Form990-PF
Click to see attachment

Department of the Treasury
Internal Revenue Service
Return of Private Foundation
or Section 4947(a)(1) Nonexempt Charitable Trust
Treated as a Private Foundation
Note. The foundation may be able to use a copy of this return to satisfy state reporting requirements.
OMB No. 1545-0052
2011
For calendar year 2011, or tax year beginning 07-01-2011 , and ending 06-30-2012
G
Check all that apply:
Name of foundation
ROCKEFELLER ARCHIVE CENTER
 

Number and street (or P.O. box number if mail is not delivered to street address)15 DAYTON AVENUE   Room/suite
City or town, state, and ZIP code
SLEEPY HOLLOW, NY10591
A Employer identification number

20-8030810
B Telephone number (see page 10 of the instructions)

(914) 366-6310
C bullet
D 1. bullet
H Check type of organization:
2. bullet
I Fair market value of all assets at end
of year (from Part II, col. (c),
line 16)bullet$113,735,048J Accounting method:
 
(Part I, column (d) must be on cash basis.)
E bullet
F bullet
Part I Analysis of Revenue and Expenses (The total of amounts in columns (b), (c), and (d) may not necessarily equal the amounts in column (a) (see page 11 of the instructions).) (a) Revenue and
expenses per
books 		(b) Net investment
income 		(c) Adjusted net
income 		(d) Disbursements
for charitable
purposes
(cash basis only)
Revenue 1 Contributions, gifts, grants, etc., received (attach schedule) 1,398,246
2 Check bullet
3 Interest on savings and temporary cash investments 1,817 1,817 1,817
4 Dividends and interest from securities...... 5,274,120 5,274,120 5,274,120
5a Gross rents..............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10  
b Gross sales price for all assets on line 6a  
7 Capital gain net income (from Part IV, line 2)...  
8 Net short-term capital gain.........  
9 Income modifications...........  
10a Gross sales less returns and allowances  
b Less: Cost of goods sold....  
c Gross profit or (loss) (attach schedule).....    
11 Other income (attach schedule)....... Click to see attachment 34,386    
12 Total. Add lines 1 through 11........ 6,708,569 5,275,937 5,275,937
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc. 777,260     739,860
14 Other employee salaries and wages...... 2,149,969     2,046,107
15 Pension plans, employee benefits....... 773,804     721,414
16a Legal fees (attach schedule)......... Click to see attachment 42,562     36,568
b Accounting fees (attach schedule)....... Click to see attachment 43,150     473
c Other professional fees (attach schedule).... Click to see attachment 748,935 564,774 564,774 140,405
17 Interest............... 6,956      
18 Taxes (attach schedule) (see page 14 of the instructions) Click to see attachment 70,118   70,118  
19 Depreciation (attach schedule) and depletion... Click to see attachment 527,687    
20 Occupancy.............. 858,631     664,729
21 Travel, conferences, and meetings....... 125,907     122,444
22 Printing and publications.......... 26,233     26,233
23 Other expenses (attach schedule)....... Click to see list of attachments 335,418     440,290
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 6,486,630 564,774 634,892 4,938,523
25 Contributions, gifts, grants paid........ 99,077 99,077
26 Total expenses and disbursements. Add lines 24 and 25 6,585,707 564,774 634,892 5,037,600
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements 122,862
b Net investment income (if negative, enter -0-) 4,711,163
c Adjusted net income (if negative, enter -0-)... 4,641,045
For Privacy Act and Paperwork Reduction Act Notice, see page 30 of the instructions.
Cat. No. 11289X Form 990-PF (2011)
Form 990-PF (2011)
Page 2
Part II Balance Sheets Attached schedules and amounts in the description column
should be for end-of-year amounts only. (See instructions.)		 Beginning of year End of year
(a) Book Value (b) Book Value (c) Fair Market Value
Assets 1 Cash—non-interest-bearing...............   6,494 6,494
2 Savings and temporary cash investments.......... 918,444 1,115,167 1,115,167
3 Accounts receivable bullet  
Less: allowance for doubtful accounts bullet        
4 Pledges receivable bullet  
Less: allowance for doubtful accounts bullet        
5 Grants receivable.................   9,000 9,000
6 Receivables due from officers, directors, trustees, and other
disqualified persons (attach schedule) (see page 15 of the
instructions)....................      
7 Other notes and loans receivable (attach schedule) bullet  
Less: allowance for doubtful accounts bullet        
8 Inventories for sale or use...............      
9 Prepaid expenses and deferred charges...........   30,302 30,302
10a Investments—U.S. and state government obligations (attach schedule)      
b Investments—corporate stock (attach schedule)........      
c Investments—corporate bonds (attach schedule)........      
11 Investments—land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
12 Investments—mortgage loans..............      
13 Investments—other (attach schedule)........... 93,739,316 93,290,945 93,290,945
14 Land, buildings, and equipment: basis bullet20,494,605
Less: accumulated depreciation (attach schedule) bullet1,483,863 21,343,153 Click to see attachment19,010,742 19,010,742
15 Other assets (describe bullet)   Click to see attachment272,398 Click to see attachment272,398
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 116,000,913 113,735,048 113,735,048
Liabilities 17 Accounts payable and accrued expenses.......... 454,410 505,903
18 Grants payable...................    
19 Deferred revenue.................. 112,400 3,169,748
20 Loans from officers, directors, trustees, and other disqualified persons    
21 Mortgages and other notes payable (attach schedule)......    
22 Other liabilities (describe bullet) Click to see attachment378,231 Click to see attachment270,743
23 Total liabilities (add lines 17 through 22).......... 945,041 3,946,394
Net Assets or Fund Balances bullet
and complete lines 24 through 26 and lines 30 and 31.
24 Unrestricted.................... 54,100,082 52,496,004
25 Temporarily restricted................ 39,058,140 35,395,000
26 Permanently restricted................ 21,897,650 21,897,650
bullet
and complete lines 27 through 31.
27 Capital stock, trust principal, or current funds.........    
28 Paid-in or capital surplus, or land, bldg., and equipment fund    
29 Retained earnings, accumulated income, endowment, or other funds    
30 Total net assets or fund balances (see page 17 of the
instructions).................... 115,055,872 109,788,654
31 Total liabilities and net assets/fund balances (see page 17 of
the instructions).................. 116,000,913 113,735,048
Part III Analysis of Changes in Net Assets or Fund Balances
1 Total net assets or fund balances at beginning of year—Part II, column (a), line 30 (must agree
with end-of-year figure reported on prior year’s return)............... 1 115,055,872
2 Enter amount from Part I, line 27a..................... 2 122,862
3 Other increases not included in line 2 (itemize) bullet 3  
4 Add lines 1, 2, and 3.......................... 4 115,178,734
5 Decreases not included in line 2 (itemize) bulletClick to see attachment 5 5,390,080
6 Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 30. 6 109,788,654
Form 990-PF (2011)
Form 990-PF (2011)
Page 3
Part IV
Capital Gains and Losses for Tax on Investment Income
(a) List and describe the kind(s) of property sold (e.g., real estate,
2-story brick warehouse; or common stock, 200 shs. MLC Co.) 		(b) How acquired
P—Purchase
D—Donation 		(c) Date acquired
(mo., day, yr.) 		(d) Date sold
(mo., day, yr.)
1a
b
c
d
e
(e) Gross sales price (f) Depreciation allowed
(or allowable) 		(g) Cost or other basis
plus expense of sale 		(h) Gain or (loss)
(e) plus (f) minus (g)
a
b
c
d
e
Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69 (l) Gains (Col. (h) gain minus
col. (k), but not less than -0-) or
Losses (from col.(h))
(i) F.M.V. as of 12/31/69 (j) Adjusted basis
as of 12/31/69 		(k) Excess of col. (i)
over col. (j), if any
a
b
c
d
e
2 Capital gain net income or (net capital loss) Bracket If gain, also enter in Part I, line 7
If (loss), enter -0- in Part I, line 7		 Bracket 2  
3 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6):
If gain, also enter in Part I, line 8, column (c) (see pages 13 and 17 of the instructions).
If (loss), enter -0- in Part I, line 8 . . . . . . . . . . . . . 		Bracket 3  
Part V
Qualification Under Section 4940(e) for Reduced Tax on Net Investment Income
(For optional use by domestic private foundations subject to the section 4940(a) tax on net investment income.)

If section 4940(d)(2) applies, leave this part blank.
Was the foundation liable for the section 4942 tax on the distributable amount of any year in the base period?
If “Yes,” the foundation does not qualify under section 4940(e). Do not complete this part.
1 Enter the appropriate amount in each column for each year; see page 18 of the instructions before making any entries.
(a)
Base period years Calendar
year (or tax year beginning in) 		(b)
Adjusted qualifying distributions 		(c)
Net value of noncharitable-use assets 		(d)
Distribution ratio
(col. (b) divided by col. (c))
2010 5,883,558 90,793,519 0.06480
2009 5,192,209 87,424,391 0.05939
2008 4,678,455 95,890,788 0.04879
2007      
2006      
2 Total of line 1, column (d) ...................... 2 0.17298
3 Average distribution ratio for the 5-year base period—divide the total on line 2 by 5, or by
the number of years the foundation has been in existence if less than 5 years. . . 		3 0.05766
4 Enter the net value of noncharitable-use assets for 2011 from Part X, line 5..... 4 92,760,503
5 Multiply line 4 by line 3....................... 5 5,348,663
6 Enter 1% of net investment income (1% of Part I, line 27b)........... 6 47,112
7 Add lines 5 and 6......................... 7 5,395,775
8 Enter qualifying distributions from Part XII, line 4.............. 8 5,787,603
If line 8 is equal to or greater than line 7, check the box in Part VI, line 1b, and complete that part using a 1% tax rate. See
the Part VI instructions on page 18.
Form 990-PF (2011)
Form 990-PF (2011)
Page 4
Part VI
Excise Tax Based on Investment Income (Section 4940(a), 4940(b), 4940(e), or 4948—see page 18 of the instructions)
1a Bulletand enter “N/A” on line 1. Bracket
Date of ruling or determination letter:   (attach copy of letter if necessary–see instructions)
b 1 47,112
hereBulletand enter 1% of Part I, line 27b...................
c All other domestic foundations enter 2% of line 27b. Exempt foreign organizations enter 4% of Part I, line 12, col. (b)
2 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) 2  
3 Add lines 1 and 2............................ 3 47,112
4 Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-). 4  
5 Tax based on investment income. Subtract line 4 from line 3. If zero or less, enter -0- ..... 5 47,112
6 Credits/Payments:
a 2011 estimated tax payments and 2010 overpayment credited to 2011 6a 68,181
b Exempt foreign organizations—tax withheld at source....... 6b
c Tax paid with application for extension of time to file (Form 8868) 6c  
d Backup withholding erroneously withheld ........... 6d  
7 Total credits and payments. Add lines 6a through 6d.............. 7 68,181
8 Enter any penalty for underpayment of estimated tax. if Form 2220 is attached. Click to see attachment 8 1,255
9 Tax due. If the total of lines 5 and 8 is more than line 7, enter amount owed.......Bullet 9  
10 Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid...Bullet 10 19,814
11 Enter the amount of line 10 to be: Credited to 2012 estimated taxBullet19,814 Refunded Bullet 11  
Part VII-A
Statements Regarding Activities
1a
During the tax year, did the foundation attempt to influence any national, state, or local legislation or did
Yes
No
it participate or intervene in any political campaign? ....................
1a
 
No
b
Did it spend more than $100 during the year (either directly or indirectly) for political purposes (see page 19 of
the instructions for definition)?............................
1b
 
No
If the answer is “Yes” to 1a or 1b, attach a detailed description of the activities and copies of any materials
published or distributed by the foundation in connection with the activities.
c
Did the foundation file Form 1120-POL for this year?.....................
1c
 
No
d
Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year:
(1) On the foundation. bullet$   (2) On foundation managers.bullet$  
e
Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed
on foundation managers.bullet$  
2
Has the foundation engaged in any activities that have not previously been reported to the IRS?.......
2
 
No
If “Yes,” attach a detailed description of the activities.
3
Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles
of incorporation, or bylaws, or other similar instruments? If “Yes,” attach a conformed copy of the changes....
3
 
No
4a
Did the foundation have unrelated business gross income of $1,000 or more during the year?........
4a
 
No
b
If “Yes,” has it filed a tax return on Form 990-T for this year?...................
4b
 
No
5
Was there a liquidation, termination, dissolution, or substantial contraction during the year?.........
5
 
No
If “Yes,” attach the statement required by General Instruction T.
6
Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either:
  • By language in the governing instrument, or
  • By state legislation that effectively amends the governing instrument so that no mandatory directions
    • that conflict with the state law remain in the governing instrument?................
    6
     
    No
    7
    Did the foundation have at least $5,000 in assets at any time during the year? If “Yes,” complete Part II, col. (c), and Part XV.
    7
    Yes
     
    8a
    Enter the states to which the foundation reports or with which it is registered (see page 19 of the
    instructions)bulletNY
    b
    If the answer is “Yes” to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney
    General (or designate) of each state as required by General Instruction G? If “No,” attach explanation .
    8b
    Yes
     
    9
    Is the foundation claiming status as a private operating foundation within the meaning of section 4942(j)(3)
    or 4942(j)(5) for calendar year 2011 or the taxable year beginning in 2011 (see instructions for Part XIV on
    page 27)? If “Yes,” complete Part XIV..........................
    9
    Yes
     
    10
    Did any persons become substantial contributors during the tax year? If “Yes,” attach a schedule listing their names and addresses.
    10
     
    No
    11
    At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the
    meaning of section 512(b)(13)? If "Yes," attach schedule. (see page 20 of the instructions) .......
    11
     
    No
    12
    Did the foundation acquire a direct or indirect interest in any applicable insurance contract before August 17, 2008?
    12
     
    No
    13
    Did the foundation comply with the public inspection requirements for its annual returns and exemption application?
    13
    Yes
     
    Website addressbulletwww.rockarch.org
    14
    The books are in care ofbulletROBERT D ROSENDALE CPA Telephone no.bullet (914) 366-6310
    Located atbullet15 DAYTON AVENUESLEEPY HOLLOWNY ZIP+4bullet10591
    15
    Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041.........bullet
    and enter the amount of tax-exempt interest received or accrued during the year ......bullet
    15  
    16
    At any time during calendar year 2011, did the foundation have an interest in or a signature or other authority over
    a bank, securities, or other financial account in a foreign country? .................
    16
     
    No
    See page 20 of the instructions for exceptions and filing requirements for Form TD F 90-22.1. If "Yes", enter the name of the foreign country bullet  
    Form 990-PF (2011)
    Form 990-PF (2011)
    Page 5
    Part VII-B
    Statements Regarding Activities for Which Form 4720 May Be Required
    File Form 4720 if any item is checked in the “Yes” column, unless an exception applies.
    Yes
    No
    1a
    During the year did the foundation (either directly or indirectly):
    (1) Engage in the sale or exchange, or leasing of property with a disqualified person?
    (2) Borrow money from, lend money to, or otherwise extend credit to (or accept it from)
    a disqualified person?.........................
    (3) Furnish goods, services, or facilities to (or accept them from) a disqualified person?
    (4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person?
    (5) Transfer any income or assets to a disqualified person (or make any of either available
    for the benefit or use of a disqualified person)?.................
    (6) Agree to pay money or property to a government official? (Exception. Check “No”
    if the foundation agreed to make a grant to or to employ the official for a period
    after termination of government service, if terminating within 90 days.).........
    b
    If any answer is “Yes” to 1a(1)–(6), did any of the acts fail to qualify under the exceptions described in Regulations
    section 53.4941(d)-3 or in a current notice regarding disaster assistance (see page 20 of the instructions)?...
    1b
     
    No
    .........bullet
    c
    Did the foundation engage in a prior year in any of the acts described in 1a, other than excepted acts,
    that were not corrected before the first day of the tax year beginning in 2011?.............
    1c
     
    No
    2
    Taxes on failure to distribute income (section 4942) (does not apply for years the foundation was a private
    operating foundation defined in section 4942(j)(3) or 4942(j)(5)):
    a
    At the end of tax year 2011, did the foundation have any undistributed income (lines 6d
    and 6e, Part XIII) for tax year(s) beginning before 2011?...............
    If “Yes,” list the years bullet20, 20, 20, 20
    b
    Are there any years listed in 2a for which the foundation is not applying the provisions of section 4942(a)(2)
    (relating to incorrect valuation of assets) to the year’s undistributed income? (If applying section 4942(a)(2)
    to all years listed, answer “No” and attach statement—see page 20 of the instructions.) .........
    2b
     
    No
    c
    If the provisions of section 4942(a)(2) are being applied to any of the years listed in 2a, list the years here.
    bullet20, 20, 20, 20
    3a
    Did the foundation hold more than a 2% direct or indirect interest in any business
    enterprise at any time during the year?.....................
    b
    If “Yes,” did it have excess business holdings in 2011 as a result of (1) any purchase by the foundation
    or disqualified persons after May 26, 1969; (2) the lapse of the 5-year period (or longer period approved
    by the Commissioner under section 4943(c)(7)) to dispose of holdings acquired by gift or bequest; or (3)
    the lapse of the 10-, 15-, or 20-year first phase holding period? (Use Schedule C, Form 4720, to determine
    if the foundation had excess business holdings in 2011.)....................
    3b
     
    No
    4a
    Did the foundation invest during the year any amount in a manner that would jeopardize its charitable purposes?
    4a
     
    No
    b
    Did the foundation make any investment in a prior year (but after December 31, 1969) that could jeopardize its
    charitable purpose that had not been removed from jeopardy before the first day of the tax year beginning in 2011?
    4b
     
    No
    5a
    During the year did the foundation pay or incur any amount to:
    (1) Carry on propaganda, or otherwise attempt to influence legislation (section 4945(e))?
    (2) Influence the outcome of any specific public election (see section 4955); or to carry
    on, directly or indirectly, any voter registration drive?...............
    (3) Provide a grant to an individual for travel, study, or other similar purposes?
    (4) Provide a grant to an organization other than a charitable, etc., organization described
    in section 509(a)(1), (2), or (3), or section 4940(d)(2)? (see page 22 of the instructions)...
    (5) Provide for any purpose other than religious, charitable, scientific, literary, or
    educational purposes, or for the prevention of cruelty to children or animals?........
    b
    If any answer is “Yes” to 5a(1)–(5), did any of the transactions fail to qualify under the exceptions described in
    Regulations section 53.4945 or in a current notice regarding disaster assistance (see page 22 of the instructions)?
    5b
     
    No
    .........bullet
    c
    If the answer is “Yes” to question 5a(4), does the foundation claim exemption from the
    tax because it maintained expenditure responsibility for the grant?............
    If “Yes,” attach the statement required by Regulations section 53.4945–5(d).
    6a
    Did the foundation, during the year, receive any funds, directly or indirectly, to pay
    premiums on a personal benefit contract?....................
    b
    Did the foundation, during the year, pay premiums, directly or indirectly, on a personal benefit contract?....
    6b
     
    No
    If “Yes” to 6b, file Form 8870.
    7a
    At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction?
    b
    If yes, did the foundation receive any proceeds or have any net income attributable to the transaction? ....
    7b
     
    No
    Form 990-PF (2011)
    Form 990-PF (2011)
    Page 6
    Part VIII
    Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees,
    and Contractors
    1 List all officers, directors, trustees, foundation managers and their compensation (see page 22 of the instructions).
    (a) Name and address (b) Title, and average
    hours per week
    devoted to position     		(c) Compensation
     (If not paid, enter
    -0-)     		(d) Contributions to
    employee benefit plans
    and deferred compensation     		(e) Expense account,
    other allowances
    JAMES A SMITH Vice President
    35.00     		177,000 38,662 4,386
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    ROBERT D ROSENDALE COO
    35.00     		198,000 52,483 7,905
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    JACK MEYERS President & CEO
    35.00     		220,000 70,120 8,704
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    ERIC WANNER Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    MEGAN SNIFFIN-MARINOFF Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    JUDITH RODIN Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    DAVID ROCKEFELLER JR Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    MARC TESSIER-LAVIGNE Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    STEPHEN HEINTZ Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    FRED BOHEN Sec/Tres
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    NEIL L RUDENSTINE Chairman
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    2 Compensation of five highest-paid employees (other than those included on line 1—see page 23 of the instructions).
    If none, enter “NONE.”
    (a) Name and address of each employee paid more than $50,000 (b) Title, and average
    hours per week
    devoted to position     		(c) Compensation (d) Contributions to
    employee benefit
    plans and deferred
    compensation     		(e) Expense account,
    other allowances
    CAROL RADOVICH ASST DIRECTOR
    35.00     		81,370 17,589 12,220
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    MICHELE HILTZIK ASST DIRECTOR
    35.00     		83,065 17,580 4,989
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    ROBERT BATTALY JR ASST DIRECTOR
    35.00     		83,065 17,036  
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    ERWIN LEVOLD SENIOR RESEARCH AR
    35.00     		86,435 23,352 2,604
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    LEE R HILTZIK ASST DIRECTOR
    35.00     		87,893 44,049 3,598
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    Total number of other employees paid over $50,000...................bullet 18
    3 Five highest-paid independent contractors for professional services (see page 23 of the instructions). If none, enter "NONE".
    (a) Name and address of each person paid more than $50,000 (b) Type of service (c) Compensation
    THE ROCKEFELLER UNIVERSITY FINANCIAL SERVICES 450,575
    1230 YORK AVENUE
    NEW YORK,NY10065
    Total number of others receiving over $50,000 for professional services.............bullet  
    Part IX-A
    Summary of Direct Charitable Activities
    List the foundation’s four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of organizations and other beneficiaries served, conferences convened, research papers produced, etc. Expenses
    1 ARCHIVAL PROGRAM - The Rockefeller Archive Center is an independent operating foundation that preserves and makes available for research the archival collections of members of the Rockefeller family, institutions and organizations founded by Rockefeller family members (including the Rockefeller Foundation, Rockefeller Brothers Fund, Winthrop Rockefeller Foundation, General Education Board, Rockefeller University, Population Council, Asia Society, and many other organizations) and the records of other philanthropic and service organizations such as the Commonwealth Fund, Russell Sage Foundation, W.T. Grant Foundation, Markle Foundation, the Social Science Research Council and the Foundation Center. The Center also holds extensive collections of the personal papers of trustees, officers, faculty, and associates who were affiliated with these institutions.The Archive Center is located in Hillcrest, a home of Westchester County field stone built for Martha Baird Rockefeller (1895-1971), th 2,573,497
    2 RESEARCH & EDUCATION - The Research and Education Department oversees many of the external programs of the Rockefeller Archive Center. It administers a competitive grant program that awards 40 to 50 research grants each year to graduate students, faculty members, and independent scholars. It organizes and hosts several workshops and conferences each year. And staff members on the research and education team edit and publish a series of research reports describing scholarly work at the RAC, a publishing program that is now primarily electronic and web-based. The 2009 renovation of the Archive Center's Carriage House provides space for the research and education staff as well as three to six visiting scholars. The scholar-in-residence program serves researchers who have done research at the Archive Center and learned that they need to spend an extended period of time, ranging from several months to a full academic year, on their archival research. The staff has also expanded an annual te 663,519
    3  
    4  
    Form 990-PF (2011)
    Form 990-PF (2011)
    Page 7
    Part IX-B
    Summary of Program-Related Investments (see page 23 of the instructions)
    Describe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2. Amount
    1  
    2  
    All other program-related investments. See page 24 of the instructions.
    3  
    Total. Add lines 1 through 3..........................bullet  
    Part X
    Minimum Investment Return (All domestic foundations must complete this part. Foreign foundations,
    see page 24 of the instructions.)
    1
    Fair market value of assets not used (or held for use) directly in carrying out charitable, etc.,
    purposes:
    a
    Average monthly fair market value of securities...................
    1a
    89,926,083
    b
    Average of monthly cash balances.......................
    1b
    1,746,511
    c
    Fair market value of all other assets (see page 24 of the instructions)............
    1c
    2,500,505
    d
    Total (add lines 1a, b, and c).........................
    1d
    94,173,099
    e
    Reduction claimed for blockage or other factors reported on lines 1a and
    1c (attach detailed explanation) .............
    1e
    0
    2
    Acquisition indebtedness applicable to line 1 assets..................
    2
     
    3
    Subtract line 2 from line 1d.........................
    3
    94,173,099
    4
    Cash deemed held for charitable activities. Enter 1 1⁄2% of line 3 (for greater amount, see page 25
    of the instructions) ...........................
    4
    1,412,596
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
    92,760,503
    6
    Minimum investment return. Enter 5% of line 5..................
    6
    4,638,025
    Part XI
    Distributable Amount bullet and do not complete this part.)
    1
    Minimum investment return from Part X, line 6....................
    1
     
    2a
    Tax on investment income for 2011 from Part VI, line 5......
    2a
     
    b
    Income tax for 2011. (This does not include the tax from Part VI.)...
    2b
     
    c
    Add lines 2a and 2b............................
    2c
     
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
     
    4
    Recoveries of amounts treated as qualifying distributions................
    4
     
    5
    Add lines 3 and 4............................
    5
     
    6
    Deduction from distributable amount (see page 25 of the instructions)...........
    6
     
    7
    Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII,
    line 1................................
    7
     
    Part XII
    Qualifying Distributions (see page 25 of the instructions)
    1
    Amounts paid (including administrative expenses) to accomplish charitable, etc., purposes:
    a
    Expenses, contributions, gifts, etc.—total from Part I, column (d), line 26 ..........
    1a
    5,037,600
    b
    Program-related investments—total from Part IX-B..................
    1b
     
    2
    Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc.,
    purposes...............................
    2
    750,003
    3
    Amounts set aside for specific charitable projects that satisfy the:
    a
    Suitability test (prior IRS approval required)....................
    3a
     
    b
    Cash distribution test (attach the required schedule) .................
    3b
     
    4
    Qualifying distributions. Add lines 1a through 3b. Enter here and on Part V, line 8, and Part XIII, line 4
    4
    5,787,603
    5
    Foundations that qualify under section 4940(e) for the reduced rate of tax on net investment
    income. Enter 1% of Part I, line 27b (see page 26 of the instructions)............
    5
    47,112
    6
    Adjusted qualifying distributions. Subtract line 5 from line 4..............
    6
    5,740,491
    Note: The amount on line 6 will be used in Part V, column (b), in subsequent years when calculating whether the foundation qualifies for
    the section 4940(e) reduction of tax in those years.
    Form 990-PF (2011)
    Form 990-PF (2011)
    Page 8
    Part XIII
    Undistributed Income (see page 26 of the instructions)
    (a)
    Corpus     		(b)
    Years prior to 2010     		(c)
    2010     		(d)
    2011
    1 Distributable amount for 2011 from Part XI, line 7  
    2 Undistributed income, if any, as of the end of 2011:
    a Enter amount for 2010 only.......  
    b Total for prior years:20, 20, 20  
    3 Excess distributions carryover, if any, to 2011:
    a From 2006.......  
    b From 2007.......  
    c From 2008.......  
    d From 2009.......  
    e From 2010.......  
    fTotal of lines 3a through e.........  
    4Qualifying distributions for 2011 from Part
    XII, line 4: bullet$  
    a Applied to 2010, but not more than line 2a  
    b Applied to undistributed income of prior years
    (Election required—see page 26 of the instructions)    		  
    c Treated as distributions out of corpus (Election
    required—see page 26 of the instructions)...     		 
    d Applied to 2011 distributable amount.....  
    e Remaining amount distributed out of corpus  
    5 Excess distributions carryover applied to 2011.    
    (If an amount appears in column (d), the
    same amount must be shown in column (a).)
    6Enter the net total of each column as
    indicated below:
    a Corpus. Add lines 3f, 4c, and 4e. Subtract line 5  
    b Prior years’ undistributed income. Subtract
    line 4b from line 2b ...........     		 
    c Enter the amount of prior years’ undistributed
    income for which a notice of deficiency has
    been issued, or on which the section 4942(a)
    tax has been previously assessed......     		 
    d Subtract line 6c from line 6b. Taxable
    amount—see page 27 of the instructions ...     		 
    e Undistributed income for 2010. Subtract line
    4a from line 2a. Taxable amount—see page 27
    of the instructions ...........     		 
    f Undistributed income for 2011. Subtract
    lines 4d and 5 from line 1. This amount must
    be distributed in 2011 ..........     		 
    7 Amounts treated as distributions out of
    corpus to satisfy requirements imposed by
    section 170(b)(1)(F) or 4942(g)(3) (see page 27
    of the instructions) ...........     		 
    8Excess distributions carryover from 2006 not
    applied on line 5 or line 7 (see page 27 of the
    instructions) .............     		 
    9Excess distributions carryover to 2012.
    Subtract lines 7 and 8 from line 6a ......     		 
    10 Analysis of line 9:
    a Excess from 2007....  
    b Excess from 2008....  
    c Excess from 2009....  
    d Excess from 2010....  
    e Excess from 2011....  
    Form 990-PF (2011)
    Form 990-PF (2011)
    Page 9
    Part XIV
    Private Operating Foundations (see page 27 of the instructions and Part VII-A, question 9)
    1a If the foundation has received a ruling or determination letter that it is a private operating
    foundation, and the ruling is effective for 2011, enter the date of the ruling.......bullet
    2006-06-20
    b Check box to indicate whether the organization is a private operating foundation described in section or
    2a Enter the lesser of the adjusted net
    income from Part I or the minimum
    investment return from Part X for each
    year listed ..........     		Tax year Prior 3 years (e) Total
    (a) 2011 (b) 2010 (c) 2009 (d) 2008
    4,638,025 4,539,676 4,371,220 4,017,197 17,566,118
    b 85% of line 2a ......... 3,942,321 3,858,725 3,715,537 3,414,617 14,931,200
    c Qualifying distributions from Part XII,
    line 4 for each year listed .....     		5,787,603 5,935,256 5,251,174 5,301,556 22,275,589
    d Amounts included in line 2c not used directly
    for active conduct of exempt activities ....     		         
    e Qualifying distributions made directly
    for active conduct of exempt activities.
    Subtract line 2d from line 2c ....     		5,787,603 5,935,256 5,251,174 5,301,556 22,275,589
    3 Complete 3a, b, or c for the
    alternative test relied upon:
    a “Assets” alternative test—enter:
    (1) Value of all assets ......          
    (2) Value of assets qualifying
    under section 4942(j)(3)(B)(i)    		          
    b “Endowment” alternative test— enter 2⁄3
    of minimum investment return shown in
    Part X, line 6 for each year listed...     		3,092,016 3,026,450 2,914,146 3,196,359 12,228,971
    c “Support” alternative test—enter:
    (1) Total support other than gross
    investment income (interest,
    dividends, rents, payments
    on securities loans (section
    512(a)(5)), or royalties) ....     		         
    (2) Support from general public
    and 5 or more exempt
    organizations as provided in
    section 4942(j)(3)(B)(iii)....     		         
    (3) Largest amount of support
    from an exempt organization    		          
    (4) Gross investment income          
    Part XV
    Supplementary Information (Complete this part only if the organization had $5,000 or more in
    assets at any time during the year—see page 27 of the instructions.)
    1Information Regarding Foundation Managers:
    aList any managers of the foundation who have contributed more than 2% of the total contributions received by the foundation
    before the close of any tax year (but only if they have contributed more than $5,000). (See section 507(d)(2).)
    bList any managers of the foundation who own 10% or more of the stock of a corporation (or an equally large portion of the
    ownership of a partnership or other entity) of which the foundation has a 10% or greater interest.
    2Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc., Programs:
    Check here bullet
    aThe name, address, and telephone number of the person to whom applications should be addressed:
    GRANTS ADMINSTRATOR
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    (914) 366-6311
    bThe form in which applications should be submitted and information and materials they should include:
    GRANTEES COMPLETE A FOUR-PAGE APPLICATION AND MAIL IT TO THE ADDRESS PROVIDED ABOVE. APPLCANTS MAY ALSO E-MAIL AN APPLICATION TO RACGRANTS@ROCKARCH.ORG
    cAny submission deadlines:
    NOVEMBER 15TH OF EACH CALENDAR YEAR. AWARDS ARE ANNOUNCED I
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    AWARDS ARE MADE TO INDIVIDUALS; INSTITUIONS ARE NOT ELIGIBLE TO APPLY. THE GRANT DOES NOT SUPPORT RESEARCH AT OTHER INSTITUTIONS, AND IT DOES NOT PROVIDE GENERAL TUITION SUPPORT. APPLICATION TO THE GRANT-IN-AID PROGRAM IS OPEN TO U.S. CITIZENS AND CITIZENS OF FOREIGN COUNTRIES. CERTAIN U.S. GOVERNMENT REQUIREMENTS WILL APPLY TO NON-U.S. CITIZENS.
    Form 990-PF (2011)
    Form 990-PF (2011)
    Page 10
    Part XV
    Supplementary Information (continued)
    3 Grants and Contributions Paid During the Year or Approved for Future Payment
    Recipient If recipient is an individual,
    show any relationship to
    any foundation manager
    or substantial contributor
    		 Foundation
    status of
    recipient     		Purpose of grant or
    contribution     		Amount
    Name and address (home or business)
    aPaid during the year
    REBECCA WILLIAMS
    2 PERSHORE ROAD
    WORCESTERSHIRE,ENGLANDWR7 4NR
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,886
    BEN WHITE
    WASSENAARSESTRAAT 137
    AN THE HAGUE,AN THE HAGUE2586
    NL     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 3,000
    MARILYN E WEIGOLD
    333 N ROAD UNIT 50
    BRIARCLIFF MANOR,NY10510     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,500
    BRITTANY SHIEDS
    249 SOUTH 36TH STREET SUITE 303
    PHILADELPHIA,PA19104     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 780
    FUNKE SANGODEYI
    4715
    CEDAR AVENUE,PA19143     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,401
    ARABINA SAMANTA
    3422 TULANE DRIVE 34
    HYATTCVILLE,MD20783     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,921
    GABRIEL ROSENBERG
    1111 CLARENDON STREET
    DURHAM,NC22705     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,275
    DAVINE RODOGNO
    AV PERDTEMPS 1260
    NYON,NYON1260
    SZ     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,000
    DARLENE RIVAS
    28908 ALLMAN STREET
    AGOURA HILLS,CA91301     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 5,000
    TAMMY PROCTOR
    561 E CECIL STREET
    SPRINGFIELD,OH45503     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,500
    KURT PIEHLER
    7109 DOWNING DRIVE
    KNOXVILLE,TN37909     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,500
    MARK A MCLAY
    312 KIRKINTILLOCH ROAD
    GLASGOW,SCOTLANDG64 2HF
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,828
    PATRICK MCELWEE
    8918 MILLERS BEND
    BAHAMA,NC27503     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,200
    TAMARA MANN
    505 S PARKVIEW 103
    COLUMBUS,OH43209     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 821
    CHRISTOPHER PAUL MANIAS
    4 RIPLEY MEWS WADLEY ROAD
    LONDON,ENGLANDE11 1HF
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,952
    JAMES LIN
    2240 BLAKE STREET 211
    BERKELEY,CA94704     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,425
    JAIME LAPEYRE
    205 FREDERICK STREET
    TORONTO,TORONTOM5A 4V3
    CA     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,500
    MORGANE LABBE
    4 RUE DES PINS
    MONTESSON,MONTESSON78360
    FR     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,905
    ANNA KROME-LUKENS
    407 N COLUMBIA STREET
    CHAPEL HILL,NC27516     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 772
    SUSANNE KREUTZER
    SOLMSSTR12
    BERLIN,BERLIN10961
    GM     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 3,000
    JENNIFER KOSLOW
    3218 CONSTELLATION CT
    TALLAHASSEE,FL32312     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,500
    DINO KNUDSEN
    LYONGATE 73TH
    COPENHAGEN S.,COPENHAGEN S.2300
    DA     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 3,000
    YUKO KIKUCHI
    74 WARRINER GARDENS
    LONDON,ENGLANDSW11 4DU
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 3,221
    THERESA KEELEY
    3831 N KENMORE AVENUE UNIT 1
    CHICAGO,IL60613     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 993
    JULIA HORNE
    45 GROSVENOR STREET
    WOOLLAHRA,WOOLLAHRANSW2025
    AS     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 3,500
    BRIAN GOLDSTEIN
    31 SPRINGFIELD STREET APT 2
    SOMERVILLE,MA02143     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 531
    SHALOMA GAUTHIER
    ONTARIO
    TORONTO,TORONTOM2L 1J4
    CA     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,972
    JULIA FOULKES
    202 ST MARKS AVENUE 3
    BROOKLYN,NY11238     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,000
    KAREN FLYNN
    2417 MORRISSEY PARK DRIVE
    CHAMPAIGN,IL61821     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,465
    JUSTINE FAURE
    56 RUE DE DUNKERQUE
    PARIS,PARIS75009
    FR     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 3,000
    JOSHUA D FARRINGTON
    319 JOHNS TURN TRAIL
    LEXINGTON,KY40514     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,500
    SUSANNAH ENGSTROM
    1015 N PAULINA STREET UNIT 2
    CHICAGO,IL60622     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,202
    CARLOS ROBERTO DE SOUZA
    808 UVALE AVENUE 103
    MC ALLEN,TX78503     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,500
    RODRIGO CESAR DA SILVA MARGAIHAES
    15 PARKWAY APR K
    GREENBELT,MD20770     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,633
    CLAITON MARCIO DA SILVA
    RUA FRANCISCO DIAS VELHO
    PASSO DOS FORTES,PASSO DOS FORTES930D
    BR     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,500
    PATRICIA D'ANTONIO
    231 AVON ROAD
    NARBERTH,PA19070     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,335
    WINIFRED CONNERTON
    469 RIPKA STREET
    PHILADELPHIA,PA19128     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 866
    ZHEN CHENG
    XUEYUSN ROSD
    BEIJING,BEIJING100191
    CH     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 5,000
    MATHIEU CAULIER
    115 RUE ANTOINE DE SAINT-EXUPERY
    AMIENS,AMIENS80090
    FR     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,962
    FRANCESCO CASSATA
    VIA BALBI 6
    GENOA,GENOA16126
    IT     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,000
    LIPING BU
    123 W DOWNIE STREET
    ALMA,MI48801     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,913
    YEHONATHAN BRODSKI
    7650 MAESTRO AVENUE
    WEST HILLS,CA91304     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,500
    JILL BRIGGS
    4619 FLORIDA STREET
    SAN DIEGO,CA92116     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,376
    MARSHA BARRETT
    4731 LONGCOURT DRIVE
    SMYRNA,GA30080     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 4,961
    PAUL L ADLER
    3313 17TH STREET
    NW WASHINGTON,DC20010     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,481
    Total .................................bullet 3a 99,077
    bApproved for future payment
    Total .................................bullet 3b  
    Form 990-PF (2011)
    Form 990-PF (2011)
    Page 11
    Part XVI-A
    Analysis of Income-Producing Activities
    Enter gross amounts unless otherwise indicated. Unrelated business income Excluded by section 512, 513, or 514 (e)
    Related or exempt
    function income
    (See page 28 of
    the instructions.)
    1Program service revenue: (a)
    Business code     		(b)
    Amount     		(c)
    Exclusion code     		(d)
    Amount
    acopy service for research         34,386
    b
    c
    d
    e
    f
    gFees and contracts from government agencies          
    2 Membership dues and assessments....          
    3Interest on savings and temporary cash investments     14 1,817  
    4 Dividends and interest from securities....     14 5,274,120  
    5 Net rental income or (loss) from real estate:
    aDebt-financed property......          
    bNot debt-financed property.....          
    6Net rental income or (loss) from personal property          
    7 Other investment income.....          
    8Gain or (loss) from sales of assets other than inventory          
    9 Net income or (loss) from special events:          
    10 Gross profit or (loss) from sales of inventory..          
    11 Other revenue: a
    b
    c
    d
    e
    12 Subtotal. Add columns (b), (d), and (e)..   5,275,937 34,386
    13Total. Add line 12, columns (b), (d), and (e)..................
    135,310,323
    (See worksheet in line 13 instructions on page 28 to verify calculations.)
    Part XVI-B
    Relationship of Activities to the Accomplishment of Exempt Purposes
    Line No.
    DownArrow     		Explain below how each activity for which income is reported in column (e) of Part XVI-A contributed importantly to
    the accomplishment of the organization’s exempt purposes (other than by providing funds for such purposes). (See
    page 28 of the instructions.)
    1a copy service for researchers who use the facility as documents cannot leave the archive center. This aids in there ability to document their research.
    Form 990-PF (2011)
    Form 990-PF (2011)
    Page 12
    Part XVII
    Information Regarding Transfers To and Transactions and Relationships With Noncharitable Exempt Organizations
    1
    Did the organization directly or indirectly engage in any of the following with any other organization described in section
    Yes
    No
    501(c) of the Code (other than section 501(c)(3) organizations) or in section 527, relating to political organizations?
    a
    Transfers from the reporting foundation to a noncharitable exempt organization of:
    (1) Cash...................................
    1a(1)
     
    No
    (2) Other assets.................................
    1a(2)
     
    No
    b
    Other transactions:
    (1) Sales of assets to a noncharitable exempt organization....................
    1b(1)
     
    No
    (2) Purchases of assets from a noncharitable exempt organization..................
    1b(2)
     
    No
    (3) Rental of facilities, equipment, or other assets.......................
    1b(3)
     
    No
    (4) Reimbursement arrangements...........................
    1b(4)
     
    No
    (5) Loans or loan guarantees.............................
    1b(5)
     
    No
    (6) Performance of services or membership or fundraising solicitations................
    1b(6)
     
    No
    c
    Sharing of facilities, equipment, mailing lists, other assets, or paid employees..............
    1c
     
    No
    d
    If the answer to any of the above is “Yes,” complete the following schedule. Column (b) should always show the fair market value
    of the goods, other assets, or services given by the reporting foundation. If the foundation received less than fair market value
    in any transaction or sharing arrangement, show in column (d) the value of the goods, other assets, or services received.
    (a) Line No. (b) Amount involved (c) Name of noncharitable exempt organization (d) Description of transfers, transactions, and sharing arrangements
    2a
    Is the foundation directly or indirectly affiliated with, or related to, one or more tax-exempt organizations
    described in section 501(c) of the Code (other than section 501(c)(3)) or in section 527?...........
    b
    If “Yes,” complete the following schedule.
    (a) Name of organization (b) Type of organization (c) Description of relationship
    SignHere
    Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, it is true, correct, and complete. Declaration of preparer (other than taxpayer or fiduciary) is based on all information of which preparer has any knowledge.
    Bullet Bullet
    Signature of officer or trustee Date Title
    PaidPreparersUseOnly Preparer's SignatureBullet Date PTIN
    Firm's namebullet



    Firm's addressbullet







         		Firm's EINbullet
    Phone no.
    Form 990-PF (2011)
    Additional Data


    Software ID: 11000144
    Software Version: 2011v1.5


    Form 990PF - Special Condition Description:
    Special Condition Description
    Schedule B
    (Form 990, 990-EZ,
    or 990-PF)
    Department of the Treasury
    Internal Revenue Service
    Schedule of Contributors
    Arrow Bullet Attach to Form 990, 990-EZ, or 990-PF.
    OMB No. 1545-0047
    2011
    Name of organization
    ROCKEFELLER ARCHIVE CENTER
     
    Employer identification number

    20-8030810
    Organization type (check one):
    Filers of:
    Section:
    Form 990 or 990-EZ





    Form 990-PF




    Check if your organization is covered by the General Rule or a Special Rule.  
    Note. Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.
    General Rule
    Special Rules
    ......................... Arrow Bullet   $    
    Caution. An Organization that is not covered by the General Rule and/or the Special Rules does not file Schedule B (Form 990,
    990-EZ, or 990-PF), but it must answer “No” on Part IV, line 2, of its Form 990; or check the box on line H of its
    Form 990-EZ or on Part I, line 2, of its Form 990-PF, to certify that it does not meet the filing requirements of Schedule B (Form 990,
    990-EZ, or 990-PF).
    For Paperwork Reduction Act Notice, see the Instructions
    for Form 990, 990-EZ, or 990-PF.
    Cat. No. 30613XSchedule B (Form 990, 990-EZ, or 990-PF) (2011)

    Page 2
    Schedule B (Form 990, 990-EZ, or 990-PF) (2011)
    Name of organization
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number

    20-8030810
    Part I
    Contributors (see Instructions). Use duplicate copies of Part I if additional space is needed.
    		     
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    11
     
     

    SOCIAL SCIENCE RESEARCH COUNCIL    
    ONE PIERREPORT PLAZA 15TH FL
       
    BROOKLYN, NY   11201

    		$10,000




    (Complete Part II if there is a noncash contribution.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    10
     
     

    ROCKEFELLER PHILANTHROPY ADVISORS    
    6 WEST 48TH STREET 10TH FLOOR
       
    NEW YORK, NY   10036

    		$15,000




    (Complete Part II if there is a noncash contribution.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    9
     
     

    LAURANCE S ROCKEFELLER FUND    
    30 ROCKEFELLER PLAZA RM 5600
       
    NEW YORK, NY   10112

    		$20,000




    (Complete Part II if there is a noncash contribution.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    8
     
     

    FOUNDATION FOR CHILD DEVELOPMENT    
    295 MADISON AVENUE 40TH FL
       
    NEW YORK, NY   10017

    		$14,447




    (Complete Part II if there is a noncash contribution.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    7
     
     

    TACONIC FOUNDATION    
    100 WALL STREET 12TH FLOOR
       
    NEW YORK, NY   10005

    		$210,000




    (Complete Part II if there is a noncash contribution.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    6
     
     

    FORD FOUNDATION    
    320 EAST 43RD STREET
       
    NEW YORK, NY   10017

    		$248,000




    (Complete Part II if there is a noncash contribution.)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2011)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2011)
    Name of organization
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number

    20-8030810
    Part I
    Contributors (see Instructions). Use duplicate copies of Part I if additional space is needed.
    		     
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    5
     
     

    THE ROCKEFELLER FOUNDATION    
    420 FIFTH AVENUE
       
    NEW YORK, NY   10018

    		$271,800




    (Complete Part II if there is a noncash contribution.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    4
     
     

    THE NEAR EAST FOUNDATION    
    900 S CROUSE AVENUE
       
    SYRACUSE, NY   13244

    		$5,000




    (Complete Part II if there is a noncash contribution.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    3
     
     

    RUSSELL SAGE FOUNDATION    
    112 EAST 64TH STREET
       
    NEW YORK, NY   10065

    		$10,000




    (Complete Part II if there is a noncash contribution.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    2
     
     

    THE COMMONWEALTH FUND    
    ONE EAST 75TH STREET
       
    NEW YORK, NY   10021

    		$93,500




    (Complete Part II if there is a noncash contribution.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    1
     
     

    THE ROCKEFELLER UNIVERSITY    
    1230 YORK AVENUE
       
    NEW YORK, NY   10065

    		$500,000




    (Complete Part II if there is a noncash contribution.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
     
     
     

         
     
       

    		$  




    (Complete Part II if there is a noncash contribution.)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2011)

    Page 3
    Schedule B (Form 990, 990-EZ, or 990-PF) (2011)
    Name of organization
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number

    20-8030810
    Part II
    Noncash Property (see Instructions). Use duplicate copies of Part II if additional space is needed.
    		     
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions).     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions).     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions).     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions).     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions).     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions).     		(d)
    Date received
     
    		$    
    Schedule B (Form 990, 990-EZ, or 990-PF) (2011)

    Page 4
    Schedule B (Form 990, 990-EZ, or 990-PF) (2011)
    Name of organization
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number

    20-8030810
    Part III
    Exclusively religious, charitable, etc., individual contributions to section 501(c)(7), (8), or (10) organizations
    that total more than $1,000 for the year. Complete columns (a) through (e) and the following line entry.
    For organizations completing Part III, enter the total of exclusively religious, charitable, etc.,
    contributions of $1,000 or less for the year. (Enter this information once. See instructions.) Arrow Bullet $  
    Use duplicate copies of Part III if additional space is needed
    (a) No.
    from
    Part I    		 (b)
    Purpose of gift    		 (c)
    Use of gift    		 (d)
    Description of how gift is held
     
    (e)
    Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
           
     
    (a) No.
    from
    Part I    		 (b)
    Purpose of gift    		 (c)
    Use of gift    		 (d)
    Description of how gift is held
     
    (e)
    Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
           
     
    (a) No.
    from
    Part I    		 (b)
    Purpose of gift    		 (c)
    Use of gift    		 (d)
    Description of how gift is held
     
    (e)
    Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
           
     
    (a) No.
    from
    Part I    		 (b)
    Purpose of gift    		 (c)
    Use of gift    		 (d)
    Description of how gift is held
     
    (e)
    Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
           
     
    Schedule B (Form 990, 990-EZ, or 990-PF) (2011)

    Additional Data


    Software ID: 11000144
    Software Version: 2011v1.5

    TY 2011 AccountingFeesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:11000144
    Software Version:2011v1.5
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    accounting and tax services 43,150 0 0 473

    TY 2011 ContractorCompensationExpln
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:11000144
    Software Version:2011v1.5
    Contractor Explanation
    THE ROCKEFELLER UNIVERSITY  

    TY 2011 LandEtcSchedule2
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:11000144
    Software Version:2011v1.5
    Category / Item Cost / Other Basis Accumulated Depreciation Book Value End of Year Fair Market Value
    Land 4,861,978   4,861,978 4,861,978
    Buildings 13,758,212 1,437,760 12,320,452 12,320,452
    Machinery and Equipment 1,790,926 43,953 1,746,973 1,746,973
    Furniture and Fixtures 42,994 2,150 40,844 40,844
    Auto./Transportation Equip. 40,495   40,495 40,495


    TY 2011 LegalFeesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:11000144
    Software Version:2011v1.5
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    LEGAL ADVISE 42,562 0 0 36,568


    TY 2011 OtherAssetsSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:11000144
    Software Version:2011v1.5
    Description Beginning of Year - Book Value End of Year - Book Value End of Year - Fair Market Value
    CAPITAL PROJECTS IN PROGRESS   272,398 272,398


    TY 2011 OtherDecreasesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:11000144
    Software Version:2011v1.5
    Description Amount
    nET INVESTMENT DEPRECIATION 5,390,080


    TY 2011 OtherExpensesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:11000144
    Software Version:2011v1.5
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    scholarly conferences and workshops 48,570     46,513
    POSTAGE AND SUPPLIES 124,924     225,741
    Penalty 8,778      
    PAYROLL SERVICE FEES 6,946     6,946
    MISCELLANEOUS 9,176     7,152
    MEMBERSHIPS 24,142     19,239
    DIGITIZATION AND MICROFILMING 95,595     104,245
    COMPUTER, SOFTWARE & LICENSING 17,287     30,454


    TY 2011 OtherIncomeSchedule2
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:11000144
    Software Version:2011v1.5
    Description Revenue And Expenses Per Books Net Investment Income Adjusted Net Income
    copy service for research 34,386    


    TY 2011 OtherLiabilitiesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:11000144
    Software Version:2011v1.5
    Description Beginning of Year - Book Value End of Year - Book Value
    Rounding   1
    DUE TO THE ROCKEFELLER UNIVERSITY 210,230 230,556
    EXCISE TAXES PAYABLE 168,001 40,186


    TY 2011 OtherProfessionalFeesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:11000144
    Software Version:2011v1.5
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    FINANCIAL SERVICES/INVESTMENT FEES 564,774 564,774 564,774 0
    ADVISORY & PROFESSIONAL SUPPORT 184,161 0 0 140,405


    TY 2011 TaxesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:11000144
    Software Version:2011v1.5
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    EXCISE TAXES 70,118   70,118