Designing a Collaborative Platform at the Intersection of Music and Code 47.070 IIS-2119701 304,153 56,052

CHS: Small: Collaborative Research: Validating and Communicating Model-based Approaches for Data Visualization Ability Assessment 47.070 IIS-2120750-000 1,267 —

NCS-FO: The Biology and Technology of Online Planning 47.070 IIS-2123725 407,000 —

CHS: Small: Developing a Probabilistic Grammar of Graphics for Flexible Uncertainty Visualization 47.070 IIS-2126598 131,435 90,922

Collaborative Research:HCC:Small: Science communication in the ecosystem of digital media platforms 47.070 IIS-2133963 70,059 —

Collaborative Research: HCC: Designing Technologies for Marginalized Communities 47.070 IIS-2210844 6,776 —

HCC: Medium: Improving model-driven reasoning in data analysis by facilitating multiverse analyses 47.070 IIS-2211939 99,159 —

NRI: Shape-Based Remote Manipulation 47.070 IIS-2221571 84,770 —

CyberTraining: CIU: The LSST Data Science Fellowship Program 47.070 OAC-1829740 94,677 —

Collaborative Research: Framework: Data: HDR: Nanocomposites to Metamaterials: A Knowledge Graph Framework 47.070 OAC-1835782 175,130 —

Collaborative Research: Frameworks: Multiphase Fluid-Structure Interaction Software Infrastructure to Enable Applications in Medicine, Biology, and Engineering 47.070 OAC-1931372 40,808 —

Mid-scale RI-1 (M1:IP):SAGE: A Software-Defined Sensor Network 47.070 OAC-1935984 12 3,146,397 382,016

Multi-scale Modeling of Accretion and Jets in Active Galactic Nuclei 47.070 OAC-2031997 2,715 —

S&AS: INT: Autonomous Multi-Robot Visual Monitoring for Urban, Agricultural, and Natural Resource Management 221 47.070 S-001096//IIS-1724341 83,081 —

Expeditions: DISCoVER: Design and Integration of Superconducting Computation for Ventures beyond Exascale Realization 263 47.070 SCON-00003341 Amnd 1//CCF-2124453 35,573 —

Frameworks: Bayesian Analysis for Nuclei in Diverse Theories 151 47.070 UT21727 Amnd 2//OAC-2004601 580 —

12,159,446 688,013

Quantifying the Prevalence and Phenotypic Consequences of Transcriptional Irreversibility in Bacteria 271 47.074 7GMO 230921 PO 0000002785//2206974 148,388 —

Collaborative Research: Hyaluronan, NRF2 and Protracted Female Fertility in Long-lived Naked Mole-Rats 56 47.074 91778-20440//IOS-2005919 12,462 —

REU Site: Synthetic Biology (SynBREU)

47.074 DBI-1757973 27,734 —

CSBR: Living Stocks – Enhancement of the Caenorhabditis Natural Diversity Resource 47.074 DBI-1930382 (34,615) —

Collaborative Research: IIBR Instrumentation: The Nanosizer – A new tool for the preparation of arbitrary bioactive surfaces 47.074 DBI-2032180-002 183,823 —

Capacity: Biological Collections: Enhancement of the Caenorhabditis Natural Diversity Resource 47.074 DBI-2224885-001 69,696 —

EAGER: Integrating host-associated microbes into trait-based community ecology frameworks 47.074 DEB-1938302-001 17,838 —

Integrative W ildlife Nutrition: From Molecules and Microbes to Macro-Ecology 47.074 DEB-2217317 248,966 131,848

National Institute for Theory and Mathematics in Biology 47.074 DMS-2235451 135 —

Collaborative Research: MTM 1: Decoding the genomic rules of denitrification in bacterial communities 47.074 EF-2025521 32,955 —

URoL:EN: Towards a unified theory of regulatory functions and networks across biological and social systems 47.074 EF-2133863 122,721 —

Mechanisms of sensory control of developmental rate 47.074 IOS- 1755244 157,330 —

Reticulospinal Execution of Innate Decision-Making 47.074 IOS-1456830 (7,081) —

The Vibrissotactile Natural Scene 47.074 IOS-1558068 (6,924) —

CAREER: Discovery of the molecular mechanisms underlying microevolution of phenotypic plasticity in a developmental trait 47.074 IOS-1751035-003 126,367 —

CAREER: Mapping the proteomic landscape of neural systems. 47.074 IOS-1846234-004 46,261 —

Collaborative Research: EAGER: Customized cell biosensors for interrogating cancer cell physiology 47.074 MCB-1745753 (5,491) —

Biophysical Studies of Metalloenzymes 47.074 MCB-1908587 114,010 —

Novel determinants of prokaryotic copper homeostasis 47.074 MCB-1938715 192,526 —

CAREER: Uncovering new rules of multicellular life using synthetic microbial communities 47.074 MCB-2239567 68,545 —

BII: New Roots for Restoration: Integrating plant traits, communities, and the soil ecosphere to advance restoration of natural and agricultural ecosystems 41 47.074 NU.SP0067132//2120153 61,507 —

NeuroNex: Communication, Coordination, and Control of Neuromechanical Systems (C3NS) 38 47.074 RES515698 // DBI-2015317 295,945 —

1,873,098 131,848

Unpacking Compound Treatments in Email Audit Experiments, with an Application to Racial Discrimination in Access to Justice 176 47.075 00002905//SES-2217522 27,440 —

Diversity and Networking in Law School: Are Law Students from Diverse Backgrounds Disadvantaged? 218 47.075 2022-1652//SES-2147011 Amd 1 8,339 —

Doctoral Dissertation Research: Active assignment of quantifier scope guides language processing 47.075 BCS 2116989 1,707 —

The Development of Relational Processing in Infancy 47.075 BCS-1729720 (2,192) —

Surviving the Terminal Classic Maya Collapse: Settlement and Household Archaeology at Aventura, Belize 47.075 BCS-1732129 35,168 —

NCS-FO: Collaborative Research: Understanding the neural basis for sensorimotor control loops using whisker-based robotic hardware platforms 47.075 BCS-1734981 32

—

Doctoral Dissertation Research: Ritual, Network Formation, and Governance among Displaced Communities 47.075 BCS-1851195 2,646 —

LEARNING, CREATIVE PROBLEM-SOLVING, REM SLEEP, AND AWARENESS OF DREAMING. 47.075 BCS-1921678-002 11,310 —

CAREER: Stereotypes of Teens and Adolescent Neuropsychological Development 47.075 BCS-1944644-002 80,290 —

Memory and context effects on representations of variation in phrasal intonation 47.075 BCS-1944773 65,666 —

Doctoral Dissertation Improvement Award: Urban Longevity and Social Inequality 47.075 BCS-1946385 7,239 —

Collaborative Research: The Chicagoland Language Project 47.075 BCS-2017716 65,123 —

COVID-19: RAPID: Generating knowledge with next phase serological testing for SARS-CoV-2 47.075 BCS-2035114 (1,821) —

Collaborative Research: Using AI-enabled Smart Blocks to Understand and Support Spatial Reasoning and Learning 47.075 BCS-2040421 61,668 —

Doctoral Dissertation Research: The influence of the social environment on the infant skin microbiome 47.075 BCS-2041600 20,152 —

NSF-BSF: Linking theta with offline memory consolidation: A bridge from wake to sleep 47.075 BCS-2048681 251,410 97,159

From sensation to symptom: The social shaping of functional illness experience 47.075 BCS-2051512 AMD 2 82,693 —

Doctoral Dissertation Research: Role of Prior Knowledge in Consolidation of Novel Phonotactic Patterns for Speech Production 47.075 BCS-2116802 (1,099) —

Doctoral Dissertation Research: High school choice and the social meanings of NCS reversal in Chicago 47.075 BCS-2116957 1,509 —

Doctoral Dissertation Research: The effects of experience and attitudes on heritage bilinguals’ language processing 47.075 BCS-2141430 12,350 —

Collaborative Research: An archaeological examination of the cultural and ecological consequences of colonialism 47.075 BCS-2150876 6,467 —

Doctoral Dissertation Research: Intonational Cues in Emotional Contexts 47.075 BCS-2215338 6,695 —

Doctoral Dissertation Research: Food Security Under Colonial Rule at Transconquest Purun Llaqta del Maino, Peru 47.075 BCS-2219566 12,777 —

Doctoral Dissertation Research: Community Building with Local Mortuary Ceramics in Long-Distance Economies: A Compositional Study on Ancient Aksum (50-400 AD) 47.075 BCS-2227814 3,704 —

Collaborative Research: International Migration and Fertility: Towards a Multidimensional Understanding 47.075 SES 1918274 3,285 —

Tribal Constitutions: Constructing Power by Developing Structures of Self-Governance 47.075 SES 2044007 134,366 —

The Network Structure of Police Misconduct 47.075 SES 2049513-003 69,178 —

CAREER: Bridging the STEM Skills and Employment Gap for the Future of Work 47.075 SES 2239538 002 28,393 —

Fiduciary Duty, Financial Regulation, and the Market for Retirement Products 47.075 SES-1824463 49,366 —

Applications of Dynamic Information Design 47.075 SES-1851883 48,469 —

Collaborative Research: Evidence in Economic Models 47.075 SES-1919494 (8,360) —

(Continued)67

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Collaborative Research: Transparency and the Rule of Law: A Field Experiment in Ukraine 47.075 SES-1921294/002 $ 27,876 —

Workshop: Human technology partnerships and the changing nature of work 47.075 SES-1940668 Amd 2 33,668 —

Monotone Methods in Reputations: Behavioral Predictions and Reputation Sustainability 47.075 SES-1947021 134,241 —

Collaborative Research: Time-Sharing Experiments for the Social Sciences (TESS): Proposal for Renewed Support, 2020-2023 47.075 SES-2017581-005 387,102 241,723

Understanding the Long-Run Effects of School Desegregation on Political and Social Preferences 47.075 SES-2018869 36,052 —

Collaborative Research: Social Norms, Trust and the Inter-generational Flow of Innovations in a Developing Country 47.075 SES-2019086 (7,777) —

COVID-19: RAPID: Quantifying the Downstream Effects of COVID-19 Online Misinformation on Risk Perceptions, Decision-making, Policy Preferences, and Preventive Health Behaviors 47.075 SES-2031705 11,192 —

Doctoral Dissertation Research in Economics: The Heterogeneous Effects of Student Loans 47.075 SES-2049909 24,000 —

COVID-19: Surveying the Effect of COVID-19 on Trust 47.075 SES-2051194 31,516 —

COVID-19: The Next Normal for Teaming: Transitioning Out of COVID-19 47.075 SES-2052366 133,893 —

COVID-19: Collaborative Research: U.S. institutions after COVID-19: Trust, accountability, and public perceptions 47.075 SES-2116465 40,214 —

A Large-Scale Analysis of Mergers and Merger Simulations 47.075 SES-2116934 96,556 —

Career: Information, Algorithms, and Learning 47.075 SES-2145352 115,714 —

Collaborative Research: New Techniques for High-Dimensional and Incomplete Network Data 47.075 SES-2149422 68,846 —

HNDS-R – Collaborative Research: An Integrated Analysis of the COVID-19 Crisis on Labor Market Outcomes and Mortality 47.075 SES-2242472 26,880 —

Private Disclosures in Competing Mechanisms 47.075 SES-2315652 50,400 —

Safe Bets and Risky Propositions: Leveraging Rich Data to Understand Scientific Diversity, Impact, and Potential of Teams 47.075 SMA-1856090 152,431 —

Production, Migration, & Differentiation: Analyzing the Co-Evolution of Careers & Knowledge Production 47.075 SMA-1934313 120,949 —

SCISIPBIO: A data-science approach to evaluating the likelihood of fraud and error in published studies 47.075 SMA-1956338 (15) —

Collaborative Research: Identifying Reproducible Research Using Human-in-the-loop Machine Learning 47.075 SMA-2022466 (144) —

COVID-19: RAPID: Impact of the Covid-19 Pandemic on the Biomedical Research W orkforce: Productivity and Progress in Academia 47.075 SMA-2035112 AMD 001 13,471 —

2,581,035 338,882

Retrieval Practice Scaffolded Argumentation to Facilitate Problem Solving on Structured and Semi-Structured Tasks in Introductory Undergraduate Physics 161 47.076 10002112-005//DUE-2111138 001 27,831 —

Teachers and Students Synergistic Learning Through Youth Participatory Science 236 47.076 16774-03//DRL 1720856 15,036 —

Collaborative Research: Data in Space and Time: Supporting learners in understanding and analyzing spatiotemporal data 55 47.076 378.23.02//DUE-2201154 23,654 —

AGEP National Research Conference 2020: Sustaining, Institutionalizing and Scaling AGEP Alliance Models and Initiatives 26 47.076 4500002984//HRD-1841978 2,524 —

Collaborative Research: NSF INCLUDES Alliance: An Alliance to Develop an Inclusive and Diverse National Faculty for Broadening Success of Underrepresented 2-Year and

4-Year STEM Students

21 47.076 Agmt 5/16/19//HRD-1834518 65,471 —

Fostering AI Literacy through Embodied Interaction and Creativity across Informal Learning Spaces 85 47.076 AWD-003891-G1//2214463 61,628 —

REU Site: Synthetic Biology at Northwestern: From Molecules to Society (SynBREU2.0) 47.076 DBI-2150269-001 152,065 —

Graduate Research Fellowship Program (GRFP) 47.076 DGE – 1842165-003 17,333 —

NRT-URoL: Synthesizing Biology Across Scales – A Convergent Synthetic Biology Training Program 47.076 DGE 2021900 592,002 —

Graduate Research Fellowship Program (GRFP) 47.076 DGE-2234667 AMD 1 4,463,876 —

Collaborative Research: Professional Learning to Support Teacher Customizations of 3D Science Curriculum Materials for Equitable Student Sensemaking 47.076 DRL 2101377 001 233,599 —

Synthesizing Research on Spatial Taxonomies 47.076 DRL 2135743 24,268 —

Collaborative Research: Adapting and Implementing a Geospatial High School Course in Career and Technical Education Clusters in Urban Settings 47.076 DRL-1759360 27,011 —

Collaborative Research: Next Generation Science Standards (NGSS) and Designing School System Educational Infrastructure to support Elementary School Science Instruction 47.076 DRL-1761057-002 259,603 —

Methods for assessing replication 47.076 DRL-1841075 221,152 —

“CT-ifying” the High-School Science Curriculum to Broaden Participation in Computational Science 47.076 DRL-1842374-001 191,325 —

Building theories of scientific phenomena: Comparing and Integrating aggregate pattern-based and agent-based computational approaches 47.076 DRL-1842375 175,714 33,273

Collaborative Research: Strategies: Building a Learning Ecology to Increase STEM Participation Among Middle School Girls 47.076 DRL-1850543 (1,010) —

Collaborative Research: Making Space for Story-Based Tinkering to Scaffold Early Informal Engineering Learning 47.076 DRL-1906808 74,009 —

Collaborative Research: Investigating a Nested Mentoring Model Designed to Support STEM Skill and Identity Development for Middle School Youth, Scient 47.076 DRL-1906971-004 137,423 28,976

Collaborative Research: Modern Meta-Analysis Research Institute 47.076 DRL-1937633 30,342 —

Improving Evaluations of R&D in STEM Education 47.076 DRL-1937719 156,223 —

An investigation of the impact of culture and experience on reasoning about complex ecological phenomena among students from diverse backgrounds 47.076 DRL-1946478 168,475 —

Computational Thinking and Physical Computing in Physical Education 47.076 DRL-2031467-001 453,162 —

Collaborative Research: Mastery in Out-of-School-Time (MOST): Documenting STEM Learning to Expand Educational Pathways 47.076 DRL-2115326 282,087 —

Collaborative Research: Leveraging the Power of Reflection ... 47.076 DRL-2115905 92,738 —

Collaborative Research: Intergenerational Learning, Deliberation, and Decision Making For Changing Lands and W aters 47.076 DRL-2115963 228,441 —

Collaborative Research: Learning in Places: PK-5+ Field Based Science Education Across Schools, Families, and Communities 47.076 DRL-2201253 260,493 80,402

Developing Methods for Neurally-Informed Curriculum Design Based on Long-term Outcomes from a Spatial STEM Classroom 47.076 DRL-2201307 26,768 —

Collaborative research: Analogy Training to Promote Science Learning 47.076 DRL-2201894 001 153,337 —

NSF-BSF-NCS-FO: Enhancing speech and deep learning research through holistic acoustic analysis 47.076 DRL-2219843

108,924 —

Collaborative Research: IUSE: EHR – Inclusive Learning and Teaching in Undergraduate STEM Instruction 47.076 DUE-1821684/003 228,552 23,238

Collaborative Research: AGEP Transformation Alliance: CIRTL AGEP – Improved Academic Climate for STEM Dissertators and Postdocs to Increase Interest in Faculty Careers 47.076 HRD-1647146-005 4,392 —

CAREER: Investigation of Undergraduate Learning Contexts Considering Ethical, Racial, and Disciplinary Identities of Students in Engineering and Computer Science 47.076 HRD-1855494-002 110,405 —

Ice Worlds: A Giant Screen Film and Outreach Project 88 47.076 IWNU1//DRL-2116070 65,731 —

Barry University Engaged STEM Scholars (ESS) Program 22 47.076 NSF-1930076 ESS-Sub 1//DUE-1930076 7,813 —

Facilitating Teacher Learning with Video Clips of Instruction in Science 78 47.076 R000002772//2000833 AMND NO. 1 566 —

CREST Partnership Supplement 200 47.076 S23-0901-Nu(505519)//1614745 4,280 —

Sound Travels: Research in Service to Practice 197 47.076 Terc Project #12961//2215101 29,904 —

Learning in Places: Field Based Science in Early Childhood Education 274 47.076 UWSC11018 Amd. #3//DRL-1720578 AM 004 (899) —

Improving the STEM preparation of K-5 preservice teachers through a project-based, interdisciplinary approach 274 47.076 UWSC13096//DUE-2111261 66,200 —

9,242,448 165,889

Seasonality of Abrupt Climate Change over Greenland: Direct Tests for the Younger Dryas and 8.2 ka event using Paleolimnology 47.078 OPP-2002515 130,522 —

Collaborative Research: Climate Change and Human Adaptation in Arctic-like Environments across the Pleistocene-Holocene Transition 47.078 OPP-2305723-001 17,089 —

147,611 —

Collaborative Research: NSF-BSF: WoU-MMA: Crossing the Chasm: From Compact Object Mergers to Cosmic Fireworks 47.079 AST-2107839 66,225 —

PIRE: Computationally-Based Imaging of Structure in Materials (CuBISM) 47.079 OISE-1743748 412,428 —

478,653 —

MRI: Development of Multi-Material Printing and Multi-Modal Sensing Capabilities for Directed Energy Deposition 47.083 CMMI-2216298 66,068 —

A1: Systemic Content Analysis of Litigation Events (SCALES) Open Knowledge Network to Enable Transparency and Access to Court Records 47.083 ITE-2033604 003 1,223,315 183,215

Collaborative Research: GCR: Accelerated Discovery of Synthetic Biological Materials 47.083 QIA-2219149 55,570 —

1,344,953 183,215

(Continued)68

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

A National Network for Critical Technology Assessment: A First-Year Pilot 37 47.084 1123649-464363//2241237 $ 150,000 —

Machine learning powered simulation of additive manufacturing for real-time design and process optimization 75 47.084 AGMT 11/23/22//TI-2151667 11,488 —

NSF Convergence Accelerator Track H: Mobility Independence through Accelerated W heelchair Intelligence 47.084 ITE-2236354 246,132 —

407,620 —

Total National Science Foundation 58,174,941 3,484,686

U.S. Agency for International Development:

MOMENTUM 2C – ACCEL 89 98.001 115423.5116109//7200AA20CA00003 85,636 —

Comparing HIV Mucosal Targets in US and Kenyan Populations 105 98.001 7503// AID-OAA-A-16-00032 239,696 —

COVID-19: Impact of COVID-19 on Food Security 117 98.001 A00-1012-S002/7200AA18LA00003//AID-OAA-L-14-00006 23,283 —

Rule of Law Activity in Georgia 68 98.001 G-1977-22-100-3047-20//72011422CA00001 41,117 —

Total U.S. Agency for International Development 389,732 —

U.S. Intelligence Community

Office of the Director of National Intelligence:

Tailoring NIR/IR-Light Absorbing Conjugated Polymers for Mechanically and Environmentally Robust Electrochromic Devices 149 12.RD Marks AGMT 9/21/22 6,787 —

Total U.S. Intelligence Community 6,787 —

Total Research and Development 678,446,269 104,068,730

Student Financial Assistance:

Department of Education:

Federal SEOG 2022-2023 84.007 P007A221246 2,186,241 —

Federal W ork-Study Administrative Cost Allowance FY22 84.033 288,239 —

Federal Work-Study 2021-2022 84.033 P033A21146 602,975 —

Federal Work-Study 2022-2023 84.033 P033A221246 2,667,925 —

Federal Work-Study 2023-2024 84.033 P033A231246 27,071 —

3,586,210 —

Federal Perkins Loans – Outstanding as of 9/1/22 84.038 8,171,877 —

Federal Pell Grant 2021-2022 84.063 P063P211371 (887) —

Federal Pell Grant 2022-2023 84.063 P063P221371 9,403,383 —

9,402,496 —

Federal Direct Loan Program 2021-2022 84.268 P268K221371 14,448 —

Federal Direct Loan Program 2022-2023 84.268 P268K231371 193,582,362 —

Federal Direct Loan Program 2023-2024 84.268 P268K241371 5,266,079 —

198,862,889 —

Health Professionals Student and Primary Care – Outstanding as of 9/1/22 93.342 133,783 —

Total Department of Education 222,343,496 —

Total Student Financial Assistance 222,343,496 —

N/A:

Corporation for National and Community Service:

Jumpstart Northwestern 115 94.006 27102302022 74,797 —

Total Corporation for National and Community Service 74,797 —

Department of Education:

COVID-19: Student Aid Portion for Public and Nonprofit Institutions-Northwestern University 84.425E P425E205897 (198,000) —

Total Department of Education (198,000) —

Department of Health and Human Services:

Administration for Community Living:

Age Friendly Chicago – Alzheimer’s Disease Program Initiative 42 93.470 Invoice 2/26/21 28,661 —

Centers for Disease Control and Prevention:

State Unintentional Drug Overdose Reporting 2023 100 93.136 33382002K 1,249,072 94,776

Advancing Surveillance of Violent Deaths Using the National Violent Death Reporting System (NVDRS) 93.136 5 NU17CE010141-02-00 456,201 —

Collecting Violent Death Information Using National Violent Death Reporting System (NVDRS): Illinois 93.136 6 NU17CE010031-02-02 11,870 8,728

Overdose Data to Action, Strategy 2: Statewide Unintentional Drug Overdose Reporting System 100 93.136 AGMT 23282003J-A1//NU17CE924980 128,487 30,433

1,845,630 133,937

Surveillance of antimicrobial-resistant Gram negative bacteria and fungi in a Pakistan health care system 93.318 5 NU3HCK000007-03-00 456,479 270,643

CDPH W astewater Surveillance 2-Year Demonstration Project 236 93.323 18840//6 NU0CK000556-02-03 125,254 —

Implementation of Core Elements of Antimicrobial Stewardship in Outpatient Settings 100 93.323 32680009K-1 132,287 —

COVID-19: Project No. 90: Evaluation of Shelter-Based Services Teams 43 93.323 6 NU0CK000556-02-03 // TOR# 51549-41-TSK-00009 – P 14,455 —

271,996 —

CSTE Injury Data Science 57 93.421 7618//5NU38OT000297 (3,238) —

COVID-19: COVID-19 Electronic Health Data Initiative 195 93.421 Agmt# 03/07/21//NU38OT000316-03-02 3,595 —

357 —

Improving the Health of Illinoisans Through Chronic Disease Prevention (ENRICH) 100 93.426 33286008K//5NU58DP006511-05-00 48,308 —

Illinois Cancer Alliance to Reduce mortality and Enhance Screening (CARES) 226 93.800 AWD101193 (SUB00000357)//5NU58DP006764-03-00-amd2 16,092 —

Center for the Evaluation of the Chicago HIV Services Portfolio 43 93.940 51549 TOR 666//NU62PS924560-01-00 192,717 24,587

(Continued)69

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

Integrated HIV Surveillance and Demonstration 2022 43 93.940 98537//NU62PS5924560 $ 422,449 358,000

Evaluation of Chicago’s Community HIV Services Portfolio 43 93.940 Agreement No. 51549 TOR 668 87,676 6,704

702,842 389,291

W orking together to reduce disparities and improve outcomes for all birthing people and newborns across Illinois 93.946 1 NU58DP007250-02-00 231,237 84,378

Illinois Perinatal Quality Collaborative Working Together for Healthier Moms and Babies in Illinois 93.946 5 NU58DP006360-05-00 206,090 115,777

COVID-19: ILPQC CDC (FY) 2021 COVID-19 Supplemental funds 93.946 5 NU58DP006360-05-00 65,243 30,901

CDC Supplement: ILPQC MNO Initiative additional support for provider education and safe discharge planning 93.946 6NU58DP006360-03-01 11,387 6,668

513,957 237,724

Centers for Medicare & Medicaid Services:

Medicaid 1115 SUD W aiver Evaluation Project (Federal Portion) 292 93.RD 18-489-NU-2//BMS2200000011 28,649 —

Health Resources and Services Administration:

I PROMOTE ILLINOIS (Innovations to ImPROve Maternal OuTcomEs in Illinois) 236 93.110 17747//5U7AMC33720-03-00 AMD 02 37,644 15,405

ACOG Alliance for Innovation on Maternal Health (“AIM”) 9 93.110 Agmt 02/06/2020//UC4MC28042 8,411 —

46,055 15,405

Evaluation of HIV Services Portfolio 43 93.686 51549 TOR 666//6UT8HA33950-02-01 14,985 —

Quality Management of HIV Prevention Services in Chicago 43 93.686 TO 700 HSRA//5 UT8HA33950-03-00 32,313 —

47,298 —

Home Visiting Research and Development Platform 114 93.870 2005590860//UD5MC30792 63,199 —

Mothers and Babies Training and Technical Assistance 99 93.870 FCSBV04131 47,980 —

111,179 —

Evaluation of HIV Services Portfolio 43 93.914 51549 TOR 666 // H89HA00008 87,559 —

Quality Management of HIV Prevention Services in Chicago 43 93.914 51549 TOR 700//H89HA00008 318,050 60,610

405,609 60,610

Illinois Perinatal Quality Collaborative (ILPQC) Title V Federal 100 93.994 36380001 K 283,556 180,147

National Institutes of Health:

Zenodo and the Generalist Repository Ecosystem Initiative (GREI) 93.RD 3OT2DB000013-01S1 97,593 —

Office of the Assistant Secretary for Health:

Increasing Minority Participation and Awareness in Clinical Trials+ (IMPACT+) 122 93.137 8130-300-2551-50 Amnd 2//1CPIMP211305 27,687 —

The Deep South Lupus Health Equity Project (DS-LHEP) 213 93.137 A21-0567-S001-A01-1//5CPIMP211309-02-00 2,019 —

Training to Increase Minority Enrollment in Lupus Clinical Trials with CommunitY Engagement (TIMELY) 10 93.137 Agmt 10-11-2022//5CPIMP211307-02-00 10,382 —

40,088 —

Substance Abuse and Mental Health Services:

Addiction Technology Transfer Center of New England 31 93.243 00002166//6UR1TI080209-05S1 80,977 —

Center for Child Trauma Assessment, Services and Interventions 93.243 5U79SM080018-05 3,923 —

84,900 —

Total Department of Health and Human Services 4,906,046 1,287,757

Department of Homeland Security:

Federal Emergency Management Agency (FEMA) Public Assistance Grant Agreement 101 97.036 4489DR-IL//031-U5JYM-00 1,280,096 —

Total Department of Homeland Security 1,280,096 —

Department of State:

Mandela Washington Fellowship for Young African Leaders – Leadership Institute 106 19.009 FY22-YALI-BE-NWU-08//S-ECAGD-21-CA-3082 2,119 —

Total Department of State 2,119 —

Department of the Treasury:

Training and Technical Support to ICJIA Violence Prevention & Intervention Grantees 98 21.027 #822037//SLFRP4406 526,418 —

COVID-19: Surveillance of Pathogens in Sewage in Oklahoma City in 2022 256 21.027 2022-63 // Agr signed 03/01/2022 14,662 —

Total Department of the Treasury 541,080 —

National Aeronautics and Space Administration:

NASA Langley Research Center

RFQ T3-0687-FY22: TI-21-01685 Independent Technical Assessment of NASA and External Quantum Sensing Capability 15 43.RD TEAMS3-Northwestern University-R06//80LARC17C0003 30,423 —

Total National Aeronautics and Space Administration 30,423 —

National Foundation of the Arts and Humanities:

National Endowment for the Arts:

A Site of Struggle: Making Meaning of Anti-Black Violence in American Art and Visual Culture 45.024 1865835-44-21 41,902 —

Dario Robleto: The Aorta of an Archivist 45.024 1895248-44-22 30,000 —

71,902 —

National Endowment for the Humanities:

Augmenting Polarized Light Microscopy with Computational Imaging and Deep Learning for Cultural Heritage 45.149 PR-284405-22 20,681 —

Constructing African Medical Heritage: Legacies of Empire and the Geopolitics of Culture, 1890-1990 45.161 RZ-271304-20 30,804 —

The People W ho Created “America’s City” (New York 1770-1800) 45.164 MD-290203-23 8,072 —

Total National Foundation of the Arts and Humanities 131,459 —

(Continued)70

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

Pass- Assistance

through

listing Federal Subrecipient

Cluster title/federal grantor/subagency/project title

entity

number Sponsor award number expenditures expenditures

U.S. Agency for International Development:

Agency for International Development:

Promoting Rule of Law in Georgia 68 98.001 AID-114-A-15-00004 $ 4 —

Between Failure and Redemption: A Convening of Scholars on the Future of the Ethiopian Social Contract 64 98.RD 8001 FAA-2022-ETH064 50,000 —

Total U.S. Agency for International Development 50,004 —

Total N/A 50,004 —

CCDF Cluster:

Department of Health and Human Services:

Administration for Children and Families:

Competition or Cooperation? The Effect of School-Based Prekindergarten Roll-Out during COVID-19 on CCDF-Funded and Head Start Programs in Chicago 93.575 90YE0273-01-00 97,064 —

Total Department of Health and Human Services 97,064 —

Total CCDF Cluster 97,064 —

Health Center Program Cluster:

Department of Health and Human Services:

Health Resources and Services Administration:

AllianceChicago Research: Health Services Research Scientist 7 93.527 Agmt 2-27-2023//1H2QCS33120-01-00 46,805 —

Optimizing Virtual Care for Underserved Populations 74 93.527 Q8VCS45437-01-00-NU//6 Q8VCS45437-01-01 109,338 —

Total Department of Health and Human Services 156,143 —

Total Health Center Program Cluster 156,143 —

Highway Planning and Construction Cluster:

Department of Transportation:

Illinois, a Leader in Mobility 4.0 and Beyond 237 20.205 087795-18408//1775200501 22,391 —

Advancing Air Mobility in Illinois 237 20.205 087795-18586 Mod No. 01//1775200501 103,346 —

Total Department of Transportation 125,737 —

Total Highway Planning and Construction Cluster 125,737 —

Grand Total $ 908,109,936 105,356,487

See accompanying notes to schedule of expenditures of federal awards.

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Legend for Pass-Through Award Prime Recipients

Yea

r ended August 31, 2023

Pass-through

Sponsor full name ID Number

Adaptive Health, Inc. 1

Advanced Technology International 2

Aerojet Rocketdyne, Inc. 3

Albert Einstein College of Medicine 4

Alliance for Clinical Trials in Oncology 5

Alliance for Sustainable Energy, LLC, National Renewable Energy Laboratory 6

AllianceChicago 7

Altarum Institute

American College of Obstetricians and Gynecologists 9

American College of Rheumatology 10

American Foundry Society Inc. 11

American Institutes for Research 12

American Lung Association 13

Amphix Bio, Inc.

Analytical Mechanics Associates, Inc. 15

Angiotensin Therapeutics, Inc. 16

Ann & Robert H. Lurie Children’s Hospital 17

Aplexis, Inc. 18

Arizona State University 19

Associated Universities, Inc., National Radio Astronomy Observatory 20

Association of Public and Land-grant Universities 21

Barry University 22

Baylor College of Medicine 23

Benaroya Research Institute at Virginia 24

Boston Medical Center 25

Boston University 26

Brigham and Women’s Hospital 27

BrightOutcome Inc. 28

Broad Institute, Inc. 29

Brookhaven Science Associates, LLC, Brookhaven National Laboratory 30

Brown University 31

Buck Institute for Research on Aging 32

California Institute of Technology 33

California State University, Fullerton 34

CanCure LLC

Cardialen, Inc. 36

Carnegie Mellon University 37

Case Western Reserve University 38

Cedars-Sinai Medical Center 39

Cerner Government Services, Inc. 40

Chicago Botanic Garden 41

Chicago Department of Family and Support Services 42

Chicago Department of Public Health 43

Children’s Hospital of Philadelphia 44

Children’s Research Institute 45

Cincinnati Children’s Hospital Medical Center 46

CJE SeniorLife 47

Clarix Imaging Corporation 48

Cleveland Clinic Lerner College of Medicine of Case Western Reserve University 49

Cleveland State University 50

Colorado School of Mines 51

Colorado State University 52

Columbia University 53

Computing Research Association, Inc. 54

Concord Consortium 55

Cornell University 56

(Continued)72

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Legend for Pass-Through Award Prime Recipients

Yea

r ended August 31, 2023

Pass-through

Sponsor full name ID Number

Council of State and Territorial Epidemiologists 57

Critical Path Institute 58

Dana-Farber Cancer Institute 59

Dartmouth College 60

Defined Biosciences, Inc. 61

Delaware State University 62

DePaul University 63

Dexis Interactive Incorporated 64

Drexel University 65

Duke University 66

Durametrix LLC 67

East-West Management Institute Inc. 68

ECOG-ACRIN Medical Research Foundation, Inc. 69

Elorac, Inc. 70

Emory University 71

Envisagenics, Inc. 72

Epicore Biosystems, Inc. 73

Erie Family Health Center 74

ExLattice, Inc. 75

Fermi Research Alliance, LLC, Fermi National Acceloratory Laboratory 76

Florida International University 77

Florida State University 78

Fred Hutchinson Cancer Research Center 79

General Electric Company 80

General Motors Holdings LLC 81

George Mason University 82

George Washington University 83

Georgetown University 84

Georgia Institute of Technology 85

Georgia State University 86

Great Lakes Hemophilia Foundation 87

GSF Ice World, LLC 88

Harvard University 89

Hastings Center Inc. 90

Health Research, Incorporated 91

Hektoen Institute for Medical Research 92

Helios-NRG, LLC 93

Hennepin Healthcare Research Institute 94

Henry M. Jackson Foundation for the Advancement of Military Medicine 95

Icahn School of Medicine at Mount Sinai 96

ICON Clinical Research, LLC 97

Illinois Criminal Justice Information Authority 98

Illinois Department of Human Services 99

Illinois Department of Public Health 100

Illinois Emergency Management Agency 101

ImmunoChem Therapeutics, LLC 102

Indiana University 103

Inspiration At Work Inc 104

International AIDS Vaccine Initiative 105

International Research & Exchanges Board 106

Iowa State University 107

Iowa State University, Ames Laboratory 108

J. Craig Venter Institute 109

Jackson Laboratory 110

Jackson State University 111

Jaeb Center for Health Research 112

Joan and Sanford I. Weill Medical College of Cornell University 113

(Continued)73

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Legend for Pass-Through Award Prime Recipients

Yea

r ended August 31, 2023

Pass-through

Sponsor full name ID Number

Johns Hopkins University 114

Jumpstart for Young Children, Inc. 115

Kaiser Foundation Research Institute 116

Kansas State University 117

Kent County Memorial Hospital 118

Lehigh University 119

Liv Labs, Inc. 120

Louisiana State University Health Sciences Center Shreveport 121

Lupus Foundation of America, Inc. 122

Marquette University 123

Massachusetts General Hospital 124

Massachusetts Institute of Technology 125

Mayo Clinic 126

Mayo Clinic Jacksonville 127

Medical College of Wisconsin 128

Medical Science & Computing, LLC 129

Medical University of South Carolina 130

Metis Foundation (TX) 131

MFNS Tech, Inc. 132

Michelin North America, Inc. 133

Michigan State University 134

Midwestern University 135

Monell Chemical Senses Center 136

Nadi LLC 137

National Institute of Aerospace 138

National Technology and Engineering Solutions of Sandia, LLC 139

Neurodon LLC 140

NeuroKine Therapeutics, LLC 141

New York University School of Medicine 142

NexTech Materials, Ltd. 143

Northeastern University 144

Northern Arizona University 145

Northern California Institute for Research and Education 146

NorthShore University HealthSystem 147

Nour, LLC 148

Oak Ridge Institute for Science and Education 149

Ohio State University 150

Ohio University 151

Oregon Health & Science University 152

Oregon Research Institute 153

Pacific Northwest National Laboratory 154

Partnership to End Addiction 155

Pennsylvania State University 156

Pennsylvania State University Applied Research Laboratory 157

Photonwares Corporation 158

Princeton University 159

Public Health Institute 160

Purdue University 161

QuesTek Innovations LLC 162

Radiation Monitoring Devices, Inc. 163

RAND Corporation 164

Rehabilitation Institute of Chicago 165

(Continued)74

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Legend for Pass-Through Award Prime Recipients

Yea

r ended August 31, 2023

Pass-through

Sponsor full name ID Number

Research Corporation 166

Research Foundation for Mental Hygiene, Inc. 167

Research Institute at Nationwide Children’s Hospital 168

Research Triangle Institute 169

Rhythm Therapeutics, Inc. 170

Rice University 171

RNET Technologies, Inc. 172

Rockefeller University 173

Rosalind Franklin University of Medicine and Science 174

Rush University Medical Center 175

Rutgers University, the State University of New Jersey 176

San Diego Biomedical Research Institute 177

San Diego State University Foundation 178

Sanford Burnham Prebys Medical Discovery Institute 179

Scripps Research Institute 180

Seattle Children’s Hospital 181

Shepherd Center Inc. 182

Smithsonian Astrophysical Observatory 183

Social & Scientific Systems, Inc. 184

Southern Methodist University 185

Space Telescope Science Institute 186

Stanford University 187

Stanford University, SLAC National Accelerator Laboratory 188

State University of New York at Buffalo 189

State University of New York at Stony Brook 190

Stealth Software Technologies, Inc. 191

Stevens Institute of Technology 192

Sustainable Manufacturing Innovation Alliance Corp. 193

Sutter Bay Hospitals 194

Task Force for Global Health, Inc. 195

Temple University 196

TERC, Inc. 197

Texas A&M Engineering Experiment Station 198

Texas A&M University 199

Texas A&M University Kingsville 200

Texas Biomedical Research Institute 201

Thomas Jefferson University 202

Triad National Security, LLC, Los Alamos National Laboratory 203

Triton Systems, Inc. 204

Tufts Medical Center, Inc. 205

Tufts University 206

Tulane University 207

UChicago Argonne, LLC, Argonne National Laboratory 208

UES, Inc. 209

UI Labs

210

University Health Network (Toronto) 211

(Continued)75

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Legend for Pass-Through Award Prime Recipients

Yea

r ended August 31, 2023

Pass-through

Sponsor full name ID Number

University of Abuja 212

University of Alabama 213

University of Alabama at Birmingham 214

University of Arizona 215

University of Botswana 216

University of California, Davis 217

University of California, Irvine 218

University of California, Lawrence Berkeley National Laboratory 219

University of California, Los Angeles 220

University of California, Riverside 221

University of California, San Diego 222

University of California, San Francisco 223

University of California, Santa Barbara 224

University of Central Florida 225

University of Chicago 226

University of Cincinnati 227

University of Colorado 228

University of Colorado Denver 229

University of Connecticut 230

University of Connecticut Health Center 231

University of Delaware 232

University of Florida 233

University of Georgia 234

University of Ibadan 235

University of Illinois at Chicago 236

University of Illinois at Urbana-Champaign 237

University of Iowa 238

University of Jos 239

University of Kansas Medical Center Research Institute, Inc. 240

University of Kentucky 241

University of Lagos 242

University of Louisiana at Lafayette 243

University of Maryland, Baltimore 244

University of Maryland, College Park 245

University of Massachusetts Amherst 246

University of Massachusetts Medical School 247

University of Miami 248

University of Michigan 249

University of Minnesota 250

University of Nebraska at Omaha 251

University of Nebraska-Lincoln 252

University of North Carolina at Chapel Hill 253

University of North Texas Health Science Center at Fort Worth 254

University of Notre Dame 255

(Continued)76

NORTHWESTERN UNIVERSITY

Supplementary Schedule of Expenditures of Federal Awards

Legend for Pass-Through Award Prime Recipients

Year ended August 31, 2023

Pass-through

Sponsor full name ID Number

University of Oklahoma 256

University of Oregon 257

University of Pennsylvania 258

University of Pittsburgh 259

University of Rochester 260

University of South Carolina 261

University of South Florida – Tampa 262

University of Southern California 263

University of Tennessee 264

University of Tennessee Health Science Center 265

University of Texas at Arlington 266

University of Texas at Austin 267

University of Texas at Dallas 268

University of Texas Health Science Center at Houston 269

University of Texas M. D. Anderson Cancer Center 270

University of Texas Southwestern Medical Center at Dallas 271

University of Utah 272

University of Virginia 273

University of Washington 274

University of Wisconsin-Madison 275

University of Wisconsin-Milwaukee 276

UT-Battelle, LLC, Oak Ridge National Laboratory 277

Van Andel Research Institute 278

Vanderbilt University 279

Vanderbilt University Medical Center 280

Vibrent Health 281

Villanova University 282

Virginia Commonwealth University 283

Virginia Department for Aging and Rehabilitative Services 284

Virscio, Inc. 285

Volexion, Inc.

286

Wake Forest University Health Sciences 287

Washington University in St. Louis 288

Water Research Foundation 289

Wayne State University 290

Wearifi, Inc. 291

West Virginia University 292

WestEd

293

Wisconsin Department of Transportation 294

Women & Infants Hospital of Rhode Island 295

Yale University 296

NORTHWESTERN UNIVERSITY

Notes to Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

78 (Continued)

(1) Organization and Scope of Operations

Northwe

stern University (the University) is a not-for-profit 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. The U.S. Department of Health and Human Services has been

designated as the University’s cognizant agency.

(2) Summary of Significant Accounting Policies

Basis of Accounting – The accompanying supplementary schedule of expenditures of federal awards

(the Schedule) summarizes the expenditures of the University and its subsidiaries under prog

rams of the

federal government for the year ended August 31, 2023. Since the Schedule presents only a selected

portion of the operations of the University, it is not intended to, and does not, present the consolidated

financial position, changes in net assets, or cash flows 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 Assistance Listing (AL) numbers and pass-through numbers are provided on the

Schedule when available.

Indirect Costs – The University has negotiated indirect cost rates with the U.S. Department of Health and

Human Services. The University does not use the 10% de minimis indirect cost rate described

in 2

CFR 200.414 of the Uniform Guidance.

Expenditure and Revenue Recognition – The Schedule presents the expenditures of individual programs

on the accrual basis of accounting. All program outlays, including accrued expenditures and capital outlays,

are reported as expenditures. Related revenues (which are not presented in the Schedule or herein) ar

recognized up to award amounts for consolidated 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 expenditures for such pass-through

awards is included in the Schedule.

Subrecipients – The University passes through certain funds to subrecipient organization

s. The total

amount of such subrecipient expenditures is included in the Schedule for each federal award, where

applicable.

NORTHWESTERN UNIVERSITY

Notes to Supplementary Schedule of Expenditures of Federal Awards

Year ended August 31, 2023

(3) Student Financial Assistance 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, 2023, are summarized as follows:

Federal Perkins Loan Program (ALN 84.038) $ —

Federal Direct Student Loans (ALN 84.268) 198,862,889

HPSL Primary Care Loans (ALN 93.342) —

Total Federal Student Loan

Programs $ 198,862,889

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 (ALN 84.038) and

HPSL (ALN 93.342) programs were $4,897,752 and $133,259, respectively, at August 31, 2023. The

University incurred $288,239 in administrative expenses under the Federal Work Study program, and $0

under the Federal Supplemental Educational Opportunity Grant and Perkins programs for the year ended

August 31, 2023.

KPMG LLP

Aon Center

Suite 5500

200 E. Randolph Street

Chicago, IL 60601-6436

KPMG LLP, a Delaware limited liability partnership and a member firm of

the KPMG global organization of independent member firms affiliated with

KPMG International Limited, a private English company limited by guarantee.

Independent Auditors’ 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

The Board of Trustees

Northwestern University:

We have audited, in accordance with the 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 University’s consolidated statement of financial position as of August 31, 2023,

the related consolidated statements of activities and cash flows for the year then ended, and the related notes

to the consolidated financial statements, and have issued our report thereon dated December 15, 2023.

Report on 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) as a basis for designing 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 entity’s 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 or significant deficiencies

may exist that were not identified.

Report on 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 financial statements. 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 entity’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 entity’s internal control and compliance. Accordingly, this communication is not

suitable for any other purpose.

Chicago, Illinois

December 15, 2023

KPMG LLP

Aon Center

Suite 5500

200 E. Randolph Street

Chicago, IL 60601-6436

KPMG LLP, a Delaware limited liability partnership and a member firm of

the KPMG global organization of independent member firms affiliated with

KPMG International Limited, a private English company limited by guarantee.

Independent Auditors’ Report on Compliance for Each Major Federal Program; Report on Internal

Control Over Compliance; and Report on Supplementary Schedule of Expenditures of Federal Awards

Required by the Uniform Guidance

The Board of Trustees

Northwestern University:

Report on Compliance for Each Major Federal Program

Opinion on Each Major Federal Program

We have audited Northwestern University’s (the University) compliance with the types of compliance

requirements identified as subject to audit in the OMB 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, 2023. The

University’s major federal programs are identified in the summary of auditors’ results section of the

accompanying schedule of findings and questioned costs.

In our opinion, the University complied, in all material respects, with the 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, 2023.

Basis for Opinion on Each Major Federal Program

We conducted our audit of compliance in accordance with auditing standards generally accepted in the United

States of America (GAAS); the standards applicable to financial audits contained in Government Auditing

Standards issued by the Comptroller General of the United States; and the audit requirements of Title 2

U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit

Requirements for Federal Awards (Uniform Guidance). Our responsibilities under those standards and the

Uniform Guidance are further described in the Auditors’ Responsibilities for the Audit of Compliance section of

our report.

We are required to be independent of the University and to meet our other ethical responsibilities, in

accordance with relevant ethical requirements relating to our audit. We believe that the audit evidence we have

obtained is sufficient and appropriate to provide a basis for our opinion on compliance for each major federal

program. Our audit does not provide a legal determination of the University’s compliance with the compliance

requirements referred to above.

Responsibilities of Management for Compliance

Management is responsible for compliance with the requirements referred to above and for the design,

implementation, and maintenance of effective internal control over compliance with the requirements of laws,

statutes, regulations, rules and provisions of contracts or grant agreements applicable to the University’s

federal programs.

Auditors’ Responsibilities for the Audit of Compliance

Our objectives are to obtain reasonable assurance about whether material noncompliance with the compliance

requirements referred to above occurred, whether due to fraud or error, and express an opinion on the

University’s compliance based on our audit. Reasonable assurance is a high level of assurance but is not

absolute assurance and therefore is not a guarantee that an audit conducted in accordance with GAAS,

Government Auditing Standards, and the Uniform Guidance will always detect material noncompliance when it

exists. The risk of not detecting material noncompliance resulting from fraud is higher than for that resulting

from error, as fraud may involve collusion, forgery, intentional omissions, misrepresentations, or the override of

internal control. Noncompliance with the compliance requirements referred to above is considered material if

there is a substantial likelihood that, individually or in the aggregate, it would influence the judgment made by a

reasonable user of the report on compliance about the University’s compliance with the requirements of each

major federal program as a whole.

In performing an audit in accordance with GAAS, Government Auditing Standards, and the Uniform Guidance,

we:

• Exercise professional judgment and maintain professional skepticism throughout

the audit.

• Identify and assess the risks of material noncompliance, whether due to fraud or error, and design and

perform audit procedures responsive to those risks. Such procedures include examining, on a test basis,

evidence regarding the University’s compliance with the compliance requirements referred to above and

performing such other procedures as we considered necessary in the circumstances.

• Obtain an understanding of the University’s internal control over compliance relevant to the audit in orde

r to

design audit procedures that are appropriate in the circumstances and to test and report on internal control

over compliance in accordance with the Uniform Guidance, but not for the purpose of expressing an

opinion on the effectiveness of the University’s internal control over compliance. Accordingly, no su

opinion is expressed.

We are required to communicate with those charged with governance regarding, among other matters, the

planned scope and timing of the audit and any significant deficiencies and material weaknesses in internal

control over compliance that we identified during the audit.

Other Matters

The results of our auditing procedures disclosed an instance of noncompliance which is required to be reported

in accordance with the Uniform Guidance and which is described in the accompanying schedule of findings and

questioned costs as item 2023-001. Our opinion on each major federal program is not modified with respect to

these matters.

Government Auditing Standards requires the auditor to perform limited procedures on the University’s response

to the noncompliance findings identified in our compliance audit described in the accompanying schedule of

findings and questioned costs. The University is also responsible for preparing a corrective action plan to

address each audit finding included in our auditors’ report. The University’s response and corrective action plan

were not subjected to the other auditing procedures applied in the audit of compliance and, accordingly, we

express no opinion on the response or the corrective action plan.

Report on Internal Control Over Compliance

Our consideration of internal control over compliance was for the limited purpose described in the Auditors’

Responsibilities for the Audit of Compliance section above and was not designed to identify all deficiencies in

internal control over compliance that might be material weaknesses or significant deficiencies in internal control

over compliance and therefore, material weaknesses or significant deficiencies may exist that were not

identified. We did not identify any deficiencies in internal control over compliance that we consider to be

material weaknesses. However, as discussed below, we did identify a certain deficiency in internal control over

compliance that we consider to be a significant deficiency.

A deficiency in internal control over compliance exists when the design or operation of a control over

compliance does not allow management or employees, in the normal course of performing their assigned

functions, to prevent, or detect and correct, noncompliance with a type of compliance requirement of a federal

program on a timely basis. A material weakness in internal control over compliance is a deficiency, or a

combination of deficiencies, in internal control over compliance, such that there is a reasonable possibility that

material noncompliance with a type of compliance requirement of a federal program will not be prevented, or

detected and corrected, on a timely basis. A significant deficiency in internal control over compliance is a

deficiency, or a combination of deficiencies, in internal control over compliance with a type of compliance

requirement of a federal program that is less severe than a material weakness in internal control over

compliance, yet important enough to merit attention by those charged with governance. We consider the

deficiency in internal control over compliance described in the accompanying schedule of findings and

questioned costs as item 2023-001, to be a significant deficiency.

Our audit was not designed for the purpose of expressing an opinion on the effectiveness of internal control

over compliance. Accordingly, no such opinion is expressed.

Government Auditing Standards requires the auditor to perform limited procedures on the University’s response

to the internal control over compliance findings identified in our audit described in the accompanying schedule

of findings and questioned costs. The University is also responsible for preparing a corrective action plan to

address each audit finding included in our auditors’ report. The University’s response and corrective action plan

were not subjected to the other auditing procedures applied in the audit of compliance and, accordingly, we

express no opinion on the response or the corrective action plan.

The purpose of this report on internal control over compliance is solely to describe the scope of our testing of

internal control over compliance and the results of that testing based on the requirements of the Uniform

Guidance. Accordingly, this report is not suitable for any other purpose.

Report on Supplementary Schedule of Expenditures of Federal Awards Required by the Uniform

Guidance

We have audited the consolidated financial statements of the University as of and for the year ended

August 31, 2023, and have issued our report thereon dated December 15, 2023, which contained an

unmodified opinion on those consolidated financial statements. Our audit was conducted performed for the

purpose of forming an opinion on the consolidated financial statements as a whole. The accompanying

supplementary schedule of expenditures of federal awards is presented for purposes of additional analysis as

required by the Uniform Guidance 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 GAAS. In our opinion, the

supplementary schedule of expenditures of federal awards is fairly stated, in all material respects, in relation to

the consolidated financial statements as a whole.

Chicago, Illinois

April 9, 2024

NORTHWESTERN UNIVERSITY

Schedule of Findings and Questioned Costs

Year ended August 31, 2023

85 (Continued)

(1) Summary of Auditors’ Results

(a) Type of report issued on whether the consolidated financial statements were prepared in accordance

with U.S. generally accepted accounting principles: Unmodified

(b) Internal control deficiencies over financial reporting disclosed by the audit of the consolidated financial

statements:

• Material weaknesses: No

• Significant deficiencies: None reported

(d) Internal control deficiencies over major program disclosed by the audit:

• Material weaknesses: No

• Significant deficiencies: Yes, Finding 2023-001

(e) Type of report issued on compliance for major program: Unmodified

(f) Audit findings that are required to be reported in accordance with 2 CFR 200.516(a): No

(g) Major program:

• Student Financial Assistance Cluster – Various ALNs

• Disaster Grants – Public Assistance (Presidentially Declared Disasters) – 97.036

(h) Dollar threshold used to distinguish between Type A and Type B programs: $3,000,000

(i) Auditee qualified as a low-risk auditee: Yes

(2) Findings Relating to the Consolidated Financial Statements Reported in Accordance with

Government Auditing Standards

None

NORTHWESTERN UNIVERSITY

Schedule of Findings and Questioned Costs

Year ended August 31, 2023

86 (Continued)

(3) Findings and Questioned Costs Relating to Federal Awards

Finding 2023-001 Inaccurate Enrollment Reporting

Federal Agency: U.S. Department of Education (USDE)

Program Name: Student Financial Assistance Cluster

ALN # and Program

Expenditures: 84.063 ($9,402,496)

84.268 ($198,862,889)

Federal Award Numbers: P063P211371, P063P221371

P268K221371, P268K231371, P268K241371

Federal Award Year: September 1, 2022 to August 31, 2023

Questioned Costs: None

Compliance Requirement: Enrollment Reporting

Criteria

According to 34 CFR Sections 690.83(b)(2) and 685.309, under the Pell grant and Federal Direct loan

(FDL) programs, institutions must complete and return the Enrollment Reporting Roster File via the

National Student Loan Data System (NSLDS) within 15 days of receipt. Institutions must review, update,

and verify student enrollment statuses, program information, and effective dates that appear on the

Enrollment Reporting Roster File. Unless an institution expects to submit its next updated enrollment report

to the USDE within the next 60 days, an institution must notify NSLDS within 30 days after the date that the

institution discovers that (1) a Direct loan was made to or on behalf of a student who was enrolled or

accepted for enrollment at the institution, and the student has ceased to be enrolled on at least a half-time

basis or failed to enroll on at least a half-time basis for the period for which the loan was intended; or (2) a

student who is enrolled at the institution and who received a loan under Title IV has changed his or her

permanent address.

In addition, 2 CFR 200.303 requires nonfederal entities to, among other things, establish and maintain

effective internal control over the Federal award that provides reasonable assurance that the non-Federal

entity is managing the Federal award in compliance with Federal statutes, regulations, and the terms and

conditions of the Federal award. Effective internal controls should include establishing procedures to

ensure student campus and program-level enrollment status changes are accurately reported to the

NSLDS.

Condition Found

The University did not accurately report student enrollment status change at both the campus-level and

program-level to the NSLDS.

NORTHWESTERN UNIVERSITY

Schedule of Findings and Questioned Costs

Year ended August 31, 2023

USDE uses enrollment data reported by the University to determine: (1) eligibility for interest subsidies,

(2) loan repayment start dates, and (3) in-school loan deferments. The enrollment information is also used

by USDE to measure program completion data to evaluate the effectiveness of financial aid programs.

During our testing of 25 borrowers under the FDL program and/or Pell Grant recipients that had a reduction

or increase in attendance levels, graduated, withdrew, dropped out, or enrolled but never attended during

the fiscal year, we noted the status change for one graduated student was reported incorrectly to the

NSLDS as a Withdrawal (W) status rather than Graduated (G) status. Upon further review, management

evaluated and identified an additional 38 graduates who had the same reporting errors.

We further noted management review controls implemented by the University were not designed at a level

of precision to ensure University enrollment and student data submitted to NSLDS was accurate.

The University disbursed FDL loans to 1,411 students during the required reporting period from March 1,

2023 through the year ended August 31, 2023 for which enrollment reporting requirements applied.

Cause

In discussing these conditions with University officials, they stated University records maintained students’

statuses within a certain business program as active after graduating from the program inaccurately in

anticipation of potential future enrollment in classes.

Possible Asserted Effect

Inaccurate submission of student enrollment status and student information affects the determinations that

lenders and servicers of student loans make related to in-school deferments, grace periods, and repayment

schedules.

Repeat Finding

This is not a repeat finding.

Statistical Sampling

The sample was not intended to be, and was not, a statistically valid sample.

Recommendation

We recommend the University review its procedures to ensure accurate reporting of student information

and enrollment status information to the NSLDS.

Views of University Officials

The University agrees with this finding. The University will revisit management review controls and

procedures to ensure a level of precision for submitting accurate graduate student data to the NSLDS.

Northwestern University

Office of Financial Operations

619 Clark Street, Room 217

Evanston, Illinois 60208

Federal Award Findings and Questions Costs

Corrective Action Plan

Year Ended August 31, 2023

Finding No. 2023-001: Inaccurate Enrollment Reporting

CFDA Numbers: Various

Program: Student Financial Assistance Cluster

Corrective Action: Students will be required to request special permission to re-

enroll, thus ensuring that their graduation is reported before any additional

enrollment or withdrawal. Additionally, a thorough assessment of the

management review process will be performed to identify areas that will help

ensure the accurate submission of data to the NSLDS. We anticipate revised

processes in the Spring of 2024.

Contact Person: Jaci Casazza

Expected Implementation: April 30, 2024