The Perna-Rose Foundation For Hope Inc — Form 990PF, tax year 2013

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- TIN:

Form990-PF

Department of the Treasury
Internal Revenue Service

Return of Private Foundation

or Section 4947(a)(1) Trust Treated as Private Foundation

Do 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.
bullet

Information 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 07-01-2013 , and ending 06-30-2014

Name of foundation
THE PERNA-ROSE FOUNDATION FOR HOPE INC

Number and street (or P.O. box number if mail is not delivered to street address)50 KNOBLOCH LANE Room/suite

City or town, state or province, country, and ZIP or foreign postal code
STAMFORD, CT06902

A Employer identification number

35-2357099

B Telephone number (see instructions)

(203) 327-6348

C If exemption application is pending, check here bullet

G Check all that apply: Initial returnInitial return of a former public charity
Final returnAmended return
Address changeName change

D 1. Foreign organizations, check here ............. bullet

2. Foreign organizations meeting the 85% test,
check here and attach computation ........... bullet

E If private foundation status was terminated
under section 507(b)(1)(A), check here ......... bullet

H Check type of organization: Section 501(c)(3) exempt private foundation
Section 4947(a)(1) nonexempt charitable trustOther taxable private foundation

I Fair market value of all assets at end
of year (from Part II, col. (c),
line 16) bullet

$3,665,684J Accounting method: Cash Accrual
Other (specify)
(Part I, column (d) must be on cash basis.)

F If the foundation is in a 60-month termination
under section 507(b)(1)(B), check here ......... bullet

	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	(d) Disbursements for charitable purposes (cash basis only)


1	Contributions, gifts, grants, etc., received (attach schedule)	300,000
2	Check
3	Interest on savings and temporary cash investments	15		15
4	Dividends and interest from securities......	107,447		107,447
5a	Gross rents..............
b	Net rental income or (loss)
6a	Net gain or (loss) from sale of assets not on line 10		96,814
b	Gross sales price for all assets on line 6a 1,130,305
7	Capital gain net income (from Part IV, line 2)...			96,814
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........	504,276		204,276
13	Compensation of officers, directors, trustees, etc.	0		0	0
14	Other employee salaries and wages......
15	Pension plans, employee benefits.......
16a	Legal fees (attach schedule).........		800	0	800
b	Accounting fees (attach schedule).......		3,500	0	3,500
c	Other professional fees (attach schedule)....
17	Interest...............
18	Taxes (attach schedule) (see instructions)		1,976	0	0
19	Depreciation (attach schedule) and depletion...
20	Occupancy..............
21	Travel, conferences, and meetings.......
22	Printing and publications..........
23	Other expenses (attach schedule).......		17,980	17,189	791
24	Total operating and administrative expenses.
	Add lines 13 through 23..........	24,256		17,189	5,091
25	Contributions, gifts, grants paid........	195,000			195,000
26	Total expenses and disbursements. Add lines 24 and 25	219,256		17,189	200,091
27	Subtract line 26 from line 12:
a	Excess of revenue over expenses and disbursements	285,020
b	Net investment income (if negative, enter -0-)			187,087
c	Adjusted net income (if negative, enter -0-)...

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
Part II		Balance Sheets		(a) Book Value	(b) Book Value	(c) Fair Market Value
	1	Cash—non-interest-bearing...............
	2	Savings and temporary cash investments..........		81,493	19,201	19,201
	3	Accounts receivable
		Less: allowance for doubtful accounts
	4	Pledges receivable
		Less: allowance for doubtful accounts
	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)
		Less: allowance for doubtful accounts
	8	Inventories for sale or use...............
	9	Prepaid expenses and deferred charges...........
	10a	Investments—U.S. and state government obligations (attach schedule)
	b	Investments—corporate stock (attach schedule)........		1,144,708	723,994	1,164,108
	c	Investments—corporate bonds (attach schedule)........
	11	Investments—land, buildings, and equipment: basis
		Less: accumulated depreciation (attach schedule)
	12	Investments—mortgage loans..............
	13	Investments—other (attach schedule)...........		1,532,191	2,300,812	2,482,375
	14	Land, buildings, and equipment: basis
		Less: accumulated depreciation (attach schedule)
	15	Other assets (describe )		6,296	5,701	0
	16	Total assets (to be completed by all filers—see the
		instructions. Also, see page 1, item I)		2,764,688	3,049,708	3,665,684
		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 )
23		Total liabilities (add lines 17 through 22)..........		0	0
		Foundations that follow SFAS 117, check here
		and complete lines 24 through 26 and lines 30 and 31.
	24	Unrestricted....................
	25	Temporarily restricted................
	26	Permanently restricted................
		Foundations that do not follow SFAS 117, check here
		and complete lines 27 through 31.
	27	Capital stock, trust principal, or current funds.........		0	0
	28	Paid-in or capital surplus, or land, bldg., and equipment fund		0	0
	29	Retained earnings, accumulated income, endowment, or other funds		2,764,688	3,049,708
	30	Total net assets or fund balances (see page 17 of the
		instructions)....................		2,764,688	3,049,708
	31	Total liabilities and net assets/fund balances (see page 17 of
		the instructions)..................		2,764,688	3,049,708

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	2,764,688
2	Enter amount from Part I, line 27a.....................	2	285,020
3	Other increases not included in line 2 (itemize)	3	0
4	Add lines 1, 2, and 3..........................	4	3,049,708
5	Decreases not included in line 2 (itemize)	5	0
6	Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 30.	6	3,049,708

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.)
1 a	910 SHS VANGUARD TOTAL BOND MKT	P	2010-08-18	2013-07-15
b	665 SHS ISHARES IBOXX $INVEST GR CORP BD ETF	P	2010-04-16	2013-07-15
c	4,167 SHS BLACKROCK CORP HI YLD FD V	P	2011-06-13	2013-07-15
d	4,220 SHS BLACKROCK CORP HI YLD FD V	P	2011-06-13	2013-08-06
e	930 SHS ISHARES CORE TOTAL US BD MLT ETF	P	2010-08-18	2013-08-06
	2,113 SHS BLACKROCK CORP HI YLD FD V	P	2011-06-13	2013-10-14
	2,147.017 SHS OPPENHEIMER SR FLTG RATE CL A	P	2012-12-30	2013-12-12
	4,948.874 SHS OPPENHEIMER SR FLTG RATE CL A	P	2012-12-03	2013-12-12
	7,109.005 SHS OPPENHEIMER SR FLTG RATE CL A	P	2012-06-26	2014-01-14
	408 SHS ISHARES CHINA LG CAP ETF	P	2009-08-25	2014-01-21
	103 SHS ISHARES S&P MID CAP 400 GRWTH ETF	P	2009-12-31	2014-01-21
	181 SHS ISHARES S&P SM CAP 600 GRWTH ETF	P	2009-10-30	2014-01-21
	300 SHS ISHARES MCSI BRAZIL CAPPED ETF	P	2009-08-25	2014-01-21
	126 SHS SPDR SER TR S&P DIVIDEND ETF	P	2012-04-24	2014-01-21
	509 SHS VANGUARD DIV APPRECIATION ETF	P	2009-06-03	2014-01-21
	130 SHS VANGUARD INDUSTRIALS ETF	P	2009-08-25	2014-01-21
	955.419 SHS WELLS FARGO ADVANTAGE GRWTH CL A	P	2011-06-13	2014-01-21
	2,225 SHS POWERSHARES EMERG MKTS SOV DEBT ETF	P	2011-09-28	2014-01-28
	7,125.891 SHS OPPENHEIMER SR FLTG RATE CL A	P	2012-07-23	2014-02-24
	7,134.364 SHS OPPENHEIMER SR FLTG RATE CL A	P	2012-08-27	2014-03-17
	9,225.092 SHS PIMPCO TOTAL RETURN CL D	P	2009-12-31	2014-04-15
	5,572.065 SHS THORNBURG LTD TERM INC CL A	P	2011-08-24	2014-04-15
	9,992.747 SHS OPPENHEIMER SR FLTG RATE CL A	P	2012-05-04	2014-05-19
	CAPITAL GAINS DIVIDENDS	P

(e) Gross sales price		(g) Cost or other basis plus expense of sale	(h) Gain or (loss) (e) plus (f) minus (g)
a	73,422	75,066	-1,644
b	75,955	70,045	5,910
c	50,329	43,974	6,355
d	49,941	48,870	1,071
e	99,342	96,718	2,624
	25,569	25,458	111
	18,078	17,967	111
	41,922	41,664	258
	60,000	59,491	509
	14,712	16,645	-1,933
	15,591	8,001	7,590
	21,513	9,322	12,191
	12,570	18,156	-5,586
	9,136	7,048	2,088
	37,981	20,518	17,463
	13,045	6,188	6,857
	48,851	32,668	16,183
	59,851	59,864	-13
	60,000	59,635	365
	60,000	59,707	293
	100,000	97,879	2,121
	75,000	74,975	25
	84,039	83,632	407
	23,458		23,458

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			-1,644
b			5,910
c			6,355
d			1,071
e			2,624
			111
			111
			258
			509
			-1,933
			7,590
			12,191
			-5,586
			2,088
			17,463
			6,857
			16,183
			-13
			365
			293
			2,121
			25
			407
			23,458

2	Capital gain net income or (net capital loss)	If gain, also enter in Part I, line 7 If (loss), enter -0- in Part I, line 7	2	96,814
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 . . . . . . . . . . . . . . . .		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? Yes No

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	150,968	3,115,185	0.048462
2011	149,589	2,670,678	0.056012
2010	138,079	2,461,438	0.056097
2009	100,479	2,059,125	0.048797
2008	15,200	623,029	0.024397

2	Total of line 1, column (d) ......................	2	0.233765
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	0.046753
4	Enter the net value of noncharitable-use assets for 2013 from Part X, line 5.....	4	3,583,496
5	Multiply line 4 by line 3.......................	5	167,539
6	Enter 1% of net investment income (1% of Part I, line 27b)...........	6	1,871
7	Add lines 5 and 6.........................	7	169,410
8	Enter qualifying distributions from Part XII, line 4..............	8	200,091
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)

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	Exempt operating foundations described in section 4940(d)(2), check hereand enter “N/A" on line 1.
	Date of ruling or determination letter: (attach copy of letter if necessary–see instructions)
b	Domestic foundations that meet the section 4940(e) requirements in Part V, check	1	1,871
	hereand 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	0
3	Add lines 1 and 2............................	3	1,871
4	Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-).	4	0
5	Tax based on investment income. Subtract line 4 from line 3. If zero or less, enter -0- .....	5	1,871
6	Credits/Payments:

a	2013 estimated tax payments and 2012 overpayment credited to 2013	6a	1,600
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	1,600
8	Enter any penalty for underpayment of estimated tax. Check hereif Form 2220 is attached.		8
9	Tax due. If the total of lines 5 and 8 is more than line 7, enter amount owed.......		9	271
10	Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid...		10
11	Enter the amount of line 10 to be: Credited to 2014 estimated tax	Refunded	11

Part VII-A

Statements Regarding Activities

During the tax year, did the foundation attempt to influence any national, state, or local legislation or did

Yes

it participate or intervene in any political campaign? ....................

Did it spend more than $100 during the year (either directly or indirectly) for political purposes (see page 19 of

the instructions for definition)?............................

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.

Did the foundation file Form 1120-POL for this year?.....................

Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year:

(1) On the foundation. bullet

$ 0(2) On foundation managers. bullet

$ 0

Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed

on foundation managers. bullet

$ 0

Has the foundation engaged in any activities that have not previously been reported to the IRS?.......

If "Yes," attach a detailed description of the activities.

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....

Did the foundation have unrelated business gross income of $1,000 or more during the year?........

If "Yes," has it filed a tax return on Form 990-T for this year?...................

Was there a liquidation, termination, dissolution, or substantial contraction during the year?.........

If "Yes," attach the statement required by General Instruction T.

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?................

Yes

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.

Yes

Enter the states to which the foundation reports or with which it is registered (see instructions)

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 .

Yes

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.............................

Did any persons become substantial contributors during the tax year? If "Yes," attach a schedule listing their names and addresses. Click to see attachment

Yes

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) .............

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).................

Did the foundation comply with the public inspection requirements for its annual returns and exemption application?

Yes

Website address bullet

WWW.PERNAFOUNDATIONFORHOPE.ORG

The books are in care of bullet

THE PERNA-ROSE FOUNDATION FOR HOPE INC Telephone no. bullet

(203) 927-6348

Located at bullet

50 KNOBLOCH LANESTAMFORDCT ZIP+4 bullet

06902

Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041 —Check here......... bullet

and enter the amount of tax-exempt interest received or accrued during the year ...... bullet

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)

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

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? YesNo

(2) Borrow money from, lend money to, or otherwise extend credit to (or accept it from)

a disqualified person?.........................YesNo

(3) Furnish goods, services, or facilities to (or accept them from) a disqualified person? YesNo

(4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person? YesNo

(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)?.................YesNo

(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.).........YesNo

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)?...

Organizations relying on a current notice regarding disaster assistance check here......... bullet

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?.............

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)):

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?...............YesNo

If "Yes," list the years bullet

20, 20, 20, 20

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.) ..............

If the provisions of section 4942(a)(2) are being applied to any of the years listed in 2a, list the years here.

20, 20, 20, 20

Did the foundation hold more than a 2% direct or indirect interest in any business enterprise at

any time during the year?.........................YesNo

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.)....................

Did the foundation invest during the year any amount in a manner that would jeopardize its charitable purposes?

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?

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))? YesNo

(2) Influence the outcome of any specific public election (see section 4955); or to carry

on, directly or indirectly, any voter registration drive?...............YesNo

(3) Provide a grant to an individual for travel, study, or other similar purposes? YesNo

(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)........YesNo

(5) Provide for any purpose other than religious, charitable, scientific, literary, or

educational purposes, or for the prevention of cruelty to children or animals?........YesNo

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)? ......

Organizations relying on a current notice regarding disaster assistance check here......... bullet

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?............YesNo

If "Yes," attach the statement required by Regulations section 53.4945–5(d).

Did the foundation, during the year, receive any funds, directly or indirectly, to pay premiums on

a personal benefit contract?........................YesNo

Did the foundation, during the year, pay premiums, directly or indirectly, on a personal benefit contract?....

If "Yes" to 6b, file Form 8870.

At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction? YesNo

If yes, did the foundation receive any proceeds or have any net income attributable to the transaction? ....

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
MELANIE ROSE	PRESIDENT 10.00	0	0	0
50 KNOBLOCH LANE STAMFORD,CT06902	PRESIDENT 10.00	0	0	0
JANET PERNA	TREASURER 10.00	0	0	0
50 KNOBLOCH LANE STAMFORD,CT06902	TREASURER 10.00	0	0	0
TINA WOODWARD	VICE-PRESIDENT 10.00	0	0	0
751 E CHARLESTON ROAD PALO ALTO,CA94303	VICE-PRESIDENT 10.00	0	0	0
GINGER PARRISH	SECRETARY 10.00	0	0	0
401 LANE DRIVE ELIZABETH CITY,NC27909	SECRETARY 10.00	0	0	0

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...................				0

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)

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.)

Fair market value of assets not used (or held for use) directly in carrying out charitable, etc.,

purposes:

Average monthly fair market value of securities...................

Average of monthly cash balances.......................

Fair market value of all other assets (see instructions)................

Total (add lines 1a, b, and c).........................

Reduction claimed for blockage or other factors reported on lines 1a and

1c (attach detailed explanation) .............

Acquisition indebtedness applicable to line 1 assets..................

Subtract line 2 from line 1d.........................

Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see

instructions) .............................

Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4

Minimum investment return. Enter 5% of line 5..................

Part XI

Distributable Amount (see instructions) (Section 4942(j)(3) and (j)(5) private operating foundations and certain foreign organizations check here bullet

and do not complete this part.)

Minimum investment return from Part X, line 6....................

179,175

Tax on investment income for 2013 from Part VI, line 5......

1,871

Income tax for 2013. (This does not include the tax from Part VI.)...

Add lines 2a and 2b............................

1,871

Distributable amount before adjustments. Subtract line 2c from line 1............

177,304

Recoveries of amounts treated as qualifying distributions................

Add lines 3 and 4............................

177,304

Deduction from distributable amount (see instructions).................

Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII,

line 1................................

177,304

Part XII

Qualifying Distributions (see instructions)

Amounts paid (including administrative expenses) to accomplish charitable, etc., purposes:

Expenses, contributions, gifts, etc.—total from Part I, column (d), line 26 ..........

Program-related investments—total from Part IX-B..................

Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc.,

purposes...............................

Amounts set aside for specific charitable projects that satisfy the:

Suitability test (prior IRS approval required)....................

Cash distribution test (attach the required schedule) .................

Qualifying distributions. Add lines 1a through 3b. Enter here and on Part V, line 8, and Part XIII, line 4

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).................

Adjusted qualifying distributions. Subtract line 5 from line 4..............

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)

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					177,304
2 Undistributed income, if any, as of the end of 2013:
a Enter amount for 2012 only.......				0
b Total for prior years:20, 20, 20			0
3 Excess distributions carryover, if any, to 2013:
a From 2008.......	3,173
b From 2009.......	6,241
c From 2010.......	19,759
d From 2011.......	18,421
e From 2012.......
fTotal of lines 3a through e.........		47,594
4Qualifying distributions for 2013 from Part
XII, line 4: $ 200,091
a Applied to 2012, but not more than line 2a				0
b Applied to undistributed income of prior years (Election required—see instructions)......			0
c Treated as distributions out of corpus (Election required—see instructions).........		0
d Applied to 2013 distributable amount.....					177,304
e Remaining amount distributed out of corpus		22,787
5 Excess distributions carryover applied to 2013.		0			0
(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		70,381
b Prior years’ undistributed income. Subtract line 4b from line 2b ...........			0
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......			0
d Subtract line 6c from line 6b. Taxable amount —see instructions ...........			0
e Undistributed income for 2012. Subtract line 4a from line 2a. Taxable amount—see instructions .............				0
f Undistributed income for 2013. Subtract lines 4d and 5 from line 1. This amount must be distributed in 2014 ..........					0
7 Amounts treated as distributions out of corpus to satisfy requirements imposed by section 170(b)(1)(F) or 4942(g)(3) (see instructions) .............		0
8Excess distributions carryover from 2008 not applied on line 5 or line 7 (see instructions) ...		3,173
9Excess distributions carryover to 2014. Subtract lines 7 and 8 from line 6a ......		67,208
10 Analysis of line 9:
a Excess from 2009....	6,241
b Excess from 2010....	19,759
c Excess from 2011....	18,421
d Excess from 2012....
e Excess from 2013....	22,787

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 section4942(j)(3) or4942(j)(5)

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	(e) Total

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).)

JANET PERNA

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

if the foundation only makes contributions to preselected charitable organizations and does not accept
unsolicited requests for funds. If the foundation makes gifts, grants, etc. (see instructions) to individuals or organizations under
other conditions, complete items 2a, b, c, and d.

aThe name, address, and telephone number of the person to whom applications should be addressed:

bThe form in which applications should be submitted and information and materials they should include:

cAny submission deadlines:

dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
factors:

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)		Foundation status of recipient	Purpose of grant or contribution	Amount
aPaid during the year
CTRI AMERICAN RED CROSS DISASTER RELIEF 209 FARMINGTON AVENUE FARMINGTON,CT06032		TAX EXEMPT ORG.	FOR TIFFANY CIRCLE QUALIFICATION	10,000
BEADS FOR EDUCATION INC 5501 VENTNOR AVE VENTNOR,NJ08406		TAX EXEMPT ORG.	FOR SCHOLARSHIP & GENERAL FUNDS	10,000
COLLEGE OF THE ALBEMARLE FOUNDATION 1208 NORTH ROAD ST ELIZABETH CITY,NC279062327		TAX EXEMPT ORG.	TRANSPORTATION FOR BASIS SKILLS STUDENTS	4,000
DOMESTIC VIOLENCE CRISIS CENTER 777 SUMMER STREET SUITE 400 STAMFORD,CT06901		TAX EXEMPT ORG.	UNRESTRICTED GENERAL FUNDS	5,000
FRIENDS OF CANTERA INC CO LISA FITZGERALD ESQ 1950 MASSACHUSETTS AVENUE CAMBRIDGE,MA02140		TAX EXEMPT ORG.	UNRESTRICTED GENERAL FUNDS	15,000
HABITAT FOR HUMANITY OF COASTAL FAIRFIELD COUNTY 1542 BARNUM AVENUE BRIDGEPORT,CT06610		TAX EXEMPT ORG.	UNRESTRICTED GENERAL FUNDS	5,000
HUMANE SOCIETY OF SILICON VALLEY 901 AMES AVENUE MILPITAS,CA95035		TAX EXEMPT ORG.	PET RESCUE & READY FOR ADOPTION PROGRAMS	15,000
NAPILI KAI FOUNDATION 5900 L HONOAPIILANI RD LAHAINA,HI96761		TAX EXEMPT ORG.	FOR SCHOLARSHIP FUND	5,000
OPIN INC (OUTREACH TO PETS IN NEED) 201 MAGEE AVENUE STAMFORD,CT06902		TAX EXEMPT ORG.	TO ASSIST ABUSED INDIVIDUALS WITH PETCARE NEEDS	3,000
OUR COMPANIONS DOMESTIC ANIMAL SANCTUARY PO BOX 673 BLOOMFIELD,CT06002		TAX EXEMPT ORG.	FOR CAMPAIGN TO BUILD SANCTUARY & OPERATING FUNDS	11,000
PERSON TO PERSON 1864 POST ROAD DARIEN,CT06820		TAX EXEMPT ORG.	FOR SCHOLARSHIPS	5,000
SUNY COLLEGE AT ONEONTA FOUNDATION 108 RAVINE PARKWAY ONEONTA,NY13820		TAX EXEMPT ORG.	FOR SCHOLARSHIP ENDOWMENT FUND	100,000
JOHNSTON HEALTH FOUNDATION TREE OF LIGHT PO BOX 1376 SMITHFIELD,NC27577		TAX EXEMPT ORG.	MEMORIAL GIFT - JUDY RAYE MIKLAS	1,000
COLLEGE OF THE ALBEMARLE FOUNDATION 1208 NORTH ROAD ST ELIZABETH CITY,NC279062327		TAX EXEMPT ORG.	FOR HELTH SCIENCES & WELLNESS PROGRAM EMERGANCY FUND	5,000
KIVA MICROFUNDS 875 HOWARD ST SAN FRANCISCO,CA94103		TAX EXEMPT ORG.	UNRESTRICTED GENERAL FUNDS	1,000
Total ................................. 3a				195,000

bApproved for future payment

Total ................................. 3b				0

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	(e) Related or exempt function income (See instructions.)
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 ............			14	15
4 Dividends and interest from securities....			14	107,447
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	96,814
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)..		0		204,276	0

13Total. Add line 12, columns (b), (d), and (e)..................

13204,276

(See worksheet in line 13 instructions to verify calculations.)

Part XVI-B

Relationship of Activities to the Accomplishment of Exempt Purposes

Line No.	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)

Page 12

Part XVII

Information Regarding Transfers To and Transactions and Relationships With Noncharitable Exempt Organizations

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

organizations?

Transfers from the reporting foundation to a noncharitable exempt organization of:

(1) Cash...................................

1a(1)

(2) Other assets.................................

1a(2)

Other transactions:

(1) Sales of assets to a noncharitable exempt organization....................

1b(1)

(2) Purchases of assets from a noncharitable exempt organization..................

1b(2)

(3) Rental of facilities, equipment, or other assets.......................

1b(3)

(4) Reimbursement arrangements...........................

1b(4)

(5) Loans or loan guarantees.............................

1b(5)

(6) Performance of services or membership or fundraising solicitations................

1b(6)

Sharing of facilities, equipment, mailing lists, other assets, or paid employees..............

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

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?...........YesNo

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.
				May the IRS discuss this return with the preparer shown below (see instr.)? Yes No
	Signature of officer or trustee	Date	Title

Paid Preparer Use Only	Print/Type preparer's name	Preparer's Signature	Date	Check if self- employed	PTIN
	Firm's name Firm's address			Firm's EIN
				Phone no.

Form 990-PF (2013)

Additional Data

Software ID:
Software Version:

Form 990PF - Special Condition Description:

Special Condition Description

- TIN:

Schedule B
(Form 990, 990-EZ,
or 990-PF)

Department of the Treasury
Internal Revenue Service

Schedule of Contributors

Attach to Form 990, 990-EZ, or 990-PF.

Information about Schedule B (Form 990, 990-EZ, or 990-PF) and its instructions is at www.irs.gov/form990.

OMB No. 1545-0047

2013

Name of the organization

THE PERNA-ROSE FOUNDATION FOR HOPE INC

Employer identification number

35-2357099

Organization type (check one):

Filers of:

Section:

Form 990 or 990-EZ

501(c)( ) (enter number) organization

4947(a)(1) nonexempt charitable trust not treated as a private foundation

527 political organization

Form 990-PF

501(c)(3) exempt private foundation

4947(a)(1) nonexempt charitable trust treated as a private foundation

501(c)(3) taxable private foundation

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

For an organization filing Form 990, 990-EZ, or 990-PF that received, during the year, $5,000 or more (in money or
property) from any one contributor. Complete Parts I and II.

Special Rules

For a section 501(c)(3) organization filing Form 990 or 990-EZ that met the 33¹/3% support test of the regulations
under sections 509(a)(1) and 170(b)(1)(A)(vi) and received from any one contributor, during the year, a contribution of the
greater of (1) $5,000 or (2) 2% of the amount on (i) Form 990, Part VIII, line 1h, or (ii) Form 990-EZ, line 1. Complete Parts I and II.

For a section 501(c)(7), (8), or (10) organization filing Form 990 or 990-EZ that received from any one contributor,
during the year, total contributions of more than $1,000 for use exclusively for religious, charitable,
scientific, literary, or educational purposes, or for the prevention of cruelty to children or animals. Complete Parts I, II, and
III.

For a section 501(c)(7), (8), or (10) organization filing Form 990 or 990-EZ that received from any one contributor,
during the year, contributions for use exclusively for religious, charitable, etc., purposes, but these contributions did
not total more than $1,000. If this box is checked, enter here the total contributions that were received during
the year for an exclusively religious, charitable, etc., purpose. Do not complete any of the parts unless the General Rule
applies to this organization because it received nonexclusively religious, charitable, etc., contributions of $5,000 or more
during the year ......................... 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 its Form 990PF, Part I, line 2, 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) (2013)

Schedule B (Form 990, 990-EZ, or 990-PF) (2013)

Page 2

Name of organization THE PERNA-ROSE FOUNDATION FOR HOPE INC

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
1	JANET PERNA 50 KNOBLOCH LANE STAMFORD, CT06902	$300,000	Person Payroll Noncash (Complete Part II for noncash contributions.)
(a) No.	(b) Name, address, and ZIP + 4	(c) Total contributions	(d) Type of contribution
		$	Person Payroll Noncash (Complete Part II for noncash contributions.)
(a) No.	(b) Name, address, and ZIP + 4	(c) Total contributions	(d) Type of contribution
		$	Person Payroll Noncash (Complete Part II for noncash contributions.)
(a) No.	(b) Name, address, and ZIP + 4	(c) Total contributions	(d) Type of contribution
		$	Person Payroll Noncash (Complete Part II for noncash contributions.)
(a) No.	(b) Name, address, and ZIP + 4	(c) Total contributions	(d) Type of contribution
		$	Person Payroll Noncash (Complete Part II for noncash contributions.)
(a) No.	(b) Name, address, and ZIP + 4	(c) Total contributions	(d) Type of contribution
		$	Person Payroll Noncash (Complete Part II for noncash contributions.)
Schedule B (Form 990, 990-EZ, or 990-PF) (2013)

Schedule B (Form 990, 990-EZ, or 990-PF) (2013)

Page 3

Name of organization THE PERNA-ROSE FOUNDATION FOR HOPE INC

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) (2013)

Schedule B (Form 990, 990-EZ, or 990-PF) (2013)

Page 4

Name of organization
THE PERNA-ROSE FOUNDATION FOR HOPE INC

Employer identification number

35-2357099

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

(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

(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

(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

(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) (2013)

Additional Data

Software ID:
Software Version:

- TIN:

TY 2013 AccountingFeesSchedule

Name:

THE PERNA-ROSE FOUNDATION FOR HOPE INC

EIN: 35-2357099

Category	Amount	Net Investment Income	Adjusted Net Income	Disbursements for Charitable Purposes
ACCOUNTING FEES	3,500	0		3,500

- TIN:

Note: To capture the full content of this document, please select landscape mode (11" x 8.5") when printing.

TY 2013 AmortizationSchedule

Name:

THE PERNA-ROSE FOUNDATION FOR HOPE INC

EIN: 35-2357099

Description of Amortized Expenses	Date Acquired, Completed, or Expended	Amount Amortized	Deduction for Prior Years	Amortization Method	Current Year Amortization	Net Investment Income	Adjusted Net Income	Total Amount of Amortization
ORGANIZATION COSTS	2009-02-09	8,924	2,628	180.000000000000	595	0		3,223

- TIN:

TY 2013 InvestmentsCorpStockSchedule

Name:

THE PERNA-ROSE FOUNDATION FOR HOPE INC

EIN: 35-2357099

Name of Stock	End of Year Book Value	End of Year Fair Market Value
2,831 SHS VANGUARD DIVIDEND APPREC ETF	141,227	220,676
10,500 SHS BLACKROCK CORP HI YLD FD V	0	0
665 SHS ISHARES $ INV GRADE CORP BD FD	0	0
695 SHS VANGUARD INDUSTRIALS ETF	35,401	72,447
1,035 SHS IBM CORP	84,622	187,614
910 SHS VANGUARD TOTAL BOND MKT ETF	0	0
300 SHS ISHARES MSCI BRAZIL FREE INDEX FD	0	0
408 SHS ISHARES TRUST FTSE HK CHINA 25 INDEX FD	0	0
212 SHS ISHARES S&P MIDCAP 400 GROWTH INDEX	9,099	33,301
479 SHS ISHARES S&P SMALLCAP 600 GROWTH	27,309	57,858
2,225 SHS POWERSHARES GLOBAL EXCH TRADED FUND TR EMERGING MRKTS SOVREIGN DEB	59,864	64,881
400 SHS SPDR SERIES TRUST S&P PHARMACEUTICALS ETF	21,807	41,520
749 SHS SPDR SERIES TRUST S&P DIVIDEND ETF	38,162	57,366
188 SHS SECTOR ENERGY SELECT SPDR ETF	12,402	18,819
350 SHS VANGUARD HEALTH CARE ETF	19,451	39,071
930 SHS ISHARES CORE TOTAL US BOND MKT ETF	0	0
362 SHS ISHARES S&P MID CAP 400 GROWTH INDEX ETF	39,827	56,863
558 SHS ISHARES S&P SMALLCAP 600 GROWTH	39,832	67,401
950 SHS SPDR SERIES TRUST S&P PHARMACEUTICALS ETF	52,187	98,610
1,827 SHS SPDR SERIES TRUST S&P HOMEBUILDERS ETF	50,055	59,834
65 SHS ISHARES S&P MIDCAP 400 GROWTH INDEX	16,468	10,210
103 SHS ISHARES S&P MIDCAP 400 GROWTH INDEX	0	0
181 SHS ISHARES S&P SMALLCAP 600 GROWTH	0	0
80 SHS ISHARES S&P SMALLCAP 600 GROWTH	14,571	9,663
2,225 SHS POWERSHARES GLOBAL EXCH TRADED FUND TR EMERGING MRKTS SOVREIGN DEB	0	0
130 SHS SPDR SERIES TRUST S&P PHARMACEUTICALS ETF	9,943	13,494
25 SHS SPDR SERIES TRUST S&P DIVIDEND ETF	5,963	1,915
200 SHS SPDR SERIES TRUST S&P HOMEBUILDERS ETF	5,966	6,550
509 SHS VANGUARD DIVIDEND APPREC ETF	0	0
300 SHS VANGUARD DIVIDEND APPREC ETF	20,979	23,385
130 SHS VANGUARD INDUSTRIALS ETF	0	0
110 SHS VANGUARD INDUSTRIALS ETF	9,532	11,467
100 SHS VANGUARD HEALTH CARE ETF	9,327	11,163

- TIN:

TY 2013 InvestmentsOtherSchedule2

Name:

THE PERNA-ROSE FOUNDATION FOR HOPE INC

EIN: 35-2357099

Category/ Item	Listed at Cost or FMV	Book Value	End of Year Fair Market Value
18,323.101 SHS ALLIANCEBERN HIGH INCOME - A	AT COST	156,929	176,818
11.33 SHS AIM INV SECS FD INVESCO S/T BD FD A	AT COST	98	99
18,778.411 SHS PIMCO INCOME FD A	AT COST	212,221	238,674
2,441.823 SHS OPPENHEIMER SENIOR FLOATING RATE CL A	AT COST	0	0
8,854.513 SHS THORNBURG LIMITED TERM INCOME CL A	AT COST	119,194	119,979
5,099.012 SHS WELLS FARGO FDS TR ADVANTAGE GRWTH FD A	AT COST	181,771	260,355
.31 SHR AIM INV SECS FD INVESCO S/T BD FD A	AT COST	3	3
1,249.191 SHS ALLIANCEBERSN HIGH INCOME - A	AT COST	11,845	12,054
12,195.285 SHS BLACKROCK HI YLD BD INVESTORS A	AT COST	100,000	78,954
3,956.479 SHS BLACKROCH STRATEGIC INC OPPORTUNITIES A	AT COST	40,000	41,029
3,606.853 SHS BLACKROCK MULTI ASSET INC INVESTOR A	AT COST	40,000	41,912
13,455.217 SHS COLUMBIA STRATEGIC INCOME FD A	AT COST	82,411	83,557
5,328.554 SHS FIDELITY ADVISOR RE INCOME A	AT COST	56,636	63,410
1,148.985 SHS FIRST EAGLE GLOBAL A	AT COST	60,000	65,481
1,238.811 SHS PIMCO INCOME FD A	AT COST	15,223	15,745
7,654.092 SHS J HANCOCK INCOME FD A	AT COST	51,435	51,358
7,200.383 SHS OPPENHEIMER SENIOR FLOATING RATE A	AT COST	0	0
6,930.059 SHS PIMCO TOTAL RETURN FD D	AT COST	74,527	76,022
3,714,710 SHS TEMPLETON GLOBAL BOND A	AT COST	50,000	49,629
5,880.798 SHS ALLIANCEBERN HI INC CL A	AT COST	55,399	56,750
27,964.849 SHS BLACKROCK HI YLD BD INVESTORS A	AT COST	230,000	260,004
13,691.077 SHS BLACKROCH STRATEGIC INC OPPORTUNITIES A	AT COST	137,708	141,976
2,549.737 SHS BLACKROCK MULTI ASSET INC INVESTOR A	AT COST	28,145	29,628
1,978.757 SHS COLUMBIA STRATEGIC INCOME FD A	AT COST	12,154	12,288
25,514.076 SHS COLUMBIA INCOME BUILDER CL A	AT COST	298,175	310,761
12,556.977 SHS FIDELITY ADVISOR RE INCOME A	AT COST	145,927	149,428
173.264 SHS FIRST EAGLE GLOBAL A	AT COST	9,071	9,874
339.721 SHS J HANCOCK INCOME FD A	AT COST	2,244	2,280
7,139.238 SHS PIMCO INCOME FD A	AT COST	88,830	90,740
9,225.092 SHS PIMCO TOTAL RETURN FD D	AT COST	0	0
5,143.571 SHS THORNBURG LIMITED TERM INCOME CL A	AT COST	0	0
955.419 SHS WELLS FARGO FDS TR ADVANTAGE GRWTH FD A	AT COST	0	0
769.989 SHS WELLS FARGO FDS TR ADVANTAGE GRWTH FD A	AT COST	36,685	39,316
387.470 SHS PIMCO TOTAL RETURN FD D	AT COST	4,181	4,251

- TIN:

TY 2013 LegalFeesSchedule

Name:

THE PERNA-ROSE FOUNDATION FOR HOPE INC

EIN: 35-2357099

Category	Amount	Net Investment Income	Adjusted Net Income	Disbursements for Charitable Purposes
LEGAL FEES	800	0		800

- TIN:

TY 2013 OtherAssetsSchedule

Name:

THE PERNA-ROSE FOUNDATION FOR HOPE INC

EIN: 35-2357099

Description	Beginning of Year - Book Value	End of Year - Book Value	End of Year - Fair Market Value
ORGANIZATION COSTS - NET	6,296	5,701

- TIN:

TY 2013 OtherExpensesSchedule

Name:

THE PERNA-ROSE FOUNDATION FOR HOPE INC

EIN: 35-2357099

Description	Revenue and Expenses per Books	Net Investment Income	Disbursements for Charitable Purposes
INVESTMENT MGMT FEES	17,189	17,189	0
OFFICE EXPENSES	196	0	196
AMORTIZATION	595	0	595

- TIN:

TY 2013 SubstantialContributorsSch

Name:

THE PERNA-ROSE FOUNDATION FOR HOPE INC

EIN: 35-2357099

Name	Address
JANET PERNA	50 KNOBLOCH LANE STAMFORD,CT06902

- TIN:

TY 2013 TaxesSchedule

Name:

THE PERNA-ROSE FOUNDATION FOR HOPE INC

EIN: 35-2357099

Category	Amount	Net Investment Income	Adjusted Net Income	Disbursements for Charitable Purposes
FEDERAL TAXES	1,976	0		0