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
Jim Neuberger and Helen Stambler Neuberger
Foundation
% c/o Foundation Source
Number and street (or P.O. box number if mail is not delivered to street address)55 Walls DriveSuite 3rd FlRoom/suite
City or town, state or province, country, and ZIP or foreign postal code
Fairfield, CT06824
A Employer identification number

13-6066102
B Telephone number (see instructions)

(800) 839-1754
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$4,980,183J 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) 5,000
2 Check bullet
3 Interest on savings and temporary cash investments 4,821 4,821  
4 Dividends and interest from securities...... 72,739 72,739  
5a Gross rents..............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10 372,792
b Gross sales price for all assets on line 6a 1,759,656
7 Capital gain net income (from Part IV, line 2)... 372,792
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 531 531  
12 Total. Add lines 1 through 11........ 455,883 450,883  
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc.        
14 Other employee salaries and wages......        
15 Pension plans, employee benefits.......        
16a Legal fees (attach schedule).........        
b Accounting fees (attach schedule).......        
c Other professional fees (attach schedule).... Click to see attachment 35,156 35,156    
17 Interest...............        
18 Taxes (attach schedule) (see instructions) Click to see attachment 12,820 3,220    
19 Depreciation (attach schedule) and depletion...      
20 Occupancy..............        
21 Travel, conferences, and meetings.......        
22 Printing and publications..........        
23 Other expenses (attach schedule)....... Click to see attachment 24,170 229   23,941
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 72,146 38,605   23,941
25 Contributions, gifts, grants paid........ 308,182 308,182
26 Total expenses and disbursements. Add lines 24 and 25 380,328 38,605   332,123
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements 75,555
b Net investment income (if negative, enter -0-) 412,278
c Adjusted net income (if negative, enter -0-)...  
For Paperwork Reduction Act Notice, see instructions.
Cat. No. 11289X Form 990-PF (2013)
Form 990-PF (2013)
Page 2
Part II Balance Sheets Attached schedules and amounts in the description column
should be for end-of-year amounts only. (See instructions.)		 Beginning of year End of year
(a) Book Value (b) Book Value (c) Fair Market Value
Assets 1 Cash—non-interest-bearing...............      
2 Savings and temporary cash investments.......... 258,569 89,310 89,310
3 Accounts receivable bullet  
Less: allowance for doubtful accounts bullet        
4 Pledges receivable bullet  
Less: allowance for doubtful accounts bullet        
5 Grants receivable.................      
6 Receivables due from officers, directors, trustees, and other
disqualified persons (attach schedule) (see instructions).....      
7 Other notes and loans receivable (attach schedule) bullet  
Less: allowance for doubtful accounts bullet        
8 Inventories for sale or use...............      
9 Prepaid expenses and deferred charges...........      
10a Investments—U.S. and state government obligations (attach schedule) 112,905 Click to see attachment73,220 72,173
b Investments—corporate stock (attach schedule)........ 2,164,125 Click to see attachment2,207,434 3,485,722
c Investments—corporate bonds (attach schedule)........ 1,097,799 Click to see attachment1,338,989 1,332,978
11 Investments—land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
12 Investments—mortgage loans..............      
13 Investments—other (attach schedule)...........      
14 Land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
15 Other assets (describe bullet)      
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 3,633,398 3,708,953 4,980,183
Liabilities 17 Accounts payable and accrued expenses..........    
18 Grants payable...................    
19 Deferred revenue..................    
20 Loans from officers, directors, trustees, and other disqualified persons    
21 Mortgages and other notes payable (attach schedule)......    
22 Other liabilities (describe bullet)    
23 Total liabilities (add lines 17 through 22)..........   0
Net Assets or Fund Balances bullet
and complete lines 24 through 26 and lines 30 and 31.
24 Unrestricted....................    
25 Temporarily restricted................    
26 Permanently restricted................    
bullet
and complete lines 27 through 31.
27 Capital stock, trust principal, or current funds.........    
28 Paid-in or capital surplus, or land, bldg., and equipment fund    
29 Retained earnings, accumulated income, endowment, or other funds 3,633,398 3,708,953
30 Total net assets or fund balances (see page 17 of the
instructions).................... 3,633,398 3,708,953
31 Total liabilities and net assets/fund balances (see page 17 of
the instructions).................. 3,633,398 3,708,953
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 3,633,398
2 Enter amount from Part I, line 27a..................... 2 75,555
3 Other increases not included in line 2 (itemize) bullet 3  
4 Add lines 1, 2, and 3.......................... 4 3,708,953
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 3,708,953
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 Publicly-traded Securities      
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 1,759,656   1,386,864 372,792
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       372,792
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 2 372,792
3 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6):
If gain, also enter in Part I, line 8, column (c) (see instructions). If (loss), enter -0-
in Part I, line 8 . . . . . . . . . . . . . . . . 		Bracket 3  
Part V
Qualification Under Section 4940(e) for Reduced Tax on Net Investment Income
(For optional use by domestic private foundations subject to the section 4940(a) tax on net investment income.)

If section 4940(d)(2) applies, leave this part blank.
Was the foundation liable for the section 4942 tax on the distributable amount of any year in the base period?
If "Yes," the foundation does not qualify under section 4940(e). Do not complete this part.
1 Enter the appropriate amount in each column for each year; see page 18 of the instructions before making any entries.
(a)
Base period years Calendar
year (or tax year beginning in) 		(b)
Adjusted qualifying distributions 		(c)
Net value of noncharitable-use assets 		(d)
Distribution ratio
(col. (b) divided by col. (c))
2012 4,863,471 4,484,547 1.084495
2011 1,164,731 11,069,241 0.105222
2010 965,961 13,208,549 0.073131
2009 919,035 12,201,965 0.075319
2008 971,874 15,007,364 0.06476
2 Total of line 1, column (d) ...................... 2 1.402927
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 0.280585
4 Enter the net value of noncharitable-use assets for 2013 from Part X, line 5..... 4 4,721,497
5 Multiply line 4 by line 3....................... 5 1,324,781
6 Enter 1% of net investment income (1% of Part I, line 27b)........... 6 4,123
7 Add lines 5 and 6......................... 7 1,328,904
8 Enter qualifying distributions from Part XII, line 4.............. 8 332,123
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 8,246
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 8,246
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 8,246
6 Credits/Payments:
a 2013 estimated tax payments and 2012 overpayment credited to 2013 6a 8,800
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 8,800
8 Enter any penalty for underpayment of estimated tax. if Form 2220 is attached. Click to see attachment 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 10 554
11 Enter the amount of line 10 to be: Credited to 2014 estimated taxBullet554 RefundedBullet 11  
Part VII-A
Statements Regarding Activities
1a
During the tax year, did the foundation attempt to influence any national, state, or local legislation or did
Yes
No
it participate or intervene in any political campaign? ....................
1a
 
No
b
Did it spend more than $100 during the year (either directly or indirectly) for political purposes (see page 19 of
the instructions for definition)?............................
1b
 
No
If the answer is "Yes" to 1a or 1b, attach a detailed description of the activities and copies of any materials
published or distributed by the foundation in connection with the activities.
c
Did the foundation file Form 1120-POL for this year?.....................
1c
 
No
d
Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year:
(1) On the foundation. bullet$   (2) On foundation managers.bullet$  
e
Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed
on foundation managers.bullet$  
2
Has the foundation engaged in any activities that have not previously been reported to the IRS?.......
2
 
No
If "Yes," attach a detailed description of the activities.
3
Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles
of incorporation, or bylaws, or other similar instruments? If "Yes," attach a conformed copy of the changes....
3
 
No
4a
Did the foundation have unrelated business gross income of $1,000 or more during the year?........
4a
 
No
b
If "Yes," has it filed a tax return on Form 990-T for this year?...................
4b
 
 
5
Was there a liquidation, termination, dissolution, or substantial contraction during the year?.........
5
 
No
If "Yes," attach the statement required by General Instruction T.
6
Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either:
  • By language in the governing instrument, or
  • By state legislation that effectively amends the governing instrument so that no mandatory directions
    • that conflict with the state law remain in the governing instrument?................
    6
    Yes
     
    7
    Did the foundation have at least $5,000 in assets at any time during the year? If "Yes," complete Part II, col. (c), and Part XV.
    7
    Yes
     
    8a
    Enter the states to which the foundation reports or with which it is registered (see instructions)
    bulletNY
    b
    If the answer is "Yes" to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney
    General (or designate) of each state as required by General Instruction G? If "No," attach explanation .
    8b
    Yes
     
    9
    Is the foundation claiming status as a private operating foundation within the meaning of section 4942(j)(3)
    or 4942(j)(5) for calendar year 2013 or the taxable year beginning in 2013 (see instructions for Part XIV)?
    If "Yes," complete Part XIV.............................
    9
     
    No
    10
    Did any persons become substantial contributors during the tax year? If "Yes," attach a schedule listing their names and addresses.
    10
     
    No
    11
    At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the
    meaning of section 512(b)(13)? If "Yes," attach schedule. (see instructions) .............
    11
     
    No
    12
    Did the foundation make a distribution to a donor advised fund over which the foundation or a disqualified person had
    advisory privileges? If "Yes," attach statement (see instructions).................
    12
     
    No
    13
    Did the foundation comply with the public inspection requirements for its annual returns and exemption application?
    13
    Yes
     
    Website addressbullet  
    14
    The books are in care ofbulletco Foundation Source Telephone no.bullet (800) 839-1754
    Located atbullet501 Silverside Road Suite 123WilmingtonDE ZIP+4bullet198091377
    15
    Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041.........bullet
    and enter the amount of tax-exempt interest received or accrued during the year ......bullet
    15  
    16 At any time during calendar year 2013, did the foundation have an interest in or a signature or other authority over YesNo
    a bank, securities, or other financial account in a foreign country?
    16   No
    See instructions for exceptions and filing requirements for Form TD F 90-22.1. If "Yes", enter the name of the
    foreign country bullet  
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 5
    Part VII-B
    Statements Regarding Activities for Which Form 4720 May Be Required
    File Form 4720 if any item is checked in the "Yes" column, unless an exception applies.
    Yes
    No
    1a
    During the year did the foundation (either directly or indirectly):
    (1) Engage in the sale or exchange, or leasing of property with a disqualified person?
    (2) Borrow money from, lend money to, or otherwise extend credit to (or accept it from)
    a disqualified person?.........................
    (3) Furnish goods, services, or facilities to (or accept them from) a disqualified person?
    (4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person?
    (5) Transfer any income or assets to a disqualified person (or make any of either available
    for the benefit or use of a disqualified person)?.................
    (6) Agree to pay money or property to a government official? (Exception. Check "No"
    if the foundation agreed to make a grant to or to employ the official for a period
    after termination of government service, if terminating within 90 days.).........
    b
    If any answer is "Yes" to 1a(1)–(6), did any of the acts fail to qualify under the exceptions described in Regulations
    section 53.4941(d)-3 or in a current notice regarding disaster assistance (see page 20 of the instructions)?...
    1b
     
     
    .........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
    Jim Kaufman Dir
    1.0     		0    
    55 Walls Drive
    Fairfield,CT06824
    Jim Neuberger Pres / Dir
    1.0     		0    
    55 Walls Drive
    Fairfield,CT06824
    Helen Stambler Neuberger VP / Dir / Sec
    1.0     		0    
    55 Walls Drive
    Fairfield,CT06824
    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
     
    Total number of other employees paid over $50,000...................bullet  
    3 Five highest-paid independent contractors for professional services (see instructions). If none, enter "NONE".
    (a) Name and address of each person paid more than $50,000 (b) Type of service (c) Compensation
     
    Total number of others receiving over $50,000 for professional services.............bullet  
    Part IX-A
    Summary of Direct Charitable Activities
    List the foundation’s four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of organizations and other beneficiaries served, conferences convened, research papers produced, etc. Expenses
    1
     
    2  
    3  
    4  
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 7
    Part IX-B
    Summary of Program-Related Investments (see instructions)
    Describe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2. Amount
    1  
    2  
    All other program-related investments. See page 24 of the instructions.
    3  
    Total. Add lines 1 through 3.........................bullet  
    Part X
    Minimum Investment Return (All domestic foundations must complete this part. Foreign foundations,
    see instructions.)
    1
    Fair market value of assets not used (or held for use) directly in carrying out charitable, etc.,
    purposes:
    a
    Average monthly fair market value of securities...................
    1a
     
    b
    Average of monthly cash balances.......................
    1b
     
    c
    Fair market value of all other assets (see instructions)................
    1c
     
    d
    Total (add lines 1a, b, and c).........................
    1d
     
    e
    Reduction claimed for blockage or other factors reported on lines 1a and
    1c (attach detailed explanation) .............
    1e
     
    2
    Acquisition indebtedness applicable to line 1 assets..................
    2
     
    3
    Subtract line 2 from line 1d.........................
    3
     
    4
    Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
    instructions) .............................
    4
     
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
     
    6
    Minimum investment return. Enter 5% of line 5..................
    6
     
    Part XI
    Distributable Amount bullet and do not complete this part.)
    1
    Minimum investment return from Part X, line 6....................
    1
    236,075
    2a
    Tax on investment income for 2013 from Part VI, line 5......
    2a
    8,246
    b
    Income tax for 2013. (This does not include the tax from Part VI.)...
    2b
     
    c
    Add lines 2a and 2b............................
    2c
    8,246
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
    227,829
    4
    Recoveries of amounts treated as qualifying distributions................
    4
     
    5
    Add lines 3 and 4............................
    5
    227,829
    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
    227,829
    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 7 227,829
    2 Undistributed income, if any, as of the end of 2013:
    a Enter amount for 2012 only.......  
    b Total for prior years:2011, 2010, 2009  
    3 Excess distributions carryover, if any, to 2013:
    a From 2008....... 222,204
    b From 2009....... 310,759
    c From 2010....... 317,554
    d From 2011....... 621,855
    e From 2012....... 4,649,078
    fTotal of lines 3a through e......... 6,121,450
    4Qualifying distributions for 2013 from Part
    XII, line 4: bullet$ 332,123
    a Applied to 2012, 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 2013 distributable amount..... 227,829
    e Remaining amount distributed out of corpus 104,294
    5 Excess distributions carryover applied to 2013.    
    (If an amount appears in column (d), the
    same amount must be shown in column (a).)
    6Enter the net total of each column as
    indicated below:
    a Corpus. Add lines 3f, 4c, and 4e. Subtract line 5 6,225,744
    b Prior years’ undistributed income. Subtract
    line 4b from line 2b ...........     		 
    c Enter the amount of prior years’ undistributed
    income for which a notice of deficiency has
    been issued, or on which the section 4942(a)
    tax has been previously assessed......     		 
    d Subtract line 6c from line 6b. Taxable amount
    —see instructions ...........     		 
    e Undistributed income for 2012. Subtract line
    4a from line 2a. Taxable amount—see
    instructions .............     		 
    f Undistributed income for 2013. Subtract
    lines 4d and 5 from line 1. This amount must
    be distributed in 2014 ..........     		0
    7 Amounts treated as distributions out of
    corpus to satisfy requirements imposed by
    section 170(b)(1)(F) or 4942(g)(3) (see
    instructions) .............     		 
    8Excess distributions carryover from 2008 not
    applied on line 5 or line 7 (see instructions) ...     		222,204
    9Excess distributions carryover to 2014.
    Subtract lines 7 and 8 from line 6a ......     		6,003,540
    10 Analysis of line 9:
    a Excess from 2009.... 310,759
    b Excess from 2010.... 317,554
    c Excess from 2011.... 621,855
    d Excess from 2012.... 4,649,078
    e Excess from 2013.... 104,294
    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).)
    JAMES NEUBERGER
    ANN N ACEVES
    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.
    NONE
    2Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc., Programs:
    Check here bullet
    aThe name, address, and telephone number of the person to whom applications should be addressed:
    bThe form in which applications should be submitted and information and materials they should include:
    cAny submission deadlines:
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    Form 990-PF (2013)
    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
    ACTORS FUND OF AMERICA
    729 7TH AVE
    NEW YORK,NY10019     		N/A PC General & Unrestricted 1,000
    AMERICAN KIDNEY FUND INC
    6110 EXECUTIVE BLVD STE 1010
    ROCKVILLE,MD20852     		N/A PC General & Unrestricted 500
    AMNESTY INTERNATIONAL OF THE USA INC
    5 PENN PLZ FL 16
    NEW YORK,NY10001     		N/A PC General & Unrestricted 500
    BANK STREET COLLEGE OF EDUCATION
    610 W 112TH ST
    NEW YORK,NY10025     		N/A PC Leadership in Mathematics Education Online Program 25,000
    BOYS TOWN JERUSALEM FOUNDATION OF AMERICA INC
    1 PENN PLZ STE 6250
    NEW YORK,NY10119     		N/A PC General & Unrestricted 500
    BROADWAY MALL MAINTENANCE FUND INC
    2095 BROADWAY STE 403
    NEW YORK,NY10023     		N/A PC General & Unrestricted 1,500
    CAREER TRANSITION FOR DANCERS INC
    165 W 46TH ST STE 701
    NEW YORK,NY10036     		N/A PC 28TH ANNIVERSARY JUBILEE Fund 1,200
    CAREERS THROUGH CULINARY ARTS PROGRAM INC
    250 W 57TH ST STE 2015
    NEW YORK,NY10107     		N/A PC General & Unrestricted 500
    COPLAND HOUSE INC
    PO BOX 2177
    CORTLANDT MANOR,NY10566     		N/A PC General & Unrestricted 1,250
    CREATIVE CONNECTIONS INC
    303 W AVE MATHEWS PARK
    NORWALK,CT06850     		N/A PC General & Unrestricted 500
    CYSTIC FIBROSIS FOUNDATION
    4929 WILSHIRE BLVD STE 760
    LOS ANGELES,CA90010     		N/A PC General & Unrestricted 1,000
    DOCTORS WITHOUT BORDERS USA INC
    333 7TH AVE
    NEW YORK,NY10001     		N/A PC TRIBUTE Fund 500
    DOE FUND INC
    232 E 84TH ST
    NEW YORK,NY10028     		N/A PC General & Unrestricted 500
    ENVIRONMENTAL DEFENSE FUND INCORPORATED
    1875 CONNECTICUT AVE NW STE 600
    WASHINGTON,DC20009     		N/A PC General & Unrestricted 500
    ETHICAL CULTURE FIELDSTON SCHOOL
    33 CENTRAL PARK W
    NEW YORK,NY10023     		N/A PC Neuberger Family Fund for the Visual and Performing Arts 5,000
    FORTUNE SOCIETY INC
    29-76 NORTHERN BLVD
    LONG ISLAND CITY,NY11101     		N/A PC General & Unrestricted 500
    FRIENDS OF THE NEUBERGER MUSEUM INC
    735 ANDERSON HILL RD
    PURCHASE,NY10577     		N/A PC General & Unrestricted 28,585
    FRIENDS OF THE NEUBERGER MUSEUM INC
    735 ANDERSON HILL RD
    PURCHASE,NY10577     		N/A PC acquisitions fund 50
    FRIENDS OF THE NEUBERGER MUSEUM INC
    735 ANDERSON HILL RD
    PURCHASE,NY10577     		N/A PC EDUCATION fund 50
    FRIENDS OF THE NEUBERGER MUSEUM INC
    735 ANDERSON HILL RD
    PURCHASE,NY10577     		N/A PC EXHIBITIONS fund 100
    FRIENDS OF THE NEUBERGER MUSEUM INC
    735 ANDERSON HILL RD
    PURCHASE,NY10577     		N/A PC TRIBUTE FUND 200
    FRIENDS OF THE NEUBERGER MUSEUM INC
    735 ANDERSON HILL RD
    PURCHASE,NY10577     		N/A PC Exhibition Fund 100
    FRIENDS OF THE NEUBERGER MUSEUM INC
    735 ANDERSON HILL RD
    PURCHASE,NY10577     		N/A PC ROY R NEUBERGER COLLECTION CATALOGUE Fund 50,000
    FRIENDS OF THE NEUBERGER MUSEUM INC
    735 ANDERSON HILL RD
    PURCHASE,NY10577     		N/A PC TRIBUTE FUND 600
    FRIENDS OF THE NEUBERGER MUSEUM INC
    735 ANDERSON HILL RD
    PURCHASE,NY10577     		N/A PC African Arts Council to support "Pre-Columbian Remix" exhibition 5,000
    FRIENDS OF THE NEUBERGER MUSEUM INC
    735 ANDERSON HILL RD
    PURCHASE,NY10577     		N/A PC AFRICAN ARTS COUNCIL Program 1,000
    FRIENDS OF THE NEUBERGER MUSEUM INC
    735 ANDERSON HILL RD
    PURCHASE,NY10577     		N/A PC CELEBRATING 40 YEARS - 2013 Program 700
    FRIENDS OF THE NEUBERGER MUSEUM INC
    735 ANDERSON HILL RD
    PURCHASE,NY10577     		N/A PC CELEBRATING 40 YEARS Project 40,000
    FRIENDS OF THE NEUBERGER MUSEUM INC
    735 ANDERSON HILL RD
    PURCHASE,NY10577     		N/A PC NMA RE-OPENING CELEBRATION Program 5,000
    FRIENDS OF THE NEUBERGER MUSEUM INC
    735 ANDERSON HILL RD
    PURCHASE,NY10577     		N/A PC ROY R NEUBERGER EXHIBITION PRIZE Initiative 50,000
    HUNTER COLLEGE FOUNDATION INC
    695 PARK AVE E1313
    NEW YORK,NY10065     		N/A PC ZABAR ART LIBRARY fund 1,000
    INNOCENCE PROJECT INC
    40 WORTH ST RM 701
    NEW YORK,NY10013     		N/A PC General & Unrestricted 1,000
    JEWISH MUSEUM
    1109 5TH AVE
    NEW YORK,NY10128     		N/A PC General & Unrestricted 1,000
    JEWISH WOMENS FOUNDATION OF NEW YORK INC
    130 E 59TH ST
    NEW YORK,NY10022     		N/A PC General & Unrestricted 1,000
    LUNGEVITY FOUNDATION
    218 S WABASH AVE STE 540
    CHICAGO,IL60604     		N/A PC CELEBRATION OF HOPE fund 2,100
    MIAMI ART MUSEUM OF DADE COUNTY ASSOCIATION INC
    1103 BISCAYNE BLVD
    MIAMI,FL33132     		N/A PC EXHIITIONS Fund 2,500
    MIDORI FOUNDATION INC
    352 7TH AVE RM 301
    NEW YORK,NY10001     		N/A PC General & Unrestricted 500
    NATIONAL DANCE INSTITUTE INC
    217 W 147TH ST
    NEW YORK,NY10039     		N/A PC General & Unrestricted 21,115
    NATIONAL DANCE INSTITUTE INC
    217 W 147TH ST
    NEW YORK,NY10039     		N/A PC SHANGHAI PROGRAM 1,000
    NATIONAL DANCE INSTITUTE INC
    217 W 147TH ST
    NEW YORK,NY10039     		N/A PC China trip fund 5,000
    NATIONAL DANCE INSTITUTE INC
    217 W 147TH ST
    NEW YORK,NY10039     		N/A PC EVENT OF THE YEAR NEW CHOREOGRAPHY Program 500
    NATIONAL DANCE INSTITUTE INC
    217 W 147TH ST
    NEW YORK,NY10039     		N/A PC JACQUES' ART NEST Program 200
    NATIONAL DANCE INSTITUTE INC
    217 W 147TH ST
    NEW YORK,NY10039     		N/A PC NDI-CHINA PROgram 7,400
    NATIONAL DANCE INSTITUTE INC
    217 W 147TH ST
    NEW YORK,NY10039     		N/A PC TEXT TO PLEDGE GALA 2013 Program 200
    NATIONAL DANCE INSTITUTE INC
    217 W 147TH ST
    NEW YORK,NY10039     		N/A PC Adopt-A-School Initiative 25,000
    NATIONAL DANCE INSTITUTE INC
    217 W 147TH ST
    NEW YORK,NY10039     		N/A PC The Big Easy Initiative 3,400
    NEW VENTURE FUND
    1201 CONNECTICUT AVE NW
    WASHINGTON,DC20036     		N/A PC ORGANIZE.ORG Initiative 1,000
    NEW YORK PUBLIC RADIO
    160 VARICK ST
    NEW YORK,NY10013     		N/A PC General & Unrestricted 1,000
    NY SOCIETY FOR pREVENTION OF CRUELTY to children
    161 WILLIAM ST NO 9TH
    NEW YORK,NY10038     		N/A PC General & Unrestricted 500
    OREGON COLLEGE OF ART AND CRAFT
    8245 SW BARNES RD
    PORTLAND,OR97225     		N/A PC General & Unrestricted 1,000
    PAGUS INC
    619 W WASHINGTON ST
    NORRISTOWN,PA19401     		N/A PC General & Unrestricted 500
    PATHWAYS TO HOUSING NY INC
    186 E 123RD ST FL 3
    NEW YORK,NY10035     		N/A PC General & Unrestricted 1,000
    PERFORMING ARTS CENTER FOUNDATION INC
    735 ANDERSON HILL RD
    PURCHASE,NY10577     		N/A SO I General & Unrestricted 1,500
    PLANNED PARENTHOOD FEDERATION OF AMERICA INC
    434 W 33RD ST 11TH FL
    NEW YORK,NY10001     		N/A PC General & Unrestricted 750
    POETS HOUSE INC
    10 RIVER TER
    NEW YORK,NY10282     		N/A PC General & Unrestricted 1,500
    PROJECT BREAD - THE WALK FOR HUNGER INC
    145 BORDER ST
    EAST BOSTON,MA02128     		N/A PC Charitable Event 50
    PUBLIC CITIZEN FOUNDATION INC
    1600 20TH ST NW
    WASHINGTON,DC20009     		N/A PC General & Unrestricted 500
    STUDIO MUSEUM IN HARLEM INC
    144 W 125TH ST
    NEW YORK,NY10027     		N/A PC General & Unrestricted 500
    THE BACHMANN-STRAUSS DYSTONIA & PARKINSON FDN Inc
    551 5TH AVE RM 520
    NEW YORK,NY10176     		N/A PC General & Unrestricted 1,000
    THE METROPOLITAN MUSEUM OF ART
    1000 5TH AVE
    NEW YORK,NY10028     		N/A PC General & Unrestricted 932
    THEATRE FOR A NEW AUDIENCE INC
    154 CHRISTOPHER ST
    NEW YORK,NY10014     		N/A PC General & Unrestricted 200
    THIRTEEN
    825 8TH AVE
    NEW YORK,NY10019     		N/A PC General & Unrestricted 1,000
    WESTCHESTER JEWISH COUNCIL INC
    701 WESTCHESTER AVE STE 203E
    WHITE PLAINS,NY10604     		N/A PC General & Unrestricted 500
    Total .................................bullet 3a 308,182
    bApproved for future payment
    Total .................................bullet 3b  
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 11
    Part XVI-A
    Analysis of Income-Producing Activities
    Enter gross amounts unless otherwise indicated. Unrelated business income Excluded by section 512, 513, or 514 (e)
    Related or exempt
    function income
    (See instructions.)
    1Program service revenue: (a)
    Business code     		(b)
    Amount     		(c)
    Exclusion code     		(d)
    Amount
    a
    b
    c
    d
    e
    f
    gFees and contracts from government agencies          
    2 Membership dues and assessments....          
    3
    Interest on savings and temporary cash investments ............     		    14 4,821  
    4 Dividends and interest from securities....     14 72,739  
    5 Net rental income or (loss) from real estate:
    aDebt-financed property......          
    bNot debt-financed property.....          
    6
    Net rental income or (loss) from personal property .............     		         
    7 Other investment income.....          
    8
    Gain or (loss) from sales of assets other than inventory .............     		    18 372,792  
    9 Net income or (loss) from special events:          
    10 Gross profit or (loss) from sales of inventory..          
    11 Other revenue: aForeign Tax Refund     01 531  
    b
    c
    d
    e
    12 Subtotal. Add columns (b), (d), and (e)..   450,883  
    13Total. Add line 12, columns (b), (d), and (e)..................
    13450,883
    (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
    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.
    Arrow Bullet Information about Schedule B (Form 990, 990-EZ, or 990-PF) and its instructions is at www.irs.gov/form990.
    OMB No. 1545-0047
    2013
    Name of the organization
    Jim Neuberger and Helen Stambler Neuberger
    Foundation
    Employer identification number

    13-6066102
    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 its Form 990PF, Part I, line 2, to certify that it does not meet the filing requirements of Schedule B (Form 990,
    990-EZ, or 990-PF).
    For Paperwork Reduction Act Notice, see the Instructions
    for Form 990, 990-EZ, or 990-PF.
    Cat. No. 30613XSchedule B (Form 990, 990-EZ, or 990-PF) (2013)

    Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
    Page 2
    Name of organization
    Jim Neuberger and Helen Stambler Neuberger
    Foundation         		Employer identification number

    13-6066102
    Part I
    Contributors (see instructions). Use duplicate copies of Part I if additional space is needed.
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    1
     
     

    Neuberger Jim  
    37 Riverside Drive Apt 13A
     
    New York, NY10023

    		$5,000


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

       
     
     

    		$  


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

       
     
     

    		$  


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

       
     
     

    		$  


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

       
     
     

    		$  


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

       
     
     

    		$  


    (Complete Part II for noncash contributions.)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2013)

    Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
    Page 3
    Name of organization
    Jim Neuberger and Helen Stambler Neuberger
    Foundation         		Employer identification number

    13-6066102
    Part II
    Noncash Property (see instructions). Use duplicate copies of Part II if additional space is needed.
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    Schedule B (Form 990, 990-EZ, or 990-PF) (2013)

    Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
    Page 4
    Name of organization
    Jim Neuberger and Helen Stambler Neuberger
    Foundation         		Employer identification number

    13-6066102
    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) (2013)

    Additional Data


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    TY 2013 DepreciationSchedule
    Name:
    Jim Neuberger and Helen Stambler Neuberger
    Foundation
    EIN: 13-6066102
    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

    TY 2013 InvestmentsCorpBondsSchedule
    Name:
    Jim Neuberger and Helen Stambler Neuberger
    Foundation
    EIN: 13-6066102
    Name of Bond End of Year Book Value End of Year Fair Market Value
    ALCAN INC NT - 5.200% - 01/15/ 26,495 25,040
    AMERICAN EXPRESS CO SR NT - 7. 30,060 30,789
    BANK AMER CORP - 1.84944% - 01 3,000 3,002
    BANK OF NOVA SCOTIA 0.68010% 50,000 50,080
    BARCLAYS BK PLC - 1.6165% - 01 32,000 32,009
    BB&T CORPORATION SR NT - 0.972 31,000 31,055
    BELLSOUTH CORP NT - 5.200% - 0 53,432 51,631
    BERKSHIRE HATHAWAY INC - 1.157 30,981 31,135
    BHP BILLITON FIN USA LTD - 0.7 50,000 50,017
    CITIGROUP INC SR NT - 6.375% - 29,921 31,009
    COMMONWEALTH BK AUSTRALIA - 1 25,517 25,418
    DEERE JOHN CAP CORP MTNS BE - 51,888 51,612
    DELL INC - 1.17575% - 04/01/20 31,047 30,875
    ENTERGY LOUISIANA LLC BOND - 1 25,695 25,333
    EXPRESS SCRIPTS HLDG CO 2.10% 30,685 30,435
    FIFTH THIRD BANK BOND 00.00000 50,000 50,132
    GE CAPITAL FINANCIAL INC - 1.1 54,999 55,042
    GEORGIA POWER COMPANY BOND 0.6 50,000 50,014
    GOLDMAN SACHS - 5.350% - 01/15 32,428 32,465
    GOLDMAN SACHS BK USA NY 1.00% 50,293 50,152
    JPMORGAN CHASE - 4.650% - 06/0 30,936 31,543
    JPMORGAN CHASE 3.7% 1/20/15 52,723 51,548
    KEY BANK NA BOND 00.72660 11/2 50,000 50,086
    LLOYDS TSB BK PLC - 2.76833% - 32,000 32,044
    MERCK & CO INC BD - 4.000% - 0 53,460 52,577
    METLIFE INC - 2.375% - 02/06/2 30,959 31,056
    MORGAN STANLEY SR NT DATED DUE 50,373 50,040
    NORTHERN TR CORP SR NT - 4.625 32,638 30,400
    ROYAL BANK OF CANADA 0.00% 03/ 50,000 50,097
    SALLIE MAE BK MURRAY UTAH - 1. 49,950 50,271
    TJX COS INC MAKE WHOLE - 4.200 53,523 52,738
    UBS AG STAMFORD - 2.250% - 01/ 31,986 32,041
    VERIZON COMMUNICATIONS INC - 1 31,000 31,039
    VODAFONE GROUP PLC 0.675% 02/ 25,000 24,988
    WESTPAC BKG CORP - 0.000% - 09 25,000 25,265

    TY 2013 InvestmentsCorpStockSchedule
    Name:
    Jim Neuberger and Helen Stambler Neuberger
    Foundation
    EIN: 13-6066102
    Name of Stock End of Year Book Value End of Year Fair Market Value
    AMERICAN EXPRESS CO 35,661 79,389
    ANHEUSER BUSCH COS INC 47,482 53,230
    ANTERO RESOURCES CORPORATION 58,162 69,784
    APPLE INC. 50,729 117,252
    BARD C R INC. 66,596 87,061
    BRISTOL-MYERS SQUIBB CO 53,892 85,040
    CABOT OIL & GAS CORP 31,906 93,024
    CENOVUS ENERGY INC 7,111 7,163
    CHURCH & DWIGHT COMMON 60,789 99,420
    DANAHER CORP 46,492 81,060
    DOVER CORP 65,310 94,127
    DUNKIN' BRANDS GROUP INC 32,864 53,020
    EMC CORP-MASS 89,707 90,540
    EOG RESOURCES INC 32,693 83,920
    ESTEE LAUDER COMPANIES INC 73,981 101,681
    EXPRESS SCRIPTS HOLDING CO. 55,625 77,264
    FISERV INC 36,245 105,108
    FMC TECHS INC COM 79,114 100,503
    GENERAC HOLDING INC 37,934 62,304
    INTERNATIONAL BUSINESS MACHINE 29,784 56,271
    INTUIT 72,679 89,676
    JP MORGAN CHASE & CO 77,454 92,106
    L BRANDS INC 51,860 71,128
    LENNAR CORP 36,852 89,010
    LUXOTTICA GP SPA 40,580 74,140
    M&T BANK CORP 66,760 72,763
    MOODYS CORP 31,729 39,235
    NESTLE S.A. 44,875 95,667
    NOVARTIS AG ADR 52,012 74,352
    OCCIDENTAL PETROLEUM CORP 29,458 59,438
    ORACLE CORP 26,833 62,173
    PFIZER INC. 50,214 77,341
    PRAXAIR INC. 49,687 81,269
    PRECISION CASTPARTS 48,059 80,790
    RANGE RESOURCES CORP DEL 73,582 94,849
    ROPER INDUSTRIES 26,626 76,274
    SANDISK CORP 71,300 88,175
    SCHLUMBERGER LTD 50,184 94,616
    SIRONA DENTAL SYSTEMS INC 59,045 87,750
    TOLL BROTHERS INC 86,109 98,050
    TYCO INTERNATIONAL LTD. 49,888 87,210
    WALT DISNEY HOLDINGS CO. 41,970 99,320
    WHITEWAVE FOODS COMPANY 77,601 103,229

    TY 2013 InvestmentsGovtObligationsSch
    Name:
    Jim Neuberger and Helen Stambler Neuberger
    Foundation
    EIN: 13-6066102
    US Government Securities - End of Year Book Value:

    20,604
    US Government Securities - End of Year Fair Market Value:

    21,168
    State & Local Government Securities - End of Year Book Value:


    52,616
    State & Local Government Securities - End of Year Fair Market Value:


    51,005


    TY 2013 InvestmentsLandSchedule2
    Name:
    Jim Neuberger and Helen Stambler Neuberger
    Foundation
    EIN: 13-6066102
    Category/ Item Cost/Other Basis Accumulated Depreciation Book Value End of Year Fair Market Value

    TY 2013 LandEtcSchedule2
    Name:
    Jim Neuberger and Helen Stambler Neuberger
    Foundation
    EIN: 13-6066102
    Category / Item Cost / Other Basis Accumulated Depreciation Book Value End of Year Fair Market Value


    TY 2013 OtherExpensesSchedule
    Name:
    Jim Neuberger and Helen Stambler Neuberger
    Foundation
    EIN: 13-6066102
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Administrative Fees 23,556     23,556
    Bank Charges 229 229    
    Public Disclosure Ad 135     135
    State or Local Filing Fees 250     250


    TY 2013 OtherIncomeSchedule2
    Name:
    Jim Neuberger and Helen Stambler Neuberger
    Foundation
    EIN: 13-6066102
    Description Revenue And Expenses Per Books Net Investment Income Adjusted Net Income
    Foreign Tax Refund 531 531  


    TY 2013 OtherProfessionalFeesSchedule
    Name:
    Jim Neuberger and Helen Stambler Neuberger
    Foundation
    EIN: 13-6066102
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Investment Management Services 35,156 35,156    


    TY 2013 TaxesSchedule
    Name:
    Jim Neuberger and Helen Stambler Neuberger
    Foundation
    EIN: 13-6066102
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    990-PF EXTENSION FOR 2012 800      
    990-PF Estimated Tax for 2013 8,800      
    Foreign Tax Paid 3,220 3,220