Schwartz Family Foundation C/O Alan Schwartz Guggenheim Partners — Form 990PF, tax year 2013

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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
SCHWARTZ FAMILY FOUNDATION
C/O ALAN SCHWARTZ GUGGENHEIM PARTNERS

Number and street (or P.O. box number if mail is not delivered to street address)330 MADISON AVENUE 15TH FLOOR   Room/suite
City or town, state or province, country, and ZIP or foreign postal code
NEW YORK, NY10017
A Employer identification number

13-7138217
B Telephone number (see instructions)

(212) 901-9373
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$23,943,818J 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) 5,331,516
2 Check bullet
3 Interest on savings and temporary cash investments 7 7  
4 Dividends and interest from securities...... 644,739 644,739  
5a Gross rents..............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10 995,956
b Gross sales price for all assets on line 6a 14,871,140
7 Capital gain net income (from Part IV, line 2)... 3,780,686
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 31,773 31,773 0
12 Total. Add lines 1 through 11........ 7,003,991 4,457,205 0
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc. 0 0 0 0
14 Other employee salaries and wages......        
15 Pension plans, employee benefits.......        
16a Legal fees (attach schedule).........        
b Accounting fees (attach schedule)....... Click to see attachment 15,000 0 0 0
c Other professional fees (attach schedule).... Click to see attachment 77,053 77,053 0 0
17 Interest............... 128,250 128,250 0 0
18 Taxes (attach schedule) (see instructions) Click to see attachment 10,064 64 0 0
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 620 0 0 0
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 230,987 205,367 0 0
25 Contributions, gifts, grants paid........ 2,766,660 2,766,660
26 Total expenses and disbursements. Add lines 24 and 25 2,997,647 205,367 0 2,766,660
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements 4,006,344
b Net investment income (if negative, enter -0-) 4,251,838
c Adjusted net income (if negative, enter -0-)... 0
For Paperwork Reduction Act Notice, see instructions.
Cat. No. 11289X Form 990-PF (2013)
Form 990-PF (2013)
Page 2
Part II Balance Sheets Attached schedules and amounts in the description column
should be for end-of-year amounts only. (See instructions.)		 Beginning of year End of year
(a) Book Value (b) Book Value (c) Fair Market Value
Assets 1 Cash—non-interest-bearing...............      
2 Savings and temporary cash investments.......... 167,234 651,516 651,516
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) 1,296,006 Click to see attachment871,134 866,959
b Investments—corporate stock (attach schedule)........ 2,394,149 Click to see attachment7,502,870 7,939,246
c Investments—corporate bonds (attach schedule)........ 16,285,175 Click to see attachment10,192,343 9,576,006
11 Investments—land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
12 Investments—mortgage loans..............      
13 Investments—other (attach schedule)........... 0 Click to see attachment4,931,045 4,910,091
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) 20,142,564 24,148,908 23,943,818
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 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......... 20,142,564 24,148,908
28 Paid-in or capital surplus, or land, bldg., and equipment fund 0 0
29 Retained earnings, accumulated income, endowment, or other funds 0 0
30 Total net assets or fund balances (see page 17 of the
instructions).................... 20,142,564 24,148,908
31 Total liabilities and net assets/fund balances (see page 17 of
the instructions).................. 20,142,564 24,148,908
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 20,142,564
2 Enter amount from Part I, line 27a..................... 2 4,006,344
3 Other increases not included in line 2 (itemize) bullet 3 0
4 Add lines 1, 2, and 3.......................... 4 24,148,908
5 Decreases not included in line 2 (itemize) bullet 5 0
6 Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 30. 6 24,148,908
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 LEHMAN BROTHER HOLDINGS INC D   2013-04-04
b LEHMAN BROTHER HOLDINGS INC D   2013-10-03
c 363 SHS AOL INC     2013-05-30
d 313 SHS HOST HOTELS & RESORTS INC     2013-05-30
e 14086 SHS ISTAR FINANCIAL INC     2013-05-30
4000 SHS TIME WARNER INC     2013-05-30
1004 SHS TIME WARNER CABLE INC     2013-05-30
9400 SHS HOME DEPOT INC     2013-08-05
6585 SHS HOME DEPOT INC     2013-10-14
12550 SHS HOME DEPOT INC     2013-11-18
10000 SHS JPMORGAN CHASE     2013-05-30
13350 SHS JPMORGAN CHASE     2013-08-05
9633 SHS JPMORGAN CHASE     2013-10-14
17985 SHS JPMORGAN CHASE     2013-11-18
581 SHS AFLAC INC   2013-10-15 2013-11-18
1229 SHS AFLAC INC   2013-09-13 2013-11-18
1344 SHS DR PEPPER SNAPPLE GROUP INC   2013-09-13 2013-10-07
1254 SHS DARDEN RESTAURANTS INC   2013-09-13 2013-09-20
918 SHS DOW CHEMICAL CO.   2013-10-15 2013-12-23
1915 SHS DOW CHEMICAL CO.   2013-09-13 2013-12-23
2011 SHS DOW CHEMICAL CO.   2013-11-20 2013-12-23
1054 SHS E I DU PONT DE NEMOURS & CO   2013-09-13 2013-10-21
650 SHS JOHNSON & JOHNSON   2013-09-13 2013-10-21
NEW YORK ST URBAN DEV CORP   2010-07-27 2013-12-16
PUERTO RICO COMWLTH GOVT DEV   2012-05-02 2013-05-28
JPMORGAN CHASE BK N A NEW YORK   2011-09-23 2013-09-13
COMCAST CORP   2012-01-31 2013-02-04
COMMONWEALTH EDISON CO   2010-07-22 2013-05-30
RYDER SYS INC   2012-02-24 2013-04-16
BANK AMERICA CORP   2011-08-02 2013-05-30
HEWLETT PACKARD CO   2012-04-04 2013-05-09
BP CAP MKTS P L C   2011-01-26 2013-03-07
BP CAP MKTS P L C   2011-05-26 2013-05-20
EKSPORTFINANS ASA   2012-01-06 2013-02-14
EKSPORTFINANS ASA   2012-01-06 2013-02-15
BARRICK GOLD CORP   2012-01-31 2013-12-03
SABMILLER HOLDINGS INC   2012-02-28 2013-05-14
NORFOLK SOUTHERN CORP   2010-07-28 2013-03-07
PUBLIC SERVICE CO COLO   2007-02-15 2013-05-20
CVS CORP   2010-06-23 2013-05-20
HOME DEPOT INC   2010-07-08 2013-03-07
WACHOVIA CORP   2011-05-18 2013-05-20
PASSTHROUGH FROM AMERICAN CAPITAL HOLDINGS LLC P    
PASSTHROUGH FROM AMERICAN CAPITAL HOLDINGS LLC P    
(e) Gross sales price (f) Depreciation allowed
(or allowable) 		(g) Cost or other basis
plus expense of sale 		(h) Gain or (loss)
(e) plus (f) minus (g)
a 12,562     12,562
b 14,502     14,502
c 12,560     12,560
d 5,606     5,606
e 168,929     168,929
236,227     236,227
97,076     97,076
749,861   19,972 729,889
500,167   13,991 486,176
1,000,044   26,664 973,380
556,691   434,300 122,391
750,963   579,791 171,172
500,046   418,361 81,685
1,000,080   730,361 269,719
38,900   37,473 1,427
82,285   74,990 7,295
58,492   60,297 -1,805
58,205   60,502 -2,297
40,392   37,231 3,161
84,260   76,328 7,932
88,484   79,756 8,728
62,672   62,067 605
59,312   57,414 1,898
400,000   400,000 0
446,361   468,555 -22,194
427,371   403,009 24,362
508,087   500,896 7,191
476,312   438,231 38,081
466,713   461,663 5,050
574,980   524,066 50,914
452,610   451,178 1,432
211,548   201,314 10,234
479,520   455,239 24,281
190,500   176,525 13,975
285,600   264,788 20,812
471,123   462,990 8,133
457,740   455,146 2,594
745,077   686,012 59,065
521,790   501,594 20,196
528,465   513,462 15,003
567,070   528,435 38,635
457,616   427,853 29,763
5,763     5,763
18,578     18,578
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       12,562
b       14,502
c       12,560
d       5,606
e       168,929
      236,227
      97,076
      729,889
      486,176
      973,380
      122,391
      171,172
      81,685
      269,719
      1,427
      7,295
      -1,805
      -2,297
      3,161
      7,932
      8,728
      605
      1,898
      0
      -22,194
      24,362
      7,191
      38,081
      5,050
      50,914
      1,432
      10,234
      24,281
      13,975
      20,812
      8,133
      2,594
      59,065
      20,196
      15,003
      38,635
      29,763
      5,763
      18,578
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 3,780,686
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 1,742,639 18,211,348 0.095690
2011 864,400 18,019,381 0.047971
2010 2,032,650 18,850,805 0.107828
2009 1,356,426 17,663,898 0.076791
2008 1,515,160 18,273,540 0.082916
2 Total of line 1, column (d) ...................... 2 0.411196
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 0.082239
4 Enter the net value of noncharitable-use assets for 2013 from Part X, line 5..... 4 23,162,967
5 Multiply line 4 by line 3....................... 5 1,904,899
6 Enter 1% of net investment income (1% of Part I, line 27b)........... 6 42,518
7 Add lines 5 and 6......................... 7 1,947,417
8 Enter qualifying distributions from Part XII, line 4.............. 8 2,766,660
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 42,518
hereBulletand enter 1% of Part I, line 27b...................
c All other domestic foundations enter 2% of line 27b. Exempt foreign organizations enter 4% of Part I, line 12, col. (b)
2 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) 2 0
3 Add lines 1 and 2............................ 3 42,518
4 Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-). 4 0
5 Tax based on investment income. Subtract line 4 from line 3. If zero or less, enter -0- ..... 5 42,518
6 Credits/Payments:
a 2013 estimated tax payments and 2012 overpayment credited to 2013 6a 21,350
b Exempt foreign organizations—tax withheld at source....... 6b
c Tax paid with application for extension of time to file (Form 8868) 6c 45,000
d Backup withholding erroneously withheld ........... 6d  
7 Total credits and payments. Add lines 6a through 6d.............. 7 66,350
8 Enter any penalty for underpayment of estimated tax. if Form 2220 is attached. 8  
9 Tax due. If the total of lines 5 and 8 is more than line 7, enter amount owed.......Bullet 9  
10 Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid...Bullet 10 23,832
11 Enter the amount of line 10 to be: Credited to 2014 estimated taxBullet23,353 RefundedBullet 11 0
Part VII-A
Statements Regarding Activities
1a
During the tax year, did the foundation attempt to influence any national, state, or local legislation or did
Yes
No
it participate or intervene in any political campaign? ....................
1a
 
No
b
Did it spend more than $100 during the year (either directly or indirectly) for political purposes (see page 19 of
the instructions for definition)?............................
1b
 
No
If the answer is "Yes" to 1a or 1b, attach a detailed description of the activities and copies of any materials
published or distributed by the foundation in connection with the activities.
c
Did the foundation file Form 1120-POL for this year?.....................
1c
 
No
d
Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year:
(1) On the foundation. bullet$ 0(2) On foundation managers.bullet$ 0
e
Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed
on foundation managers.bullet$ 0
2
Has the foundation engaged in any activities that have not previously been reported to the IRS?.......
2
 
No
If "Yes," attach a detailed description of the activities.
3
Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles
of incorporation, or bylaws, or other similar instruments? If "Yes," attach a conformed copy of the changes....
3
 
No
4a
Did the foundation have unrelated business gross income of $1,000 or more during the year?........
4a
 
No
b
If "Yes," has it filed a tax return on Form 990-T for this year?...................
4b
 
 
5
Was there a liquidation, termination, dissolution, or substantial contraction during the year?.........
5
 
No
If "Yes," attach the statement required by General Instruction T.
6
Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either:
  • By language in the governing instrument, or
  • By state legislation that effectively amends the governing instrument so that no mandatory directions
    • that conflict with the state law remain in the governing instrument?................
    6
    Yes
     
    7
    Did the foundation have at least $5,000 in assets at any time during the year? If "Yes," complete Part II, col. (c), and Part XV.
    7
    Yes
     
    8a
    Enter the states to which the foundation reports or with which it is registered (see instructions)
    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 addressbulletN/A
    14
    The books are in care ofbulletALAN SCHWARTZ CO GUGGENHEIM PARTNE Telephone no.bullet (212) 901-9373
    Located atbullet330 MADISON AVENUE 15TH FLOORNEW YORKNY ZIP+4bullet10017
    15
    Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041.........bullet
    and enter the amount of tax-exempt interest received or accrued during the year ......bullet
    15  
    16 At any time during calendar year 2013, did the foundation have an interest in or a signature or other authority over YesNo
    a bank, securities, or other financial account in a foreign country?
    16   No
    See instructions for exceptions and filing requirements for Form TD F 90-22.1. If "Yes", enter the name of the
    foreign country bullet  
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 5
    Part VII-B
    Statements Regarding Activities for Which Form 4720 May Be Required
    File Form 4720 if any item is checked in the "Yes" column, unless an exception applies.
    Yes
    No
    1a
    During the year did the foundation (either directly or indirectly):
    (1) Engage in the sale or exchange, or leasing of property with a disqualified person?
    (2) Borrow money from, lend money to, or otherwise extend credit to (or accept it from)
    a disqualified person?.........................
    (3) Furnish goods, services, or facilities to (or accept them from) a disqualified person?
    (4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person?
    (5) Transfer any income or assets to a disqualified person (or make any of either available
    for the benefit or use of a disqualified person)?.................
    (6) Agree to pay money or property to a government official? (Exception. Check "No"
    if the foundation agreed to make a grant to or to employ the official for a period
    after termination of government service, if terminating within 90 days.).........
    b
    If any answer is "Yes" to 1a(1)–(6), did any of the acts fail to qualify under the exceptions described in Regulations
    section 53.4941(d)-3 or in a current notice regarding disaster assistance (see page 20 of the instructions)?...
    1b
     
    No
    .........bullet
    c
    Did the foundation engage in a prior year in any of the acts described in 1a, other than excepted acts,
    that were not corrected before the first day of the tax year beginning in 2013?.............
    1c
     
    No
    2
    Taxes on failure to distribute income (section 4942) (does not apply for years the foundation was a private
    operating foundation defined in section 4942(j)(3) or 4942(j)(5)):
    a
    At the end of tax year 2013, did the foundation have any undistributed income (lines 6d
    and 6e, Part XIII) for tax year(s) beginning before 2013?...............
    If "Yes," list the years bullet20, 20, 20, 20
    b
    Are there any years listed in 2a for which the foundation is not applying the provisions of section 4942(a)(2)
    (relating to incorrect valuation of assets) to the year’s undistributed income? (If applying section 4942(a)(2)
    to all years listed, answer "No" and attach statement—see instructions.) ..............
    2b
     
     
    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
    ALAN D SCHWARTZ TRUSTEE
    5.00     		0 0 0
    179 TACONIC ROAD
    GREENWICH,CT06831
    NANCY M SEAMAN TRUSTEE
    5.00     		0 0 0
    179 TACONIC ROAD
    GREENWICH,CT06831
    2 Compensation of five highest-paid employees (other than those included on line 1—see instructions). If none, enter “NONE."
    (a) Name and address of each employee paid more than $50,000 (b) Title, and average
    hours per week
    devoted to position     		(c) Compensation (d) Contributions to
    employee benefit
    plans and deferred
    compensation     		(e) Expense account,
    other allowances
    NONE
    Total number of other employees paid over $50,000...................bullet 0
    3 Five highest-paid independent contractors for professional services (see instructions). If none, enter "NONE".
    (a) Name and address of each person paid more than $50,000 (b) Type of service (c) Compensation
    NONE
    Total number of others receiving over $50,000 for professional services.............bullet0
    Part IX-A
    Summary of Direct Charitable Activities
    List the foundation’s four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of organizations and other beneficiaries served, conferences convened, research papers produced, etc. Expenses
    1 THE FOUNDATION IS NOT INVOLVED WITH ANY DIRECT CHARITABLE ACTIVITIES. ITS PRIMARY PURPOSE IS TO SUPPORT BY CONTRIBUTION OTHER ORGANIZATIONS EXEMPT UNDER IRC SECTION 501(C)(3). 0
    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 NONE 0
    2 NONE 0
    All other program-related investments. See page 24 of the instructions.
    3 Click to see attachment 0
    Total. Add lines 1 through 3.........................bullet0
    Part X
    Minimum Investment Return (All domestic foundations must complete this part. Foreign foundations,
    see instructions.)
    1
    Fair market value of assets not used (or held for use) directly in carrying out charitable, etc.,
    purposes:
    a
    Average monthly fair market value of securities...................
    1a
     
    b
    Average of monthly cash balances.......................
    1b
     
    c
    Fair market value of all other assets (see instructions)................
    1c
     
    d
    Total (add lines 1a, b, and c).........................
    1d
     
    e
    Reduction claimed for blockage or other factors reported on lines 1a and
    1c (attach detailed explanation) .............
    1e
     
    2
    Acquisition indebtedness applicable to line 1 assets..................
    2
     
    3
    Subtract line 2 from line 1d.........................
    3
     
    4
    Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
    instructions) .............................
    4
     
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
     
    6
    Minimum investment return. Enter 5% of line 5..................
    6
     
    Part XI
    Distributable Amount bullet and do not complete this part.)
    1
    Minimum investment return from Part X, line 6....................
    1
    1,158,148
    2a
    Tax on investment income for 2013 from Part VI, line 5......
    2a
    42,518
    b
    Income tax for 2013. (This does not include the tax from Part VI.)...
    2b
     
    c
    Add lines 2a and 2b............................
    2c
    42,518
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
    1,115,630
    4
    Recoveries of amounts treated as qualifying distributions................
    4
    0
    5
    Add lines 3 and 4............................
    5
    1,115,630
    6
    Deduction from distributable amount (see instructions).................
    6
    0
    7
    Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII,
    line 1................................
    7
    1,115,630
    Part XII
    Qualifying Distributions (see instructions)
    1
    Amounts paid (including administrative expenses) to accomplish charitable, etc., purposes:
    a
    Expenses, contributions, gifts, etc.—total from Part I, column (d), line 26 ..........
    1a
     
    b
    Program-related investments—total from Part IX-B..................
    1b
     
    2
    Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc.,
    purposes...............................
    2
     
    3
    Amounts set aside for specific charitable projects that satisfy the:
    a
    Suitability test (prior IRS approval required)....................
    3a
     
    b
    Cash distribution test (attach the required schedule) .................
    3b
     
    4
    Qualifying distributions. Add lines 1a through 3b. Enter here and on Part V, line 8, and Part XIII, line 4
    4
     
    5
    Foundations that qualify under section 4940(e) for the reduced rate of tax on net investment
    income. Enter 1% of Part I, line 27b (see instructions).................
    5
     
    6
    Adjusted qualifying distributions. Subtract line 5 from line 4..............
    6
     
    Note: The amount on line 6 will be used in Part V, column (b), in subsequent years when calculating whether the foundation qualifies for
    the section 4940(e) reduction of tax in those years.
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 8
    Part XIII
    Undistributed Income (see instructions)
    (a)
    Corpus     		(b)
    Years prior to 2012     		(c)
    2012     		(d)
    2013
    1 Distributable amount for 2013 from Part XI, line 7 1,115,630
    2 Undistributed income, if any, as of the end of 2013:
    a Enter amount for 2012 only....... 0
    b Total for prior years:20, 20, 20 0
    3 Excess distributions carryover, if any, to 2013:
    a From 2008....... 623,932
    b From 2009....... 493,590
    c From 2010....... 1,120,698
    d From 2011.......  
    e From 2012....... 844,194
    fTotal of lines 3a through e......... 3,082,414
    4Qualifying distributions for 2013 from Part
    XII, line 4: bullet$ 2,766,660
    a Applied to 2012, but not more than line 2a 0
    b Applied to undistributed income of prior years
    (Election required—see instructions)......     		0
    c Treated as distributions out of corpus (Election
    required—see instructions).........     		0
    d Applied to 2013 distributable amount..... 1,115,630
    e Remaining amount distributed out of corpus 1,651,030
    5 Excess distributions carryover applied to 2013. 0 0
    (If an amount appears in column (d), the
    same amount must be shown in column (a).)
    6Enter the net total of each column as
    indicated below:
    a Corpus. Add lines 3f, 4c, and 4e. Subtract line 5 4,733,444
    b Prior years’ undistributed income. Subtract
    line 4b from line 2b ...........     		0
    c Enter the amount of prior years’ undistributed
    income for which a notice of deficiency has
    been issued, or on which the section 4942(a)
    tax has been previously assessed......     		0
    d Subtract line 6c from line 6b. Taxable amount
    —see instructions ...........     		0
    e Undistributed income for 2012. Subtract line
    4a from line 2a. Taxable amount—see
    instructions .............     		0
    f Undistributed income for 2013. Subtract
    lines 4d and 5 from line 1. This amount must
    be distributed in 2014 ..........     		0
    7 Amounts treated as distributions out of
    corpus to satisfy requirements imposed by
    section 170(b)(1)(F) or 4942(g)(3) (see
    instructions) .............     		0
    8Excess distributions carryover from 2008 not
    applied on line 5 or line 7 (see instructions) ...     		623,932
    9Excess distributions carryover to 2014.
    Subtract lines 7 and 8 from line 6a ......     		4,109,512
    10 Analysis of line 9:
    a Excess from 2009.... 493,590
    b Excess from 2010.... 1,120,698
    c Excess from 2011....  
    d Excess from 2012.... 844,194
    e Excess from 2013.... 1,651,030
    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).)
    ALAN D SCHWARTZ
    NANCY M SEAMAN
    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 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
    854 Y STREET FOUNDATION
    11000 E YALE AVENUE SUITE 215
    AURORA,CO80014     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 5,000
    A BETTER CHANCE
    240 WEST 35TH STREET 9TH FLOOR
    NEW YORK,NY10001     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 5,000
    ABYSSINIAN DEVELOPMENT CORPORATION
    4 WEST 125TH STREET
    NEW YORK,NY10027     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 1,000
    ACCELERATED SCHOOLS
    2160 S COOK STREET
    DENVER,CO80210     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 5,000
    AMFAR
    120 WALL STREET 13TH FLOOR
    NEW YORK,NY10005     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 15,000
    ASPIRA OF NEW YORK
    630 9TH AVENUE SUITE 302
    NEW YORK,NY10036     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 10,000
    AUDUBON CONNECTICUT
    613 RIVERSIDE ROAD
    GREENWICH,CT06831     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 5,000
    BEAT THE STREETS
    145 THOMPSON STREET
    NEW YORK,NY10012     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 1,000
    BOSTON CHILDREN'S HOSPITAL
    300 LONGWOOD AVENUE
    BOSTON,MA02115     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 2,500
    BOYS CLUB OF NEW YORK
    287 EAST 10TH STREET
    NEW YORK,NY10009     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 15,000
    BRIDGEPORT RESCUE MISSION
    1088 FAIRFIELD AVENUE
    BRIDGEPORT,CT06605     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 3,000
    CALVERY HOSPITAL
    1740 EASTCHESTER ROAD
    NEW YORK,NY10461     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 10,000
    CENTER OF HOPE
    PO BOX 66
    SOUTHBRIDGE,MA01550     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 1,000
    CHOATE ROSEMARY HALL FOUNDATION
    333 CHRISTIAN STREET
    WALLINGFORD,CT06492     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 5,000
    CLINTON HEALTH MATTERS INITIATIVE
    1271 AVENUE OF THE AMERICAS 42ND
    FLOOR
    NEW YORK,NY10020     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 250,000
    CONNECTICUT FOOD BANK
    74 LINWOOD AVE
    FAIRFIELD,CT06824     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 1,000
    DUKE UNIVERSITY
    MAIN CAMPUS
    DURHAM,NC27708     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 536,000
    EIF REVLON RUNWALK FOR WOMEN
    1900 AVENUE OF THE STARS SUITE 1400
    LOS ANGELES,CA90067     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 500
    FASHION DELIVERS CHARITABLE FOUNDATION
    1359 BROADWAY 18TH FLOOR
    NEW YORK,NY10018     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 2,500
    FRIENDS OF FELINE
    PO BOX 8147
    STAMFORD,CT06905     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 100
    FUTURE 5
    135 ATLANTIC STREET
    STAMFORD,CT06901     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 2,500
    GREENWICH UNITED WAY
    1 LAFAYETTE COURT
    GREENWICH,CT06830     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 500
    HARLEM CHILDREN'S ZONE
    35 EAST 125TH STREET
    NEW YORK,NY10035     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 10,000
    HARLEM VILLAGE ACADEMIES
    35 EAST 124TH STREET
    NEW YORK,NY10035     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 1,000
    HAROLD ROBINSON FOUNDATION
    10008 NATIONAL BLVD
    LOS ANGELES,CA90034     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 5,000
    HELP FUNDING
    5 HANOVER SQUARE
    NEW YORK,NY10004     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 411,000
    HOPE AND HEROES CHILDRENS CANCER FUND
    161 FORT WASHINGTON AVENUE 7TH
    FLOOR
    NEW YORK,NY10032     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 5,000
    INDEPENDENT COLLEGE FUND OF NEW JERSEY
    797 SPRINGFIELD AVENUE
    SUMMIT,NJ07901     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 1,000
    INTERNATIONAL JUSTICE MISSION
    PO BOX 58147
    WASHINGTON,DC20037     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 25,000
    LUSTGARTEN FOUNDATION
    1111 STEWART AVENUE
    BETHPAGE,NY11714     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 20,000
    LYME RESEARCH ALLIANCE
    2001 WEST MAIN STREET SUITE 280
    STAMFORD,CT06902     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 15,000
    MADISON SQUARE GARDEN-GARDEN OF DREAMS
    2 PENN PLAZA 14TH FLOOR
    NEW YORK,NY10121     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 1,000
    MANHATTAN INSTITUTE
    52 VANDERBILD AVENUE 201
    NEW YORK,NY10017     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 5,000
    MASSACHUSETTS GENERAL HOSPITAL ALS RESEARCH
    55 FRUIT STREET
    BOSTON,MA02114     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 2,000
    MEMORIAL SLOAN KETTERING
    1275 YORK AVENUE
    NEW YORK,NY10065     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 10,000
    MENTOR PARTNERSHIP
    1680 DUKE STREET 2ND FLOOR
    ALEXANDRIA,VA22314     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 215,000
    NANTUCKET CONSERVATION FOUNDATION
    118 CLIFF ROAD
    NANTUCKET,MA02554     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 3,500
    NANTUCKET COTTAGE HOSPITAL
    57 PROSPECT STREET
    NANTUCKET,MA02554     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 1,000
    NANTUCKET GOLF CLUB FOUNDATION
    250 MILESTONE ROAD
    NANTUCKET,MA02564     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 10,000
    NEW HEIGHTS YOUTH
    1825 MADISON AVENUE
    NEW YORK,NY10035     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 1,000
    NEW LEADERS
    30 WEST 26TH STREET
    NEW YORK,NY10010     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 5,000
    NEW YORK BOTANICAL GARDEN
    2900 SOUTHERN BLVD
    BRONX,NY10458     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 10,000
    NEW YORK JUNIOR TENNIS LEAGUE
    58-12 QUEENS BLVD SUITE 1
    WOODSIDE,NY11377     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 1,000
    NEW YORK UNIVERSITY LANGONE MEDICAL CTR
    550 FIRST AVENUE
    NEW YORK,NY10016     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 203,000
    OASIS INSTITUTE
    7710 CARONDELET AVENUE
    ST LOUIS,MO63105     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 1,000
    PAN MASS CHALLENGE
    77 4TH AVENUE
    NEEDHAM,MA02494     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 1,000
    PARKINSON ASSOCIATION OF THE ROCKIES
    1325 SOUTH COLORADO BLVD SUITE 204B
    DENVER,CO80222     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 1,000
    PARTNERSHIP FOR NEW YORK CITY
    1 BATTERY PLACE
    NEW YORK,NY10004     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 1,000
    PATHNORTH
    1717 RHODE ISLAND AVENUE NW
    WASHINGTON,DC20036     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 2,500
    PERSON TO PERSON
    1864 POST ROAD
    DARIEN,CT06820     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 3,560
    PRISON FELLOWSHIP
    PO BOX 1550
    MERRIFIELD,VA22116     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 1,000
    ROBIN HOOD FOUNDATION
    826 BROADWAY 9TH FLOOR
    NEW YORK,NY10003     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 775,000
    SAVE THE CHILDREN
    54 WILTON ROAD
    WESTPORT,CT06880     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 1,000
    SEAL FUTURE FUND
    1 ASTOR PLACE SUITE 6B
    NEW YORK,NY10003     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 2,500
    ST ANTHONY'S HIGH SCHOOL
    175 8TH STREET
    JERSEY CITY,NJ07302     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 10,000
    ST VINCENT'S SERVICES
    66 BOERUM PLACE
    BROOKLYN,NY11201     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 25,000
    STEVEN D HASSENFELD CHILDREN'S CENTER FOR CANCER
    160 EAST 32ND STREET
    NEW YORK,NY10016     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 5,000
    TEACH FOR AMERICA
    519 EIGHTH AVENUE 15TH FLOOR
    NEW YORK,NY10018     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 20,000
    THE CONCORD COALITION
    1011 ARLINGTON BLVD SUITE 300
    ARLINGTON,VA22209     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 25,000
    THE CONGRSSIONAL AWARD FOUNDATION
    PO BOX 77440
    WASHINGTON,DC20013     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 3,000
    THE NEW YORK LANDMARKS CONSERVANCY
    1 WHITEHALL ST 21
    NEW YORK,NY10004     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 2,000
    USO
    PO BOX 96860
    WASHINGTON,DC20077     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 2,000
    USTA SERVICES
    70 WEST RED OAK LANE
    WHITE PLAINS,NY10604     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 1,000
    WATERSIDE SCHOOL
    770 PACIFIC STREET
    STAMFORD,CT06902     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 5,000
    WISER DUKE
    307B BIOLOGICAL SCIENCES BOX 90338
    DURHAM,NC27708     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 15,000
    YOUTH INC
    2801 M STREET NW
    WASHINGTON,DC20007     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 25,000
    YWCA
    259 E PUTNAM AVENUE
    GREENWICH,CT06830     		NONE PUBLIC CHARITY TO SUPPORT THE GENERAL PURPOSE FUND 2,000
    Total .................................bullet 3a 2,766,660
    bApproved for future payment
    Total .................................bullet 3b 0
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 11
    Part XVI-A
    Analysis of Income-Producing Activities
    Enter gross amounts unless otherwise indicated. Unrelated business income Excluded by section 512, 513, or 514 (e)
    Related or exempt
    function income
    (See instructions.)
    1Program service revenue: (a)
    Business code     		(b)
    Amount     		(c)
    Exclusion code     		(d)
    Amount
    a
    b
    c
    d
    e
    f
    gFees and contracts from government agencies          
    2 Membership dues and assessments....          
    3
    Interest on savings and temporary cash investments ............     		    14 7  
    4 Dividends and interest from securities....     14 644,739  
    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.....     01 31,773  
    8
    Gain or (loss) from sales of assets other than inventory .............     		    18 995,956  
    9 Net income or (loss) from special events:          
    10 Gross profit or (loss) from sales of inventory..          
    11 Other revenue: a
    b
    c
    d
    e
    12 Subtotal. Add columns (b), (d), and (e).. 0 1,672,475 0
    13Total. Add line 12, columns (b), (d), and (e)..................
    131,672,475
    (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
    SCHWARTZ FAMILY FOUNDATION
    C/O ALAN SCHWARTZ GUGGENHEIM PARTNERS
    Employer identification number

    13-7138217
    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
    SCHWARTZ FAMILY FOUNDATION
    C/O ALAN SCHWARTZ GUGGENHEIM PARTNERS         		Employer identification number

    13-7138217
    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
     
     

    ALAN D SCHWARTZ  
    179 TACONIC ROAD
     
    GREENWICH, CT06831

    		$1,390,500


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

    ALAN D SCHWARTZ  
    179 TACONIC ROAD
     
    GREENWICH, CT06831

    		$3,418,303


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

    ALAN D SCHWARTZ  
    179 TACONIC ROAD
     
    GREENWICH, CT06831

    		$12,316


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

    ALAN D SCHWARTZ  
    179 TACONIC ROAD
     
    GREENWICH, CT06831

    		$5,625


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

    ALAN D SCHWARTZ  
    179 TACONIC ROAD
     
    GREENWICH, CT06831

    		$169,173


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

    ALAN D SCHWARTZ  
    179 TACONIC ROAD
     
    GREENWICH, CT06831

    		$238,320


    (Complete Part II for noncash contributions.)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
    Name of organization
    SCHWARTZ FAMILY FOUNDATION
    C/O ALAN SCHWARTZ GUGGENHEIM PARTNERS         		Employer identification number

    13-7138217
    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
    7
     
     

    ALAN D SCHWARTZ  
    179 TACONIC ROAD
     
    GREENWICH, CT06831

    		$97,278


    (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
    SCHWARTZ FAMILY FOUNDATION
    C/O ALAN SCHWARTZ GUGGENHEIM PARTNERS         		Employer identification number

    13-7138217
    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
    1
    		 25,000 SHS JPMORGAN CHASE & CO $1,390,500 2013-05-30
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
    2
    		 43,030 SHS HOME DEPOT $3,418,303 2013-05-30
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
    3
    		 363 SHS AOL INC $12,316 2013-05-30
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
    4
    		 313 SHS HOST HOTELS & RESORTS INC $5,625 2013-05-30
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
    5
    		 14,086 SHS ISTAR FINANCIAL INC $169,173 2013-05-30
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
    6
    		 4,000 SHS TIME WARNER INC $238,320 2013-05-30
    Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
    Name of organization
    SCHWARTZ FAMILY FOUNDATION
    C/O ALAN SCHWARTZ GUGGENHEIM PARTNERS         		Employer identification number

    13-7138217
    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
    7
    		 1,004 SHS TIME WARNER CABLE INC $97,278 2013-05-30
    (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
    SCHWARTZ FAMILY FOUNDATION
    C/O ALAN SCHWARTZ GUGGENHEIM PARTNERS         		Employer identification number

    13-7138217
    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


    Software ID:  
    Software Version:  

    TY 2013 AccountingFeesSchedule
    Name:
    SCHWARTZ FAMILY FOUNDATION
    C/O ALAN SCHWARTZ GUGGENHEIM PARTNERS
    EIN: 13-7138217
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    ACCOUNTING FEES 15,000 0 0 0

    TY 2013 AllOthProgRltdInvestmentsSch
    Name:
    SCHWARTZ FAMILY FOUNDATION
    C/O ALAN SCHWARTZ GUGGENHEIM PARTNERS
    EIN: 13-7138217
    Category Amount
    NONE 0

    TY 2013 InvestmentsCorpBondsSchedule
    Name:
    SCHWARTZ FAMILY FOUNDATION
    C/O ALAN SCHWARTZ GUGGENHEIM PARTNERS
    EIN: 13-7138217
    Name of Bond End of Year Book Value End of Year Fair Market Value
    500,000 AMERICAN EXPRESS CO 5.5% 530,854 556,140
    500,000 ANHEUSER BUSCH CO INC 5% 498,743 522,925
    400,000 ARCHER DANIELS MIDLAND CO 8.375% 489,067 485,236
    500,000 BURLINGTON NORTHERN SANTA FE CORP 6.875% 513,054 556,725
    500,000 CITIGROUP INC. SUB NT 5% 503,473 514,240
    300,000 CITIGROUP INC. SUB NT 6.125% 346,275 347,187
    500,000 CONSOLIDATED NATURAL GAS 5% 500,912 520,575
    435,000 CONSTELLATION BRANDS INC 7.25% 488,230 505,688
    400,000 FORD MOTOR CO LLC NTS 5% 430,055 445,564
    400,000 GEORGIA POWER COMPANY 3% 404,896 416,952
    400,000 GOLDMAN SACHS GROUP INC. 5.625% 412,759 440,776
    345,000 HEWLETT PACKARD CO NTS 3% 351,621 358,876
    450,000 KINDER MORGAN ENERGY PARTNERS LP 6% 486,230 504,401
    410,000 MARATHON PETE CORP SR NT 3.5% 419,044 428,130
    500,000 MERRILL LYNCH & CO 6.05% 506,471 550,110
    500,000 MORGAN STANLEY NONCALLABLE 5.375% 500,524 537,785
    400,000 NOBLE HLDG INTL LTD. 2.5% 401,688 401,264
    400,000 OKLAHOMA GAS AND ELEC 6.5% 415,651 455,436
    500,000 SOUTHWESTERN ELECTRIC POWER CO 4.9% 497,018 526,295
    400,000 TIME WARNER INC 6.75% 482,054 448,576
    250,000 LEHMAN BROS HLDGS INC 8.5% 11,635 53,125
    1,000,000 WASHINGTON MUTUAL BANK 5.65% 1,002,089 0

    TY 2013 InvestmentsCorpStockSchedule
    Name:
    SCHWARTZ FAMILY FOUNDATION
    C/O ALAN SCHWARTZ GUGGENHEIM PARTNERS
    EIN: 13-7138217
    Name of Stock End of Year Book Value End of Year Fair Market Value
    14,495 HOME DEPOT INC COMMON 1,151,483 1,193,518
    55,000 JP MORGAN CHASE & CO COMMON 1,566,013 1,697,791
    907 3M COMPANY 111,969 127,207
    4,004 AMERICAN INTERNATIONAL GROUP INC 197,057 204,404
    3,713 ASTRAZENECA PLC 192,247 220,441
    4,421 AT&T INC 156,973 155,442
    2,094 AUTOMATIC DATA PROCESSING INC 157,775 169,193
    588 BLACKROCK INC 167,055 186,084
    3,991 BP PLC SPONSORED ADR 176,695 194,003
    1,109 CHEVRON CORPORATION 135,498 138,525
    7,811 CISCO SYSTEMS INC 167,634 175,201
    3,928 COCA COLA COMPANY 153,202 162,266
    1,965 CONOCOPHILLIPS 140,069 138,827
    12,515 CORNING INC 193,151 223,017
    13,458 FORD MOTOR CO 223,932 207,657
    7,407 GENERAL ELECTRIC CO 186,844 207,618
    6,870 INTEL CORP 165,605 178,311
    941 INTERNATIONAL BUSINESS MACHINES CORP 176,739 176,503
    1,973 L-3 COMMUNICATIONS HOLDINGS INC 191,238 210,835
    1,571 MCDONALDS CORP 152,028 152,434
    4,029 MERCK & CO INC 191,948 201,651
    1,865 PEPSICO INC 153,763 154,683
    1,831 PROCTER & GAMBLE CO 148,157 149,062
    2,748 QUALCOMM INC 192,170 204,039
    1,776 ROCKWELL AUTOMATION INC 191,414 209,852
    4,003 ROGERS COMMUNICATIONS INC 174,106 180,782
    1,739 STANLEY BLACK & DECKER INC 150,278 140,320
    4,398 TEXAS INSTRUMENTS INCORPORATED 180,522 193,116
    1,778 UNITED TECHNOLOGIES CORP 192,247 202,336
    4,684 VODAFONE GROUP PLC 165,058 184,128

    TY 2013 InvestmentsGovtObligationsSch
    Name:
    SCHWARTZ FAMILY FOUNDATION
    C/O ALAN SCHWARTZ GUGGENHEIM PARTNERS
    EIN: 13-7138217
    US Government Securities - End of Year Book Value:

    0
    US Government Securities - End of Year Fair Market Value:

    0
    State & Local Government Securities - End of Year Book Value:


    871,134
    State & Local Government Securities - End of Year Fair Market Value:


    866,959


    TY 2013 InvestmentsOtherSchedule2
    Name:
    SCHWARTZ FAMILY FOUNDATION
    C/O ALAN SCHWARTZ GUGGENHEIM PARTNERS
    EIN: 13-7138217
    Category/ Item Listed at Cost or FMV Book Value End of Year Fair Market Value
    AMERICAN CAPITAL HOLDINGS LP INTEREST AT COST 4,931,045 4,910,091

    TY 2013 OtherExpensesSchedule
    Name:
    SCHWARTZ FAMILY FOUNDATION
    C/O ALAN SCHWARTZ GUGGENHEIM PARTNERS
    EIN: 13-7138217
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    BANK CHARGES 620 0 0 0


    TY 2013 OtherIncomeSchedule2
    Name:
    SCHWARTZ FAMILY FOUNDATION
    C/O ALAN SCHWARTZ GUGGENHEIM PARTNERS
    EIN: 13-7138217
    Description Revenue And Expenses Per Books Net Investment Income Adjusted Net Income
    PASSTHROUGH FROM AMERICAN CAPITAL HOLDINGS LLC 31,773 31,773  


    TY 2013 OtherProfessionalFeesSchedule
    Name:
    SCHWARTZ FAMILY FOUNDATION
    C/O ALAN SCHWARTZ GUGGENHEIM PARTNERS
    EIN: 13-7138217
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    ADVISORY FEES 77,053 77,053 0 0


    TY 2013 TaxesSchedule
    Name:
    SCHWARTZ FAMILY FOUNDATION
    C/O ALAN SCHWARTZ GUGGENHEIM PARTNERS
    EIN: 13-7138217
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    FEDERAL TAX ON INVESTMENT INCOME 10,000 0 0 0
    FOREIGN TAXES PAID ON INVESTMENTS 64 64 0 0