Form990-PF

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
THE HAROLD H BATE FOUNDATION INC
 

Number and street (or P.O. box number if mail is not delivered to street address)PO BOX 14298   Room/suite
City or town, state or province, country, and ZIP or foreign postal code
NEW BERN, NC28561
A Employer identification number

56-2121302
B Telephone number (see instructions)

(252) 638-1998
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$32,377,823J 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 1,037 1,037  
4 Dividends and interest from securities...... 625,944 625,944  
5a Gross rents..............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10 920,766
b Gross sales price for all assets on line 6a 26,223,618
7 Capital gain net income (from Part IV, line 2)... 920,766
8 Net short-term capital gain.........  
9 Income modifications...........  
10a Gross sales less returns and allowances  
b Less: Cost of goods sold....  
c Gross profit or (loss) (attach schedule).....    
11 Other income (attach schedule)....... Click to see attachment 2,783 2,783 0
12 Total. Add lines 1 through 11........ 1,550,530 1,550,530 0
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc. 49,750 4,975 0 39,800
14 Other employee salaries and wages...... 43,326 0 0 32,495
15 Pension plans, employee benefits....... 12,015 0 0 9,011
16a Legal fees (attach schedule).........        
b Accounting fees (attach schedule)....... Click to see attachment 11,557 3,814 0 3,929
c Other professional fees (attach schedule).... Click to see attachment 174,302 174,302 0 0
17 Interest...............        
18 Taxes (attach schedule) (see instructions) Click to see attachment 28,852 13,248 0 1,548
19 Depreciation (attach schedule) and depletion... Click to see attachment 9,035 0 0
20 Occupancy.............. 12,877 0 0 9,658
21 Travel, conferences, and meetings....... 3,194 0 0 3,194
22 Printing and publications..........        
23 Other expenses (attach schedule)....... Click to see attachment 22,625 329 0 20,660
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 367,533 196,668 0 120,295
25 Contributions, gifts, grants paid........ 1,615,196 1,615,196
26 Total expenses and disbursements. Add lines 24 and 25 1,982,729 196,668 0 1,735,491
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements -432,199
b Net investment income (if negative, enter -0-) 1,353,862
c Adjusted net income (if negative, enter -0-)... 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
(a) Book Value (b) Book Value (c) Fair Market Value
Assets 1 Cash—non-interest-bearing............... 128,744 113,381 113,381
2 Savings and temporary cash investments.......... 1,480,281 1,200,112 1,200,112
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........... 34,478 60,939 60,939
10a Investments—U.S. and state government obligations (attach schedule)      
b Investments—corporate stock (attach schedule)........ 20,374,550 Click to see attachment17,727,509 20,423,887
c Investments—corporate bonds (attach schedule)........ 7,968,212 Click to see attachment10,438,514 10,313,372
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 bullet328,763
Less: accumulated depreciation (attach schedule) bullet35,129 8,982 Click to see attachment293,634 247,133
15 Other assets (describe bullet) Click to see attachment276,959 Click to see attachment18,999 Click to see attachment18,999
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 30,272,206 29,853,088 32,377,823
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) Click to see attachment1,314 Click to see attachment14,395
23 Total liabilities (add lines 17 through 22).......... 1,314 14,395
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......... 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 30,270,892 29,838,693
30 Total net assets or fund balances (see page 17 of the
instructions).................... 30,270,892 29,838,693
31 Total liabilities and net assets/fund balances (see page 17 of
the instructions).................. 30,272,206 29,853,088
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 30,270,892
2 Enter amount from Part I, line 27a..................... 2 -432,199
3 Other increases not included in line 2 (itemize) bullet 3 0
4 Add lines 1, 2, and 3.......................... 4 29,838,693
5 Decreases not included in line 2 (itemize) bullet 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 29,838,693
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.)
1 a ABERDEEM GLOBAL   2013-11-12 2013-12-05
b COLUMBIA EMERG   2013-03-12 2013-08-21
c COLUMBIA EMERG   2013-03-12 2013-08-21
d COLUMBIA EMERG   2013-03-12 2013-08-21
e COLUMBIA EMERG   2013-03-12 2013-09-13
COLUMBIA EMERG   2013-03-12 2013-09-13
COLUMBIA EMERG   2013-03-12 2013-11-12
COLUMBIA EMERG   2013-03-12 2013-11-12
COLUMBIA EMERG   2013-03-17 2013-11-12
COLUMBIA EMERG   2013-03-23 2013-11-12
COLUMBIA EMERG   2013-03-25 2013-11-12
COLUMBIA EMERG   2013-04-25 2013-11-12
COLUMBIA EMERG   2013-05-23 2013-11-12
COLUMBIA EMERG   2013-06-24 2013-11-12
COLUMBIA EMERG   2013-10-25 2013-11-12
DELAWARE CORP BOND   2013-03-12 2013-08-21
DELAWARE CORP BOND   2013-03-12 2013-08-21
DELAWARE CORP BOND   2013-03-12 2013-08-21
DELAWARE CORP BOND   2013-03-12 2013-08-21
DELAWARE CORP BOND   2013-03-12 2013-09-13
DELAWARE CORP BOND   2013-03-12 2013-12-05
DELAWARE CORP BOND   2013-03-12 2013-12-05
DELAWARE CORP BOND   2013-03-12 2013-12-05
DELAWARE CORP BOND   2013-03-12 2013-12-05
DELAWARE CORP BOND   2013-03-12 2013-12-05
DELAWARE CORP BOND   2013-03-12 2013-12-05
DELAWARE CORP BOND   2013-03-12 2013-12-05
DREYFUS INTL BOND   2013-03-12 2013-08-21
DREYFUS INTL BOND   2013-03-12 2013-08-21
DREYFUS INTL BOND   2013-03-12 2013-09-13
DREYFUS INTL BOND   2013-03-12 2013-11-12
DREYFUS INTL BOND   2013-03-12 2013-11-12
DREYFUS INTL BOND   2013-05-01 2013-11-12
DREYFUS INTL BOND   2013-11-01 2013-11-12
ISHARES 20+   2013-07-24 2013-08-21
ISHARES 20+   2013-07-24 2013-09-13
ISHARES 20+   2013-07-24 2013-11-12
ISHARES BARCLAYS 1-3   2011-10-28 2013-03-12
ISHARES BARCLAYS 1-3   2011-11-04 2013-03-12
ISHARES IBOXX $ H/Y   2011-08-26 2013-03-12
ISHARES IBOXX $ H/Y   2011-10-28 2013-03-12
ISHARES IBOXX $ H/Y   2011-10-28 2013-08-21
ISHARES IBOXX $ H/Y   2011-11-04 2013-08-21
ISHARES IBOXX $ H/Y   2011-11-04 2013-09-13
ISHARES IBOXX $ H/Y   2012-08-24 2013-11-12
ISHARES IBOXX $ H/Y   2011-11-04 2013-11-12
ISHARES IBOXX INVEST   2012-08-24 2013-03-12
ISHARES IBOXX INVEST   2011-08-26 2013-03-12
ISHARES IBOXX INVEST   2011-10-07 2013-03-12
ISHARES IBOXX INVEST   2011-10-28 2013-03-12
ISHARES IBOXX INVEST   2011-11-04 2013-03-12
ISHARES JP MORGAN   2011-08-26 2013-03-12
ISHARES JP MORGAN   2011-08-29 2013-03-12
ISHARES JP MORGAN   2011-10-28 2013-03-12
ISHARES JP MORGAN   2011-11-04 2013-03-12
ISHARES JP MORGAN   2012-08-24 2013-08-21
ISHARES JP MORGAN   2011-11-04 2013-08-21
ISHARES JP MORGAN   2012-08-24 2013-09-13
ISHARES JP MORGAN   2012-08-24 2013-11-12
ISHARES JP MORGAN   2012-08-24 2013-11-12
JANUS FLEX   2013-03-12 2013-08-21
JANUS FLEX   2013-03-12 2013-08-21
JANUS FLEX   2013-03-12 2013-08-21
JANUS FLEX   2013-03-12 2013-09-13
JANUS FLEX   2013-03-12 2013-09-13
JANUS FLEX   2013-03-12 2013-12-05
LORD ABBETT   2013-03-12 2013-08-21
LORD ABBETT   2013-03-12 2013-08-21
LORD ABBETT   2013-03-12 2013-08-21
LORD ABBETT   2013-03-12 2013-09-13
LORD ABBETT   2013-03-12 2013-09-13
LORD ABBETT   2013-03-12 2013-12-05
LORD ABBETT   2013-03-12 2013-12-05
LORD ABBETT   2013-03-12 2013-12-05
LORD ABBETT   2013-03-12 2013-12-05
LORD ABBETT   2013-03-12 2013-12-05
LORD ABBETT   2013-03-12 2013-12-05
PIONEER GLOBAL   2011-08-29 2013-08-21
PIONEER GLOBAL   2011-08-29 2013-09-13
PIONEER GLOBAL   2011-08-26 2013-12-05
PIONEER GLOBAL   2011-09-30 2013-12-05
PIONEER GLOBAL   2011-10-28 2013-12-05
PIONEER GLOBAL   2011-10-31 2013-12-05
PIONEER GLOBAL   2011-11-04 2013-12-05
POWERSHARES INT   2012-08-24 2013-03-12
POWERSHARES INT   2012-11-09 2013-03-12
POWERSHARES INT   2011-08-26 2013-03-12
POWERSHARES INT   2011-08-29 2013-03-12
POWERSHARES INT   2011-10-07 2013-03-12
POWERSHARES INT   2011-10-28 2013-03-12
POWERSHARES INT   2011-11-04 2013-03-12
POWERSHARES INT   2012-08-24 2013-03-12
SPDR BARCLAYS   2013-03-12 2013-08-21
SPDR BARCLAYS   2013-03-12 2013-09-13
SPDR BARCLAYS   2013-03-12 2013-12-05
SPDR BARCLAYS   2013-03-12 2013-12-05
TCW TOTAL RETURN   2013-11-12 2013-12-05
TCW TOTAL RETURN   2013-11-12 2013-12-05
TCW TOTAL RETURN   2013-11-12 2013-12-05
TEMPLETON GLOBAL   2011-08-26 2013-03-12
TEMPLETON GLOBAL   2011-09-15 2013-03-12
TEMPLETON GLOBAL   2011-10-07 2013-03-12
TEMPLETON GLOBAL   2011-10-17 2013-03-12
TEMPLETON GLOBAL   2011-10-28 2013-03-12
TEMPLETON GLOBAL   2011-10-28 2013-08-21
TEMPLETON GLOBAL   2011-11-04 2013-08-21
TEMPLETON GLOBAL   2011-11-04 2013-09-13
TEMPLETON GLOBAL   2011-11-04 2013-12-05
VANGUARD INTERMEDIATE TERM   2012-11-09 2013-03-12
VANGUARD INTERMEDIATE TERM   2011-08-26 2013-03-12
VANGUARD INTERMEDIATE TERM   2011-10-07 2013-03-12
VANGUARD INTERMEDIATE TERM   2011-10-28 2013-03-12
VANGUARD INTERMEDIATE TERM   2011-11-04 2013-03-12
VANGUARD SHORT TERM CORP   2013-03-12 2013-08-21
VANGUARD SHORT TERM CORP   2013-03-12 2013-09-13
VANGUARD SHORT TERM CORP   2013-03-12 2013-12-05
VANGUARD SHORT TERM CORP   2013-03-12 2013-12-05
VANGUARD TOTAL BOND MKT   2013-03-12 2013-07-24
VANGUARD TOTAL BOND MKT   2013-03-12 2013-08-21
VANGUARD TOTAL BOND MKT   2013-03-12 2013-09-13
VANGUARD TOTAL BOND MKT   2013-03-12 2013-11-12
ISHARES MSCI CANADA INDEX   2012-08-24 2013-03-08
ISHARES MSCI EMERGING MKTS   2013-03-08 2013-11-12
ISHARS RUSSELL 1000 GR INDEX   2012-11-09 2013-03-08
ISHARES S&P SMALL CAP 600 V ETF   2012-08-24 2013-03-08
ISHARES SMALL CAP 600 G   2012-08-24 2013-03-08
ISHARES SMAL CAP 600 G ETF   2012-08-24 2013-03-08
ISHARES TR MSCI SMALL CAP   2012-11-09 2013-03-08
VANGUARD FTSE EMERGING MARKETS   2013-03-08 2013-09-16
ISHARES MSCI EMERGING MKTS   2012-11-09 2013-11-12
ISHARES S&P SMALL CAP 600 V   2012-08-24 2013-11-12
ISHARES SMAL CAP 600 G ETF   2012-08-24 2013-11-12
VANGUARD EUROPEAN MSCI ETF   2012-08-24 2013-09-16
ISHARES MSCI CANADA INDEX   2011-08-29 2013-03-08
ISHARES MSCI PAC EX JPN   2011-08-29 2013-11-12
ISHARES S&P MID CAP 400 G   2011-08-29 2013-11-12
ISHARES S&P MID CAP 400 V   2011-08-29 2013-09-16
ISHARES S&P 500 GROWTH   2011-08-29 2013-09-16
ISHARES S&P 500 VAL   2011-08-29 2013-03-08
ISHARES TR MSCI SMALL CAP   2011-08-29 2013-03-08
VANGUARD FTSE EMERGING MARKETS   2011-08-29 2013-09-16
GOLDMAN SACHS INFL PROTECTION   2012-11-30 2013-03-12
SPDR SERIES TRUST DB INT   2012-11-30 2013-03-12
ETFS PALLADIUM TRUST   2013-12-30 2013-12-31
ETFS PLATINUM   2013-12-30 2013-12-31
ISHARES SILVER TRUST   2013-03-12 2013-12-31
POWERSHARES DB AGRICULTURE   2013-03-12 2013-12-30
POWERSHARES DB COMM TRK   2013-03-12 2013-12-30
SPDR GOLD TRUST   2013-03-12 2013-12-30
ING GLOBAL REAL ESTATE FUND   2011-08-26 2013-05-20
ISHARES BARCLAYS TIPS   2011-08-26 2013-03-12
ISHARES IBOXX INVEST   2011-08-26 2013-05-20
NUVEEN REAL ESTATE SEC   2011-08-26 2013-05-20
PRUDENTIAL GLOBAL REAL ESTATE   2011-08-26 2013-05-20
REMS REAL ESTATE VAL OPPORT   2011-08-26 2013-05-20
SPDR SERIES TRUST DB INT   2011-08-26 2013-03-12
ADOBE SYSTEMS   2013-11-27 2013-12-20
AMERICAN EXPRESS   2013-08-27 2013-12-20
ANALOG DEVICES INC   2013-08-27 2013-11-15
BP PLC   2013-09-06 2013-10-25
CELANESE CORP SERIES   2013-08-30 2013-11-15
DECKER OUTDOOR CORP   2013-10-14 2013-11-15
DIRECTV   2013-08-27 2013-09-20
ESTEE LAUDER CO INC   2013-08-27 2013-09-20
LINEAR TECHNOLOGY CORP   2013-08-27 2013-11-15
NIKE INC   2013-09-26 2013-10-04
ORACLE CORP   2013-11-29 2013-12-27
STURM RUGER   2013-09-06 2013-10-10
VANGUARD SHORT TERM CORP - WASH SALES   2013-03-12 2013-12-05
COLUMBIA EMERG - WASH SALES   2013-03-12 2013-08-21
DELAWARE CORP BOND - WASH SALES   2013-03-12 2013-08-21
DREYFUS INTL BOND - WASH SALES   2013-03-12 2013-08-21
JANUS FLEX - WASH SALE   2013-03-12 2013-12-05
LORD ABBETT - WASH SALES   2013-03-12 2013-03-12
SPDR BARCLAYS - WASH SALES   2013-03-12 2013-12-05
TCW TOTAL RETURN - WASH SALES   2013-03-12 2013-12-05
EXPIRED OPTIONS   2013-11-01 2013-12-31
CE CALL   2013-09-01 2013-09-30
MF ORION K-1   2013-01-01 2013-12-31
MF PREMIER BHM K-1   2013-01-01 2013-12-31
MF ORION   2013-01-01 2013-04-30
MF BHM   2013-01-01 2013-04-30
ACL FUND   2013-01-01 2013-09-05
ACL K-1   2013-01-01 2013-12-31
SKYBRIDGE MULTI-ADSR   2013-01-01 2013-12-31
POWERSHARES INT   2012-11-09 2013-03-12
NUVEEN REAL ESTATE SEC   2011-08-26 2013-05-20
REMS REAL ESTATE VAL OPPORT   2013-01-01 2013-06-30
SPDR SERIES TRUST DB INT   2011-08-26 2013-03-12
MF CAYMAN LP   2013-01-01 2013-12-31
CAPITAL GAINS DIVIDENDS P    
(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 53,494   53,389 105
b 954   1,076 -122
c 1,208   1,362 -154
d 60,388   68,058 -7,670
e 647   726 -79
950   1,067 -117
1,215   1,410 -195
220,733   247,441 -26,708
960   1,072 -112
952   1,087 -135
1,188   1,322 -134
1,195   1,347 -152
1,209   1,352 -143
1,229   1,228 1
956   990 -34
1,969   2,087 -118
1,998   2,118 -120
2,577   2,731 -154
124,647   132,130 -7,483
3,376   3,579 -203
445   472 -27
1,801   1,913 -112
1,953   2,074 -121
8,094   8,595 -501
20,943   22,238 -1,295
37,776   40,113 -2,337
1,042     1,042
1,443   1,489 -46
65,817   67,901 -2,084
1,712   1,776 -64
1,438   1,489 -51
240,053   248,563 -8,510
1,979   2,076 -97
796   804 -8
158,143   166,244 -8,101
4,144   4,301 -157
583,089   606,265 -23,176
231,700   231,857 -157
377,220   377,809 -589
253,003   230,837 22,166
83,300   79,852 3,448
16,833   16,764 69
49,141   48,224 917
1,732   1,687 45
173,019   172,149 870
72,538   69,628 2,910
46,530   46,872 -342
601,554   561,806 39,748
17,255   16,111 1,144
621,784   599,022 22,762
602,744   584,705 18,039
400,470   373,971 26,499
145,346   136,284 9,062
161,772   151,441 10,331
155,863   146,259 9,604
49,272   55,271 -5,999
12,318   12,863 -545
1,599   1,787 -188
142,882   158,307 -15,425
84,074   95,032 -10,958
1,642   1,697 -55
1,654   1,709 -55
130,647   135,044 -4,397
1,145   1,184 -39
2,298   2,376 -78
106,467   109,001 -2,534
4,991   5,101 -110
5,139   5,252 -113
329,758   337,021 -7,263
3,923   4,009 -86
4,826   4,932 -106
125   128 -3
1,404   1,428 -24
3,605   3,668 -63
3,947   4,016 -69
62,704   63,804 -1,100
105,230   107,076 -1,846
66,962   66,894 68
1,729   1,723 6
17,352   17,141 211
2,636   2,465 171
43,633   42,925 708
1,644   1,610 34
23,428   22,858 570
298,065   293,947 4,118
762,344   777,338 -14,994
376,795   379,846 -3,051
60,061   60,574 -513
53,006   49,097 3,909
134,570   132,757 1,813
162,617   159,174 3,443
    3,140 -3,140
339,804   341,912 -2,108
8,755   8,806 -51
71,677   71,738 -61
104,902   104,991 -89
1,368   1,372 -4
1,564   1,569 -5
67,931   68,134 -203
335,371   339,267 -3,896
1,359   1,333 26
153,321   144,483 8,838
1,989   1,903 86
146,406   143,684 2,722
9,912   10,404 -492
55,769   57,877 -2,108
1,713   1,745 -32
71,143   71,902 -759
179,429   185,998 -6,569
812,790   817,458 -4,668
290,450   289,087 1,363
411,144   410,286 858
360,601   363,597 -2,996
336,487   341,805 -5,318
8,701   8,832 -131
80,749   81,014 -265
96,596   96,914 -318
776,960   798,182 -21,222
163,856   170,879 -7,023
4,229   4,407 -178
602,868   622,896 -20,028
16,608   16,197 411
14,668   15,880 -1,212
433,478   403,489 29,989
31,339   27,003 4,336
28,348   25,133 3,215
248,240   219,434 28,806
200,370   190,807 9,563
293,425   306,745 -13,320
666,977   675,970 -8,993
75,264   56,224 19,040
83,921   63,161 20,760
236,413   195,881 40,532
276,626   280,486 -3,860
48,176   43,627 4,549
125,078   87,942 37,136
70,171   50,192 19,979
1,046,847   825,276 221,571
1,155,270   872,213 283,057
404,964   360,590 44,374
1,056,453   1,081,754 -25,301
208,874   219,828 -10,954
101,477   103,349 -1,872
277   277 0
547   547 0
91,437   136,727 -45,290
17,885   19,351 -1,466
111,065   118,498 -7,433
271,153   360,360 -89,207
6,878   5,233 1,645
281,584   270,382 11,202
1,302,504   1,215,856 86,648
25,008   18,212 6,796
6,656   4,840 1,816
16,768   10,200 6,568
109,949   108,785 1,164
147,681   142,355 5,326
257,612   235,485 22,127
123,748   116,807 6,941
121,378   117,088 4,290
121,548   108,308 13,240
113,598   98,820 14,778
121,158   115,460 5,698
122,398   118,948 3,450
124,108   115,958 8,150
136,950   132,668 4,282
109,015   106,128 2,887
129,883   114,543 15,340
266     266
392     392
3,490     3,490
46     46
2,684     2,684
1,569     1,569
61     61
9     9
19,070     19,070
    1,320 -1,320
2,052     2,052
5,433     5,433
5,989     5,989
    182 -182
1,080,529   1,124,399 -43,870
    22,578 -22,578
97,962     97,962
    3,140 -3,140
    32 -32
    5,899 -5,899
    452 -452
65,615     65,615
58,023     58,023
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       105
b       -122
c       -154
d       -7,670
e       -79
      -117
      -195
      -26,708
      -112
      -135
      -134
      -152
      -143
      1
      -34
      -118
      -120
      -154
      -7,483
      -203
      -27
      -112
      -121
      -501
      -1,295
      -2,337
      1,042
      -46
      -2,084
      -64
      -51
      -8,510
      -97
      -8
      -8,101
      -157
      -23,176
      -157
      -589
      22,166
      3,448
      69
      917
      45
      870
      2,910
      -342
      39,748
      1,144
      22,762
      18,039
      26,499
      9,062
      10,331
      9,604
      -5,999
      -545
      -188
      -15,425
      -10,958
      -55
      -55
      -4,397
      -39
      -78
      -2,534
      -110
      -113
      -7,263
      -86
      -106
      -3
      -24
      -63
      -69
      -1,100
      -1,846
      68
      6
      211
      171
      708
      34
      570
      4,118
      -14,994
      -3,051
      -513
      3,909
      1,813
      3,443
      -3,140
      -2,108
      -51
      -61
      -89
      -4
      -5
      -203
      -3,896
      26
      8,838
      86
      2,722
      -492
      -2,108
      -32
      -759
      -6,569
      -4,668
      1,363
      858
      -2,996
      -5,318
      -131
      -265
      -318
      -21,222
      -7,023
      -178
      -20,028
      411
      -1,212
      29,989
      4,336
      3,215
      28,806
      9,563
      -13,320
      -8,993
      19,040
      20,760
      40,532
      -3,860
      4,549
      37,136
      19,979
      221,571
      283,057
      44,374
      -25,301
      -10,954
      -1,872
      0
      0
      -45,290
      -1,466
      -7,433
      -89,207
      1,645
      11,202
      86,648
      6,796
      1,816
      6,568
      1,164
      5,326
      22,127
      6,941
      4,290
      13,240
      14,778
      5,698
      3,450
      8,150
      4,282
      2,887
      15,340
      266
      392
      3,490
      46
      2,684
      1,569
      61
      9
      19,070
      -1,320
      2,052
      5,433
      5,989
      -182
      -43,870
      -22,578
      97,962
      -3,140
      -32
      -5,899
      -452
      65,615
      58,023
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 2 920,766
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 -161,940
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 1,350,028 30,741,467 0.043916
2011 1,563,556 32,248,401 0.048485
2010 1,549,932 30,120,170 0.051458
2009 1,772,600 27,760,588 0.063853
2008 1,894,594 34,073,732 0.055603
2 Total of line 1, column (d) ...................... 2 0.263315
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 0.052663
4 Enter the net value of noncharitable-use assets for 2013 from Part X, line 5..... 4 31,001,733
5 Multiply line 4 by line 3....................... 5 1,632,644
6 Enter 1% of net investment income (1% of Part I, line 27b)........... 6 13,539
7 Add lines 5 and 6......................... 7 1,646,183
8 Enter qualifying distributions from Part XII, line 4.............. 8 1,735,491
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 13,539
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 0
3 Add lines 1 and 2............................ 3 13,539
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 13,539
6 Credits/Payments:
a 2013 estimated tax payments and 2012 overpayment credited to 2013 6a 74,478
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 74,478
8 Enter any penalty for underpayment of estimated tax. if Form 2220 is attached. 8  
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 60,939
11 Enter the amount of line 10 to be: Credited to 2014 estimated taxBullet60,939 RefundedBullet 11 0
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$ 0(2) On foundation managers.bullet$ 0
e
Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed
on foundation managers.bullet$ 0
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
 
 
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)
    bulletNC
    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.BATEFOUNDATION.ORG
    14
    The books are in care ofbulletWILLIAM O AUSTIN CPA Telephone no.bullet (252) 633-5821
    Located atbullet3105 TRENT RDNEW BERNNC ZIP+4bullet28562
    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?
    16Yes  
    See instructions for exceptions and filing requirements for Form TD F 90-22.1. If "Yes", enter the name of the
    foreign country bulletBD
    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
     
     
    .........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
     
     
    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
     
     
    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
     
     
    .........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
     
     
    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
    BERLEEN BURNETTE BOARD MEMBER
    3.00     		3,750 0 0
    PO BOX 14298
    NEW BERN,NC28561
    GARY BALDREE SR BOARD MEMBER
    3.00     		9,000 0 0
    PO BOX 14298
    NEW BERN,NC28561
    DONALD BRINKLEY BOARD MEMBER
    6.00     		10,000 0 0
    PO BOX 14298
    NEW BERN,NC28561
    ROBERT MATTOCKS BOARD MEMBER
    3.00     		9,000 0 0
    PO BOX 14298
    NEW BERN,NC28561
    MARVIN MULLINIX BOARD MEMBER
    3.00     		9,000 0 0
    PO BOX 14298
    NEW BERN,NC28561
    SILAS SEYMOUR BOARD MEMBER
    3.00     		9,000 0 0
    PO BOX 14298
    NEW BERN,NC28561
    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
    JOYCE HENDRICKS OPERATIONS DIRECTOR
    40.00     		43,326 9,615 2,400
    PO BOX 14298
    NEW BERN,NC28561
    Total number of other employees paid over $50,000...................bullet 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
    MORGAN STANLY FINANCIAL ADVISORS INVESTMENT MANGAEMENT 120,114
    100 EUROPA DRIVE STE 201
    CHAPEL HILL,NC27517
    Total number of others receiving over $50,000 for professional services.............bullet0
    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.........................bullet0
    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
    1,550,087
    2a
    Tax on investment income for 2013 from Part VI, line 5......
    2a
    13,539
    b
    Income tax for 2013. (This does not include the tax from Part VI.)...
    2b
     
    c
    Add lines 2a and 2b............................
    2c
    13,539
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
    1,536,548
    4
    Recoveries of amounts treated as qualifying distributions................
    4
    0
    5
    Add lines 3 and 4............................
    5
    1,536,548
    6
    Deduction from distributable amount (see instructions).................
    6
    0
    7
    Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII,
    line 1................................
    7
    1,536,548
    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 1,536,548
    2 Undistributed income, if any, as of the end of 2013:
    a Enter amount for 2012 only....... 1,138,609
    b Total for prior years:20, 20, 20 0
    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......... 0
    4Qualifying distributions for 2013 from Part
    XII, line 4: bullet$ 1,735,491
    a Applied to 2012, but not more than line 2a 1,138,609
    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..... 596,882
    e Remaining amount distributed out of corpus 0
    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 0
    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 ..........     		939,666
    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) ...     		0
    9Excess distributions carryover to 2014.
    Subtract lines 7 and 8 from line 6a ......     		0
    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:
    THE HAROLD H BATE FOUNDATION
    PO BOX 14298
    NEW BERN,NC28561
    (252) 638-1998
    bThe form in which applications should be submitted and information and materials they should include:
    GRANT APPLICATION (FOUR PAGES) EXECUTIVE SUMMARY COPY OF IRS TAX EXEMPTION LETTER COPY OF RENCET FINANCIAL STATEMENTS AND REPORTS COPY OF RECENT FORM 990 COPY OF BUDGET FOR PERIOD WHICH INCLUDES THE PROPOSED PROJECT/PROGRAM FUNDED BY GRANT REQUEST LIST OF BOARD MEMBERS AND STAFF MEMBERS OF THE GRANT APPLICANT ORGANIZATION0
    cAny submission deadlines:
    MAY 15 AND OCTOBER 1 OF EACH YEAR
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    GRANT APPLICANTS MUST APPLE FOR PROGRAMS OR CAPITAL PROJECTS THAT SERVE THE RESIDENTS OF CRAVEN, PAMLICO AND JONES COUNTIES OR BE CONNECTED WITH EAST CAROLINA UNIVERSITY IN SERVING EASTERN NORTH CAROLINA.
    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
    101 CENTREPORT DRIVE
    GREENSDORO,NC27409     		  PC MISSION LIFELINE PROJECT 10,000
    AMERICAN RED CROSS COASTAL CAROLINA CHAPTER
    12 RUTH STREET
    JACKSONVILLE,NC28540     		  PC PROGRAMS 15,000
    BACKPACK BLESSINGS INC
    PO BOX 1675
    NEW BERN,NC28563     		  PC WEEKEND FEEDING PROGRAM 25,000
    BOYS & GIRLS CLUB OF COASTAL CAROLI
    PO BOX 1514
    MOREHEAD CITY,NC28557     		  PC BUILDING MAINTENANCE 10,000
    BOYS & GIRLS CLUB OF COASTAL CAROLI
    PO BOX 1515
    MOREHEAD CITY,NC28557     		  PC HVAC REPLACEMENT - HAVELOCK 8,300
    CAMP SEA GULL SEAFARER
    218 SEA GULL LANDING
    ARAPAHOE,NC28510     		  PC YOUTH IN GOVERNMENT PROGRAM - PAMLICO COUNTY 15,000
    CATHOLIC CHARITIES
    PO BOX 826
    NEW BERN,NC28563     		  PC SENIOR PHARMACY 10,000
    CATHOLIC CHARITIES
    PO BOX 826
    NEW BERN,NC28563     		  PC SENIOR PHARMACY 10,000
    CHERRY POINT UNITED METHODIST CHURCH
    103 METHODIST DRIVE
    HAVELOCK,NC28532     		  PC KIDS SUMMER FEEDING PROGRAM 3,500
    CITY OF HAVELOCK
    PO BOX 368
    HAVELOCK,NC28532     		  PC AVIATION HERITAGE MUSEUM MARKETING AND OUTREACH 50,000
    COASTAL CAROLINA CHAMBER MUSIC FEST
    PO BOX 1591
    NEW BERN,NC28563     		  PC MUSIC FESTIVAL 2,500
    COASTAL COALITION FOR SUBSTANCE ABUSE
    601 BROAD STREET
    NEW BERN,NC28560     		  PC PROGRAMS 10,000
    COASTAL WOMEN'S SHELTER
    PO BOX 13081
    NEW BERN,NC28561     		  PC WOMENS SHELTER 8,000
    COUNTY OF PAMLICO
    PO BOX 776
    BAYBORO,NC28515     		  PC 4-H PROGRAM 2,000
    CRAVEN PAMLICO ECU PIRATE CLUB
    805 THYME COURT
    NEW BERN,NC28562     		  PC R THRIFT MEMORIAL SCHOLARSHIP 500
    CRAVEN ARTS COUNCIL & GALLERY
    PO BOX 596
    NEW BERN,NC28560     		  PC CULTURAL ARTS PROGRAMS 14,000
    CRAVEN ARTS COUNCIL & GALLERY
    PO BOX 596
    NEW BERN,NC28560     		  PC RENOVATIONS 25,000
    CRAVEN COMMUNITY CHORUS
    PO BOX 13704
    NEW BERN,NC28563     		  PC HOLIDAY CONCERT 5,000
    CRAVEN COMMUNITY COLLEGE FOUNDATION
    800 COLLEGE COURT
    NEW BERN,NC28562     		  PC SCHOLARSHIPS 135,000
    CRAVEN COUNTY PARTNERS IN EDUCATION
    3600 TRENT RD
    NEW BERN,NC28562     		  PC STUFF THE BUS 250
    CRAVEN COUNTY PARTNERS IN EDUCATION
    3600 TRENT RD
    NEW BERN,NC28562     		  PC BEGINNING TEACHERS TOOLBOX, EVENT SP 45,000
    CRAVEN COUNTY PARTNERS IN EDUCATION
    3600 TRENT RD
    NEW BERN,NC28562     		  PC BEGINNING TEACHERS TOOLBOX, EVENT SP 52,500
    CRAVEN COUNTY PARTNERS IN EDUCATION
    3600 TRENT RD
    NEW BERN,NC28562     		  PC APPRECIATION LUNCHEON 500
    CRAVEN COUNTY PARTNERS IN EDUCATION
    3600 TRENT RD
    NEW BERN,NC28562     		  PC EVENT SPONSORSHIP 100
    CRAVEN COUNTY RECREATION AND PARKS
    407 CRAVEN STREET
    NEW BERN,NC28560     		  PC SAND VOLLEY BALL COURT 12,500
    CRAVEN LITERACY COUNCIL
    2800 NEUSE BLVD
    NEW BERN,NC28562     		  PC LITERACY PROGRAM 10,000
    EAST CAROLINA UNIVERSITY
    2200 SOUTH CHARLES BLVD
    GREENVILLE,NC27858     		  PC SCHOLARSHIPS 67,500
    EAST CAROLINA UNIVERSITY FOUNDATION
    2200 SOUTH CHARLES BLVD
    GREENVILLE,NC27858     		  PC DISTINGUISHED PROFESSORSHIP AND SCHOLARSHIPS 114,100
    ECU EDUCATIONAL FOUNDATION INC
    WARD SPORTS MEDICINE BUIL
    GREENVILLE,NC27858     		  PC SPORTS FACILITY 200,000
    FRIENDS OF THE NEW BERN FIREMEN'S MUSEUM
    408 HANCOCK ST
    NEW BERN,NC28560     		  PC RENOVATIONS 50,000
    FOOD BANK OF CENTRAL & EASTERN NC INC
    3808 TARHEEL DRIVE
    RALEIGH,NC27609     		  PC FOOD DISTRIBUTION 7,500
    HABITAT FOR HUMANITY OF GREATER NEW
    PO BOX 14298
    NEW BERN,NC28561     		  PC NEIGHBORHOOD REVITALIZATION INITIATIVE 10,000
    JONES COUNTY
    PO BOX 340
    TRENTON,NC28585     		  PC VAN PURCHASE, MATCHING FUNDS 13,500
    JONES COUNTY
    PO BOX 341
    TRENTON,NC28586     		  PC US 17 IMPACT STUDY 20,000
    JONES COUNTY MIDDLE SCHOOL
    190 OLD NEW BERN RD
    TRENTON,NC28585     		  PC ATHLETICS SPONSORSHIPS 10,500
    MERCI CLINIC
    1315 TATUM DR
    NEW BERN,NC28560     		  PC PHARMACY ASSISTANCE PROGRAM 10,000
    MERCI CLINIC
    1316 TATUM DR
    NEW BERN,NC28560     		  PC PHARMACY ASSISTANCE PROGRAM 10,000
    MERCI CLINIC
    1315 TATUM DR
    NEW BERN,NC28560     		  PC CLINIC PERSONNEL SUPPORT AND DEVELOPMENT 22,250
    NEW BERN CRAVEN COUNTY YMCA INC
    100 YMCA LANE
    NEW BERN,NC28560     		  PC SCHOLARSHIP SUPPORT 45,000
    NEW BERN POLICE DEPT CITIZEN VOLUNTEERS
    PO BOX 1129
    NEW BERN,NC28560     		  PC YOUTH PROGRAMS 5,000
    NC UNITED METHODIST CAMP & RETREAT MINISTRIES INC
    315 CAMP DON LEE RD
    ARAPAHOE,NC28510     		  PC CONSTRUCTION OF PIER 13,000
    PHOENIX HOUSE
    506 CYPRESS STREET
    NEW BERN,NC28560     		  PC SUBSTANCE ABUSE SUPPORT 5,000
    PLEASANT ACRES FREE WILL BAPTIST CHURCH
    2911 OLD CHERRY POINT RD
    NEW BERN,NC28560     		  PC HIGH SCHOOL EXPANSION PROJECT 15,500
    PROMISE PLACE
    1401 PARK AVE
    NEW BERN,NC28560     		  PC TRAUMA TRAINING AND THERAPY PROGRAM 10,000
    PUBLIC RADIO EAST
    800 COLLEGE COURT
    NEW BERN,NC28562     		  PC OPERATING EXPENSES 12,500
    PUBLIC RADIO EAST
    801 COLLEGE COURT
    NEW BERN,NC28562     		  PC TOWER LIGHTING UPGRADE 25,000
    PUBLIC RADIO EAST
    800 COLLEGE COURT
    NEW BERN,NC28562     		  PC EMERGENCY FUNDING 12,500
    REACH OUT AND READ INC
    703 NEWMAN ROAD
    NEW BERN,NC28562     		  PC BOOKS FOR READING PROGRAM FOR YOUTH 5,000
    RELIGIOUS COMMUNITY SERVICES
    PO BOX 704
    NEW BERN,NC28563     		  PC RENT & UTILITY ASSISTANCE 20,000
    RELIGIOUS COMMUNITY SERVICES
    PO BOX 704
    NEW BERN,NC28563     		  PC SHELTER UPGRADE 10,271
    RELIGIOUS COMMUNITY SERVICES
    PO BOX 704
    NEW BERN,NC28563     		  PC RENT & UTILITY ASSISTANCE 20,000
    SPECIAL OLYMPICS
    2200 GATEWAY CENTRE BLVD
    MORRISVILLE,NC27560     		  PC PROGRAMS FOR THOSE WITH DISABILITIES 7,500
    SUDAN SHRINERS HOSPITAL FUND
    PO DRAWER 490
    NEW BERN,NC28563     		  PC HOSPITAL FUND 10,000
    THE MEDIATION CENTER OF EASTERN CAR
    PO BOX 1184
    NEW BERN,NC28563     		  PC TEEN COURT 10,000
    THE QUESTERS INC
    517 NEW STREET
    NEW BERN,NC28560     		  PC CEDAR GROVE CEMETERY "WEEPING ARCH" RESTORATION 8,000
    THE SALVATION ARMY
    535 BELL FORK ROAD
    JACKSONVILLE,NC28540     		  PC REGULAR AND EMERGENCY FINANCIAL ASSISTANCE 8,000
    THE SALVATION ARMY
    PO DRAWER E
    NEW BERN,NC28563     		  PC VARIOUS PROGRAMS 16,000
    TOWN OF ORIENTAL
    PO BOX 472
    ORIENTAL,NC28571     		  PC TENNIS COUTS 10,000
    TRYON PALACE COUNCIL OF FRIENDS
    PO BOX 1007
    NEW BERN,NC28563     		  PC EDUCATIONAL PROGRAMS 21,750
    TWIN RIVERS YMCA
    100 YMCA LANE
    NEW BERN,NC28560     		  PC DEBT RETIREMENT 300,000
    UNIVERSITY OF NC PRESS
    116 S BOUNDARY STREET
    CHAPEL HILL,NC27514     		  PC PLACE AFRICAN AMERICAN HISTORY BOOK IN SCHOOLS AND LIBRARIES 5,175
    UPTOWN BUSINESS & PROFESSIONAL ASSO
    PO BOX 14182
    NEW BERN,NC28561     		  PC LITERACY AND LIFE SKILLS PROGRAM 5,000
    Total .................................bullet 3a 1,615,196
    bApproved for future payment
    Total .................................bullet 3b 0
    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 ............     		    14 1,037  
    4 Dividends and interest from securities....     14 625,944  
    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.....     18 2,783  
    8
    Gain or (loss) from sales of assets other than inventory .............     		    18 920,766  
    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 1,550,530 0
    13Total. Add line 12, columns (b), (d), and (e)..................
    131,550,530
    (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:  
    Software Version:  


    Form 990PF - Special Condition Description:
    Special Condition Description

    TY 2013 AccountingFeesSchedule
    Name:
    THE HAROLD H BATE FOUNDATION INC
    EIN: 56-2121302
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    LEGAL & ACCOUNTING 11,557 3,814 0 3,929

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

    TY 2013 DepreciationSchedule
    Name:
    THE HAROLD H BATE FOUNDATION INC
    EIN: 56-2121302
    Description of Property Date Acquired Cost or Other Basis Prior Years' Depreciation Computation Method Rate /
    Life (# of years)    		 Current Year's Depreciation Expense Net Investment Income Adjusted Net Income Cost of Goods Sold Not Included
    COPIER 2001-01-01 6,466 6,466 200DB 5.000000000000 0 0 0  
    COMPUTER 2004-12-31 1,721 1,721 ADS 5.000000000000 0 0 0  
    OFFICE FURNITURE - BRANCH'S 2006-08-14 4,599 4,215 SL 7.000000000000 383 0 384  
    DELL COMPUTER 2007-10-04 2,236 2,236 SL 5.000000000000 0 0 0  
    PRINTER 2007-03-05 696 696 SL 5.000000000000 0 0 0  
    LATERAL FILE 2007-03-17 587 482 SL 7.000000000000 84 0 84  
    OIL PAINTING 2007-04-16 5,000   NC 0 % 0 0 0  
    DESK 2007-10-01 1,046 785 SL 7.000000000000 149 0 149  
    OFFICE CHAIR 2008-08-01 192 121 SL 7.000000000000 27 0 27  
    OFFICE FURNITURE 2009-07-13 3,032 1,516 SL 7.000000000000 433 0 433  
    EQUIPMENT 2009-08-19 1,000 476 SL 7.000000000000 143 0 143  
    SIGN 2009-03-02 776 595 SL 5.000000000000 155 0 155  
    ART WORK 2010-05-18 974 252 SL 10.000000000000 97 0 97  
    PRINTER 2010-08-02 288 70 SL 10.000000000000 29 0 29  
    OFFICE FURNITURE 2013-02-26 2,154   SL 10.000000000000 180 0 180  
    SIGN 2013-02-26 811   SL 5.000000000000 135 0 135  
    OFFICE FURNITURE 2013-06-14 1,280   SL 10.000000000000 75 0 75  
    OFFICE EQUIPMENT 2013-08-20 534   SL 10.000000000000 18 0 18  
    BUILDING 2013-01-02 236,324   SL 39.000000000000 6,060 0 6,060  
    BUILDING IMPROVEMENTS 2013-03-01 52,584   SL 39.000000000000 1,067 0 1,067  

    TY 2013 InvestmentsCorpBondsSchedule
    Name:
    THE HAROLD H BATE FOUNDATION INC
    EIN: 56-2121302
    Name of Bond End of Year Book Value End of Year Fair Market Value
    84,581.00 ISHARES MSCI JAPAN INDEX FUND 916,141 1,026,729
    20,845.000 WISDOM TREE TRUST JAPAN 927,168 1,059,760
    VANGUARD INTERMEDIATE TERM BOND 0 0
    2,111.000 ISHARES JP MORGAN EM BOND 0 0
    ISHARES BARCLAYS 1-3 YR BOND 0 0
    POWERSHARES INT CORP BOND 0 0
    35,653.194 TEMPLETON GLOBAL BOND FUND 463,243 466,700
    37,091.000 SPDR BARCLAYS CAPITAL SHORT 1,141,978 1,138,323
    14,315.00 VANGUARD SHORT-TERM CORP 1,149,316 1,142,051
    251,211.080 LORD ABBETT SHORT DURATION 1,169,170 1,143,010
    65,457.531 JANUS FLEXIBLE BOND I 709,204 678,795
    79,163.623 DELAWARE CORP BOND 489,833 461,524
    45,607.419 TCW TOTAL RETURN BOND 460,181 456,986
    34,501.479 ABERDEEN GLOBAL HIGH INC 351,096 346,740
    106,485.963 RS LOW DURATION BOND A 1,100,000 1,078,703
    ISHARES BARCLAYS TIPS BOND FUND 0 0
    3,408.000 SPDR GOLD TRUST GOLD 508,057 395,737
    10,206.000 POWERSHARES DB COMMTRK 278,934 261,886
    9,771.000 ISHARE SILVER TRUST 254,113 182,815
    876.000 ETFS PLATINUM TRUST 137,095 117,288
    4,689.00 GREENHAVEN CONTINUOUS CMDTY 133,216 120,507
    4,307.000 POWERSHARES DB AGRICULTURE 113,209 104,445
    1,887.000 ETFS PALLADIUM TRUST 136,560 131,373

    TY 2013 InvestmentsCorpStockSchedule
    Name:
    THE HAROLD H BATE FOUNDATION INC
    EIN: 56-2121302
    Name of Stock End of Year Book Value End of Year Fair Market Value
    VANGUARD FTSE EMERGING MARKETS 0 0
    18,004.000 ISHARES S&P 500 GROWTH INDEX 1,233,129 1,777,895
    13,818.00 ISHARES S&P 500 VALUE INDEX 893,135 1,180,886
    ISHARES TR MSCI SMALL CAP 0 0
    3,981.000 ISHARES S&P MID CAP 400 GROWTH 453,476 597,906
    2,523.000 ISHARES SMALL CAP 600 GROWTH 207,223 299,253
    ISHARES MSCI UNITED KINGDOM IND 0 0
    11,717.00 ISHARES MSCI PAC EX-JAPAN INDEX 549,652 547,535
    5,073.000 ISHARES S&P MID CAP 400 VALUE 460,996 589,635
    ISHARES MSCI CANADA INDEX 0 0
    2,698.000 ISHARES S&P SMALL CAP 600 VALUE 206,382 300,179
    ISHARES RUSSELL 1000 GROWTH INDEX 0 0
    55,643.000 VANGUARD EUROPEAN MSCI ETF 2,672,944 3,271,808
    48,780.000 ISHARES MSCI EMERGING MKTS FD 2,062,426 2,038,760
    ISHARES IBOXX INVEST GR 0 0
    2,654.000 ISHARES IBOXX $ H/Y 0 0
    58,133.288 PIONEER GLOBAL HIGH YIELD 578,160 572,613
    797.201 SKYBRIDGE MULTI-ADSR 854,811 1,018,225
    AURORA OFFSHORE FUNDS LTD 650,000 732,525
    503.285 HPC MILLENNIUM INTL LT 550,000 640,299
    464.607 HPC STARBOARD VALUE LT 450,000 559,391
    MFC BHM A 0 0
    MFF ORION A 0 0
    MS PMF V CAYMAN LP 280,585 277,410
    396.173 HPC OZ DP OFFSHORE II 400,000 489,959
    329.327 HPC BLACKROCK CL A 300,000 283,014
    GS VINTAGE VI OFFSHORE 50,000 50,000
    CARLYLE GMS FINANCE 111,093 109,423
    ALKEON GROWTH OFFSHORE 1,100,000 1,144,028
    AIP PHOENIX GLOBAL RE 29,000 29,000
    31,064.291 REMS REAL ESTATE VAL OPPORT 392,918 482,428
    23,842.638 NUVEEN REAL ESTATE SEC FUND 462,647 469,700
    SPDR SERIES TRUST DB INT 0 0
    8,054.644 PRUDENTIAL GLB REAL ESATATE Z 160,636 177,363
    9,647.777 ING GLOBAL REAL ESTATE 164,071 176,747
    GOLDMAN SACH INFL PRTCT SECI 0 0
    ACL ALTERNATIVE FUND 590,409 634,250
    3,100.000 DOW CHEMICAL 118,054 137,640
    5,100.000 GENERAL ELECTRIC 118,471 142,953
    4,300.000 MAXIM INTERGRATED PRODUCTS 118,009 119,970
    1,700.000 PETSMART 119,395 123,675
    2,800.00 WELLS FARGO & CO NEW 116,256 127,120
    2,700 LORILLARD INC 119,066 136,836
    1,000 STERICYCLE INC 113,097 116,170
    1,800 CATAMARAN CORP 100,611 85,432
    2,200 GENERAL MILLS 107,602 109,802
    3,300.00 ALTERA CP 121,143 107,286
    1,900.00 SHS OF WALT DISNEY WORLD 125,817 145,160
    1,800.00 QUALCOMM INC 124,464 133,650
    1,700.00 PNC FINANCIAL SERVICES GROUP 128,023 131,886
    1,500.00 CATERPILLAR INC 124,711 136,215
    1300 SHS HERBALIFE 90,015 102,310
    2500 SHS CARMAX 119,082 117,550

    TY 2013 LandEtcSchedule2
    Name:
    THE HAROLD H BATE FOUNDATION INC
    EIN: 56-2121302
    Category / Item Cost / Other Basis Accumulated Depreciation Book Value End of Year Fair Market Value
    COPIER 6,466 6,466 0  
    GRANT ADM SOFTWARE 6,463 6,463 0  
    COMPUTER 1,721 1,721 0  
    OFFICE FURNITURE - BRANCH'S 4,599 4,598 1  
    DELL COMPUTER 2,236 2,236 0  
    PRINTER 696 696 0  
    LATERAL FILE 587 566 21 21
    OIL PAINTING 5,000 0 5,000 5,000
    DESK 1,046 934 112 112
    OFFICE CHAIR 192 148 44 43
    OFFICE FURNITURE 3,032 1,949 1,083 1,083
    EQUIPMENT 1,000 619 381 381
    SIGN 776 750 26 26
    ART WORK 974 349 625 625
    PRINTER 288 99 189 190
    OFFICE FURNITURE 2,154 180 1,974 1,975
    SIGN 811 135 676 676
    OFFICE FURNITURE 1,280 75 1,205 1,205
    OFFICE EQUIPMENT 534 18 516 516
    BUILDING 236,324 6,060 230,264 192,930
    BUILDING IMPROVEMENTS 52,584 1,067 51,517 42,350


    TY 2013 OtherAssetsSchedule
    Name:
    THE HAROLD H BATE FOUNDATION INC
    EIN: 56-2121302
    Description Beginning of Year - Book Value End of Year - Book Value End of Year - Fair Market Value
    ACL DEPRECIATION DEPOSIT 38,769 18,799 18,799
    SECURITY DEPOSIT 1,667 200 200
    CONSTRUCTION IN PROCESS 236,523    


    TY 2013 OtherExpensesSchedule
    Name:
    THE HAROLD H BATE FOUNDATION INC
    EIN: 56-2121302
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    DUES & SUBSCRIPTIONS 555 0 0 555
    INSURANCE 3,292 329 0 2,634
    PUBLIC RELATIONS 10,006 0 0 10,006
    CONTRACT LABOR 1,862 0 0 1,862
    OFFICE EXP 6,910 0 0 5,603


    TY 2013 OtherIncomeSchedule2
    Name:
    THE HAROLD H BATE FOUNDATION INC
    EIN: 56-2121302
    Description Revenue And Expenses Per Books Net Investment Income Adjusted Net Income
    OTHER INVERSTMENT INCOME 2,783 2,783 0


    TY 2013 OtherLiabilitiesSchedule
    Name:
    THE HAROLD H BATE FOUNDATION INC
    EIN: 56-2121302
    Description Beginning of Year - Book Value End of Year - Book Value
    PAYROLL LIABILITIES 1,314 1,414
    CALLS 0 12,981


    TY 2013 OtherProfessionalFeesSchedule
    Name:
    THE HAROLD H BATE FOUNDATION INC
    EIN: 56-2121302
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    INVESTMENT MANAGEMENT FEES 174,302 174,302 0 0


    TY 2013 TaxesSchedule
    Name:
    THE HAROLD H BATE FOUNDATION INC
    EIN: 56-2121302
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    FEDERAL EXCISE TAX 13,539 0 0 0
    FOREIGN TAXES 13,248 13,248 0 0
    PROPERTY TAXES 2,065 0 0 1,548