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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
01-01-2019
, and ending
12-31-2019
Name of foundation
DANIEL AND SUSAN PFAU CHARITABLE FOUNDATION
Number and street (or P.O. box number if mail is not delivered to street address)
116 ALLEGHENY CENTER MALL P8YB3502L
Room/suite
City or town, state or province, country, and ZIP or foreign postal code
PITTSBURGH
,
PA
15212
A Employer identification number
31-1411794
B
Telephone number (see instructions)
(412) 762-0861
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)
$
26,442,159
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
...
584,814
584,814
5a
Gross rents
............
b
Net rental income or (loss)
6a
Net gain or (loss) from sale of assets not on line 10
264,515
b
Gross sales price for all assets on line 6a
4,367,817
7
Capital gain net income (from Part IV, line 2)
...
264,515
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)
.......
12
Total.
Add lines 1 through 11
........
849,329
849,329
13
Compensation of officers, directors, trustees, etc.
66,638
53,310
13,328
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)
...
7,375
475
0
19
Depreciation (attach schedule) and depletion
...
0
0
20
Occupancy
..............
21
Travel, conferences, and meetings
.......
592
0
0
592
22
Printing and publications
..........
0
0
23
Other expenses (attach schedule)
.......
63,180
942
62,238
24
Total operating and administrative expenses.
Add lines 13 through 23
..........
137,785
54,727
0
76,158
25
Contributions, gifts, grants paid
.......
1,318,775
1,318,775
26
Total expenses and disbursements.
Add lines 24 and 25
1,456,560
54,727
0
1,394,933
27
Subtract line 26 from line 12:
a
Excess of revenue over expenses and disbursements
-607,231
b
Net investment income
(if negative, enter -0-)
794,602
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
.............
2
Savings and temporary cash investments
.........
398,355
456,279
456,279
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)
1,995
1,824
1,914
b
Investments—corporate stock (attach schedule)
.......
5,746,627
5,927,287
8,587,370
c
Investments—corporate bonds (attach schedule)
.......
2,333,716
1,821,331
1,847,376
11
Investments—land, buildings, and equipment: basis
Less: accumulated depreciation (attach schedule)
12
Investments—mortgage loans
.............
13
Investments—other (attach schedule)
..........
10,999,447
10,666,225
15,549,220
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)
19,480,140
18,872,946
26,442,159
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
........
19,480,140
18,872,946
27
Paid-in or capital surplus, or land, bldg., and equipment fund
28
Retained earnings, accumulated income, endowment, or other funds
0
29
Total net assets or fund balances
(see instructions)
.....
19,480,140
18,872,946
30
Total liabilities and net assets/fund balances
(see instructions)
.
19,480,140
18,872,946
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
19,480,140
2
Enter amount from Part I, line 27a
.....................
2
-607,231
3
Other increases not included in line 2 (itemize)
3
37
4
Add lines 1, 2, and 3
..........................
4
18,872,946
5
Decreases not included in line 2 (itemize)
5
0
6
Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 29
.
6
18,872,946
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
5.04 FEDERAL HOME LN MTG CORP GOLD POOL C00676
1998-12-29
2019-01-01
b
8.97 GOVERNMENT NATL MTG ASSN POOL 489108
1999-07-27
2019-01-01
c
1. ALPHABET INC/CA-CL A
2014-08-26
2019-01-02
d
1. AMAZON.COM INC
2018-06-07
2019-01-02
e
6. APPLE INC
2017-10-09
2019-01-02
1544. APPLIED MATERIALS INC
2016-09-14
2019-01-02
1. AUTOZONE INC
2018-10-15
2019-01-02
3. BIOGEN INC
2016-09-14
2019-01-02
2. BOEING CO
2018-06-07
2019-01-02
4. BURLINGTON STORES INC
2016-09-14
2019-01-02
1523. DOWDUPONT INC REV SPLIT 06/03/19
2019-01-02
337. FEDEX CORPORATION
2018-06-07
2019-01-02
3240. FIRST DATA CORP- CLASS A MERGED 07/29/19
2018-10-15
2019-01-02
1939. SUNCOR ENERGY INC ISIN CA8672241079 SEDOL B3NB1P2
2018-10-15
2019-01-02
1371. TEXAS INSTRS INC COM
2016-03-03
2019-01-02
792. UNITED TECHNOLOGIES CORP COM
2018-10-15
2019-01-02
696. ROYAL CARRIBEAN CRUISES LTD SEDOL 2754907 ISIN LR0008862868
2017-10-09
2019-01-02
4.57 FEDERAL HOME LN MTG CORP GOLD POOL C00676
1998-12-29
2019-01-15
8.29 GOVERNMENT NATL MTG ASSN POOL 489108
1999-07-27
2019-01-15
100000. WELLS FARGO & COMPANY UNSC
2014-01-16
2019-01-15
6.04 FEDERAL HOME LN MTG CORP GOLD POOL C00676
1998-12-29
2019-01-31
8.34 GOVERNMENT NATL MTG ASSN POOL 489108
1999-07-27
2019-01-31
1. FEDERAL HOME LOAN MORTGAGE CORP XXX-XX-XXXX
2001-01-01
2019-02-13
6.98 FEDERAL HOME LN MTG CORP GOLD POOL C00676
1998-12-29
2019-02-28
8.4 GOVERNMENT NATL MTG ASSN POOL 489108
1999-07-27
2019-02-28
1. PFIZER INC XXX-XX-XXXX
2001-01-01
2019-03-20
8.18 FEDERAL HOME LN MTG CORP GOLD POOL C00676
1998-12-29
2019-03-31
8.45 GOVERNMENT NATL MTG ASSN POOL 489108
1999-07-27
2019-03-31
824. ABBVIE INC
2018-06-07
2019-04-04
1. AMERICAN WATER WORKS CO INC
2016-03-03
2019-04-04
2. AMGEN INC
2014-04-08
2019-04-04
938. APPLE INC
2019-04-04
2359. ARCHER DANIELS MIDLAND CO
2018-10-15
2019-04-04
2. AUTOMATIC DATA PROCESSING INC
2018-06-07
2019-04-04
3. BANK NEW YORK MELLON CORP COM
2016-09-14
2019-04-04
2. BAXTER INTERNATIONAL INC
2018-06-07
2019-04-04
360. BIOGEN INC
2019-04-04
4. BRISTOL MYERS SQUIBB CO
2018-10-15
2019-04-04
442. BURLINGTON STORES INC
2016-09-14
2019-04-04
7. CBRE GROUP INC
2018-06-07
2019-04-04
4. CSX CORP COM
2018-10-15
2019-04-04
3. CENTENE CORP
2018-06-07
2019-04-04
549. CHEVRON CORPORATION
2018-10-15
2019-04-04
1194. CITIGROUP INC
2017-10-09
2019-04-04
7. CITIZENS FINANCIAL GROUP
2017-02-01
2019-04-04
10. COMCAST CORPORATION CL A
2018-10-15
2019-04-04
3. CONOCOPHILLIPS
2018-06-07
2019-04-04
1. DANAHER CORP
2018-10-15
2019-04-04
2. DOLLAR GENERAL CORP
2018-12-28
2019-04-04
2. EASTMAN CHEM CO
2018-06-07
2019-04-04
2. FACEBOOK INC
2016-03-03
2019-04-04
1. HOME DEPOT INC COM
2012-02-08
2019-04-04
6. J P MORGAN CHASE & CO COM
2006-05-09
2019-04-04
3. KOHLS CORP COM
2018-06-07
2019-04-04
3. LILLY ELI & CO
2018-10-15
2019-04-04
824. MCCORMICK & CO INC COM NON VTG
2018-10-15
2019-04-04
2. MCDONALDS CORP COM
2017-10-09
2019-04-04
2046. MORGAN STANLEY
2017-02-01
2019-04-04
1037. OCCIDENTAL PETE CORP COM
2018-06-07
2019-04-04
7. PFIZER INC COM
2018-06-07
2019-04-04
1052. PRICE T ROWE GROUP INC COM
2017-10-09
2019-04-04
1. RAYTHEON COMPANY
2016-03-03
2019-04-04
1. S&P GLOBAL INC
2016-06-01
2019-04-04
5. SUNTRUST BANKS INC COM
2017-02-01
2019-04-04
3. T-MOBILE US INC
2017-10-09
2019-04-04
4. TOTAL FINA S A
2015-08-19
2019-04-04
2. UNITED RENTALS INC COM
2017-10-09
2019-04-04
1. UNITEDHEALTH GROUP INC COM
2017-02-01
2019-04-04
2. VISA INC CLASS A SHARES
2013-01-14
2019-04-04
3. WEC ENERGY GROUP INC
2009-03-31
2019-04-04
3. WASTE MANAGEMENT INC
2018-06-07
2019-04-04
268. WELLCARE HEALTH PLANS, INC. MERGED 1/23/20 @ $120.00 P/S
2018-10-15
2019-04-04
1370. TE CONNECTIVITY LTD SEDOL B62B7C3 ISIN CH0102993182
2017-10-09
2019-04-04
100000. MEDTRONIC INC COGT
2016-10-12
2019-04-06
100000. JOHN DEERE CAPITAL CORP UNSEC
2014-04-10
2019-04-17
6.21 FEDERAL HOME LN MTG CORP GOLD POOL C00676
1998-12-29
2019-04-30
8.51 GOVERNMENT NATL MTG ASSN POOL 489108
1999-07-27
2019-04-30
3. ALEXION PHARMACEUTICALS INC
2019-04-04
2019-05-15
1. ALPHABET INC/CA-CL A
2019-04-04
2019-05-15
5. AMERICAN WATER WORKS CO INC
2016-03-03
2019-05-15
3. AMGEN INC
2014-04-08
2019-05-15
822. AMPHENOL CORP NEW CL A
2019-05-15
5. APPLE INC
2006-08-28
2019-05-15
4. AUTOMATIC DATA PROCESSING INC
2018-06-07
2019-05-15
1. AUTOZONE INC
2019-04-04
2019-05-15
9. BP PLC SPONSORED ADR
2019-04-04
2019-05-15
34. BANK OF AMERICA CORP
2019-04-04
2019-05-15
1305. BANK NEW YORK MELLON CORP COM
2016-09-14
2019-05-15
6. BAXTER INTERNATIONAL INC
2018-06-07
2019-05-15
379. BOEING CO
2019-05-15
9. BOOZ ALLEN HAMILTON HOLDING
2019-04-04
2019-05-15
7. BRISTOL MYERS SQUIBB CO
2018-10-15
2019-05-15
2. BROADCOM INC
2019-04-04
2019-05-15
2. BURLINGTON STORES INC
2016-09-14
2019-05-15
13. CBRE GROUP INC
2018-06-07
2019-05-15
8. CSX CORP COM
2018-10-15
2019-05-15
6. CELANESE CORP
2018-06-07
2019-05-15
7. CENTENE CORP
2018-06-07
2019-05-15
3. CHEVRON CORPORATION
2018-10-15
2019-05-15
6. CHURCH & DWIGHT INC
2019-04-04
2019-05-15
17. CISCO SYS INC COM
2019-05-15
14. CITIZENS FINANCIAL GROUP
2017-02-01
2019-05-15
19. COMCAST CORPORATION CL A
2018-10-15
2019-05-15
6. CONOCOPHILLIPS
2018-06-07
2019-05-15
2. COSTCO WHSL CORP NEW COM
2019-04-04
2019-05-15
4. DANAHER CORP
2018-10-15
2019-05-15
4. DOLLAR GENERAL CORP
2018-12-28
2019-05-15
4. DUKE ENERGY HOLDING CORP
2019-05-15
754. EASTMAN CHEM CO
2018-06-07
2019-05-15
4. FACEBOOK INC
2016-03-03
2019-05-15
3. HCA HEALTHCARE INC
2019-04-04
2019-05-15
4. HOME DEPOT INC COM
2012-02-08
2019-05-15
15. INTEL CORP
2018-12-28
2019-05-15
3. INTERNATIONAL FLAVORS & FRAGRANCES INC
2019-04-04
2019-05-15
12. J P MORGAN CHASE & CO COM
2006-05-09
2019-05-15
6. KOHLS CORP COM
2018-06-07
2019-05-15
3. LAUDER ESTEE COS INC CL A
2019-04-04
2019-05-15
4. LILLY ELI & CO
2018-10-15
2019-05-15
4. M&T BK CORP
2019-04-04
2019-05-15
4. MCDONALDS CORP COM
2017-10-09
2019-05-15
16. MICROSOFT CORP
2019-05-15
3. NORFOLK SOUTHN CORP COM
2019-05-15
2. NORTHROP GRUMMAN CORPORATION
2015-08-19
2019-05-15
14. PFIZER INC COM
2018-06-07
2019-05-15
9. PROCTER & GAMBLE CO
2019-04-04
2019-05-15
7. PROGRESSIVE CORP OHIO
2019-04-04
2019-05-15
419. RAYTHEON COMPANY
2016-03-03
2019-05-15
4. S&P GLOBAL INC
2016-06-01
2019-05-15
10. SUNTRUST BANKS INC COM
2017-02-01
2019-05-15
6. T-MOBILE US INC
2017-10-09
2019-05-15
9. TOTAL FINA S A
2015-08-19
2019-05-15
3. UNITED RENTALS INC COM
2017-10-09
2019-05-15
3. UNITEDHEALTH GROUP INC COM
2017-02-01
2019-05-15
4. VISA INC CLASS A SHARES
2013-01-14
2019-05-15
9. WEC ENERGY GROUP INC
2009-03-31
2019-05-15
8. WASTE MANAGEMENT INC
2018-06-07
2019-05-15
9.84 FEDERAL HOME LN MTG CORP GOLD POOL C00676
1998-12-29
2019-05-31
8.57 GOVERNMENT NATL MTG ASSN POOL 489108
1999-07-27
2019-05-31
5.5 FEDERAL HOME LN MTG CORP GOLD POOL C00676
1998-12-29
2019-06-30
8.62 GOVERNMENT NATL MTG ASSN POOL 489108
1999-07-27
2019-06-30
3.06 FEDERAL HOME LN MTG CORP GOLD POOL C00676
1998-12-29
2019-07-31
8.68 GOVERNMENT NATL MTG ASSN POOL 489108
1999-07-27
2019-07-31
3.49 FEDERAL HOME LN MTG CORP GOLD POOL C00676
1998-12-29
2019-08-31
8.74 GOVERNMENT NATL MTG ASSN POOL 489108
1999-07-27
2019-08-31
583. ALEXION PHARMACEUTICALS INC
2019-04-04
2019-09-11
64. ALPHABET INC/CA-CL A
2019-04-04
2019-09-11
9. ALPHABET INC/CA-CL A
2014-08-26
2019-09-11
1. AMAZON.COM INC
2018-06-07
2019-09-11
3. AMERICAN WATER WORKS CO INC
2016-03-03
2019-09-11
3. AMGEN INC
2014-04-08
2019-09-11
4. APPLE INC
2006-08-28
2019-09-11
4. AUTOMATIC DATA PROCESSING INC
2018-06-07
2019-09-11
1. AUTOZONE INC
2018-10-15
2019-09-11
8. BP PLC SPONSORED ADR
2019-04-04
2019-09-11
902. BANK OF AMERICA CORP
2019-04-04
2019-09-11
5. BAXTER INTERNATIONAL INC
2018-06-07
2019-09-11
1360. BERRY GLOBAL GROUP INC
2019-05-15
2019-09-11
8. BOOZ ALLEN HAMILTON HOLDING
2019-04-04
2019-09-11
6. BRISTOL MYERS SQUIBB CO
2018-10-15
2019-09-11
2. BROADCOM INC
2019-04-04
2019-09-11
2. BURLINGTON STORES INC
2016-09-14
2019-09-11
1232. CBRE GROUP INC
2018-06-07
2019-09-11
7. CSX CORP COM
2018-10-15
2019-09-11
5. CELANESE CORP
2018-06-07
2019-09-11
1354. CENTENE CORP
2018-06-07
2019-09-11
3. CHEVRON CORPORATION
2018-10-15
2019-09-11
5. CHURCH & DWIGHT INC
2019-04-04
2019-09-11
14. CISCO SYS INC COM
2018-06-07
2019-09-11
1. CINTAS CORP
2019-05-15
2019-09-11
13. CITIZENS FINANCIAL GROUP
2017-02-01
2019-09-11
18. COMCAST CORPORATION CL A
2018-10-15
2019-09-11
6. CONOCOPHILLIPS
2018-06-07
2019-09-11
3. COSTCO WHSL CORP NEW COM
2019-04-04
2019-09-11
4. DANAHER CORP
2018-10-15
2019-09-11
2. DOLLAR GENERAL CORP
2018-12-28
2019-09-11
873. DUKE ENERGY HOLDING CORP
2018-12-28
2019-09-11
7. E*TRADE FINANCIAL CORP
2019-05-15
2019-09-11
3. FACEBOOK INC
2016-03-03
2019-09-11
3. HCA HEALTHCARE INC
2019-04-04
2019-09-11
183. HOME DEPOT INC COM
2012-02-08
2019-09-11
1506. INTEL CORP
2018-12-28
2019-09-11
1649. INTEL CORP
2019-09-11
514. INTERNATIONAL FLAVORS & FRAGRANCES INC
2019-04-04
2019-09-11
10. J P MORGAN CHASE & CO COM
2006-05-09
2019-09-11
1185. KOHLS CORP COM
2018-06-07
2019-09-11
3. LAUDER ESTEE COS INC CL A
2019-04-04
2019-09-11
4. LILLY ELI & CO
2018-10-15
2019-09-11
736. M&T BK CORP
2019-04-04
2019-09-11
182. MCDONALDS CORP COM
2017-10-09
2019-09-11
658. NORFOLK SOUTHN CORP COM
2018-12-28
2019-09-11
1. NORTHROP GRUMMAN CORPORATION
2015-08-19
2019-09-11
1156. PFIZER INC COM
2018-06-07
2019-09-11
9. PROCTER & GAMBLE CO
2019-04-04
2019-09-11
7. PROGRESSIVE CORP OHIO
2019-04-04
2019-09-11
4. S&P GLOBAL INC
2016-06-01
2019-09-11
8. SUNTRUST BANKS INC COM
2017-02-01
2019-09-11
5. T-MOBILE US INC
2017-10-09
2019-09-11
8. TOTAL FINA S A
2015-08-19
2019-09-11
4. UNITED RENTALS INC COM
2017-10-09
2019-09-11
2. UNITEDHEALTH GROUP INC COM
2017-02-01
2019-09-11
4. VISA INC CLASS A SHARES
2013-01-14
2019-09-11
7. WEC ENERGY GROUP INC
2009-03-31
2019-09-11
674. WASTE MANAGEMENT INC
2018-06-07
2019-09-11
5. INGERSOLL-RAND PLC EXCHANGE 3/02/2020
2019-05-15
2019-09-11
100000. ASTRAZENECA PLC ISIN US046353AF58 SEDOL B88X1V4
2013-01-14
2019-09-18
6.15 FEDERAL HOME LN MTG CORP GOLD POOL C00676
1998-12-29
2019-09-30
8.8 GOVERNMENT NATL MTG ASSN POOL 489108
1999-07-27
2019-09-30
7053.391 JANUS HENDERSON SMALL CAP VALUE FUND N SHARES FUND 1465
2019-10-23
5473.454 VANGUARD INTL VALUE
2017-03-01
2019-10-24
4.38 FEDERAL HOME LN MTG CORP GOLD POOL C00676
1998-12-29
2019-10-31
8.86 GOVERNMENT NATL MTG ASSN POOL 489108
1999-07-27
2019-10-31
3.38 FEDERAL HOME LN MTG CORP GOLD POOL C00676
1998-12-29
2019-11-30
8.92 GOVERNMENT NATL MTG ASSN POOL 489108
1999-07-27
2019-11-30
100000. GEORGIA POWER COMPANY SR UNSEC
2014-01-16
2019-12-01
.495 TRUIST FINANCIAL CORP
2017-02-01
2019-12-19
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
5
5
b
9
9
c
1,045
589
456
d
1,477
1,699
-222
e
935
936
-1
49,979
45,505
4,474
838
778
60
880
830
50
631
745
-114
631
328
303
80,523
81,816
-1,293
53,414
86,858
-33,444
54,660
75,200
-20,540
53,593
71,491
-17,898
128,519
75,306
53,213
83,237
102,833
-19,596
66,756
86,426
-19,670
5
5
8
8
100,000
100,000
6
6
8
8
211
25
186
7
7
8
8
132
25
107
8
8
8
8
67,925
82,690
-14,765
104
68
36
384
239
145
183,836
53,027
130,809
101,015
115,332
-14,317
318
271
47
154
122
32
161
151
10
84,229
97,651
-13,422
185
230
-45
68,141
36,219
31,922
357
337
20
299
280
19
161
179
-18
68,223
64,568
3,655
78,595
89,980
-11,385
243
256
-13
404
346
58
197
206
-9
131
103
28
237
214
23
162
220
-58
354
219
135
200
45
155
632
278
354
217
231
-14
377
332
45
124,803
109,452
15,351
380
320
60
91,746
87,616
4,130
68,726
90,250
-21,524
298
256
42
107,872
97,016
10,856
178
125
53
213
111
102
308
286
22
209
185
24
224
191
33
244
285
-41
248
163
85
314
80
234
230
62
168
307
251
56
74,512
82,370
-7,858
117,903
118,119
-216
100,000
100,000
100,000
100,000
6
6
9
9
380
420
-40
1,123
1,219
-96
550
340
210
502
359
143
75,392
66,093
9,299
931
49
882
631
543
88
987
1,042
-55
371
397
-26
957
992
-35
60,707
53,244
7,463
453
452
1
128,270
142,413
-14,143
539
523
16
320
403
-83
600
607
-7
317
164
153
616
626
-10
620
561
59
596
710
-114
380
417
-37
364
353
11
435
434
1
880
774
106
481
511
-30
812
658
154
372
411
-39
484
488
-4
519
412
107
469
428
41
349
348
1
54,438
82,905
-28,467
720
438
282
365
396
-31
763
180
583
672
701
-29
406
396
10
1,308
555
753
391
462
-71
500
489
11
458
442
16
645
651
-6
791
641
150
1,984
1,764
220
598
488
110
588
352
236
571
511
60
950
927
23
523
509
14
74,325
52,349
21,976
843
443
400
612
572
40
440
369
71
477
430
47
375
427
-52
705
488
217
637
160
477
717
187
530
850
669
181
10
10
9
9
6
6
9
9
3
3
9
9
3
3
9
9
63,625
81,587
-17,962
78,069
77,987
82
10,978
5,297
5,681
1,828
1,699
129
361
204
157
589
359
230
890
39
851
645
543
102
1,155
778
377
302
353
-51
26,518
26,320
198
435
377
58
52,747
67,130
-14,383
557
465
92
295
345
-50
595
607
-12
396
164
232
68,302
59,320
8,982
494
491
3
620
592
28
63,514
80,621
-17,107
362
353
9
359
362
-3
697
620
77
247
218
29
471
475
-4
832
624
208
342
411
-69
876
731
145
557
412
145
316
214
102
82,104
75,051
7,053
309
336
-27
565
328
237
392
396
-4
42,687
8,226
34,461
79,014
70,405
8,609
86,517
7,402
79,115
65,243
67,914
-2,671
1,169
463
706
61,521
91,150
-29,629
595
489
106
444
442
2
113,744
119,858
-6,114
38,099
29,145
8,954
115,991
97,339
18,652
359
176
183
42,975
42,229
746
1,082
927
155
534
509
25
1,005
443
562
537
458
79
396
308
88
411
383
28
504
569
-65
467
325
142
700
160
540
640
146
494
75,376
56,380
18,996
613
603
10
100,000
100,000
6
6
9
9
155,316
148,932
6,384
200,000
184,291
15,709
4
4
9
9
3
3
9
9
100,000
100,000
28
22
6
69,845
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
456
d
-222
e
-1
4,474
60
50
-114
303
-1,293
-33,444
-20,540
-17,898
53,213
-19,596
-19,670
186
107
-14,765
36
145
130,809
-14,317
47
32
10
-13,422
-45
31,922
20
19
-18
3,655
-11,385
-13
58
-9
28
23
-58
135
155
354
-14
45
15,351
60
4,130
-21,524
42
10,856
53
102
22
24
33
-41
85
234
168
56
-7,858
-216
-40
-96
210
143
9,299
882
88
-55
-26
-35
7,463
1
-14,143
16
-83
-7
153
-10
59
-114
-37
11
1
106
-30
154
-39
-4
107
41
1
-28,467
282
-31
583
-29
10
753
-71
11
16
-6
150
220
110
236
60
23
14
21,976
400
40
71
47
-52
217
477
530
181
-17,962
82
5,681
129
157
230
851
102
377
-51
198
58
-14,383
92
-50
-12
232
8,982
3
28
-17,107
9
-3
77
29
-4
208
-69
145
145
102
7,053
-27
237
-4
34,461
8,609
79,115
-2,671
706
-29,629
106
2
-6,114
8,954
18,652
183
746
155
25
562
79
88
28
-65
142
540
494
18,996
10
6,384
15,709
6
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
264,515
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
1,487,646
25,282,216
0.058842
2017
1,502,725
24,628,262
0.061016
2016
1,318,022
23,065,412
0.057143
2015
1,534,658
24,234,741
0.063325
2014
1,220,879
24,345,864
0.050147
2
Total
of line 1, column (d)
.....................
2
0.290473
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
0.058095
4
Enter the net value of noncharitable-use assets for 2019 from Part X, line 5
......
4
24,772,889
5
Multiply line 4 by line 3
......................
5
1,439,181
6
Enter 1% of net investment income (1% of Part I, line 27b)
...........
6
7,946
7
Add lines 5 and 6
........................
7
1,447,127
8
Enter qualifying distributions from Part XII, line 4
,.............
8
1,394,933
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
15,892
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
15,892
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
15,892
6
Credits/Payments:
a
2019 estimated tax payments and 2018 overpayment credited to 2019
6a
13,718
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
13,718
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
2,174
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)
OH
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
No
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
PNC BANK NA
Telephone no.
(412) 762-0861
Located at
116 ALLEGHENY CENTER MALL
PITTSBURGH
PA
ZIP+4
15212
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
PNC BANK N A
TRUSTEE
13
66,638
116 ALLEGHENY CENTER MALL
PITTSBURGH
,
PA
15212
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
25,150,141
b
Average of monthly cash balances
.......................
1b
0
c
Fair market value of all other assets (see instructions)
................
1c
0
d
Total
(add lines 1a, b, and c)
.........................
1d
25,150,141
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
25,150,141
4
Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
instructions)
.............................
4
377,252
5
Net value of noncharitable-use assets.
Subtract line 4 from line 3. Enter here and on Part V, line 4
5
24,772,889
6
Minimum investment return.
Enter 5% of line 5
..................
6
1,238,644
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
1,238,644
2a
Tax on investment income for 2019 from Part VI, line 5
......
2a
15,892
b
Income tax for 2019. (This does not include the tax from Part VI.)
...
2b
c
Add lines 2a and 2b
............................
2c
15,892
3
Distributable amount before adjustments. Subtract line 2c from line 1
............
3
1,222,752
4
Recoveries of amounts treated as qualifying distributions
................
4
0
5
Add lines 3 and 4
............................
5
1,222,752
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
1,222,752
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
1,394,933
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
1,394,933
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
1,394,933
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
1,222,752
2
Undistributed income, if any, as of the end of 2019:
a
Enter amount for 2018 only
.......
0
b
Total for prior years:
20
,
20
,
20
0
3
Excess distributions carryover, if any, to 2019:
a
From 2014
......
39,179
b
From 2015
......
343,635
c
From 2016
......
187,029
d
From 2017
......
323,910
e
From 2018
......
250,801
f
Total
of lines 3a through e
........
1,144,554
4
Qualifying distributions for 2019 from Part
XII, line 4:
$
1,394,933
a
Applied to 2018, but not more than line 2a
0
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
.....
1,222,752
e
Remaining amount distributed out of corpus
172,181
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
1,316,735
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
..........
0
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)
...
39,179
9
Excess distributions carryover to 2020.
Subtract lines 7 and 8 from line 6a
......
1,277,556
10
Analysis of line 9:
a
Excess from 2015
....
343,635
b
Excess from 2016
....
187,029
c
Excess from 2017
....
323,910
d
Excess from 2018
....
250,801
e
Excess from 2019
....
172,181
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 e-mail address of the person to whom applications should be addressed:
DANIEL AND SUSAN PFAU FOUNDATION
200 WEST FOURTH STREET
CINCINNATI
,
OH
45202
(513) 241-2880
b
The form in which applications should be submitted and information and materials they should include:
LETTER OF INQUIRY REQUIRED - REFER TO www.gcfdn.org FOR THE ON-LINE FORM (FROM THE MENU TAB, SELECT GRANTS, PRIVATE FOUNDATION GRANTS, AND THEN THE DANIEL AND SUSAN PFAU FOUNDATION)
c
Any submission deadlines:
FOLLOW INSTRUCTIONS ABOVE TO FIND SUBMISSION DEADLINES
d
Any restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
factors:
FOLLOW INSTRUCTIONS ABOVE TO FIND RESTRICTIONS OR LIMITATIONS
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
CISE
100 E EIGHT ST
CINCINNATI
,
OH
45202
NONE
PC
TO SUPPORT THE ANNUAL FUND
25,000
CINCINNATI ASSOCATION FOR THE BLIND
2045 GILBERT AVENUE
CINCINNATI
,
OH
45202
NONE
PC
SUPPORT EARLY CHILDHOOD AND
25,000
CINCINNATI EARLY LEARNING CENTERS
1301 EAST MCMILLAN ST
CINCINNATI
,
OH
45206
NONE
PC
SUPPORT LEARNING PROGRAMS
25,000
ECONOMICS CNTR FOR EDU & RES
PO BOX 210223
CINCINNATI
,
OH
45219
NONE
PC
STUDENT ENTERPRISE PROGRAMS
13,775
EPILEPSY ALLIANCE OHIO
895 CENTRAL AVENUE
CINCINNATI
,
OH
45202
NONE
PC
SUPPORT COUNSELING PROGRAM
20,000
FIRST STEP HOME INC
2211 FULTON AVE
CINCINNATI
,
OH
45206
NONE
PC
SUPPORT SCHOENLING HOME FOR
20,000
HAMILTON LIVING WATER MINISTRY
510 S EIGHTH ST
CINCINNATI
,
OH
45011
NONE
PC
SUPPORT BUILDING SUCCESS
15,000
MENTAL HEALTH & ADDICTION ADVOCACY COALI
2600 VICTORY PARKWAY
CINCINNATI
,
OH
45206
NONE
PC
BEHAVORIAL HEALTH FOR
20,000
PEOPLE WORKING COOPERATIVELY
4612 PADDOCK RD
CINCINNATI
,
OH
45229
NONE
PC
MODIFICATIONS FOR YOUTH
25,000
PER SCHOLAS INC
800 BANK ST
CINCINNATI
,
OH
45214
NONE
PC
SUPPORT TECHNICAL TRAINING
20,000
NATIONAL HEMOPHILIA FOUNDATION
635 W SEVENTH ST STE 101
CINCINNATI
,
OH
45203
NONE
PC
SUPPORT CAMP NJOYITALL
7,500
AMERICAN DIABETES ASSOCIATION
10200 ALLIANCE AVE STE 101
CINCINNATI
,
OH
45242
NONE
PC
SUPPORT CAMP KORELITZ
25,000
BREAKTHROUGH CINCINNATI INC
6905 GIVEN RD
CINCINNATI
,
OH
45243
NONE
PC
SUPPORT COLLEGE BOUND
20,000
BRIGHTON CENTER INC
PO BOX 325
NEWPORT
,
KY
41072
NONE
PC
SUPPORT YOUTH HOUSING
25,000
CHILDREN INCORPORATED
333 MADISON AVE
COVINGTON
,
KY
41011
NONE
PC
SUPPORT LITTLE CHILDREN
40,000
MINDPEACE
5642 HAMILTON AVE
CINCINNATI
,
OH
45224
NONE
PC
SUPPORT BRAIN HEALTH &
50,000
PUBLIC ALLIES INC
2330 VICTORY PKWY STE 302
CINCINNATI
,
OH
45206
NONE
PC
SUPPORT LEADERSHIP
10,000
THE PARTNERSHIP FOR MENTAL HEALTH INC
71 CAVALIER BLVD STE 209
CINCINNATI
,
OH
41042
NONE
PC
SUPPORT COMMUNITY SVCS.
30,000
TEACH FOR AMERICA INC
1110 MAIN ST
CINCINNATI
,
OH
45202
NONE
PC
SUPPORT EDUCATIONAL
10,000
CAPITAL ROOTS INC
594 RIVER ST
TROY
,
NY
12180
NONE
PC
SUPPORT THE PRODUCE PROJECT
15,000
FAMILY NURTURING CENTER
5 SPIRAL DR STE 100
FLORENCE
,
KY
41042
NONE
PC
SUPPORT THE BLOCK PROGRAM
15,000
ADOPT A CLASS FOUNDATION
2153 W 8TH ST
CINCINNATI
,
OH
45204
NONE
PC
SUPPORT MENTORING PROGRAMS
15,000
TAFT MUSEUM OF ART
316 PIKE ST
CINCINNATI
,
OH
45202
NONE
PC
SUPPORT LOVE THIS HOUSE
20,000
LIGHTHOUSE YOUTH SERVICES INC
401 E MCMILLAN ST
CINCINNATI
,
OH
45206
NONE
PC
SUPPORT THE SHEAKLEY CENTER
30,000
FREESTORE FOODBANK INC
1141 CENTRAL PARKWAY
CINCINNATI
,
OH
45202
NONE
PC
SUPPORT CHILDHOOD HUNGER
40,000
LAW AND LEADERSHIP
1700 LAKE SHORE DR
COLUMBUS
,
OH
43204
NONE
PC
SUPPORT COLLEGE PIPELINE
15,000
VISIONARIES AND VOICES
3841 SPRING GROVE AVE
CINCINNATI
,
OH
45223
NONE
PC
SUPPORT TEACHING ARTIST
25,000
BEECH ACRES PARENTING CENTER
6881 BEECHMONT AVE
CINCINNATI
,
OH
45230
NONE
PC
FAMILY PEER SUPPORT
25,000
LEGAL AID SOCIETY OF CINCINNATI
215 E 9TH ST STE 200
CINCINNATI
,
OH
45202
NONE
PC
SUPPORT EDUCATION ADVOCACY
25,000
CATHOLIC CHARITIES SOUTHWESTERN
7162 READING ROAD SUITE 600
CINCINNATI
,
OH
45237
NONE
PC
SUPPORT MENTAL HEALTH
30,000
CHILDREN'S HOME OF CINCINNATI
5050 MADISON RD
CINCINNATI
,
OH
45227
NONE
PC
SUPPORT CHILDREN & FAMILIES
20,000
CINCINNATI SYMPHONY ORCHESTRA
1241 ELM STREET
CINCINNATI
,
OH
45202
NONE
PC
SUPPORT THE 2019-2020
12,500
CINCINNATI INSTITUTE OF FINE ARTS
20 EAST CENTRAL PARKWAY
CINCINNATI
,
OH
45202
NONE
PC
CATALYZING IMPACT GRANTS
50,000
SANTA MARIA COMMUNITY SERVICES
617 STEINER ST
CINCINNATI
,
OH
45204
NONE
PC
SUPPORT YOUTH PROGRAMS
30,000
ZOOLOGICAL SOCIETY OF CINCINNATI
3400 VINE ST
CINCINNATI
,
OH
45220
NONE
PC
SUPPORT ZOO ACCESS FOR ALL
15,000
UNITED WAY OF GREATER CINCINNAT
2400 READING ROAD
CINCINNATI
,
OH
45202
NONE
PC
SUPPORT SCHOOL TRANSITION
15,000
ST RITA SCHOOL FOR THE DEAF
1720 GLENDALE MILFORD ROAD
CINCINNATI
,
OH
45215
NONE
PC
SUPPORT WORK STUDY & CAREER
25,000
CLOVERNOOK CENTER FOR THE
BLIND AND VISUALLY IMPAIRED
7000 HAMILTON AVE
CINCINNATI
,
OH
45231
NONE
PC
SUPPORT VISION CLINICS
28,000
CINCINNATI PLAYHOUSE IN THE PARK
962 MOUNT ADAMS CIR
CINCINNATI
,
OH
45202
NONE
PC
SUPPORT AUTISM PROGRAMS
25,000
GREATER CINCINNATI FDN
720 E PETE ROSE WAY 120
CINCINNATI
,
OH
45202
NONE
PC
SUPPORT POWER OF PLACE
50,000
CANCER FAMILY CARE INC
4790 RED BANK RD STE 128
CINCINNATI
,
OH
45227
NONE
PC
SUPPORT THE ANGEL FUND
25,000
UNIVERSITY OF CINCINNATI
51 GOODMAN DR STE 100
CINCINNATI
,
OH
45219
NONE
PC
SUPPORT EMPLOYMENT SUCCESS
15,000
FERNSIDE INC A CENTER
4360 COOPER RD
CINCINNATI
,
OH
45242
NONE
PC
SUPPORT EVENING SCHOOL
15,000
CINCINNATI YOUTH COLLABORATIVE
301 OAK ST
CINCINNATI
,
OH
45219
NONE
PC
SUPPORT MENTORING PROGRAMS
50,000
ENSEMBLE THEATRE CINCINNATI
1127 VINE ST
CINICINNATI
,
OH
45202
NONE
PC
SUPPORT HUNTER HEARTBEAT
10,000
PARACHUTE SPECIAL ADVOCATES
284 N FAIR AVE
HAMILTON
,
OH
45011
NONE
PC
SUPPORT CHILD ADVOCATE
5,000
OHIO JUSTICE AND POLICY CENTER
215 E 9TH ST STE 601
CINCINNATI
,
OH
45202
NONE
PC
SUPPORT LEGAL CLINICS
30,000
STARFIRE COUNCIL OF GREATER
5030 OAKLAWN DR
CINCINNATI
,
OH
45227
NONE
PC
SUPPORT COMMUNITY
50,000
CRAYONS TO COMPUTERS INC
1350 TENNESSEE AVENUE
CINCINNATI
,
OH
45229
NONE
PC
SUPPORT CRAYONS FOR KIDS
15,000
CINCINNATI WORKS INC
708 WALNUT STREET FLOOR 2
Cincinnati
,
OH
45202
NONE
PC
SUPPORT JOB READINESS
30,000
LITERACY NETWORK OF
CINCINNATI
635 W 7TH ST STE 300
CINCINNATI
,
OH
45203
NONE
PC
SUPPORT CHILDREN'S READING
12,000
CINCINNATI MUSEUM ASSOCIATION
953 EDEN PARK DRIVE
CINCINNATI
,
OH
45202
NONE
PC
SUPPORT LEARNING PROG. AND
32,500
JAMES W MILLER MEMORIAL FUND
100 S COMMONS STE 116
PITTSBURGH
,
PA
15212
NONE
PC
SUPPORT BUILDING RESILIENCE
20,000
ACTIVITIES BEYOND THE CLASSROOM
635 W 7TH ST
CINCINNATI
,
OH
45203
NONE
PC
SUPPORT MARTIAL ARTS
10,000
ADVENTURE CREW
2692 MADISON ROAD NO N1-414
CINCINNATI
,
OH
45208
NONE
PC
GENERAL OPERATING SUPPORT
20,000
SWEET CHEEKS DIAPER BANK
1615 REPUBLIC ST
CINCINNATI
,
OH
45202
NONE
PC
SUPPORT DIAPER SISTRIBUTION
10,000
SPECIAL OLYMPICS OHIO INC
4790 RED BANK EXPRESSWAY
CINCINNATI
,
OH
45227
NONE
PC
SUPPORT PROGRAM CAPACITY
15,000
ST FRANCIS SERAPH MINISTRIES
1615 REPUBLIC ST
CINCINNATI
,
OH
45202
NONE
PC
SUPPORT COOKING FOR
2,500
Total
.................................
3a
1,318,775
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
584,814
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
264,515
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)
..
849,329
13
Total.
Add line 12, columns (b), (d), and (e)
..................
13
849,329
(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