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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
ROBERT T KEELER FOUNDATION
CO MARY L RUST
Number and street (or P.O. box number if mail is not delivered to street address)
425 WALNUT STREET
Room/suite
City or town, state or province, country, and ZIP or foreign postal code
CINCINNATI
,
OH
45202
A Employer identification number
31-1420552
B
Telephone number (see instructions)
(513) 381-2838
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)
$
29,887,804
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
...
650,839
650,839
5a
Gross rents
............
b
Net rental income or (loss)
6a
Net gain or (loss) from sale of assets not on line 10
584,575
b
Gross sales price for all assets on line 6a
9,126,490
7
Capital gain net income (from Part IV, line 2)
...
584,575
8
Net short-term capital gain
.........
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)
.......
46,430
12
Total.
Add lines 1 through 11
........
1,281,844
1,235,414
13
Compensation of officers, directors, trustees, etc.
60,000
12,000
48,000
14
Other employee salaries and wages
......
15
Pension plans, employee benefits
.......
16a
Legal fees (attach schedule)
.........
1,349
1,349
b
Accounting fees (attach schedule)
.......
19,970
19,970
c
Other professional fees (attach schedule)
....
251,534
248,797
2,760
17
Interest
...............
25,397
25,397
18
Taxes (attach schedule) (see instructions)
...
45,901
2,346
19
Depreciation (attach schedule) and depletion
...
20
Occupancy
..............
21
Travel, conferences, and meetings
.......
24,992
4,998
19,994
22
Printing and publications
..........
23
Other expenses (attach schedule)
.......
24
Total operating and administrative expenses.
Add lines 13 through 23
..........
429,143
293,538
92,073
25
Contributions, gifts, grants paid
.......
1,430,200
1,430,200
26
Total expenses and disbursements.
Add lines 24 and 25
1,859,343
293,538
1,522,273
27
Subtract line 26 from line 12:
a
Excess of revenue over expenses and disbursements
-577,499
b
Net investment income
(if negative, enter -0-)
941,876
c
Adjusted net income
(if negative, enter -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
.............
8,645
2
Savings and temporary cash investments
.........
4,493,059
1,129,518
1,129,518
3
Accounts receivable
Less: allowance for doubtful accounts
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
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)
.......
7,482,427
10,268,484
13,111,314
c
Investments—corporate bonds (attach schedule)
.......
2,441,646
6,100,405
6,259,969
11
Investments—land, buildings, and equipment: basis
Less: accumulated depreciation (attach schedule)
12
Investments—mortgage loans
.............
13
Investments—other (attach schedule)
..........
11,330,577
7,680,448
9,387,003
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)
25,756,354
25,178,855
29,887,804
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
........
18,480
18,480
27
Paid-in or capital surplus, or land, bldg., and equipment fund
28
Retained earnings, accumulated income, endowment, or other funds
25,737,874
25,160,375
29
Total net assets or fund balances
(see instructions)
.....
25,756,354
25,178,855
30
Total liabilities and net assets/fund balances
(see instructions)
.
25,756,354
25,178,855
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
25,756,354
2
Enter amount from Part I, line 27a
.....................
2
-577,499
3
Other increases not included in line 2 (itemize)
3
4
Add lines 1, 2, and 3
..........................
4
25,178,855
5
Decreases not included in line 2 (itemize)
5
6
Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 29
.
6
25,178,855
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
240000 SHS RENAISSANCE RIDA
P
2011-01-01
2019-06-17
b
SOUTHPAW CREDIT OPPORTUNIITY FUND
P
2011-01-01
2019-12-31
c
MANIKAY-REDEMPTION
P
2011-01-01
2019-12-31
d
EASTBAY-REDEMPTION
P
2011-01-01
2019-12-31
e
BLACK DIAMOND CREDIT STRATEGIES
P
2011-01-11
2019-12-31
RENAISSANCE RIEF ACCESS LLC
P
2011-01-01
2019-12-31
RENAISSANCE RIDA
P
2011-01-01
2019-12-31
189000 BLACKROCK LIQUIDITY
P
2018-11-20
2019-01-14
290000 BLACKROCK LIQUIDITY
P
2018-11-20
2019-01-07
785000 BLACKROCK LIQUIDITY
P
2018-11-20
2019-01-03
38.028 BNY MELLON EQUITY
P
2019-09-03
2019-09-13
19 BNY MELLON EQUITY
P
2019-08-01
2019-09-13
0.119 BNY MELLON EQUITY
P
2019-08-01
2019-09-13
43 BNY MELLON EQUITY
P
2019-07-01
2019-09-13
1 BNY MELLON EQUITY
P
2019-07-01
2019-09-13
38 BNY MELLON EQUITY
P
2019-06-03
2019-09-13
16 BNY MELLON EQUITY
P
2019-05-01
2019-09-13
3190 BNY MELLON EQUITY
P
2019-01-15
2019-09-13
1 BNY MELLON EQUITY
P
2019-01-15
2019-09-13
555 BNY MELLON EQUITY
P
2019-01-08
2019-09-13
3923 BNY MELLON EQUITY
P
2019-01-07
2019-09-13
1 BNY MELLON EQUITY
P
2019-01-07
2019-09-13
7801 BNY MELLON EQUITY
P
2019-01-02
2019-09-13
4000 ***TRANSOCEAN INC MAKE WHOLE CALL @ +40 UNTIL 03/15/38 SENIOR UNSECURED
P
2017-04-03
2019-01-02
3000 ROWAN COS INC SR UNSECURED
P
2017-01-12
2019-01-03
7000 ROWAN COS INC SR UNSECURED
P
2017-01-18
2019-01-04
1000 SESI L L C SR NT
P
2017-02-24
2019-01-04
9000 SESI L L C SR NT
P
2017-02-27
2019-01-04
3000 SESI L L C SR NT
P
2017-03-03
2019-01-04
1000 ***TRANSOCEAN INC MAKE WHOLE CALL @ +40 UNTIL 03/15/38 SENIOR UNSECURED
P
2017-04-03
2019-01-04
10000 ***PRECISION DRILLING CORP
P
2017-03-20
2019-01-07
3000 ***PRECISION DRILLING CORP
P
2017-03-22
2019-01-07
5000 SESI L L C SR NT
P
2017-03-03
2019-01-08
9000 RANGE RES CORP SR GLBL NT 25
P
2017-03-08
2019-01-15
4000 RANGE RES CORP SR GLBL NT 25
P
2017-03-15
2019-01-15
2000 NRG YIELD OPER LLC SR GLBL NT 24
P
2017-01-20
2019-01-16
5000 NRG YIELD OPER LLC SR GLBL NT 24
P
2017-01-20
2019-01-16
1000 NRG YIELD OPER LLC SR GLBL NT 24
P
2017-01-20
2019-01-17
3000 NRG YIELD OPER LLC SR GLBL NT 24
P
2017-01-24
2019-01-17
2000 NRG YIELD OPER LLC SR GLBL NT 24
P
2017-01-26
2019-01-17
2000 NRG YIELD OPER LLC SR GLBL NT 24
P
2017-02-09
2019-01-17
1000 NRG YIELD OPER LLC SR GLBL NT 24
P
2017-02-22
2019-01-17
1000 RANGE RES CORP SR GLBL NT 25
P
2017-03-15
2019-01-17
4000 RANGE RES CORP SR GLBL NT 25
P
2017-03-17
2019-01-17
5000 RANGE RES CORP SR GLBL NT 25
P
2017-03-21
2019-01-17
1000 NRG YIELD OPER LLC SR GLBL NT 24
P
2017-02-22
2019-01-23
4000 NRG YIELD OPER LLC SR GLBL NT 24
P
2017-03-14
2019-01-23
10000 NRG YIELD OPER LLC SR GLBL NT 24
P
2019-01-02
2019-01-23
2000 NRG YIELD OPER LLC SR GLBL NT 24
P
2019-01-02
2019-01-25
4000 MGM RESORTS INTERNATIONAL SR NT 6.75%20
P
2016-10-18
2019-01-29
2000 MGM RESORTS INTERNATIONAL SR NT 6.75%20
P
2016-10-18
2019-01-30
5000 MGM RESORTS INTERNATIONAL SR NT 6.75%20
P
2016-11-07
2019-01-30
2000 ***PRECISION DRILLING CORP
P
2017-03-22
2019-01-30
2000 ***PRECISION DRILLING CORP
P
2017-03-31
2019-01-30
5000 ***PRECISION DRILLING CORP
P
2017-04-06
2019-01-30
7000 ENERGY TRANSFER EQUITY LP
P
2019-02-08
2019-03-04
3000 ENERGY TRANSFER EQUITY LP
P
2019-02-15
2019-03-04
23000 ENERGY TRANSFER EQUITY LP
P
2019-02-15
2019-03-05
10000 ISTAR FINANCIAL INC SENIOR NOTES
P
2016-10-04
2019-03-07
3000 ANTERO RES CORP SR GLBL NT 23
P
2017-04-27
2019-03-11
3000 ANTERO RES CORP SR GLBL NT 23
P
2017-05-03
2019-03-11
5000 ANTERO RES CORP SR GLBL NT 23
P
2017-05-04
2019-03-11
5000 ANTERO RES CORP SR GLBL NT 23
P
2017-05-05
2019-03-11
2000 ANTERO RES CORP SR GLBL NT 23
P
2017-05-10
2019-03-11
3000 ANTERO RES CORP SR GLBL NT 23
P
2017-05-12
2019-03-11
13000 ANTERO RES CORP SR GLBL NT 23
P
2019-01-15
2019-03-12
15000 ANTERO RES FIN CORP SR GLBL NT 21
P
2016-10-04
2019-03-15
8000 SOUTHWESTERN ENERGY COMPANY
P
2017-12-07
2019-03-15
6000 SOUTHWESTERN ENERGY COMPANY
P
2017-12-14
2019-03-15
7000 ANTERO RES FIN CORP SR GLBL NT 21
P
2016-10-04
2019-03-18
10000 ANTERO RES FIN CORP SR GLBL NT 21
P
2019-01-07
2019-03-18
7000 SOUTHWESTERN ENERGY COMPANY
P
2017-12-14
2019-03-18
11000 SOUTHWESTERN ENERGY COMPANY
P
2019-01-29
2019-03-18
4000 GOODYEAR TIRE & RUBBER CO MAKE WHOLE CALL @ +50 UNTIL 12/15/26 SENIOR UNSECURED
P
2017-05-03
2019-03-19
4000 GOODYEAR TIRE & RUBBER CO MAKE WHOLE CALL @ +50 UNTIL 12/15/26 SENIOR UNSECURED
P
2017-05-04
2019-03-19
4000 GOODYEAR TIRE & RUBBER CO MAKE WHOLE CALL @ +50 UNTIL 12/15/26 SENIOR UNSECURED
P
2017-05-04
2019-03-20
2000 GOODYEAR TIRE & RUBBER CO MAKE WHOLE CALL @ +50 UNTIL 12/15/26 SENIOR UNSECURED
P
2017-05-09
2019-03-20
8000 GOODYEAR TIRE & RUBBER CO MAKE WHOLE CALL @ +50 UNTIL 12/15/26 SENIOR UNSECURED
P
2017-05-09
2019-03-21
6000 GOODYEAR TIRE & RUBBER CO MAKE WHOLE CALL @ +50 UNTIL 12/15/26 SENIOR UNSECURED
P
2019-01-18
2019-03-21
5000 GOODYEAR TIRE & RUBBER CO MAKE WHOLE CALL @ +50 UNTIL 12/15/26 SENIOR UNSECURED
P
2019-01-18
2019-03-27
3000 GOODYEAR TIRE & RUBBER CO MAKE WHOLE CALL @ +50 UNTIL 12/15/26 SENIOR UNSECURED
P
2019-01-18
2019-03-28
6000 ***ENSCO PLC
P
2017-01-06
2019-04-02
6000 ***ENSCO PLC
P
2017-01-09
2019-04-02
3000 ***ENSCO PLC
P
2017-01-10
2019-04-02
1000 ***ENSCO PLC
P
2017-01-19
2019-04-02
1000 ***ENSCO PLC
P
2017-01-19
2019-04-04
4000 ***ENSCO PLC
P
2017-02-08
2019-04-04
6000 ***ENSCO PLC
P
2017-02-09
2019-04-04
10000 ***ENSCO PLC
P
2019-01-03
2019-04-04
7000 ANHEUSER-BUSCH INBEV FIN SR UNSECURED
P
2019-03-19
2019-04-17
7000 RADIAN GROUP INC
P
2016-09-29
2019-04-22
2000 RADIAN GROUP INC
P
2016-10-24
2019-04-22
12000 AMERICAN AXLE & MFG INC SR UNSECURED
P
2017-10-16
2019-04-23
15000 AMERICAN AXLE & MFG INC SR UNSECURED
P
2019-01-28
2019-04-23
1000 CHEMOURS CO SR GLBL NT 23
P
2016-09-30
2019-04-24
2000 CHEMOURS CO SR GLBL NT 23
P
2016-12-12
2019-04-24
8000 CHEMOURS CO SR GLBL NT 23
P
2016-12-12
2019-04-24
7000 DISH DBS CORP SR NT
P
2018-03-06
2019-04-24
6000 DISH DBS CORP SR NT
P
2018-03-06
2019-05-02
6000 DISH DBS CORP SR NT
P
2018-03-08
2019-05-02
2000 DISH DBS CORP SR NT
P
2018-12-24
2019-05-02
13000 DISH DBS CORP SR NT
P
2018-12-24
2019-05-03
7000 CONSOL ENERGY INC SR GLBL NT 22
P
2016-10-03
2019-05-08
5000 HEALTHSOUTH CORP SR UNSECURED
P
2019-01-24
2019-05-08
9000 CHEMOURS CO SR GLBL NT 7%25
P
2019-05-03
2019-05-13
5000 CHEMOURS CO SR GLBL NT 7%25
P
2019-05-03
2019-05-14
9000 CHEMOURS CO SR GLBL NT 7%25
P
2019-05-03
2019-05-15
14000 CONSOL ENERGY INC SR GLBL NT 22
P
2016-10-03
2019-05-15
2000 CONSOL ENERGY INC SR GLBL NT 22
P
2016-10-20
2019-05-15
6000 CONSOL ENERGY INC SR GLBL NT 22
P
2019-01-31
2019-05-15
2000 CHEMOURS CO SR GLBL NT 7%25
P
2019-05-03
2019-05-16
6000 AMERICAN AXLE & MFG INC SR NT
P
2018-06-21
2019-05-20
5000 CHEMOURS CO SR GLBL NT 7%25
P
2019-05-03
2019-05-20
19000 AMERICAN AXLE & MFG INC SR NT
P
2018-06-21
2019-05-21
6000 AMERICAN AXLE & MFG INC SR NT
P
2019-01-15
2019-05-21
10000 SPRINT CORP
P
2018-07-31
2019-05-21
3000 SPRINT CORP
P
2018-07-31
2019-05-23
3000 SPRINT CORP
P
2018-07-31
2019-05-24
4000 SPRINT CORP
P
2018-08-07
2019-05-24
2000 SPRINT CORP
P
2018-08-07
2019-05-28
10000 SPRINT CORP
P
2019-01-03
2019-05-28
10000 ***ENSCO PLC SENIOR NOTES
P
2019-04-02
2019-05-31
6000 ***ENSCO PLC SENIOR NOTES
P
2019-04-03
2019-05-31
9000 ***ENSCO PLC SENIOR NOTES
P
2019-04-03
2019-06-04
4000 ***ENSCO PLC SENIOR NOTES
P
2019-04-03
2019-06-06
11000 ***ENSCO PLC SENIOR NOTES
P
2019-04-04
2019-06-06
5000 HEALTHSOUTH CORP SR UNSECURED
P
2019-01-24
2019-06-07
12000 LENNAR CORP SENIOR NOTES
P
2014-07-31
2019-06-17
5000 LENNAR CORP SENIOR NOTES
P
2016-10-07
2019-06-17
4000 LENNAR CORP SENIOR NOTES
P
2016-11-15
2019-06-17
3000 LENNAR CORP SENIOR NOTES
P
2019-01-28
2019-06-17
9000 DIAMONDBACK ENERGY INC
P
2018-02-07
2019-06-18
5000 DIAMONDBACK ENERGY INC
P
2018-02-23
2019-06-18
4000 DIAMONDBACK ENERGY INC
P
2018-03-02
2019-06-18
4000 LIMITED BRANDS INC SENIOR NTS
P
2018-06-19
2019-06-20
5000 LIMITED BRANDS INC SENIOR NTS
P
2018-06-20
2019-06-20
7000 LIMITED BRANDS INC SENIOR NTS
P
2018-08-29
2019-06-20
6000 LIMITED BRANDS INC SENIOR NTS
P
2018-08-30
2019-06-20
9000 LIMITED BRANDS INC SENIOR NTS
P
2019-01-02
2019-06-20
2000 DIAMONDBACK ENERGY INC
P
2018-03-16
2019-06-21
2000 ROWAN COS INC SR UNSECURED
P
2017-01-25
2019-06-24
4000 ROWAN COS INC SR UNSECURED
P
2017-02-01
2019-06-24
3000 ROWAN COS INC SR UNSECURED
P
2017-02-02
2019-06-24
1000 ROWAN COS INC SR UNSECURED
P
2017-02-02
2019-06-24
3000 DIAMONDBACK ENERGY INC
P
2018-03-16
2019-06-25
9000 DIAMONDBACK ENERGY INC
P
2019-01-24
2019-06-25
3000 ROWAN COS INC SR UNSECURED
P
2017-02-02
2019-06-25
3000 ROWAN COS INC SR UNSECURED
P
2017-05-30
2019-06-25
7000 OLIN CORP SENIOR NOTES
P
2018-07-27
2019-06-28
7000 OLIN CORP SENIOR NOTES
P
2018-07-31
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2000 ROWAN COS INC SR UNSECURED
P
2017-05-30
2019-07-01
3000 ROWAN COS INC SR UNSECURED
P
2017-06-05
2019-07-01
16000 ROWAN COS INC SR UNSECURED
P
2017-08-07
2019-07-01
5000 OLIN CORP SENIOR NOTES
P
2018-07-31
2019-07-02
4000 OLIN CORP SENIOR NOTES
P
2018-07-31
2019-07-03
10000 OLIN CORP SENIOR NOTES
P
2019-01-02
2019-07-03
5000 HCA INC 1ST LIEN SENIOR SECURED NTS
P
2018-06-18
2019-07-05
7000 HCA INC 1ST LIEN SENIOR SECURED NTS
P
2018-06-19
2019-07-05
9000 HCA INC 1ST LIEN SENIOR SECURED NTS
P
2018-06-29
2019-07-05
7000 HCA INC 1ST LIEN SENIOR SECURED NTS
P
2019-01-08
2019-07-05
4000 HCA INC 1ST LIEN SENIOR SECURED NTS
P
2019-01-23
2019-07-05
8000 CCO HLDGS LLC/CAP CORP REGISTERED SENIOR NOTES
P
2018-02-14
2019-07-10
2000 CCO HLDGS LLC/CAP CORP REGISTERED SENIOR NOTES
P
2018-02-23
2019-07-10
4000 CCO HLDGS LLC/CAP CORP REGISTERED SENIOR NOTES
P
2018-03-06
2019-07-10
9000 CCO HLDGS LLC/CAP CORP REGISTERED SENIOR NOTES
P
2018-03-06
2019-07-15
1000 CCO HLDGS LLC/CAP CORP REGISTERED SENIOR NOTES
P
2019-01-22
2019-07-15
9000 CCO HLDGS LLC/CAP CORP REGISTERED SENIOR NOTES
P
2019-01-22
2019-07-17
8000 CENTURYLINK INC
P
2017-06-09
2019-07-18
3000 T-MOBILE USA INC NT
P
2017-05-16
2019-07-18
1000 CENTURYLINK INC
P
2017-06-09
2019-07-19
6000 CENTURYLINK INC
P
2017-06-16
2019-07-19
5000 CENTURYLINK INC
P
2017-06-21
2019-07-19
12000 CENTURYLINK INC
P
2019-03-19
2019-07-19
8000 CHESAPEAKE ENERGY CORP 8%27
P
2018-05-15
2019-07-22
7000 CHESAPEAKE ENERGY CORP SR GLBL NT 8%25
P
2018-05-15
2019-07-23
10000 CHESAPEAKE ENERGY CORP SR GLBL NT 8%25
P
2018-05-18
2019-07-23
5000 CHESAPEAKE ENERGY CORP 8%27
P
2018-05-16
2019-07-23
5000 CHESAPEAKE ENERGY CORP 8%27
P
2018-05-18
2019-07-23
4000 CHESAPEAKE ENERGY CORP 8%27
P
2018-05-22
2019-07-23
12000 CHESAPEAKE ENERGY CORP 8%27
P
2019-01-23
2019-07-23
11000 T-MOBILE USA INC NT
P
2017-05-16
2019-07-23
7000 T-MOBILE USA INC NT
P
2017-05-17
2019-07-23
6000 T-MOBILE USA INC NT
P
2019-01-16
2019-07-23
5000 CHESAPEAKE ENERGY CORP SR GLBL NT 8%25
P
2018-05-18
2019-07-24
6000 CHESAPEAKE ENERGY CORP SR GLBL NT 8%25
P
2019-01-22
2019-07-24
12000 DIAMONDBACK ENERGY INC SR GLBL NT 25
P
2017-07-28
2019-07-24
7000 DIAMONDBACK ENERGY INC SR GLBL NT 25
P
2017-08-01
2019-07-24
5000 CHESAPEAKE ENERGY CORP SR GLBL NT 8%25
P
2019-01-22
2019-07-25
1000 DIAMONDBACK ENERGY INC SR GLBL NT 25
P
2017-08-01
2019-07-31
2000 DIAMONDBACK ENERGY INC SR GLBL NT 25
P
2018-04-17
2019-07-31
2000 DIAMONDBACK ENERGY INC SR GLBL NT 25
P
2019-01-14
2019-07-31
22000 ICAHN ENTERPRISES LP/CORP SR NT 6%20
P
2016-08-18
2019-08-01
3000 ICAHN ENTERPRISES LP/CORP SR NT 6%20
P
2019-01-08
2019-08-01
2000 ICAHN ENTERPRISES LP/CORP SR NT 6%20
P
2019-01-31
2019-08-01
9000 DIAMONDBACK ENERGY INC SR GLBL NT 25
P
2019-01-14
2019-08-07
6000 CLEAR CHANNEL WORLDWIDE HLDGS INC SR UNSECURED
P
2014-03-10
2019-09-04
15000 CLEAR CHANNEL WORLDWIDE HLDGS INC SR UNSECURED
P
2016-09-30
2019-09-04
2000 CLEAR CHANNEL WORLDWIDE HLDGS INC SR UNSECURED
P
2019-01-17
2019-09-04
9000 CLEAR CHANNEL WORLDWIDE HLDGS INC SR UNSECURED
P
2019-01-18
2019-09-04
17000 TENET HEALTHCARE CORP SR NT 6%20
P
2019-01-16
2019-09-11
3000 TENET HEALTHCARE CORP SR NT 6%20
P
2019-01-22
2019-09-11
12000 TENET HEALTHCARE CORP SR NT 6%20
P
2019-01-25
2019-09-11
6007 NATIONSTAR MTG LLC / NATIONSTAR CAP CORP
P
2016-10-17
2019-09-12
21000 DAVITA INC SR UNSECURED
P
2016-09-29
2019-09-13
2000 DAVITA INC SR UNSECURED
P
2018-12-26
2019-09-13
8000 DAVITA INC SR UNSECURED
P
2018-12-27
2019-09-13
2000 DAVITA INC SR UNSECURED
P
2019-02-13
2019-09-13
13000 TRIBUNE MEDIA CO SR NT 5.875%22
P
2016-09-26
2019-09-19
8000 TRIBUNE MEDIA CO SR NT 5.875%22
P
2016-09-27
2019-09-19
10000 TRIBUNE MEDIA CO SR NT 5.875%22
P
2018-12-26
2019-09-19
2000 TRIBUNE MEDIA CO SR NT 5.875%22
P
2019-01-25
2019-09-19
18000 CCO HLDGS LLC / CCO HLDGS CAP CORP REGISTERED SENIOR NOTES
P
2016-09-29
2019-09-23
3000 CCO HLDGS LLC / CCO HLDGS CAP CORP REGISTERED SENIOR NOTES
P
2016-10-07
2019-09-23
2000 CCO HLDGS LLC / CCO HLDGS CAP CORP REGISTERED SENIOR NOTES
P
2019-02-13
2019-09-23
9000 HEALTHSOUTH CORP SR UNSECURED
P
2019-01-24
2019-09-23
7000 ARAMARK SVCS INC SR GLBL NT 24
P
2016-11-21
2019-10-07
7000 ARAMARK SVCS INC SR GLBL NT 24
P
2016-12-07
2019-10-08
2000 ARAMARK SVCS INC SR GLBL NT 24
P
2016-12-07
2019-10-09
2000 ARAMARK SVCS INC SR GLBL NT 24
P
2016-12-13
2019-10-09
3000 ARAMARK SVCS INC SR GLBL NT 24
P
2017-01-05
2019-10-09
9000 ARAMARK SVCS INC SR GLBL NT 24
P
2019-01-09
2019-10-09
6000 NATIONSTAR MTG LLC / NATIONSTAR CAP CORP
P
2016-10-17
2019-10-09
7 NATIONSTAR MTG LLC / NATIONSTAR CAP CORP
P
2016-10-17
2019-10-09
7000 SERVICE CORP INTL SENIOR NOTES
P
2019-06-25
2019-10-10
13000 SERVICE CORP INTL SENIOR NOTES
P
2019-06-25
2019-10-11
12000 SERVICE CORP INTL SENIOR NOTES
P
2019-06-26
2019-10-11
23000 ISTAR INC
P
2016-09-29
2019-10-16
18000 CCO HLDGS LLC / CCO HLDGS CAP CORP REGISTERED SENIOR NOTES
P
2016-09-29
2019-10-18
3000 CCO HLDGS LLC / CCO HLDGS CAP CORP REGISTERED SENIOR NOTES
P
2016-10-07
2019-10-18
2000 CCO HLDGS LLC / CCO HLDGS CAP CORP REGISTERED SENIOR NOTES
P
2019-02-13
2019-10-18
4000 CCO HLDGS LLC / CCO HLDGS CAP CORP REGISTERED SENIOR NOTES
P
2019-02-13
2019-10-23
18000 EDISON INTL
P
2019-07-16
2019-10-28
2000 EDISON INTL
P
2019-07-16
2019-10-30
3000 EDISON INTL
P
2019-07-17
2019-10-30
9000 HEALTHSOUTH CORP SR UNSECURED
P
2019-01-24
2019-11-01
20000 WELLCARE HEALTH PLANS INC SENIOR NOTES
P
2019-01-10
2019-11-01
12000 WELLCARE HEALTH PLANS INC SENIOR NOTES
P
2019-01-11
2019-11-01
13000 ANTERO RES CORP SR GLBL NT 22
P
2019-07-29
2019-11-04
6000 ANTERO RES CORP SR GLBL NT 22
P
2019-07-29
2019-11-06
1000 ANTERO RES CORP SR GLBL NT 22
P
2019-07-29
2019-11-07
17000 ANTERO RES CORP SR GLBL NT 22
P
2019-08-01
2019-11-07
10000 EDISON INTL
P
2019-07-17
2019-11-14
21000 EQUINIX INC SENIOR NOTES
P
2016-10-05
2019-11-18
12000 EQUINIX INC SENIOR NOTES
P
2019-01-15
2019-11-18
9000 UNITED RENTALS NORTH AMER INC
P
2018-12-31
2019-11-20
14000 UNITED RENTALS NORTH AMER INC
P
2019-01-03
2019-11-20
10000 UNITED RENTALS NORTH AMER INC
P
2019-01-08
2019-11-20
15000 LEVEL 3 COMMUNICATIONS INC SR NT 5.75%22
P
2016-10-03
2019-12-02
3000 LEVEL 3 COMMUNICATIONS INC SR NT 5.75%22
P
2016-10-05
2019-12-02
3000 LEVEL 3 COMMUNICATIONS INC SR NT 5.75%22
P
2016-10-13
2019-12-02
11000 LEVEL 3 COMMUNICATIONS INC SR NT 5.75%22
P
2019-01-04
2019-12-02
10000 BOYD GAMING CORP SENIOR NOTES
P
2016-09-27
2019-12-03
10000 BOYD GAMING CORP SENIOR NOTES
P
2016-10-04
2019-12-03
4000 BOYD GAMING CORP SENIOR NOTES
P
2018-12-26
2019-12-03
100000 CITIGROUP INC
P
2016-02-03
2019-04-16
100000 GOLDMAN SACHS GROUP INC
P
2016-04-19
2019-04-16
100000 MORGAN STANLEY
P
2016-02-03
2019-04-16
150000 GOLDMAN SACHS CAPITAL II FIX TO FLOAT BONDS PERPETUAL
P
2019-01-08
2019-06-11
Total Realized G/L:
P
400 BRISTOL MYERS SQUIBB CO
P
2017-01-24
2019-05-14
400 BRISTOL MYERS SQUIBB CO
P
2017-07-12
2019-05-14
200 EOG RES INC
P
2017-01-24
2019-05-14
200 EOG RES INC
P
2017-02-27
2019-05-14
350 GILEAD SCIENCES INC
P
2018-02-06
2019-05-14
200 ***SCHLUMBERGER LTD
P
2017-01-24
2019-05-14
200 ***SCHLUMBERGER LTD
P
2017-02-27
2019-05-14
800 ***JD.COM INC SPONSORED ADR REPSTG COM CL A
P
2018-02-06
2019-09-30
650 PFIZER INC
P
2019-09-30
2019-09-30
650 PFIZER INC
P
2017-01-24
2019-09-30
300 VANGUARD INDEX FUNDS SMALL-CAP VALUE ETF
P
2017-12-04
2019-09-30
200 VANGUARD INDEX FUNDS SMALL-CAP VALUE ETF
P
2018-02-06
2019-09-30
1000 SELECT SECTOR SPDR TRUST THE FINANCIAL SELECT SECTOR SPDR FUND
P
2018-02-06
2019-09-30
234 PFIZER INC
P
2017-01-24
2019-12-02
225 SUNTRUST BANKS INC
P
2019-11-06
2019-12-09
55 CORNING INC
P
2019-11-06
2019-12-10
70 CORNING INC
P
2019-11-06
2019-12-13
35 ***ROYAL DUTCH SHELL PLC SPONSORED ADR REPSTG B SHS
P
2019-11-06
2019-12-18
TRUIST FINANCIAL
P
2019-12-09
2019-12-09
20 ELI LILLY & CO
P
2019-11-06
2019-12-27
Total Realized G/L:
P
700 AMER EXPRESS CO
P
2019-04-02
2019-05-13
500 APPLE INC
P
2018-11-16
2019-09-26
500 APPLE INC
P
2018-11-16
2019-05-28
5000 ARES MANAGEMENT
P
2019-09-25
2019-09-30
2000 BLACKSTONE GROUP INC
P
2018-11-16
2019-09-30
3000 BLACKSTONE GROUP INC
P
2018-11-28
2019-09-30
3000 BLACKSTONE GROUP LP/THE
P
2018-11-16
2019-04-02
-15 CALL HOME DEPOT INC
P
2019-04-16
2019-06-24
-20 CALL LINDE PLC EUR
P
2019-04-16
2019-06-06
-10 CALL VISA INC CL A
P
2019-04-16
2019-06-10
3000 COMCAST CORP NEW CL A
P
2018-11-16
2019-02-19
1000 DOW INC
P
2019-02-19
2019-04-25
3000 DOWDUPONT INC *REVERSE
P
2019-02-19
2019-04-25
1000 GOLDMAN SACHS GROUP INC
P
2018-11-30
2019-05-13
500 HOME DEPOT INC
P
2018-11-16
2019-09-26
1000 LINDE PLC EUR
P
2018-11-16
2019-07-30
500 LINDE PLC EUR
P
2018-11-16
2019-06-20
500 LINDE PLC EUR
P
2018-11-28
2019-07-30
1500 STARBUCKS CORP
P
2018-12-11
2019-09-26
142 ACCENTURE PLC IRELAND
P
2018-11-19
2019-09-09
80 ALCON INC CHF
P
2018-11-19
2019-04-15
0.6 ALCON INC CHF
P
2018-11-19
2019-04-09
18 ALCON INC CHF
P
2018-11-28
2019-04-15
16.4 ALCON INC CHF
P
2018-11-29
2019-04-15
22.8 ALCON INC CHF
P
2018-12-03
2019-04-15
11.8 ALCON INC CHF
P
2019-01-07
2019-04-15
8 ALCON INC CHF
P
2019-02-13
2019-04-15
26 BLACKROCK INC
P
2018-11-19
2019-02-13
173 CHEVRON CORP
P
2018-11-19
2019-09-09
188 CHEVRON CORP
P
2018-11-19
2019-04-08
37 COMCAST CORP NEW CL A
P
2018-11-19
2019-04-16
116 CRANE CO
P
2018-11-19
2019-02-13
179 JOHNSON & JOHNSON COM
P
2018-11-19
2019-04-08
275 JPMORGAN CHASE & CO
P
2018-11-19
2019-06-27
43.8593 KONTOOR BRANDS INC
P
2018-11-19
2019-05-24
0.1385 KONTOOR BRANDS INC
P
2018-11-19
2019-05-23
9.1424 KONTOOR BRANDS INC
P
2018-11-28
2019-05-24
9.4281 KONTOOR BRANDS INC
P
2018-11-29
2019-05-24
11.9994 KONTOOR BRANDS INC
P
2018-12-03
2019-05-24
6.2854 KONTOOR BRANDS INC
P
2019-01-07
2019-05-24
3.4284 KONTOOR BRANDS INC
P
2019-02-13
2019-05-24
2.857 KONTOOR BRANDS INC
P
2019-04-16
2019-05-24
72 LOCKHEED MARTIN CORP
P
2018-11-19
2019-12-09
370 MEDTRONIC PLC
P
2018-11-19
2019-10-07
109 NEXTERA ENERGY INC COM
P
2018-11-19
2019-11-04
10 NEXTERA ENERGY INC COM
P
2018-11-28
2019-11-04
761 SUNCOR ENERGY INC NEW
P
2018-11-19
2019-04-08
451 SUNTRUST BANKS INC
P
2018-11-19
2019-06-27
196 TEXAS INSTRUMENTS
P
2018-11-19
2019-09-09
198 TEXAS INSTRUMENTS
P
2018-11-19
2019-02-13
16 TEXAS INSTRUMENTS
P
2018-11-28
2019-09-09
0.235 TRUIST FINL CORP
P
2018-11-19
2019-12-10
140 UNION PACIFIC CORP
P
2018-11-19
2019-09-09
156 ACCENTURE PLC IRELAND
P
2018-11-19
2019-12-16
51 ADOBE INC. (DELAWARE)
P
2018-11-19
2019-11-11
141 AMERICAN TOWER CORP REIT
P
2018-11-19
2019-04-15
123 AMERIPRISE FINANCIAL INC
P
2018-11-19
2019-06-17
135 AMERIPRISE FINANCIAL INC
P
2018-11-19
2019-03-11
31 AMERIPRISE FINANCIAL INC
P
2018-11-28
2019-06-17
22 AMERIPRISE FINANCIAL INC
P
2018-11-28
2019-08-12
41 AMERIPRISE FINANCIAL INC
P
2018-11-29
2019-08-12
29 AMERIPRISE FINANCIAL INC
P
2018-12-03
2019-08-12
53 BLACKROCK INC
P
2018-11-19
2019-03-11
28 BLACKROCK INC
P
2018-11-19
2019-08-12
6 BLACKROCK INC
P
2018-11-28
2019-08-12
11 BLACKROCK INC
P
2018-11-28
2019-09-16
15 BLACKROCK INC
P
2018-11-29
2019-09-16
25 BLACKROCK INC
P
2018-12-03
2019-09-16
15 BLACKROCK INC
P
2019-01-07
2019-09-16
2 BLACKROCK INC
P
2019-02-13
2019-09-16
6 BLACKROCK INC
P
2019-04-16
2019-09-16
17 COMCAST CORP NEW CL A
P
2018-11-19
2019-04-16
51 COSTCO WHOLESALE CORP
P
2019-03-11
2019-11-11
204 DANAHER CORP
P
2018-11-19
2019-04-15
132 ECOLAB INC
P
2018-11-19
2019-01-02
104 ECOLAB INC
P
2018-11-19
2019-04-15
35 ECOLAB INC
P
2018-11-28
2019-04-15
18 ECOLAB INC
P
2018-11-28
2019-06-17
51 ECOLAB INC
P
2018-11-29
2019-06-17
62 ECOLAB INC
P
2018-12-03
2019-06-17
26 ECOLAB INC
P
2019-01-07
2019-06-17
13 ECOLAB INC
P
2019-02-13
2019-06-17
8 ECOLAB INC
P
2019-04-16
2019-06-17
112 HOME DEPOT INC
P
2018-11-19
2019-11-11
94 HONEYWELL INTL INC
P
2018-11-19
2019-09-16
184 INTERCONTINENTALEXCHANGE
P
2018-11-19
2019-08-12
538 MONDELEZ INTL INC
P
2018-11-19
2019-03-11
150 PARKER HANNIFIN CORP
P
2018-11-19
2019-05-13
23 PARKER HANNIFIN CORP
P
2018-11-28
2019-09-16
11 PARKER HANNIFIN CORP
P
2018-11-28
2019-05-13
28 PARKER HANNIFIN CORP
P
2018-11-29
2019-09-16
18 PARKER HANNIFIN CORP
P
2018-12-03
2019-09-16
79 RED HAT INC **CASH
P
2018-11-19
2019-01-14
341 RED HAT INC **CASH
P
2018-11-19
2019-01-02
94 RED HAT INC **CASH
P
2018-11-28
2019-01-14
92 RED HAT INC **CASH
P
2018-11-29
2019-01-14
110 RED HAT INC **CASH
P
2018-12-03
2019-01-14
27 RED HAT INC **CASH
P
2019-01-07
2019-01-14
191 SCHLUMBERGER LTD
P
2018-11-19
2019-05-13
544 SCHLUMBERGER LTD
P
2018-11-19
2019-03-11
192 SCHLUMBERGER LTD
P
2018-11-28
2019-05-13
156 SCHLUMBERGER LTD
P
2018-11-29
2019-05-13
175 SCHLUMBERGER LTD
P
2018-12-03
2019-05-13
31 SCHLUMBERGER LTD
P
2019-01-07
2019-05-13
20 SCHLUMBERGER LTD
P
2019-02-13
2019-05-13
13 SCHLUMBERGER LTD
P
2019-04-16
2019-05-13
86 THERMO FISHER SCIENTIFIC
P
2018-11-19
2019-01-02
6 UNITEDHEALTH GROUP INC
P
2018-11-19
2019-04-16
250 UNTD TECHNOLOGIES CORP
P
2018-11-19
2019-05-23
77 UNTD TECHNOLOGIES CORP
P
2018-11-28
2019-05-23
56 UNTD TECHNOLOGIES CORP
P
2018-11-29
2019-05-23
40 UNTD TECHNOLOGIES CORP
P
2018-12-03
2019-05-23
37 UNTD TECHNOLOGIES CORP
P
2019-01-07
2019-05-23
19 UNTD TECHNOLOGIES CORP
P
2019-02-13
2019-05-23
33 UNTD TECHNOLOGIES CORP
P
2019-04-16
2019-05-23
181 VISA INC CL A
P
2018-11-19
2019-06-17
280 WALT DISNEY CO (HOLDING
P
2018-11-19
2019-08-12
Capital Gain Dividends
(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
251,664
248,688
2,976
b
57,694
50,000
7,694
c
1,221,576
950,000
271,576
d
485,163
750,000
-264,837
e
79,276
79,276
7,283
7,283
11,825
11,825
189,057
189,038
19
290,087
290,058
29
785,157
785,157
748
708
40
374
366
8
2
2
845
834
11
20
19
1
747
691
56
315
311
4
62,715
57,994
4,721
20
18
2
10,911
9,996
915
77,126
70,390
6,736
20
18
2
153,368
136,986
16,382
2,710
3,320
-610
2,490
2,858
-368
5,968
6,703
-735
853
1,018
-165
7,673
9,182
-1,509
2,558
3,058
-500
703
830
-127
8,550
9,923
-1,373
2,565
2,971
-406
4,288
5,097
-809
8,117
8,527
-410
3,608
3,805
-197
1,880
2,054
-174
4,700
5,135
-435
938
1,027
-89
2,813
3,081
-268
1,875
2,054
-179
1,875
2,057
-182
938
1,028
-90
903
951
-48
3,610
3,852
-242
4,513
4,795
-282
943
1,028
-85
3,770
4,065
-295
9,425
9,546
-121
1,895
1,910
-15
4,165
4,227
-62
2,083
2,113
-30
5,206
5,242
-36
1,700
1,984
-284
1,700
1,986
-286
4,250
4,977
-727
7,096
7,069
27
3,041
3,033
8
23,288
23,255
33
10,000
10,004
-4
3,008
3,087
-79
3,008
3,090
-82
5,013
5,143
-130
5,013
5,138
-125
2,005
2,056
-51
3,008
3,085
-77
13,049
12,811
238
15,131
15,200
-69
8,160
8,506
-346
6,120
6,380
-260
7,053
7,093
-40
10,075
9,892
183
7,158
7,443
-285
11,248
11,193
55
3,710
4,004
-294
3,710
4,000
-290
3,700
4,000
-300
1,850
2,000
-150
7,400
8,000
-600
5,550
5,403
147
4,581
4,503
78
2,745
2,702
43
3,885
4,620
-735
3,885
4,633
-748
1,943
2,352
-409
648
796
-148
655
796
-141
2,620
3,228
-608
3,930
4,813
-883
6,550
5,905
645
6,895
6,890
5
7,446
7,387
59
2,128
2,114
14
12,278
12,316
-38
15,347
15,201
146
1,035
987
48
2,070
2,023
47
8,280
8,100
180
6,869
6,852
17
5,805
5,878
-73
5,805
5,805
1,935
1,831
104
12,708
11,903
805
6,930
6,714
216
5,063
5,063
9,293
9,471
-178
5,156
5,261
-105
9,214
9,470
-256
13,580
13,432
148
1,940
1,940
5,820
5,987
-167
2,053
2,104
-51
5,835
5,978
-143
5,088
5,261
-173
18,478
18,929
-451
5,835
5,646
189
10,413
10,243
170
3,086
3,073
13
3,083
3,083
4,110
4,161
-51
2,065
2,075
-10
10,325
9,900
425
7,475
8,655
-1,180
4,485
5,208
-723
6,750
7,813
-1,063
2,970
3,473
-503
8,168
9,498
-1,330
5,096
5,059
37
12,000
12,000
5,000
5,000
4,000
4,000
3,000
3,000
9,214
9,000
214
5,119
4,928
191
4,095
3,942
153
4,240
4,166
74
5,300
5,212
88
7,420
7,281
139
6,360
6,236
124
9,540
9,198
342
2,055
1,975
80
1,815
1,949
-134
3,630
3,909
-279
2,723
2,928
-205
908
976
-68
3,079
2,963
116
9,236
8,955
281
2,730
2,928
-198
2,730
2,921
-191
7,184
6,878
306
7,184
6,878
306
1,850
1,948
-98
2,775
2,923
-148
14,800
15,528
-728
5,138
4,913
225
4,110
3,930
180
10,275
9,331
944
5,477
5,188
289
7,667
7,257
410
9,858
9,292
566
7,667
7,244
423
4,381
4,194
187
8,140
8,020
120
2,035
2,019
16
4,070
4,070
9,146
9,139
7
1,016
1,005
11
9,146
9,045
101
8,840
8,684
156
3,206
3,181
25
1,105
1,085
20
6,630
6,520
110
5,525
5,366
159
13,260
12,678
582
6,340
8,010
-1,670
5,845
7,053
-1,208
8,350
10,175
-1,825
3,925
5,013
-1,088
3,925
5,050
-1,125
3,140
4,070
-930
9,420
11,457
-2,037
11,770
11,661
109
7,490
7,428
62
6,420
6,051
369
4,206
5,088
-882
5,048
5,955
-907
12,600
12,450
150
7,350
7,280
70
4,225
4,962
-737
1,050
1,040
10
2,100
2,065
35
2,100
2,000
100
22,000
24,462
-2,462
3,000
3,016
-16
2,000
2,014
-14
9,315
9,000
315
6,130
6,164
-34
15,325
15,369
-44
2,043
2,039
4
9,195
9,176
19
17,663
17,305
358
3,117
3,059
58
12,468
12,237
231
5,973
5,973
21,201
21,535
-334
2,019
1,986
33
8,077
7,951
126
2,019
2,030
-11
13,191
13,123
68
8,118
8,084
34
10,147
10,024
123
2,029
2,028
1
19,080
19,080
3,206
3,206
2,049
2,049
9,113
9,113
7,219
7,175
44
7,210
7,185
25
2,060
2,053
7
2,060
2,061
-1
3,090
3,100
-10
9,270
9,077
193
6,000
5,966
34
7
7
7,481
7,393
88
13,894
13,730
164
12,825
12,674
151
23,374
23,237
137
18,345
18,671
-326
3,058
3,128
-70
2,038
2,043
-5
4,090
4,086
4
18,968
19,898
-930
2,190
2,211
-21
3,285
3,313
-28
9,086
9,110
-24
20,900
20,050
850
12,540
12,030
510
10,693
12,266
-1,573
4,950
5,662
-712
823
944
-121
13,986
16,060
-2,074
10,933
11,037
-104
21,693
21,977
-284
12,396
12,345
51
9,208
8,889
319
14,324
13,827
497
10,231
10,000
231
15,000
15,392
-392
3,000
3,082
-82
3,000
3,077
-77
11,000
10,918
82
10,344
10,442
-98
10,344
10,479
-135
4,138
4,045
93
104,928
101,821
3,107
102,854
99,919
2,935
102,607
99,105
3,502
119,620
109,987
9,633
18,462
19,896
-1,434
18,462
22,712
-4,250
19,013
21,007
-1,994
19,013
19,757
-744
22,497
27,305
-4,808
7,868
17,173
-9,305
7,868
16,478
-8,610
22,544
34,805
-12,261
23,393
23,393
23,393
13,108
10,285
38,759
40,151
-1,392
25,839
25,566
273
28,053
27,655
398
234
7,373
-7,139
15,999
15,999
1,539
1,644
-105
2,003
2,092
-89
2,078
2,114
-36
21
21
2,628
2,281
347
81,254
77,757
3,497
109,980
96,386
13,594
89,566
96,386
-6,820
132,720
143,650
-10,930
97,519
63,352
34,167
146,279
100,034
46,245
103,634
96,159
7,475
3,000
-3,000
7,400
1,760
5,640
5,450
2,370
3,080
113,062
115,514
-2,452
54,930
55,303
-373
112,654
109,477
3,177
194,859
189,820
5,039
115,069
87,856
27,213
184,145
155,531
28,614
101,000
77,765
23,235
98,447
76,765
21,682
135,015
99,971
35,044
27,560
23,446
4,114
4,465
4,311
154
34
32
2
1,005
972
33
915
901
14
1,272
1,274
-2
659
609
50
446
434
12
11,186
10,614
572
20,570
20,553
17
23,766
22,335
1,431
1,551
1,426
125
9,611
10,512
-901
24,334
26,029
-1,695
30,007
30,448
-441
1,628
1,535
93
5
5
339
312
27
350
326
24
446
429
17
233
196
37
127
127
106
112
-6
27,663
21,308
6,355
39,852
34,305
5,547
25,427
19,721
5,706
2,333
1,781
552
25,587
24,869
718
27,766
28,514
-748
24,732
18,884
5,848
21,208
19,076
2,132
2,019
1,547
472
13
11
2
22,983
21,118
1,865
32,369
25,726
6,643
14,801
11,592
3,209
27,655
23,316
4,339
18,624
15,586
3,038
16,781
17,077
-296
4,694
3,910
784
2,827
2,775
52
5,269
5,368
-99
3,727
3,866
-139
22,486
21,598
888
11,783
11,410
373
2,525
2,492
33
4,838
4,570
268
6,598
6,354
244
10,996
10,953
43
6,598
5,870
728
880
861
19
2,639
2,738
-99
713
654
59
15,404
11,694
3,710
26,772
20,920
5,852
19,053
19,691
-638
19,158
16,520
2,638
6,448
5,410
1,038
3,532
2,782
750
10,007
8,006
2,001
12,166
10,872
1,294
5,102
4,184
918
2,551
2,114
437
1,570
1,477
93
25,927
19,753
6,174
15,686
14,039
1,647
16,892
14,961
1,931
25,095
24,053
1,042
25,050
25,379
-329
4,148
3,769
379
1,837
1,802
35
5,050
4,721
329
3,247
3,178
69
13,869
13,697
172
59,354
59,123
231
16,502
16,640
-138
16,151
16,326
-175
19,311
19,621
-310
4,740
4,702
38
7,372
9,259
-1,887
22,647
26,236
-3,589
7,411
8,742
-1,331
6,021
7,248
-1,227
6,754
8,088
-1,334
1,197
1,216
-19
772
1,033
-261
502
609
-107
18,763
18,823
-60
1,407
1,621
-214
32,765
32,240
525
10,092
9,263
829
7,339
6,876
463
5,242
5,017
225
4,849
3,953
896
2,490
2,363
127
4,325
4,461
-136
30,803
24,967
5,836
38,354
32,532
5,822
173,584
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
2,976
b
7,694
c
271,576
d
-264,837
e
79,276
7,283
11,825
19
29
40
8
11
1
56
4
4,721
2
915
6,736
2
16,382
-610
-368
-735
-165
-1,509
-500
-127
-1,373
-406
-809
-410
-197
-174
-435
-89
-268
-179
-182
-90
-48
-242
-282
-85
-295
-121
-15
-62
-30
-36
-284
-286
-727
27
8
33
-4
-79
-82
-130
-125
-51
-77
238
-69
-346
-260
-40
183
-285
55
-294
-290
-300
-150
-600
147
78
43
-735
-748
-409
-148
-141
-608
-883
645
5
59
14
-38
146
48
47
180
17
-73
104
805
216
-178
-105
-256
148
-167
-51
-143
-173
-451
189
170
13
-51
-10
425
-1,180
-723
-1,063
-503
-1,330
37
214
191
153
74
88
139
124
342
80
-134
-279
-205
-68
116
281
-198
-191
306
306
-98
-148
-728
225
180
944
289
410
566
423
187
120
16
7
11
101
156
25
20
110
159
582
-1,670
-1,208
-1,825
-1,088
-1,125
-930
-2,037
109
62
369
-882
-907
150
70
-737
10
35
100
-2,462
-16
-14
315
-34
-44
4
19
358
58
231
-334
33
126
-11
68
34
123
1
44
25
7
-1
-10
193
34
88
164
151
137
-326
-70
-5
4
-930
-21
-28
-24
850
510
-1,573
-712
-121
-2,074
-104
-284
51
319
497
231
-392
-82
-77
82
-98
-135
93
3,107
2,935
3,502
9,633
-1,434
-4,250
-1,994
-744
-4,808
-9,305
-8,610
-12,261
10,285
-1,392
273
398
-7,139
-105
-89
-36
21
347
3,497
13,594
-6,820
-10,930
34,167
46,245
7,475
-3,000
5,640
3,080
-2,452
-373
3,177
5,039
27,213
28,614
23,235
21,682
35,044
4,114
154
2
33
14
-2
50
12
572
17
1,431
125
-901
-1,695
-441
93
27
24
17
37
-6
6,355
5,547
5,706
552
718
-748
5,848
2,132
472
2
1,865
6,643
3,209
4,339
3,038
-296
784
52
-99
-139
888
373
33
268
244
43
728
19
-99
59
3,710
5,852
-638
2,638
1,038
750
2,001
1,294
918
437
93
6,174
1,647
1,931
1,042
-329
379
35
329
69
172
231
-138
-175
-310
38
-1,887
-3,589
-1,331
-1,227
-1,334
-19
-261
-107
-60
-214
525
829
463
225
896
127
-136
5,836
5,822
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
584,575
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
342,509
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
1,446,955
29,637,804
0.04882
2017
1,202,374
28,408,914
0.04232
2016
1,396,215
26,507,006
0.05267
2015
1,094,217
27,905,590
0.03921
2014
969,085
28,148,368
0.03443
2
Total
of line 1, column (d)
.....................
2
0.217457
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
0.043491
4
Enter the net value of noncharitable-use assets for 2019 from Part X, line 5
......
4
28,408,271
5
Multiply line 4 by line 3
......................
5
1,235,504
6
Enter 1% of net investment income (1% of Part I, line 27b)
...........
6
9,419
7
Add lines 5 and 6
........................
7
1,244,923
8
Enter qualifying distributions from Part XII, line 4
,.............
8
1,522,273
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
9,419
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
3
Add lines 1 and 2
...........................
3
9,419
4
Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-)
4
5
Tax based on investment income.
Subtract line 4 from line 3. If zero or less, enter -0-
.....
5
9,419
6
Credits/Payments:
a
2019 estimated tax payments and 2018 overpayment credited to 2019
6a
22,581
b
Exempt foreign organizations—tax withheld at source
......
6b
c
Tax paid with application for extension of time to file (Form 8868)
...
6c
d
Backup withholding erroneously withheld
...........
6d
7
Total credits and payments. Add lines 6a through 6d
..............
7
22,581
8
Enter any
penalty
for underpayment of estimated tax.
Check here
if Form 2220 is attached.
8
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
13,162
11
Enter the amount of line 10 to be:
Credited to 2020 estimated tax
13,162
Refunded
11
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
Yes
b
If "Yes," has it filed a tax return on
Form 990-T
for this year?
...................
4b
Yes
5
Was there a liquidation, termination, dissolution, or substantial contraction during the year?
.........
5
No
If "Yes," attach the statement required by General Instruction T.
6
Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either:
By language in the governing instrument, or
By state legislation that effectively amends the governing instrument so that no mandatory directions
that conflict with the state law remain in the governing instrument?
................
6
No
7
Did the foundation have at least $5,000 in assets at any time during the year?
If "Yes," complete Part II, col. (c),
and Part XV.
.................................
7
Yes
8a
Enter the states to which the foundation reports or with which it is registered (see instructions)
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
Yes
9
Is the foundation claiming status as a private operating foundation within the meaning of section 4942(j)(3)
or 4942(j)(5) for calendar year 2019 or the taxable year beginning in 2019? See the instructions for Part XIV.
If "Yes," complete Part XIV
.............................
9
No
10
Did any persons become substantial contributors during the tax year?
If "Yes," attach a schedule listing their names
and addresses.
...............................
10
No
Form
990-PF
(2019)
Form 990-PF (2019)
Page
5
Part VII-A
Statements Regarding Activities
(continued)
11
At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the
meaning of section 512(b)(13)? If "Yes," attach schedule. See instructions
.............
11
No
12
Did the foundation make a distribution to a donor advised fund over which the foundation or a disqualified person had
advisory privileges? If "Yes," attach statement. See instructions
.................
12
No
13
Did the foundation comply with the public inspection requirements for its annual returns and exemption application?
13
Yes
Website address
N/A
14
The books are in care of
MARY L RUST
Telephone no.
(518) 381-2838
Located at
425 WALNUT STREET SUITE 1800
CINCINNATI
OH
ZIP+4
452023957
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
PETER P MITHOEFER
Trustee/PRES.
4.00
30,000
425 WALNUT STREET SUITE 1800
CINCINNATI
,
OH
45202
HEATHER M MITHOEFER
Trustee/V.PRES.
4.00
30,000
425 WALNUT STREET SUITE 1800
CINCINNATI
,
OH
45202
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
...................
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
.............
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
26,571,612
b
Average of monthly cash balances
.......................
1b
2,269,272
c
Fair market value of all other assets (see instructions)
................
1c
0
d
Total
(add lines 1a, b, and c)
.........................
1d
28,840,884
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
3
Subtract line 2 from line 1d
.........................
3
28,840,884
4
Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
instructions)
.............................
4
432,613
5
Net value of noncharitable-use assets.
Subtract line 4 from line 3. Enter here and on Part V, line 4
5
28,408,271
6
Minimum investment return.
Enter 5% of line 5
..................
6
1,420,414
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
1,420,414
2a
Tax on investment income for 2019 from Part VI, line 5
......
2a
9,419
b
Income tax for 2019. (This does not include the tax from Part VI.)
...
2b
c
Add lines 2a and 2b
............................
2c
9,419
3
Distributable amount before adjustments. Subtract line 2c from line 1
............
3
1,410,995
4
Recoveries of amounts treated as qualifying distributions
................
4
5
Add lines 3 and 4
............................
5
1,410,995
6
Deduction from distributable amount (see instructions)
.................
6
7
Distributable amount
as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII, line 1
...
7
1,410,995
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
1,522,273
b
Program-related investments—total from Part IX-B
..................
1b
2
Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc.,
purposes
...............................
2
3
Amounts set aside for specific charitable projects that satisfy the:
a
Suitability test (prior IRS approval required)
....................
3a
b
Cash distribution test (attach the required schedule)
.................
3b
4
Qualifying distributions.
Add lines 1a through 3b. Enter here and on Part V, line 8, and Part XIII, line 4
4
1,522,273
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
9,419
6
Adjusted qualifying distributions.
Subtract line 5 from line 4
..............
6
1,512,854
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
1,410,995
2
Undistributed income, if any, as of the end of 2019:
a
Enter amount for 2018 only
.......
1,366,910
b
Total for prior years:
20
,
20
,
20
3
Excess distributions carryover, if any, to 2019:
a
From 2014
......
b
From 2015
......
c
From 2016
......
d
From 2017
......
e
From 2018
......
f
Total
of lines 3a through e
........
4
Qualifying distributions for 2019 from Part
XII, line 4:
$
1,522,273
a
Applied to 2018, but not more than line 2a
1,366,910
b
Applied to undistributed income of prior years
(Election required—see instructions)
.....
c
Treated as distributions out of corpus (Election
required—see instructions)
........
0
d
Applied to 2019 distributable amount
.....
155,363
e
Remaining amount distributed out of corpus
5
Excess distributions carryover applied to 2019.
(If an amount appears in column (d), the
same amount must be shown in column (a).)
6
Enter the net total of each column as
indicated below:
a
Corpus. Add lines 3f, 4c, and 4e. Subtract line 5
b
Prior years’ undistributed income. Subtract
line 4b from line 2b
..........
c
Enter the amount of prior years’ undistributed
income for which a notice of deficiency has
been issued, or on which the section 4942(a)
tax has been previously assessed
......
d
Subtract line 6c from line 6b. Taxable amount
—see instructions
...........
e
Undistributed income for 2018. Subtract line
4a from line 2a. Taxable amount—see
instructions
.............
f
Undistributed income for 2019. Subtract
lines 4d and 5 from line 1. This amount must
be distributed in 2020
..........
1,255,632
7
Amounts treated as distributions out of
corpus to satisfy requirements imposed by
section 170(b)(1)(F) or 4942(g)(3) (Election may
be required - see instructions)
.......
8
Excess distributions carryover from 2014 not
applied on line 5 or line 7 (see instructions)
...
9
Excess distributions carryover to 2020.
Subtract lines 7 and 8 from line 6a
......
10
Analysis of line 9:
a
Excess from 2015
....
b
Excess from 2016
....
c
Excess from 2017
....
d
Excess from 2018
....
e
Excess from 2019
....
Form
990-PF
(2019)
Form 990-PF (2019)
Page
10
Part XIV
Private Operating Foundations
(see instructions and Part VII-A, question 9)
1a
If the foundation has received a ruling or determination letter that it is a private operating
foundation, and the ruling is effective for 2019, enter the date of the ruling
.......
b
Check box to indicate whether the organization is a private operating foundation described in section
4942(j)(3)
or
4942(j)(5)
2a
Enter the lesser of the adjusted net
income from Part I or the minimum
investment return from Part X for each
year listed
..........
Tax year
Prior 3 years
(e) Total
(a)
2019
(b)
2018
(c)
2017
(d)
2016
b
85% of line 2a
.........
c
Qualifying distributions from Part XII,
line 4 for each year listed
.....
d
Amounts included in line 2c not used directly
for active conduct of exempt activities
..........
e
Qualifying distributions made directly
for active conduct of exempt activities.
Subtract line 2d from line 2c
....
3
Complete 3a, b, or c for the
alternative test relied upon:
a
“Assets" alternative test—enter:
(1)
Value of all assets
......
(2)
Value of assets qualifying
under section 4942(j)(3)(B)(i)
b
“Endowment" alternative test— enter 2/3
of minimum investment return shown in
Part X, line 6 for each year listed
...
c
“Support" alternative test—enter:
(1)
Total support other than gross
investment income (interest,
dividends, rents, payments
on securities loans (section
512(a)(5)), or royalties)
....
(2)
Support from general public
and 5 or more exempt
organizations as provided in
section 4942(j)(3)(B)(iii)
....
(3)
Largest amount of support
from an exempt organization
(4)
Gross investment income
Part XV
Supplementary Information (Complete this part only if the foundation had $5,000 or more in
assets at any time during the year—see instructions.)
1
Information Regarding Foundation Managers:
a
List any managers of the foundation who have contributed more than 2% of the total contributions received by the foundation
before the close of any tax year (but only if they have contributed more than $5,000). (See section 507(d)(2).)
b
List any managers of the foundation who own 10% or more of the stock of a corporation (or an equally large portion of the
ownership of a partnership or other entity) of which the foundation has a 10% or greater interest.
2
Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc., Programs:
Check here
if the foundation only makes contributions to preselected charitable organizations and does not accept
unsolicited requests for funds. If the foundation makes gifts, grants, etc. to individuals or organizations under
other conditions, complete items 2a, b, c, and d. See instructions
a
The name, address, and telephone number or email address of the person to whom applications should be addressed:
b
The form in which applications should be submitted and information and materials they should include:
c
Any submission deadlines:
d
Any restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
factors:
Form
990-PF
(2019)
Form 990-PF (2019)
Page
11
Part XV
Supplementary Information
(continued)
3
Grants and Contributions Paid During the Year or Approved for Future Payment
Recipient
If recipient is an individual,
show any relationship to
any foundation manager
or substantial contributor
Foundation
status of
recipient
Purpose of grant or
contribution
Amount
Name and address (home or business)
a
Paid during the year
UNIVERSITY OF NEW MEXICO FOUNDATION
1 UNIVERSITY OF NEW MEXICO
ALBUQUERQUE
,
NM
87131
PC
PROJECT/PROGRAM SUPPORT
68,000
CHAPPAQUA SUMMER SCHOLARSHIP PROGRA
PO BOX 456
CHAPPAQUA
,
NY
10514
PC
CHALLENGE GRANT
10,000
CRAYONS TO COMPUTER INC
1350 TENNESSEE AVENUE
CINCINNATI
,
OH
45229
PC
PROJECT/PROGRAM SUPPORT
20,000
FRACTURED ATLAS PRODUCTIONS INC
248 W 35TH ST 10TH FL
NEW YORK
,
NY
10001
PC
PROJECT/PROGRAM SUPPORT
25,000
JACOB BURNS FILM CENTER
405 MANVILLE ROAD 3RD FL
PLEASANTVILLE
,
NY
10570
PC
PROJECT/PROGRAM SUPPORT
50,000
LAS CUMBRES COMMUNITY SERVICES INC
404 HUNTER STREET
ESPANOLA
,
NM
87532
PC
PROJECT/PROGRAM SUPPORT
169,700
MORRY'S CAMP INC
350 EXECUTIVE BLVD STE 125
ELMSFORD
,
NY
10523
PC
PROJECT/PROGRAM SUPPORT
10,000
NEIGHBORS LINK CORP
27 COLUMBUS AVENUE
MOUNT KISCO
,
NY
10549
PC
PROJECT/PROGRAM SUPPORT
190,000
NEW MEXICO COMMUNITY FOUNDATION
502 W CORDOVA RD STE 1
SANTA FE
,
NM
87505
PC
PROJECT/PROGRAM SUPPORT
72,000
NORTHSHIRE DAY SCHOOL INC
5484 MAIN STREET
MANCHESTER CENTER
,
VT
05255
PC
PROJECT/PROGRAM SUPPORT
30,000
PBJ FAMILY SERVICES INC
1101 LOPEZ ROAD SW
ALBUQUERQUE
,
NM
87105
PC
PROJECT/PROGRAM SUPPORT
100,000
QUESTBRIDGE
115 EVERETT AVENUE
PALO ALTO
,
CA
94301
PC
PROJECT/PROGRAM SUPPORT
15,000
SACRED VALLEY PROJECT
33 STEPHEN STREET
MONTCLAIR
,
NJ
07042
PC
PROJECT/PROGRAM SUPPORT
25,000
SOARING HAWKS FOUNDATION
3236 COLUMBIA PARKWAY
CINCINNATI
,
OH
45226
PC
PROJECT/PROGRAM SUPPORT
20,000
SOCIETY OF ST VINCENT DE PAUL
1125 BANK STREET
CICINNATI
,
OH
45214
PC
PROJECT/PROGRAM SUPPORT
20,000
SUNRISE OPPORTUNITIES INC
PO BOX 88
MACHIAS
,
ME
04654
PC
PROJECT/PROGRAM SUPPORT
115,000
UPSPRING
PO BOX 23300
CINCINNATI
,
OH
45223
PC
PROJECT/PROGRAM SUPPORT
10,000
YOUTH HEARTLINE
PO BOX 1664
TAOS
,
NM
87571
PC
PROJECT/PROGRAM SUPPORT
20,000
LE SOUPE INC
4150 ROUND BOTTOM ROAD
CINCINNATI
,
OH
45244
PC
PROJECT/PROGRAM SUPPORT
10,000
WASHINGTON HANCOCK COMMUNITY AGENCY
248 BUCKSPORT ROAD
ELLSWORTH
,
ME
04605
PC
PROJECT/PROGRAM SUPPORT
45,000
CIVIC LEADERSHIP FOUNDATION
PO BOX 456
GLENCOE
,
IL
60022
PC
PROJECT/PROGRAM SUPPORT
5,000
COMMUNITY AGAINST VIOLENCE
945 SALAZAR ROAD
TAOS
,
NM
87571
PC
PROJECT/PROGRAM SUPPORT
30,000
EL PUEBLITO UNITED METHODIST CHURCH
PO BOX 2047
RANCHOS DE TAOS
,
NM
87557
PC
PROJECT/PROGRAM SUPPORT
5,000
ST JAMES EPISCOPAL CHURCH
208 CAMINO DE SANTIAGO
TAOS
,
NM
87571
PC
PROJECT/PROGRAM SUPPORT
10,000
LUBEC COMMUNITY OUTRACH CENTER
PO BOX 41
LUBEC
,
ME
04652
PC
PROJECT/PROGRAM SUPPORT
10,000
SANTA FE COMMUNITY FOUNDATION
501 HALONA STREET
SANTA FE
,
NM
87505
PC
PROJECT/PROGRAM SUPPORT
10,000
COUNCIL FOR A STRONG AMERICA
1212 NEW YORK AVE NW STE 300
WASHINGTON
,
DC
20005
PC
PROJECT/PROGRAM SUPPORT
25,000
FIRST CHOICE COMMUNITY HEALTHCARE
2001 N CENTRO FAMILIAR SW
ALBUQUERQUE
,
NM
87105
PC
PROJECT/PROGRAM SUPPORT
25,000
INSIDE OUT RECOVERY
PO BOX 1013
EL PRADO
,
NM
87529
PC
PROJECT/PROGRAM SUPPORT
15,000
KIDS IN NEED FOUNDATION
2719 PATTON ROAD
ROSEVILLE
,
MN
55113
PC
PROJECT/PROGRAM SUPPORT
15,000
SANTA FE COMMUNITY COLLEGE FOUNDATI
6401 S RICHARDS AVE ROOM 111
SANTA FE
,
NM
87508
PC
PROJECT/PROGRAM SUPPORT
25,000
WALDEN FOUNDATION
2446 MCKINLEY AVENUE
BERKELEY
,
CA
94703
PC
PROJECT/PROGRAM SUPPORT
5,000
BRIDGE PROJECT FOR EDUCATION
PO BOX 308
TAOS
,
NM
87571
PC
PROJECT/PROGRAM SUPPORT
5,000
TAOS COMMUNITY FOUNDATION
PO BOX 1925
TAOS
,
NM
87571
PC
PROJECT/PROGRAM SUPPORT
76,000
VALENCIA COMMUNITY ACTION GROUP
540 CAMINO DE HIGINO
LOS LUNAS
,
NM
87031
PC
PROJECT/PROGRAM SUPPORT
10,000
NEW MEXICO FOUNDATION
8 CALLE MEDICO
SANTA FE
,
NM
87505
PC
PROJECT/PROGRAM SUPPORT
55,000
THE FOOD DEPOT
1222 A SILER ROAD
SANTA FE
,
NM
87505
PC
PROJECT/PROGRAM SUPPORT
5,000
THE HEART OF TAOS
PO BOX 613
TAOX
,
NM
87571
PC
PROJECT/PROGRAM SUPPORT
5,000
TAOS LIONS CLUB
PO BOX 199
TAOS
,
NM
87571
PC
PROJECT/PROGRAM SUPPORT
2,500
ALBUQUERQUE COMMUNITY FOUNDATION
PO BOX 25266
ALBUQUERQUE
,
NM
87125
PC
PROJECT/PROGRAM SUPPORT
50,000
TAOS MUNICIPAL SCHOOLS
134 CERVANTES STREET
TAOS
,
NM
87571
PC
PROJECT/PROGRAM SUPPORT
2,000
TAOS PUEBLO HEALTH COMMUNITY SERVIC
PO BOX 1846
TAOS
,
NM
87571
PC
PROJECT/PROGRAM SUPPORT
15,000
Total
.................................
3a
1,430,200
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
650,839
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
.....
900099
46,430
8
Gain or (loss) from sales of assets other than
inventory
............
18
584,575
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)
..
46,430
1,235,414
13
Total.
Add line 12, columns (b), (d), and (e)
..................
13
1,281,844
(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:
19009920
Software Version:
2019v5.0
Form 990PF - Special Condition Description:
Special Condition Description