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.
bulletGo to www.irs.gov/Form990PF for instructions and the latest information.
OMB No. 1545-0052
2019
Open to Public Inspection
For calendar year 2019, or tax year beginning 09-01-2017 , and ending 08-31-2018
Name of foundation
Seymour and Sylvia Rothchild Family 2004
Charitable Foundation
% Foundation Source
Number and street (or P.O. box number if mail is not delivered to street address)Foundation Source 501 Silverside Rd
  Room/suite
City or town, state or province, country, and ZIP or foreign postal code
Wilmington, DE198091377
A Employer identification number

20-6307347
B Telephone number (see instructions)

(800) 839-1754
C bullet
G Check all that apply:

D 1. Foreign organizations, check here............. bullet
2. Foreign organizations meeting the 85%
test, check here and attach computation ... bullet
E bullet
H Check type of organization:
F bullet
I Fair market value of all assets at end
of year (from Part II, col. (c),
line 16)bullet$4,320,517J Accounting method:
 
(Part I, column (d) must be on cash basis.)
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) 0
2 Check bullet.............
3 Interest on savings and temporary cash investments 1,538 1,538  
4 Dividends and interest from securities... 76,598 73,043  
5a Gross rents............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10 136,138
b Gross sales price for all assets on line 6a 1,010,568
7 Capital gain net income (from Part IV, line 2)... 136,138
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 1,917 1,917  
12 Total. Add lines 1 through 11........ 216,191 212,636  
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc. 0      
14 Other employee salaries and wages......        
15 Pension plans, employee benefits.......        
16a Legal fees (attach schedule).........        
b Accounting fees (attach schedule).......        
c Other professional fees (attach schedule).... Click to see attachment 31,040 31,040    
17 Interest...............        
18 Taxes (attach schedule) (see instructions)... Click to see attachment 2,109 809    
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 22,552 309   22,243
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 55,701 32,158   22,243
25 Contributions, gifts, grants paid....... 165,000 165,000
26 Total expenses and disbursements. Add lines 24 and 25 220,701 32,158   187,243
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements -4,510
b Net investment income (if negative, enter -0-) 180,478
c Adjusted net income (if negative, enter -0-)...  
For Paperwork Reduction Act Notice, see instructions.
Cat. No. 11289X Form 990-PF (2019)
Form 990-PF (2019)
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......... 147,153 112,900 112,900
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) bullet104,482
Less: allowance for doubtful accounts bullet     Click to see attachment104,482 104,482
8 Inventories for sale or use..............      
9 Prepaid expenses and deferred charges..........      
10a Investments—U.S. and state government obligations (attach schedule) 160,204 Click to see attachment258,635 254,338
b Investments—corporate stock (attach schedule)....... 3,300,538 Click to see attachment3,191,856 3,680,513
c Investments—corporate bonds (attach schedule)....... 130,093 Click to see attachment168,670 168,284
11 Investments—land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
12 Investments—mortgage loans.............      
13 Investments—other (attach schedule).......... 103,065    
14 Land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
15 Other assets (describe bullet)      
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 3,841,053 3,836,543 4,320,517
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 Foundations that follow FASB ASC 958, check here bullet
and complete lines 24, 25, 29 and 30.
24 Net assets without donor restrictions...........    
25 Net assets with donor restrictions............    
Foundations that do not follow FASB ASC 958, check here bullet
and complete lines 26 through 30.
26 Capital stock, trust principal, or current funds........    
27 Paid-in or capital surplus, or land, bldg., and equipment fund    
28 Retained earnings, accumulated income, endowment, or other funds 3,841,053 3,836,543
29 Total net assets or fund balances (see instructions)..... 3,841,053 3,836,543
30 Total liabilities and net assets/fund balances (see instructions). 3,841,053 3,836,543
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 29 (must agree with end-of-year figure reported on prior year’s return) ...............
1
3,841,053
2
Enter amount from Part I, line 27a .....................
2
-4,510
3
Other increases not included in line 2 (itemize) bullet
3
 
4
Add lines 1, 2, and 3 ..........................
4
3,836,543
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 29 .
6
3,836,543
Form 990-PF (2019)
Form 990-PF (2019)
Page 3
Part IV
Capital Gains and Losses for Tax on Investment Income
(a) List and describe the kind(s) of property sold (e.g., real estate,
2-story brick warehouse; or common stock, 200 shs. MLC Co.)		 (b)
How acquired
P—Purchase
D—Donation 		(c)
Date acquired
(mo., day, yr.) 		(d)
Date sold
(mo., day, yr.)
1 a Publicly-traded Securities      
b
c
d
e
(e)
Gross sales price 		(f)
Depreciation allowed
(or allowable) 		(g)
Cost or other basis
plus expense of sale 		(h)
Gain or (loss)
(e) plus (f) minus (g)
a 1,010,568   874,430 136,138
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       136,138
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 2 136,138
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 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))
2018 183,180 4,046,741 0.045266
2017 181,811 3,910,015 0.046499
2016 184,218 4,066,613 0.0453
2015 171,564 4,125,071 0.041591
2014 170,187 3,821,645 0.044532
2
Total of line 1, column (d) .....................
2
0.223188
3
Average distribution ratio for the 5-year base period—divide the total on line 2 by 5.0, or by the number of years the foundation has been in existence if less than 5 years ......
3
0.044638
4
Enter the net value of noncharitable-use assets for 2019 from Part X, line 5......
4
4,278,362
5
Multiply line 4 by line 3......................
5
190,978
6
Enter 1% of net investment income (1% of Part I, line 27b)...........
6
1,805
7
Add lines 5 and 6........................
7
192,783
8
Enter qualifying distributions from Part XII, line 4,.............
8
187,243
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 (2019)
Form 990-PF (2019)
Page 4
Part VI
Excise Tax Based on Investment Income (Section 4940(a), 4940(b), 4940(e), or 4948—see instructions)
1a Exempt operating foundations described in section 4940(d)(2), check here Bullet and enter “N/A" on line 1. Bracket includes lines 1a and 1b
Date of ruling or determination letter:   (attach copy of letter if necessary–see instructions)
b Domestic foundations that meet the section 4940(e) requirements in Part V, check 1 3,610
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 3,610
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 3,610
6 Credits/Payments:
a 2019 estimated tax payments and 2018 overpayment credited to 2019 6a 2,992
b Exempt foreign organizations—tax withheld at source...... 6b
c Tax paid with application for extension of time to file (Form 8868)... 6c 679
d Backup withholding erroneously withheld ........... 6d  
7 Total credits and payments. Add lines 6a through 6d.............. 7 3,671
8 Enter any penalty for underpayment of estimated tax. Check here if Form 2220 is attached. Click to see attachment 8  
9 Tax due. If the total of lines 5 and 8 is more than line 7, enter amount owed.......Bullet 9  
10 Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid...Bullet 10 61
11 Enter the amount of line 10 to be: Credited to 2020 estimated taxBullet61 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 Instructions
for definition).................................
1b
 
No
If the answer is "Yes" to 1a or 1b, attach a detailed description of the activities and copies of any materials
published or distributed by the foundation in connection with the activities.
c
Did the foundation file Form 1120-POL for this year?.....................
1c
 
No
d
Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year:
(1) On the foundation. bullet$   (2) On foundation managers.bullet$  
e
Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed
on foundation managers.bullet$  
2
Has the foundation engaged in any activities that have not previously been reported to the IRS?.......
2
 
No
If "Yes," attach a detailed description of the activities.
3
Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles
of incorporation, or bylaws, or other similar instruments? If "Yes," attach a conformed copy of the changes....
3
 
No
4a
Did the foundation have unrelated business gross income of $1,000 or more during the year?........
4a
 
No
b
If "Yes," has it filed a tax return on Form 990-T for this year?...................
4b
 
 
5
Was there a liquidation, termination, dissolution, or substantial contraction during the year?.........
5
 
No
If "Yes," attach the statement required by General Instruction T.
6
Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either:
  • By language in the governing instrument, or
  • By state legislation that effectively amends the governing instrument so that no mandatory directions
    • that conflict with the state law remain in the governing instrument?................
    6
    Yes
     
    7
    Did the foundation have at least $5,000 in assets at any time during the year? If "Yes," complete Part II, col. (c),
    and Part XV..................................
    7
    Yes
     
    8a
    Enter the states to which the foundation reports or with which it is registered (see instructions)
    bulletMA
    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 2019 or the taxable year beginning in 2019? See the 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
    Form 990-PF (2019)
    Form 990-PF (2019)
    Page 5
    Part VII-A
    Statements Regarding Activities (continued)
    11
    At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the
    meaning of section 512(b)(13)? If "Yes," attach schedule. See instructions .............
    11
     
    No
    12
    Did the foundation make a distribution to a donor advised fund over which the foundation or a disqualified person had
    advisory privileges? If "Yes," attach statement. See instructions.................
    12
     
    No
    13
    Did the foundation comply with the public inspection requirements for its annual returns and exemption application?
    13
    Yes
     
    Website addressbullet  
    14
    The books are in care ofbulletFoundation Source Telephone no.bullet (800) 839-1754

    Located atbullet501 Silverside Road Suite 123WilmingtonDE ZIP+4bullet198091377
    15
    Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041 —check here .........bullet
    and enter the amount of tax-exempt interest received or accrued during the year ........bullet
    15
     
    16 At any time during calendar year 2019, 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 the instructions for exceptions and filing requirements for FinCEN Form 114. If "Yes", enter the name of the foreign
    country bullet
    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 instructions ........
    1b
     
     
    ........bullet
    c
    Did the foundation engage in a prior year in any of the acts described in 1a, other than excepted acts,
    that were not corrected before the first day of the tax year beginning in 2019?.............
    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 2019, did the foundation have any undistributed income (lines 6d
    and 6e, Part XIII) for tax year(s) beginning before 2019?.............
    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 2019 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 2019.)..................
    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 2019?
    4b
     
    No
    Form 990-PF (2019)
    Form 990-PF (2019)
    Page 6
    Part VII-B
    Statements Regarding Activities for Which Form 4720 May Be Required (continued)
    5a
    During the year did the foundation pay or incur any amount to:
    Yes
    No
    (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 4945(d)(4)(A)? 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
     
     
    8
    Is the foundation subject to the section 4960 tax on payment(s) of more than $1,000,000 in remuneration or
    excess parachute payment during the year? .................
    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
    Alice Rothchild Trustee
    1.0     		0 0 0
    Foundation Source 501 Silverside Rd
    Wilmington,DE198091377
    Joseph Rothchild Trustee
    1.0     		0 0 0
    Foundation Source 501 Silverside Rd
    Wilmington,DE198091377
    Judith Rothchild Trustee
    1.0     		0 0 0
    Foundation Source 501 Silverside Rd
    Wilmington,DE198091377
    2 Compensation of five highest-paid employees (other than those included on line 1—see instructions). If none, enter “NONE."
    (a) Name and address of each employee paid more than $50,000 (b) Title, and average
    hours per week
    devoted to position     		(c) Compensation (d) Contributions to
    employee benefit
    plans and deferred
    compensation     		(e) Expense account,
    other allowances
     
    Total number of other employees paid over $50,000...................bullet  
    Form 990-PF (2019)
    Form 990-PF (2019)
    Page 7
    Part VIII
    Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees,
    and Contractors (continued)
    3 Five highest-paid independent contractors for professional services (see instructions). If none, enter "NONE".
    (a) Name and address of each person paid more than $50,000 (b) Type of service (c) Compensation
     
    Total number of others receiving over $50,000 for professional services.............bullet  
    Part IX-A
    Summary of Direct Charitable Activities
    List the foundation’s four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of organizations and other beneficiaries served, conferences convened, research papers produced, etc. Expenses
    1  
    2  
    3  
    4  
    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 instructions.
    3  
    Total. Add lines 1 through 3.........................bullet  
    Form 990-PF (2019)
    Form 990-PF (2019)
    Page 8
    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
    4,055,018
    b
    Average of monthly cash balances.......................
    1b
    184,231
    c
    Fair market value of all other assets (see instructions)................
    1c
    104,266
    d
    Total (add lines 1a, b, and c).........................
    1d
    4,343,515
    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
    0
    3
    Subtract line 2 from line 1d.........................
    3
    4,343,515
    4
    Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
    instructions) .............................
    4
    65,153
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
    4,278,362
    6
    Minimum investment return. Enter 5% of line 5..................
    6
    213,918
    Part XI
    Distributable Amount (see instructions) (Section 4942(j)(3) and (j)(5) private operating foundations and certain foreign organizations check here right arrow and do not complete this part.)
    1
    Minimum investment return from Part X, line 6....................
    1
    213,918
    2a
    Tax on investment income for 2019 from Part VI, line 5......
    2a
    3,610
    b
    Income tax for 2019. (This does not include the tax from Part VI.)...
    2b
     
    c
    Add lines 2a and 2b............................
    2c
    3,610
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
    210,308
    4
    Recoveries of amounts treated as qualifying distributions................
    4
     
    5
    Add lines 3 and 4............................
    5
    210,308
    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
    210,308
    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
    187,243
    b
    Program-related investments—total from Part IX-B..................
    1b
    0
    2
    Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc.,
    purposes...............................
    2
    0
    3
    Amounts set aside for specific charitable projects that satisfy the:
    a
    Suitability test (prior IRS approval required)....................
    3a
    0
    b
    Cash distribution test (attach the required schedule) .................
    3b
    0
    4
    Qualifying distributions. Add lines 1a through 3b. Enter here and on Part V, line 8, and Part XIII, line 4
    4
    187,243
    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
    187,243
    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 (2019)
    Form 990-PF (2019)
    Page 9
    Part XIII
    Undistributed Income (see instructions)
    (a)
    Corpus     		(b)
    Years prior to 2018     		(c)
    2018     		(d)
    2019
    1 Distributable amount for 2019 from Part XI, line 7 210,308
    2 Undistributed income, if any, as of the end of 2019:
    a Enter amount for 2018 only....... 66,016
    b Total for prior years:2015, 2014, 2013  
    3 Excess distributions carryover, if any, to 2019:
    a From 2014......  
    b From 2015......  
    c From 2016......  
    d From 2017......  
    e From 2018......  
    fTotal of lines 3a through e........  
    4Qualifying distributions for 2019 from Part
    XII, line 4: bullet$ 187,243
    a Applied to 2018, but not more than line 2a 66,016
    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 2019 distributable amount..... 121,227
    e Remaining amount distributed out of corpus 0
    5 Excess distributions carryover applied to 2019.    
    (If an amount appears in column (d), the
    same amount must be shown in column (a).)
    6Enter the net total of each column as
    indicated below:
    a Corpus. Add lines 3f, 4c, and 4e. Subtract line 5 0
    b Prior years’ undistributed income. Subtract
    line 4b from line 2b ..........     		 
    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 2018. Subtract line
    4a from line 2a. Taxable amount—see
    instructions .............     		 
    f Undistributed income for 2019. Subtract
    lines 4d and 5 from line 1. This amount must
    be distributed in 2020 ..........     		89,081
    7 Amounts treated as distributions out of
    corpus to satisfy requirements imposed by
    section 170(b)(1)(F) or 4942(g)(3) (Election may
    be required - see instructions) .......     		 
    8 Excess distributions carryover from 2014 not
    applied on line 5 or line 7 (see instructions) ...     		 
    9Excess distributions carryover to 2020.
    Subtract lines 7 and 8 from line 6a ......     		0
    10 Analysis of line 9:
    a Excess from 2015....  
    b Excess from 2016....  
    c Excess from 2017....  
    d Excess from 2018....  
    e Excess from 2019.... 0
    Form 990-PF (2019)
    Form 990-PF (2019)
    Page 10
    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 2019, 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) 2019 (b) 2018 (c) 2017 (d) 2016
             
    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 foundation 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).)
    NONE
    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 email address 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 (2019)
    Form 990-PF (2019)
    Page 11
    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
    350ORG
    20 JAY ST STE 1010
    BROOKLYN,NY11201     		N/A PC General & Unrestricted 2,000
    A JEWISH VOICE FOR PEACE INC
    1918 BONITA AVE STE A
    BERKELEY,CA94704     		N/A PC General & Unrestricted 1,500
    AMERICAN CIVIL LIBERTIES UNION FOUNDATION INC
    125 BROAD ST 18TH FL
    NEW YORK,NY10004     		N/A PC General & Unrestricted 7,500
    AMERICAN JEWISH WORLD SERVICE INC
    45 W 36TH ST 11TH FL
    NEW YORK,NY10018     		N/A PC General & Unrestricted 2,500
    AMREF HEALTH AFRICA INC
    4 W 43RD ST 2ND FL
    NEW YORK,NY10036     		N/A PC General & Unrestricted 4,000
    BOSTON WOMENS HEALTH BOOK COLLECTIVE INC
    PO BOX 400135
    CAMBRIDGE,MA02140     		N/A PC General & Unrestricted 1,000
    BROWN UNIVERSITY
    BOX 1976
    PROVIDENCE,RI02912     		N/A PC General & Unrestricted 2,500
    CENTER FOR CONSTITUTIONAL RIGHTS INC
    666 BROADWAY 7TH FLR
    NEW YORK,NY10012     		N/A PC General & Unrestricted 6,000
    CITIZENS FOR RESPONSIBILITY AND ETHICS IN WASHINGT
    455 MASSACHUSETTS AVE NW
    WASHINGTON,DC20001     		N/A PC General & Unrestricted 3,000
    COMMUNITY ALLIANCE FOR GLOBAL JUSTICE
    606 MAYNARD AVE S STE 102
    SEATTLE,WA98104     		N/A PC General & Unrestricted 1,500
    COMMUNITY MUSICWORKS
    1392 WESTMINSTER ST
    PROVIDENCE,RI02909     		N/A PC General & Unrestricted 3,000
    CONSERVATION LAW FOUNDATION INC
    62 SUMMER ST
    BOSTON,MA02110     		N/A PC General & Unrestricted 2,000
    DEMOCRACY NOW PRODUCTIONS INC
    207 W 25TH ST
    NEW YORK,NY10001     		N/A PC General & Unrestricted 8,000
    FOOD PROJECT INC
    10 LEWIS ST
    LINCOLN,MA01773     		N/A PC General & Unrestricted 5,000
    FRIENDS OF AL-ROWWAD USA INC
    233 NEEDHAM ST STE 300
    NEWTON,MA02464     		N/A PC General & Unrestricted 3,000
    GAZA MENTAL HEALTH FOUNDATION INC
    6 BENNETT ST
    CAMBRIDGE,MA02138     		N/A PC General & Unrestricted 5,000
    GOT GREEN
    2514 S GRAHAM ST
    SEATTLE,WA98108     		N/A PC General & Unrestricted 1,000
    GRASSROOTS INTERNATIONAL INC
    179 BOYLSTON ST 4TH FL
    BOSTON,MA02130     		N/A PC General & Unrestricted 7,500
    INDIVISIBLE
    2040 S ST NW
    WASHINGTON,DC20009     		N/A PC General & Unrestricted 1,000
    LOW INCOME HOUSING INSTITUTE
    2407 1ST AVE STE 200
    SEATTLE,WA98121     		N/A PC General & Unrestricted 1,250
    MIDDLE EAST CHILDRENS ALLIANCE
    1101 8TH ST
    BERKELEY,CA94710     		N/A PC General & Unrestricted 2,500
    MIDDLEBRIDGE SCHOOL INC
    333 OCEAN RD
    NARRAGANSETT,RI02882     		N/A PC General & Unrestricted 12,500
    MITCHELL COLLEGE
    437 PEQUOT AVE
    NEW LONDON,CT06320     		N/A PC Bentsen Learning Resource Center 2,500
    NATIONAL IMMIGRATION LAW CENTER
    3435 WILSHIRE BLVD STE 1600 213-6
    LOS ANGELES,CA90010     		N/A PC General & Unrestricted 2,500
    NATURAL RESOURCES DEFENSE COUNCIL INC
    40 W 20TH ST
    NEW YORK,NY10011     		N/A PC General & Unrestricted 2,500
    NEW ENGLAND GRASSROOTS ENVIRONMENT FUND INC
    PO BOX 611
    NEWMARKET,NH03857     		N/A PC General & Unrestricted 10,000
    NEW ISRAEL FUND
    2100 M ST NW STE 619
    WASHINGTON,DC20037     		N/A PC General & Unrestricted 2,500
    PHYSICIANS FOR A NATIONAL HEALTH PROGRAM
    29 E MADISON ST STE 1412
    CHICAGO,IL60602     		N/A PC General & Unrestricted 2,000
    PHYSICIANS FOR REPRODUCTIVE HEALTH INC
    1430 BROADWAY FL 16 STE 1614
    NEW YORK,NY10018     		N/A PC General & Unrestricted 2,000
    PHYSICIANS FOR SOCIAL RESPONSIBILITY INC
    4500 9TH AVE NE STE 92
    SEATTLE,WA98105     		N/A PC anti-nuclear war work Program 2,500
    PLANNED PARENTHOOD FEDERATION OF AMERICA INC
    123 WILLIAMS ST 10TH FL
    NEW YORK,NY10038     		N/A PC General & Unrestricted 3,000
    PONHEARY LY FOUNDATION
    PO BOX 17034
    AUSTIN,TX78760     		N/A PC General & Unrestricted 6,250
    PUGET SOUND SAGE
    220 2ND AVE S STE 310
    SEATTLE,WA98104     		N/A PC General & Unrestricted 1,000
    SACRAMENTO LOAVES AND FISHES
    1321 N C ST
    SACRAMENTO,CA95811     		N/A PC General & Unrestricted 2,500
    SEATTLE HOUSING AND RESOURCE EFFORT
    PO BOX 2548
    SEATTLE,WA98111     		N/A PC General & Unrestricted 1,500
    SOCIAL JUSTICE FUND NORTHWEST
    1904 3RD AVE STE 806
    SEATTLE,WA98101     		N/A PC General & Unrestricted 3,000
    SOUTHERN CENTER FOR HUMAN RIGHTS
    83 POPLAR ST NW
    ATLANTA,GA30303     		N/A PC General & Unrestricted 4,000
    SOUTHERN POVERTY LAW CENTER INC
    400 WASHINGTON AVE
    MONTGOMERY,AL36104     		N/A PC General & Unrestricted 1,000
    THE ASPERGER-AUTISM NETWORK INC
    51 WATER ST 206
    WATERTOWN,MA02472     		N/A PC General & Unrestricted 2,500
    THE CODEX FOUNDATION
    2203 4TH ST
    BERKELEY,CA94710     		N/A PC General & Unrestricted 1,000
    THE HOME FOR LITTLE WANDERERS INC
    10 GUEST ST STE 3
    BOSTON,MA02135     		N/A PC General & Unrestricted 5,000
    THE PROJECT ON GOVERNMENT OVERSIGHT INC
    1100 G ST NW STE 500
    WASHINGTON,DC20005     		N/A PC General & Unrestricted 1,000
    UNION OF CONCERNED SCIENTISTS INC
    2 BRATTLE SQ STE 6
    CAMBRIDGE,MA02138     		N/A PC raising awareness of climate change program 1,500
    VIOLENCE POLICY CENTER
    1025 CONNECTICUT AVE NW STE 1210
    WASHINGTON,DC20036     		N/A PC General & Unrestricted 1,000
    WELCOME PROJECT INC
    530 MYSTIC AVE 111
    SOMERVILLE,MA02145     		N/A PC General & Unrestricted 10,000
    WEST END HOUSE INC
    105 ALLSTON ST
    ALLSTON,MA02134     		N/A PC General & Unrestricted 10,000
    YOUTHCARE
    2500 NE 54TH ST
    SEATTLE,WA98105     		N/A PC General & Unrestricted 1,000
    Total .................................bullet 3a 165,000
    bApproved for future payment
    Total .................................bullet 3b  
    Form 990-PF (2019)
    Form 990-PF (2019)
    Page 12
    Part XVI-A
    Analysis of Income-Producing Activities
    Enter gross amounts unless otherwise indicated. Unrelated business income Excluded by section 512, 513, or 514 (e)
    Related or exempt
    function income
    (See instructions.)
    1Program service revenue: (a)
    Business code     		(b)
    Amount     		(c)
    Exclusion code     		(d)
    Amount
    a
    b
    c
    d
    e
    f
    gFees and contracts from government agencies          
    2 Membership dues and assessments....          
    3 Interest on savings and temporary cash
    investments ...........     		    14 1,538  
    4 Dividends and interest from securities....     14 76,598  
    5 Net rental income or (loss) from real estate:
    aDebt-financed property......          
    bNot debt-financed property.....          
    6 Net rental income or (loss) from personal property          
    7 Other investment income.....          
    8 Gain or (loss) from sales of assets other than
    inventory ............     		    18 136,138  
    9 Net income or (loss) from special events:          
    10 Gross profit or (loss) from sales of inventory          
    11 Other revenue:
    aINTEREST FROM NOTES RECEIVABLE     		    14 1,917  
    b
    c
    d
    e
    12 Subtotal. Add columns (b), (d), and (e)..   216,191  
    13Total. Add line 12, columns (b), (d), and (e)..................
    13
    216,191
    (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 (2019)
    Form 990-PF (2019)
    Page 13
    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) (other than section 501(c)(3) organizations) or in section 527, relating to political organizations?
    Yes
    No
    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) (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) 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 name SmallBullet
    		 Firm's EIN SmallBullet
    Firm's address SmallBullet


    		 Phone no.
    Form 990-PF (2019)
    Additional Data


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    Software Version:  


    Form 990PF - Special Condition Description:
    Special Condition Description

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    TY 2017 DepreciationSchedule
    Name:
    Seymour and Sylvia Rothchild Family 2004
     
    Charitable Foundation
    EIN:
    20-6307347
    Description of Property Date Acquired Cost or Other Basis Prior Years' Depreciation Computation Method Rate /
    Life (# of years)    		 Current Year's Depreciation Expense Net Investment Income Adjusted Net Income Cost of Goods Sold Not Included

    TY 2017 InvestmentsCorpBondsSchedule
    Name:
    Seymour and Sylvia Rothchild Family 2004
     
    Charitable Foundation
    EIN:
    20-6307347
    Name of Bond End of Year Book Value End of Year Fair Market Value
    ABBVIE INC - 2.900% - 11/06/20 4,872 4,880
    AMERICAN EXPRESS - 0.024% - 05 9,975 9,875
    ANHEUSER BUSCH INBEV BOND - 3. 4,974 4,896
    AT&T INC - 4.125% - 02/17/2026 4,904 4,941
    BANK OF AMERICA SR NOTE - 2.25 4,997 4,939
    CITIGROUP INC - 3.200% - 10/21 4,665 4,694
    COMCAST CORP - 3.150% - 03/01/ 9,462 9,533
    CVS HEALTH CORP NOTE - 4.100% 4,981 5,007
    DUKE ENERGY CAROLINAS LLC - 4. 15,080 15,369
    GE CAP CORP - 4.625% - 01/07/2 14,858 15,436
    GENERAL MLS INC NOTE - 2.600% 4,938 4,836
    GEORGIA PWR CO - 2.850% - 05/1 15,226 14,690
    GOLDMAN SACHS GROUP - 2.550% - 5,034 4,982
    JPMORGAN CHASE &CO NOTE - 2.95 9,317 9,366
    MS GLBL - 2.375% - 07/23/2019 5,021 4,982
    SCHLUMBERGER - 3.650% - 12/01/ 15,223 15,212
    TORONTO DOMINION BANK - 2.125% 9,715 9,737
    TOYOTA MTR CRD CORP MTN BE - 2 15,010 14,641
    VERIZON COMMUNICATIONS INC - 5 5,328 5,365
    WELLS FARGO - 2.500% - 03/04/2 5,090 4,903

    TY 2017 InvestmentsCorpStockSchedule
    Name:
    Seymour and Sylvia Rothchild Family 2004
     
    Charitable Foundation
    EIN:
    20-6307347
    Name of Stock End of Year Book Value End of Year Fair Market Value
    A P MOLLAR MAERSK A 396 279
    ABB LTD 1,453 1,481
    AC ALTERNATIVES MARKET NEUTRAL 127,908 127,046
    ACCOR SA 383 382
    ACS ACTIVIDADES CO 404 423
    ADECCO S.A. 386 306
    ADIDAS AG 1,355 1,491
    AEGON N V ORD AMER REG 311 327
    AGL ENERGY SPON ADS 350 276
    AIA GROUP LTD 621 620
    AJINOMOTO INC 350 287
    AKZO NOBEL NV-ADR 578 593
    ALFA LAVAL AB 326 375
    ALLIANCE BERNSTEIN NATL MUN IN 11,042 10,491
    ALLIANCEBERNSTEIN GLOBAL HIGH 2,972 2,813
    ALLIANZ SE ADR 2,877 2,891
    AMADEUS IT HLDS SA 681 1,016
    AMCOR LTD 398 329
    AMG TIMESSQUARE INTERNATIONAL 276,152 295,645
    ANGLO AM PLC ADR 590 711
    ANHEUSER BUSCH COS INC 246 186
    APOLLO TACTICAL INCOME FUND IN 11,009 10,667
    ARCELORMITTAL 424 483
    ARES DYNAMIC CR ALLOCATION FD 11,961 11,645
    ARIEL FUND INVESTOR CL 168,627 187,981
    ARKEMA S/ADR 351 377
    ARTISAN INTERNATIONAL VALUE FU 122,331 158,058
    ASAHI KAISAI CP ADR 418 528
    ASHTEAD GROUP PLC 348 499
    ASML HOLDING NV NY REG SHS 1,748 2,256
    ASSA ABLOY UNSP/ADR 559 528
    ASSOCIATED BRITISH FOODS PLC 401 300
    ASTELLAS PHARMA INC 690 914
    ASTRAZENECA 2,248 2,760
    ATLANTIA SPA ADR 370 248
    ATLAS COPCO AB A SHS ADR 622 485
    ATOS SE UNSPONS ADR 400 313
    AUSTRALIA & N Z ADS 859 765
    AVIVA PLC 721 628
    AXA ADS 1,700 1,513
    BAE SYSTEMS PLC 650 638
    BANCO BILBAO ARG SA 1,578 1,122
    BAYER A G SPONSORED ADR 1,912 1,446
    BAYERISCHE MOTOREN WERKE AG AD 739 775
    BHP BILLITON LIMITED 1,456 1,633
    BHP BILLITON SP ADR 1,227 1,370
    BLACKROCK CORPORATE HIGH YIELD 13,613 13,204
    BLACKROCK INVESTMENT QUALITY M 465 467
    BLACKROCK MULTI-SECTOR INCOME 10,520 10,319
    BLACKROCK MUNI INTERMEDIATE DU 19,678 18,545
    BLACKROCK MUNICIPAL INCOME QUA 405 406
    BLACKSTONE/GSO STRATEGIC C 1,169 1,148
    BNP PARIBAS SPONS ADR 2,367 1,876
    BOC HK HLDGS LTD S/ADR 499 489
    BOSTON COMMON INTERNATIONAL 236,468 266,530
    BRAMBLES LTD UNSP AD 346 365
    BRENNTAG AG UNSP ADR 365 397
    BRIDGESTONE CORP UNSP ADR 697 605
    BRITISH LAND CO S/ADR 364 344
    BROWN ADVISORY SUSTAINABILITY 188,678 293,014
    BT GROUP PLC ADS 841 568
    BUNZL PLC SPONSORED ADR 310 314
    BURBERRY GROUP PLC 327 409
    CALRSBERG AS SP ADR REP B 361 390
    CANON INC 913 834
    CARNIVAL CORP PLC 341 305
    CARREFOUR S.A 383 273
    CENTRICA 407 282
    CHR HANSEN HOLDINGS 380 407
    CLP HOLDINGS LTD 476 513
    COCA-COLA EUROPEAN PARTNERS PL 363 384
    COCHLEAR ORD PLC 368 384
    COHEN & STEERS PREFRRD SECS & 123,365 124,096
    COLOPLAST AS ADR 322 395
    COMMERZBANK AG-SPONS ADR 399 284
    COMMONWEALTH BK AUS-SP ADR 2,556 1,952
    COMPAGNIE DE SAINT G 618 476
    COMPAGNIE FINANCIERE RICHEMONT 1,378 1,431
    COMPASS GROUP PLC ADR 830 830
    CONTL AG SPONS ADR 635 513
    CREDIT AGRICOLE SA 496 380
    CREDIT SUISSE GROUP ADR 634 613
    CRH PLC - AMERICAN DEPOSITARY 357 331
    DAIICHI SANKYO CO LTD SPONSORE 398 701
    DAIKIN INDS LTD ADR 641 764
    DAITO TRUST CONST SPON ADR 442 412
    DAIWA HOUSE IND LTD 529 456
    DAIWA SECURITIES GROUP 310 323
    DANSKE BANK A S SPON 961 748
    DEBT STRATEGY FUND 14,494 14,175
    DENSO CORP ADR 629 626
    DEUTSCHE BANK AG 612 383
    DEUTSCHE BOERSE ADR 547 716
    DEUTSCHE POST AG 897 837
    DEUTSCHE TELE AG ADS 1,759 1,605
    DIAGEO PLC ADS 2,544 2,649
    DNB NOR ASA SPONSOR ADR 515 532
    DREYFUS MUNICIPAL BOND INFRAST 5,527 5,300
    E.ON AG SPON ADR REP 1/3 ORD N 530 565
    EAST JAPAN RAILWAY C 787 741
    EATON VANCE LIMITED DURATION I 7,255 6,614
    EATON VANCE MUNICIPAL BOND FUN 10,047 9,330
    EDF UNSP ADR 339 404
    EDP-ELECTRICIDADE DE PORTUGAL 397 392
    EISAI LTD 382 634
    ENEL SOCIETA PER AZI 906 773
    ENI S.P.A 1,284 1,449
    EQUINOR ASA 530 722
    ERICSSON L M TEL CO 525 681
    ERSTE BK DER OEST SP 358 340
    ESSILOR INTL ADR 641 718
    EXPERIAN GROUP LTD S/ADR 523 646
    FAST RETAILING CO LT 452 699
    FERGUSON PLC ADR 424 531
    FERROVIAL SA 329 323
    FIAT CHRYSLER AUTOMOBILES NV 331 462
    FUJIFILM HOLDINGS ADR NPV 445 507
    FUJITSU LTD ADR OTC 417 401
    GALP ENERGIA 387 413
    GAS NATURAL ADR 388 394
    GIVAUDAN SA UNSP/ADR 483 582
    GKN PLC SPONS ADR OTC 383 393
    GROUPE DANONE ADS 1,376 1,453
    HEIDELBERGCEMENT AG UNSPONSORE 401 317
    HEINEKEN HLDG N V 301 285
    HEINEKEN N V S ADR 631 594
    HENKEL KGAA PFD SHS ADR 713 639
    HITACHI LTD 832 782
    HONG KONG & CHINA GAS SPD ADR 424 531
    HONG KONG EX&CL UNSP/ADR 1,096 1,083
    HOYA CORP SPONS ADR 626 645
    IBERDROLA ADR 1,448 1,366
    INDUSTRIA DE DISENO 1,344 1,059
    INFINEON TECH ADS 634 738
    ING GROUP N V SPONSORED ADR 2,073 1,616
    INPEX HOLDINGS INC 296 326
    INTERCONTINENTAL HOTELS GROUP 346 373
    INTESA SANPAOLO SPA 1,342 993
    INVESCO DYNAMIC CREDIT OPPORTU 11,264 10,864
    INVESCO MUNICIPAL OPPORTUNITY 4,653 4,621
    INVESCO MUNICIPAL TRUST 4,620 4,416
    INVESCO QUALITY MUNICIPAL INCO 9,653 9,228
    INVESCO VALUE MUNICIPAL INCOME 17,559 16,909
    ISUZU MOTORS UNSP/ADR 321 360
    ITOCHU CORP ADR OTC 633 698
    ITV PLC SHS 365 335
    J SAINSBURY 318 319
    JAPAN EXCHANGE GROUP INC 310 297
    JAPAN TOB INC 942 710
    JPMORGAN SYSTEMATIC ALPHA FD C 123,064 121,639
    JULIUS BAER GROUP LTD 494 455
    KAO CORP 797 1,002
    KBC GROUP SA UNSP ADR 542 462
    KDDI CP UNSP ADR 651 644
    KERING UNSPON ADR EA REPR 0.1 946 1,299
    KINGFISHER PLC 288 260
    KIRIN BREWERY LTD 490 542
    KOMATSU LTD 650 680
    KON KPN NV SPON ADR REP 1 ORD 359 246
    KONE OYJ ADR B SHS 474 486
    KONINKLIJKE AHOLD DELHAIZE NV 542 558
    KONINKLIJKE DSM NV ADR 395 550
    KONINKLIJKE PHILIPS ELECTRONIC 1,180 1,339
    KUBOTA CORPORATION 529 469
    KYOCERA CP 555 569
    L'AIR LIQUIDE ADR OTC 1,406 1,532
    L'OREAL ADR 1,592 1,772
    LAFARGEHOLCIM LTD ADR 744 753
    LEGAL & GENERAL GROUP 561 517
    LEND LEASE CORP LTD 349 359
    LLOYDS BANKING GROUP PLC 1,899 1,662
    LONDON STK EXCHANGE GROUP 633 657
    LONZA GROUP AG UNSP/ADR 363 482
    MAKITA CORP 278 317
    MARUBENI CORP ADR CNV INTO 10 336 411
    MAZDA MOTOR CORP 290 218
    MERCK KGAA SPON ADR EACH REPR 402 379
    MICHELIN CIE GEN UNSP/ADR 629 543
    MITSUBISHI ELEC UNSP/ADR 781 674
    MITSUBISHI ESTATE CO ADR 605 547
    MITSUI & COMPANY, LTD. - ADR 588 665
    MORGAN STANLEY EM DEBT FUND 4,066 3,521
    MORRISON W SUPRMKT PLC 328 341
    MS&AD INS GROUP ADR 496 428
    MUENCHENER RUECKVERS 842 838
    MURATA MFG INC UNSP/ADR 342 388
    NATIONAL AUSTRALIA BK LTD 1,882 1,667
    NATIONAL GRID TRANSCO PLC 1,342 1,166
    NESTLE S.A 4,563 4,606
    NEUBERGER BERMAN HIGH YIELD ST 2,261 2,121
    NEWCREST MINING LTD-SPON ADR 375 318
    NIDEC CORPORATION ADR 988 1,081
    NIPPON STEEL & SUM ADR 522 439
    NIPPON TELEGRAPH & TELEPHONE C 425 400
    NITTO DENKO ADR 430 349
    NOKIA 900 777
    NOMURA HOLDINGS ADR 590 450
    NORDEA BANK AB SPON ADR 930 794
    NORSK HYDRO ASA 352 334
    NOVARTIS AG ADR 2,389 2,407
    NOVO NORDISK A S 2,432 2,754
    NOVOZYMES A/S UNSP/ADR 328 383
    NTT DOCOMO 818 907
    NUVEEN AMT FREE QUALITY MUNICI 39,965 37,490
    NUVEEN CREDIT STRATEGIES INCOM 10,766 10,550
    NUVEEN DIVIDEND ADVANTAGE MUNI 40,971 38,386
    NUVEEN GLOBAL HIGH INCOME FUND 5,436 5,161
    NUVEEN INSD DVD ADV MUNI FD 10,283 9,970
    NUVEEN SELECT TAX FREE INCOME 478 461
    OLYMPUS CORP S/ADR 333 370
    OMRON CORP S/ADR 304 268
    OMV AG BEARER SH SPO 331 320
    ONO PHARMACEUTICAL ADR 294 351
    ORANGE 816 776
    ORIX CORP ADS 585 560
    ORKLA ASA SPON ADR 321 302
    PANASONIC CORP 784 666
    PANDORA A S SPON ADREACH REP 0 379 194
    PEARSON PLC 394 402
    PERNOD-RECARD SA 754 850
    PERSIMMON PLC ADR 338 317
    PEUGEOT 456 548
    PIONEER MUNICIPAL HIGH INC TR 4,728 4,604
    PRINCIPAL REAL ESTATE INCOME F 404 403
    PRUDENTIAL GLOBAL SHORT DURATI 20,298 19,196
    PRUDENTIAL SHORT DURATION HIGH 6,950 6,773
    PUTNAM MANAGED MUNI INCOME TRU 2,624 2,567
    PUTNAM MUNICIPAL OPPORTUNITIES 3,545 3,367
    QIAGEN NV 360 390
    RANDSTAD HOLDING 319 346
    RANGOLD RESORCES LTD SO AFRICA 303 261
    RBC EMERGING MARKETS EQUITY I 331,635 386,534
    RECKITT BENCKISER GROUP 1,897 1,708
    RED ELECTRICA DE ESPANA SA 294 281
    RELX NV 554 578
    RELX PLC 624 624
    RENAULT SA 473 447
    REPSOL YPF S A ADR 492 558
    RIO TINTO PLC SPONSORED ADR 1,763 1,729
    ROCHE HOLDING LTD ADR 956 929
    ROHM CO LTD UNSP ADR 334 354
    ROLLS ROYCE GRP PLC S/ADR 555 621
    ROYAL BANK SCOTLAND ADS 344 324
    ROYAL DUTCH SHELL CL A 2,425 2,674
    RSA INSURANCE GROUP 288 271
    RWE AKTIENGESELLSCHAFT 320 379
    RYOHIN KEIKAKU 340 297
    SANDS CHINA LTD UNSP ADR 330 341
    SANDVIK AB SPONS ADR 463 510
    SAP AKTIENGESELL ADS 3,141 3,472
    SCHNEIDER ELEC UNSP/ADR 1,403 1,427
    SECOM CO LTD ADR OTC 454 492
    SEVEN & I HOLDINGS C 773 770
    SGS SA UNSP ADR 360 420
    SHARP CORP ADR 358 381
    SHIN-ETSU CHEMICAL C 899 915
    SHIRE PLC 340 351
    SHISEIDO CO LTD 395 776
    SIEMENS AG 349 324
    SKF AB ADR 311 327
    SKY PLC SPON ADR 364 555
    SMITH & NEPHEW PLC ADR 428 430
    SMITHS GROUP ORD 37.5P 356 335
    SOCIETE GENERLE FRNCE ADR 1,075 740
    SODEXHO ALLIANCE SA SP ADR 336 290
    SONIC HEALTHCARE LTD SHS 323 341
    SONOVA HOLDING AG AD 386 417
    SONY CORP ADR 1,645 2,160
    SOUTH32 LTD 365 387
    SSE PLC SPON ADR 413 356
    STMICROELECTRONICS 325 393
    STORA ENSO OYJ 426 409
    SUMITOMO CHEMICAL CO 298 285
    SUMITOMO METAL 392 340
    SUMITOMO MITSUI TR HOLDINGS SP 383 405
    SUN HUNG KAI PY LTD S/ADR 580 554
    SVENSKA HANDELSBK UNS ADR 581 471
    SWEDBANK AB S/ADR 604 536
    SWISS RE LTD ADR 799 741
    SWISSCOM AG S/ADR 397 357
    SYMRISE AG UNSPONSORED 439 466
    SYSMEX CORP UNSP ASDR 292 433
    T&D HOLDINGS INC TOKYO 284 289
    TAKEDA PHARMACEUTICAL CO LTD 599 438
    TDK CORP 292 448
    TECHTRONIC INDS SPD ADR 329 366
    TELECOM ITALIA ADR 328 200
    TENARIS SA-ADR 365 335
    TERNA RETE ELETTRICA 340 329
    TESCO PLC S ADR 513 695
    THE WHARF HOLDINGS LIMITED 344 113
    TOKIO MARINE HOLDINGS INC 764 851
    TOKYO ELECTRON LTD 569 680
    TOKYO GAS CO LTD ADR 338 294
    TORAY INDUSTRIES INC 384 314
    TOSHIBA CORP UNSP/ADR 480 480
    TOTAL FINA ELF S.A 2,077 2,321
    TOYOTA MTR CORP 4,414 4,715
    TREASURY WINE ESTATES ADR 390 436
    UBS AG 1,869 1,770
    UNICHARM CORP - SPN ADR 327 415
    UNILEVER PLC AMER 2,176 2,218
    UNITED UTILITS ADR 323 307
    UPM-KYMMENE OYJ 413 579
    VALEO SA SPONS ADR 457 295
    VANGUARD SHORT-TERM BOND INDEX 181,133 176,589
    VANGUARD SHORT-TERM CORPORATE 198,184 194,259
    VESTAS WIND SYS UNSP/ADR 557 393
    VIVENDI SA 577 621
    VODAFONE GROUP PLC 2,271 1,729
    VOLVO AS-A ADR 877 895
    WALDEN SML CAP INNOVATIONS 152,704 191,467
    WALDEN SOCIAL EQUITY FUND 367,400 585,385
    WELLS FARGO ADVANTAGE INCOME O 9,653 9,045
    WELLS FARGO ADVANTAGE MULTI SE 4,636 4,284
    WEST JAPAN RAILWAY C 365 334
    WESTERN ASSET EMERGING MARKETS 28,936 25,227
    WESTERN ASSET GLOBAL HIGH INC 12,086 11,184
    WESTERN ASSET HI YLD DEFINED 6,792 6,473
    WESTERN ASSET HIGH INCOME FUND 393 364
    WESTERN ASSET HIGH INCOME OPPO 12,555 11,905
    WESTPAC BANKING CP 2,464 2,051
    WOLTERS KLUWER S/ADR 405 570
    WOODSIDE PETROL LTD ADR 471 530
    WPP PLC 617 497
    YARA INTERNATIONAL ASA 328 367
    YASKAWA ELEC CORP 354 334
    ZURICH INS GROU ADR 1,423 1,430

    TY 2017 InvestmentsGovtObligationsSch
    Name:
    Seymour and Sylvia Rothchild Family 2004
     
    Charitable Foundation
    EIN:
    20-6307347
    US Government Securities - End of Year Book Value:

    172,523
    US Government Securities - End of Year Fair Market Value:

    170,370
    State & Local Government Securities - End of Year Book Value:


    86,112
    State & Local Government Securities - End of Year Fair Market Value:


    83,968


    TY 2017 OtherExpensesSchedule
    Name:
    Seymour and Sylvia Rothchild Family 2004
     
    Charitable Foundation
    EIN:
    20-6307347
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Administrative Fees 22,208     22,208
    Bank Charges 309 309    
    State or Local Filing Fees 35     35


    TY 2017 OtherIncomeSchedule2
    Name:
    Seymour and Sylvia Rothchild Family 2004
     
    Charitable Foundation
    EIN:
    20-6307347
    Description Revenue And Expenses Per Books Net Investment Income Adjusted Net Income
    Interest from notes receivable 1,917 1,917  


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

    TY 2017 OtherNotesLoansRcvblLongSch
    Name:
    Seymour and Sylvia Rothchild Family 2004
     
    Charitable Foundation
    EIN:
    20-6307347

    Borrower's Name Relationship to Insider Original Amount of Loan Balance Due Date of Note Maturity Date Repayment Terms Interest Rate Security Provided by Borrower Purpose of Loan Description of Lender Consideration Consideration FMV
    BLUEHUB LOAN FUND INC     25,000       0 %        
    BLUEHUB LOAN FUND INC     25,000       0 %        
    COOPERATIVE FUND OF NEW ENGLAND INC     27,809       0 %        
    COOPERATIVE FUND OF NEW ENGLAND INC     26,673       0 %        

    TY 2017 OtherProfessionalFeesSchedule
    Name:
    Seymour and Sylvia Rothchild Family 2004
     
    Charitable Foundation
    EIN:
    20-6307347
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Investment Management Services 31,040 31,040    


    TY 2017 TaxesSchedule
    Name:
    Seymour and Sylvia Rothchild Family 2004
     
    Charitable Foundation
    EIN:
    20-6307347
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    990-PF Estimated Tax for 2018 1,300      
    Foreign Tax Paid 809 809