-
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
WILLIAM B POLLOCK II & KATHRYN CHALLIS
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
34-6514079
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)
$
3,352,641
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
...
83,992
83,858
5a
Gross rents
............
b
Net rental income or (loss)
6a
Net gain or (loss) from sale of assets not on line 10
127,824
b
Gross sales price for all assets on line 6a
1,134,094
7
Capital gain net income (from Part IV, line 2)
...
127,824
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
........
211,816
211,682
13
Compensation of officers, directors, trustees, etc.
49,198
28,776
20,422
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)
...
5,246
1,393
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)
.......
200
200
24
Total operating and administrative expenses.
Add lines 13 through 23
..........
54,644
30,169
0
20,622
25
Contributions, gifts, grants paid
.......
142,000
142,000
26
Total expenses and disbursements.
Add lines 24 and 25
196,644
30,169
0
162,622
27
Subtract line 26 from line 12:
a
Excess of revenue over expenses and disbursements
15,172
b
Net investment income
(if negative, enter -0-)
181,513
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
.............
183
3,085
3,085
2
Savings and temporary cash investments
.........
115,850
55,807
55,807
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)
.......
1,622,270
1,497,914
1,927,538
c
Investments—corporate bonds (attach schedule)
.......
988,168
1,177,180
1,211,750
11
Investments—land, buildings, and equipment: basis
Less: accumulated depreciation (attach schedule)
12
Investments—mortgage loans
.............
13
Investments—other (attach schedule)
..........
147,858
155,938
154,461
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)
2,874,329
2,889,924
3,352,641
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
........
2,874,329
2,889,924
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)
.....
2,874,329
2,889,924
30
Total liabilities and net assets/fund balances
(see instructions)
.
2,874,329
2,889,924
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
2,874,329
2
Enter amount from Part I, line 27a
.....................
2
15,172
3
Other increases not included in line 2 (itemize)
3
3,881
4
Add lines 1, 2, and 3
..........................
4
2,893,382
5
Decreases not included in line 2 (itemize)
5
3,458
6
Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 29
.
6
2,889,924
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
. FHLMC
2019-01-17
b
1. GILEAD SCIENCES INC
2015-01-08
2019-01-23
c
1. GILEAD SCIENCES INC
2015-01-08
2019-01-23
d
5. GILEAD SCIENCES INC
2015-01-08
2019-01-23
e
1. GILEAD SCIENCES INC
2016-02-10
2019-01-23
2. GILEAD SCIENCES INC
2016-02-10
2019-01-23
2. MASTERCARD INC - CLASS A
2010-09-13
2019-01-23
6. WORLDPAY INC CL A
2017-09-22
2019-01-23
1. WORLDPAY INC CL A
2017-09-22
2019-01-23
7. GILEAD SCIENCES INC
2019-01-24
2. MASTERCARD INC - CLASS A
2012-10-15
2019-01-24
5. MASTERCARD INC - CLASS A
2012-10-15
2019-01-24
10. WORLDPAY INC CL A
2017-09-22
2019-01-24
1. GILEAD SCIENCES INC
2016-02-10
2019-01-25
2. GILEAD SCIENCES INC
2016-02-10
2019-01-25
1. GILEAD SCIENCES INC
2016-02-10
2019-01-25
7. MASTERCARD INC - CLASS A
2012-10-15
2019-01-25
13. WORLDPAY INC CL A
2017-09-22
2019-01-25
1. GILEAD SCIENCES INC
2016-02-10
2019-01-28
2. GILEAD SCIENCES INC
2016-02-10
2019-01-28
8. WORLDPAY INC CL A
2018-10-08
2019-01-28
1. GILEAD SCIENCES INC
2016-02-10
2019-01-29
2. WORLDPAY INC CL A
2018-10-08
2019-01-29
1. GILEAD SCIENCES INC
2016-02-10
2019-01-30
9. WORLDPAY INC CL A
2018-10-08
2019-01-30
1. GILEAD SCIENCES INC
2016-02-10
2019-01-31
3. GILEAD SCIENCES INC
2019-02-01
248. ISHARES CORE MSCI EAFE ETF
2018-03-20
2019-02-04
1053. ISHARES CORE MSCI EAFE ETF
2019-02-04
4296.14 DODGE & COX INCOME FUND
2019-02-06
2864.702 JH II STRAT INC OPPORT-R6
2018-01-24
2019-02-06
652. VANGUARD BD INDEX FD INC
2018-12-11
2019-02-06
5386.476 PIMCO INVESTMENT GRADE CORPORATE BOND FUND
2018-03-20
2019-02-08
3574.625 AMG MG PICTET INTL-Z
2015-11-17
2019-02-14
2078.686 MFS EMERG MRKTS DEBT-R5
2019-02-14
8. ANALOG DEVICES INC
2016-10-31
2019-02-19
3. ANALOG DEVICES INC
2019-02-19
10. ANALOG DEVICES INC
2019-02-19
9. ANALOG DEVICES INC
2019-02-19
16. ANALOG DEVICES INC
2019-02-19
3. ANALOG DEVICES INC
2018-09-13
2019-02-19
13. ANALOG DEVICES INC
2018-09-13
2019-02-20
3. ADOBE SYS INC
2012-11-05
2019-03-07
1. ALPHABET INC-CL C
2013-12-13
2019-03-07
1. ALPHABET INC-CL A
2013-12-13
2019-03-07
2. AMAZON COM INC
2015-03-12
2019-03-07
4. AMERICAN EXPRESS CO
2018-07-18
2019-03-07
11. APPLE COMPUTER INC
2010-06-17
2019-03-07
3. AUTOMATIC DATA PROCESSING INC
2018-10-19
2019-03-07
41. BANK OF AMERICA CORPORATION
2013-04-18
2019-03-07
5. BERKSHIRE HATHAWAY INC DEL CL B
2017-04-20
2019-03-07
20. BOSTON SCIENTIFIC CORP
2016-09-15
2019-03-07
9. BRISTOL MYERS SQUIBB CO
2019-03-07
4. BROADCOM INC
2019-03-07
3. CELGENE CORP.
2015-08-11
2019-03-07
3. CHARTER COMMUNICATIONS INC-A
2016-02-09
2019-03-07
14. CITIGROUP INC NEW
2019-03-07
10. COCA-COLA CO
2018-04-13
2019-03-07
16. COMCAST CORP NEW CL A
2016-02-05
2019-03-07
6. DELTA AIR LINES INC DEL NEW
2019-03-07
4. DIAMONDBACK ENERGY INC
2017-05-15
2019-03-07
9. DISNEY WALT CO
2019-03-07
5. DOLLAR TREE INC
2017-10-27
2019-03-07
18. DOWDUPONT INC
2019-03-07
8. EOG RESOURCES INC
2019-03-07
6. ELECTRONIC ARTS
2018-09-20
2019-03-07
4. FACEBOOK INC-A
2015-04-27
2019-03-07
5. FIDELITY NATL INFORMATION SVCS INC
2014-12-19
2019-03-07
5. FISERV INC
2019-01-23
2019-03-07
4. GENERAL DYNAMICS CORP
2019-03-07
5. HOME DEPOT INC
2012-03-20
2019-03-07
7. HONEYWELL INTL INC
2010-10-22
2019-03-07
28. KEYCORP NEW
2016-03-01
2019-03-07
6. LOWES COS INC
2011-09-22
2019-03-07
10. MARATHON PETROLEUM CORPORATION
2018-03-09
2019-03-07
6. MASTERCARD INC - CLASS A
2012-10-15
2019-03-07
8. MERCK & CO INC
2019-03-07
25. MICROSOFT CORP
2019-03-07
13. MONDELEZ INTERNATIONAL-W/I
2019-03-07
23. MORGAN STANLEY DEAN WITTER & CO NEW
2013-04-19
2019-03-07
1. NETFLIX.COM INC
2018-09-13
2019-03-07
3. NEXTERA ENERGY INC
2016-10-18
2019-03-07
13. NISOURCE INC
2019-03-07
5. NORFOLK SOUTHN CORP
2019-03-07
2. NORTHROP GRUMMAN CORP
2016-09-16
2019-03-07
3. NVIDIA CORP
2017-10-03
2019-03-07
1. O'REILLY AUTOMOTIVE INC
2017-05-04
2019-03-07
13. OCCIDENTAL PETE CORP
2019-03-07
7. PAYPAL HOLDINGS INC
2018-01-26
2019-03-07
8. PEPSICO INC
2014-10-13
2019-03-07
27. PFIZER INC
2019-03-07
7. PHILIP MORRIS INTERNATIONAL
2019-03-07
4. PIONEER NAT RES CO
2019-03-07
3. PRUDENTIAL FINL INC
2018-12-21
2019-03-07
5. ROSS STORES INC
2018-12-11
2019-03-07
2. SVB FINANCIAL GROUP
2019-03-07
4. SALESFORCE.COM INC
2019-03-07
7. SCHWAB CHARLES CORP NEW
2015-10-19
2019-03-07
5. STANLEY BLACK & DECKER,INC.
2019-03-07
8. TEXAS INSTRS INC
2016-02-05
2019-03-07
6. UNION PAC CORP
2019-03-07
3. UNITED TECHNOLOGIES CORP
2017-12-05
2019-03-07
7. UNITEDHEALTH GROUP INC
2019-03-07
2. VERTEX PHARMACEUTICALS INC
2019-03-07
4. VISA INC CLASS A SHARES
2015-10-19
2019-03-07
5. WASTE CONNECTIONS INC
2016-07-26
2019-03-07
17. WELLS FARGO & CO NEW
2012-03-16
2019-03-07
2. WEX INC
2019-03-07
3. YUM BRANDS INC
2019-03-07
7. ZIMMER HLDGS INC
2017-11-10
2019-03-07
4. ALLEGION PLC
2019-03-07
4. ACCENTURE PLC
2014-04-03
2019-03-07
3. LINDE PLC
2018-12-11
2019-03-07
7. MEDTRONIC PLC
2018-04-06
2019-03-07
5. APTIV PLC
2017-05-18
2019-03-07
5. CHUBB LTD
2011-05-23
2019-03-07
5. NXP SEMICONDUCTORS NV
2019-02-19
2019-03-07
3099.05 FEDERATED INST HI YLD BND-R6
2018-05-01
2019-03-11
5. BIOGEN IDEC INC
2016-07-26
2019-03-14
4. BIOGEN IDEC INC
2018-10-08
2019-03-14
92. BRISTOL MYERS SQUIBB CO
2019-03-14
20. DISNEY WALT CO
2019-03-14
. BANK OF AMERICA CORPORATION
2019-03-20
. PFIZER INC
2019-04-03
2118.467 AMG MG PICTET INTL-Z
2015-11-17
2019-04-05
8. ADOBE SYS INC
2019-04-05
7. ALEXION PHARMACEUTICALS INC
2019-03-14
2019-04-05
5. ALPHABET INC-CL C
2019-04-05
2. ALPHABET INC-CL A
2019-04-05
3. AMAZON COM INC
2015-03-12
2019-04-05
8. AMERICAN EXPRESS CO
2019-04-05
35. APPLE COMPUTER INC
2010-06-17
2019-04-05
10. AUTOMATIC DATA PROCESSING INC
2019-04-05
130. BANK OF AMERICA CORPORATION
2019-04-05
15. BERKSHIRE HATHAWAY INC DEL CL B
2019-04-05
65. BOSTON SCIENTIFIC CORP
2019-04-05
12. BROADCOM INC
2019-04-05
17. CELGENE CORP.
2019-04-05
7. CHARTER COMMUNICATIONS INC-A
2019-04-05
45. CITIGROUP INC NEW
2019-04-05
31. COCA-COLA CO
2019-04-05
75. COMCAST CORP NEW CL A
2019-04-05
19. DELTA AIR LINES INC DEL NEW
2017-12-13
2019-04-05
13. DIAMONDBACK ENERGY INC
2019-04-05
25. DISNEY WALT CO
2019-04-05
1401.643 DODGE & INTERNATIONAL STOCK FUND
2015-11-17
2019-04-05
15. DOLLAR TREE INC
2019-04-05
18. DOW INC
2019-04-05
55. DOWDUPONT INC
2019-04-05
28. EOG RESOURCES INC
2019-04-05
21. ELECTRONIC ARTS
2019-04-05
11. FACEBOOK INC-A
2015-04-27
2019-04-05
17. FIDELITY NATL INFORMATION SVCS INC
2019-04-05
17. FISERV INC
2019-04-05
11. GENERAL DYNAMICS CORP
2019-04-05
15. HOME DEPOT INC
2012-03-20
2019-04-05
26. HONEYWELL INTL INC
2019-04-05
13. INTERCONTINENTALEXCHANGE GROUP, INC
2019-04-05
1085.464 JPM GL RES ENH IDX FD - USD - R6 ISIN US48129C2070
2019-04-05
90. KEYCORP NEW
2019-04-05
28. LILLY ELI & CO
2019-04-05
18. LOWES COS INC
2019-04-05
13. MARATHON PETROLEUM CORPORATION
2018-05-14
2019-04-05
20. MARATHON PETROLEUM CORPORATION
2019-04-05
17. MASTERCARD INC - CLASS A
2019-04-05
36. MERCK & CO INC
2019-04-05
82. MICROSOFT CORP
2019-04-05
44. MONDELEZ INTERNATIONAL-W/I
2019-04-05
74. MORGAN STANLEY DEAN WITTER & CO NEW
2019-04-05
4. NETFLIX.COM INC
2018-09-13
2019-04-05
10. NEXTERA ENERGY INC
2019-04-05
40. NISOURCE INC
2019-04-05
16. NORFOLK SOUTHN CORP
2019-04-05
7. NORTHROP GRUMMAN CORP
2019-04-05
11. NVIDIA CORP
2017-10-03
2019-04-05
4. O'REILLY AUTOMOTIVE INC
2019-04-05
45. OCCIDENTAL PETE CORP
2019-04-05
6. PARKER HANNIFIN CORP
2018-01-11
2019-04-05
24. PAYPAL HOLDINGS INC
2018-01-26
2019-04-05
24. PEPSICO INC
2019-04-05
89. PFIZER INC
2019-04-05
22. PHILIP MORRIS INTERNATIONAL
2019-04-05
13. PIONEER NAT RES CO
2019-04-05
12. PRUDENTIAL FINL INC
2019-04-05
3. REGENERON PHARMACEUTICALS INC
2019-04-05
17. ROSS STORES INC
2018-12-11
2019-04-05
5. SVB FINANCIAL GROUP
2019-04-05
14. SALESFORCE.COM INC
2019-04-05
25. SCHWAB CHARLES CORP NEW
2019-04-05
14. STANLEY BLACK & DECKER,INC.
2019-04-05
28. TEXAS INSTRS INC
2019-04-05
19. UNION PAC CORP
2019-04-05
8. UNITED TECHNOLOGIES CORP
2019-04-05
22. UNITEDHEALTH GROUP INC
2019-04-05
6. VERTEX PHARMACEUTICALS INC
2019-04-05
13. VISA INC CLASS A SHARES
2015-10-19
2019-04-05
15. WASTE CONNECTIONS INC
2019-04-05
53. WELLS FARGO & CO NEW
2019-04-05
7. WEX INC
2016-05-03
2019-04-05
10. YUM BRANDS INC
2019-04-05
23. ZIMMER HLDGS INC
2019-04-05
14. ALLEGION PLC
2019-04-05
12. ACCENTURE PLC
2019-04-05
10. LINDE PLC
2018-12-11
2019-04-05
20. MEDTRONIC PLC
2019-04-05
16. APTIV PLC
2017-05-18
2019-04-05
17. CHUBB LTD
2019-04-05
13. NXP SEMICONDUCTORS NV
2019-02-19
2019-04-05
11. DOW INC
2019-04-08
2. DOW INC
2019-04-08
1. DOW INC
2019-04-08
15. DOW INC
2019-04-08
3.729 DOW INC
2018-04-06
2019-04-08
3.271 DOW INC
2018-04-09
2019-04-08
2. DOW INC
2018-04-09
2019-04-09
. DOW INC
2019-04-23
27. OCCIDENTAL PETE CORP
2019-04-25
26. OCCIDENTAL PETE CORP
2019-04-25
5. OCCIDENTAL PETE CORP
2019-05-01
1. OCCIDENTAL PETE CORP
2017-02-13
2019-05-01
3. REGENERON PHARMACEUTICALS INC
2019-05-01
1. REGENERON PHARMACEUTICALS INC
2019-02-04
2019-05-01
13. OCCIDENTAL PETE CORP
2019-05-02
5. OCCIDENTAL PETE CORP
2019-05-02
1. OCCIDENTAL PETE CORP
2018-08-09
2019-05-02
1. OCCIDENTAL PETE CORP
2018-08-09
2019-05-02
3. OCCIDENTAL PETE CORP
2018-08-09
2019-05-02
2. OCCIDENTAL PETE CORP
2018-08-09
2019-05-02
2. OCCIDENTAL PETE CORP
2019-05-03
6. OCCIDENTAL PETE CORP
2019-05-03
1. PRUDENTIAL FINL INC
2018-12-21
2019-05-14
13. PRUDENTIAL FINL INC
2018-12-21
2019-05-14
6. PRUDENTIAL FINL INC
2018-12-21
2019-05-14
2. PRUDENTIAL FINL INC
2018-12-21
2019-05-14
3. PRUDENTIAL FINL INC
2018-12-21
2019-05-14
19. SCHWAB CHARLES CORP NEW
2019-05-15
16. SCHWAB CHARLES CORP NEW
2019-05-16
4. SCHWAB CHARLES CORP NEW
2016-06-03
2019-05-16
11. SCHWAB CHARLES CORP NEW
2016-06-03
2019-05-16
3. MEDTRONIC PLC
2018-07-18
2019-05-16
12. MEDTRONIC PLC
2019-05-16
13. MEDTRONIC PLC
2018-07-18
2019-05-16
5. MEDTRONIC PLC
2018-07-18
2019-05-17
8. MEDTRONIC PLC
2019-05-17
4. PARKER HANNIFIN CORP
2018-01-11
2019-05-20
5. PARKER HANNIFIN CORP
2018-01-11
2019-05-20
2. PARKER HANNIFIN CORP
2018-01-11
2019-05-20
17. DELTA AIR LINES INC DEL NEW
2017-12-13
2019-06-05
6. DELTA AIR LINES INC DEL NEW
2019-06-05
8. PHILIP MORRIS INTERNATIONAL
2017-08-01
2019-06-05
13. PHILIP MORRIS INTERNATIONAL
2018-10-24
2019-06-05
1. DELTA AIR LINES INC DEL NEW
2017-12-13
2019-06-06
5. DELTA AIR LINES INC DEL NEW
2017-12-13
2019-06-06
6. DELTA AIR LINES INC DEL NEW
2017-12-13
2019-06-06
1. DELTA AIR LINES INC DEL NEW
2017-12-13
2019-06-06
1. DELTA AIR LINES INC DEL NEW
2017-12-13
2019-06-07
1. DELTA AIR LINES INC DEL NEW
2017-12-13
2019-06-07
1. DELTA AIR LINES INC DEL NEW
2017-12-13
2019-06-07
1. DELTA AIR LINES INC DEL NEW
2017-12-13
2019-06-07
50. BANK OF AMERICA CORPORATION
2019-06-10
11. DOLLAR TREE INC
2019-06-10
40. WELLS FARGO & CO NEW
2019-06-10
8. DOLLAR TREE INC
2018-12-17
2019-06-11
8. DOLLAR TREE INC
2019-06-11
4. DOLLAR TREE INC
2018-12-17
2019-06-11
885.424 DIAMOND HILL LONG/SHORT-Y
2018-11-16
2019-06-14
5922.949 VANGUARD TOT BD MKT IDX-ADM
2019-06-14
4. ADOBE SYS INC
2013-05-09
2019-06-27
. AMGEN INC
2019-07-17
4. SVB FINANCIAL GROUP
2019-08-14
2. SVB FINANCIAL GROUP
2015-08-12
2019-08-14
6. APTIV PLC
2019-08-14
3. APTIV PLC
2019-08-14
7. APTIV PLC
2018-04-26
2019-08-14
5. SVB FINANCIAL GROUP
2015-08-12
2019-08-15
17. APTIV PLC
2019-08-15
1020. JPMORGAN BETABUILDERS JAPAN ETF
2018-07-19
2019-08-23
. GENERAL MOTORS CO
2019-09-05
586. ISHARES TR BARCLAYS MBS BD FD
2019-02-08
2019-09-19
792. VANGUARD BD INDEX FD INC
2019-03-08
2019-09-19
20. DISNEY WALT CO
2019-10-25
5. ACCENTURE PLC
2014-04-22
2019-10-25
6. ACCENTURE PLC
2014-04-22
2019-10-28
13. NISOURCE INC
2015-01-14
2019-11-11
17. NISOURCE INC
2019-11-11
13. NISOURCE INC
2019-11-12
34. NISOURCE INC
2019-11-12
3. NISOURCE INC
2015-12-03
2019-11-12
3. NISOURCE INC
2015-12-03
2019-11-13
14. CELGENE CORP.
2019-11-21
65. CELGENE CORP.
2019-11-21
465.93 FIDELITY 500 INDEX-INST PRM
2018-02-07
2019-11-22
30. RTS BRISTOL-MYERS SQUIBB-CVR
2019-11-21
2019-11-25
3. RTS BRISTOL-MYERS SQUIBB-CVR
2019-11-21
2019-11-25
1. RTS BRISTOL-MYERS SQUIBB-CVR
2019-11-21
2019-11-25
39. RTS BRISTOL-MYERS SQUIBB-CVR
2019-11-21
2019-11-26
6. RTS BRISTOL-MYERS SQUIBB-CVR
2019-11-21
2019-11-27
1418.744 EQUINOX IMP SYSTEM MACRO-I
2015-10-16
2019-12-09
5. ABBVIE INC
2019-09-16
2019-12-18
1. ADOBE SYS INC
2013-05-09
2019-12-18
1. ALEXION PHARMACEUTICALS INC
2019-03-14
2019-12-18
1. ALPHABET INC-CL C
2014-05-08
2019-12-18
1. ALPHABET INC-CL A
2015-10-30
2019-12-18
1. AMAZON COM INC
2015-04-08
2019-12-18
4. AMERICAN EXPRESS CO
2018-07-18
2019-12-18
5. APPLE COMPUTER INC
2010-06-17
2019-12-18
2. AUTOMATIC DATA PROCESSING INC
2018-10-22
2019-12-18
19. BANK OF AMERICA CORPORATION
2015-02-09
2019-12-18
2. BERKSHIRE HATHAWAY INC DEL CL B
2017-08-14
2019-12-18
9. BOSTON SCIENTIFIC CORP
2016-12-05
2019-12-18
6. BRISTOL MYERS SQUIBB CO
2019-11-21
2019-12-18
2. BROADCOM INC
2019-12-18
1. CHARTER COMMUNICATIONS INC-A
2016-12-15
2019-12-18
7. CITIGROUP INC NEW
2015-07-22
2019-12-18
5. COCA-COLA CO
2018-04-13
2019-12-18
14. COMCAST CORP NEW CL A
2018-01-11
2019-12-18
6. CORTEVA INC
2017-02-22
2019-12-18
1. DIAMONDBACK ENERGY INC
2017-05-15
2019-12-18
2. DISNEY WALT CO
2017-01-30
2019-12-18
3. DUPONT DE NEMOURS INC-WI
2017-02-22
2019-12-18
4. EOG RESOURCES INC
2019-12-18
4. ELECTRONIC ARTS
2019-12-18
2. FACEBOOK INC-A
2019-12-18
4. FIDELITY NATL INFORMATION SVCS INC
2019-12-18
6. FISERV INC
2019-01-24
2019-12-18
1. GENERAL DYNAMICS CORP
2016-08-25
2019-12-18
3. HOME DEPOT INC
2012-03-20
2019-12-18
4. HONEYWELL INTL INC
2019-12-18
2. INTERCONTINENTALEXCHANGE GROUP, INC
2017-01-31
2019-12-18
14. KEYCORP NEW
2019-12-18
3. LILLY ELI & CO
2019-12-18
3. LOWES COS INC
2011-09-28
2019-12-18
7. MARATHON PETROLEUM CORPORATION
2018-05-14
2019-12-18
3. MASTERCARD INC - CLASS A
2012-12-14
2019-12-18
1. MCDONALDS CORP
2019-06-10
2019-12-18
6. MERCK & CO INC
2016-08-12
2019-12-18
12. MICROSOFT CORP
2013-09-11
2019-12-18
6. MONDELEZ INTERNATIONAL-W/I
2014-08-13
2019-12-18
11. MORGAN STANLEY DEAN WITTER & CO NEW
2014-09-16
2019-12-18
1. NETFLIX.COM INC
2018-09-13
2019-12-18
1. NEXTERA ENERGY INC
2016-10-18
2019-12-18
2. NORFOLK SOUTHN CORP
2018-03-09
2019-12-18
2. NORTHROP GRUMMAN CORP
2017-09-22
2019-12-18
1. NVIDIA CORP
2018-06-12
2019-12-18
4. PAYPAL HOLDINGS INC
2019-12-18
3. PEPSICO INC
2016-02-17
2019-12-18
13. PFIZER INC
2016-07-05
2019-12-18
2. PHILIP MORRIS INTERNATIONAL
2018-10-24
2019-12-18
2. PIONEER NAT RES CO
2016-03-22
2019-12-18
3. PROCTER & GAMBLE CO
2019-06-05
2019-12-18
2. QUALCOMM INC
2019-05-01
2019-12-18
2. ROSS STORES INC
2018-12-11
2019-12-18
3. SALESFORCE.COM INC
2019-12-18
2. STANLEY BLACK & DECKER,INC.
2016-02-11
2019-12-18
4. TEXAS INSTRS INC
2016-03-10
2019-12-18
3. UNION PAC CORP
2017-05-18
2019-12-18
2. UNITED TECHNOLOGIES CORP
2017-12-07
2019-12-18
3. UNITEDHEALTH GROUP INC
2014-05-08
2019-12-18
1. VERTEX PHARMACEUTICALS INC
2015-08-11
2019-12-18
2. VISA INC CLASS A SHARES
2015-10-19
2019-12-18
2. WASTE CONNECTIONS INC
2016-07-26
2019-12-18
6. WELLS FARGO & CO NEW
2015-06-04
2019-12-18
1. WEX INC
2016-05-27
2019-12-18
2. YUM BRANDS INC
2018-11-28
2019-12-18
3. ZIMMER HLDGS INC
2017-11-21
2019-12-18
1. ALLEGION PLC
2015-11-18
2019-12-18
2. ACCENTURE PLC
2014-04-22
2019-12-18
5. LINDE PLC
2018-12-11
2019-12-18
3. CHUBB LTD
2012-01-09
2019-12-18
3. NXP SEMICONDUCTORS NV
2019-12-18
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
26
26
b
69
102
-33
c
69
102
-33
d
342
508
-166
e
68
89
-21
136
178
-42
397
38
359
494
432
62
83
72
11
475
623
-148
399
95
304
995
237
758
822
721
101
68
89
-21
138
178
-40
69
89
-20
1,418
332
1,086
1,078
937
141
68
89
-21
136
178
-42
666
776
-110
69
89
-20
164
194
-30
69
89
-20
752
873
-121
70
89
-19
210
266
-56
14,611
16,364
-1,753
62,039
64,435
-2,396
57,912
58,987
-1,075
29,420
31,311
-1,891
51,362
50,956
406
54,565
54,969
-404
30,992
33,822
-2,830
29,517
31,213
-1,696
837
514
323
313
193
120
1,049
637
412
939
573
366
1,669
1,473
196
315
276
39
1,377
1,198
179
766
102
664
1,140
537
603
1,148
539
609
3,266
747
2,519
431
412
19
1,906
426
1,480
452
430
22
1,163
466
697
993
825
168
792
466
326
463
421
42
1,064
200
864
257
390
-133
1,020
553
467
861
679
182
452
446
6
616
472
144
295
321
-26
393
415
-22
1,025
844
181
512
464
48
974
947
27
733
649
84
590
681
-91
675
330
345
529
318
211
425
402
23
662
611
51
911
247
664
1,066
314
752
465
299
166
604
114
490
589
702
-113
1,332
285
1,047
644
508
136
2,760
825
1,935
609
345
264
940
473
467
353
371
-18
565
376
189
354
146
208
891
596
295
551
423
128
448
537
-89
370
249
121
855
1,127
-272
672
595
77
928
762
166
1,120
924
196
608
795
-187
546
595
-49
281
240
41
460
403
57
476
247
229
623
477
146
306
200
106
657
541
116
839
398
441
989
528
461
373
361
12
1,663
507
1,156
356
248
108
587
308
279
423
247
176
844
577
267
345
185
160
288
267
21
851
775
76
352
264
88
645
316
329
502
482
20
638
543
95
410
354
56
663
341
322
467
463
4
29,875
30,185
-310
1,601
1,330
271
1,281
1,369
-88
4,526
5,047
-521
2,287
1,943
344
15
15
137
137
19,681
20,045
-364
2,154
323
1,831
980
943
37
6,048
2,663
3,385
2,427
1,282
1,145
5,491
1,121
4,370
885
824
61
6,874
1,357
5,517
1,598
1,439
159
3,794
1,525
2,269
3,063
2,488
575
2,475
1,404
1,071
3,635
774
2,861
1,607
2,057
-450
2,428
1,664
764
2,952
2,534
418
1,439
1,381
58
3,026
3,121
-95
1,097
1,018
79
1,306
1,350
-44
2,858
2,557
301
58,743
54,706
4,037
1,583
1,387
196
1,040
1,053
-13
2,077
2,100
-23
2,647
2,281
366
2,077
2,389
-312
1,936
907
1,029
1,943
1,069
874
1,537
1,392
145
1,854
1,676
178
3,015
741
2,274
4,192
1,376
2,816
1,004
756
248
22,925
19,592
3,333
1,475
985
490
3,535
2,472
1,063
2,051
356
1,695
801
1,018
-217
1,233
1,408
-175
4,040
812
3,228
2,948
2,265
683
9,833
2,757
7,076
2,181
1,250
931
3,323
2,049
1,274
1,470
1,483
-13
1,883
1,252
631
1,119
520
599
3,063
2,067
996
1,912
1,618
294
2,093
1,970
123
1,607
1,004
603
3,004
3,814
-810
1,088
1,249
-161
2,526
2,041
485
2,904
2,394
510
3,830
3,131
699
1,872
2,546
-674
1,934
1,658
276
1,164
957
207
1,224
1,226
-2
1,660
1,371
289
1,173
632
541
2,235
1,677
558
1,113
822
291
2,003
1,334
669
3,188
1,548
1,640
3,211
1,884
1,327
1,060
971
89
5,449
1,658
3,791
1,117
799
318
2,058
1,002
1,056
1,315
742
573
2,596
1,672
924
1,384
638
746
1,003
900
103
2,911
2,562
349
1,318
903
415
2,129
952
1,177
1,842
1,606
236
1,789
1,581
208
1,384
1,133
251
2,331
1,189
1,142
1,266
1,203
63
628
705
-77
114
130
-16
57
64
-7
858
977
-119
214
242
-28
187
214
-27
114
131
-17
38
38
1,677
2,083
-406
1,614
1,795
-181
288
339
-51
58
67
-9
1,023
1,274
-251
340
425
-85
745
871
-126
287
386
-99
57
77
-20
57
78
-21
172
234
-62
115
156
-41
116
155
-39
349
470
-121
98
80
18
1,279
1,035
244
593
478
115
195
159
36
297
239
58
813
554
259
697
466
231
174
116
58
478
320
158
264
264
1,058
950
108
1,148
1,145
3
440
440
707
704
3
652
833
-181
816
1,041
-225
326
416
-90
934
911
23
330
321
9
618
931
-313
1,004
1,158
-154
55
53
2
274
267
7
327
321
6
55
53
2
55
53
2
55
53
2
56
53
3
55
53
2
1,410
769
641
1,142
1,010
132
1,856
2,187
-331
853
691
162
853
731
122
426
346
80
23,366
23,385
-19
64,264
63,862
402
1,175
177
998
14
14
763
505
258
380
277
103
477
425
52
241
245
-4
559
609
-50
934
692
242
1,348
1,480
-132
22,526
24,479
-1,953
18
18
63,266
61,645
1,621
63,781
62,603
1,178
2,627
2,083
544
916
399
517
1,102
478
624
341
200
141
444
260
184
339
196
143
885
614
271
78
57
21
79
57
22
1,512
1,458
54
7,022
6,035
987
50,493
43,732
6,761
63
69
-6
6
7
-1
2
2
83
90
-7
13
14
-1
13,776
14,443
-667
447
353
94
326
44
282
109
135
-26
1,353
515
838
1,353
744
609
1,789
381
1,408
497
412
85
1,407
194
1,213
335
288
47
669
311
358
450
355
95
403
185
218
378
338
40
656
72
584
468
291
177
547
423
124
269
223
46
608
592
16
165
194
-29
88
104
-16
293
221
72
193
276
-83
323
331
-8
427
397
30
407
190
217
552
252
300
695
493
202
179
152
27
656
148
508
701
266
435
184
116
68
285
155
130
388
266
122
359
60
299
425
548
-123
888
145
743
195
201
-6
537
380
157
1,858
394
1,464
328
212
116
559
386
173
325
371
-46
239
125
114
384
290
94
680
563
117
231
261
-30
433
353
80
407
299
108
504
466
38
171
178
-7
292
281
11
372
320
52
176
173
3
227
161
66
487
367
120
327
180
147
507
221
286
534
322
212
296
245
51
880
233
647
220
136
84
371
154
217
180
99
81
323
339
-16
205
92
113
197
182
15
445
339
106
123
66
57
411
159
252
1,040
803
237
463
210
253
378
278
100
13,273
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
26
b
-33
c
-33
d
-166
e
-21
-42
359
62
11
-148
304
758
101
-21
-40
-20
1,086
141
-21
-42
-110
-20
-30
-20
-121
-19
-56
-1,753
-2,396
-1,075
-1,891
406
-404
-2,830
-1,696
323
120
412
366
196
39
179
664
603
609
2,519
19
1,480
22
697
168
326
42
864
-133
467
182
6
144
-26
-22
181
48
27
84
-91
345
211
23
51
664
752
166
490
-113
1,047
136
1,935
264
467
-18
189
208
295
128
-89
121
-272
77
166
196
-187
-49
41
57
229
146
106
116
441
461
12
1,156
108
279
176
267
160
21
76
88
329
20
95
56
322
4
-310
271
-88
-521
344
15
137
-364
1,831
37
3,385
1,145
4,370
61
5,517
159
2,269
575
1,071
2,861
-450
764
418
58
-95
79
-44
301
4,037
196
-13
-23
366
-312
1,029
874
145
178
2,274
2,816
248
3,333
490
1,063
1,695
-217
-175
3,228
683
7,076
931
1,274
-13
631
599
996
294
123
603
-810
-161
485
510
699
-674
276
207
-2
289
541
558
291
669
1,640
1,327
89
3,791
318
1,056
573
924
746
103
349
415
1,177
236
208
251
1,142
63
-77
-16
-7
-119
-28
-27
-17
38
-406
-181
-51
-9
-251
-85
-126
-99
-20
-21
-62
-41
-39
-121
18
244
115
36
58
259
231
58
158
108
3
3
-181
-225
-90
23
9
-313
-154
2
7
6
2
2
2
3
2
641
132
-331
162
122
80
-19
402
998
14
258
103
52
-4
-50
242
-132
-1,953
18
1,621
1,178
544
517
624
141
184
143
271
21
22
54
987
6,761
-6
-1
-7
-1
-667
94
282
-26
838
609
1,408
85
1,213
47
358
95
218
40
584
177
124
46
16
-29
-16
72
-83
-8
30
217
300
202
27
508
435
68
130
122
299
-123
743
-6
157
1,464
116
173
-46
114
94
117
-30
80
108
38
-7
11
52
3
66
120
147
286
212
51
647
84
217
81
-16
113
15
106
57
252
237
253
100
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
127,824
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
148,786
3,354,088
0.04436
2017
157,154
3,163,766
0.049673
2016
154,958
3,002,940
0.051602
2015
169,702
3,181,289
0.053344
2014
156,022
3,274,975
0.047641
2
Total
of line 1, column (d)
.....................
2
0.24662
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
0.049324
4
Enter the net value of noncharitable-use assets for 2019 from Part X, line 5
......
4
3,180,482
5
Multiply line 4 by line 3
......................
5
156,874
6
Enter 1% of net investment income (1% of Part I, line 27b)
...........
6
1,815
7
Add lines 5 and 6
........................
7
158,689
8
Enter qualifying distributions from Part XII, line 4
,.............
8
162,622
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
1,815
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
1,815
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
1,815
6
Credits/Payments:
a
2019 estimated tax payments and 2018 overpayment credited to 2019
6a
3,200
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
3,200
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
10
Overpayment.
If line 7 is more than the total of lines 5 and 8, enter the
amount overpaid
...
10
1,385
11
Enter the amount of line 10 to be:
Credited to 2020 estimated tax
1,385
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
NA
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 NA
TRUSTEE
2
33,142
10 S DEARBORN ST MC IL 1-0111
CHICAGO
,
IL
60603
FRANKLIN S BENNETT JR
CO - TRUSTEE
1
8,028
2731 BENDEMEER COURT
POLAND
,
OH
445142727
PATRICIA POLLOCK ANTICH
CO - TRUSTEE
1
8,028
1405 SEVILLE RD
SANTA FE
,
NM
875054647
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
3,180,458
b
Average of monthly cash balances
.......................
1b
48,458
c
Fair market value of all other assets (see instructions)
................
1c
0
d
Total
(add lines 1a, b, and c)
.........................
1d
3,228,916
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
3,228,916
4
Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
instructions)
.............................
4
48,434
5
Net value of noncharitable-use assets.
Subtract line 4 from line 3. Enter here and on Part V, line 4
5
3,180,482
6
Minimum investment return.
Enter 5% of line 5
..................
6
159,024
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
159,024
2a
Tax on investment income for 2019 from Part VI, line 5
......
2a
1,815
b
Income tax for 2019. (This does not include the tax from Part VI.)
...
2b
c
Add lines 2a and 2b
............................
2c
1,815
3
Distributable amount before adjustments. Subtract line 2c from line 1
............
3
157,209
4
Recoveries of amounts treated as qualifying distributions
................
4
0
5
Add lines 3 and 4
............................
5
157,209
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
157,209
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
162,622
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
162,622
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
1,815
6
Adjusted qualifying distributions.
Subtract line 5 from line 4
..............
6
160,807
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
157,209
2
Undistributed income, if any, as of the end of 2019:
a
Enter amount for 2018 only
.......
140,053
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:
$
162,622
a
Applied to 2018, but not more than line 2a
140,053
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
.....
22,569
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
..........
134,640
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).)
NONE
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.
NONE
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:
JPMORGAN CHASE BANK NA
1300 EAST NINTH ST
CLEVELAND
,
OH
44114
(216) 781-2052
b
The form in which applications should be submitted and information and materials they should include:
THERE IS NO PRESCRIBED FORM FOR APPLICATIONS.
c
Any submission deadlines:
NONE
d
Any restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
factors:
AWARDS ARE GRANTED TO QUALIFIED RECIPIENTS AS DETERMINED BY THE TRUSTEES
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
YOUNGSTOWN CITYSCAPE INC
PO BOX 75
Youngstown
,
OH
44501
NONE
PC
GENERAL
11,000
AKRON CHILDRENS HOSPITAL
6505 MARKET ST
Youngstown
,
OH
44512
NONE
PC
GENERAL
10,000
HENRY H STAMBAUGH AUDITORIUM
1000 5TH AVE
YOUNGSTOWN
,
OH
44504
NONE
PC
GENERAL
12,500
YOUNGSTOWN NEIGHBORHOOD
820 CANFIELD RD
Youngstown
,
OH
44511
NONE
PC
GENERAL
5,000
YWCA MAHONING VALLEY
25 W RAYEN AVE
Youngstown
,
OH
44503
NONE
PC
GENERAL
5,000
Butler Institute of American Art
524 WICK AVENUE
Youngstown
,
OH
44502
NONE
PC
GENERAL
10,000
YALE UNIVERSITY
NEW HAVEN
Connecticut
,
CT
06520
NONE
PC
GENERAL
500
United Way of Youngstown and the Mahonin
255 WATT ST
Youngstown
,
OH
44505
NONE
PC
GENERAL
25,000
BIG BROTHERS BIG SISTERS OF MAHONING
325 N STATE ST
Girard
,
OH
44420
NONE
PC
GENERAL
5,000
MAHONING VALLEY HISTORICAL SOCIETY
648 WICK AVE
Youngstown
,
OH
44502
NONE
PC
GENERAL
12,500
PLANNED PARENTHOOD OF GREATER OHIO
206 E STATE STREET
Columbus
,
OH
43215
NONE
PC
GENERAL
10,000
YOUNGSTOWN SYMPHONY SOCIETY INC
260 W FEDERAL ST
Youngstown
,
OH
44503
NONE
PC
GENERAL
21,000
FIRST PRESBYTERIAN CHURCH YOUNGSTOWN
100 CHURCH STREET
Youngstown
,
NY
14174
NONE
PC
GENERAL
7,000
ST JOHNS EPISCOPAL CHURCH
323 WICK AVE
Youngstown
,
OH
44503
NONE
PC
GENERAL
7,000
CHOATE ROSEMARY HALL
333 CHRISTIAN ST
Wallingford
,
CT
06492
NONE
PC
GENERAL
500
Total
.................................
3a
142,000
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
83,992
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
127,824
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)
..
211,816
13
Total.
Add line 12, columns (b), (d), and (e)
..................
13
211,816
(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