-
TIN:
Form
990-PF
Department of the Treasury
Internal Revenue Service
Return of Private Foundation
or Section 4947(a)(1) Trust Treated as Private Foundation
Do not enter social security numbers on this form as it may be made public.
Go to
www.irs.gov/Form990PF
for instructions and the latest information.
OMB No. 1545-0052
20
19
Open to Public Inspection
For calendar year 2019, or tax year beginning
08-01-2019
, and ending
07-31-2020
Name of foundation
ROBERT CARLETON FUND XXXXX0000
Number and street (or P.O. box number if mail is not delivered to street address)
10 S DEARBORN IL1-0111
Room/suite
City or town, state or province, country, and ZIP or foreign postal code
CHICAGO
,
IL
60603
A Employer identification number
13-6833622
B
Telephone number (see instructions)
(800) 496-2583
C
If exemption application is pending, check here
G
Check all that apply:
Initial return
Initial return of a former public charity
Final return
Amended return
Address change
Name change
D 1.
Foreign organizations, check here.............
2
. Foreign organizations meeting the 85%
test, check here and attach computation ...
E
If private foundation status was terminated
under section 507(b)(1)(A), check here .......
H
Check type of organization:
Section 501(c)(3) exempt private foundation
Section 4947(a)(1) nonexempt charitable trust
Other taxable private foundation
F
If the foundation is in a 60-month termination
under section 507(b)(1)(B), check here .......
I
Fair market value of all assets at end
of year (from Part II, col. (c),
line 16)
$
3,479,179
J
Accounting method:
Cash
Accrual
Other (specify)
(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)
1
Contributions, gifts, grants, etc., received (attach schedule)
2
Check
.............
3
Interest on savings and temporary cash investments
4
Dividends and interest from securities
...
78,657
78,657
5a
Gross rents
............
b
Net rental income or (loss)
6a
Net gain or (loss) from sale of assets not on line 10
103,363
b
Gross sales price for all assets on line 6a
830,872
7
Capital gain net income (from Part IV, line 2)
...
103,363
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)
.......
400
12
Total.
Add lines 1 through 11
........
182,420
182,020
13
Compensation of officers, directors, trustees, etc.
28,738
17,926
10,812
14
Other employee salaries and wages
......
0
0
0
15
Pension plans, employee benefits
.......
0
0
16a
Legal fees (attach schedule)
.........
0
b
Accounting fees (attach schedule)
.......
c
Other professional fees (attach schedule)
....
0
17
Interest
...............
0
18
Taxes (attach schedule) (see instructions)
...
2,094
822
0
19
Depreciation (attach schedule) and depletion
...
0
0
20
Occupancy
..............
21
Travel, conferences, and meetings
.......
0
0
22
Printing and publications
..........
0
0
23
Other expenses (attach schedule)
.......
250
250
24
Total operating and administrative expenses.
Add lines 13 through 23
..........
31,082
18,748
0
11,062
25
Contributions, gifts, grants paid
.......
158,000
158,000
26
Total expenses and disbursements.
Add lines 24 and 25
189,082
18,748
0
169,062
27
Subtract line 26 from line 12:
a
Excess of revenue over expenses and disbursements
-6,662
b
Net investment income
(if negative, enter -0-)
163,272
c
Adjusted net income
(if negative, enter -0-)
...
0
For Paperwork Reduction Act Notice, see instructions.
Cat. No. 11289X
Form
990-PF
(2019)
Form 990-PF (2019)
Page
2
Part II
Balance Sheets
Attached schedules and amounts in the description column
should be for end-of-year amounts only. (See instructions.)
Beginning of year
End of year
(a)
Book Value
(b)
Book Value
(c)
Fair Market Value
1
Cash—non-interest-bearing
.............
5,167
5,130
5,130
2
Savings and temporary cash investments
.........
55,340
43,312
43,312
3
Accounts receivable
Less: allowance for doubtful accounts
0
0
4
Pledges receivable
Less: allowance for doubtful accounts
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)
Less: allowance for doubtful accounts
0
8
Inventories for sale or use
..............
9
Prepaid expenses and deferred charges
..........
10a
Investments—U.S. and state government obligations (attach schedule)
b
Investments—corporate stock (attach schedule)
.......
1,255,566
1,128,102
1,864,852
c
Investments—corporate bonds (attach schedule)
.......
1,336,158
1,468,779
1,565,885
11
Investments—land, buildings, and equipment: basis
Less: accumulated depreciation (attach schedule)
12
Investments—mortgage loans
.............
13
Investments—other (attach schedule)
..........
0
14
Land, buildings, and equipment: basis
Less: accumulated depreciation (attach schedule)
15
Other assets (describe
)
16
Total assets
(to be completed by all filers—see the
instructions. Also, see page 1, item I)
2,652,231
2,645,323
3,479,179
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
)
23
Total liabilities
(add lines 17 through 22)
.........
0
Foundations that follow FASB ASC 958, check here
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
and complete lines 26 through 30.
26
Capital stock, trust principal, or current funds
........
2,652,231
2,645,323
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)
.....
2,652,231
2,645,323
30
Total liabilities and net assets/fund balances
(see instructions)
.
2,652,231
2,645,323
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
2,652,231
2
Enter amount from Part I, line 27a
.....................
2
-6,662
3
Other increases not included in line 2 (itemize)
3
786
4
Add lines 1, 2, and 3
..........................
4
2,646,355
5
Decreases not included in line 2 (itemize)
5
1,032
6
Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 29
.
6
2,645,323
Form
990-PF
(2019)
Form 990-PF (2019)
Page
3
Part IV
Capital Gains and Losses for Tax on Investment Income
(a)
List and describe the kind(s) of property sold (e.g., real estate,
2-story brick warehouse; or common stock, 200 shs. MLC Co.)
(b)
How acquired
P—Purchase
D—Donation
(c)
Date acquired
(mo., day, yr.)
(d)
Date sold
(mo., day, yr.)
1 a
13. SVB FINANCIAL GROUP
2019-08-14
b
9. SVB FINANCIAL GROUP
2015-02-05
2019-08-14
c
20. APTIV PLC
2019-08-14
d
11. APTIV PLC
2019-08-14
e
29. APTIV PLC
2019-08-14
16. SVB FINANCIAL GROUP
2015-02-05
2019-08-15
56. APTIV PLC
2019-08-15
. GENERAL MOTORS CO
2019-09-05
10000. TD AMERITRADE HOLDING CO 5.6% DEC 01 2019
2019-09-18
5000. BLACKROCK INC SR NTS 3.5% 03/18/2024 DTD
2015-01-28
2019-09-26
5000. TWDC ENTERPRISES 18 CORP MTN 2.55% 02/15/2022 DTD 02/14/2012
2017-10-02
2019-09-26
10000. ERP OPER LP SR NTS 3.0% 04/15/2023 DTD
2016-06-16
2019-09-26
8000. MICROSOFT CORP SR NTS 2.375% 05/01/2023 DTD
2013-04-25
2019-09-26
5000. PROLOGIS LP 4.25% 08/15/2023 DTD 08/15/2013
2017-06-15
2019-09-26
5000. WESTPAC BANKING CORP 2.100% 05/13/2021 DTD 05/13/2016
2017-09-22
2019-09-26
70. DISNEY WALT CO
2019-10-25
18. ACCENTURE PLC
2019-10-25
22. ACCENTURE PLC
2019-10-28
3000. MANULIFE FINANCIAL CORP 4.150% 03/04/2026 DTD 03/04/2016
2018-08-14
2019-11-01
4000. US BANCORP MTN 2.95% JUL 15 2022
2013-02-12
2019-11-07
6000. US BANCORP MTN 2.95% JUL 15 2022
2013-02-12
2019-11-07
45. NISOURCE INC
2019-11-11
59. NISOURCE INC
2019-11-11
47. NISOURCE INC
2019-11-12
118. NISOURCE INC
2019-11-12
11. NISOURCE INC
2013-02-26
2019-11-12
11. NISOURCE INC
2013-02-26
2019-11-13
4000. ANHEUSER-BUSCH INBEV WOR 6.875% 11/15/2019 DTD 03/14/2011
2012-06-21
2019-11-15
10000. WESTPAC BANKING CORP
2019-11-19
5000. ALTRIA GROUP INC 2.85% 08/09/2022 DTD 08/09/2012
2017-09-22
2019-11-21
61. CELGENE CORP.
2019-11-21
213. CELGENE CORP.
2019-11-21
5000. FIFTH THIRD BANCORP 2.875% 07/27/2020 DTD 07/27/2015
2017-09-22
2019-11-21
10000. LOWE'S COS INC SR NTS 3.8% 11/15/2021 DTD
2011-11-18
2019-11-21
5000. NUCOR CORP SR NTS 4.0% 08/01/2023 DTD
2015-03-11
2019-11-21
5000. STRYKER CORP SR NTS 3.5% 03/15/2026 DTD
2019-03-12
2019-11-21
15000. TRANSCANADA PIPELINES SR NTS 2.5% 08/01/2022 DTD
2019-01-22
2019-11-21
11. ABBVIE INC
2019-11-25
2. ADOBE SYS INC
2012-08-03
2019-11-25
2. ALEXION PHARMACEUTICALS INC
2019-03-14
2019-11-25
2. ALPHABET INC-CL C
2019-10-25
2019-11-25
1. ALPHABET INC-CL A
2016-07-11
2019-11-25
1. AMAZON COM INC
2019-10-25
2019-11-25
8. AMERICAN EXPRESS CO
2019-06-10
2019-11-25
13. APPLE COMPUTER INC
2008-01-24
2019-11-25
4. AUTOMATIC DATA PROCESSING INC
2019-08-14
2019-11-25
37. BANK OF AMERICA CORPORATION
2012-10-23
2019-11-25
5. BERKSHIRE HATHAWAY INC DEL CL B
2018-09-11
2019-11-25
23. BOSTON SCIENTIFIC CORP
2016-09-15
2019-11-25
13. BRISTOL MYERS SQUIBB CO
2019-11-21
2019-11-25
105. RTS BRISTOL-MYERS SQUIBB-CVR
2019-11-21
2019-11-25
11. RTS BRISTOL-MYERS SQUIBB-CVR
2019-11-21
2019-11-25
5. RTS BRISTOL-MYERS SQUIBB-CVR
2019-11-21
2019-11-25
5. BROADCOM INC
2013-04-26
2019-11-25
3. CHARTER COMMUNICATIONS INC-A
2018-04-13
2019-11-25
17. CITIGROUP INC NEW
2017-05-15
2019-11-25
11. COCA-COLA CO
2018-04-16
2019-11-25
32. COMCAST CORP NEW CL A
2019-05-14
2019-11-25
14. CORTEVA INC
2019-11-25
4. DIAMONDBACK ENERGY INC
2019-11-25
5. DISNEY WALT CO
2016-10-27
2019-11-25
9. DUPONT DE NEMOURS INC-WI
2019-11-25
9. EOG RESOURCES INC
2016-08-05
2019-11-25
8. ELECTRONIC ARTS
2018-09-20
2019-11-25
4. FACEBOOK INC-A
2014-07-25
2019-11-25
10. FIDELITY NATL INFORMATION SVCS INC
2019-08-14
2019-11-25
14. FISERV INC
2019-11-25
3. GENERAL DYNAMICS CORP
2017-02-10
2019-11-25
1. GENERAL DYNAMICS CORP
2018-12-13
2019-11-25
5. HOME DEPOT INC
2012-03-20
2019-11-25
9. HONEYWELL INTL INC
2019-11-25
3. INTERCONTINENTALEXCHANGE GROUP, INC
2017-02-01
2019-11-25
32. KEYCORP NEW
2018-10-08
2019-11-25
7. LILLY ELI & CO
2019-11-25
7. LOWES COS INC
2019-11-25
16. MARATHON PETROLEUM CORPORATION
2019-11-25
7. MASTERCARD INC - CLASS A
2012-10-15
2019-11-25
3. MCDONALDS CORP
2019-06-10
2019-11-25
13. MERCK & CO INC
2019-03-14
2019-11-25
29. MICROSOFT CORP
2005-07-26
2019-11-25
16. MONDELEZ INTERNATIONAL-W/I
2019-11-25
26. MORGAN STANLEY DEAN WITTER & CO NEW
2019-11-25
2. NETFLIX.COM INC
2018-09-13
2019-11-25
3. NEXTERA ENERGY INC
2018-07-18
2019-11-25
6. NORFOLK SOUTHN CORP
2018-05-15
2019-11-25
2. NORTHROP GRUMMAN CORP
2019-05-20
2019-11-25
4. NVIDIA CORP
2018-10-08
2019-11-25
1. O'REILLY AUTOMOTIVE INC
2017-05-05
2019-11-25
9. PAYPAL HOLDINGS INC
2019-01-23
2019-11-25
8. PEPSICO INC
2018-05-22
2019-11-25
31. PFIZER INC
2018-10-30
2019-11-25
4. PHILIP MORRIS INTERNATIONAL
2018-10-24
2019-11-25
4. PIONEER NAT RES CO
2019-11-25
7. PROCTER & GAMBLE CO
2019-06-05
2019-11-25
5. QUALCOMM INC
2019-05-01
2019-11-25
6. ROSS STORES INC
2018-12-11
2019-11-25
8. SALESFORCE.COM INC
2018-10-08
2019-11-25
5. STANLEY BLACK & DECKER,INC.
2019-11-25
10. TEXAS INSTRS INC
2019-02-19
2019-11-25
7. UNION PAC CORP
2019-11-25
3. UNITED TECHNOLOGIES CORP
2019-11-25
9. UNITEDHEALTH GROUP INC
2019-11-25
2. VERTEX PHARMACEUTICALS INC
2011-12-15
2019-11-25
5. VISA INC CLASS A SHARES
2015-10-19
2019-11-25
6. WASTE CONNECTIONS INC
2019-11-25
12. WELLS FARGO & CO NEW
2009-12-15
2019-11-25
2. WEX INC
2016-05-02
2019-11-25
4. YUM BRANDS INC
2018-11-29
2019-11-25
8. ZIMMER HLDGS INC
2018-04-26
2019-11-25
4. ALLEGION PLC
2015-11-19
2019-11-25
3. ACCENTURE PLC
2014-04-22
2019-11-25
11. LINDE PLC
2019-08-14
2019-11-25
6. CHUBB LTD
2019-11-25
5. NXP SEMICONDUCTORS NV
2019-02-20
2019-11-25
132. RTS BRISTOL-MYERS SQUIBB-CVR
2019-11-21
2019-11-26
21. RTS BRISTOL-MYERS SQUIBB-CVR
2019-11-21
2019-11-27
10000. BK OF AMER CORP SR NTS MTN 3.5% 04/19/2026 DTD
2019-07-18
2019-12-17
5000. SCHLUMBERGER INVESTMENT 3.650% 12/01/2023 DTD 12/03/2013
2018-08-14
2020-01-09
26. CORTEVA INC
2020-01-13
22. CORTEVA INC
2020-01-13
7.509 CORTEVA INC
2020-01-14
17.491 CORTEVA INC
2019-06-27
2020-01-14
27. CORTEVA INC
2020-01-14
9. CORTEVA INC
2020-01-14
8. CORTEVA INC
2019-04-08
2020-01-14
3. CORTEVA INC
2019-04-08
2020-01-14
32. CORTEVA INC
2020-01-15
37. CORTEVA INC
2020-01-15
16. CORTEVA INC
2019-06-28
2020-01-15
3. CORTEVA INC
2019-06-28
2020-01-15
15.219 CORTEVA INC
2020-01-15
3.781 CORTEVA INC
2019-06-28
2020-01-15
23. CORTEVA INC
2020-01-15
1. CORTEVA INC
2016-08-10
2020-01-15
10. CORTEVA INC
2020-01-16
8. CORTEVA INC
2015-07-15
2020-01-16
1. CORTEVA INC
2015-07-15
2020-01-16
2. CORTEVA INC
2015-07-15
2020-01-16
77. QUALCOMM INC
2019-05-01
2020-01-23
1. QUALCOMM INC
2019-05-01
2020-01-23
39. EOG RESOURCES INC
2020-01-28
6. EOG RESOURCES INC
2016-05-02
2020-01-28
3. EOG RESOURCES INC
2016-05-02
2020-01-29
4. EOG RESOURCES INC
2016-05-02
2020-01-29
2. EOG RESOURCES INC
2016-05-25
2020-01-29
29. EOG RESOURCES INC
2020-01-29
29. EOG RESOURCES INC
2020-01-29
29. EOG RESOURCES INC
2020-01-29
38. EOG RESOURCES INC
2016-03-07
2020-01-30
9. EOG RESOURCES INC
2016-03-07
2020-01-30
604.15 DODGE & INTERNATIONAL STOCK FUND
2015-03-04
2020-02-13
875. JPMORGAN BETABUILDERS JAPAN ETF
2020-02-13
400. JPMORGAN BETABUILDERS JAPAN ETF
2018-07-19
2020-02-13
25. ELECTRONIC ARTS
2020-02-25
35. ELECTRONIC ARTS
2020-02-25
9. ACCENTURE PLC
2014-04-22
2020-02-25
39. ACCENTURE PLC
2020-02-26
101. DISNEY WALT CO
2020-03-04
230. WELLS FARGO & CO NEW
2020-03-04
10000. NBCUNIVERSAL MEDIA LLC 4.375% 04/01/2021 DTD 08/19/2011
2013-03-15
2020-03-06
6. ABBVIE INC
2019-11-11
2020-03-09
1. ADOBE SYS INC
2012-08-03
2020-03-09
2. ALEXION PHARMACEUTICALS INC
2019-03-14
2020-03-09
1. ALPHABET INC-CL C
2019-10-25
2020-03-09
1. AMAZON COM INC
2020-02-25
2020-03-09
4. AMERICAN EXPRESS CO
2019-06-10
2020-03-09
7. APPLE COMPUTER INC
2008-01-24
2020-03-09
3. AUTOMATIC DATA PROCESSING INC
2019-08-14
2020-03-09
21. BANK OF AMERICA CORPORATION
2012-10-23
2020-03-09
3. BERKSHIRE HATHAWAY INC DEL CL B
2018-09-11
2020-03-09
13. BOSTON SCIENTIFIC CORP
2016-09-15
2020-03-09
8. BRISTOL MYERS SQUIBB CO
2019-11-21
2020-03-09
2. BROADCOM INC
2013-04-26
2020-03-09
1. CHARTER COMMUNICATIONS INC-A
2018-04-13
2020-03-09
9. CITIGROUP INC NEW
2017-05-15
2020-03-09
6. COCA-COLA CO
2018-04-16
2020-03-09
17. COMCAST CORP NEW CL A
2019-05-14
2020-03-09
6. DIAMONDBACK ENERGY INC
2020-03-09
4. DUPONT DE NEMOURS INC-WI
2020-03-09
3. ELECTRONIC ARTS
2019-01-29
2020-03-09
2. FACEBOOK INC-A
2020-01-08
2020-03-09
4. FIDELITY NATL INFORMATION SVCS INC
2019-08-14
2020-03-09
9. FISERV INC
2019-07-30
2020-03-09
3. GENERAL DYNAMICS CORP
2018-12-13
2020-03-09
3. HOME DEPOT INC
2012-03-20
2020-03-09
5. HONEYWELL INTL INC
2012-06-15
2020-03-09
3. INTERCONTINENTALEXCHANGE GROUP, INC
2020-03-09
1. INTUIT
2020-02-25
2020-03-09
18. KEYCORP NEW
2018-10-08
2020-03-09
4. LILLY ELI & CO
2020-03-09
3. LOWES COS INC
2011-09-28
2020-03-09
9. MARATHON PETROLEUM CORPORATION
2018-07-26
2020-03-09
3. MASTERCARD INC - CLASS A
2012-10-15
2020-03-09
1. MCDONALDS CORP
2019-06-10
2020-03-09
7. MERCK & CO INC
2019-03-14
2020-03-09
16. MICROSOFT CORP
2005-07-26
2020-03-09
8. MONDELEZ INTERNATIONAL-W/I
2016-02-24
2020-03-09
15. MORGAN STANLEY DEAN WITTER & CO NEW
2013-11-12
2020-03-09
1. NETFLIX.COM INC
2018-09-13
2020-03-09
2. NEXTERA ENERGY INC
2018-07-18
2020-03-09
3. NORFOLK SOUTHN CORP
2018-05-15
2020-03-09
2. NORTHROP GRUMMAN CORP
2019-05-20
2020-03-09
2. NVIDIA CORP
2018-10-08
2020-03-09
1. O'REILLY AUTOMOTIVE INC
2017-05-05
2020-03-09
7. PAYPAL HOLDINGS INC
2020-03-04
2020-03-09
5. PEPSICO INC
2018-05-22
2020-03-09
18. PFIZER INC
2020-03-09
2. PHILIP MORRIS INTERNATIONAL
2018-10-24
2020-03-09
3. PIONEER NAT RES CO
2020-03-09
4. PROCTER & GAMBLE CO
2019-06-05
2020-03-09
4. ROSS STORES INC
2018-12-11
2020-03-09
4. SALESFORCE.COM INC
2018-10-08
2020-03-09
3. STANLEY BLACK & DECKER,INC.
2020-03-09
7. TEXAS INSTRS INC
2020-01-23
2020-03-09
1. THERMO ELECTRON CORP
2020-01-14
2020-03-09
4. UNION PAC CORP
2018-02-22
2020-03-09
2. UNITED TECHNOLOGIES CORP
2017-12-11
2020-03-09
4. UNITEDHEALTH GROUP INC
2012-01-19
2020-03-09
1. VERTEX PHARMACEUTICALS INC
2011-12-15
2020-03-09
2. VISA INC CLASS A SHARES
2015-10-19
2020-03-09
3. WASTE CONNECTIONS INC
2016-07-26
2020-03-09
2. WEX INC
2016-05-02
2020-03-09
1. YUM BRANDS INC
2018-11-29
2020-03-09
5. ZIMMER HLDGS INC
2018-04-26
2020-03-09
3. ALLEGION PLC
2020-03-09
5. LINDE PLC
2019-08-14
2020-03-09
4. CHUBB LTD
2012-01-09
2020-03-09
1. ASML HOLDING NV-NY REG SHS
2020-03-04
2020-03-09
3. NXP SEMICONDUCTORS NV
2020-01-23
2020-03-09
6. ALEXION PHARMACEUTICALS INC
2019-03-14
2020-03-11
1. ALEXION PHARMACEUTICALS INC
2019-03-14
2020-03-11
1. ALEXION PHARMACEUTICALS INC
2019-03-14
2020-03-11
4. DUPONT DE NEMOURS INC-WI
2020-03-11
32.272 DUPONT DE NEMOURS INC-WI
2019-04-08
2020-03-11
115.728 DUPONT DE NEMOURS INC-WI
2020-03-11
12. ALEXION PHARMACEUTICALS INC
2019-03-14
2020-03-12
7. ALEXION PHARMACEUTICALS INC
2019-03-14
2020-03-12
18. ALEXION PHARMACEUTICALS INC
2019-03-14
2020-03-13
10000. BOEING CO SR NTS 2.8% 03/01/2027 DTD
2020-03-17
12. ABBVIE INC
2019-11-11
2020-03-20
3. ADOBE SYS INC
2012-08-03
2020-03-20
2. ALPHABET INC-CL C
2020-03-20
1. ALPHABET INC-CL A
2016-07-11
2020-03-20
2. AMAZON COM INC
2020-02-25
2020-03-20
8. AMERICAN EXPRESS CO
2019-06-10
2020-03-20
12. APPLE COMPUTER INC
2008-01-24
2020-03-20
4. AUTOMATIC DATA PROCESSING INC
2019-08-14
2020-03-20
37. BANK OF AMERICA CORPORATION
2012-10-23
2020-03-20
5. BERKSHIRE HATHAWAY INC DEL CL B
2018-09-11
2020-03-20
1. BIOGEN IDEC INC
2020-03-11
2020-03-20
23. BOSTON SCIENTIFIC CORP
2016-09-15
2020-03-20
14. BRISTOL MYERS SQUIBB CO
2019-11-21
2020-03-20
5. BROADCOM INC
2020-03-20
3. CHARTER COMMUNICATIONS INC-A
2020-03-20
16. CITIGROUP INC NEW
2017-05-02
2020-03-20
12. COCA-COLA CO
2018-04-13
2020-03-20
15. COMCAST CORP NEW CL A
2019-03-14
2020-03-20
17. COMCAST CORP NEW CL A
2019-05-14
2020-03-20
9. DIAMONDBACK ENERGY INC
2020-03-20
4. ELECTRONIC ARTS
2019-01-29
2020-03-20
7. FACEBOOK INC-A
2020-01-08
2020-03-20
7. FIDELITY NATL INFORMATION SVCS INC
2019-08-14
2020-03-20
16. FISERV INC
2020-03-20
3. GENERAL DYNAMICS CORP
2018-12-13
2020-03-20
6. HOME DEPOT INC
2020-03-20
9. HONEYWELL INTL INC
2012-06-15
2020-03-20
3. INTERCONTINENTALEXCHANGE GROUP, INC
2020-03-20
1. INTUIT
2020-02-25
2020-03-20
33. KEYCORP NEW
2020-03-20
8. LILLY ELI & CO
2020-03-20
7. LOWES COS INC
2011-09-28
2020-03-20
17. MARATHON PETROLEUM CORPORATION
2018-07-26
2020-03-20
7. MASTERCARD INC - CLASS A
2012-10-15
2020-03-20
3. MCDONALDS CORP
2019-06-10
2020-03-20
13. MERCK & CO INC
2019-03-14
2020-03-20
29. MICROSOFT CORP
2005-07-26
2020-03-20
16. MONDELEZ INTERNATIONAL-W/I
2020-03-20
27. MORGAN STANLEY DEAN WITTER & CO NEW
2013-11-12
2020-03-20
2. NETFLIX.COM INC
2018-09-13
2020-03-20
4. NEXTERA ENERGY INC
2018-07-18
2020-03-20
6. NORFOLK SOUTHN CORP
2020-03-20
1. NORTHROP GRUMMAN CORP
2017-10-10
2020-03-20
2. NORTHROP GRUMMAN CORP
2019-05-20
2020-03-20
4. NVIDIA CORP
2018-10-08
2020-03-20
1. O'REILLY AUTOMOTIVE INC
2017-05-05
2020-03-20
13. PAYPAL HOLDINGS INC
2020-03-04
2020-03-20
9. PEPSICO INC
2018-05-22
2020-03-20
32. PFIZER INC
2015-04-08
2020-03-20
5. PHILIP MORRIS INTERNATIONAL
2018-10-24
2020-03-20
5. PIONEER NAT RES CO
2015-12-09
2020-03-20
7. PROCTER & GAMBLE CO
2019-06-05
2020-03-20
6. ROSS STORES INC
2018-12-11
2020-03-20
8. SALESFORCE.COM INC
2018-10-08
2020-03-20
5. STANLEY BLACK & DECKER,INC.
2020-03-20
11. TEXAS INSTRS INC
2020-01-23
2020-03-20
2. THERMO ELECTRON CORP
2020-01-14
2020-03-20
7. UNION PAC CORP
2018-02-22
2020-03-20
3. UNITED TECHNOLOGIES CORP
2017-12-11
2020-03-20
8. UNITEDHEALTH GROUP INC
2012-01-19
2020-03-20
3. VERTEX PHARMACEUTICALS INC
2011-12-15
2020-03-20
5. VISA INC CLASS A SHARES
2015-10-19
2020-03-20
5. WASTE CONNECTIONS INC
2016-07-26
2020-03-20
2. WEX INC
2016-05-02
2020-03-20
7. YUM BRANDS INC
2020-03-20
8. ZIMMER HLDGS INC
2018-10-30
2020-03-20
5. ALLEGION PLC
2020-03-20
8. LINDE PLC
2019-08-14
2020-03-20
6. CHUBB LTD
2012-01-09
2020-03-20
2. ASML HOLDING NV-NY REG SHS
2020-03-04
2020-03-20
6. NXP SEMICONDUCTORS NV
2020-01-23
2020-03-20
5000. NUTRIEN LTD SR NTS 4.875% 03/30/2020 DTD
2020-03-30
54. UNITED TECHNOLOGIES CORP
2020-03-31
5000. OCCIDENTAL PETRLM COR SR NTS 4.1% 02/01/2021 DTD
2020-04-08
15000. BOOKING HOLDINGS INC SR NTS 3.6% 06/01/2026 DTD
2019-09-26
2020-04-09
57. COMCAST CORP NEW CL A
2019-03-14
2020-04-16
100. COMCAST CORP NEW CL A
2020-04-16
1. COMCAST CORP NEW CL A
2019-01-29
2020-04-16
69. COMCAST CORP NEW CL A
2019-01-29
2020-04-16
9. COMCAST CORP NEW CL A
2019-01-29
2020-04-16
13. ROSS STORES INC
2018-12-11
2020-04-16
17. ROSS STORES INC
2018-12-11
2020-04-16
18. ROSS STORES INC
2020-04-16
59. ROSS STORES INC
2020-04-16
289. MARATHON PETROLEUM CORPORATION
2020-04-27
36. ADOBE SYS INC
2012-08-03
2020-05-04
6. ADOBE SYS INC
2012-08-03
2020-05-04
30000. GEN ELEC CO NON-TRADEABLE ASSET
2020-05-19
10000. EQUINOR ASA 2.45% 01/17/2023 DTD 11/21/2012
2017-10-12
2020-06-02
11. ABBVIE INC
2020-06-09
2. ALPHABET INC-CL C
2013-12-13
2020-06-09
1. ALPHABET INC-CL A
2016-07-11
2020-06-09
1. AMAZON COM INC
2020-01-28
2020-06-09
5. AMERICAN EXPRESS CO
2019-05-16
2020-06-09
1. AMERICAN EXPRESS CO
2019-06-10
2020-06-09
9. APPLE COMPUTER INC
2008-01-24
2020-06-09
5. AUTOMATIC DATA PROCESSING INC
2019-08-14
2020-06-09
28. BANK OF AMERICA CORPORATION
2012-10-23
2020-06-09
4. BERKSHIRE HATHAWAY INC DEL CL B
2018-09-11
2020-06-09
17. BOSTON SCIENTIFIC CORP
2016-09-15
2020-06-09
10. BRISTOL MYERS SQUIBB CO
2019-11-21
2020-06-09
3. BROADCOM INC
2020-06-09
3. CHARTER COMMUNICATIONS INC-A
2020-04-16
2020-06-09
12. CITIGROUP INC NEW
2017-05-02
2020-06-09
8. COCA-COLA CO
2018-04-13
2020-06-09
14. COMCAST CORP NEW CL A
2019-01-29
2020-06-09
6. DIAMONDBACK ENERGY INC
2017-05-15
2020-06-09
3. ELECTRONIC ARTS
2020-06-09
5. FACEBOOK INC-A
2020-01-08
2020-06-09
5. FIDELITY NATL INFORMATION SVCS INC
2019-08-14
2020-06-09
11. FISERV INC
2019-07-30
2020-06-09
3. GENERAL DYNAMICS CORP
2018-12-13
2020-06-09
5000. HSBC HOLDINGS PLC NON-TRADEABLE ASSET
2018-12-26
2020-06-09
4. HOME DEPOT INC
2011-09-29
2020-06-09
7. HONEYWELL INTL INC
2012-06-15
2020-06-09
3. INTERCONTINENTALEXCHANGE GROUP, INC
2017-01-31
2020-06-09
2. INTUIT
2020-02-25
2020-06-09
24. KEYCORP NEW
2018-10-19
2020-06-09
6. LILLY ELI & CO
2020-06-09
7. LOWES COS INC
2020-04-16
2020-06-09
5. MASTERCARD INC - CLASS A
2020-06-09
2. MCDONALDS CORP
2019-06-10
2020-06-09
10. MERCK & CO INC
2019-03-14
2020-06-09
22. MICROSOFT CORP
2005-07-26
2020-06-09
11. MONDELEZ INTERNATIONAL-W/I
2014-08-13
2020-06-09
19. MORGAN STANLEY DEAN WITTER & CO NEW
2020-06-09
2. NETFLIX.COM INC
2018-09-13
2020-06-09
3. NEXTERA ENERGY INC
2020-05-04
2020-06-09
4. NORFOLK SOUTHN CORP
2020-06-09
2. NORTHROP GRUMMAN CORP
2017-10-10
2020-06-09
2. NVIDIA CORP
2018-10-08
2020-06-09
2. O'REILLY AUTOMOTIVE INC
2020-04-16
2020-06-09
9. PAYPAL HOLDINGS INC
2020-05-04
2020-06-09
6. PEPSICO INC
2018-05-22
2020-06-09
23. PFIZER INC
2020-06-09
3. PHILIP MORRIS INTERNATIONAL
2018-10-24
2020-06-09
5. PIONEER NAT RES CO
2020-06-09
6. PROCTER & GAMBLE CO
2019-06-05
2020-06-09
6. SALESFORCE.COM INC
2020-05-04
2020-06-09
4. STANLEY BLACK & DECKER,INC.
2020-06-09
8. TEXAS INSTRS INC
2020-01-23
2020-06-09
2. THERMO ELECTRON CORP
2020-01-14
2020-06-09
5. UNION PAC CORP
2020-06-09
6. UNITEDHEALTH GROUP INC
2012-01-19
2020-06-09
1. VERTEX PHARMACEUTICALS INC
2011-12-15
2020-06-09
3. VISA INC CLASS A SHARES
2015-10-19
2020-06-09
4. WASTE CONNECTIONS INC
2016-07-26
2020-06-09
4. WEX INC
2020-06-09
5. YUM BRANDS INC
2020-06-09
6. ZIMMER HLDGS INC
2018-10-30
2020-06-09
3. ALLEGION PLC
2020-06-09
1. LINDE PLC
2019-08-14
2020-06-09
5. LINDE PLC
2020-06-09
4. CHUBB LTD
2012-01-09
2020-06-09
2. ASML HOLDING NV-NY REG SHS
2020-06-09
5. NXP SEMICONDUCTORS NV
2020-01-23
2020-06-09
10000. PRUDENTIAL FINL INC SR NTS MTN 5.375% 06/21/2020 DTD
2020-06-22
91. BERKSHIRE HATHAWAY INC DEL CL B
2020-06-24
176. KEYCORP NEW
2020-06-30
20. KEYCORP NEW
2016-03-02
2020-06-30
132. PFIZER INC
2020-06-30
45. KEYCORP NEW
2020-07-01
13. KEYCORP NEW
2016-03-01
2020-07-01
79. KEYCORP NEW
2020-07-01
1. KEYCORP NEW
2016-03-01
2020-07-01
35. KEYCORP NEW
2016-03-01
2020-07-01
2. KEYCORP NEW
2016-03-01
2020-07-01
32. KEYCORP NEW
2016-03-01
2020-07-01
66. KEYCORP NEW
2016-03-01
2020-07-02
2. KEYCORP NEW
2016-03-01
2020-07-02
69. KEYCORP NEW
2020-07-02
4. KEYCORP NEW
2016-02-29
2020-07-02
12. ABBVIE INC
2020-07-09
1. ALPHABET INC-CL C
2014-05-08
2020-07-09
1. ALPHABET INC-CL A
2016-07-11
2020-07-09
2. AMAZON COM INC
2020-01-28
2020-07-09
6. AMERICAN EXPRESS CO
2019-05-16
2020-07-09
10. APPLE COMPUTER INC
2008-01-24
2020-07-09
2. AUTOMATIC DATA PROCESSING INC
2019-08-14
2020-07-09
2. AUTOMATIC DATA PROCESSING INC
2018-12-03
2020-07-09
29. BANK OF AMERICA CORPORATION
2012-10-23
2020-07-09
1. BIOGEN IDEC INC
2020-03-11
2020-07-09
19. BOSTON SCIENTIFIC CORP
2016-09-15
2020-07-09
11. BRISTOL MYERS SQUIBB CO
2019-11-21
2020-07-09
4. BROADCOM INC
2013-05-17
2020-07-09
2. CHARTER COMMUNICATIONS INC-A
2020-04-16
2020-07-09
15. CITIGROUP INC NEW
2017-05-02
2020-07-09
9. COCA-COLA CO
2018-04-13
2020-07-09
15. COMCAST CORP NEW CL A
2020-07-09
7. DIAMONDBACK ENERGY INC
2020-07-09
4. ELECTRONIC ARTS
2020-07-09
6. FACEBOOK INC-A
2020-01-08
2020-07-09
1. FIDELITY NATL INFORMATION SVCS INC
2019-08-14
2020-07-09
5. FIDELITY NATL INFORMATION SVCS INC
2020-07-09
12. FISERV INC
2020-07-09
3. GENERAL DYNAMICS CORP
2018-12-13
2020-07-09
4. HOME DEPOT INC
2011-09-29
2020-07-09
7. HONEYWELL INTL INC
2012-06-15
2020-07-09
3. INTERCONTINENTALEXCHANGE GROUP, INC
2017-01-31
2020-07-09
2. INTUIT
2020-07-09
6. LILLY ELI & CO
2020-07-09
6. LOWES COS INC
2020-04-16
2020-07-09
5. MASTERCARD INC - CLASS A
2009-05-05
2020-07-09
2. MCDONALDS CORP
2019-06-10
2020-07-09
10. MERCK & CO INC
2019-03-14
2020-07-09
23. MICROSOFT CORP
2005-07-26
2020-07-09
13. MONDELEZ INTERNATIONAL-W/I
2014-08-13
2020-07-09
21. MORGAN STANLEY DEAN WITTER & CO NEW
2016-02-25
2020-07-09
1. NETFLIX.COM INC
2018-09-13
2020-07-09
4. NEXTERA ENERGY INC
2020-06-30
2020-07-09
5. NORFOLK SOUTHN CORP
2020-07-09
2. NORTHROP GRUMMAN CORP
2020-06-24
2020-07-09
3. NVIDIA CORP
2018-10-08
2020-07-09
2. O'REILLY AUTOMOTIVE INC
2020-06-30
2020-07-09
12. PAYPAL HOLDINGS INC
2020-05-04
2020-07-09
7. PEPSICO INC
2020-07-09
19. PFIZER INC
2015-06-04
2020-07-09
3. PHILIP MORRIS INTERNATIONAL
2018-10-24
2020-07-09
6. PIONEER NAT RES CO
2016-03-22
2020-07-09
5. PROCTER & GAMBLE CO
2019-06-05
2020-07-09
7. SALESFORCE.COM INC
2020-05-04
2020-07-09
4. STANLEY BLACK & DECKER,INC.
2020-07-09
10. TEXAS INSTRS INC
2020-07-09
2. THERMO ELECTRON CORP
2020-06-24
2020-07-09
5. UNION PAC CORP
2017-05-18
2020-07-09
6. UNITEDHEALTH GROUP INC
2020-07-09
2. VERTEX PHARMACEUTICALS INC
2011-12-15
2020-07-09
4. VISA INC CLASS A SHARES
2015-10-19
2020-07-09
5. WASTE CONNECTIONS INC
2016-07-26
2020-07-09
3. WEX INC
2020-04-28
2020-07-09
6. YUM BRANDS INC
2020-07-09
7. ZIMMER HLDGS INC
2020-06-30
2020-07-09
4. ALLEGION PLC
2020-07-09
7. LINDE PLC
2019-04-08
2020-07-09
5. CHUBB LTD
2012-01-09
2020-07-09
2. ASML HOLDING NV-NY REG SHS
2020-03-04
2020-07-09
4. NXP SEMICONDUCTORS NV
2020-01-23
2020-07-09
365. PFIZER INC
2020-07-10
18. PFIZER INC
2016-11-09
2020-07-10
5000. BK OF NY MELLON CORP SR NTS MTN 2.6% 08/17/2020 DTD
2017-09-22
2020-07-17
CAPITAL GAIN DIVIDENDS
P
(e)
Gross sales price
(f)
Depreciation allowed
(or allowable)
(g)
Cost or other basis
plus expense of sale
(h)
Gain or (loss)
(e) plus (f) minus (g)
a
2,481
1,637
844
b
1,711
1,082
629
c
1,590
1,741
-151
d
884
957
-73
e
2,315
2,229
86
2,987
1,923
1,064
4,440
3,965
475
34
34
10,065
11,904
-1,839
5,331
5,299
32
5,078
5,081
-3
10,306
10,278
28
8,151
7,973
178
5,367
5,431
-64
5,004
4,980
24
9,194
6,952
2,242
3,296
1,510
1,786
4,042
1,812
2,230
3,335
3,040
295
4,102
3,967
135
6,152
5,951
201
1,180
753
427
1,540
902
638
1,225
581
644
3,072
1,163
1,909
286
106
180
289
106
183
4,000
5,191
-1,191
10,000
10,352
-352
5,073
5,102
-29
6,590
1,543
5,047
23,010
19,912
3,098
5,026
5,109
-83
10,309
10,100
209
5,296
5,226
70
5,304
5,009
295
15,158
14,517
641
966
940
26
609
64
545
229
269
-40
2,613
2,521
92
1,306
727
579
1,770
1,720
50
964
984
-20
3,454
249
3,205
681
657
24
1,237
349
888
1,095
1,070
25
985
536
449
730
733
-3
220
242
-22
23
25
-2
10
12
-2
1,598
189
1,409
1,396
918
478
1,288
1,044
244
585
491
94
1,388
1,376
12
363
461
-98
308
420
-112
746
470
276
587
848
-261
661
812
-151
798
911
-113
800
301
499
1,370
1,310
60
1,608
1,477
131
550
552
-2
183
172
11
1,091
247
844
1,587
567
1,020
283
176
107
621
655
-34
822
597
225
819
141
678
995
1,292
-297
2,014
332
1,682
576
603
-27
1,115
1,058
57
4,381
743
3,638
832
630
202
1,298
845
453
629
741
-112
697
508
189
1,180
901
279
699
626
73
883
1,073
-190
439
252
187
940
814
126
1,070
799
271
1,197
1,320
-123
329
356
-27
522
578
-56
842
747
95
427
432
-5
680
484
196
1,295
1,211
84
797
529
268
1,190
1,076
114
1,259
934
325
443
370
73
2,545
492
2,053
445
63
382
904
385
519
538
310
228
651
311
340
403
188
215
392
368
24
1,161
917
244
479
266
213
595
239
356
2,262
2,048
214
900
422
478
587
470
117
281
304
-23
44
48
-4
10,608
10,405
203
5,296
5,063
233
738
848
-110
628
713
-85
215
243
-28
500
520
-20
773
803
-30
258
267
-9
228
237
-9
85
89
-4
919
948
-29
1,060
1,094
-34
459
472
-13
86
89
-3
437
421
16
108
112
-4
656
635
21
29
28
1
288
270
18
231
216
15
29
27
2
58
54
4
7,075
6,660
415
92
87
5
3,006
3,270
-264
463
496
-33
231
248
-17
307
331
-24
154
165
-11
2,188
2,390
-202
2,223
2,353
-130
2,194
2,285
-91
2,824
2,749
75
676
651
25
26,039
26,486
-447
21,288
20,996
292
9,746
9,596
150
2,649
2,844
-195
3,690
3,653
37
1,780
717
1,063
7,708
3,088
4,620
11,938
9,375
2,563
9,367
4,711
4,656
10,345
11,248
-903
514
513
1
310
32
278
175
269
-94
1,235
1,260
-25
1,821
1,968
-147
398
492
-94
1,908
134
1,774
461
493
-32
458
198
260
587
642
-55
447
303
144
464
447
17
503
75
428
468
306
162
468
553
-85
315
268
47
650
731
-81
162
629
-467
143
376
-233
304
261
43
342
428
-86
530
524
6
915
935
-20
456
515
-59
634
148
486
771
266
505
270
175
95
263
294
-31
220
369
-149
547
339
208
287
60
227
312
723
-411
801
142
659
187
201
-14
556
570
-14
2,470
410
2,060
436
315
121
560
446
114
350
371
-21
526
339
187
465
450
15
637
626
11
499
537
-38
378
252
126
722
803
-81
657
499
158
614
640
-26
164
178
-14
202
430
-228
469
427
42
383
322
61
612
605
7
364
316
48
750
925
-175
296
333
-37
547
534
13
233
247
-14
1,109
208
901
223
31
192
350
154
196
287
149
138
274
188
86
84
92
-8
564
573
-9
346
199
147
881
931
-50
545
280
265
269
302
-33
313
410
-97
502
808
-306
84
135
-51
84
135
-51
146
375
-229
1,193
2,740
-1,547
4,278
9,897
-5,619
951
1,616
-665
536
943
-407
1,436
2,424
-988
8,778
10,007
-1,229
834
1,026
-192
954
96
858
2,212
1,074
1,138
1,102
727
375
3,811
3,937
-126
639
984
-345
2,994
230
2,764
450
657
-207
766
349
417
858
1,070
-212
290
298
-8
647
536
111
696
783
-87
977
185
792
1,154
903
251
628
954
-326
492
535
-43
515
597
-82
584
731
-147
176
937
-761
367
347
20
1,092
1,498
-406
738
917
-179
1,403
1,661
-258
353
515
-162
985
250
735
1,030
479
551
207
175
32
205
294
-89
308
665
-357
1,025
676
349
489
141
348
317
1,365
-1,048
1,596
332
1,264
465
603
-138
926
1,058
-132
4,198
743
3,455
723
581
142
830
804
26
688
741
-53
822
678
144
783
901
-118
291
293
-2
582
626
-44
898
1,073
-175
276
252
24
1,214
1,490
-276
1,010
899
111
939
1,109
-170
312
446
-134
318
713
-395
733
747
-14
405
484
-79
1,145
1,211
-66
440
525
-85
1,136
1,454
-318
564
665
-101
872
934
-62
261
370
-109
1,813
416
1,397
647
94
553
773
385
388
404
248
156
201
188
13
437
643
-206
699
917
-218
459
331
128
1,248
1,489
-241
610
420
190
471
603
-132
466
820
-354
5,000
5,354
-354
5,105
6,564
-1,459
4,600
5,175
-575
15,144
16,046
-902
2,123
2,270
-147
3,720
3,943
-223
38
36
2
2,571
2,493
78
337
325
12
1,139
1,048
91
1,490
1,371
119
1,579
1,451
128
5,160
4,704
456
7,582
19,671
-12,089
12,545
1,150
11,395
2,091
192
1,899
30,750
32,412
-1,662
10,532
10,032
500
1,059
940
119
2,913
1,074
1,839
1,456
727
729
2,608
1,854
754
553
600
-47
111
123
-12
3,098
172
2,926
790
821
-31
790
264
526
786
856
-70
654
396
258
614
559
55
950
104
846
1,592
1,519
73
708
715
-7
391
356
35
590
506
84
330
625
-295
359
259
100
1,195
1,070
125
708
655
53
1,180
1,142
38
492
515
-23
5,190
5,155
35
1,027
135
892
1,112
373
739
293
174
119
587
588
-1
359
429
-70
899
506
393
909
664
245
1,557
150
1,407
401
402
-1
829
814
15
4,167
563
3,604
582
388
194
951
555
396
861
741
120
769
682
87
768
600
168
686
586
100
724
537
187
839
746
93
1,419
1,108
311
793
599
194
835
796
39
227
267
-40
526
706
-180
714
640
74
1,048
964
84
574
419
155
1,051
1,057
-6
698
665
33
895
563
332
1,866
312
1,554
273
31
242
600
231
369
378
198
180
699
531
168
477
459
18
800
688
112
337
198
139
215
186
29
1,077
927
150
556
280
276
701
602
99
561
683
-122
10,000
11,222
-1,222
16,190
16,043
147
2,141
2,765
-624
243
221
22
4,274
4,550
-276
539
495
44
158
142
16
923
856
67
12
11
1
406
374
32
23
21
2
374
342
32
800
705
95
24
21
3
809
732
77
47
42
5
1,174
1,024
150
1,506
515
991
1,514
727
787
6,313
3,708
2,605
543
718
-175
3,825
192
3,633
292
328
-36
292
294
-2
653
274
379
277
298
-21
655
443
212
639
615
24
1,290
138
1,152
1,058
1,012
46
741
894
-153
397
401
-4
591
540
51
266
727
-461
553
341
212
1,454
1,284
170
137
131
6
683
318
365
1,142
1,195
-53
419
515
-96
992
135
857
997
373
624
276
174
102
615
580
35
999
505
494
814
569
245
1,474
91
1,383
369
402
-33
768
814
-46
4,907
589
4,318
655
458
197
998
518
480
504
371
133
1,004
959
45
861
751
110
575
605
-30
1,256
805
451
838
841
-3
2,189
1,478
711
931
698
233
636
654
-18
211
267
-56
556
842
-286
611
534
77
1,392
1,125
267
553
395
158
1,304
1,259
45
775
695
80
835
537
298
1,749
310
1,439
587
63
524
769
308
461
477
248
229
468
368
100
519
549
-30
824
836
-12
405
264
141
1,557
1,294
263
621
350
271
785
600
185
470
547
-77
12,307
12,143
164
605
580
25
5,000
5,090
-90
2,637
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
844
b
629
c
-151
d
-73
e
86
1,064
475
34
-1,839
32
-3
28
178
-64
24
2,242
1,786
2,230
295
135
201
427
638
644
1,909
180
183
-1,191
-352
-29
5,047
3,098
-83
209
70
295
641
26
545
-40
92
579
50
-20
3,205
24
888
25
449
-3
-22
-2
-2
1,409
478
244
94
12
-98
-112
276
-261
-151
-113
499
60
131
-2
11
844
1,020
107
-34
225
678
-297
1,682
-27
57
3,638
202
453
-112
189
279
73
-190
187
126
271
-123
-27
-56
95
-5
196
84
268
114
325
73
2,053
382
519
228
340
215
24
244
213
356
214
478
117
-23
-4
203
233
-110
-85
-28
-20
-30
-9
-9
-4
-29
-34
-13
-3
16
-4
21
1
18
15
2
4
415
5
-264
-33
-17
-24
-11
-202
-130
-91
75
25
-447
292
150
-195
37
1,063
4,620
2,563
4,656
-903
1
278
-94
-25
-147
-94
1,774
-32
260
-55
144
17
428
162
-85
47
-81
-467
-233
43
-86
6
-20
-59
486
505
95
-31
-149
208
227
-411
659
-14
-14
2,060
121
114
-21
187
15
11
-38
126
-81
158
-26
-14
-228
42
61
7
48
-175
-37
13
-14
901
192
196
138
86
-8
-9
147
-50
265
-33
-97
-306
-51
-51
-229
-1,547
-5,619
-665
-407
-988
-1,229
-192
858
1,138
375
-126
-345
2,764
-207
417
-212
-8
111
-87
792
251
-326
-43
-82
-147
-761
20
-406
-179
-258
-162
735
551
32
-89
-357
349
348
-1,048
1,264
-138
-132
3,455
142
26
-53
144
-118
-2
-44
-175
24
-276
111
-170
-134
-395
-14
-79
-66
-85
-318
-101
-62
-109
1,397
553
388
156
13
-206
-218
128
-241
190
-132
-354
-354
-1,459
-575
-902
-147
-223
2
78
12
91
119
128
456
-12,089
11,395
1,899
-1,662
500
119
1,839
729
754
-47
-12
2,926
-31
526
-70
258
55
846
73
-7
35
84
-295
100
125
53
38
-23
35
892
739
119
-1
-70
393
245
1,407
-1
15
3,604
194
396
120
87
168
100
187
93
311
194
39
-40
-180
74
84
155
-6
33
332
1,554
242
369
180
168
18
112
139
29
150
276
99
-122
-1,222
147
-624
22
-276
44
16
67
1
32
2
32
95
3
77
5
150
991
787
2,605
-175
3,633
-36
-2
379
-21
212
24
1,152
46
-153
-4
51
-461
212
170
6
365
-53
-96
857
624
102
35
494
245
1,383
-33
-46
4,318
197
480
133
45
110
-30
451
-3
711
233
-18
-56
-286
77
267
158
45
80
298
1,439
524
461
229
100
-30
-12
141
263
271
185
-77
164
25
-90
2
Capital gain net income or (net capital loss)
If gain, also enter in Part I, line 7
If (loss), enter -0- in Part I, line 7
2
103,363
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
...................
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?
Yes
No
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
163,804
3,238,286
0.050584
2017
152,261
3,309,191
0.046012
2016
147,313
3,148,955
0.046782
2015
148,772
3,027,293
0.049144
2014
80,043
3,183,020
0.025147
2
Total
of line 1, column (d)
.....................
2
0.217669
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
0.043534
4
Enter the net value of noncharitable-use assets for 2019 from Part X, line 5
......
4
3,302,218
5
Multiply line 4 by line 3
......................
5
143,759
6
Enter 1% of net investment income (1% of Part I, line 27b)
...........
6
1,633
7
Add lines 5 and 6
........................
7
145,392
8
Enter qualifying distributions from Part XII, line 4
,.............
8
169,062
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
and enter “N/A" on line 1.
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
1,633
here
and 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
1,633
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
1,633
6
Credits/Payments:
a
2019 estimated tax payments and 2018 overpayment credited to 2019
6a
1,272
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
7
Total credits and payments. Add lines 6a through 6d
..............
7
1,272
8
Enter any
penalty
for underpayment of estimated tax.
Check here
if Form 2220 is attached.
8
0
9
Tax due.
If the total of lines 5 and 8 is more than line 7, enter
amount owed
.......
9
361
10
Overpayment.
If line 7 is more than the total of lines 5 and 8, enter the
amount overpaid
...
10
11
Enter the amount of line 10 to be:
Credited to 2020 estimated tax
0
Refunded
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.
$
(2)
On foundation managers.
$
e
Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed
on foundation managers.
$
2
Has the foundation engaged in any activities that have not previously been reported to the IRS?
.......
2
No
If "Yes," attach a detailed description of the activities.
3
Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles
of incorporation, or bylaws, or other similar instruments?
If "Yes," attach a conformed copy of the changes
....
3
No
4a
Did the foundation have unrelated business gross income of $1,000 or more during the year?
........
4a
No
b
If "Yes," has it filed a tax return on
Form 990-T
for this year?
...................
4b
5
Was there a liquidation, termination, dissolution, or substantial contraction during the year?
.........
5
No
If "Yes," attach the statement required by General Instruction T.
6
Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either:
By language in the governing instrument, or
By state legislation that effectively amends the governing instrument so that no mandatory directions
that conflict with the state law remain in the governing instrument?
................
6
Yes
7
Did the foundation have at least $5,000 in assets at any time during the year?
If "Yes," complete Part II, col. (c),
and Part XV.
.................................
7
Yes
8a
Enter the states to which the foundation reports or with which it is registered (see instructions)
NY
b
If the answer is "Yes" to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney
General (or designate) of each state as required by General Instruction G?
If "No," attach explanation
.
8b
Yes
9
Is the foundation claiming status as a private operating foundation within the meaning of section 4942(j)(3)
or 4942(j)(5) for calendar year 2019 or the taxable year beginning in 2019? See the instructions for Part XIV.
If "Yes," complete Part XIV
.............................
9
No
10
Did any persons become substantial contributors during the tax year?
If "Yes," attach a schedule listing their names
and addresses.
...............................
10
No
Form
990-PF
(2019)
Form 990-PF (2019)
Page
5
Part VII-A
Statements Regarding Activities
(continued)
11
At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the
meaning of section 512(b)(13)? If "Yes," attach schedule. See instructions
.............
11
No
12
Did the foundation make a distribution to a donor advised fund over which the foundation or a disqualified person had
advisory privileges? If "Yes," attach statement. See instructions
.................
12
No
13
Did the foundation comply with the public inspection requirements for its annual returns and exemption application?
13
Yes
Website address
14
The books are in care of
JP MORGAN CHASE BANK NA
Telephone no.
(800) 496-2583
Located at
10 S DEARBORN ST MC IL 1-0111
CHICAGO
IL
ZIP+4
60603
15
Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of
Form 1041
—check here
.........
and enter the amount of tax-exempt interest received or accrued during the year
........
15
16
At any time during calendar year 2019, did the foundation have an interest in or a signature or other authority over
Yes
No
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
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?
Yes
No
(2)
Borrow money from, lend money to, or otherwise extend credit to (or accept it from)
a disqualified person?
......................
Yes
No
(3)
Furnish goods, services, or facilities to (or accept them from) a disqualified person?
Yes
No
(4)
Pay compensation to, or pay or reimburse the expenses of, a disqualified person?
Yes
No
(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)?
...............
Yes
No
(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.)
.......
Yes
No
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
Organizations relying on a current notice regarding disaster assistance check here
........
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?
.............
Yes
No
If "Yes," list the years
20
,
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.
20
,
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?
......................
Yes
No
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))?
Yes
No
(2)
Influence the outcome of any specific public election (see section 4955); or to carry
on, directly or indirectly, any voter registration drive?
.............
Yes
No
(3)
Provide a grant to an individual for travel, study, or other similar purposes?
Yes
No
(4)
Provide a grant to an organization other than a charitable, etc., organization described
in section 4945(d)(4)(A)? See instructions
................
Yes
No
(5)
Provide for any purpose other than religious, charitable, scientific, literary, or
educational purposes, or for the prevention of cruelty to children or animals?
.....
Yes
No
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
Organizations relying on a current notice regarding disaster assistance check here
.........
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?
..........
Yes
No
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?
.....................
Yes
No
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?
Yes
No
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?
.................
Yes
No
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
JP MORGAN CHASE BANK N A
TRUSTEE
2
28,738
10 S DEARBORN ST MC IL 1-0111
CHICAGO
,
IL
60603
2
Compensation of five highest-paid employees (other than those included on line 1—see instructions). If none, enter “NONE."
(a)
Name and address of each employee paid more than $50,000
(b)
Title, and average
hours per week
devoted to position
(c)
Compensation
(d)
Contributions to
employee benefit
plans and deferred
compensation
(e)
Expense account,
other allowances
NONE
Total
number of other employees paid over $50,000
...................
0
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
NONE
Total
number of others receiving over $50,000 for professional services
.............
0
Part IX-A
Summary of Direct Charitable Activities
List the foundation’s four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of organizations and other beneficiaries served, conferences convened, research papers produced, etc.
Expenses
1
2
3
4
Part IX-B
Summary of Program-Related Investments
(see instructions)
Describe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2.
Amount
1
2
All other program-related investments. See instructions.
3
Total.
Add lines 1 through 3
.........................
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
3,260,965
b
Average of monthly cash balances
.......................
1b
91,541
c
Fair market value of all other assets (see instructions)
................
1c
0
d
Total
(add lines 1a, b, and c)
.........................
1d
3,352,506
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
3,352,506
4
Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
instructions)
.............................
4
50,288
5
Net value of noncharitable-use assets.
Subtract line 4 from line 3. Enter here and on Part V, line 4
5
3,302,218
6
Minimum investment return.
Enter 5% of line 5
..................
6
165,111
Part XI
Distributable Amount
(see instructions) (Section 4942(j)(3) and (j)(5) private operating foundations and certain foreign organizations check here
and do not complete this part.)
1
Minimum investment return from Part X, line 6
....................
1
165,111
2a
Tax on investment income for 2019 from Part VI, line 5
......
2a
1,633
b
Income tax for 2019. (This does not include the tax from Part VI.)
...
2b
c
Add lines 2a and 2b
............................
2c
1,633
3
Distributable amount before adjustments. Subtract line 2c from line 1
............
3
163,478
4
Recoveries of amounts treated as qualifying distributions
................
4
0
5
Add lines 3 and 4
............................
5
163,478
6
Deduction from distributable amount (see instructions)
.................
6
0
7
Distributable amount
as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII, line 1
...
7
163,478
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
169,062
b
Program-related investments—total from Part IX-B
..................
1b
0
2
Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc.,
purposes
...............................
2
0
3
Amounts set aside for specific charitable projects that satisfy the:
a
Suitability test (prior IRS approval required)
....................
3a
0
b
Cash distribution test (attach the required schedule)
.................
3b
0
4
Qualifying distributions.
Add lines 1a through 3b. Enter here and on Part V, line 8, and Part XIII, line 4
4
169,062
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
1,633
6
Adjusted qualifying distributions.
Subtract line 5 from line 4
..............
6
167,429
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
163,478
2
Undistributed income, if any, as of the end of 2019:
a
Enter amount for 2018 only
.......
157,897
b
Total for prior years:
20
,
20
,
20
0
3
Excess distributions carryover, if any, to 2019:
a
From 2014
......
0
b
From 2015
......
0
c
From 2016
......
0
d
From 2017
......
0
e
From 2018
......
0
f
Total
of lines 3a through e
........
0
4
Qualifying distributions for 2019 from Part
XII, line 4:
$
169,062
a
Applied to 2018, but not more than line 2a
157,897
b
Applied to undistributed income of prior years
(Election required—see instructions)
.....
0
c
Treated as distributions out of corpus (Election
required—see instructions)
........
0
d
Applied to 2019 distributable amount
.....
11,165
e
Remaining amount distributed out of corpus
0
5
Excess distributions carryover applied to 2019.
0
0
(If an amount appears in column (d), the
same amount must be shown in column (a).)
6
Enter the net total of each column as
indicated below:
a
Corpus. Add lines 3f, 4c, and 4e. Subtract line 5
0
b
Prior years’ undistributed income. Subtract
line 4b from line 2b
..........
0
c
Enter the amount of prior years’ undistributed
income for which a notice of deficiency has
been issued, or on which the section 4942(a)
tax has been previously assessed
......
0
d
Subtract line 6c from line 6b. Taxable amount
—see instructions
...........
0
e
Undistributed income for 2018. Subtract line
4a from line 2a. Taxable amount—see
instructions
.............
0
f
Undistributed income for 2019. Subtract
lines 4d and 5 from line 1. This amount must
be distributed in 2020
..........
152,313
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)
.......
0
8
Excess distributions carryover from 2014 not
applied on line 5 or line 7 (see instructions)
...
0
9
Excess distributions carryover to 2020.
Subtract lines 7 and 8 from line 6a
......
0
10
Analysis of line 9:
a
Excess from 2015
....
0
b
Excess from 2016
....
0
c
Excess from 2017
....
0
d
Excess from 2018
....
0
e
Excess from 2019
....
0
Form
990-PF
(2019)
Form 990-PF (2019)
Page
10
Part XIV
Private Operating Foundations
(see instructions and Part VII-A, question 9)
1a
If the foundation has received a ruling or determination letter that it is a private operating
foundation, and the ruling is effective for 2019, enter the date of the ruling
.......
b
Check box to indicate whether the organization is a private operating foundation described in section
4942(j)(3)
or
4942(j)(5)
2a
Enter the lesser of the adjusted net
income from Part I or the minimum
investment return from Part X for each
year listed
..........
Tax year
Prior 3 years
(e) Total
(a)
2019
(b)
2018
(c)
2017
(d)
2016
b
85% of line 2a
.........
c
Qualifying distributions from Part XII,
line 4 for each year listed
.....
d
Amounts included in line 2c not used directly
for active conduct of exempt activities
..........
e
Qualifying distributions made directly
for active conduct of exempt activities.
Subtract line 2d from line 2c
....
3
Complete 3a, b, or c for the
alternative test relied upon:
a
“Assets" alternative test—enter:
(1)
Value of all assets
......
(2)
Value of assets qualifying
under section 4942(j)(3)(B)(i)
b
“Endowment" alternative test— enter 2/3
of minimum investment return shown in
Part X, line 6 for each year listed
...
c
“Support" alternative test—enter:
(1)
Total support other than gross
investment income (interest,
dividends, rents, payments
on securities loans (section
512(a)(5)), or royalties)
....
(2)
Support from general public
and 5 or more exempt
organizations as provided in
section 4942(j)(3)(B)(iii)
....
(3)
Largest amount of support
from an exempt organization
(4)
Gross investment income
Part XV
Supplementary Information (Complete this part only if the foundation had $5,000 or more in
assets at any time during the year—see instructions.)
1
Information Regarding Foundation Managers:
a
List 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).)
b
List 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.
2
Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc., Programs:
Check here
if the foundation only makes contributions to preselected charitable organizations and does not accept
unsolicited requests for funds. If the foundation makes gifts, grants, etc. to individuals or organizations under
other conditions, complete items 2a, b, c, and d. See instructions
a
The name, address, and telephone number or email address of the person to whom applications should be addressed:
b
The form in which applications should be submitted and information and materials they should include:
c
Any submission deadlines:
d
Any restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
factors:
Form
990-PF
(2019)
Form 990-PF (2019)
Page
11
Part XV
Supplementary Information
(continued)
3
Grants and Contributions Paid During the Year or Approved for Future Payment
Recipient
If recipient is an individual,
show any relationship to
any foundation manager
or substantial contributor
Foundation
status of
recipient
Purpose of grant or
contribution
Amount
Name and address (home or business)
a
Paid during the year
TRINITY-PAWLING SCHOOL
700 ROUTE 22
PAWLING
,
NY
12564
NONE
PC
GENERAL
158,000
Total
.................................
3a
158,000
b
Approved for future payment
Total
.................................
3b
Form
990-PF
(2019)
Form 990-PF (2019)
Page
12
Part XVI-A
Analysis of Income-Producing Activities
Enter gross amounts unless otherwise indicated.
Unrelated business income
Excluded by section 512, 513, or 514
(e)
Related or exempt
function income
(See instructions.)
1
Program service revenue:
(a)
Business code
(b)
Amount
(c)
Exclusion code
(d)
Amount
a
b
c
d
e
f
g
Fees 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
78,657
5
Net rental income or (loss) from real estate:
a
Debt-financed property
......
b
Not debt-financed property
.....
6
Net rental income or (loss) from personal property
7
Other investment income
.....
8
Gain or (loss) from sales of assets other than
inventory
............
18
103,363
9
Net income or (loss) from special events:
10
Gross profit or (loss) from sales of inventory
11
Other revenue:
a
FEDERAL TAX REFUND
1
400
b
c
d
e
12
Subtotal. Add columns (b), (d), and (e)
..
182,420
13
Total.
Add line 12, columns (b), (d), and (e)
..................
13
182,420
(See worksheet in line 13 instructions to verify calculations.)
Part XVI-B
Relationship of Activities to the Accomplishment of Exempt Purposes
Line No.
Explain below how each activity for which income is reported in column (e) of Part XVI-A contributed importantly to
the accomplishment of the foundation’s exempt purposes (other than by providing funds for such purposes). (See
instructions.)
Form
990-PF
(2019)
Form 990-PF (2019)
Page
13
Part XVII
Information Regarding Transfers To and Transactions and Relationships With Noncharitable Exempt Organizations
1
Did the organization directly or indirectly engage in any of the following with any other organization described in section 501(c) (other than section 501(c)(3) organizations) or in section 527, relating to political organizations?
Yes
No
a
Transfers from the reporting foundation to a noncharitable exempt organization of:
(1)
Cash
...................................
1a(1)
No
(2)
Other assets
.................................
1a(2)
No
b
Other transactions:
(1)
Sales of assets to a noncharitable exempt organization
....................
1b(1)
No
(2)
Purchases of assets from a noncharitable exempt organization
..................
1b(2)
No
(3)
Rental of facilities, equipment, or other assets
.......................
1b(3)
No
(4)
Reimbursement arrangements
...........................
1b(4)
No
(5)
Loans or loan guarantees
.............................
1b(5)
No
(6)
Performance of services or membership or fundraising solicitations
................
1b(6)
No
c
Sharing of facilities, equipment, mailing lists, other assets, or paid employees
..............
1c
No
d
If the answer to any of the above is "Yes," complete the following schedule. Column
(b)
should always show the fair market value
of the goods, other assets, or services given by the reporting foundation. If the foundation received less than fair market value
in any transaction or sharing arrangement, show in column
(d)
the value of the goods, other assets, or services received.
(a)
Line No.
(b)
Amount involved
(c)
Name of noncharitable exempt organization
(d)
Description of transfers, transactions, and sharing arrangements
2a
Is the foundation directly or indirectly affiliated with, or related to, one or more tax-exempt organizations
described in section 501(c) (other than section 501(c)(3)) or in section 527?
...........
Yes
No
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.
May the IRS discuss this return
with the preparer shown below
(see instr.)
Yes
No
Signature of officer or trustee
Date
Title
Paid Preparer Use Only
Print/Type preparer's name
Preparer's Signature
Date
Check if self-
employed
PTIN
Firm's name
Firm's EIN
Firm's address
Phone no.
Form
990-PF
(2019)
Additional Data
Software ID:
Software Version:
Form 990PF - Special Condition Description:
Special Condition Description