Form990-PF
Click to see attachment

Department of the Treasury
Internal Revenue Service

Return of Private Foundation
or Section 4947(a)(1) Trust Treated as Private Foundation
bulletDo not enter social security numbers on this form as it may be made public.
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 07-01-2017 , and ending 06-30-2018
Name of foundation
ROCKEFELLER ARCHIVE CENTER
 
Number and street (or P.O. box number if mail is not delivered to street address)15 DAYTON AVENUE
  Room/suite
City or town, state or province, country, and ZIP or foreign postal code
SLEEPY HOLLOW, NY10591
A Employer identification number

20-8030810
B Telephone number (see instructions)

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

D 1. 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$139,980,708J 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) 2,190,741
2 Check bullet.............
3 Interest on savings and temporary cash investments 40,217 40,217 40,217
4 Dividends and interest from securities... 6,001,048 6,001,048 6,001,048
5a Gross rents............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10  
b Gross sales price for all assets on line 6a  
7 Capital gain net income (from Part IV, line 2)... 0
8 Net short-term capital gain......... 0
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 22,806 0 22,806
12 Total. Add lines 1 through 11........ 8,254,812 6,041,265 6,064,071
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc. 441,631 0 0 398,133
14 Other employee salaries and wages...... 2,785,069 0 0 2,711,978
15 Pension plans, employee benefits....... 1,253,066 0 0 1,187,337
16a Legal fees (attach schedule)......... Click to see attachment 2,414 0 0 0
b Accounting fees (attach schedule)....... Click to see attachment 59,620 0 0 0
c Other professional fees (attach schedule).... Click to see attachment 742,755 579,587 579,587 162,226
17 Interest...............        
18 Taxes (attach schedule) (see instructions)... Click to see attachment 118,000 0 118,000 0
19 Depreciation (attach schedule) and depletion... Click to see attachment 632,148 0 0
20 Occupancy.............. 1,156,768 0 0 955,631
21 Travel, conferences, and meetings....... 219,628 0 0 223,577
22 Printing and publications.......... 2,166 0 0 2,166
23 Other expenses (attach schedule)....... Click to see attachment 346,762 0 0 346,249
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 7,760,027 579,587 697,587 5,987,297
25 Contributions, gifts, grants paid....... 110,349 110,467
26 Total expenses and disbursements. Add lines 24 and 25 7,870,376 579,587 697,587 6,097,764
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements 384,436
b Net investment income (if negative, enter -0-) 5,461,678
c Adjusted net income (if negative, enter -0-)... 5,366,484
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............. 85,592 141,513 141,513
2 Savings and temporary cash investments......... 2,308,205 2,408,095 2,408,095
3 Accounts receivable bullet1,823
Less: allowance for doubtful accounts bullet   1,426 1,823 1,823
4 Pledges receivable bullet  
Less: allowance for doubtful accounts bullet        
5 Grants receivable................. 13,500 104,174 104,174
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.......... 16,423 13,864 13,864
10a Investments—U.S. and state government obligations (attach schedule)      
b Investments—corporate stock (attach schedule).......      
c Investments—corporate bonds (attach schedule).......      
11 Investments—land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
12 Investments—mortgage loans.............      
13 Investments—other (attach schedule).......... 110,754,459 Click to see attachment117,192,008 117,192,008
14 Land, buildings, and equipment: basis bullet22,584,122
Less: accumulated depreciation (attach schedule) bullet5,111,871 17,775,064 Click to see attachment17,472,251 17,472,251
15 Other assets (describe bullet) Click to see attachment2,646,980 Click to see attachment2,646,980 Click to see attachment2,646,980
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 133,601,649 139,980,708 139,980,708
Liabilities 17 Accounts payable and accrued expenses.......... 789,815 740,521
18 Grants payable.................    
19 Deferred revenue................. 2,599,212 2,329,162
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)......... 3,389,027 3,069,683
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    
29 Total net assets or fund balances (see instructions)..... 130,212,622 136,911,025
30 Total liabilities and net assets/fund balances (see instructions). 133,601,649 139,980,708
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
130,212,622
2
Enter amount from Part I, line 27a .....................
2
384,436
3
Other increases not included in line 2 (itemize) bulletClick to see attachment
3
6,314,072
4
Add lines 1, 2, and 3 ..........................
4
136,911,130
5
Decreases not included in line 2 (itemize) bulletClick to see attachment
5
105
6
Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 29 .
6
136,911,025
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.)
1a
b
c
d
e
(e)
Gross sales price 		(f)
Depreciation allowed
(or allowable) 		(g)
Cost or other basis
plus expense of sale 		(h)
Gain or (loss)
(e) plus (f) minus (g)
a
b
c
d
e
Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69 (l)
Gains (Col. (h) gain minus
col. (k), but not less than -0-) or
Losses (from col.(h))
(i)
F.M.V. as of 12/31/69 		(j)
Adjusted basis
as of 12/31/69 		(k)
Excess of col. (i)
over col. (j), if any
a
b
c
d
e
2 Capital gain net income or (net capital loss) Bracket If gain, also enter in Part I, line 7
If (loss), enter -0- in Part I, line 7		 Bracket 2  
3 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6):
If gain, also enter in Part I, line 8, column (c) (see instructions). If (loss), enter -0-
in Part I, line 8 ................... 		Bracket 3  
Part V
Qualification Under Section 4940(e) for Reduced Tax on Net Investment Income
(For optional use by domestic private foundations subject to the section 4940(a) tax on net investment income.)

If section 4940(d)(2) applies, leave this part blank.
Was the foundation liable for the section 4942 tax on the distributable amount of any year in the base period?
If "Yes," the foundation does not qualify under section 4940(e). Do not complete this part.
1 Enter the appropriate amount in each column for each year; see 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 5,810,432 108,863,296 0.053374
2017 5,697,452 105,739,032 0.053882
2016 5,900,257 109,329,567 0.053968
2015 5,211,178 103,050,131 0.050569
2014 5,619,896 94,509,928 0.059464
2
Total of line 1, column (d) .....................
2
0.271257
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
0.054251
4
Enter the net value of noncharitable-use assets for 2019 from Part X, line 5......
4
116,296,166
5
Multiply line 4 by line 3......................
5
6,309,183
6
Enter 1% of net investment income (1% of Part I, line 27b)...........
6
54,617
7
Add lines 5 and 6........................
7
6,363,800
8
Enter qualifying distributions from Part XII, line 4,.............
8
6,254,800
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 1 109,234
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........................... 3 109,234
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- ..... 5 109,234
6 Credits/Payments:
a 2019 estimated tax payments and 2018 overpayment credited to 2019 6a 125,774
b Exempt foreign organizations—tax withheld at source...... 6b
c Tax paid with application for extension of time to file (Form 8868)... 6c 30,000
d Backup withholding erroneously withheld ........... 6d 0
7 Total credits and payments. Add lines 6a through 6d.............. 7 155,774
8 Enter any penalty for underpayment of estimated tax. Check here if Form 2220 is attached. 8 7
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 46,533
11 Enter the amount of line 10 to be: Credited to 2020 estimated taxBullet46,533 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
 
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
     
    No
    7
    Did the foundation have at least $5,000 in assets at any time during the year? If "Yes," complete Part II, col. (c),
    and Part XV..................................
    7
    Yes
     
    8a
    Enter the states to which the foundation reports or with which it is registered (see instructions)
    bulletNY
    b
    If the answer is "Yes" to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney
    General (or designate) of each state as required by General Instruction G? If "No," attach explanation .
    8b
    Yes
     
    9
    Is the foundation claiming status as a private operating foundation within the meaning of section 4942(j)(3)
    or 4942(j)(5) for calendar year 2019 or the taxable year beginning in 2019? 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 (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 addressbulletWWW.ROCKARCH.ORG
    14
    The books are in care ofbulletCAMELIA MURESAN Telephone no.bullet (914) 366-6370

    Located atbullet15 DAYTON AVENUESLEEPY HOLLOWNY ZIP+4bullet10591
    15
    Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041 —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
    JACK MEYERS PRESIDENT
    35.00     		279,087 86,015 0
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    JAMES A SMITH VICE-PRESIDENT
    21.00     		162,544 36,747 0
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    NEIL RUDENSTINE CHAIR
    1.00     		0 0 0
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    STEPHEN HEINTZ TRUSTEE
    1.00     		0 0 0
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    IRA KATZNELSON TRUSTEE
    1.00     		0 0 0
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    RICHARD LIFTON TRUSTEE
    1.00     		0 0 0
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    DAVID ROCKEFELLER JR TRUSTEE
    1.00     		0 0 0
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    RAJIV SHAH TRUSTEE
    1.00     		0 0 0
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    MEGAN SNIFFIN-MARINOFF TRUSTEE
    1.00     		0 0 0
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    2 Compensation of five highest-paid employees (other than those included on line 1—see instructions). If none, enter “NONE."
    (a) Name and address of each employee paid more than $50,000 (b) Title, and average
    hours per week
    devoted to position     		(c) Compensation (d) Contributions to
    employee benefit
    plans and deferred
    compensation     		(e) Expense account,
    other allowances
    ROBERT W CLARK DIRECTOR OF ARCHIVES
    35.00     		159,135 27,716 0
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    LEE R HILTZIK ASSISTANT DIRECTOR
    35.00     		104,742 50,139 0
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    CAMELIA MURESAN ACCOUNTING MANAGER
    35.00     		99,300 40,743 0
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    MICHELE J BECKERMAN ASSISTANT DIRECTOR
    35.00     		100,814 36,797 0
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    ROBERT BATTALY ASSISTANT DIRECTOR
    35.00     		100,814 20,146 0
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    Total number of other employees paid over $50,000...................bullet 27
    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
    THE ROCKEFELLER UNIVERSITY FINANCIAL SERVICES 579,587
    1230 YORK AVENUE
    NEW YORK,NY10065
    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 ARCHIVAL PROGRAM - THE ROCKEFELLER ARCHIVE CENTER IS AN INDEPENDENT OPERATING FOUNDATION THAT PRESERVES AND MAKES AVAILABLE FOR RESEARCH THE ARCHIVAL COLLECTIONS OF MEMBERS OF THE ROCKEFELLER FAMILY, INSTITUTIONS AND ORGANIZATIONS FOUNDED BY ROCKEFELLER FAMILY MEMBERS (INCLUDING THE ROCKEFELLER FOUNDATION, ROCKEFELLER BROTHERS FUND, WINTHROP ROCKEFELLER FOUNDATION, GENERAL EDUCATION BOARD, ROCKEFELLER UNIVERSITY, POPULATION COUNCIL, ASIA SOCIETY, AND MANY OTHER ORGANIZATIONS) AND THE RECORDS OF OTHER PHILANTHROPIC AND SERVICE ORGANIZATIONS SUCH AS THE FORD FOUNDATION, THE COMMONWEALTH FUND, RUSSELL SAGE FOUNDATION, W.T. GRANT FOUNDATION, MARKLE FOUNDATION, THE SOCIAL SCIENCE RESEARCH COUNCIL AND THE FOUNDATION CENTER. THE CENTER ALSO HOLDS EXTENSIVE COLLECTIONS OF THE PERSONAL PAPERS OF TRUSTEES, OFFICERS, FACULTY AND ASSOCIATES WHO WERE AFFILIATED WITH THESE INSTITUTIONS.CONTINUED - SEE SCHEDULE ATTACHED 6,059,880
    2 RESEARCH & EDUCATION - THE RESEARCH AND EDUCATION DEPARTMENT OVERSEES MANY OF THE EXTERNAL PROGRAMS OF THE ROCKEFELLER ARCHIVE CENTER. IT ADMINISTERS A COMPETITIVE PROGRAM THAT AWARDS 40 TO 50 TRAVEL REIMBURSEMENT EACH YEAR TO GRADUATE STUDENTS, FACULTY MEMBERS, AND INDEPENDENT SCHOLARS. IT ORGANIZES AND HOSTS SEVERAL WORKSHOPS AND CONFERENCES EACH YEAR. STAFF MEMBERS ON THE RESEARCH AND EDUCATION TEAM EDIT AND PUBLISH A SERIES OF RESEARCH REPORTS DESCRIBING SCHOLARLY WORK AT THE RAC, A PUBLISHING PROGRAM THAT IS NOW PRIMARILY ELECTRONIC AND WEB-BASED.CONTINUED - SEE SCHEDULE ATTACHED 487,347
    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 (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
    115,031,091
    b
    Average of monthly cash balances.......................
    1b
    3,036,083
    c
    Fair market value of all other assets (see instructions)................
    1c
    0
    d
    Total (add lines 1a, b, and c).........................
    1d
    118,067,174
    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
    118,067,174
    4
    Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
    instructions) .............................
    4
    1,771,008
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
    116,296,166
    6
    Minimum investment return. Enter 5% of line 5..................
    6
    5,814,808
    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
     
    2a
    Tax on investment income for 2019 from Part VI, line 5......
    2a
     
    b
    Income tax for 2019. (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
    6,097,764
    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
    157,036
    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
    6,254,800
    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
    6,254,800
    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  
    2 Undistributed income, if any, as of the end of 2019:
    a Enter amount for 2018 only.......  
    b Total for prior years:20, 20, 20  
    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$  
    a Applied to 2018, 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 2019 distributable amount.....  
    e Remaining amount distributed out of corpus  
    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  
    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 ..........     		 
    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 ......     		 
    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....  
    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
    2006-06-20
    b Check box to indicate whether the organization is a private operating foundation described in section or
    2a Enter the lesser of the adjusted net
    income from Part I or the minimum
    investment return from Part X for each
    year listed ..........     		Tax year Prior 3 years (e) Total
    (a) 2019 (b) 2018 (c) 2017 (d) 2016
    5,366,484 5,312,224 5,286,952 5,204,580 21,170,240
    b 85% of line 2a ......... 4,561,511 4,515,390 4,493,909 4,423,893 17,994,704
    c Qualifying distributions from Part XII,
    line 4 for each year listed .....     		6,254,800 5,810,432 5,697,452 5,900,257 23,662,941
    d Amounts included in line 2c not used directly
    for active conduct of exempt activities ..........     		0 0 0 0 0
    e Qualifying distributions made directly
    for active conduct of exempt activities.
    Subtract line 2d from line 2c ....     		6,254,800 5,810,432 5,697,452 5,900,257 23,662,941
    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...     		3,876,539 3,628,777 3,524,635 3,644,319 14,674,270
    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:
    NORINE HOCHMAN ADMINISTRATOR
    15 DAYTON AVENUE
    SLEEPY HOLLOW,NY10591
    (914) 366-6309
    RACGRANTS@ROCKARCH.ORG
    bThe form in which applications should be submitted and information and materials they should include:
    APPLICANTS COMPLETE A FOUR-PAGE FORM AND MAIL IT TO THE ADDRESS PROVIDED ABOVE. APPLICANTS MAY ALSO E-MAIL AN APPLICATION TO RACGRANTS@ROCKARCH.ORG.
    cAny submission deadlines:
    NOVEMBER 15TH OF EACH CALENDAR YEAR.
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    AWARDS ARE MADE TO INDIVIDUALS. INSTITUTIONS ARE NOT ELIGIBLE TO APPLY. THE REIMBURSEMENT DOES NOT SUPPORT RESEARCH AT OTHER INSTITUTIONS, AND IT DOES NOT PROVIDE GENERAL TUITION SUPPORT. APPLICATION TO THE PROGRAM IS OPEN TO U.S. CITIZENS AND CITIZENS OF FOREIGN COUNTRIES. CERTAIN U.S. GOVERNMENT REQUIREMENTS WILL APPLY TO NON-U.S. CITIZENS.
    Form 990-PF (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
    LUKAS ENGELMANN
    41 RIVER LANE
    BAMCRIDGE   CB5 8HP
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL 2,835
    PETER L MILLWOOD
    FLAT 1 HAYES COURT CAMBERWELL NEW
    ROAD
    LONDON   SE5 0TQ
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL 5,000
    FEDERICO PACHETTI
    1 QUEENS ROAD
    CENTRAL HONG KONG    
    HK     		NONE NONE REIMBURSEMENT OF TRAVEL 3,785
    SABRINA SHAFIQUE
    2333 RIDGE CT APT 9
    LAWRENCE,KS66046     		NONE NONE REIMBURSEMENT OF TRAVEL 1,500
    TILL GREITE
    GROSSGORSCHENSTR 5
    BERLIN   10827
    GM     		NONE NONE REIMBURSEMENT OF TRAVEL 2,572
    MOLLY GEIDEL
    22 SALISBURY RD
    MANCHESTER   M21 OSL
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL 2,299
    NIKA GRABAR
    HRVATSKI TRG 2
    LIUBLJIANA   1000
    SI     		NONE NONE REIMBURSEMENT OF TRAVEL 3,500
    DIANE M SANDERS
    PO BOX 262
    EAGLE,CO81631     		NONE NONE REIMBURSEMENT OF TRAVEL 1,427
    NATALIA MARIA GUTIERREZ URGUIJO
    TZINAL 347 HEROES DE PADIERNA
    CIUDAD DE MEXICO   14200
    MX     		NONE NONE REIMBURSEMENT OF TRAVEL 2,881
    JACQUELINE LECKIE
    36 HUIA STREET
    ST LEONARDS DUNEDIN   9022
    NZ     		NONE NONE REIMBURSEMENT OF TRAVEL 3,821
    BARRY DOYLE
    18 CAVENDISH COURT
    SLINGSBY YORK   YO624BN
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL 2,244
    KAZUSHI MINAMI
    2501 LAKE AUSTIN BLVD APT K108
    AUSTIN,TX78703     		NONE NONE REIMBURSEMENT OF TRAVEL 4,703
    NIKKI MOORE
    3412 CHARLOTTE ROSE DRIVE
    AUSTIN,TX78704     		NONE NONE REIMBURSEMENT OF TRAVEL 2,381
    JULIA FOULKES
    202 ST MARKS AVENUE 3
    BROOKLYN,NY11238     		NONE NONE REIMBURSEMENT OF TRAVEL 2,000
    NICOLAS GUILHOT
    343 GOLD STREET 2802
    BROOKLYN,NY11201     		NONE NONE REIMBURSEMENT OF TRAVEL 2,000
    DAVID HAMMACK
    14206 S WOODLAND RD
    SHAKER HEIGHTS,OH441202451     		NONE NONE REIMBURSEMENT OF TRAVEL 2,000
    DAVID HAMMACK
    14206 S WOODLAND RD
    SHAKER HEIGHTS,OH441202451     		NONE NONE REIMBURSEMENT OF TRAVEL 1,184
    HEIDI MOREFIELD
    2308 MT VERNON AVE 123
    ALEXANDRIA,VA22301     		NONE NONE REIMBURSEMENT OF TRAVEL 1,593
    DEEPA RAMASWAMY
    1 HARDING ST UNIT 1
    CAMBRIDGE,MA02141     		NONE NONE REIMBURSEMENT OF TRAVEL 698
    LAETITIA LENEL
    WELSERSTR 11
    BERLIN   D-10777
    GM     		NONE NONE REIMBURSEMENT OF TRAVEL 2,323
    MOLLY GEIDEL
    22 SALISBURY RD
    MANCHESTER   M21 OSL
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL 1,388
    GAURAV C GARG
    2375 132ND AVE SE
    BELLEVUE,WA98005     		NONE NONE REIMBURSEMENT OF TRAVEL 5,000
    WILLIAM BUXTON
    1415 RUE DE LONGUEUIL
    QUEBEC,QUEBECG1S 2G2
    CA     		NONE NONE REIMBURSEMENT OF TRAVEL 1,500
    CLARE KIM
    14 CONCORD AVE APT 416
    CAMBRIDGE,MA02138     		NONE NONE REIMBURSEMENT OF TRAVEL 1,125
    SAMUEL KLUG
    23 SIDNEY STREET APT 103
    CAMBRIDGE,MA02138     		NONE NONE REIMBURSEMENT OF TRAVEL 931
    LAUREN KAPSALAKIS
    50 CHARLESGATE E APT 196
    BOSTON,MA02215     		NONE NONE REIMBURSEMENT OF TRAVEL 1,225
    JOSEPH MALHEREK
    336 CENTER AVE NORTH
    BLOOMING PRAIRIE,MN55917     		NONE NONE REIMBURSEMENT OF TRAVEL 4,139
    KATHRYN WATAHA
    1282 BOYLSTON ST APT 1007
    BOSTON,MA02215     		NONE NONE REIMBURSEMENT OF TRAVEL 2,228
    JOANNE LAYCOCK
    129 ROSEBERY ST
    MANCHESTER   M14 4UU
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL 2,075
    LAURA MARIA LOSS SCHWARZ
    326 KIPLING BLVD
    LANSING,MI48912     		NONE NONE REIMBURSEMENT OF TRAVEL 4,777
    ALMA IGRA
    500 WEST 122 STREET APT 6D
    NEW YORK,NY10027     		NONE NONE REIMBURSEMENT OF TRAVEL 357
    ZHEN CHENG
    CENTER FOR THE HISTORY OF MEDICINE
    38 XEUYUSN RD
    HAIDIAN DISTRICT BEIJING   100191
    CH     		NONE NONE REIMBURSEMENT OF TRAVEL 3,558
    WILLIAM DE JONG-LAMBERT
    185 CLAREMONT AVE APT 5J
    NEW YORK,NY10027     		NONE NONE REIMBURSEMENT OF TRAVEL 105
    AARON ROM O MORALINA
    1040 CATHERWOOD CT
    WEST LAFAYETTE,IN47906     		NONE NONE REIMBURSEMENT OF TRAVEL 4,000
    ANNA HOLDORF
    750 TRAVERS CIRCLE
    MISHAWAKA,IN46545     		NONE NONE REIMBURSEMENT OF TRAVEL 2,000
    LIPING BU
    123 WEST DOWNIE STREET
    ALMA,MI488011618     		NONE NONE REIMBURSEMENT OF TRAVEL 1,988
    ALIKI ECONOMIDES
    1349 AVENUE DUCHARME
    MONTREAL,QUEBECH2V 1E7
    CA     		NONE NONE REIMBURSEMENT OF TRAVEL 2,359
    AMMA QAYYUM
    10101 GROSVENOR PLACE APT 1906
    NORTH BETHESDA,MD20852     		NONE NONE REIMBURSEMENT OF TRAVEL 2,906
    CHANELLE ROSE
    8 AUTUMN RIDGE DRIVE
    GLASSBORO,NJ08028     		NONE NONE REIMBURSEMENT OF TRAVEL 1,442
    MICHAEL UY
    DUNSTER HOUSE 945 MEMORIAL DRIVE
    CAMBRIDGE,MA02138     		NONE NONE REIMBURSEMENT OF TRAVEL 3,000
    CARLOS EDUARDO SUPRINYAK
    RUA PAULO SIMONI 167/301 BELO
    HORIZONTE
    MINAS GERAIS   30330-190
    BR     		NONE NONE REIMBURSEMENT OF TRAVEL 3,000
    HILLARY JEAN SEBENY
    1704 KAMAMALU AVENUE APT A
    HONOLULU,HI96813     		NONE NONE REIMBURSEMENT OF TRAVEL 1,500
    BEN OFFILER
    21 SPITFIRE ROAD
    CASTLE DININGTON   DE74 2AP
    UK     		NONE NONE REIMBURSEMENT OF TRAVEL 4,000
    SUJATA MUKHERJEE
    SOUTH CITY GARDEN TOWER 5 FLAT 10B
    61 B L SAHA ROAD
    KOLKATA WEST BENGAL    
    IN     		NONE NONE REIMBURSEMENT OF TRAVEL 5,000
    Total .................................bullet 3a 110,349
    bApproved for future payment
    Total .................................bullet 3b 0
    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
    aCOPY SERVICE FOR RESEARCH         22,806
    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 40,217  
    4 Dividends and interest from securities....     14 6,001,048  
    5 Net rental income or (loss) from real estate:
    aDebt-financed property......          
    bNot debt-financed property.....          
    6 Net rental income or (loss) from personal property          
    7 Other investment income.....          
    8 Gain or (loss) from sales of assets other than
    inventory ............     		         
    9 Net income or (loss) from special events:          
    10 Gross profit or (loss) from sales of inventory          
    11 Other revenue: a
    b
    c
    d
    e
    12 Subtotal. Add columns (b), (d), and (e).. 0 6,041,265 22,806
    13Total. Add line 12, columns (b), (d), and (e)..................
    13
    6,064,071
    (See worksheet in line 13 instructions to verify calculations.)
    Part XVI-B
    Relationship of Activities to the Accomplishment of Exempt Purposes
    Line No.
    DownArrow     		Explain below how each activity for which income is reported in column (e) of Part XVI-A contributed importantly to
    the accomplishment of the foundation’s exempt purposes (other than by providing funds for such purposes). (See
    instructions.)
    1A COPY SERVICE FOR RESEARCHERS WHO USE THE FACILITY AS DOCUMENTS CANNOT LEAVE THE ARCHIVE CENTER. THIS AIDS IN THEIR ABILITY TO DOCUMENT THEIR RESEARCH.
    Form 990-PF (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


    Software ID:  
    Software Version:  


    Form 990PF - Special Condition Description:
    Special Condition Description
    Schedule B
    (Form 990, 990-EZ,
    or 990-PF)
    Department of the Treasury
    Internal Revenue Service
    Schedule of Contributors

    Arrow Bullet Attach to Form 990, 990-EZ, or 990-PF.
    Arrow Bullet Go to www.irs.gov/Form990 for the latest information.
    OMB No. 1545-0047
    2019
    Name of the organization
    ROCKEFELLER ARCHIVE CENTER
     
    Employer identification number

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






    Form 990-PF




    Check if your organization is covered by the General Rule or a Special Rule.  
    Note: Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.
    General Rule
    Special Rules
    ......... Arrow Bullet $  
    Caution: An organization that isn't covered by the General Rule and/or the Special Rules doesn't file Schedule B (Form 990,
    990-EZ, or 990-PF), but it must answer “No” on Part IV, line 2, of its Form 990; or check the box on line H of its Form 990-EZ
    or on its Form 990PF, Part I, line 2, to certify that it doesn't meet the filing requirements of Schedule B (Form 990,
    990-EZ, or 990-PF).
    For Paperwork Reduction Act Notice, see the Instructions
    for Form 990, 990-EZ, or 990-PF.
    Cat. No. 30613XSchedule B (Form 990, 990-EZ, or 990-PF) (2019)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2019) Page 2
    Name of organization
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number
    20-8030810
    Part I
    Contributors
    Contributors (see instructions). Use duplicate copies of Part I if additional space is needed.
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    1
    DAVID ROCKEFELLER
     
    30 ROCKEFELLER PLAZA ROOM 5600
     
    NEW YORK, NY10112

    		$ 130,000


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    2
    THE FORD FOUNDATION
     
    320 EAST 43RD STREET
     
    NEW YORK, NY10017

    		$ 780,588


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    3
    MEMORIAL SLOAN-KETTERING CANCER CENTER
     
    1275 YORK AVENUE
     
    NEW YORK, NY10021

    		$ 29,260


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    4
    THE NEAR EAST FOUNDATION
     
    1275 YORK AVENUE
     
    NEW YORK, NY10021

    		$ 27,500


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    5
    THE ROCKEFELLER FOUNDATION
     
    420 FIFTH AVENUE
     
    NEW YORK, NY10018

    		$ 171,285


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    6
    THE ROCKEFELLER UNIVERSITY
     
    1230 YORK AVENUE
     
    NEW YORK, NY10065

    		$ 500,000


    (Complete Part II for noncash contributions.)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2019)
    Name of organization
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number
    20-8030810
    Part I
    Contributors
    Contributors (see instructions). Use duplicate copies of Part I if additional space is needed.
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    7
    RUSSELL SAGE FOUNDATION
     
    112 EAST 64TH STREET
     
    NEW YORK, NY10065

    		$ 10,000


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    8
    SOCIAL SCIENCE RESEARCH COUNCIL
     
    ONE PIERREPOINT PLAZA 15TH FL
     
    BROOKLYN, NY11201

    		$ 16,000


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    9
    THE COMMONWEALTH FUND
     
    ONE EAST 75TH STREET
     
    NEW YORK, NY10021

    		$ 180,000


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    10
    NATIONAL COMMITTEE ON USCHINA RELATIONS
     
    71 WEST 23RD STREET
     
    NEW YORK, NY10010

    		$ 10,000


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    11
    INSTITUTE OF INTERNATIONAL EDUCATION
     
    809 UNITED NATIONS PLAZA
     
    NEW YORK, NY10017

    		$ 31,944


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    12
    CHINA GLOBAL PHILANTHROPY INSTITUTE
     
    8TH FLOOR HOPSON FORTUNE PLAZA XICH
     
    BEIJING,   100088CH

    		$ 4,164


    (Complete Part II for noncash contributions.)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2019)
    Name of organization
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number
    20-8030810
    Part I
    Contributors
    Contributors (see instructions). Use duplicate copies of Part I if additional space is needed.
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    13
    THE HENRY LUCE FOUNDATION
     
    51 MADISON AVE 30TH FLOOR
     
    NEW YORK, NY10010

    		$ 300,000


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

    		$  


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

    		$  


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

    		$  


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

    		$  


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

    		$  


    (Complete Part II for noncash contributions.)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2019)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2019)
    Page 3
    Name of organization
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number

    20-8030810
    Part II
    Noncash Property (see instructions). Use duplicate copies of Part II if additional space is needed.
    (a)
    No. from Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (See instructions)     		(d)
    Date received
     
    		$    
    (a)
    No. from Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (See instructions)     		(d)
    Date received
     
    		$    
    (a)
    No. from Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (See instructions)     		(d)
    Date received
     
    		$    
    (a)
    No. from Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (See instructions)     		(d)
    Date received
     
    		$    
    (a)
    No. from Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (See instructions)     		(d)
    Date received
     
    		$    
    (a)
    No. from Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (See instructions)     		(d)
    Date received
     
    		$    
    Schedule B (Form 990, 990-EZ, or 990-PF) (2019)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2019)
    Page 4
    Name of organization
    ROCKEFELLER ARCHIVE CENTER
          		Employer identification number

    20-8030810
    Part III
    Exclusively religious, charitable, etc., contributions to organizations described in section 501(c)(7), (8), or (10) that total more than $1,000 for the year from any one contributor. Complete columns (a) through (e) and the following line entry. For organizations completing Part III, enter the total of exclusively religious, charitable, etc., contributions of $1,000 or less for the year. (Enter this information once. See instructions.) Arrow Bullet$  
    Use duplicate copies of Part III if additional space is needed.
    (a)
    No. from Part I    		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
     
    (e) Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
         
     
    (a)
    No. from Part I    		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
     
    (e) Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
         
     
    (a)
    No. from Part I    		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
     
    (e) Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
         
     
    (a)
    No. from Part I    		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
     
    (e) Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
         
     
    Schedule B (Form 990, 990-EZ, or 990-PF) (2019)

    Additional Data


    Software ID:  
    Software Version:  

    TY 2017 AccountingFeesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN:
    20-8030810
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    ACCOUNTING & AUDITING 42,000 0 0 0
    TAX PREPARATION 17,620 0 0 0

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

    TY 2017 DepreciationSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN:
    20-8030810
    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
    BUILDING AND EQUIPMENT   17,746,122 4,479,723 NC 0 % 632,148 0 0  
    LAND   4,838,000   L   0 0 0  

    TY 2017 GeneralExplanationAttachment
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN:
    20-8030810
    Identifier Return Reference Explanation
    SUMMARY OF DIRECT CHARITABLE ACTIVITIES FORM 990-PF, PART IX-A, LINES 1 & 2 ARCHIVAL PROGRAM (CONTINUED):THE ARCHIVE CENTER IS LOCATED IN HILLCREST, A HOME OF WESTCHESTER COUNTY FIELD STONE BUILT FOR MARTHA BAIRD ROCKEFELLER (1895-1971), THE SECOND WIFE OF JOHN D. ROCKEFELLER, JR. (1874-1960). THE HOUSE WAS DESIGNED BY MOTT B. SCHMIDT AND WAS COMPLETED IN 1963. MRS. ROCKEFELLER PERSONALLY PLANNED THE FURNISHINGS OF THE HOUSE, BUT ADVANCING AGE AND ILLNESS PREVENTED HER FROM LIVING IN IT. AFTER HER DEATH, THE HOUSE WAS GIVEN TO THE ROCKEFELLER BROTHERS FUND AS PART OF HER RESIDUAL ESTATE. IN MARCH 1974 THE ROCKEFELLER BROTHERS FUND GAVE THE HOUSE AND THE SURROUNDING 24 ACRES OF GROUNDS FOR USE AS THE ROCKEFELLER ARCHIVE CENTER.THE HOUSE PROVIDES WORK SPACE FOR BOTH RESEARCHERS AND STAFF AND INCLUDES A FEW ROOMS WHERE ROCKEFELLER MEMORABILIA ARE ON DISPLAY. RESEARCHERS WHO VISIT THE RAC WORK IN THE READING ROOM ON THE SECOND FLOOR OF THE HOUSE AND MAY USE THE RESEARCHERS' LOUNGE ON THE FIRST FLOOR.THE CENTER'S READING ROOM IS OPEN TO RESEARCHERS ON WEEKDAYS FROM 9:00AM UNTIL 5:15PM. RESEARCH APPOINTMENTS ARE REQUIRED. APPOINTMENTS MUST BE MADE WITH, AND CONFIRMED BY, A STAFF MEMBER IN ADVANCE OF A RESEARCH VISIT. PHOTO IDENTIFICATION IS REQUIRED. RESEARCHERS ARE ADVISED TO CONTACT THE CENTER TO MAKE AN APPOINTMENT BEFORE MAKING TRAVEL PLANS. DRIVING DIRECTORS, A LISTING OF THE CENTER'S HOLIDAY CLOSINGS AND LOCAL ACCOMMODATION INFORMATION IS AVAILABLE AT THE RESEARCHER INFORMATION SECTION OF THIS WEBSITE. RESEARCHERS ARE INVITED TO WRITE TO THE CENTER, DESCRIBING THEIR PROJECTS IN SPECIFIC TERMS. THE STAFF WILL RESPOND WITH A DESCRIPTION OF THE SCOPE AND CONTENT OF RELEVANT MATERIALS IN THE COLLECTIONS.RESEARCH & EDUCATION (CONTINUED):THE EDUCATIONAL PROGRAMS ENGAGE A NUMBER OF AREA COLLEGES AND UNIVERSITIES. THE RAC BRINGS UNIVERSITY FACULTY AND THEIR GRADUATE OR UNDERGRADUATE STUDENTS TO THE ARCHIVE CENTER FOR COURSE-RELATED LECTURES AND SEMINARS, ADVISES STUDENTS ON PAPERS AND THESES, AND HELPS FACULTY TO FIND PRIMARY MATERIALS FOR THEIR TEACHING. THE STAFF ALSO PARTICIPATES IN MEETINGS OF VARIOUS PROFESSIONAL ASSOCIATIONS, DELIVERING PAPERS AND ORGANIZING PANELS FOR RAC RESEARCHERS. A NEW EDUCATIONAL PROGRAM HAS BEEN DEVELOPED IN COLLABORATION WITH TWO ELEMENTARY SCHOOLS IN TARRYTOWN AND POCANTICO HILLS. ITS AIM IS TO TEACH YOUNG STUDENTS ABOUT THE USE OF PRIMARY SOURCES IN THEIR HISTORY CLASSES.THERE ARE SEVERAL PUBLIC OUTREACH INITIATIVES OF THE RESEARCH AND EDUCATION PROGRAM. THE RAC OCCASIONALLY INVITES MEMBERS OF LOCAL HISTORICAL SOCIETIES TO TOUR THE ARCHIVES. IT ORGANIZES EXHIBITS AND PRESENTATIONS ABOUT ARCHIVAL HOLDINGS FOR BOARD AND STAFF MEMBERS OF DONOR ORGANIZATIONS. THE RESEARCH AND EDUCATION STAFF ALSO WORKS WITH OTHER POCANTICO-BASED ORGANIZATIONS ON PUBLIC PROGRAMS, SHOWING FILMS AND ORGANIZING EXHIBITIONS AND LECTURES FOR THE LOCAL COMMUNITY.

    TY 2017 InvestmentsOtherSchedule2
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN:
    20-8030810
    Category/ Item Listed at Cost or FMV Book Value End of Year Fair Market Value
    ENDOWMENT FUNDS AT COST 117,192,008 117,192,008

    TY 2017 LandEtcSchedule2
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN:
    20-8030810
    Category / Item Cost / Other Basis Accumulated Depreciation Book Value End of Year Fair Market Value
    BUILDING AND EQUIPMENT 17,746,122 5,111,871 12,634,251  
    LAND 4,838,000 0 4,838,000  


    TY 2017 LegalFeesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN:
    20-8030810
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    LEGAL FEES 2,414 0 0 0


    TY 2017 OtherAssetsSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN:
    20-8030810
    Description Beginning of Year - Book Value End of Year - Book Value End of Year - Fair Market Value
    EXHIBITION AND ARCHIVAL ART 2,646,980 2,646,980 2,646,980


    TY 2017 OtherDecreasesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN:
    20-8030810
    Description Amount
    PENALTY 105


    TY 2017 OtherExpensesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN:
    20-8030810
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    BANK CHARGES 4,950 0 0 4,208
    COMPUTER, SOFTWARE & LICENSING 42,908 0 0 7,264
    DIGITIZATION 133,532 0 0 183,988
    MEMBERSHIPS 29,843 0 0 29,843
    POSTAGE AND SUPPLIES 135,529 0 0 120,946


    TY 2017 OtherIncomeSchedule2
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN:
    20-8030810
    Description Revenue And Expenses Per Books Net Investment Income Adjusted Net Income
    COPY SERVICE FOR RESEARCH 22,806   22,806


    TY 2017 OtherIncreasesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN:
    20-8030810
    Description Amount
    NET UNREALIZED GAIN ON INVESTMENTS 6,314,072


    TY 2017 OtherProfessionalFeesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN:
    20-8030810
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    INVESTMENT FEES 579,587 579,587 579,587 0
    ADVISORY & PROFESSIONAL SUPPORT 163,168 0 0 162,226


    TY 2017 TaxesSchedule
    Name:
    ROCKEFELLER ARCHIVE CENTER
    EIN:
    20-8030810
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    FEDERAL EXCISE TAX 118,000 0 118,000 0