Form990-PF
Click to see attachment

Department of the Treasury
Internal Revenue Service
Return of Private Foundation
or Section 4947(a)(1) Nonexempt Charitable Trust
Treated as a Private Foundation
Note. The foundation may be able to use a copy of this return to satisfy state reporting requirements.
OMB No. 1545-0052
2012
Open to Public Inspection
For calendar year 2012, or tax year beginning 07-01-2012 , and ending 06-30-2013
Name of foundation
ROCKEFELLER ARCHIVE CENTER
 

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

20-8030810
B Telephone number (see instructions)

(914) 366-6308
C bullet
G Check all that apply:

D 1. bullet
2. 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$119,229,621J Accounting method:
 
(Part I, column (d) must be on cash basis.)
E bullet
F bullet
Part I Analysis of Revenue and Expenses (The total of amounts in columns (b), (c), and (d) may not necessarily equal the amounts in column (a) (see instructions).) (a) Revenue and
expenses per
books 		(b) Net investment
income 		(c) Adjusted net
income 		(d) Disbursements
for charitable
purposes
(cash basis only)
Revenue 1 Contributions, gifts, grants, etc., received (attach schedule) 1,306,278
2 Check bullet
3 Interest on savings and temporary cash investments 1,424 1,424 1,424
4 Dividends and interest from securities...... 5,494,829 5,494,829 5,494,829
5a Gross rents..............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10  
b Gross sales price for all assets on line 6a  
7 Capital gain net income (from Part IV, line 2)...  
8 Net short-term capital gain.........  
9 Income modifications...........  
10a Gross sales less returns and allowances  
b Less: Cost of goods sold....  
c Gross profit or (loss) (attach schedule).....    
11 Other income (attach schedule)....... Click to see attachment 25,644    
12 Total. Add lines 1 through 11........ 6,828,175 5,496,253 5,496,253
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc. 770,540     671,679
14 Other employee salaries and wages...... 2,368,847     2,245,388
15 Pension plans, employee benefits....... 848,219     870,483
16a Legal fees (attach schedule)......... Click to see attachment 42,644     13,404
b Accounting fees (attach schedule)....... Click to see attachment 42,000     12,410
c Other professional fees (attach schedule).... Click to see attachment 665,750 477,063 477,063 188,110
17 Interest............... -1,779      
18 Taxes (attach schedule) (see instructions) Click to see attachment 52,200   52,200  
19 Depreciation (attach schedule) and depletion... Click to see attachment 504,242    
20 Occupancy.............. 922,204     732,038
21 Travel, conferences, and meetings....... 123,024     114,303
22 Printing and publications.......... 13,336     12,740
23 Other expenses (attach schedule)....... Click to see list of attachments 246,922     299,444
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 6,598,149 477,063 529,263 5,159,999
25 Contributions, gifts, grants paid........ 99,290 99,290
26 Total expenses and disbursements. Add lines 24 and 25 6,697,439 477,063 529,263 5,259,289
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements 130,736
b Net investment income (if negative, enter -0-) 5,019,190
c Adjusted net income (if negative, enter -0-)... 4,966,990
For Paperwork Reduction Act Notice, see instructions.
Cat. No. 11289X Form 990-PF (2012)
Form 990-PF (2012)
Page 2
Part II Balance Sheets Attached schedules and amounts in the description column
should be for end-of-year amounts only. (See instructions.)		 Beginning of year End of year
(a) Book Value (b) Book Value (c) Fair Market Value
Assets 1 Cash—non-interest-bearing............... 6,494 46,951 46,951
2 Savings and temporary cash investments.......... 1,115,167 195,938 195,938
3 Accounts receivable bullet  
Less: allowance for doubtful accounts bullet        
4 Pledges receivable bullet  
Less: allowance for doubtful accounts bullet        
5 Grants receivable................. 9,000 8,500 8,500
6 Receivables due from officers, directors, trustees, and other
disqualified persons (attach schedule) (see page 15 of the
instructions)....................      
7 Other notes and loans receivable (attach schedule) bullet  
Less: allowance for doubtful accounts bullet        
8 Inventories for sale or use...............      
9 Prepaid expenses and deferred charges........... 30,302 20,433 20,433
10a Investments—U.S. and state government obligations (attach schedule)      
b Investments—corporate stock (attach schedule)........      
c Investments—corporate bonds (attach schedule)........      
11 Investments—land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
12 Investments—mortgage loans..............      
13 Investments—other (attach schedule)........... 90,790,440 Click to see attachment97,265,222 97,265,222
14 Land, buildings, and equipment: basis bullet20,711,975
Less: accumulated depreciation (attach schedule) bullet1,988,105 19,010,742 Click to see attachment18,723,870 18,723,870
15 Other assets (describe bullet) Click to see attachment2,772,903 Click to see attachment2,968,707 Click to see attachment2,968,707
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 113,735,048 119,229,621 119,229,621
Liabilities 17 Accounts payable and accrued expenses.......... 505,903 569,126
18 Grants payable...................    
19 Deferred revenue.................. 3,169,748 2,833,402
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 attachment270,743 Click to see attachment5,000
23 Total liabilities (add lines 17 through 22).......... 3,946,394 3,407,528
Net Assets or Fund Balances bullet
and complete lines 24 through 26 and lines 30 and 31.
24 Unrestricted.................... 52,768,348 55,330,686
25 Temporarily restricted................ 35,122,656 38,593,757
26 Permanently restricted................ 21,897,650 21,897,650
bullet
and complete lines 27 through 31.
27 Capital stock, trust principal, or current funds.........    
28 Paid-in or capital surplus, or land, bldg., and equipment fund    
29 Retained earnings, accumulated income, endowment, or other funds    
30 Total net assets or fund balances (see page 17 of the
instructions).................... 109,788,654 115,822,093
31 Total liabilities and net assets/fund balances (see page 17 of
the instructions).................. 113,735,048 119,229,621
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)............... 1 109,788,654
2 Enter amount from Part I, line 27a..................... 2 130,736
3 Other increases not included in line 2 (itemize) bulletClick to see attachment 3 5,902,703
4 Add lines 1, 2, and 3.......................... 4 115,822,093
5 Decreases not included in line 2 (itemize) bullet 5  
6 Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 30. 6 115,822,093
Form 990-PF (2012)
Form 990-PF (2012)
Page 3
Part IV
Capital Gains and Losses for Tax on Investment Income
(a) List and describe the kind(s) of property sold (e.g., real estate,
2-story brick warehouse; or common stock, 200 shs. MLC Co.) 		(b) How acquired
P—Purchase
D—Donation 		(c) Date acquired
(mo., day, yr.) 		(d) Date sold
(mo., day, yr.)
1a
b
c
d
e
(e) Gross sales price (f) Depreciation allowed
(or allowable) 		(g) Cost or other basis
plus expense of sale 		(h) Gain or (loss)
(e) plus (f) minus (g)
a
b
c
d
e
Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69 (l) Gains (Col. (h) gain minus
col. (k), but not less than -0-) or
Losses (from col.(h))
(i) F.M.V. as of 12/31/69 (j) Adjusted basis
as of 12/31/69 		(k) Excess of col. (i)
over col. (j), if any
a
b
c
d
e
2 Capital gain net income or (net capital loss) Bracket If gain, also enter in Part I, line 7
If (loss), enter -0- in Part I, line 7		 Bracket 2  
3 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6):
If gain, also enter in Part I, line 8, column (c) (see instructions). If (loss), enter -0-
in Part I, line 8 . . . . . . . . . . . . . . . . 		Bracket 3  
Part V
Qualification Under Section 4940(e) for Reduced Tax on Net Investment Income
(For optional use by domestic private foundations subject to the section 4940(a) tax on net investment income.)

If section 4940(d)(2) applies, leave this part blank.
Was the foundation liable for the section 4942 tax on the distributable amount of any year in the base period?
If “Yes,” the foundation does not qualify under section 4940(e). Do not complete this part.
1 Enter the appropriate amount in each column for each year; see page 18 of the instructions before making any entries.
(a)
Base period years Calendar
year (or tax year beginning in) 		(b)
Adjusted qualifying distributions 		(c)
Net value of noncharitable-use assets 		(d)
Distribution ratio
(col. (b) divided by col. (c))
2011 5,740,491 92,760,503 0.06189
2010 5,883,558 90,793,519 0.06480
2009 5,192,209 87,424,391 0.05939
2008 4,678,455 95,890,788 0.04879
2007      
2 Total of line 1, column (d) ...................... 2 0.23487
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 0.05872
4 Enter the net value of noncharitable-use assets for 2012 from Part X, line 5..... 4 94,509,928
5 Multiply line 4 by line 3....................... 5 5,549,339
6 Enter 1% of net investment income (1% of Part I, line 27b)........... 6 50,192
7 Add lines 5 and 6......................... 7 5,599,531
8 Enter qualifying distributions from Part XII, line 4.............. 8 5,670,088
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 (2012)
Form 990-PF (2012)
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 50,192
hereBulletand enter 1% of Part I, line 27b...................
c All other domestic foundations enter 2% of line 27b. Exempt foreign organizations enter 4% of Part I, line 12, col. (b)
2 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) 2  
3 Add lines 1 and 2............................ 3 50,192
4 Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-). 4  
5 Tax based on investment income. Subtract line 4 from line 3. If zero or less, enter -0- ..... 5 50,192
6 Credits/Payments:
a 2012 estimated tax payments and 2011 overpayment credited to 2012 6a 47,200
b Exempt foreign organizations—tax withheld at source....... 6b
c Tax paid with application for extension of time to file (Form 8868) 6c 30,000
d Backup withholding erroneously withheld ........... 6d  
7 Total credits and payments. Add lines 6a through 6d.............. 7 77,200
8 Enter any penalty for underpayment of estimated tax. if Form 2220 is attached. Click to see attachment 8 247
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 26,761
11 Enter the amount of line 10 to be: Credited to 2013 estimated taxBullet26,761 Refunded Bullet 11  
Part VII-A
Statements Regarding Activities
1a
During the tax year, did the foundation attempt to influence any national, state, or local legislation or did
Yes
No
it participate or intervene in any political campaign? ....................
1a
 
No
b
Did it spend more than $100 during the year (either directly or indirectly) for political purposes (see page 19 of
the instructions for definition)?............................
1b
 
No
If the answer is “Yes” to 1a or 1b, attach a detailed description of the activities and copies of any materials
published or distributed by the foundation in connection with the activities.
c
Did the foundation file Form 1120-POL for this year?.....................
1c
 
No
d
Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year:
(1) On the foundation. bullet$   (2) On foundation managers.bullet$  
e
Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed
on foundation managers.bullet$  
2
Has the foundation engaged in any activities that have not previously been reported to the IRS?.......
2
 
No
If “Yes,” attach a detailed description of the activities.
3
Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles
of incorporation, or bylaws, or other similar instruments? If “Yes,” attach a conformed copy of the changes....
3
 
No
4a
Did the foundation have unrelated business gross income of $1,000 or more during the year?........
4a
 
No
b
If “Yes,” has it filed a tax return on Form 990-T for this year?...................
4b
 
No
5
Was there a liquidation, termination, dissolution, or substantial contraction during the year?.........
5
 
No
If “Yes,” attach the statement required by General Instruction T.
6
Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either:
  • By language in the governing instrument, or
  • By state legislation that effectively amends the governing instrument so that no mandatory directions
    • that conflict with the state law remain in the governing instrument?................
    6
     
    No
    7
    Did the foundation have at least $5,000 in assets at any time during the year? If “Yes,” complete Part II, col. (c), and Part XV.
    7
    Yes
     
    8a
    Enter the states to which the foundation reports or with which it is registered (see instructions)
    bulletNY
    b
    If the answer is “Yes” to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney
    General (or designate) of each state as required by General Instruction G? If “No,” attach explanation .
    8b
    Yes
     
    9
    Is the foundation claiming status as a private operating foundation within the meaning of section 4942(j)(3)
    or 4942(j)(5) for calendar year 2012 or the taxable year beginning in 2012 (see instructions for Part XIV)?
    If “Yes,” complete Part XIV.............................
    9
    Yes
     
    10
    Did any persons become substantial contributors during the tax year? If “Yes,” attach a schedule listing their names and addresses.
    10
     
    No
    11
    At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the
    meaning of section 512(b)(13)? If "Yes," attach schedule. (see 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.rockarch.org
    14
    The books are in care ofbulletCamelia Muresan Telephone no.bullet (914) 366-6370
    Located atbullet15 DAYTON AVENUESLEEPY HOLLOWNY ZIP+4bullet10591
    15
    Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041.........bullet
    and enter the amount of tax-exempt interest received or accrued during the year ......bullet
    15  
    16
    At any time during calendar year 2012, did the foundation have an interest in or a signature or other authority over
    a bank, securities, or other financial account in a foreign country? .................
    16
     
    No
    See 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 (2012)
    Form 990-PF (2012)
    Page 5
    Part VII-B
    Statements Regarding Activities for Which Form 4720 May Be Required
    File Form 4720 if any item is checked in the “Yes” column, unless an exception applies.
    Yes
    No
    1a
    During the year did the foundation (either directly or indirectly):
    (1) Engage in the sale or exchange, or leasing of property with a disqualified person?
    (2) Borrow money from, lend money to, or otherwise extend credit to (or accept it from)
    a disqualified person?.........................
    (3) Furnish goods, services, or facilities to (or accept them from) a disqualified person?
    (4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person?
    (5) Transfer any income or assets to a disqualified person (or make any of either available
    for the benefit or use of a disqualified person)?.................
    (6) Agree to pay money or property to a government official? (Exception. Check “No”
    if the foundation agreed to make a grant to or to employ the official for a period
    after termination of government service, if terminating within 90 days.).........
    b
    If any answer is “Yes” to 1a(1)–(6), did any of the acts fail to qualify under the exceptions described in Regulations
    section 53.4941(d)-3 or in a current notice regarding disaster assistance (see page 20 of the instructions)?...
    1b
     
    No
    .........bullet
    c
    Did the foundation engage in a prior year in any of the acts described in 1a, other than excepted acts,
    that were not corrected before the first day of the tax year beginning in 2012?.............
    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 2012, did the foundation have any undistributed income (lines 6d
    and 6e, Part XIII) for tax year(s) beginning before 2012?...............
    If “Yes,” list the years bullet20, 20, 20, 20
    b
    Are there any years listed in 2a for which the foundation is not applying the provisions of section 4942(a)(2)
    (relating to incorrect valuation of assets) to the year’s undistributed income? (If applying section 4942(a)(2)
    to all years listed, answer “No” and attach statement—see instructions.) ..............
    2b
     
    No
    c
    If the provisions of section 4942(a)(2) are being applied to any of the years listed in 2a, list the years here.
    bullet20, 20, 20, 20
    3a
    Did the foundation hold more than a 2% direct or indirect interest in any business enterprise at
    any time during the year?.........................
    b
    If “Yes,” did it have excess business holdings in 2012 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 2012.)....................
    3b
     
    No
    4a
    Did the foundation invest during the year any amount in a manner that would jeopardize its charitable purposes?
    4a
     
    No
    b
    Did the foundation make any investment in a prior year (but after December 31, 1969) that could jeopardize its
    charitable purpose that had not been removed from jeopardy before the first day of the tax year beginning in 2012?
    4b
     
    No
    5a
    During the year did the foundation pay or incur any amount to:
    (1) Carry on propaganda, or otherwise attempt to influence legislation (section 4945(e))?
    (2) Influence the outcome of any specific public election (see section 4955); or to carry
    on, directly or indirectly, any voter registration drive?...............
    (3) Provide a grant to an individual for travel, study, or other similar purposes?
    (4) Provide a grant to an organization other than a charitable, etc., organization described
    in section 509(a)(1), (2), or (3), or section 4940(d)(2)? (see instructions)........
    (5) Provide for any purpose other than religious, charitable, scientific, literary, or
    educational purposes, or for the prevention of cruelty to children or animals?........
    b
    If any answer is “Yes” to 5a(1)–(5), did any of the transactions fail to qualify under the exceptions described in
    Regulations section 53.4945 or in a current notice regarding disaster assistance (see instructions)? ......
    5b
     
    No
    .........bullet
    c
    If the answer is “Yes” to question 5a(4), does the foundation claim exemption from the
    tax because it maintained expenditure responsibility for the grant?............
    If “Yes,” attach the statement required by Regulations section 53.4945–5(d).
    6a
    Did the foundation, during the year, receive any funds, directly or indirectly, to pay premiums on
    a personal benefit contract?........................
    b
    Did the foundation, during the year, pay premiums, directly or indirectly, on a personal benefit contract?....
    6b
     
    No
    If “Yes” to 6b, file Form 8870.
    7a
    At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction?
    b
    If yes, did the foundation receive any proceeds or have any net income attributable to the transaction? ....
    7b
     
    No
    Form 990-PF (2012)
    Form 990-PF (2012)
    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
    JAMES A SMITH Vice President
    35.00     		183,000 39,776  
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    ROBERT D ROSENDALE COO
    35.00     		204,000 40,996  
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    JACK MEYERS President
    35.00     		230,000 72,768  
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    ERIC WANNER Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    MEGAN SNIFFIN-MARINOFF Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    JUDITH RODIN Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    DAVID ROCKEFELLER JR Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    MARC TESSIER-LAVIGNE Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    STEPHEN HEINTZ Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    FREDERICK M BOHEN Sec/Tres
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    NEIL L RUDENSTINE Chairman
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    2 Compensation of five highest-paid employees (other than those included on line 1—see instructions). If none, enter “NONE.”
    (a) Name and address of each employee paid more than $50,000 (b) Title, and average
    hours per week
    devoted to position     		(c) Compensation (d) Contributions to
    employee benefit
    plans and deferred
    compensation     		(e) Expense account,
    other allowances
    CAROL RADOVICH ASST DIRECTOR
    35.00     		83,598 17,394  
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    MICHELE J HILTZIK ASST DIRECTOR
    35.00     		86,127 19,257  
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    ROBERT BATTALY JR ASST DIRECTOR
    35.00     		86,127 17,539  
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    ERWIN LEVOLD SENIOR RESEARCH AR
    35.00     		89,028 23,490  
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    LEE R HILTZIK ASST DIRECTOR
    35.00     		90,351 43,874  
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    Total number of other employees paid over $50,000...................bullet 21
    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
    THE ROCKEFELLER UNIVERSITY FINANCIAL SERVICES 477,063
    1230 YORK AVENUE
    NEW YORK,NY10065
    Total number of others receiving over $50,000 for professional services.............bullet  
    Part IX-A
    Summary of Direct Charitable Activities
    List the foundation’s four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of organizations and other beneficiaries served, conferences convened, research papers produced, etc. Expenses
    1 ARCHIVAL PROGRAM - The Rockefeller Archive Center is an independent operating foundation that preserves and makes available for research the archival collections of members of the Rockefeller family, institutions and organizations founded by Rockefeller family members (including the Rockefeller Foundation, Rockefeller Brothers Fund, Winthrop Rockefeller Foundation, General Education Board, Rockefeller University, Population Council, Asia Society, and many other organizations) and the records of other philanthropic and service organizations such as the Ford Foundation, the Commonwealth Fund, Russell Sage Foundation, W.T. Grant Foundation, Markle Foundation, the Social Science Research Council and the Foundation Center. The Center also holds extensive collections of the personal papers of trustees, officers, faculty, and associates who were affiliated with these institutions.The Archive Center is located in Hillcrest, a home of Westchester County field stone built for Martha Baird Rockef 5,604,118
    2 RESEARCH & EDUCATION - The Research and Education Department oversees many of the external programs of the Rockefeller Archive Center. It administers a competitive grant program that awards 40 to 50 research grants each year to graduate students, faculty members, and independent scholars. It organizes and hosts several workshops and conferences each year. And staff members on the research and education team edit and publish a series of research reports describing scholarly work at the RAC, a publishing program that is now primarily electronic and web-based. The 2009 renovation of the Archive Center's Carriage House provides space for the research and education staff as well as three to six visiting scholars. The scholar-in-residence program serves researchers who have done research at the Archive Center and learned that they need to spend an extended period of time, ranging from several months to a full academic year, on their archival research. The educational programs engage a number 931,983
    3  
    4  
    Form 990-PF (2012)
    Form 990-PF (2012)
    Page 7
    Part IX-B
    Summary of Program-Related Investments (see instructions)
    Describe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2. Amount
    1  
    2  
    All other program-related investments. See page 24 of the instructions.
    3  
    Total. Add lines 1 through 3..........................bullet  
    Part X
    Minimum Investment Return (All domestic foundations must complete this part. Foreign foundations,
    see instructions.)
    1
    Fair market value of assets not used (or held for use) directly in carrying out charitable, etc.,
    purposes:
    a
    Average monthly fair market value of securities...................
    1a
    94,603,282
    b
    Average of monthly cash balances.......................
    1b
    1,345,883
    c
    Fair market value of all other assets (see instructions)................
    1c
    0
    d
    Total (add lines 1a, b, and c).........................
    1d
    95,949,165
    e
    Reduction claimed for blockage or other factors reported on lines 1a and
    1c (attach detailed explanation) .............
    1e
    0
    2
    Acquisition indebtedness applicable to line 1 assets..................
    2
     
    3
    Subtract line 2 from line 1d.........................
    3
    95,949,165
    4
    Cash deemed held for charitable activities. Enter 1 1⁄2% of line 3 (for greater amount, see
    instructions) .............................
    4
    1,439,237
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
    94,509,928
    6
    Minimum investment return. Enter 5% of line 5..................
    6
    4,725,496
    Part XI
    Distributable Amount bullet and do not complete this part.)
    1
    Minimum investment return from Part X, line 6....................
    1
     
    2a
    Tax on investment income for 2012 from Part VI, line 5......
    2a
     
    b
    Income tax for 2012. (This does not include the tax from Part VI.)...
    2b
     
    c
    Add lines 2a and 2b............................
    2c
     
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
     
    4
    Recoveries of amounts treated as qualifying distributions................
    4
     
    5
    Add lines 3 and 4............................
    5
     
    6
    Deduction from distributable amount (see instructions).................
    6
     
    7
    Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII,
    line 1................................
    7
     
    Part XII
    Qualifying Distributions (see instructions)
    1
    Amounts paid (including administrative expenses) to accomplish charitable, etc., purposes:
    a
    Expenses, contributions, gifts, etc.—total from Part I, column (d), line 26 ..........
    1a
    5,259,289
    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
    410,799
    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
    5,670,088
    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
    50,192
    6
    Adjusted qualifying distributions. Subtract line 5 from line 4..............
    6
    5,619,896
    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 (2012)
    Form 990-PF (2012)
    Page 8
    Part XIII
    Undistributed Income (see instructions)
    (a)
    Corpus     		(b)
    Years prior to 2011     		(c)
    2011     		(d)
    2012
    1 Distributable amount for 2012 from Part XI, line 7  
    2 Undistributed income, if any, as of the end of 2012:
    a Enter amount for 2011 only.......  
    b Total for prior years:20, 20, 20  
    3 Excess distributions carryover, if any, to 2012:
    a From 2007.......  
    b From 2008.......  
    c From 2009.......  
    d From 2010.......  
    e From 2011.......  
    fTotal of lines 3a through e.........  
    4Qualifying distributions for 2012 from Part
    XII, line 4: bullet$  
    a Applied to 2011, but not more than line 2a  
    b Applied to undistributed income of prior years
    (Election required—see instructions)......     		 
    c Treated as distributions out of corpus (Election
    required—see instructions).........     		 
    d Applied to 2012 distributable amount.....  
    e Remaining amount distributed out of corpus  
    5 Excess distributions carryover applied to 2012.    
    (If an amount appears in column (d), the
    same amount must be shown in column (a).)
    6Enter the net total of each column as
    indicated below:
    a Corpus. Add lines 3f, 4c, and 4e. Subtract line 5  
    b Prior years’ undistributed income. Subtract
    line 4b from line 2b ...........     		 
    c Enter the amount of prior years’ undistributed
    income for which a notice of deficiency has
    been issued, or on which the section 4942(a)
    tax has been previously assessed......     		 
    d Subtract line 6c from line 6b. Taxable amount
    —see instructions ...........     		 
    e Undistributed income for 2011. Subtract line
    4a from line 2a. Taxable amount—see
    instructions .............     		 
    f Undistributed income for 2012. Subtract
    lines 4d and 5 from line 1. This amount must
    be distributed in 2013 ..........     		 
    7 Amounts treated as distributions out of
    corpus to satisfy requirements imposed by
    section 170(b)(1)(F) or 4942(g)(3) (see
    instructions) .............     		 
    8Excess distributions carryover from 2007 not
    applied on line 5 or line 7 (see instructions) ...     		 
    9Excess distributions carryover to 2013.
    Subtract lines 7 and 8 from line 6a ......     		 
    10 Analysis of line 9:
    a Excess from 2008....  
    b Excess from 2009....  
    c Excess from 2010....  
    d Excess from 2011....  
    e Excess from 2012....  
    Form 990-PF (2012)
    Form 990-PF (2012)
    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 2012, enter the date of the ruling.......bullet
    2006-06-20
    b Check box to indicate whether the organization is a private operating foundation described in section or
    2a Enter the lesser of the adjusted net
    income from Part I or the minimum
    investment return from Part X for each
    year listed ..........     		Tax year Prior 3 years (e) Total
    (a) 2012 (b) 2011 (c) 2010 (d) 2009
    4,725,496 4,638,025 4,539,676 4,371,220 18,274,417
    b 85% of line 2a ......... 4,016,672 3,942,321 3,858,725 3,715,537 15,533,255
    c Qualifying distributions from Part XII,
    line 4 for each year listed .....     		5,670,088 5,787,603 5,935,256 5,251,174 22,644,121
    d Amounts included in line 2c not used directly
    for active conduct of exempt activities ....     		         
    e Qualifying distributions made directly
    for active conduct of exempt activities.
    Subtract line 2d from line 2c ....     		5,670,088 5,787,603 5,935,256 5,251,174 22,644,121
    3 Complete 3a, b, or c for the
    alternative test relied upon:
    a “Assets” alternative test—enter:
    (1) Value of all assets ......          
    (2) Value of assets qualifying
    under section 4942(j)(3)(B)(i)    		          
    b “Endowment” alternative test— enter 2⁄3
    of minimum investment return shown in
    Part X, line 6 for each year listed...     		3,150,330 3,092,016 3,026,450 2,914,146 12,182,942
    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 of the person to whom applications should be addressed:
    GRANTS ADMINSTRATOR
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    (914) 366-6311
    bThe form in which applications should be submitted and information and materials they should include:
    GRANTEES COMPLETE A FOUR-PAGE APPLICATION AND MAIL IT TO THE ADDRESS PROVIDED ABOVE. APPLCANTS MAY ALSO E-MAIL AN APPLICATION TO RACGRANTS@ROCKARCH.ORG
    cAny submission deadlines:
    NOVEMBER 15TH OF EACH CALENDAR YEAR. AWARDS ARE ANNOUNCED I
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    AWARDS ARE MADE TO INDIVIDUALS. INSTITUIONS ARE NOT ELIGIBLE TO APPLY. THE GRANT DOES NOT SUPPORT RESEARCH AT OTHER INSTITUTIONS, AND IT DOES NOT PROVIDE GENERAL TUITION SUPPORT. APPLICATION TO THE GRANT-IN-AID PROGRAM IS OPEN TO U.S. CITIZENS AND CITIZENS OF FOREIGN COUNTRIES. CERTAIN U.S. GOVERNMENT REQUIREMENTS WILL APPLY TO NON-U.S. CITIZENS.
    Form 990-PF (2012)
    Form 990-PF (2012)
    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
    Trygve Throntveit
    Hanover St
    Hanover,NH03755     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,116
    Thomas Adam
    2806 Hollywood Drive
    Arlington,TX76013     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,500
    Shi Yan
    5 Arts Link Level 3
    Singapore,Singapore117570
    CH     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 4,000
    Shaloma Gauthier
    Toronto
    Ontario,OntarioM2L 1J4
    CA     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,335
    Robin Wolfe Scheffler
    400 West 43rd Street 37S
    New York,NY10036     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 197
    Rob Aitken
    10717 126 Street
    Edmonton,EdmontonTSM 0N9
    CA     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 4,000
    Renata Nowaczewska
    UL Izerska 1
    Szczecin,Szczecin71-497
    PL     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 3,944
    Rebecca Jinks
    82 Acre Lane
    Brixton,BrixtonSW25QN
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 3,000
    Rebecca Herman
    73 3rd Street suite 34
    Los Altos,CA94022     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,456
    Pierangelo Castagneto
    1 Georgi Izmirliev Square
    Blagoevgrad,Blagoevgrad2700
    BU     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,995
    Peter Weber
    700 North Alabama Street
    Indianapolis,IN46204     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,000
    Natasha Sarkar
    2060 N High Street Apt 230
    Columbus,OH43201     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,500
    Marina Dahlquist
    Floragatan 11
    Stockholm,Stockholm11431
    SW     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,999
    Marie Scot
    29 rue des Boulangers
    Paris,Paris75005
    FR     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 3,000
    Margaret W Rossiter
    100 Fairview Square 4K
    Ithaca,NY14850     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,000
    Marcellus Barksdale
    830 Westview Drive
    Atlanta,GA30314     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,023
    Ludovic Tournes
    4 Impasse des Jardies
    Meudon,MeudonF-92190
    FR     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,776
    Lisa Levenstein
    208 Mill Race Dr
    Chapel Hill,NC27514     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,500
    Lei Zhang
    132 Remington Avenue AptH
    Syracuse,NY13210     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,500
    Lance Thurner
    287 E 139th Street Apt 4
    Bronx,NY10454     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 65
    Kazumi Noguchi
    1-2-12-301 Moriminami-machi
    Higashinada-ku,Higashinada-ku658-0011
    JA     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 4,000
    Kara Schlichting
    2 Stuyvesant Oval 6E
    New York,NY10009     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 84
    Kara Dixon Vuic
    109 Brantley Circle
    High Point,NC27262     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,000
    Julia Foulkes
    202 St Marks Avenue3
    Brooklyn,NY11238     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,000
    Julia Cummiskey
    716 N Washington Place 603
    Baltimore,MD21201     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 686
    Josh Shepperd
    1046 E Dayton
    Madison,WI53703     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,000
    Jonna Perrillo
    3021 Aurora Avenue
    El Paso,TX79930     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 4,000
    Jadwiger Pieper Mooney
    6168 N Via del Pichon
    Tucson,AZ85718     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,500
    Isabella Lohr
    Sperrstrasse 63
    Basel,Basel4057
    SZ     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 123
    Heidi G Frontani
    1649 Falmouth Avenue
    New Hyde Park,NY11040     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,500
    Fulvio Drago
    Via Trento 89/A
    Mezzolombardo,Mezzolombardo3801
    IT     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,697
    Frederick Attal
    52 Rue Henri Dunant
    Ermont,Ermont95120
    FR     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 3,000
    Fernando Quesada
    130 La Camzina MD 20
    Carrodilla,CarrodillaCP5505
    AR     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,060
    Ethan Schrum
    225 Kellogg Place
    Wheaton,IL60187     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,500
    Emily Merchant
    410 N State St 10
    Ann Arbor,MI48104     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 4,848
    Emily Baum
    108 Radnor Avenue
    Villanova,PA19085     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 899
    Dyana Furmansky
    707 Washington Street
    Denver,CO80203     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,401
    Debbie Sharnak
    115 N Hancock Street Apt2
    Madison,WI53703     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,961
    David Long
    90 Fentman Avenue
    Ontario,OntarioK1S 0T8
    CA     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 573
    David Hammack
    14206 South Woodland Road
    Shaker Heights,OH44120     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,755
    David Ekbladh
    22 Whitfield Road
    Sommerville,MA02144     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,200
    Darren Dochuk
    6803 Kingsbury Blvd Apt 2W
    St Louis,MO63130     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,500
    Daron L Calhoun II
    830 Westview Drive
    Atlanta,GA30314     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,023
    Brinda Kumar
    428 N Aurora Street Apt 5
    Ithaca,NY14850     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 905
    Barona Vilar
    Av Blasco Ilanez 17
    Valencia,Valencia46010
    SP     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 2,500
    Arnd Bauerkamper
    Druckemuhlenstrase 1
    Melle,Melle49328
    GM     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 3,000
    Ari Samsky
    16 The Flume Amherst NH 03031
    Amherst,NH03031     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 1,669
    Antonin Cohen
    65 Quai de Valmy
    Paris,Paris75010
    FR     		NONE NONE REIMBURSEMENT OF TRAVEL EXPENSES 3,000
    Total .................................bullet 3a 99,290
    bApproved for future payment
    Total .................................bullet 3b  
    Form 990-PF (2012)
    Form 990-PF (2012)
    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
    acopy service for research         25,644
    b
    c
    d
    e
    f
    gFees and contracts from government agencies          
    2 Membership dues and assessments....          
    3Interest on savings and temporary cash investments     14 1,424  
    4 Dividends and interest from securities....     14 5,494,829  
    5 Net rental income or (loss) from real estate:
    aDebt-financed property......          
    bNot debt-financed property.....          
    6Net rental income or (loss) from personal property          
    7 Other investment income.....          
    8Gain or (loss) from sales of assets other than inventory          
    9 Net income or (loss) from special events:          
    10 Gross profit or (loss) from sales of inventory..          
    11 Other revenue: a
    b
    c
    d
    e
    12 Subtotal. Add columns (b), (d), and (e)..   5,496,253 25,644
    13Total. Add line 12, columns (b), (d), and (e)..................
    135,521,897
    (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.)
    1a copy service for researchers who use the facility as documents cannot leave the archive center. This aids in their ability to document their research.
    Form 990-PF (2012)
    Form 990-PF (2012)
    Page 12
    Part XVII
    Information Regarding Transfers To and Transactions and Relationships With Noncharitable Exempt Organizations
    1
    Did the organization directly or indirectly engage in any of the following with any other organization described in section
    Yes
    No
    501(c) of the Code (other than section 501(c)(3) organizations) or in section 527, relating to political organizations?
    a
    Transfers from the reporting foundation to a noncharitable exempt organization of:
    (1) Cash...................................
    1a(1)
     
    No
    (2) Other assets.................................
    1a(2)
     
    No
    b
    Other transactions:
    (1) Sales of assets to a noncharitable exempt organization....................
    1b(1)
     
    No
    (2) Purchases of assets from a noncharitable exempt organization..................
    1b(2)
     
    No
    (3) Rental of facilities, equipment, or other assets.......................
    1b(3)
     
    No
    (4) Reimbursement arrangements...........................
    1b(4)
     
    No
    (5) Loans or loan guarantees.............................
    1b(5)
     
    No
    (6) Performance of services or membership or fundraising solicitations................
    1b(6)
     
    No
    c
    Sharing of facilities, equipment, mailing lists, other assets, or paid employees..............
    1c
     
    No
    d
    If the answer to any of the above is “Yes,” complete the following schedule. Column (b) should always show the fair market value
    of the goods, other assets, or services given by the reporting foundation. If the foundation received less than fair market value
    in any transaction or sharing arrangement, show in column (d) the value of the goods, other assets, or services received.
    (a) Line No. (b) Amount involved (c) Name of noncharitable exempt organization (d) Description of transfers, transactions, and sharing arrangements
    2a
    Is the foundation directly or indirectly affiliated with, or related to, one or more tax-exempt organizations
    described in section 501(c) of the Code (other than section 501(c)(3)) or in section 527?...........
    b
    If “Yes,” complete the following schedule.
    (a) Name of organization (b) Type of organization (c) Description of relationship
    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 (2012)
    Additional Data


    Software ID: 12000229
    Software Version: 2012v2.0


    Form 990PF - Special Condition Description:
    Special Condition Description
    Schedule B
    (Form 990, 990-EZ,
    or 990-PF)
    Department of the Treasury
    Internal Revenue Service
    Schedule of Contributors
    Arrow Bullet Attach to Form 990, 990-EZ, or 990-PF.
    OMB No. 1545-0047
    2012
    Name of the organization
    ROCKEFELLER ARCHIVE CENTER
     
    Employer identification number

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





    Form 990-PF




    Check if your organization is covered by the General Rule or a Special Rule.  
    Note. Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.
    General Rule
    Special Rules
    ......................... Arrow Bullet   $    
    Caution. An organization that is not covered by the General Rule and/or the Special Rules does not file Schedule B (Form 990,
    990-EZ, or 990-PF), but it must answer “No” on Part IV, line 2 of its Form 990; or check the box on line H of its
    Form 990-EZ or on Part I, line 2 of its Form 990-PF, to certify that it does not meet the filing requirements of Schedule B (Form 990,
    990-EZ, or 990-PF).
    For Paperwork Reduction Act Notice, see the Instructions
    for Form 990, 990-EZ, or 990-PF.
    Cat. No. 30613XSchedule B (Form 990, 990-EZ, or 990-PF) (2012)

    Schedule B (Form 990, 990-EZ, or 990-PF) (2012)
    Page 2
    Name of organization
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number

    20-8030810
    Part I
    Contributors (see instructions). Use duplicate copies of Part I if additional space is needed.
    		     
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    10
     
     

    Carnegie    
    437 Madison Avenue
       
    New York, NY   10022

    		$150,000


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

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

    		$10,000


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

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

    		$62,422


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

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

    		$100,356


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

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

    		$232,000


    (Complete Part II if there is a noncash contribution.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    5
     
     

    THE ROCKEFELLER FOUNDATION    
    420 FIFTH AVENUE
       
    NEW YORK, NY   10018

    		$150,500


    (Complete Part II if there is a noncash contribution.)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2012)
    Name of organization
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number

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

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

    		$5,000


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

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

    		$10,000


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

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

    		$85,000


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

    THE ROCKEFELLER UNIVERSITY    
    1230 YORK AVENUE
       
    NEW YORK, NY   10065

    		$500,000


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

         
     
       

    		$  


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

         
     
       

    		$  


    (Complete Part II if there is a noncash contribution.)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2012)

    Schedule B (Form 990, 990-EZ, or 990-PF) (2012)
    Page 3
    Name of organization
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number

    20-8030810
    Part II
    Noncash Property (see instructions). Use duplicate copies of Part II if additional space is needed.
    		     
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    Schedule B (Form 990, 990-EZ, or 990-PF) (2012)

    Schedule B (Form 990, 990-EZ, or 990-PF) (2012)
    Page 4
    Name of organization
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number

    20-8030810
    Part III
    Exclusively religious, charitable, etc., individual contributions to section 501(c)(7), (8), or (10) organizations
    that total more than $1,000 for the year. Complete columns (a) through (e) and the following line entry.
    For organizations completing Part III, enter the total of exclusively religious, charitable, etc.,
    contributions of $1,000 or less for the year. (Enter this information once. See instructions.) Arrow Bullet$  
    Use duplicate copies of Part III if additional space is needed.
    (a) No.
    from
    Part I    		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
     
    (e) Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
           
     
    (a) No.
    from
    Part I    		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
     
    (e) Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
           
     
    (a) No.
    from
    Part I    		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
     
    (e) Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
           
     
    (a) No.
    from
    Part I    		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
     
    (e) Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
           
     
    Schedule B (Form 990, 990-EZ, or 990-PF) (2012)

    Additional Data


    Software ID: 12000229
    Software Version: 2012v2.0

    TY 2012 AccountingFeesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:12000229
    Software Version:2012v2.0
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Tax Preparation 7,000 0 0 2,068
    Accounting & Auditing 35,000 0 0 10,342

    TY 2012 ContractorCompensationExpln
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:12000229
    Software Version:2012v2.0
    Contractor Explanation
    THE ROCKEFELLER UNIVERSITY  

    TY 2012 InvestmentsOtherSchedule2
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:12000229
    Software Version:2012v2.0
    Category/ Item Listed at Cost or FMV Book Value End of Year Fair Market Value
    THE ROCKEFELLER UNIVERSITY ENDOWMENT FMV 97,265,222 97,265,222

    TY 2012 LandEtcSchedule2
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:12000229
    Software Version:2012v2.0
    Category / Item Cost / Other Basis Accumulated Depreciation Book Value End of Year Fair Market Value
    Miscellaneous 26,351 570 25,781 25,781
    Land 4,838,000   4,838,000 4,838,000
    Buildings 14,712,630 1,792,115 12,920,515 12,920,515
    Machinery and Equipment 1,051,505 177,299 874,206 874,206
    Furniture and Fixtures 42,994 8,599 34,395 34,395
    Auto./Transportation Equip. 40,495 9,522 30,973 30,973


    TY 2012 LegalFeesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:12000229
    Software Version:2012v2.0
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Legal 42,644 0 0 13,404


    TY 2012 OtherAssetsSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:12000229
    Software Version:2012v2.0
    Description Beginning of Year - Book Value End of Year - Book Value End of Year - Fair Market Value
    Exhibition and Archival Art 2,500,505 2,500,505 2,500,505
    CAPITAL PROJECTS IN PROGRESS 272,398 468,202 468,202


    TY 2012 OtherExpensesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:12000229
    Software Version:2012v2.0
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    scholarly conferences and workshops 13,622     15,134
    POSTAGE AND SUPPLIES 100,777     90,463
    Penalty 189      
    PAYROLL SERVICE FEES 9,424     8,010
    Office Expenses 7,849     6,723
    MEMBERSHIPS 7,788     6,865
    DIGITIZATION AND MICROFILMING 49,663     136,460
    COMPUTER, SOFTWARE & LICENSING 54,573     33,188
    Bank Charges 3,037     2,601


    TY 2012 OtherIncomeSchedule2
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:12000229
    Software Version:2012v2.0
    Description Revenue And Expenses Per Books Net Investment Income Adjusted Net Income
    copy service for research 25,644    


    TY 2012 OtherLiabilitiesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:12000229
    Software Version:2012v2.0
    Description Beginning of Year - Book Value End of Year - Book Value
    Rounding 1  
    DUE TO THE ROCKEFELLER UNIVERSITY 230,556  
    EXCISE TAXES PAYABLE 40,186 5,000


    TY 2012 OtherProfessionalFeesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:12000229
    Software Version:2012v2.0
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    FINANCIAL SERVICES/INVESTMENT FEES 477,063 477,063 477,063 0
    ADVISORY & PROFESSIONAL SUPPORT 188,687 0 0 188,110


    TY 2012 TaxesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:12000229
    Software Version:2012v2.0
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Federal Excise Tax 52,200   52,200