Form990-PF
Click to see attachment

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 07-01-2013 , and ending 06-30-2014
Name of foundation
ROCKEFELLER ARCHIVE CENTER
 

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

20-8030810
B Telephone number (see instructions)

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

D 1. bullet
2. bullet
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$131,021,574J 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) 1,617,609
2 Check bullet
3 Interest on savings and temporary cash investments 927 927 927
4 Dividends and interest from securities...... 5,649,892 5,649,892 5,649,892
5a Gross rents..............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10  
b Gross sales price for all assets on line 6a  
7 Capital gain net income (from Part IV, line 2)...  
8 Net short-term capital gain.........  
9 Income modifications...........  
10a Gross sales less returns and allowances  
b Less: Cost of goods sold....  
c Gross profit or (loss) (attach schedule).....    
11 Other income (attach schedule)....... Click to see attachment 17,820    
12 Total. Add lines 1 through 11........ 7,286,248 5,650,819 5,650,819
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc. 542,720     494,653
14 Other employee salaries and wages...... 2,440,547     2,355,677
15 Pension plans, employee benefits....... 875,771     683,023
16a Legal fees (attach schedule)......... Click to see attachment 21,718     41,304
b Accounting fees (attach schedule)....... Click to see attachment 57,600     64,260
c Other professional fees (attach schedule).... Click to see attachment 619,564 524,794 524,794 51,617
17 Interest...............        
18 Taxes (attach schedule) (see instructions) Click to see attachment 98,500   98,500  
19 Depreciation (attach schedule) and depletion... Click to see attachment 623,585    
20 Occupancy.............. 1,089,582     833,104
21 Travel, conferences, and meetings....... 139,080     124,607
22 Printing and publications.......... 4,785     5,284
23 Other expenses (attach schedule)....... Click to see list of attachments 210,144     184,420
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 6,723,596 524,794 623,294 4,837,949
25 Contributions, gifts, grants paid........ 137,191 129,652
26 Total expenses and disbursements. Add lines 24 and 25 6,860,787 524,794 623,294 4,967,601
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements 425,461
b Net investment income (if negative, enter -0-) 5,126,025
c Adjusted net income (if negative, enter -0-)... 5,027,525
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............... 46,951 155,038 155,038
2 Savings and temporary cash investments.......... 195,938 502,821 502,821
3 Accounts receivable bullet  
Less: allowance for doubtful accounts bullet        
4 Pledges receivable bullet  
Less: allowance for doubtful accounts bullet        
5 Grants receivable................. 8,500 37,760 37,760
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........... 20,433 25,091 25,091
10a Investments—U.S. and state government obligations (attach schedule)      
b Investments—corporate stock (attach schedule)........      
c Investments—corporate bonds (attach schedule)........      
11 Investments—land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
12 Investments—mortgage loans..............      
13 Investments—other (attach schedule)........... 97,265,222 108,841,819 108,841,819
14 Land, buildings, and equipment: basis bullet21,423,754
Less: accumulated depreciation (attach schedule) bullet2,611,689 18,723,870 Click to see attachment18,812,065 18,812,065
15 Other assets (describe bullet) Click to see attachment2,968,707 Click to see attachment2,646,980 Click to see attachment2,646,980
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 119,229,621 131,021,574 131,021,574
Liabilities 17 Accounts payable and accrued expenses.......... 569,126 715,642
18 Grants payable...................    
19 Deferred revenue.................. 2,833,402 2,755,441
20 Loans from officers, directors, trustees, and other disqualified persons    
21 Mortgages and other notes payable (attach schedule)......    
22 Other liabilities (describe bullet) Click to see attachment5,000 Click to see attachment27,745
23 Total liabilities (add lines 17 through 22).......... 3,407,528 3,498,828
Net Assets or Fund Balances bullet
and complete lines 24 through 26 and lines 30 and 31.
24 Unrestricted.................... 55,330,686 59,924,841
25 Temporarily restricted................ 38,593,757 45,700,255
26 Permanently restricted................ 21,897,650 21,897,650
bullet
and complete lines 27 through 31.
27 Capital stock, trust principal, or current funds.........    
28 Paid-in or capital surplus, or land, bldg., and equipment fund    
29 Retained earnings, accumulated income, endowment, or other funds    
30 Total net assets or fund balances (see page 17 of the
instructions).................... 115,822,093 127,522,746
31 Total liabilities and net assets/fund balances (see page 17 of
the instructions).................. 119,229,621 131,021,574
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)............... 1 115,822,093
2 Enter amount from Part I, line 27a..................... 2 425,461
3 Other increases not included in line 2 (itemize) bulletClick to see attachment 3 11,275,192
4 Add lines 1, 2, and 3.......................... 4 127,522,746
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. 6 127,522,746
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.)
1a
b
c
d
e
(e) Gross sales price (f) Depreciation allowed
(or allowable) 		(g) Cost or other basis
plus expense of sale 		(h) Gain or (loss)
(e) plus (f) minus (g)
a
b
c
d
e
Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69 (l) Gains (Col. (h) gain minus
col. (k), but not less than -0-) or
Losses (from col.(h))
(i) F.M.V. as of 12/31/69 (j) Adjusted basis
as of 12/31/69 		(k) Excess of col. (i)
over col. (j), if any
a
b
c
d
e
2 Capital gain net income or (net capital loss) Bracket If gain, also enter in Part I, line 7
If (loss), enter -0- in Part I, line 7		 Bracket 2  
3 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6):
If gain, also enter in Part I, line 8, column (c) (see instructions). If (loss), enter -0-
in Part I, line 8 . . . . . . . . . . . . . . . . 		Bracket 3  
Part V
Qualification Under Section 4940(e) for Reduced Tax on Net Investment Income
(For optional use by domestic private foundations subject to the section 4940(a) tax on net investment income.)

If section 4940(d)(2) applies, leave this part blank.
Was the foundation liable for the section 4942 tax on the distributable amount of any year in the base period?
If "Yes," the foundation does not qualify under section 4940(e). Do not complete this part.
1 Enter the appropriate amount in each column for each year; see page 18 of the instructions before making any entries.
(a)
Base period years Calendar
year (or tax year beginning in) 		(b)
Adjusted qualifying distributions 		(c)
Net value of noncharitable-use assets 		(d)
Distribution ratio
(col. (b) divided by col. (c))
2012 5,619,896 94,509,928 0.05946
2011 5,740,491 92,760,503 0.06189
2010 5,883,558 90,793,519 0.06480
2009 5,192,209 87,424,391 0.05939
2008 4,678,455 95,890,788 0.04879
2 Total of line 1, column (d) ...................... 2 0.29433
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 0.05887
4 Enter the net value of noncharitable-use assets for 2013 from Part X, line 5..... 4 103,050,131
5 Multiply line 4 by line 3....................... 5 6,066,149
6 Enter 1% of net investment income (1% of Part I, line 27b)........... 6 51,260
7 Add lines 5 and 6......................... 7 6,117,409
8 Enter qualifying distributions from Part XII, line 4.............. 8 5,211,178
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 1 102,521
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............................ 3 102,521
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- ..... 5 102,521
6 Credits/Payments:
a 2013 estimated tax payments and 2012 overpayment credited to 2013 6a 100,261
b Exempt foreign organizations—tax withheld at source....... 6b
c Tax paid with application for extension of time to file (Form 8868) 6c 32,000
d Backup withholding erroneously withheld ........... 6d  
7 Total credits and payments. Add lines 6a through 6d.............. 7 132,261
8 Enter any penalty for underpayment of estimated tax. if Form 2220 is attached. Click to see attachment 8 606
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 29,134
11 Enter the amount of line 10 to be: Credited to 2014 estimated taxBullet29,134 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
 
No
5
Was there a liquidation, termination, dissolution, or substantial contraction during the year?.........
5
 
No
If "Yes," attach the statement required by General Instruction T.
6
Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either:
  • By language in the governing instrument, or
  • By state legislation that effectively amends the governing instrument so that no mandatory directions
    • that conflict with the state law remain in the governing instrument?................
    6
     
    No
    7
    Did the foundation have at least $5,000 in assets at any time during the year? If "Yes," complete Part II, col. (c), and Part XV.
    7
    Yes
     
    8a
    Enter the states to which the foundation reports or with which it is registered (see instructions)
    bulletNY
    b
    If the answer is "Yes" to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney
    General (or designate) of each state as required by General Instruction G? If "No," attach explanation .
    8b
    Yes
     
    9
    Is the foundation claiming status as a private operating foundation within the meaning of section 4942(j)(3)
    or 4942(j)(5) for calendar year 2013 or the taxable year beginning in 2013 (see instructions for Part XIV)?
    If "Yes," complete Part XIV.............................
    9
    Yes
     
    10
    Did any persons become substantial contributors during the tax year? If "Yes," attach a schedule listing their names and addresses.
    10
     
    No
    11
    At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the
    meaning of section 512(b)(13)? If "Yes," attach schedule. (see instructions) .............
    11
     
    No
    12
    Did the foundation make a distribution to a donor advised fund over which the foundation or a disqualified person had
    advisory privileges? If "Yes," attach statement (see instructions).................
    12
     
    No
    13
    Did the foundation comply with the public inspection requirements for its annual returns and exemption application?
    13
    Yes
     
    Website addressbulletwww.rockarch.org
    14
    The books are in care ofbulletCamelia Muresan Telephone no.bullet (914) 366-6370
    Located atbullet15 DAYTON AVENUESLEEPY HOLLOWNY ZIP+4bullet10591
    15
    Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041.........bullet
    and enter the amount of tax-exempt interest received or accrued during the year ......bullet
    15  
    16 At any time during calendar year 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
     
    No
    c
    If the provisions of section 4942(a)(2) are being applied to any of the years listed in 2a, list the years here.
    bullet20, 20, 20, 20
    3a
    Did the foundation hold more than a 2% direct or indirect interest in any business enterprise at
    any time during the year?.........................
    b
    If "Yes," did it have excess business holdings in 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
     
    No
    4a
    Did the foundation invest during the year any amount in a manner that would jeopardize its charitable purposes?
    4a
     
    No
    b
    Did the foundation make any investment in a prior year (but after December 31, 1969) that could jeopardize its
    charitable purpose that had not been removed from jeopardy before the first day of the tax year beginning in 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
     
    No
    .........bullet
    c
    If the answer is "Yes" to question 5a(4), does the foundation claim exemption from the
    tax because it maintained expenditure responsibility for the grant?............
    If "Yes," attach the statement required by Regulations section 53.4945–5(d).
    6a
    Did the foundation, during the year, receive any funds, directly or indirectly, to pay premiums on
    a personal benefit contract?........................
    b
    Did the foundation, during the year, pay premiums, directly or indirectly, on a personal benefit contract?....
    6b
     
    No
    If "Yes" to 6b, file Form 8870.
    7a
    At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction?
    b
    If yes, did the foundation receive any proceeds or have any net income attributable to the transaction? ....
    7b
     
    No
    Form 990-PF (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
    NEIL L RUDENSTINE Chairman
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    FREDERICK M BOHEN Sec/Tres
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    STEPHEN HEINTZ Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    MARC TESSIER-LAVIGNE Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    DAVID ROCKEFELLER JR Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    JUDITH RODIN Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    MEGAN SNIFFIN-MARINOFF Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    Ira Katznelson Trustee
    1.00     		0    
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    JACK MEYERS President
    35.00     		238,000 67,425  
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    Robert D Rosendale COO
    35.00     		8,500 2,986  
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    JAMES A SMITH Vice President
    35.00     		190,000 35,809  
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    2 Compensation of five highest-paid employees (other than those included on line 1—see instructions). If none, enter “NONE."
    (a) Name and address of each employee paid more than $50,000 (b) Title, and average
    hours per week
    devoted to position     		(c) Compensation (d) Contributions to
    employee benefit
    plans and deferred
    compensation     		(e) Expense account,
    other allowances
    LEE R HILTZIK ASST DIRECTOR
    35.00     		93,062 41,034  
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    ERWIN LEVOLD SENIOR RESEARCH AR
    35.00     		91,699 17,508  
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    ROBERT BATTALY JR ASST DIRECTOR
    35.00     		88,711 16,195  
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    MICHELE J HILTZIK ASST DIRECTOR
    35.00     		88,711 20,387  
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    CAROL RADOVICH ASST DIRECTOR
    35.00     		86,106 15,987  
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    Total number of other employees paid over $50,000...................bullet 23
    3 Five highest-paid independent contractors for professional services (see instructions). If none, enter "NONE".
    (a) Name and address of each person paid more than $50,000 (b) Type of service (c) Compensation
    THE ROCKEFELLER UNIVERSITY FINANCIAL SERVICES 524,794
    1230 YORK AVENUE
    NEW YORK,NY10065
    Total number of others receiving over $50,000 for professional services.............bullet  
    Part IX-A
    Summary of Direct Charitable Activities
    List the foundation’s four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of organizations and other beneficiaries served, conferences convened, research papers produced, etc. Expenses
    1 ARCHIVAL PROGRAM - The Rockefeller Archive Center is an independent operating foundation that preserves and makes available for research the archival collections of members of the Rockefeller family, institutions and organizations founded by Rockefeller family members (including the Rockefeller Foundation, Rockefeller Brothers Fund, Winthrop Rockefeller Foundation, General Education Board, Rockefeller University, Population Council, Asia Society, and many other organizations) and the records of other philanthropic and service organizations such as the Ford Foundation, the Commonwealth Fund, Russell Sage Foundation, W.T. Grant Foundation, Markle Foundation, the Social Science Research Council and the Foundation Center. The Center also holds extensive collections of the personal papers of trustees, officers, faculty, and associates who were affiliated with these institutions.The Archive Center is located in Hillcrest, a home of Westchester County field stone built for Martha Baird Rockef 4,703,533
    2 RESEARCH & EDUCATION - The Research and Education Department oversees many of the external programs of the Rockefeller Archive Center. It administers a competitive program that awards 40 to 50 travel reimbursement each year to graduate students, faculty members, and independent scholars. It organizes and hosts several workshops and conferences each year. And staff members on the research and education team edit and publish a series of research reports describing scholarly work at the RAC, a publishing program that is now primarily electronic and web-based. The educational programs engage a number of area colleges and universities. The RAC brings university faculty and their graduate or undergraduate students to the Archive Center for course-related lectures and seminars, advises students on papers and theses, and helps faculty to find primary materials for their teaching. The staff also participates in meetings of various professional associations, delivering papers and organizing pane 961,120
    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
     
    2a
    Tax on investment income for 2013 from Part VI, line 5......
    2a
     
    b
    Income tax for 2013. (This does not include the tax from Part VI.)...
    2b
     
    c
    Add lines 2a and 2b............................
    2c
     
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
     
    4
    Recoveries of amounts treated as qualifying distributions................
    4
     
    5
    Add lines 3 and 4............................
    5
     
    6
    Deduction from distributable amount (see instructions).................
    6
     
    7
    Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII,
    line 1................................
    7
     
    Part XII
    Qualifying Distributions (see instructions)
    1
    Amounts paid (including administrative expenses) to accomplish charitable, etc., purposes:
    a
    Expenses, contributions, gifts, etc.—total from Part I, column (d), line 26 ..........
    1a
     
    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  
    2 Undistributed income, if any, as of the end of 2013:
    a Enter amount for 2012 only.......  
    b Total for prior years:20, 20, 20  
    3 Excess distributions carryover, if any, to 2013:
    a From 2008.......  
    b From 2009.......  
    c From 2010.......  
    d From 2011.......  
    e From 2012.......  
    fTotal of lines 3a through e.........  
    4Qualifying distributions for 2013 from Part
    XII, line 4: bullet$  
    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.....  
    e Remaining amount distributed out of corpus  
    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  
    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 ..........     		 
    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) ...     		 
    9Excess distributions carryover to 2014.
    Subtract lines 7 and 8 from line 6a ......     		 
    10 Analysis of line 9:
    a Excess from 2009....  
    b Excess from 2010....  
    c Excess from 2011....  
    d Excess from 2012....  
    e Excess from 2013....  
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 9
    Part XIV
    Private Operating Foundations (see instructions and Part VII-A, question 9)
    1a If the foundation has received a ruling or determination letter that it is a private operating
    foundation, and the ruling is effective for 2013, enter the date of the ruling.......bullet
    2006-06-20
    b Check box to indicate whether the organization is a private operating foundation described in section or
    2a Enter the lesser of the adjusted net
    income from Part I or the minimum
    investment return from Part X for each
    year listed ..........     		Tax year Prior 3 years (e) Total
    (a) 2013 (b) 2012 (c) 2011 (d) 2010
    5,027,525 4,725,496 4,638,025 4,539,676 18,930,722
    b 85% of line 2a ......... 4,273,396 4,016,672 3,942,321 3,858,725 16,091,114
    c Qualifying distributions from Part XII,
    line 4 for each year listed .....     		5,211,178 5,670,088 5,787,603 5,935,256 22,604,125
    d Amounts included in line 2c not used
    directly for active conduct of exempt activities ...........     		         
    e Qualifying distributions made directly
    for active conduct of exempt activities.
    Subtract line 2d from line 2c ....     		5,211,178 5,670,088 5,787,603 5,935,256 22,604,125
    3 Complete 3a, b, or c for the
    alternative test relied upon:
    a “Assets" alternative test—enter:
    (1) Value of all assets ......          
    (2) Value of assets qualifying
    under section 4942(j)(3)(B)(i)    		          
    b “Endowment" alternative test— enter 2/3
    of minimum investment return shown in
    Part X, line 6 for each year listed...     		3,435,004 3,150,330 3,092,016 3,026,450 12,703,800
    c “Support" alternative test—enter:
    (1) Total support other than gross
    investment income (interest,
    dividends, rents, payments
    on securities loans (section
    512(a)(5)), or royalties) ....     		         
    (2) Support from general public
    and 5 or more exempt
    organizations as provided in
    section 4942(j)(3)(B)(iii)....     		         
    (3) Largest amount of support
    from an exempt organization    		          
    (4) Gross investment income          
    Part XV
    Supplementary Information (Complete this part only if the organization had $5,000 or more in
    assets at any time during the year—see instructions.)
    1Information Regarding Foundation Managers:
    aList any managers of the foundation who have contributed more than 2% of the total contributions received by the foundation
    before the close of any tax year (but only if they have contributed more than $5,000). (See section 507(d)(2).)
    bList any managers of the foundation who own 10% or more of the stock of a corporation (or an equally large portion of the
    ownership of a partnership or other entity) of which the foundation has a 10% or greater interest.
    2Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc., Programs:
    Check here bullet
    aThe name, address, and telephone number or e-mail address of the person to whom applications should be addressed:
    ADMINSTRATOR
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    (914) 366-6309
    bThe form in which applications should be submitted and information and materials they should include:
    APPLICANTS COMPLETE A FOUR-PAGE FORM AND MAIL IT TO THE ADDRESS PROVIDED ABOVE. APPLCANTS MAY ALSO E-MAIL AN APPLICATION TO RACGRANTS@ROCKARCH.ORG
    cAny submission deadlines:
    NOVEMBER 15TH OF EACH CALENDAR YEAR. AWARDS ARE ANNOUNCED I
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    AWARDS ARE MADE TO INDIVIDUALS. INSTITUIONS ARE NOT ELIGIBLE TO APPLY. THE REIMBURSEMENT DOES NOT SUPPORT RESEARCH AT OTHER INSTITUTIONS, AND IT DOES NOT PROVIDE GENERAL TUITION SUPPORT. APPLICATION TO THE PROGRAM IS OPEN TO U.S. CITIZENS AND CITIZENS OF FOREIGN COUNTRIES. CERTAIN U.S. GOVERNMENT REQUIREMENTS WILL APPLY TO NON-U.S. CITIZENS.
    Form 990-PF (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
    Alec Hickmott
    15 Crown Street Redbourn
    Hertfordshire   AL37JX
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL 2,464
    Alvaro Morcillo Laiz
    c/o Citibank 2861 Broadway
    New York,NY10025     		NONE NONE REIMBURSEMENT OF TRAVEL 3,921
    Andrew Rumbach
    1165 Columbine Street Apt 3
    Denver,CO80206     		NONE NONE REIMBURSEMENT OF TRAVEL 3,000
    Angela P Vega Landaeta
    Carrera 57 BPS No 56-71
    Botoga    
    CO     		NONE NONE REIMBURSEMENT OF TRAVEL 2,424
    Arianna Kinsella
    62 Avenue de
    Paris,Versailles78000
    FR     		NONE NONE REIMBURSEMENT OF TRAVEL 3,500
    Benjamin Marquez
    137 South Segoe Road
    Madison,WI53705     		NONE NONE REIMBURSEMENT OF TRAVEL 2,500
    Benjamin Soskis
    116 6th Street NE Apt 302
    Washington,DC20002     		NONE NONE REIMBURSEMENT OF TRAVEL 802
    Berit Potter
    1318 Edgehill Drive
    Burlingame,CA94010     		NONE NONE REIMBURSEMENT OF TRAVEL 1,352
    Brian Purnell
    40 Arrowhead Drive
    Brunswick,ME04011     		NONE NONE REIMBURSEMENT OF TRAVEL 1,170
    Cheryl Elman
    1071 Perdue Drive
    Chapel Hill,NC27517     		NONE NONE REIMBURSEMENT OF TRAVEL 2,925
    Christine Ithurbide
    18 Rue de la Fosse Courtoise
    Tours   37100
    FR     		NONE NONE REIMBURSEMENT OF TRAVEL 3,000
    Christopher Loss
    131 Kenner Avenue
    Nashville,TN37205     		NONE NONE REIMBURSEMENT OF TRAVEL 891
    Claire Dunning
    37 Laurel Street Apt1
    Somerville,MA02143     		NONE NONE REIMBURSEMENT OF TRAVEL 1,312
    Clifford A Welch
    110 W Bellevue Avenue
    San Mateo,CA94402     		NONE NONE REIMBURSEMENT OF TRAVEL 2,000
    Daksha C Parmar
    Opp Deonar Depot Simon Trombay Rd
    Mumbai   400088
    IN     		NONE NONE REIMBURSEMENT OF TRAVEL 3,394
    David Hammack
    14206 South Woodland Road
    Shaker Heights,OH44120     		NONE NONE REIMBURSEMENT OF TRAVEL 2,645
    Diane Elizabeth Boter-Ragsdale
    De Haag 36
    Ax Houten,The Netherlands  
    NL     		NONE NONE REIMBURSEMENT OF TRAVEL 2,181
    Elisa M Gonzalez
    30 Bradhurst Avenue 513
    New York,NY10030     		  NONE REIMBURSEMENT OF TRAVEL 192
    Elizabeth Engle
    PO Box 7395
    Jackson,WY83002     		NONE NONE REIMBURSEMENT OF TRAVEL 1,365
    Elizabeth Lundeen
    3424 Balfour
    East Durham,NC27713     		NONE NONE REIMBURSEMENT OF TRAVEL 2,103
    Erico Silva Alvs Muniz
    Av NSASRA De Fatima 83 Apt 501
    Rio De Janeiro,Rio De Janeiro20240050
    BR     		NONE NONE REIMBURSEMENT OF TRAVEL 3,000
    Eunjoo Cho
    Ungram-Ro 28 Hanyang Apt 1-609 Seo
    Seoul,Seoul  
    KS     		NONE NONE REIMBURSEMENT OF TRAVEL 4,000
    Francisco Roa Bastos
    12 rue Blonet
    Paris,Paris75015
    FR     		NONE NONE REIMBURSEMENT OF TRAVEL 1,669
    George Kosar
    35 Hamlin Avenue
    Medsord,MA02155     		NONE NONE REIMBURSEMENT OF TRAVEL 1,500
    Hassan Thuillard
    Rue des Bossons
    Onex,Onex21213
    SZ     		NONE NONE REIMBURSEMENT OF TRAVEL 2,670
    Henrice Altink
    Heslington
    York,YorkYO10 5DD
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL 2,491
    Jack Loveridge
    1003 Glenwood Place
    El Paso,TX79903     		NONE NONE REIMBURSEMENT OF TRAVEL 3,000
    Jaume Sastre-Juan
    C/Provenza 577 4rt 1a
    Barcelona,Barcelona08026
    SP     		NONE NONE REIMBURSEMENT OF TRAVEL 2,155
    Jenna Wachtmann
    3978 Chelsea
    Terrace Greenwood,IN46143     		NONE NONE REIMBURSEMENT OF TRAVEL 593
    Johannes von Moltke
    503 Soule Blvd
    Ann Arbor,MI48103     		NONE NONE REIMBURSEMENT OF TRAVEL 923
    Julia Foulkes
    202 St Marks Avenue3
    Brooklyn,NY11238     		NONE NONE REIMBURSEMENT OF TRAVEL 2,000
    Kelly Urban
    108 Greenway Dr
    Conroe,TX77304     		NONE NONE REIMBURSEMENT OF TRAVEL 1,934
    Leticia Pumar Alves de Souza
    Copacabana 777 Apt703
    Rio de Janeiro,Rio de Janeiro00500-002
    BR     		NONE NONE REIMBURSEMENT OF TRAVEL 2,883
    Lise Jaillant
    9 Ord Court Newcastle Upon
    Tyne   NE4 9YF
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL 4,000
    Marci Baranski
    7 MBL Street
    Woods Hole,MA02543     		NONE NONE REIMBURSEMENT OF TRAVEL 3,000
    Marcio Siwi
    4921 N Walcott Avenue Unit 1A
    Chicago,IL60640     		NONE NONE REIMBURSEMENT OF TRAVEL 2,000
    Marcos Cueto
    Casa Oswaldo Cruz Av Brasil 4365
    Manguihos RJ   21040
    BR     		NONE NONE REIMBURSEMENT OF TRAVEL 3,728
    Marga Vicedo
    IHPST Victoria College 91 Charles
    West Toronto   ON M5S 1K7
    CA     		NONE NONE REIMBURSEMENT OF TRAVEL 512
    Melissa Renn
    20 Loomis Street 4
    Cambrige,MA02138     		NONE NONE REIMBURSEMENT OF TRAVEL 979
    Micah Gell-Redman
    9142 Regents Road
    Unit H La Jolla,CA92037     		NONE NONE REIMBURSEMENT OF TRAVEL 2,512
    Michael Fortner
    4306 Walnut Street
    Philadelphia,PA19104     		NONE NONE REIMBURSEMENT OF TRAVEL 1,000
    Michael James Willcocks
    6 Ivy Road Woolston
    Warrington   WA1 4DS
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL 3,040
    Michael Krysko
    1517 Leavenworth Street
    Manhattan,KS66502     		NONE NONE REIMBURSEMENT OF TRAVEL 2,021
    Michael Limberg
    241 Glenbrook Road
    Storrs,CT06269     		NONE NONE REIMBURSEMENT OF TRAVEL 918
    Monica Cecilia Moreno
    Cra 57 No 55-61 Bloque 70 Apt 202 P
    Bogota    
    CO     		NONE NONE REIMBURSEMENT OF TRAVEL 1,500
    Nicole Sackley
    3209 Kensington Avenue
    Richmond,VA23221     		NONE NONE REIMBURSEMENT OF TRAVEL 1,355
    Philipp Hess
    Flensburger Stre 17
    Erfurt   99085
    GM     		NONE NONE REIMBURSEMENT OF TRAVEL 2,649
    Ramona Braun
    Lucy Cavendish College Lady Margare
    Cambrige   CB3 OBJ
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL 3,000
    Rebecca Mertens
    Edithstra 1B
    Minden   32423
    GM     		NONE NONE REIMBURSEMENT OF TRAVEL 2,487
    Renata Nowaczewska
    UL Izerska 1
    Szczecin   71-497
    PL     		NONE NONE REIMBURSEMENT OF TRAVEL 2,965
    Richard Nash
    3622 Elm Avenue 2
    Baltimore,MD21211     		NONE NONE REIMBURSEMENT OF TRAVEL 618
    Robert R Gioielli
    3143 Bellewood Avenue Apt 2
    Cincinnati,OH45213     		NONE NONE REIMBURSEMENT OF TRAVEL 2,059
    Sara Silverstein
    683 Longmore Hill Road
    Hyde Park,VT05655     		NONE NONE REIMBURSEMENT OF TRAVEL 2,060
    Sarah Snyder
    History Department UCL Gower Stree
    London   WC1E 6NT
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL 2,988
    Shashwati Goswami
    Aruna Asaf Ali Marg
    New Delhi   110067
    IN     		NONE NONE REIMBURSEMENT OF TRAVEL 3,916
    Terry Evan Faulkenbury
    121 Westview Dr 102
    Carrboro,NC27510     		NONE NONE REIMBURSEMENT OF TRAVEL 1,645
    Tiffany Kuo
    940 2nd STreet 25
    Los Angeles,CA90012     		NONE NONE REIMBURSEMENT OF TRAVEL 3,769
    Willem Koops
    Bulgerstein 31 1082 NH
    Amsterdam   31 1082
    NL     		NONE NONE REIMBURSEMENT OF TRAVEL 918
    William Demarest
    Stony Brook University 3rd floor S
    Stony Brook,NY11794     		NONE NONE REIMBURSEMENT OF TRAVEL 1,274
    Xi Gao
    25 Francis Avenue Suite 20
    Cambrige,MA02138     		NONE NONE REIMBURSEMENT OF TRAVEL 3,000
    Yann Giraud
    291 rue du Faubourg Saint Antoine
    Paris   75001
    FR     		NONE NONE REIMBURSEMENT OF TRAVEL 3,500
    Yubin Shen
    1817 N Quinn Street APt 407
    Arlington,VA22209     		NONE NONE REIMBURSEMENT OF TRAVEL 1,819
    Total .................................bullet 3a 137,191
    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
    acopy service for research         17,820
    b
    c
    d
    e
    f
    gFees and contracts from government agencies          
    2 Membership dues and assessments....          
    3
    Interest on savings and temporary cash investments ............     		    14 927  
    4 Dividends and interest from securities....     14 5,649,892  
    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 .............     		         
    9 Net income or (loss) from special events:          
    10 Gross profit or (loss) from sales of inventory..          
    11 Other revenue: a
    b
    c
    d
    e
    12 Subtotal. Add columns (b), (d), and (e)..   5,650,819 17,820
    13Total. Add line 12, columns (b), (d), and (e)..................
    135,668,639
    (See worksheet in line 13 instructions to verify calculations.)
    Part XVI-B
    Relationship of Activities to the Accomplishment of Exempt Purposes
    Line No.
    DownArrow     		Explain below how each activity for which income is reported in column (e) of Part XVI-A contributed importantly to
    the accomplishment of the foundation’s exempt purposes (other than by providing funds for such purposes). (See
    instructions.)
    1a copy service for researchers who use the facility as documents cannot leave the archive center. This aids in their ability to document their research.
    Form 990-PF (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: 13000170
    Software Version: 2013v4.0


    Form 990PF - Special Condition Description:
    Special Condition Description
    Schedule B
    (Form 990, 990-EZ,
    or 990-PF)
    Department of the Treasury
    Internal Revenue Service
    Schedule of Contributors
    Arrow Bullet Attach to Form 990, 990-EZ, or 990-PF.
    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
    ROCKEFELLER ARCHIVE CENTER
     
    Employer identification number

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





    Form 990-PF




    Check if your organization is covered by the General Rule or a Special Rule.  
    Note. Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.
    General Rule
    Special Rules
    ......................... Arrow Bullet $  
    Caution. An organization that is not covered by the General Rule and/or the Special Rules does not file Schedule B (Form 990,
    990-EZ, or 990-PF), but it must answer “No” on Part IV, line 2, of its Form 990; or check the box on line H of its
    Form 990-EZ or on 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
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number

    20-8030810
    Part I
    Contributors (see instructions). Use duplicate copies of Part I if additional space is needed.
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    1
     
     

    THE ROCKEFELLER UNIVERSITY  
    1230 YORK AVENUE
     
    NEW YORK, NY10065

    		$500,000


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

    THE COMMONWEALTH FUND  
    ONE EAST 75TH STREET
     
    NEW YORK, NY10021

    		$84,996


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

    RUSSELL SAGE FOUNDATION  
    112 EAST 64TH STREET
     
    NEW YORK, NY10065

    		$10,000


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

    THE NEAR EAST FOUNDATION  
    1275 YORK AVENUE
     
    NEW YORK, NY10021

    		$5,000


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

    THE ROCKEFELLER FOUNDATION  
    420 FIFTH AVENUE
     
    NEW YORK, NY10018

    		$128,046


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

    THE FORD FOUNDATION  
    320 EAST 43RD STREET
     
    NEW YORK, NY10017

    		$408,750


    (Complete Part II for noncash contributions.)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
    Name of organization
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number

    20-8030810
    Part I
    Contributors (see instructions). Use duplicate copies of Part I if additional space is needed.
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    7
     
     

    TACONIC FOUNDATION  
    100 WALL STREET 12TH FLOOR
     
    NEW YORK, NY10005

    		$33,452


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

    SOCIAL SCIENCE RESEARCH COUNCIL  
    ONE PIERREPORT PLAZA 15TH FL
     
    BROOKLYN, NY11201

    		$10,000


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

    CARNEGIE CORPORATION  
    437 MADISON AVENUE
     
    NEW YORK, NY10022

    		$50,001


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    10
     
     

    ACLS  
    633 THIRD AVENUE 8TH FLOOR
     
    NEW YORK,   115TW

    		$60,000


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    11
     
     

    ABBY M O'NEILL  
    30 ROCKEFELLER PLAZA
     
    NEW YORK, NY10112

    		$37,500


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    12
     
     

    MEMORIAL SLOAN-KETTERING CANCER CTR  
    1275 YORK AVENUE
     
    NEW YORK, NY10021

    		$29,260


    (Complete Part II for noncash contributions.)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
    Name of organization
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number

    20-8030810
    Part I
    Contributors (see instructions). Use duplicate copies of Part I if additional space is needed.
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    13
     
     

    PAUL EHRLICH COLLECTION  
    575 MADISON AVENUE
     
    NEW YORK, NY10022

    		$25,000


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    14
     
     

    ROCKEFELLER BROTHERS FUND  
    420 FIFTH AVENUE
     
    NEW YORK, NY10018

    		$72,976


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    15
     
     

    THE JOHN HARTFORD FOUNDATION  
    55 EAST 59TH STREET
     
    NEW YORK, NY10022

    		$155,380


    (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
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number

    20-8030810
    Part II
    Noncash Property (see instructions). Use duplicate copies of Part II if additional space is needed.
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions)     		(d)
    Date received
     
    		$    
    Schedule B (Form 990, 990-EZ, or 990-PF) (2013)

    Schedule B (Form 990, 990-EZ, or 990-PF) (2013)
    Page 4
    Name of organization
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number

    20-8030810
    Part III
    Exclusively religious, charitable, etc., individual contributions to section 501(c)(7), (8), or (10) organizations
    that total more than $1,000 for the year. Complete columns (a) through (e) and the following line entry.
    For organizations completing Part III, enter the total of exclusively religious, charitable, etc.,
    contributions of $1,000 or less for the year. (Enter this information once. See instructions.) Arrow Bullet$  
    Use duplicate copies of Part III if additional space is needed.
    (a) No.
    from
    Part I    		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
     
    (e) Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
         
     
    (a) No.
    from
    Part I    		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
     
    (e) Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
         
     
    (a) No.
    from
    Part I    		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
     
    (e) Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
         
     
    (a) No.
    from
    Part I    		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
     
    (e) Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
         
     
    Schedule B (Form 990, 990-EZ, or 990-PF) (2013)

    Additional Data


    Software ID: 13000170
    Software Version: 2013v4.0

    TY 2013 AccountingFeesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:13000170
    Software Version:2013v4.0
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Accounting & Auditing 35,000 0 0 39,046
    Tax Preparation 22,600 0 0 25,214

    TY 2013 ContractorCompensationExpln
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:13000170
    Software Version:2013v4.0
    Contractor Explanation
    THE ROCKEFELLER UNIVERSITY  

    TY 2013 LandEtcSchedule2
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:13000170
    Software Version:2013v4.0
    Category / Item Cost / Other Basis Accumulated Depreciation Book Value End of Year Fair Market Value
    Auto./Transportation Equip. 40,495 13,571 26,924 26,924
    Furniture and Fixtures 42,994 8,599 34,395 34,395
    Machinery and Equipment 1,408,371 356,070 1,052,301 1,052,301
    Buildings 15,055,758 2,229,020 12,826,738 12,826,738
    Land 4,838,000   4,838,000 4,838,000
    Miscellaneous 38,136 4,429 33,707 33,707


    TY 2013 LegalFeesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:13000170
    Software Version:2013v4.0
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Legal 21,718 0 0 41,304


    TY 2013 OtherAssetsSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:13000170
    Software Version:2013v4.0
    Description Beginning of Year - Book Value End of Year - Book Value End of Year - Fair Market Value
    Exhibition and Archival Art 2,500,505 2,646,980  


    TY 2013 OtherExpensesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:13000170
    Software Version:2013v4.0
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Bank Charges 2,628     3,171
    COMPUTER, SOFTWARE & LICENSING 47,894     38,651
    DIGITIZATION AND MICROFILMING 18,538     -138
    MEMBERSHIPS 12,497     12,811
    PAYROLL SERVICE FEES 11,814     10,042
    PENALTY REFUND -540      
    POSTAGE AND SUPPLIES 93,516     95,541
    scholarly conferences and workshops 23,797     24,342


    TY 2013 OtherIncomeSchedule2
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:13000170
    Software Version:2013v4.0
    Description Revenue And Expenses Per Books Net Investment Income Adjusted Net Income
    copy service for research 17,820    


    TY 2013 OtherLiabilitiesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:13000170
    Software Version:2013v4.0
    Description Beginning of Year - Book Value End of Year - Book Value
    EXCISE TAXES PAYABLE 5,000 25,000
    Due to University for Investment Service   2,745


    TY 2013 OtherProfessionalFeesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:13000170
    Software Version:2013v4.0
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    ADVISORY & PROFESSIONAL SUPPORT 94,770 0 0 51,617
    FINANCIAL SERVICES/INVESTMENT FEES 524,794 524,794 524,794 0


    TY 2013 TaxesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN: 20-8030810
    Software ID:13000170
    Software Version:2013v4.0
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Federal Excise Tax 98,500   98,500