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
2018
Open to Public Inspection
For calendar year 2018, or tax year beginning 01-01-2018 , and ending 12-31-2018
Name of foundation
THE HARRY FRANK GUGGENHEIM FOUNDATION
 
Number and street (or P.O. box number if mail is not delivered to street address)42 WEST 54TH STREET 16TH FLOOR
  Room/suite
City or town, state or province, country, and ZIP or foreign postal code
NEW YORK, NY10019
A Employer identification number

13-6043471
B Telephone number (see instructions)

(646) 428-0971
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$57,786,351J Accounting method:
Modified Cash
(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)  
2 Check bullet.............
3 Interest on savings and temporary cash investments      
4 Dividends and interest from securities... 953,522 953,521 953,521
5a Gross rents............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10 -358,555
b Gross sales price for all assets on line 6a 5,439,209
7 Capital gain net income (from Part IV, line 2)... 30,514
8 Net short-term capital gain......... 178,103
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 567,040 -27,995 -22,699
12 Total. Add lines 1 through 11........ 1,162,007 956,040 1,108,925
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc. 734,746 35,325 35,325 699,421
14 Other employee salaries and wages...... 254,077 0 0 254,077
15 Pension plans, employee benefits....... 312,766 9,892 9,892 302,874
16a Legal fees (attach schedule)......... Click to see attachment 44,430 0 0 44,430
b Accounting fees (attach schedule)....... Click to see attachment 35,538 17,769 0 17,769
c Other professional fees (attach schedule).... Click to see attachment 433,156 327,242 327,242 105,914
17 Interest...............        
18 Taxes (attach schedule) (see instructions)... Click to see attachment 65,634 0 0 0
19 Depreciation (attach schedule) and depletion... 4,495 450 4,045
20 Occupancy.............. 425,679 42,568 42,568 383,111
21 Travel, conferences, and meetings....... 202,583 0 0 202,583
22 Printing and publications..........        
23 Other expenses (attach schedule)....... Click to see attachment 73,193 7,178 7,178 66,016
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 2,586,297 440,424 426,250 2,076,195
25 Contributions, gifts, grants paid....... 953,296 953,296
26 Total expenses and disbursements. Add lines 24 and 25 3,539,593 440,424 426,250 3,029,491
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements -2,377,586
b Net investment income (if negative, enter -0-) 515,616
c Adjusted net income (if negative, enter -0-)... 682,675
For Paperwork Reduction Act Notice, see instructions.
Cat. No. 11289X Form 990-PF (2018)
Form 990-PF (2018)
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............. 536,328 416,314 416,314
2 Savings and temporary cash investments......... 4,176,341 763,226 763,226
3 Accounts receivable bullet  
Less: allowance for doubtful accounts bullet        
4 Pledges receivable bullet  
Less: allowance for doubtful accounts bullet        
5 Grants receivable.................      
6 Receivables due from officers, directors, trustees, and other
disqualified persons (attach schedule) (see instructions).....      
7 Other notes and loans receivable (attach schedule) bullet  
Less: allowance for doubtful accounts bullet        
8 Inventories for sale or use..............      
9 Prepaid expenses and deferred charges.......... 18,557 129,306 129,306
10a Investments—U.S. and state government obligations (attach schedule) 6,085,459 Click to see attachment8,360,861 8,360,861
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).......... 50,945,695 Click to see attachment48,108,821 48,108,821
14 Land, buildings, and equipment: basis bullet519,849
Less: accumulated depreciation (attach schedule) bullet512,026 8,282 7,823 7,823
15 Other assets (describe bullet)      
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 61,770,662 57,786,351 57,786,351
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 SFAS 117, check here bullet
and complete lines 24 through 26 and lines 30 and 31.
24 Unrestricted.................. 61,770,662 57,786,351
25 Temporarily restricted...............    
26 Permanently restricted...............    
Foundations that do not follow SFAS 117, check here 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 instructions)..... 61,770,662 57,786,351
31 Total liabilities and net assets/fund balances (see instructions). 61,770,662 57,786,351
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
61,770,662
2
Enter amount from Part I, line 27a .....................
2
-2,377,586
3
Other increases not included in line 2 (itemize) bullet
3
0
4
Add lines 1, 2, and 3 ..........................
4
59,393,076
5
Decreases not included in line 2 (itemize) bulletClick to see attachment
5
1,606,725
6
Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 30 .
6
57,786,351
Form 990-PF (2018)
Form 990-PF (2018)
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 PUBLICLY TRADED SECURITIES      
c NEWSTONE CAP LP      
d LEGACY VENTURE V LP      
e PEG POOLED VENTURE LP      
LEGACY VENTURE VII LP      
LEGACY VENTURE VI LP      
LEGACY VENTURE XIII      
AG REALTY FUND      
NEWSTONE CAP LP      
ASCENT INDIA LP      
LEGACY VENTURE V LP      
PEG DIR. CORP      
JPM PEG POOLED CORP      
PEG POOLED VENTURE LP      
BROWN ADV.      
LEGACY VENTURE VII LP      
LEGACY VENTURE VI LP      
LEGACY VENTURE XIII LP      
AG REALTY FUND      
LEGACY VENTURE V LP      
GUGGENHEIM PLUS      
MW INTERNATIONAL      
MW SPECIAL SITUATIONS      
CAPITAL SHORT TERM DIST.      
CAPITAL LONG TERM DIST.      
(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 308,041   316,082 -8,041
b 3,735,826   3,821,652 -85,826
c 43     43
d 184     184
e     2 -2
593     593
18,522     18,522
    497 -497
10,394     10,394
    2,486 -2,486
70,974     70,974
91,392     91,392
    941 -941
    1,193 -1,193
18,430     18,430
18,024     18,024
15,941     15,941
117,101     117,101
914     914
31,904     31,904
    228 -228
    1,283,984 -1,283,984
152,260     152,260
    376,046 -376,046
159,260     159,260
1,083,822     1,083,822
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       -8,041
b       -85,826
c       43
d       184
e       -2
      593
      18,522
      -497
      10,394
      -2,486
      70,974
      91,392
      -941
      -1,193
      18,430
      18,024
      15,941
      117,101
      914
      31,904
      -228
      -1,283,984
      152,260
      -376,046
      159,260
      1,083,822
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 30,514
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 3 178,103
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))
2017 3,039,357 58,528,777 0.051929
2016 3,162,441 56,807,167 0.055670
2015 3,207,878 59,297,542 0.054098
2014 3,453,528 60,929,617 0.056681
2013 3,445,913 58,681,015 0.058723
2
Total of line 1, column (d) .....................
2
0.277101
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
0.055420
4
Enter the net value of noncharitable-use assets for 2018 from Part X, line 5......
4
59,615,351
5
Multiply line 4 by line 3......................
5
3,303,883
6
Enter 1% of net investment income (1% of Part I, line 27b)...........
6
5,156
7
Add lines 5 and 6........................
7
3,309,039
8
Enter qualifying distributions from Part XII, line 4,.............
8
3,029,491
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 (2018)
Form 990-PF (2018)
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 10,312
hereBulletand enter 1% of Part I, line 27b...................
c All other domestic foundations enter 2% of line 27b. Exempt foreign organizations enter 4% of Part I, line 12, col. (b)
2 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) 2 0
3 Add lines 1 and 2........................... 3 10,312
4 Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) 4 0
5 Tax based on investment income. Subtract line 4 from line 3. If zero or less, enter -0- ..... 5 10,312
6 Credits/Payments:
a 2018 estimated tax payments and 2017 overpayment credited to 2018 6a 120,000
b Exempt foreign organizations—tax withheld at source...... 6b
c Tax paid with application for extension of time to file (Form 8868)... 6c 0
d Backup withholding erroneously withheld ........... 6d 0
7 Total credits and payments. Add lines 6a through 6d.............. 7 120,000
8 Enter any penalty for underpayment of estimated tax. Check here if Form 2220 is attached. 8 139
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 10 109,549
11 Enter the amount of line 10 to be: Credited to 2019 estimated taxBullet109,549 RefundedBullet 11 0
Part VII-A
Statements Regarding Activities
1a
During the tax year, did the foundation attempt to influence any national, state, or local legislation or did
Yes
No
it participate or intervene in any political campaign? ....................
1a
 
No
b
Did it spend more than $100 during the year (either directly or indirectly) for political purposes? (see Instructions
for definition).................................
1b
 
No
If the answer is "Yes" to 1a or 1b, attach a detailed description of the activities and copies of any materials
published or distributed by the foundation in connection with the activities.
c
Did the foundation file Form 1120-POL for this year?.....................
1c
 
No
d
Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year:
(1) On the foundation. bullet$ 0(2) On foundation managers.bullet$ 0
e
Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed
on foundation managers.bullet$ 0
2
Has the foundation engaged in any activities that have not previously been reported to the IRS?.......
2
 
No
If "Yes," attach a detailed description of the activities.
3
Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles
of incorporation, or bylaws, or other similar instruments? If "Yes," attach a conformed copy of the changes....
3
 
No
4a
Did the foundation have unrelated business gross income of $1,000 or more during the year?........
4a
Yes
 
b
If "Yes," has it filed a tax return on Form 990-T for this year?...................
4b
Yes
 
5
Was there a liquidation, termination, dissolution, or substantial contraction during the year?.........
5
 
No
If "Yes," attach the statement required by General Instruction T.
6
Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either:
  • By language in the governing instrument, or
  • By state legislation that effectively amends the governing instrument so that no mandatory directions
    • that conflict with the state law remain in the governing instrument?................
    6
    Yes
     
    7
    Did the foundation have at least $5,000 in assets at any time during the year? If "Yes," complete Part II, col. (c),
    and Part XV..................................
    7
    Yes
     
    8a
    Enter the states to which the foundation reports or with which it is registered (see instructions)
    bulletNY
    b
    If the answer is "Yes" to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney
    General (or designate) of each state as required by General Instruction G? If "No," attach explanation .
    8b
    Yes
     
    9
    Is the foundation claiming status as a private operating foundation within the meaning of section 4942(j)(3)
    or 4942(j)(5) for calendar year 2018 or the taxable year beginning in 2018? See the 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
    Form 990-PF (2018)
    Form 990-PF (2018)
    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 addressbulletWWW.HFG.ORG
    14
    The books are in care ofbulletDEIRDRE HAMILL Telephone no.bullet (646) 428-0971

    Located atbullet42 W 54TH STREET - 16TH FLOORNEW YORKNY ZIP+4bullet10019
    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 2018, 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
     
    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 2018?.............
    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 2018, did the foundation have any undistributed income (lines 6d
    and 6e, Part XIII) for tax year(s) beginning before 2018?.............
    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 2018 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 2018.)..................
    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 2018?
    4b
     
    No
    Form 990-PF (2018)
    Form 990-PF (2018)
    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
     
    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
     
     
    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
    BROGANN SANDERSON DIRECTOR
    1.00     		0 0 0
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    CAROL LANGSTAFF DIRECTOR
    1.00     		0 0 0
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    DANA DRAPER DIRECTOR (OUTGOING)
    1.00     		0 0 0
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    DANIEL F WILHELM PRESIDENT
    40.00     		302,300 238 44,861
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    DEIRDRE HAMILL FINANCE DIRECTOR
    40.00     		202,098 30,299 46,075
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    DONALD C HOOD DIRECTOR
    1.00     		0 0 0
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    H KIRK UNRUH JR DIRECTOR
    1.00     		0 0 0
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    JEREMIAH MILBANK III DIRECTOR
    1.00     		0 0 0
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    KAREN COLVARD PROGRAM DIRECTOR
    40.00     		230,348 16,980 7,282
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    MATTHEW DUVENECK DIRECTOR
    1.00     		0 0 0
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    PATRICIA L ROSENFIELD DIRECTOR
    1.00     		0 0 0
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    PETER LAWSON-JOHNSTON CHAIRMAN
    1.00     		0 0 0
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    PETER LAWSON-JOHNSTON II DIRECTOR
    1.00     		0 0 0
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    REEVE LINDBERGH DIRECTOR
    1.00     		0 0 0
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    TANIA MCCLEERY DIRECTOR
    1.00     		0 0 0
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    THOMAS MCNEIL DIRECTOR
    1.00     		0 0 0
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    THOMAS PIPER III DIRECTOR
    1.00     		0 0 0
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    TINA BENNETT DIRECTOR
    1.00     		0 0 0
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    WILLIAM G BARDEL DIRECTOR
    1.00     		0 0 0
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET - 16TH FLOOR
    NEW YORK,NY10019
    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
    JOEL WALLMAN PROGRAM OFFICER
    40.00     		205,831 30,842 33,053
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET 16TH FLOOR
    NEW YORK,NY10019
    NYELETI HONWANA PROGRAM OFFICER
    40.00     		55,363 8,300 15,797
    HF GUGGENHEIM FDTN 42 WEST 54TH
    STREET 16TH FLOOR
    NEW YORK,NY10019
    Total number of other employees paid over $50,000...................bullet 0
    Form 990-PF (2018)
    Form 990-PF (2018)
    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
    HIRTLE CALLAGHAN INVESTMENT ADVISORY SERVICES 255,999
    101 AVENUE OF THE AMERICAS 9TH
    FLOOR
    NEW YORK,NY10013
    CONWAY-CIR FEEDER FUND MGMT INVESTMENT ADVISORY SERVICES 58,413
    165 N MERAMEC AVENUE STE 210
    ST LOUIS,MO63105
    Total number of others receiving over $50,000 for professional services.............bullet0
    Part IX-A
    Summary of Direct Charitable Activities
    List the foundation’s four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of organizations and other beneficiaries served, conferences convened, research papers produced, etc. Expenses
    1 THE HARRY FRANK GUGGENHEIM FOUNDATION IS A PRIVATE OPERATING FOUNDATION DEDICATED TO THE CREATION AND DISSEMINATION OF KNOWLEDGE ABOUT THE ORIGINS AND CONSEQUENCES OF VIOLENCE IN ITS MANY FORMS, INCLUDING HUMAN AGGRESSION, CRIME AND WAR, AND HOW BEST TO REDUCE IT. TO CREATE KNOWLEDGE, THE FOUNDATION SUPPORTS THE WORK OF RESEARCHERS ACROSS ACADEMIC DISCIPLINES THROUGH GRANT COMPETITIONS AND COMMISSIONED RESEARCH THAT INVESTIGATES VIOLENCE IN ITS MANY MANIFESTATIONS. THE FOUNDATION SEEKS TO DEVELOP INSIGHTS THAT REVERBERATE BEYOND ITS FUNDED RESEARCH, INFORMING POLICY AND PUBLIC DEBATE. IN ADDITION TO THE SCHOLARS FUNDED BY THE FOUNDATION, ITS STAFF CONDUCT SCIENTIFIC AND POLICY RESEARCH ON VIOLENCE AND ARE KNOWN AS EXPERTS IN THIS AREA. 3,101,291
    2 (CONTINUED) - TO DISSEMINATE KNOWLEDGE ABOUT VIOLENCE, THE FOUNDATION UNDERTAKES PROGRAMMATIC INITIATIVES, SUCH AS CONFERENCES FOR ACADEMICS, JOURNALISTS, AND POLICYMAKERS. IT CONDUCTS SEMINARS TO SHARE PERSPECTIVES ON RESEARCH, WRITING PROJECTS, DATA, AND PRESSING ISSUES OF THE DAY. THE FOUNDATION ORGANIZES ACADEMIC AND POLICY MEETINGS WITH OTHER FUNDERS AND NON-GOVERNMENT ORGANIZATIONS AND CONVENES POLICYMAKER AND ACADEMIC BRIEFINGS TO SHARE RESEARCH FINDINGS IN PERSON AND ONLINE. IT PUBLISHES AND SHARES RESEARCH RESULTS, NEWS ON FOUNDATION ACTIVITIES, AND INSIGHTS ON VIOLENCE-RELATED TOPICS THROUGH ITS WEBSITE, PRINTED REPORTS, SCHOLARLY PUBLICATIONS, PUBLIC APPEARANCES, AND PROFESSIONAL MEETINGS. 0
    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.........................bullet0
    Form 990-PF (2018)
    Form 990-PF (2018)
    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
    59,358,436
    b
    Average of monthly cash balances.......................
    1b
    1,164,763
    c
    Fair market value of all other assets (see instructions)................
    1c
    0
    d
    Total (add lines 1a, b, and c).........................
    1d
    60,523,199
    e
    Reduction claimed for blockage or other factors reported on lines 1a and
    1c (attach detailed explanation) .............
    1e
    0
    2
    Acquisition indebtedness applicable to line 1 assets..................
    2
    0
    3
    Subtract line 2 from line 1d.........................
    3
    60,523,199
    4
    Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
    instructions) .............................
    4
    907,848
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
    59,615,351
    6
    Minimum investment return. Enter 5% of line 5..................
    6
    2,980,768
    Part XI
    Distributable Amount (see instructions) (Section 4942(j)(3) and (j)(5) private operating foundations and certain foreign organizations check here bullet and do not complete this part.)
    1
    Minimum investment return from Part X, line 6....................
    1
     
    2a
    Tax on investment income for 2018 from Part VI, line 5......
    2a
     
    b
    Income tax for 2018. (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
    3,029,491
    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
     
    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
    3,029,491
    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
    0
    6
    Adjusted qualifying distributions. Subtract line 5 from line 4..............
    6
    3,029,491
    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 (2018)
    Form 990-PF (2018)
    Page 9
    Part XIII
    Undistributed Income (see instructions)
    (a)
    Corpus     		(b)
    Years prior to 2017     		(c)
    2017     		(d)
    2018
    1 Distributable amount for 2018 from Part XI, line 7  
    2 Undistributed income, if any, as of the end of 2018:
    a Enter amount for 2017 only.......  
    b Total for prior years:20, 20, 20  
    3 Excess distributions carryover, if any, to 2018:
    a From 2013......  
    b From 2014......  
    c From 2015......  
    d From 2016......  
    e From 2017......  
    fTotal of lines 3a through e........  
    4Qualifying distributions for 2018 from Part
    XII, line 4: bullet$  
    a Applied to 2017, 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 2018 distributable amount.....  
    e Remaining amount distributed out of corpus  
    5 Excess distributions carryover applied to 2018.    
    (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 2017. Subtract line
    4a from line 2a. Taxable amount—see
    instructions .............     		 
    f Undistributed income for 2018. Subtract
    lines 4d and 5 from line 1. This amount must
    be distributed in 2019 ..........     		 
    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 2013 not
    applied on line 5 or line 7 (see instructions) ...     		 
    9Excess distributions carryover to 2019.
    Subtract lines 7 and 8 from line 6a ......     		 
    10 Analysis of line 9:
    a Excess from 2014....  
    b Excess from 2015....  
    c Excess from 2016....  
    d Excess from 2017....  
    e Excess from 2018....  
    Form 990-PF (2018)
    Form 990-PF (2018)
    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 2018, enter the date of the ruling....... bullet
    1989-07-01
    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) 2018 (b) 2017 (c) 2016 (d) 2015
    682,675 1,242,550 58,240 415,223 2,398,688
    b 85% of line 2a ......... 580,274 1,056,168 49,504 352,940 2,038,885
    c Qualifying distributions from Part XII,
    line 4 for each year listed .....     		3,029,491 3,039,357 3,181,853 3,250,693 12,501,394
    d Amounts included in line 2c not used directly
    for active conduct of exempt activities ..........     		201,985 151,309 157,003 191,270 701,567
    e Qualifying distributions made directly
    for active conduct of exempt activities.
    Subtract line 2d from line 2c ....     		2,827,506 2,888,048 3,024,850 3,059,423 11,799,827
    3 Complete 3a, b, or c for the
    alternative test relied upon:
    a “Assets" alternative test—enter:
    (1) Value of all assets ......         0
    (2) Value of assets qualifying
    under section 4942(j)(3)(B)(i)    		         0
    b “Endowment" alternative test— enter 2/3
    of minimum investment return shown in
    Part X, line 6 for each year listed...     		1,987,179 1,950,959 1,893,572 1,976,585 7,808,295
    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) ....     		        0
    (2) Support from general public
    and 5 or more exempt
    organizations as provided in
    section 4942(j)(3)(B)(iii)....     		        0
    (3) Largest amount of support
    from an exempt organization    		         0
    (4) Gross investment income         0
    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).)
    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:
    JOEL WALLMAN
    HFG 42 W 54TH STREET 16TH FLOOR
    NEW YORK,NY10019
    (646) 428-0971
    bThe form in which applications should be submitted and information and materials they should include:
    SEE ATTACHMENT B
    cAny submission deadlines:
    FEBRUARY 1ST AND AUGUST 1ST
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    SEE ATTACHMENT B
    Form 990-PF (2018)
    Form 990-PF (2018)
    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
    ADAM LICHTENHELD
    9395 VON WALD ROAD
    PRAIRE DU SAC,WI35578     		NONE I MAKING MIGRATIONS: THE STRATEGIC USE OF POPULATION DISPLACEMENT IN CIVIL WAR 20,000
    ADELE BLAZQUEZ
    67 RUE HEURTAULT
    AUBERVILLIERS,LLE DE FRANCE93300
    FR     		NONE I BETWEEN THE CARTEL AND THE STATE: ETHNOGRAPHY OF EVERYDAY LIFE IN THE CONTEXT OF VIOLENCE AND DRUG TRAFFICKING IN BADIRAGUATO (SINALOA, MEXICO) 20,000
    ADVOCATES FOR CHILDREN OF NY
    151 WEST 30TH STREET
    NEW YORK,NY10001     		  PC MATCHING GIFT PROGRAM 412
    ALLEY CAT ALLIES
    PO BOX 98179
    WASHINGTON,DC20077     		  PC MATCHING GIFT PROGRAM 100
    AMERICAN INDIAN COLLEGE FUND
    83333 GREENWOOD BLVD
    DENVER,CO80221     		  PC MATCHING GIFT PROGRAM 100
    ANSWER
    RUTGERS UNIV 41 GORDON RD STE C
    PISCATAWAY,NJ08854     		  PC MATCHING GIFT PROGRAM 500
    ARON LUND
    ONE WHITEHALL STREET 15TH FLOOR THE
    CENTURY FOUNDATION
    NEW YORK,NY10004     		NONE I INSURGENT FRAGMENTATION AND STATE ATTACHMENT IN THE SYRIAN CIVIL WAR 45,000
    AT HOME IN GREENWICH
    139 EAST PUTNAM DRIVE
    GREENWICH,CT06830     		  PC MATCHING GIFT PROGRAM 600
    BATES COLLEGE
    2 ANDREWS ROAD
    LEWISTON,ME04240     		  PC MATCHING GIFT PROGRAM 200
    BENJAMIN SCHNEIDER
    5501 45TH AVE APT 325
    HYATTSVILLE,MD20781     		NONE I A DIRTY WAR: AMERICAN WAR CRIMES AND MILITARY JUSTICE, 1942-1945 20,000
    BENJAMIN SPATZ
    65 WINSLOW AVENUE APT 2
    SOMERVILLE,MA02144     		NONE I BULLETS, BANKS AND BORDERS: HOW TARGETED SANCTIONS ALTER THE DOMESTIC BALANCE OF POLITICAL POWER IN SANCTIONED STATES 20,000
    BEST BUDDIES
    100 SOUTHEAST SECOND STREET
    MIAMI,FL33131     		  PC MATCHING GIFT PROGRAM 200
    BINGHAMTON UNIVERSITY FOUNDATION
    PO BOX 6005
    BINGHAMTON,NY16005     		  PC MATCHING GIFT PROGRAM 2,000
    BLUE SKY FUND
    PO BOX 8108
    RICHMOND,VA23223     		  PC MATCHING GIFT PROGRAM 720
    BRUCE MUSUEM
    ONE MUSEUM DRIVE
    GREENWICH,CT06830     		  PC MATCHING GIFT PROGRAM 170
    BRYN MAWR COLLEGE
    101 N MERION AVENUE
    BRYN MAWR,PA19010     		  PC MATCHING GIFT PROGRAM 200
    BUCK HILL CONSERVATION
    PO BOX 350
    BUCK HILL FALLS,PA18323     		  PC MATCHING GIFT PROGRAM 10,000
    CALL-A-RIDE
    37 LAFAYETTE PLACE
    GREENWICH,CT06830     		  PC MATCHING GIFT PROGRAM 100
    CAMBRIDGE IN AMERICA
    1120 AVE OF THE AMERICAS 17TH FLOOR
    NEW YORK,NY10036     		  PC RESEARCH FELLOWSHIP 59,564
    CARNEGIE COUNCIL
    170 EAST 64TH STREET
    NEW YORK NY,NY10065     		  PC MATCHING GIFT PROGRAM 200
    CATAPULT DANCE
    3517 STONE WAY N
    SEATTLE,WA98103     		  PC MATCHING GIFT PROGRAM 100
    CAUSE EFFECTIVE
    505 EIGHTH AVENUE SUITE 2012
    NEW YORK,NY10018     		  PC MATCHING GIFT PROGRAM 600
    CDSS
    116 PLEASANT STREET
    EAST HAMPTON,MA02790     		  PC MATCHING GIFT PROGRAM 100
    CENTER FOR THE STUDY OF SOCIAL POLICY
    1575 EYE STREET NW SUITE 500
    WASHINGTON,DC20005     		  PC MATCHING GIFT PROGRAM 500
    CHARLOTTE MERTENS
    71 WELL STREET
    BRIGHTON VICTORIA AUSTRAL    
    AS     		NONE I UNEARTHING SEXUAL VIOLENCE IN THE CONGO FREE STATE AND ITS CONTEMPORARY SIGNIFICANCE 30,764
    CHRIST MEMORIAL CHAPEL
    PO BOX 582
    HOBE SOUND,FL33455     		  PC MATCHING GIFT PROGRAM 1,000
    CINEMA ARTS
    423 PARK AVENUE
    HUNTINGTON,NY11743     		  PC MATCHING GIFT PROGRAM 100
    CITY HARVEST
    6 EAST 32ND STREET
    NEW YORK,NY10016     		  PC MATCHING GIFT PROGRAM 500
    CLOUD FOREST INSTITUTE
    PO BOX 1435
    UKIAH,CA95482     		  PC MATCHING GIFT PROGRAM 500
    COASTAL CONSERVATION LEAGUE
    PO BOX 1765
    CHARLESTON,SC17065     		  PC MATCHING GIFT PROGRAM 20,000
    COLUMBIA COMMUNITY SERVICE
    COLUMBIA UNIVERSITY 2980 BROADWAY
    ROOM 304 EARL HALL MC 2025
    NEW YORK,NY10027     		  PC MATCHING GIFT PROGRAM 8,000
    COLUMBIA UNIVERSITY
    622 WEST 113TH STREET
    NEW YORK,NY10025     		  PC MATCHING GIFT PROGRAM 4,000
    COMMUNITY HARVEST OF CENTRAL VERMONT
    146 LORD ROAD
    BERLIN,VT05602     		  PC MATCHING GIFT PROGRAM 100
    CORNER HOUSE FOUNDATION
    369 WITHERSPOON STREET
    PRINCETON,NJ08540     		  PC MATCHING GIFT PROGRAM 500
    COUNCIL ON FOUNDATIONS
    2121 CRYSTAL DR 700
    ARLINGTON,VA22202     		  PC GENERAL SUPPORT 13,100
    DANA FARBER CANCER INSTITUTE
    PO BOX 970002
    BOSTON,MA022970002     		  PC MATCHING GIFT PROGRAM 200
    DICKINSON COLLEGE
    PO BOX 1773
    CARLISLE,PA17013     		  PC MATCHING GIFT PROGRAM 200
    DOCTORS WITHOUT BORDERS
    40 RECTOR STREET 16TH FLOOR
    NEW YORK,NY10006     		  PC GENERAL SUPPORT 5,000
    DOCTORS WITHOUT BORDERS
    333 SEVENTH AVENUE
    NEW YORK,NY10001     		  PC MATCHING GIFT PROGRAM 1,000
    DR ANDREW DAWSON
    C126 YORK HALL GLENDON COLLEGE 2275
    BAYVIEW AVE
    TORONTO,ONTARIO  
    CA     		NONE I AN ANALYSIS OF THE LONG-TERM TRAJECTORIES OF HOMICIDE RATES BETWEEN THE UNITED STATES AND CANADA FROM THE MID-EIGHTEENTH TO THE TWENTY-FIRST CENTURY 31,621
    DR BENJAMIN LESSING
    5828 S UNIVERSITY AVENUE PICK HALL
    517
    CHICAGO,IL60637     		NONE I INSIDE OUT: PRISON GANGS AS A THREAT TO STATE AUTHORITY 9,665
    DR DANIEL AGBIBOA
    10456 ARMSTRONG STREET
    FAIRFAX,VA22030     		NONE I DYING TO SAVE: YOUTH VIGILANTISM, CIVILIAN JOINT TASK FORCE, AND COUNTERTERRORISM IN NIGERIA 25,490
    DR ERIN KINNALLY
    ONE SHIELDS AVENUE
    DAVIS,CA95616     		NONE I EPIGENETIC DISRUPTION OF THE "CYCLE OF VIOLENCE" IN RHESUS CAMAQUES 40,000
    DR JAVIER PUENTE
    AV VICUNA MACKENNA 4810 MACUL
    SANTIAGO    
    CI     		NONE I THE ENVIRONMENTAL MAKING OF SENDERO LUMINOSO: DROUGHT, FAMINE, AND REVOLUTION IN THE PERUVIAN ANDES, 1983-1986. 18,500
    DR MARK HANNA
    4249 FEATHER AVENUE
    SAN DIEGO,CA92117     		NONE I INFAMOUS DESIGNATION: THE DISCOURSE OF PIRACY, SLAVERY, AND EMPIRE IN THE EARLY MODERN ANGLOPHONE WORLD: 1600-1900 22,052
    DR SIDDHARTH CHANDRA
    ASIAN STUDIES CENTER 427 NORTH SHAW
    LANE ROOM 301
    EAST LANSING,MI48824     		NONE I GEOGRAPHIC PERSPECTIVES ON THE INDONESIAN KILLINGS OF 1965-66 IN CENTRAL AND EAST JAVA 30,615
    DR SPYRIDON TSOUTSOUMPIS
    BIZANIOU 16 IGOUMENITSA GREECE
    46100 7B STEFAN KARADJA ST AP 23
    SOFIA,SOFIA  
    BU     		NONE I A NEW KIND OF WAR: A HISTORY OF THE GREEK CIVIL WAR 1946-1949 16,120
    EAST NORTHPORT FIRE
    ONE NINTH AVENUE
    EAST NORTHPORT,NY11731     		  PC MATCHING GIFT PROGRAM 50
    EDWARD MAGUIRE
    8225 EAST CLINTON ST
    SCOTTSDALE,AZ85260     		NONE I POLICING PROTESTS: LESSONS FROM THE OCCUPY MOVEMENT AND BEYOND 6,000
    EXPONENT PHILANTHROPY
    1720 N STREET NW
    WASHINGTON,DC20036     		  PC GENERAL SUPPORT 1,250
    FAIR BANKS MUSEUM
    1302 MAIN STREET
    ST JOHNSBURY,VT05819     		  PC MATCHING GIFT PROGRAM 2,400
    FINCA
    PO BOX 98048
    WASHINGTON,DC20090     		  PC MATCHING GIFT PROGRAM 800
    FOUNDATION CENTER
    79 FIFTH AVENUE
    NEW YORK,NY10003     		  PC GENERAL SUPPORT 2,000
    FRIENDS OF GREENWICH POINT
    PO BOX 711
    OLD GREENWICH,CT06870     		  PC MATCHING GIFT PROGRAM 200
    FRIENDS OF MORRILL HOMESTEAD
    PO BOX 98
    STRAFFORD,VT05072     		  PC MATCHING GIFT PROGRAM 50
    FRIENDS OF NATHANIEL WITHERELL
    70 PARSONAGE ROAD
    GREENWICH,CT06830     		  PC MATCHING GIFT PROGRAM 200
    FRIENDS SEMINARY
    222 EAST 16TH STREET
    NEW YORK,NY10003     		  PC MATCHING GIFT PROGRAM 500
    FUTURE GENERATIONS
    390 ROAD LESS TRAVELED
    FRANKLIN,WV26807     		  PC MATCHING GIFT PROGRAM 500
    GARRISON FOREST SCHOOL
    300 GARRISON FOREST ROAD
    OWINGS MILLS,MD21117     		  PC MATCHING GIFT PROGRAM 3,000
    GEORGETOWN UNIVERSITY
    OFFICE OF GIFT ADMIN
    WASHINGTON,DC20073     		  PC MATCHING GIFT PROGRAM 1,000
    GIBBES MUSEUM OF ART
    135 MEETING STREET
    CHARLESTON,SC29401     		  PC MATCHING GIFT PROGRAM 1,000
    GLIDE
    330 ELLIS STREET
    SAN FRANCISCO,CA94102     		  PC GENERAL SUPPORT 5,000
    GLOBAL FUND FOR CHILDREN
    1101 FOURTEENTH STREET NW
    WASHINGTON,DC20005     		  PC MATCHING GIFT PROGRAM 400
    GLOBAL JUSTICE CENTER
    11 HANOVER SQUARE
    NEW YORK,NY10005     		  PC MATCHING GIFT PROGRAM 200
    GRACE CHURCH
    802 BROADWAY
    NEW YORK,NY10003     		  PC MATCHING GIFT PROGRAM 7,800
    GRADUATE CENTER FOUNDATION
    365 FIFTH AVENUE SUITE 8204
    NEW YORK,NY10016     		  PC MATCHING GIFT PROGRAM 200
    GREENWICH EMS
    PO BOX 423
    RIVERSIDE,CT06878     		  PC MATCHING GIFT PROGRAM 100
    GREENWICH HISTORICAL SOCIETY
    39 STRICKLAND ROAD
    COS COB,CT06807     		  PC MATCHING GIFT PROGRAM 100
    GUILLERMO TREJO
    312 HESBURGH CENTER
    NOTRE DAME,IN46556     		NONE I CRIMINAL VIOLENCE AND INDIGENOUS RESISTANCE. WHY ETHNIC AUTONOMY INSTITUTIONS DETER DRUG VIOLENCE IN MEXICO 40,000
    HABITAT FOR HUMANITY
    PO BOX 6439
    AMERICUS,GA31709     		  PC MATCHING GIFT PROGRAM 200
    HANOVERIAN FOUNDATION INC
    BOX 261
    WEST READING,CT06896     		  PC MATCHING GIFT PROGRAM 4,000
    HARTFORD DISMAS HOUSE
    1673 MAPLE STREET
    HARTFORD,VT05047     		  PC MATCHING GIFT PROGRAM 100
    HARVARD DIVINITY SCHOOL
    124 MT AUBURN STREET
    CAMBRIDGE,MA02138     		  PC MATCHING GIFT PROGRAM 1,000
    HISTORIC CHARLESTON HOUSE
    40 EAST BAY STREET
    CHARLESTON,SC29401     		  PC MATCHING GIFT PROGRAM 150
    HITOPS
    21 WIGGINS STREET
    PRINCETON,NJ08540     		  PC MATCHING GIFT PROGRAM 300
    HOME FRONT
    1880 PRINCETON AVENUE STE 3
    LAWRENCEVILLE,NJ08648     		  PC MATCHING GIFT PROGRAM 200
    INTERCOLLEGIATE STUDIES INSTITUTE
    3901 CENTERVILLE ROAD
    WILMINGTON,DE19807     		  PC MATCHING GIFT PROGRAM 1,000
    INTERN'L RESCUE COMMITTEE
    122 EAST 42ND STREET
    NEW YORK,NY10004     		  PC MATCHING GIFT PROGRAM 150
    JEAN-BAPTISTE GALLOPIN
    EMSER STR 75
    BERLIN    
    GM     		NONE I FEAR, VIOLENCE AND RESTRAINT: DYNAMICS OF HISTORICAL CHANGE IN THE TUNISIAN REVOLUTION 20,000
    JOHN JAY COLLEGE OF CRIMINAL JUSTICE
    899 TENTH AVENUE
    NEW YORK,NY10019     		  PC CRIME CONFERENCE 104,809
    JUPITER ISLAND MEDICAL CLINIC
    100 ESTRADA SQUARE
    HOBE SOUND,FL33455     		  PC MATCHING GIFT PROGRAM 3,400
    JUPITER MEDICAL CENTER FOUNDATION
    1210 SOUTH OLD DIXIE HIGHWAY
    JUPITE,FL33458     		  PC MATCHING GIFT PROGRAM 4,000
    JUVENILE LAW CENTER
    THE PHILADELPHIA BUILDING 1315
    WALNUT STREET SUITE 400
    PHILADELPHIA,PA19107     		  PC CROSS-NATIONAL STRATEGIES TO ADVANCE SYSTEMS OF YOUTH JUSTICE AND CHILD PROTECTION 15,800
    KEVIN LI
    3838 VALLEY LN
    EL SOBRANTE,CA94803     		NONE I ENTREPRENEURS OF DISORDER: GANGSTERS, REVOLUTIONARIES, AND COLLABORATORS DURING THE DECOLONIZATION OF VIETNAM (1945-1955) 20,000
    KIEVE-WAVUS EDUCATION
    PO BOX 1691
    NOBLEBORO,ME04555     		  PC MATCHING GIFT PROGRAM 1,400
    LAWRENCEVILLE SCHOOL
    BOX 6008
    LAWRENCEVILLE,NJ08648     		  PC MATCHING GIFT PROGRAM 2,000
    LIGHT UP GREENWICH
    113 PEMBERWICK ROAD
    GREENWICH,CT06831     		  PC MATCHING GIFT PROGRAM 100
    LOUISA LOMBARD
    10 SACHEM ST
    NEW HAVEN,CT06511     		NONE I ETHICS IN WARS OF PROTECTION 27,059
    MACULAR DEGENERATION RESEARCH
    22512 GATEWAY CENTER DRIVE
    CLARKSBURG,MD20871     		  PC MATCHING GIFT PROGRAM 100
    MANAGEMENT LEADERSHIP FOR TOMORROW
    7201 WISCONSIN AVENUE NW
    BETHESDA,MD20781     		  PC GENERAL SUPPORT 10,000
    METROPOLITAN MUSUEM OF ART
    PO BOX 5228
    NEW YORK,NY10277     		  PC MATCHING GIFT PROGRAM 220
    MILBROOK SCHOOL
    131 MILLBROOK SCHOOL ROAD
    MILLBROOK,NY12545     		  PC MATCHING GIFT PROGRAM 3,064
    MR JAMES AUSTIN
    52 MERRY WAY
    CAMDEN,SC29020     		NONE I PROJECTING FUTURE CRIME RATES AND VIOLENCE 45,000
    MS STEPHANIE SOUBRIER
    41 RUE DES GTINES
    PARIS    
    FR     		NONE I RACES GUERRIRES" : ARMY, SCIENCE AND POLITICS IN THE FRENCH COLONIAL EMPIRE, FROM 1857 TO 1918. 20,000
    MUSELLA FOUNDATION
    1100 PENINSULA BLVD
    HEWLETT,NY11557     		  PC MATCHING GIFT PROGRAM 200
    MUSEUM OF MODERN ART
    11 WEST 53RD STREET
    NEW YORK,NY10102     		  PC MATCHING GIFT PROGRAM 164
    MV YOUTH
    PO BOX 65
    CHILMARK,MA02535     		  PC MATCHING GIFT PROGRAM 1,910
    NATIONAL CATHEDRAL SCHOOL
    3612 WOODLEY ROAD NW
    WASHINGTON,DC20016     		  PC MATCHING GIFT PROGRAM 400
    NATIONAL WILDLIFE FEDERATION
    PO BOX 1691
    MERRIFIELD,VA22116     		  PC MATCHING GIFT PROGRAM 100
    NEW CANAAN COUNTRY SCHOOL
    545 PONUS RIDGE
    NEW CANAAN,CT06840     		  PC MATCHING GIFT PROGRAM 2,000
    NEW YORK COMMUNITY TRUST
    909 THIRD AVENUE 22ND FLOOR
    NEW YORK,NY10022     		  PC MATCHING GIFT PROGRAM 10,000
    NEW YORK PUBLIC RADIO
    160 VARICK STREET
    NEW YORK,NY10013     		  PC MATCHING GIFT PROGRAM 120
    NEW YORK ROAD RUNNERS CLUB
    156 WEST 56TH STREET 3RD FL
    NEW YORK NY,NY10019     		  PC MATCHING GIFT PROGRAM 150
    NORTHWESTERN UNIVERSITY
    1201 DAVIS STREET
    EVANSTON,IL60208     		  PC MATCHING GIFT PROGRAM 1,000
    OPERATION SMILE
    PO BOX 5017
    HAGERSTOWN,MD21741     		  PC MATCHING GIFT PROGRAM 480
    OXFAM
    1101 17TH ST NW SUITE 1300
    WASHINGTON,DC20036     		  PC MATCHING GIFT PROGRAM 103
    PAN-MASS CHALLENGE
    77 4TH AVENUE
    NEEDHAM,MA02494     		  PC MATCHING GIFT PROGRAM 256
    PARTNERSHIP SCHOOLS
    1001 FIRST AVENUE SUITE 1800
    NEW YORK,NY10022     		  PC MATCHING GIFT PROGRAM 6,000
    PERROT MEMORIAL LIBRARY
    90 SOUND BEACH AVENUE
    OLD GREENWICH,CT06870     		  PC MATCHING GIFT PROGRAM 100
    PHILANTHROPY NY
    1500 BROADWAY 7TH FLOOR
    NEW YORK,NY10004     		  PC GENERAL SUPPORT 3,150
    PHYSICIANS FOR HUMAN RIGHTS
    256 WEST 38TH STREET
    NEW YORK,NY10018     		  PC MATCHING GIFT PROGRAM 500
    PLANNED PARENTHOOD
    437 EAST STATE STREEY
    TRENTON,NJ08608     		  PC MATCHING GIFT PROGRAM 700
    PPCGNNJU
    437 EAST STATE STREET
    TRENTON,NJ08608     		  PC MATCHING GIFT PROGRAM 2,700
    READWORKS
    PO BOX 24673
    BROOKLYN,NY11202     		  PC MATCHING GIFT PROGRAM 517
    REDWOOD COMMUNITY RADIO
    PO BOX 135 1144 REDWAY DRIVE
    REDWAY,CA95560     		  PC MATCHING GIFT PROGRAM 700
    REVELS
    80 MT ALBURN STREET
    WATERTOWN,MA02472     		  PC MATCHING GIFT PROGRAM 100
    REVELS NORTH
    PO BOX 415
    HANOVER,NH03755     		  PC MATCHING GIFT PROGRAM 200
    RURAL VERMONT
    46 EAST STATE STREET
    MONTPELIER,VT05602     		  PC MATCHING GIFT PROGRAM 50
    SARASA CHAMBER
    14 HIGH STREET
    CAMBRIDGE,MA02138     		  PC MATCHING GIFT PROGRAM 60
    SCA
    PO BOX 550
    CHARLESTOWN,NH03603     		  PC MATCHING GIFT PROGRAM 100
    SEVEN STARS ART CENTER
    PO BOX 216
    SHARON,VT05065     		  PC MATCHING GIFT PROGRAM 100
    SHARON CONGREGATIONAL CHURCH
    PO BOX 42
    SHARON,VT05065     		  PC MATCHING GIFT PROGRAM 100
    SOUND BEACH VOLUNTEER SVS
    207 SOUND BEACH AVENUE
    OLD GREENWICH,CT06870     		  PC MATCHING GIFT PROGRAM 200
    SOUTHERN POVERTY LAW
    400 WASHINGTON AVENUE
    MONTGOMERY,AL36104     		  PC MATCHING GIFT PROGRAM 50
    ST JUDE CHILDREN'S HOSPITAL
    PO BOX 187
    MEMPJIS,TN38101     		  PC MATCHING GIFT PROGRAM 200
    ST PATRICK'S CATHEDRAL
    460 MADISON AVENUE
    NEW YORK,NY10001     		  PC MATCHING GIFT PROGRAM 100
    ST FRANCIS OF ASSISI
    29 NORTHGATE DRIVE
    GREENLAWN,NY11740     		  PC MATCHING GIFT PROGRAM 1,440
    ST GEORGE'S SCHOOL
    PO BOX 1910
    NEWPORT,RI02840     		  PC MATCHING GIFT PROGRAM 2,000
    ST HILDA'S SCHOOL
    619 WEST 144TH STREET
    NEW YORK,NY17995     		  PC MATCHING GIFT PROGRAM 1,000
    ST PAUL'S SCHOOL
    11152 FALLS ROAD
    BROOKLANDVILLE,MD21022     		  PC MATCHING GIFT PROGRAM 10,000
    STRAFFORD HISTORICAL SOCIETY
    PO BOX 100
    STRAFFORD,VT05072     		  PC MATCHING GIFT PROGRAM 50
    SUFFIELD ACADEMY
    185 N MAIN STREET
    SUFFIELD,CT06078     		  PC MATCHING GIFT PROGRAM 2,000
    SWIM ACROSS AMERICA
    11600 N COMMUNITY HOUSE ROAD
    CHARLOTTE,NC28277     		  PC MATCHING GIFT PROGRAM 200
    TANISHA FAZAL
    100 HESBURGH CENTER FOR INTERNATION
    L STUDIES
    NOTRE DAME,IN46556     		  PC MILITARY MEDICINE AND THE CHANGING COSTS OF WAR 40,000
    THE PENNINGTON SCHOOL
    112 W DELAWARE AVE
    PENNINGTON,NJ08534     		  PC MATCHING GIFT PROGRAM 3,000
    THE SOLOMON R GUGGENHEIM MUSEUM
    1071 FIFTH AVENUE
    NEW YORK,NY10128     		  PC GENERAL SUPPORT 15,000
    THIRTEEN
    450 WEST 33RD STREET
    NEW YORK,NY10001     		  PC MATCHING GIFT PROGRAM 120
    TRENTON CHILDREN'S CHORUS
    471 PARKWAY AVENUE
    TRENTON,NJ08618     		  PC MATCHING GIFT PROGRAM 250
    TRINITY COLLEGE
    300 SUMMIT STREET
    HARTFORD,CT06106     		  PC MATCHING GIFT PROGRAM 1,000
    UNITED WORLD COLLEGES - USA
    STATE RTE 65
    MONTEZUMA,NM87731     		  PC MATCHING GIFT PROGRAM 2,000
    VERA INSTITUTE
    233 BROADWAY 12TH FLOOR
    NEW YORK,NY10279     		  PC GENERAL SUPPORT 2,500
    VERMONT FOOD BANK
    33 PARKER ROAD
    BARRE,VT05641     		  PC MATCHING GIFT PROGRAM 480
    VERMONT PUBLIC RADIO
    365 TROY AVENUE
    COLCHESTER,VT05446     		  PC MATCHING GIFT PROGRAM 240
    VERMONTS ART COUNCIL
    136 STATE STREET
    MONTPELIER,VT05602     		  PC MATCHING GIFT PROGRAM 200
    VPIRG
    141 MAIN STREET
    MONTPELIER,VT05602     		  PC MATCHING GIFT PROGRAM 60
    WELLESLEY COLLEGE
    106 CENTRAL STREET
    WELLESLEY,MA02481     		  PC MATCHING GIFT PROGRAM 500
    WESTPORT RIVER WATERSHED
    1151 MAIN ROAD
    WESTPORT,MA02790     		  PC MATCHING GIFT PROGRAM 200
    WHITE RIVER PARTNERSHIP
    PO BOX 705
    S ROYALTON,VT05068     		  PC MATCHING GIFT PROGRAM 150
    WINTER CENTER FOR INDIGENOUS TRADITIONS
    PO BOX 328
    HANOVER,NH03755     		  PC MATCHING GIFT PROGRAM 300
    WOMAN'S CLUB OF GREENWICH
    89 MAPLE AVENUE
    GREENWICH,CT06830     		  PC MATCHING GIFT PROGRAM 400
    WORLD WILDLIFE FUND
    PO BOX 96555
    WASHINGTON,DC20077     		  PC MATCHING GIFT PROGRAM 100
    WOUNDED WARRIOR PROJECT
    PO BOX 758540
    TOPEKA,KS66675     		  PC MATCHING GIFT PROGRAM 400
    Total .................................bullet 3a 953,295
    bApproved for future payment
    ADRIENNE LEBAS
    AMERICAN UNIVERSITY 4400 MASSACHUSE
    TS AVE
    WASHINGON,DC20016     		NONE I THE LOCAL ORGANIZATION OF ELECTORAL VIOLENCE IN AFRICA 12,000
    ARON LUND
    THE CENTURY FOUNDATION ONE
    WHITEHALL STREET 15TH FLOOR
    NEW YORK,NY10004     		NONE I INSURGENT FRAGMENTATION AND STATE ATTACHMENT IN THE SYRIAN CIVIL WAR 45,000
    CHARLES ANDERSON
    104 S GARDEN ST
    BELLINGHAM,WA98225     		NONE I IN SEARCH OF POPULAR SOVEREIGNTY: BRITISH RULE AND THE GREAT REVOLT IN PALESTINA 48,335
    CRISELDA YABES
    UNIT 5E MEDINA BUILDING
    QUEZON CITY,NATIONAL CAPITAL  
    RP     		NONE I TO LIVE AND DIE IN TAZMAMART: AGGRESSION, SOCIAL CAPITAL, AND SURVIVAL IN A MOROCCAN DETENTION CAMP, 1973-1991 14,250
    DAVID BROTHERTON JOHN JAY COLLEGE
    524 59TH STREET
    NEW YORK,NY10019     		NONE I VIOLENCE REDUCTION AND SOCIAL INCLUSION IN ECUADOR 42,240
    DAVID WILDERMUTH
    616 GLENN ST
    SHIPPENSBURG,PA17257     		NONE I ORDINARY SOLDIERS? A CASE STUDY OF THE NAZI-SOVIET WAR OF ANNIHILATION 41,775
    JENNIFER SKEEM
    120 HAVILAND HALL
    BERKELEY,CA94720     		NONE I TARGETING INSTITUTIONAL RISK FACTORS TO REDUCE PATIENT VIOLENCE 41,054
    ERIN KINNALLY
    UNIVERSITY OF CALIFORNIA ONE
    SHIELDS AVENUE
    DAVIS,CA95616     		  I EPIGENETIC DISRUPTION OF THE CYCLE OF VIOLENCE IN RHESUS MACAQUES 40,000
    MARK GROSS
    5039 LARCHWOOD AVE
    PHILADELPHIA,PA19143     		NONE I PREDICTING COMMUNITY VIOLENCE: USING LONGITUDINAL NEIGHBORHOOD DATA TO FORECAST VIGILANTE AND XENOPHOBIC VIOLENCE IN URBAN SOUTH AFRICA 20,474
    MOLLY PUCCI
    14 FERNLEY COURT
    LONG LANE,DUBLIN  
    EI     		NONE I THE CZECHOSLOVAK ARMS INDUSTRY AND THE CHANGING FACE OF GLOBAL WARFARE, 1859-1989 36,850
    NICOLE FOX
    5 MORAGA DRIVE
    CHICO,CA95926     		NONE I RISISTING GENOCIDAL VIOLENCE 40,000
    SIDDHARTH CHANDRA
    MICHIGAN STATE UNIVERSITY 427 NORTH
    SHAW LANE
    EAST LANSING,MI20016     		NONE I GEOGRAPHIC PERSPECTIVES ON THE INDONESIAN KILLINGS OF 1965-66 IN CENTRAL AND EAST JAVA 30,615
    WILLIAM CARRIGAN
    609 NEW YORK ROAD
    GLASSBORO,NJ08028     		NONE I FOREIGN-BORN VICTIMS OF MOB VIOLENCE AND THE DECLINE OF LYNCHING IN THE UNITED STATES 17,793
    YOLANDA PRINGLE
    40 KINGS ROAD
    HITCHIN,HERTFORDSHIRE  
    UK     		NONE I POLITICAL VIOLENCE AND MENTAL HEALTH IN AFRICA, 1970S-90S 24,405
    Total .................................bullet 3b 454,791
    Form 990-PF (2018)
    Form 990-PF (2018)
    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 ...........     		         
    4 Dividends and interest from securities....     14 953,522  
    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..... 900000 5,296 14 441,466  
    8 Gain or (loss) from sales of assets other than
    inventory ............     		    18 -358,555  
    9 Net income or (loss) from special events:          
    10 Gross profit or (loss) from sales of inventory          
    11 Other revenue:
    aGRANT REFUND     		  0   0 120,278
    b
    c
    d
    e
    12 Subtotal. Add columns (b), (d), and (e).. 5,296 1,036,433 120,278
    13Total. Add line 12, columns (b), (d), and (e)..................
    13
    1,162,007
    (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.)
    A THE AMOUNT SHOWN IN COLUMN A, REPRESENTS A GRANT REFUND.
    Form 990-PF (2018)
    Form 990-PF (2018)
    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 (2018)
    Additional Data


    Software ID:  
    Software Version:  


    Form 990PF - Special Condition Description:
    Special Condition Description

    TY 2018 AccountingFeesSchedule
    Name:
    THE HARRY FRANK GUGGENHEIM FOUNDATION
    EIN:
    13-6043471
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    MARKS PANETH LLP 35,538 17,769 0 17,769

    TY 2018 InvestmentsGovtObligationsSch
    Name:
    THE HARRY FRANK GUGGENHEIM FOUNDATION
    EIN:
    13-6043471
    US Government Securities - End of Year Book Value:

    8,360,861
    US Government Securities - End of Year Fair Market Value:

    8,360,861
    State & Local Government Securities - End of Year Book Value:


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


    0


    TY 2018 InvestmentsOtherSchedule2
    Name:
    THE HARRY FRANK GUGGENHEIM FOUNDATION
    EIN:
    13-6043471
    Category/ Item Listed at Cost or FMV Book Value End of Year Fair Market Value
    AG REALTY FMV 330,105 330,105
    AKO FMV 1,920,165 1,920,165
    ALTIMETER FMV 2,841,952 2,841,952
    ASCENT INDIA FMV 324,117 324,117
    CAR VAL FMV 81,395 81,395
    CHILDREN'S FMV 2,525,578 2,525,578
    DE SHAW FMV 3,711,578 3,711,578
    HC CAPITAL COMMODITIES FMV 868,770 868,770
    HC CAPITAL INTERNATIONAL FMV 9,219,352 9,219,352
    HC CAPITAL LARGE CAP FMV 4,643,567 4,643,567
    HC CAPITAL LARGE CAP GROWTH FMV 5,696,430 5,696,430
    HC CAPITAL SMALL CAP FMV 564,998 564,998
    HIRTLE CAPITAL EMERGING MARKETS FMV 4,629,889 4,629,889
    JPM POOLED COR FN CL B LLC 15% FMV 1,681 1,681
    JPM POOLED VC CL B LLC 64% FMV 29,000 29,000
    LEGACY FMV 970,528 970,528
    LEGACY VI FMV 1,683,708 1,683,708
    LEGACY VII FMV 1,328,518 1,328,518
    LEGACY VIII FMV 513,743 513,743
    NEUHAUS FMV 307,080 307,080
    NEWSTONE FMV 181,718 181,718
    SILVERLAKE FMV 143,554 143,554
    STRATUS FEEDER FMV 2,475,309 2,475,309
    TACONIC FMV 544,229 544,229
    TWO SIGMA FMV 1,643,869 1,643,869
    LEGACY VENTURE IX FMV 28,267 28,267
    SILVERLAKE V FMV 295,898 295,898
    HC REAL ESTATE FMV 198,541 198,541
    STRAUSS FUND LIMITED FMV 405,282 405,282

    TY 2018 LegalFeesSchedule
    Name:
    THE HARRY FRANK GUGGENHEIM FOUNDATION
    EIN:
    13-6043471
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    CLEARY GOTTLIEB STEEN & HAMILTON LLP 5,213 0 0 5,213
    EWENSTEIN & ROTH LLP 18,279 0 0 18,279
    HARRIS BEACH PLC 10,000 0 0 10,000
    LITMAN & JACOBS 5,000 0 0 5,000
    LITTLER MENDELSON, P.C. 4,438 0 0 4,438
    MARTIN FLEISHER, JD PC 1,500 0 0 1,500


    TY 2018 OtherDecreasesSchedule
    Name:
    THE HARRY FRANK GUGGENHEIM FOUNDATION
    EIN:
    13-6043471
    Description Amount
    UNREALIZED DEPRECIATION IN MARKET VALUE OF INVESTMENTS 1,606,725


    TY 2018 OtherExpensesSchedule
    Name:
    THE HARRY FRANK GUGGENHEIM FOUNDATION
    EIN:
    13-6043471
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    INSURANCE 8,618 862 862 7,756
    REPAIRS & MAINTENANCE 875 88 88 787
    SERVICE CONTRACTS 1,421 0 0 1,421
    OFFICE EXPENSE 53,748 5,375 5,375 48,373
    MISCELLANEOUS 8,531 853 853 7,679


    TY 2018 OtherIncomeSchedule2
    Name:
    THE HARRY FRANK GUGGENHEIM FOUNDATION
    EIN:
    13-6043471
    Description Revenue And Expenses Per Books Net Investment Income Adjusted Net Income
    INCOME PER K-1'S 441,466 -27,995 -22,699
    UBIT INCOME PER K-1'S 5,296 0 0
    GRANT REFUND 120,278   0


    TY 2018 OtherProfessionalFeesSchedule
    Name:
    THE HARRY FRANK GUGGENHEIM FOUNDATION
    EIN:
    13-6043471
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    ADVERTISING 14,000 0 0 14,000
    COMPUTER CONSULTING 20,996 0 0 20,996
    HIRTLE CALLAGHAN 255,999 255,999 255,999 0
    OTHER PROFESSIONAL FEES 70,918 0 0 70,918
    SILVERLAKE 11,846 11,846 11,846 0
    TACTONIC 984 984 984 0
    CONWAY-CIR 58,413 58,413 58,413 0


    TY 2018 TaxesSchedule
    Name:
    THE HARRY FRANK GUGGENHEIM FOUNDATION
    EIN:
    13-6043471
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    NYS UNRELATED BUSINESS TAX 2,862 0 0 0
    FEDERAL EXCISE TAX 62,772 0 0 0