Form990-PF
Click to see list of attachments

Department of the Treasury
Internal Revenue Service
Return of Private Foundation
or Section 4947(a)(1) Trust Treated as Private Foundation
bulletDo not enter Social Security numbers on this form as it may be made public. By law, the IRS cannot redact the information on the form.
bulletInformation about Form 990-PF and its instructions is at www.irs.gov/form990pf.
OMB No. 1545-0052
2013
Open to Public Inspection
For calendar year 2013, or tax year beginning 01-01-2013 , and ending 12-31-2013
Name of foundation
UTICA NATIONAL GROUP FOUNDATION INC
 

Number and street (or P.O. box number if mail is not delivered to street address)PO BOX 530   Room/suite
City or town, state or province, country, and ZIP or foreign postal code
UTICA, NY13503
A Employer identification number

16-1313450
B Telephone number (see instructions)

(315) 734-2000
C bullet
G Check all that apply:

D 1. bullet
2. bullet
E bullet
H Check type of organization:
I Fair market value of all assets at end
of year (from Part II, col. (c),
line 16)bullet$6,339,877J Accounting method:
 
(Part I, column (d) must be on cash basis.)
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 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)  
2 Check bullet
3 Interest on savings and temporary cash investments      
4 Dividends and interest from securities...... 211,585 211,585 211,585
5a Gross rents..............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10 307,222
b Gross sales price for all assets on line 6a 1,345,595
7 Capital gain net income (from Part IV, line 2)... 307,222
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).......      
12 Total. Add lines 1 through 11........ 518,807 518,807 211,585
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc.        
14 Other employee salaries and wages......        
15 Pension plans, employee benefits.......        
16a Legal fees (attach schedule).........        
b Accounting fees (attach schedule).......        
c Other professional fees (attach schedule).... Click to see attachment 7,921 7,921 7,921  
17 Interest...............        
18 Taxes (attach schedule) (see instructions) Click to see attachment 8,400   250  
19 Depreciation (attach schedule) and depletion...      
20 Occupancy..............        
21 Travel, conferences, and meetings.......        
22 Printing and publications..........        
23 Other expenses (attach schedule)....... Click to see list of attachments 2,595 2,595 2,595  
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 18,916 10,516 10,766 0
25 Contributions, gifts, grants paid........ 292,819 292,819
26 Total expenses and disbursements. Add lines 24 and 25 311,735 10,516 10,766 292,819
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements 207,072
b Net investment income (if negative, enter -0-) 508,291
c Adjusted net income (if negative, enter -0-)... 200,819
For Paperwork Reduction Act Notice, see instructions.
Cat. No. 11289X Form 990-PF (2013)
Form 990-PF (2013)
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............... 24,956 38,222 38,222
2 Savings and temporary cash investments.......... 358,043 64,354 64,354
3 Accounts receivable bullet  
Less: allowance for doubtful accounts bullet        
4 Pledges receivable bullet  
Less: allowance for doubtful accounts bullet        
5 Grants receivable.................      
6 Receivables due from officers, directors, trustees, and other
disqualified persons (attach schedule) (see 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...........      
10a Investments—U.S. and state government obligations (attach schedule) 128,324 Click to see attachment718,178 782,353
b Investments—corporate stock (attach schedule)........ 2,068,164 Click to see attachment2,375,573 3,132,937
c Investments—corporate bonds (attach schedule)........ 2,585,267 Click to see attachment2,175,499 2,322,011
11 Investments—land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
12 Investments—mortgage loans..............      
13 Investments—other (attach schedule)...........      
14 Land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
15 Other assets (describe bullet)      
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 5,164,754 5,371,826 6,339,877
Liabilities 17 Accounts payable and accrued expenses..........    
18 Grants payable...................    
19 Deferred revenue..................    
20 Loans from officers, directors, trustees, and other disqualified persons    
21 Mortgages and other notes payable (attach schedule)......    
22 Other liabilities (describe bullet)    
23 Total liabilities (add lines 17 through 22)..........   0
Net Assets or Fund Balances bullet
and complete lines 24 through 26 and lines 30 and 31.
24 Unrestricted....................    
25 Temporarily restricted................    
26 Permanently restricted................    
bullet
and complete lines 27 through 31.
27 Capital stock, trust principal, or current funds......... 750,000 750,000
28 Paid-in or capital surplus, or land, bldg., and equipment fund 4,362,385 4,362,385
29 Retained earnings, accumulated income, endowment, or other funds 52,369 259,441
30 Total net assets or fund balances (see page 17 of the
instructions).................... 5,164,754 5,371,826
31 Total liabilities and net assets/fund balances (see page 17 of
the instructions).................. 5,164,754 5,371,826
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 5,164,754
2 Enter amount from Part I, line 27a..................... 2 207,072
3 Other increases not included in line 2 (itemize) bullet 3  
4 Add lines 1, 2, and 3.......................... 4 5,371,826
5 Decreases not included in line 2 (itemize) bullet 5  
6 Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 30. 6 5,371,826
Form 990-PF (2013)
Form 990-PF (2013)
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 2 307,222
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 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))
2012 255,001 5,904,149 0.04319
2011 238,713 5,588,387 0.04272
2010 181,430 4,828,288 0.03758
2009 180,691 5,197,424 0.03477
2008 227,950 5,672,634 0.04018
2 Total of line 1, column (d) ...................... 2 0.19843
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 0.03969
4 Enter the net value of noncharitable-use assets for 2013 from Part X, line 5..... 4 5,992,082
5 Multiply line 4 by line 3....................... 5 237,802
6 Enter 1% of net investment income (1% of Part I, line 27b)........... 6 5,083
7 Add lines 5 and 6......................... 7 242,885
8 Enter qualifying distributions from Part XII, line 4.............. 8 292,819
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.
Form 990-PF (2013)
Form 990-PF (2013)
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 5,083
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 5,083
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 5,083
6 Credits/Payments:
a 2013 estimated tax payments and 2012 overpayment credited to 2013 6a 9,461
b Exempt foreign organizations—tax withheld at source....... 6b
c Tax paid with application for extension of time to file (Form 8868) 6c 2,039
d Backup withholding erroneously withheld ........... 6d  
7 Total credits and payments. Add lines 6a through 6d.............. 7 11,500
8 Enter any penalty for underpayment of estimated tax. if Form 2220 is attached. Click to see attachment 8 4
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 6,413
11 Enter the amount of line 10 to be: Credited to 2014 estimated taxBullet6,413 RefundedBullet 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
    Yes
     
    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 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 2013 or the taxable year beginning in 2013 (see instructions for Part XIV)?
    If "Yes," complete Part XIV.............................
    9
     
    No
    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 instructions) .............
    11
     
    No
    12
    Did the foundation make a distribution to a donor advised fund over which the foundation or a disqualified person had
    advisory privileges? If "Yes," attach statement (see instructions).................
    12
     
    No
    13
    Did the foundation comply with the public inspection requirements for its annual returns and exemption application?
    13
    Yes
     
    Website addressbulletWWW.UTICANATIONAL.COM
    14
    The books are in care ofbulletBRIAN MILLER TREASURER Telephone no.bullet (315) 734-2000
    Located atbullet180 GENESEE STREETNEW HARTFORDNY ZIP+4bullet13413
    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 2013, did the foundation have an interest in or a signature or other authority over YesNo
    a bank, securities, or other financial account in a foreign country?
    16   No
    See 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 (2013)
    Form 990-PF (2013)
    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 2013?.............
    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 2013, did the foundation have any undistributed income (lines 6d
    and 6e, Part XIII) for tax year(s) beginning before 2013?...............
    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 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 2013 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 2013.)....................
    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 2013?
    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 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 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 (2013)
    Form 990-PF (2013)
    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 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
    J DOUGLAS ROBINSON President
    1.00     		0    
    180 GENESEE ST
    NEW HARTFORD,NY13413
    KRISTEN H MARTIN Secretary
    1.00     		0    
    180 GENESEE STREET
    NEW HARTFORD,NY13413
    BRIAN W MILLER Treasurer
    1.00     		0    
    180 GENESEE STREET
    NEW HARTFORD,NY13413
    RUSSELL A ACEVEDA Director
    0.25     		0    
    105 CLARMAR RD
    FAYETTEVILLE,NY13066
    C WILLIAM BACHMAN Director
    0.25     		0    
    26 WOODCLIFF TERRACE
    FAIRPORT,NY14450
    ALFRED B CALLIGARIS Director
    0.25     		0    
    16605 DEER RUN RD
    WATERTOWN,NY13601
    PAUL A HAGSTROM Director
    0.25     		0    
    7146 COLLEGE HIL RD
    CLINTON,NY13323
    GREGORY M HARDEN Director
    0.25     		0    
    5 FAIRWAY DRIVE
    MCCONNELLSVILLE,NY13401
    JERRY J HARTMAN Director
    0.25     		0    
    2301 KIRK AVE
    BALTIMORE,MD21218
    ZELDA J HOLCOMB Director
    0.25     		0    
    9540 LONGLOOK LAKE
    COLUMBIA,MD21045
    NICHOLAS O MATT Director
    0.25     		0    
    36 JORDAN RD
    NEW HARTFORD,NY13413
    ALAN J POPE Director
    0.25     		0    
    10220 PARADISE DR
    LARGO,FL33773
    TIMOTHY R REED Director
    0.25     		0    
    1 SHERMAN LANE
    UTICA,NY13501
    LINDA E ROMANO Director
    0.25     		0    
    4 OLD WILLOW RD
    NEW HARTFORD,NY13413
    RICHARD CREEDON Director
    0.25     		0    
    12 KINGSLEY COURT
    WHITESBORO,NY13492
    PETER O'NEILL Director
    0.25     		0    
    5065 HIGHBRIDGE LANE
    FAYETTEVILE,NY13066
    ERIC SCHOLL Director
    0.25     		0    
    835 NORTH SHORE DR
    ANNA MARIA,FL34216
    2 Compensation of five highest-paid employees (other than those included on line 1—see 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
    NONE
    Total number of other employees paid over $50,000...................bullet  
    3 Five highest-paid independent contractors for professional services (see instructions). If none, enter "NONE".
    (a) Name and address of each person paid more than $50,000 (b) Type of service (c) Compensation
    NONE
    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
     
    2  
    3  
    4  
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 7
    Part IX-B
    Summary of Program-Related Investments (see 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 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
     
    b
    Average of monthly cash balances.......................
    1b
     
    c
    Fair market value of all other assets (see instructions)................
    1c
     
    d
    Total (add lines 1a, b, and c).........................
    1d
     
    e
    Reduction claimed for blockage or other factors reported on lines 1a and
    1c (attach detailed explanation) .............
    1e
     
    2
    Acquisition indebtedness applicable to line 1 assets..................
    2
     
    3
    Subtract line 2 from line 1d.........................
    3
     
    4
    Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
    instructions) .............................
    4
     
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
     
    6
    Minimum investment return. Enter 5% of line 5..................
    6
     
    Part XI
    Distributable Amount bullet and do not complete this part.)
    1
    Minimum investment return from Part X, line 6....................
    1
    299,604
    2a
    Tax on investment income for 2013 from Part VI, line 5......
    2a
    5,083
    b
    Income tax for 2013. (This does not include the tax from Part VI.)...
    2b
     
    c
    Add lines 2a and 2b............................
    2c
    5,083
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
    294,521
    4
    Recoveries of amounts treated as qualifying distributions................
    4
     
    5
    Add lines 3 and 4............................
    5
    294,521
    6
    Deduction from distributable amount (see instructions).................
    6
     
    7
    Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII,
    line 1................................
    7
    294,521
    Part XII
    Qualifying Distributions (see 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
     
    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
     
    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
    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 instructions).................
    5
     
    6
    Adjusted qualifying distributions. Subtract line 5 from line 4..............
    6
     
    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 (2013)
    Form 990-PF (2013)
    Page 8
    Part XIII
    Undistributed Income (see instructions)
    (a)
    Corpus     		(b)
    Years prior to 2012     		(c)
    2012     		(d)
    2013
    1 Distributable amount for 2013 from Part XI, line 7 294,521
    2 Undistributed income, if any, as of the end of 2013:
    a Enter amount for 2012 only....... 76,365
    b Total for prior years:20, 20, 20  
    3 Excess distributions carryover, if any, to 2013:
    a From 2008.......  
    b From 2009.......  
    c From 2010.......  
    d From 2011.......  
    e From 2012.......  
    fTotal of lines 3a through e.........  
    4Qualifying distributions for 2013 from Part
    XII, line 4: bullet$ 292,819
    a Applied to 2012, but not more than line 2a 76,365
    b Applied to undistributed income of prior years
    (Election required—see instructions)......     		 
    c Treated as distributions out of corpus (Election
    required—see instructions).........     		0
    d Applied to 2013 distributable amount..... 216,454
    e Remaining amount distributed out of corpus  
    5 Excess distributions carryover applied to 2013.    
    (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 instructions ...........     		 
    e Undistributed income for 2012. Subtract line
    4a from line 2a. Taxable amount—see
    instructions .............     		 
    f Undistributed income for 2013. Subtract
    lines 4d and 5 from line 1. This amount must
    be distributed in 2014 ..........     		78,067
    7 Amounts treated as distributions out of
    corpus to satisfy requirements imposed by
    section 170(b)(1)(F) or 4942(g)(3) (see
    instructions) .............     		 
    8Excess distributions carryover from 2008 not
    applied on line 5 or line 7 (see instructions) ...     		 
    9Excess distributions carryover to 2014.
    Subtract lines 7 and 8 from line 6a ......     		 
    10 Analysis of line 9:
    a Excess from 2009....  
    b Excess from 2010....  
    c Excess from 2011....  
    d Excess from 2012....  
    e Excess from 2013....  
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 9
    Part XIV
    Private Operating Foundations (see 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 2013, enter the date of the ruling.......bullet
     
    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) 2013 (b) 2012 (c) 2011 (d) 2010
             
    b 85% of line 2a .........          
    c Qualifying distributions from Part XII,
    line 4 for each year listed .....     		         
    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 ....     		         
    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...     		         
    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 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 or e-mail address of the person to whom applications should be addressed:
    BERNARD TURI
    PO BOX 530
    UTICA,NY13503
    (315) 734-2000
    N/A
    bThe form in which applications should be submitted and information and materials they should include:
    SEE ATTACHED GUIDELINES
    cAny submission deadlines:
    01/15, 04/15, 07/15, 10/15
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    SEE ATTACHED GUIDELINES
    Form 990-PF (2013)
    Form 990-PF (2013)
    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
    AMERICAN HEART ASSOCIATION
    PO BOX 417005
    BOSTON,MA02241     		NONE PC MEMORIAL GIFT 500
    ST BALDRICK'S FOUNDATION
    1333 S MAYFLOWER AVE
    MONROVIA,CA91016     		NONE PC BALD IS BEAUTIFUL PROGRAM 100
    ALZHEIMERS ASSOCIATION INC
    PO BOX 96011
    WASHINGTON,DC20090     		NONE PC MEMORIAL GIFT 100
    2013 CHRISTOPHER DONALTY CURE
    PO BOX 183
    WASHINGTON MILLS,NY13479     		NONE PC DIAMONDS LEADERSHIP CIRCLE 2,500
    FRANKLIN HOSPITAL HOSPICE UNIT
    900 FRANKLIN AVE
    VALLEY STREAM,NY11580     		NONE PC MEMORIAL GIFT 50
    FREEDOM GUIDE DOGS FOR THE BLIND
    1210 HARDSCRABBLE ROAD
    CASSVILLE,NY13318     		NONE PC PROGRAM SERVICES 15,500
    UTICA SAFE SCHOOLS
    106 MEMORIAL PARKWAY
    UTICA,NY13501     		NONE PC BUILD A BIKE EVENT 1,500
    BOILERMAKER ROAD RACE
    PO BOX 512
    UTICA,NY13503     		NONE PC CHILDREN'S DEVELOPMENT RACE 20,000
    SAUQUOIT VALLEY LIONS CLUB
    9282 PARIS HILL ROAD
    SAUQUOIT,NY13456     		NONE PC PROGRAM SERVICES 250
    PATHWAY VILLAGE FOUNDATION
    3 CHENANGO ROAD
    EDMESTON,NY13365     		NONE PC SUPPORT FOR AGING INITIATIVE 25,000
    MUSCULAR DYSTROPHY ASSOCIATION
    6315 FLY ROAD
    EAST SYRACUSE,NY13057     		NONE PC CHILDRENS SUMMER CAMP 1,600
    HOUSE OF GOOD SHEPARD
    1550 CHAMPLIN AVE
    UTICA,NY13502     		NONE PC PROGRAM SERVICES 500
    SUNY INST OF TECHNOLOGY FOUNDATION
    100 SEYMOUR ROAD
    UTICA,NY13599     		NONE PC MINDSTORM MAGICIANS 500
    THE CHILDREN'S LEARNING CENTER
    380 WASGINGTON AVE
    ROOSEVELT,NY11575     		NONE PC MEMORIAL GIFT 250
    JOSEPH D CORR FOUNDATION
    87 SANGER AVE
    NEW HARTFORD,NY13413     		NONE PC PROGRAM SERVICES 1,000
    UNITED WAY RELIEF FUND
    201 LAFAYETTE ST SUITE 201
    UTICA,NY13502     		NONE PC FLOOD RELIEF 50,000
    HEALTH FRIENDS INC
    126 EAGLE STREET
    UTICA,NY13501     		NONE PC PROGRAM SERVICES 1,000
    BOYS GIRLS CLUB
    755 LANSING ST
    UTICA,NY13501     		NONE PC CAPITAL PROJECTS 7,500
    HOSPICE PALLIATIVE CARE
    4227 MIDDLE SETTLEMENT RD
    NEW HARTFORD,NY13413     		NONE PC ANNUAL APPEAL 1,000
    ST ELIZABETH'S MEDICAL CENTER
    2209 GENESEE ST
    UTICA,NY13501     		NONE PC PROGRAM SERVICES 750
    NEIGHBOR WORKS HOME OWNERSHIP
    1611 GENESEE ST
    UTICA,NY13501     		NONE PC CAPITAL IMPROVEMENT PROJECT 8,230
    JOHNSON PARK CENTER
    26 JOHNSON PARK
    UTICA,NY13503     		NONE PC SUPPORTIVE HOUSING LIVING PROGRAM 46,940
    CFLR INC
    502 COURT ST
    UTICA,NY13502     		NONE PC GOLF TOURNAMENT SPONSORSHIP 1,500
    PRESBYTERIAN HOMES FOUNDATION
    55 PRESWICK DRIVE
    NEW HARTFORD,NY13413     		NONE PC PARKINSON'S AWARENESS WALK 1,000
    JDRF OF CNY
    100 METROPOLITAN PARK DRIVE
    LIVERPOOL,NY13088     		NONE PC SWEET STEPS WALK 500
    911 NATIONAL DAY OF SERVICE
    220 MEMORIAL PARKWAY
    UTICA,NY13501     		NONE PC PROGRAM SERVICES 500
    JOHN BOSCO HOUSE INC
    425 LAFAYETTE ST
    UTICA,NY13502     		NONE PC CAPITAL IMPROVEMENT PROJECT 1,500
    THOMAS M LINDSEY FOUNDATION
    413 ORISKANY ST
    UTICA,NY13501     		NONE PC PROGRAM SERVICES 500
    THE CHILDREN'S MUSEUM
    311 MAIN STREET
    UTICA,NY13501     		NONE PC SPONSORSHIP 500
    WEST SPRINGFIELD BOYS GIRLS CLUB
    615 MAIN STREET
    WEST SPRINGFIELD,MA01089     		NONE PC MEMORIAL GIFT 1,000
    AMERICAN RED CROSS
    1415 GENESEE STREET
    UTICA,NY13501     		NONE PC FOR PHILLIPPINE RELIEF 1,000
    UNITED WAY OF RICHMOND
    PO BOX 11807
    RICHMOND,VA23230     		NONE PC CORPORATE PLEDGE DONATION 1,500
    UNITED WAY OF THE VALLEY GREATER UT
    270 GENESEE STREET
    UTICA,NY13502     		NONE PC CORPORATE PLEDGE DONATION 80,000
    UNITED WAY OF CENTRAL OHIO
    360 SOUTH THIRD STREET
    COLUMBUS,OH43215     		NONE PC CORPORATE PLEDGE DONATION 1,500
    UNITED WAY OF BUFFALOERIE CO
    742 DELAWARE AVE
    BUFFALO,NY14209     		NONE PC CORPORATE PLEDGE DONATION 750
    UNITED WAY OF MASS BAY MERRIMACK VA
    51 SLEEPER ST
    BOSTON,MA02210     		NONE PC CORPORATE PLEDGE DONATION 1,500
    MVCC FOUNDATION
    1101 SHERMAN DR
    UTICA,NY13599     		NONE PC MATCHING GIFT TO COLLEGE 350
    AUGUSTANA COLLEGE
    639 38TH STREET
    ROCK ISLAND,IL61201     		NONE PC MATCHING GIFT TO COLLEGE 250
    TRUSTEES OF THE UNIVERSITY OF PENN
    UNIVERSITY OF PENN
    PHILADELPHIA,PA19176     		NONE PC MATCHING GIFT TO COLLEGE 450
    BOSTON CONSERVATORY
    8 THE FENWAY
    BOSTON,MA02215     		NONE PC MATCHING GIFT TO COLLEGE 1,000
    UNIVERSITY OF ROCHESTER
    PO BOX 270032
    ROCHESTER,NY14627     		NONE PC MATCHING GIFT TO COLLEGE 1,300
    OSWEGO COLLEGE FOUNDATION
    219 SHELDON HALL
    OSWEGO,NY13126     		NONE PC MATCHING GIFT TO COLLEGE 125
    SUNY IT FOUNDATION
    100 SYEMOUR RD
    UTICA,NY13502     		NONE PC MATCHING GIFT TO COLLEGE 25
    HARTWICK COLLEGE
    PO BOX 4020
    ONEONTA,NY13820     		NONE PC MATCHING GIFT TO COLLEGE 25
    ST JOHN FISCHER COLLEGE
    3690 EAST AVE
    ROCHESTER,NY14618     		NONE PC MATCHING GIFT TO COLLEGE 250
    LEMOYNE COLLEGE
    1419 SALT SPRINGS RD
    SYRACUSE,NY13214     		NONE PC MATCHING GIFT TO COLLEGE 350
    UTICA COLLEGE
    1600 BURRSTONE RD
    UTICA,NY13502     		NONE PC MATCHING GIFT TO COLLEGE 2,375
    COLLEGE OF HOLY CROSS
    ONE COLLEGE ST
    WORCHESTER,MA01610     		NONE PC MATCHING GIFT TO COLLEGE 100
    TRUSTEES OF HAMILTON COLLEGE
    198 COLLEGE HILL RD
    CLINTON,NY13323     		NONE PC MATCHING GIFT TO COLLEGE 70
    AMERICAN COLLEGE
    270 S BRYN MAWR AVE
    BRYN MAWR,PA19010     		NONE PC MATCHING GIFT TO COLLEGE 50
    ST LAWRENCE UNIVERSITY
    23 ROODA DRIVE
    CANTON,NY13617     		NONE PC MATCHING GIFT TO COLLEGE 200
    PLATTSBURGH COLLEGE FOUNDATION
    101 BROAD ST
    PLATTSBURGH,NY12901     		NONE PC MATCHING GIFT TO COLLEGE 50
    UW EAU CLAIRE FOUNDATION
    214 SCHOFIELD HALL
    EAU CLARE,WI54702     		NONE PC MATCHING GIFT TO COLLEGE 400
    UNIVERSITY OF OKLAHOMA
    660 PARRINGTON OVAL
    NORMAN,OK73019     		NONE PC MATCHING GIFT TO COLLEGE 100
    SALVATION ARMY
    400 COLUMBIA ST
    UTICA,NY13501     		NONE PC PROGRAM SERVICES 1,000
    OPERATION SUNSHINE
    221 ORISKANY PLAZA
    UTICA,NY13501     		NONE PC OPERATION SUNSHINE FUND 1,000
    PARKWAY SENIOR CENTER
    229 MEMORIAL DR
    UTICA,NY13501     		NONE PC RED HAT PROGRAM 5,329
    Total .................................bullet 3a 292,819
    bApproved for future payment
    Total .................................bullet 3b  
    Form 990-PF (2013)
    Form 990-PF (2013)
    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 instructions.)
    1Program service revenue: (a)
    Business code     		(b)
    Amount     		(c)
    Exclusion code     		(d)
    Amount
    a
    b
    c
    d
    e
    f
    gFees and contracts from government agencies          
    2 Membership dues and assessments....          
    3
    Interest on savings and temporary cash investments ............     		         
    4 Dividends and interest from securities....     14 211,585  
    5 Net rental income or (loss) from real estate:
    aDebt-financed property......          
    bNot debt-financed property.....          
    6
    Net rental income or (loss) from personal property .............     		         
    7 Other investment income.....          
    8
    Gain or (loss) from sales of assets other than inventory .............     		    18 307,222  
    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)..   518,807  
    13Total. Add line 12, columns (b), (d), and (e)..................
    13518,807
    (See worksheet in line 13 instructions 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 foundation’s exempt purposes (other than by providing funds for such purposes). (See
    instructions.)
    Form 990-PF (2013)
    Form 990-PF (2013)
    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 501(c) of the Code (other than section 501(c)(3) organizations) or in section 527, relating to political
    Yes
    No
    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
    Sign Here
    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
    May the IRS discuss this return
    with the preparer shown below
    (see instr.)?
    Signature of officer or trustee Date Title
    Paid Preparer Use Only Print/Type preparer's name Preparer's Signature Date PTIN
    Firm's namebullet



    Firm's addressbullet







         		Firm's EINbullet
    Phone no.
    Form 990-PF (2013)
    Additional Data


    Software ID: 13000170
    Software Version: 2013v3.1


    Form 990PF - Special Condition Description:
    Special Condition Description

    TY 2013 InvestmentsCorpBondsSchedule
    Name:
    UTICA NATIONAL GROUP FOUNDATION INC
    EIN: 16-1313450
    Software ID:13000170
    Software Version:2013v3.1
    Name of Bond End of Year Book Value End of Year Fair Market Value
    SEE STATEMENT X 2,175,499 2,322,011

    TY 2013 InvestmentsCorpStockSchedule
    Name:
    UTICA NATIONAL GROUP FOUNDATION INC
    EIN: 16-1313450
    Software ID:13000170
    Software Version:2013v3.1
    Name of Stock End of Year Book Value End of Year Fair Market Value
    SEE STATEMENT X 2,375,573 3,132,937

    TY 2013 InvestmentsGovtObligationsSch
    Name:
    UTICA NATIONAL GROUP FOUNDATION INC
    EIN: 16-1313450
    Software ID:13000170
    Software Version:2013v3.1
    US Government Securities - End of Year Book Value:

    718,178
    US Government Securities - End of Year Fair Market Value:

    782,353
    State & Local Government Securities - End of Year Book Value:


     
    State & Local Government Securities - End of Year Fair Market Value:


     


    TY 2013 OtherExpensesSchedule
    Name:
    UTICA NATIONAL GROUP FOUNDATION INC
    EIN: 16-1313450
    Software ID:13000170
    Software Version:2013v3.1
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    BANK FEES 2,552 2,552 2,552  
    Office Expense 43 43 43  


    TY 2013 OtherProfessionalFeesSchedule
    Name:
    UTICA NATIONAL GROUP FOUNDATION INC
    EIN: 16-1313450
    Software ID:13000170
    Software Version:2013v3.1
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    INVESTMENT MANAGEMENT FEES 7,921 7,921 7,921 0


    TY 2013 TaxesSchedule
    Name:
    UTICA NATIONAL GROUP FOUNDATION INC
    EIN: 16-1313450
    Software ID:13000170
    Software Version:2013v3.1
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    2012 NYS FILING FEE 250   250  
    IRS ESTIMATED TAX PAYMENTS 8,150