-
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
THE KLAUER FOUNDATION TRUST XXXXX5009
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
36-6013118
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)
$
3,491,494
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
...
85,353
85,310
5a
Gross rents
............
b
Net rental income or (loss)
6a
Net gain or (loss) from sale of assets not on line 10
231,913
b
Gross sales price for all assets on line 6a
1,032,507
7
Capital gain net income (from Part IV, line 2)
...
231,913
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
........
317,266
317,223
13
Compensation of officers, directors, trustees, etc.
42,092
24,699
17,393
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)
...
9,673
2,153
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)
.......
15
15
24
Total operating and administrative expenses.
Add lines 13 through 23
..........
51,780
26,852
0
17,408
25
Contributions, gifts, grants paid
.......
151,800
151,800
26
Total expenses and disbursements.
Add lines 24 and 25
203,580
26,852
0
169,208
27
Subtract line 26 from line 12:
a
Excess of revenue over expenses and disbursements
113,686
b
Net investment income
(if negative, enter -0-)
290,371
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
.............
17,384
31,777
31,777
2
Savings and temporary cash investments
.........
21,351
30,180
30,180
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)
.......
2,183,735
2,166,564
2,703,169
c
Investments—corporate bonds (attach schedule)
.......
447,169
564,219
578,684
11
Investments—land, buildings, and equipment: basis
Less: accumulated depreciation (attach schedule)
12
Investments—mortgage loans
.............
13
Investments—other (attach schedule)
..........
152,289
148,064
147,684
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)
2,821,928
2,940,804
3,491,494
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
........
2,821,928
2,940,804
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)
.....
2,821,928
2,940,804
30
Total liabilities and net assets/fund balances
(see instructions)
.
2,821,928
2,940,804
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
2,821,928
2
Enter amount from Part I, line 27a
.....................
2
113,686
3
Other increases not included in line 2 (itemize)
3
9,071
4
Add lines 1, 2, and 3
..........................
4
2,944,685
5
Decreases not included in line 2 (itemize)
5
3,881
6
Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 29
.
6
2,940,804
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
4. GILEAD SCIENCES INC
2015-01-08
2019-01-23
c
1. GILEAD SCIENCES INC
2015-01-08
2019-01-23
d
1. GILEAD SCIENCES INC
2016-02-10
2019-01-23
e
1. MASTERCARD INC - CLASS A
2012-10-15
2019-01-23
4. WORLDPAY INC CL A
2018-10-08
2019-01-23
1. WORLDPAY INC CL A
2018-10-08
2019-01-23
6. GILEAD SCIENCES INC
2016-02-10
2019-01-24
1. MASTERCARD INC - CLASS A
2012-10-15
2019-01-24
4. MASTERCARD INC - CLASS A
2012-10-15
2019-01-24
7. WORLDPAY INC CL A
2018-10-08
2019-01-24
1. GILEAD SCIENCES INC
2016-02-10
2019-01-25
2. GILEAD SCIENCES INC
2016-02-10
2019-01-25
5. MASTERCARD INC - CLASS A
2012-10-15
2019-01-25
9. WORLDPAY INC CL A
2017-09-22
2019-01-25
1. GILEAD SCIENCES INC
2016-02-10
2019-01-28
1. GILEAD SCIENCES INC
2016-02-10
2019-01-28
6. WORLDPAY INC CL A
2017-09-22
2019-01-28
1. GILEAD SCIENCES INC
2016-02-10
2019-01-29
1. WORLDPAY INC CL A
2017-09-22
2019-01-29
1. GILEAD SCIENCES INC
2016-02-10
2019-01-30
6. WORLDPAY INC CL A
2017-09-22
2019-01-30
1. GILEAD SCIENCES INC
2016-02-10
2019-01-31
2. ADOBE SYS INC
2012-08-03
2019-02-01
1. ALPHABET INC-CL C
2013-12-13
2019-02-01
1. AMAZON COM INC
2015-03-12
2019-02-01
1. AMERICAN EXPRESS CO
2018-07-18
2019-02-01
3. ANALOG DEVICES INC
2018-09-13
2019-02-01
6. APPLE COMPUTER INC
2006-04-06
2019-02-01
2. AUTOMATIC DATA PROCESSING INC
2018-12-03
2019-02-01
15. BANK OF AMERICA CORPORATION
2018-02-06
2019-02-01
8. BANK OF AMERICA CORPORATION
2013-04-18
2019-02-01
3. BERKSHIRE HATHAWAY INC DEL CL B
2018-09-11
2019-02-01
1. BIOGEN IDEC INC
2018-10-08
2019-02-01
11. BOSTON SCIENTIFIC CORP
2016-09-15
2019-02-01
5. BRISTOL MYERS SQUIBB CO
2017-02-23
2019-02-01
2. BROADCOM INC
2013-04-25
2019-02-01
3. CELGENE CORP.
2016-10-28
2019-02-01
1. CHARTER COMMUNICATIONS INC-A
2018-04-13
2019-02-01
7. CITIGROUP INC NEW
2017-05-02
2019-02-01
6. COCA-COLA CO
2018-04-13
2019-02-01
9. COMCAST CORP NEW CL A
2019-01-29
2019-02-01
4. DELTA AIR LINES INC DEL NEW
2017-12-13
2019-02-01
2. DIAMONDBACK ENERGY INC
2019-01-08
2019-02-01
6. DISNEY WALT CO
2016-12-08
2019-02-01
2. DOLLAR TREE INC
2017-10-27
2019-02-01
10. DOWDUPONT INC
2018-04-06
2019-02-01
4. EOG RESOURCES INC
2016-05-25
2019-02-01
4. ELECTRONIC ARTS
2018-09-20
2019-02-01
2. FACEBOOK INC-A
2014-07-25
2019-02-01
3. FIDELITY NATL INFORMATION SVCS INC
2014-12-19
2019-02-01
2. FISERV INC
2019-01-25
2019-02-01
1. GENERAL DYNAMICS CORP
2018-12-13
2019-02-01
1. GENERAL DYNAMICS CORP
2017-02-10
2019-02-01
2. GILEAD SCIENCES INC
2016-02-10
2019-02-01
3. HOME DEPOT INC
2011-09-29
2019-02-01
5. HONEYWELL INTL INC
2012-06-15
2019-02-01
1. INTERCONTINENTALEXCHANGE GROUP, INC
2017-01-31
2019-02-01
15. KEYCORP NEW
2018-10-08
2019-02-01
4. LILLY ELI & CO
2015-06-12
2019-02-01
3. LOWES COS INC
2011-09-28
2019-02-01
827.408 MFS INTL INTRINSIC VALUE-R6
2013-03-06
2019-02-01
6. MARATHON PETROLEUM CORPORATION
2018-09-20
2019-02-01
3. MASTERCARD INC - CLASS A
2009-05-05
2019-02-01
5. MERCK & CO INC
2017-10-03
2019-02-01
14. MICROSOFT CORP
2010-02-01
2019-02-01
7. MONDELEZ INTERNATIONAL-W/I
2014-08-13
2019-02-01
12. MORGAN STANLEY DEAN WITTER & CO NEW
2013-11-12
2019-02-01
2. NEXTERA ENERGY INC
2018-07-18
2019-02-01
7. NISOURCE INC
2015-01-14
2019-02-01
3. NORFOLK SOUTHN CORP
2018-05-15
2019-02-01
2. NORTHROP GRUMMAN CORP
2017-10-10
2019-02-01
2. NVIDIA CORP
2018-10-08
2019-02-01
7. OCCIDENTAL PETE CORP
2018-08-09
2019-02-01
1. PARKER HANNIFIN CORP
2018-01-11
2019-02-01
4. PAYPAL HOLDINGS INC
2019-01-23
2019-02-01
4. PEPSICO INC
2018-05-22
2019-02-01
15. PFIZER INC
2018-10-30
2019-02-01
4. PHILIP MORRIS INTERNATIONAL
2017-04-24
2019-02-01
2. PIONEER NAT RES CO
2015-12-09
2019-02-01
2. PRUDENTIAL FINL INC
2018-12-21
2019-02-01
2. ROSS STORES INC
2018-12-11
2019-02-01
1. SVB FINANCIAL GROUP
2015-02-06
2019-02-01
2. SALESFORCE.COM INC
2018-10-08
2019-02-01
5. SCHWAB CHARLES CORP NEW
2016-06-03
2019-02-01
3. STANLEY BLACK & DECKER,INC.
2015-11-12
2019-02-01
4. TEXAS INSTRS INC
2016-03-10
2019-02-01
3. UNION PAC CORP
2018-02-22
2019-02-01
2. UNITED TECHNOLOGIES CORP
2017-12-11
2019-02-01
4. UNITEDHEALTH GROUP INC
2011-09-16
2019-02-01
1. VERTEX PHARMACEUTICALS INC
2011-12-15
2019-02-01
2. VISA INC CLASS A SHARES
2015-10-19
2019-02-01
3. WASTE CONNECTIONS INC
2016-07-26
2019-02-01
9. WELLS FARGO & CO NEW
2009-12-15
2019-02-01
1. WEX INC
2016-05-02
2019-02-01
1. YUM BRANDS INC
2018-11-29
2019-02-01
4. ZIMMER HLDGS INC
2018-04-26
2019-02-01
2. ALLEGION PLC
2015-11-03
2019-02-01
2. ACCENTURE PLC
2014-01-15
2019-02-01
1. LINDE PLC
2018-12-11
2019-02-01
3. MEDTRONIC PLC
2018-07-18
2019-02-01
2. APTIV PLC
2018-04-26
2019-02-01
3. CHUBB LTD
2012-01-09
2019-02-01
605. VANGUARD BD INDEX FD INC
2018-06-13
2019-02-04
6683.168 PIMCO INV GRD CRD BND-INST
2018-09-06
2019-02-07
674.351 DODGE & INTERNATIONAL STOCK FUND
2011-02-01
2019-02-14
5. ANALOG DEVICES INC
2018-09-13
2019-02-19
2. ANALOG DEVICES INC
2018-09-13
2019-02-19
6. ANALOG DEVICES INC
2018-09-13
2019-02-19
11. ANALOG DEVICES INC
2016-10-28
2019-02-19
5. ANALOG DEVICES INC
2018-09-13
2019-02-19
2. ANALOG DEVICES INC
2016-11-01
2019-02-19
9. ANALOG DEVICES INC
2016-10-27
2019-02-20
999. JPMORGAN BETABUILDERS JAPAN ETF
2018-07-11
2019-03-01
231. JPMORGAN BETABUILDERS JAPAN ETF
2018-07-11
2019-03-01
4. BIOGEN IDEC INC
2010-03-22
2019-03-14
2. BIOGEN IDEC INC
2018-10-08
2019-03-14
64. BRISTOL MYERS SQUIBB CO
2013-03-13
2019-03-14
14. DISNEY WALT CO
2016-12-05
2019-03-14
18. ADOBE SYS INC
2012-08-03
2019-03-29
15. ALEXION PHARMACEUTICALS INC
2019-03-14
2019-03-29
11. ALPHABET INC-CL C
2012-07-11
2019-03-29
5. ALPHABET INC-CL A
2012-07-11
2019-03-29
8. AMAZON COM INC
2015-02-02
2019-03-29
18. AMERICAN EXPRESS CO
2018-07-18
2019-03-29
74. APPLE COMPUTER INC
2006-04-06
2019-03-29
22. AUTOMATIC DATA PROCESSING INC
2018-10-19
2019-03-29
278. BANK OF AMERICA CORPORATION
2009-02-05
2019-03-29
11. BERKSHIRE HATHAWAY INC DEL CL B
2018-09-11
2019-03-29
21. BERKSHIRE HATHAWAY INC DEL CL B
2017-04-20
2019-03-29
139. BOSTON SCIENTIFIC CORP
2016-09-15
2019-03-29
28. BROADCOM INC
2013-04-26
2019-03-29
14. CELGENE CORP.
2019-03-14
2019-03-29
22. CELGENE CORP.
2007-12-17
2019-03-29
15. CHARTER COMMUNICATIONS INC-A
2016-02-08
2019-03-29
1. CHARTER COMMUNICATIONS INC-A
2018-04-13
2019-03-29
98. CITIGROUP INC NEW
2009-08-10
2019-03-29
67. COCA-COLA CO
2018-04-13
2019-03-29
88. COMCAST CORP NEW CL A
2018-10-19
2019-03-29
73. COMCAST CORP NEW CL A
2009-12-07
2019-03-29
41. DELTA AIR LINES INC DEL NEW
2017-12-13
2019-03-29
10. DIAMONDBACK ENERGY INC
2019-01-07
2019-03-29
17. DIAMONDBACK ENERGY INC
2017-05-15
2019-03-29
52. DISNEY WALT CO
2016-10-07
2019-03-29
8. DOLLAR TREE INC
2018-12-17
2019-03-29
25. DOLLAR TREE INC
2017-10-27
2019-03-29
6.368 DOWDUPONT INC
2018-04-06
2019-03-29
112.632 DOWDUPONT INC
2015-06-18
2019-03-29
59. EOG RESOURCES INC
2016-03-07
2019-03-29
45. ELECTRONIC ARTS
2018-09-20
2019-03-29
25. FACEBOOK INC-A
2014-07-25
2019-03-29
36. FIDELITY NATL INFORMATION SVCS INC
2014-12-17
2019-03-29
36. FISERV INC
2019-01-23
2019-03-29
7. GENERAL DYNAMICS CORP
2018-12-13
2019-03-29
16. GENERAL DYNAMICS CORP
2016-08-10
2019-03-29
33. HOME DEPOT INC
2011-09-29
2019-03-29
54. HONEYWELL INTL INC
2009-12-16
2019-03-29
22. INTERCONTINENTALEXCHANGE GROUP, INC
2017-01-30
2019-03-29
65. KEYCORP NEW
2018-10-08
2019-03-29
128. KEYCORP NEW
2016-02-29
2019-03-29
45. LILLY ELI & CO
2015-06-04
2019-03-29
39. LOWES COS INC
2011-09-22
2019-03-29
25. MARATHON PETROLEUM CORPORATION
2018-03-09
2019-03-29
45. MARATHON PETROLEUM CORPORATION
2018-05-14
2019-03-29
38. MASTERCARD INC - CLASS A
2009-05-05
2019-03-29
24. MERCK & CO INC
2019-03-14
2019-03-29
54. MERCK & CO INC
2016-08-05
2019-03-29
174. MICROSOFT CORP
2008-08-06
2019-03-29
93. MONDELEZ INTERNATIONAL-W/I
2011-08-04
2019-03-29
158. MORGAN STANLEY DEAN WITTER & CO NEW
2013-01-16
2019-03-29
8. NETFLIX.COM INC
2018-09-13
2019-03-29
12. NEXTERA ENERGY INC
2016-10-18
2019-03-29
9. NEXTERA ENERGY INC
2018-07-18
2019-03-29
86. NISOURCE INC
2013-02-26
2019-03-29
9. NORFOLK SOUTHN CORP
2018-05-15
2019-03-29
25. NORFOLK SOUTHN CORP
2017-01-30
2019-03-29
14. NORTHROP GRUMMAN CORP
2016-09-15
2019-03-29
11. NVIDIA CORP
2018-06-12
2019-03-29
11. NVIDIA CORP
2017-10-03
2019-03-29
7. O'REILLY AUTOMOTIVE INC
2017-05-04
2019-03-29
6. OCCIDENTAL PETE CORP
2018-08-09
2019-03-29
90. OCCIDENTAL PETE CORP
2007-01-12
2019-03-29
11. PARKER HANNIFIN CORP
2018-01-11
2019-03-29
24. PAYPAL HOLDINGS INC
2018-01-26
2019-03-29
28. PAYPAL HOLDINGS INC
2018-07-26
2019-03-29
42. PEPSICO INC
2014-10-07
2019-03-29
9. PEPSICO INC
2018-05-22
2019-03-29
8. PFIZER INC
2018-10-30
2019-03-29
182. PFIZER INC
2015-04-02
2019-03-29
23. PHILIP MORRIS INTERNATIONAL
2017-04-24
2019-03-29
25. PHILIP MORRIS INTERNATIONAL
2018-10-24
2019-03-29
5. PIONEER NAT RES CO
2018-12-21
2019-03-29
23. PIONEER NAT RES CO
2015-12-07
2019-03-29
26. PRUDENTIAL FINL INC
2018-12-21
2019-03-29
5. REGENERON PHARMACEUTICALS INC
2019-01-23
2019-03-29
37. ROSS STORES INC
2018-12-11
2019-03-29
11. SVB FINANCIAL GROUP
2015-02-05
2019-03-29
31. SALESFORCE.COM INC
2018-04-13
2019-03-29
52. SCHWAB CHARLES CORP NEW
2015-01-14
2019-03-29
30. STANLEY BLACK & DECKER,INC.
2015-11-13
2019-03-29
47. TEXAS INSTRS INC
2016-02-05
2019-03-29
12. TEXAS INSTRS INC
2019-02-19
2019-03-29
41. UNION PAC CORP
2015-09-29
2019-03-29
18. UNITED TECHNOLOGIES CORP
2017-12-05
2019-03-29
48. UNITEDHEALTH GROUP INC
2010-12-02
2019-03-29
14. VERTEX PHARMACEUTICALS INC
2011-12-15
2019-03-29
28. VISA INC CLASS A SHARES
2015-10-19
2019-03-29
33. WASTE CONNECTIONS INC
2016-07-25
2019-03-29
114. WELLS FARGO & CO NEW
2009-02-05
2019-03-29
15. WEX INC
2016-05-03
2019-03-29
21. YUM BRANDS INC
2018-11-27
2019-03-29
32. ZIMMER HLDGS INC
2017-11-10
2019-03-29
17. ZIMMER HLDGS INC
2018-04-26
2019-03-29
29. ALLEGION PLC
2015-10-26
2019-03-29
27. ACCENTURE PLC
2014-01-15
2019-03-29
22. LINDE PLC
2018-12-11
2019-03-29
43. MEDTRONIC PLC
2018-04-06
2019-03-29
11. APTIV PLC
2018-04-26
2019-03-29
24. APTIV PLC
2017-05-18
2019-03-29
36. CHUBB LTD
2008-11-19
2019-03-29
30. NXP SEMICONDUCTORS NV
2019-02-19
2019-03-29
908.689 DODGE & INTERNATIONAL STOCK FUND
2011-02-01
2019-04-01
815.591 MFS INTL INTRINSIC VALUE-R6
2013-03-06
2019-04-01
. PFIZER INC
2019-04-03
232.558 BLACKSTONE ALT MULTI-STRAT-Y
2018-11-15
2019-04-25
125.847 CRM LNG/SHRT OPPORT-INST
2016-12-06
2019-04-25
3277.495 CAPITAL GR NON US EQUITY
2013-12-09
2019-04-25
56.096 DIAMOND HILL LONG/SHORT-Y
2018-11-15
2019-04-25
168.818 EQUINOX IMP SYSTEM MACRO-I
2016-01-28
2019-04-25
30. ISHARES TR 7-10 YR TREAS INDEX FD
2019-02-14
2019-04-25
25. ISHARES TR BARCLAYS MBS BD FD
2019-02-04
2019-04-25
370. JPMORGAN BETABUILDERS JAPAN ETF
2018-07-11
2019-04-25
250. SPDR TR UNIT SER 1
2015-01-29
2019-04-25
217.575 VANGUARD TOT BD MKT IDX-ADM
2017-01-20
2019-04-25
15. VANGUARD BD INDEX FD INC
2019-03-01
2019-04-25
179.533 VANGUARD TTL INTL BND-ADM
2018-07-17
2019-04-25
1148.008 DIAMOND HILL LONG/SHORT-Y
2018-11-15
2019-06-14
952. JPMORGAN BETABUILDERS EUROPE ETF
2018-07-11
2019-08-28
. GENERAL MOTORS CO
2019-09-05
275. ISHARES TR BARCLAYS MBS BD FD
2019-02-04
2019-09-24
400. VANGUARD BD INDEX FD INC
2019-03-01
2019-09-24
294.368 FIDELITY 500 INDEX-INST PRM
2019-04-01
2019-11-21
1326.674 EQUINOX IMP SYSTEM MACRO-I
2016-01-28
2019-12-09
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
101
101
b
273
406
-133
c
68
102
-34
d
68
89
-21
e
198
47
151
329
388
-59
83
97
-14
407
534
-127
200
47
153
796
190
606
576
679
-103
68
89
-21
138
178
-40
1,013
237
776
746
648
98
68
89
-21
68
89
-21
499
432
67
69
89
-20
82
72
10
69
89
-20
501
432
69
70
89
-19
498
64
434
1,114
537
577
1,648
374
1,274
103
103
301
276
25
1,002
59
943
282
294
-12
429
454
-25
229
91
138
625
642
-17
326
342
-16
418
256
162
249
278
-29
533
75
458
269
312
-43
339
306
33
445
423
22
291
268
23
330
325
5
201
214
-13
208
210
-2
667
621
46
193
185
8
534
638
-104
399
332
67
369
456
-87
332
151
181
319
191
128
166
170
-4
169
172
-3
169
184
-15
140
176
-36
553
117
436
728
266
462
77
58
19
249
307
-58
482
338
144
289
60
229
32,815
23,812
9,003
396
490
-94
641
84
557
385
322
63
1,446
397
1,049
318
247
71
508
301
207
354
339
15
187
108
79
507
451
56
548
586
-38
292
537
-245
476
546
-70
165
208
-43
358
362
-4
447
399
48
642
639
3
303
449
-146
287
286
1
185
160
25
183
161
22
238
126
112
309
303
6
237
145
92
382
315
67
406
221
185
479
400
79
238
247
-9
1,072
204
868
192
31
161
280
154
126
250
149
101
440
228
212
163
94
69
94
92
2
462
459
3
173
132
41
309
167
142
165
161
4
265
264
1
154
174
-20
399
210
189
47,612
47,231
381
67,700
67,466
234
26,765
24,782
1,983
523
461
62
209
184
25
630
553
77
1,148
701
447
522
460
62
210
127
83
953
569
384
22,600
23,581
-981
5,227
5,453
-226
1,281
221
1,060
640
685
-45
3,149
2,499
650
1,601
1,432
169
4,781
575
4,206
2,021
2,020
1
12,885
3,912
8,973
5,877
1,870
4,007
14,266
2,932
11,334
1,977
1,830
147
14,028
732
13,296
3,497
3,176
321
7,628
2,507
5,121
2,208
2,301
-93
4,215
3,515
700
5,309
2,892
2,417
8,388
967
7,421
1,305
1,225
80
2,050
575
1,475
5,200
3,436
1,764
347
306
41
6,093
3,702
2,391
3,123
2,984
139
3,498
3,343
155
2,902
620
2,282
2,105
2,193
-88
1,024
1,037
-13
1,740
1,764
-24
5,769
4,902
867
834
691
143
2,605
2,298
307
331
406
-75
5,854
6,558
-704
5,620
4,657
963
4,568
4,292
276
4,158
1,875
2,283
4,041
2,254
1,787
3,170
2,967
203
1,182
1,203
-21
2,702
2,432
270
6,314
1,115
5,199
8,581
2,113
6,468
1,668
1,277
391
1,024
1,216
-192
2,017
1,377
640
5,819
3,445
2,374
4,267
758
3,509
1,502
1,758
-256
2,704
3,406
-702
8,933
695
8,238
1,995
1,954
41
4,490
3,401
1,089
20,447
3,894
16,553
4,605
2,047
2,558
6,652
3,302
3,350
2,845
2,966
-121
2,310
1,502
808
1,732
1,525
207
2,463
961
1,502
1,688
1,351
337
4,690
3,249
1,441
3,761
3,401
360
1,966
2,914
-948
1,966
1,970
-4
2,719
1,754
965
397
463
-66
5,961
5,583
378
1,886
2,290
-404
2,491
2,041
450
2,906
2,486
420
5,124
3,989
1,135
1,098
899
199
338
341
-3
7,695
6,104
1,591
2,022
2,581
-559
2,198
2,226
-28
768
639
129
3,533
3,078
455
2,384
2,071
313
2,055
2,047
8
3,444
2,967
477
2,445
1,328
1,117
4,878
4,069
809
2,226
1,446
780
4,080
2,746
1,334
4,984
2,441
2,543
1,273
1,291
-18
6,860
4,095
2,765
2,306
2,190
116
11,738
1,975
9,763
2,556
439
2,117
4,357
2,145
2,212
2,925
1,631
1,294
5,493
1,959
3,534
2,878
1,377
1,501
2,097
1,904
193
4,067
3,557
510
2,161
1,936
225
2,620
1,879
741
4,750
2,165
2,585
3,841
3,505
336
3,897
3,514
383
874
957
-83
1,906
1,699
207
5,030
1,956
3,074
2,649
2,797
-148
37,374
33,394
3,980
34,712
23,472
11,240
38
38
2,500
2,465
35
1,300
1,273
27
45,000
38,270
6,730
1,500
1,484
16
1,700
1,774
-74
3,168
3,136
32
2,646
2,621
25
8,431
8,734
-303
73,008
58,773
14,235
2,315
2,317
-2
1,191
1,182
9
4,000
3,941
59
30,296
30,366
-70
21,668
23,401
-1,733
12
12
29,743
28,832
911
32,317
31,512
805
31,830
29,596
2,234
12,882
13,943
-1,061
2,141
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
101
b
-133
c
-34
d
-21
e
151
-59
-14
-127
153
606
-103
-21
-40
776
98
-21
-21
67
-20
10
-20
69
-19
434
577
1,274
25
943
-12
-25
138
-17
-16
162
-29
458
-43
33
22
23
5
-13
-2
46
8
-104
67
-87
181
128
-4
-3
-15
-36
436
462
19
-58
144
229
9,003
-94
557
63
1,049
71
207
15
79
56
-38
-245
-70
-43
-4
48
3
-146
1
25
22
112
6
92
67
185
79
-9
868
161
126
101
212
69
2
3
41
142
4
1
-20
189
381
234
1,983
62
25
77
447
62
83
384
-981
-226
1,060
-45
650
169
4,206
1
8,973
4,007
11,334
147
13,296
321
5,121
-93
700
2,417
7,421
80
1,475
1,764
41
2,391
139
155
2,282
-88
-13
-24
867
143
307
-75
-704
963
276
2,283
1,787
203
-21
270
5,199
6,468
391
-192
640
2,374
3,509
-256
-702
8,238
41
1,089
16,553
2,558
3,350
-121
808
207
1,502
337
1,441
360
-948
-4
965
-66
378
-404
450
420
1,135
199
-3
1,591
-559
-28
129
455
313
8
477
1,117
809
780
1,334
2,543
-18
2,765
116
9,763
2,117
2,212
1,294
3,534
1,501
193
510
225
741
2,585
336
383
-83
207
3,074
-148
3,980
11,240
38
35
27
6,730
16
-74
32
25
-303
14,235
-2
9
59
-70
-1,733
12
911
805
2,234
-1,061
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
231,913
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
159,853
3,309,859
0.048296
2017
159,783
3,220,021
0.049622
2016
158,664
2,956,929
0.053658
2015
161,320
3,158,435
0.051076
2014
145,869
3,265,090
0.044675
2
Total
of line 1, column (d)
.....................
2
0.247327
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
0.049465
4
Enter the net value of noncharitable-use assets for 2019 from Part X, line 5
......
4
3,243,670
5
Multiply line 4 by line 3
......................
5
160,448
6
Enter 1% of net investment income (1% of Part I, line 27b)
...........
6
2,904
7
Add lines 5 and 6
........................
7
163,352
8
Enter qualifying distributions from Part XII, line 4
,.............
8
169,208
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
2,904
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
2,904
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
2,904
6
Credits/Payments:
a
2019 estimated tax payments and 2018 overpayment credited to 2019
6a
7,104
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
7,104
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
4,200
11
Enter the amount of line 10 to be:
Credited to 2020 estimated tax
2,904
Refunded
11
1,296
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)
IL
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
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
No
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
42,092
10 S DEARBORN ST MC IL 1-0111
CHICAGO
,
IL
60603
2
Compensation of five highest-paid employees (other than those included on line 1—see instructions). If none, enter “NONE."
(a)
Name and address of each employee paid more than $50,000
(b)
Title, and average
hours per week
devoted to position
(c)
Compensation
(d)
Contributions to
employee benefit
plans and deferred
compensation
(e)
Expense account,
other allowances
NONE
Total
number of other employees paid over $50,000
...................
0
Form
990-PF
(2019)
Form 990-PF (2019)
Page
7
Part VIII
Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees,
and Contractors
(continued)
3
Five highest-paid independent contractors for professional services (see instructions). If none, enter "NONE".
(a)
Name and address of each person paid more than $50,000
(b)
Type of service
(c)
Compensation
NONE
Total
number of others receiving over $50,000 for professional services
.............
0
Part IX-A
Summary of Direct Charitable Activities
List the foundation’s four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of organizations and other beneficiaries served, conferences convened, research papers produced, etc.
Expenses
1
2
3
4
Part IX-B
Summary of Program-Related Investments
(see instructions)
Describe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2.
Amount
1
N/A
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
3,199,600
b
Average of monthly cash balances
.......................
1b
93,466
c
Fair market value of all other assets (see instructions)
................
1c
0
d
Total
(add lines 1a, b, and c)
.........................
1d
3,293,066
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
3,293,066
4
Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
instructions)
.............................
4
49,396
5
Net value of noncharitable-use assets.
Subtract line 4 from line 3. Enter here and on Part V, line 4
5
3,243,670
6
Minimum investment return.
Enter 5% of line 5
..................
6
162,184
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
162,184
2a
Tax on investment income for 2019 from Part VI, line 5
......
2a
2,904
b
Income tax for 2019. (This does not include the tax from Part VI.)
...
2b
c
Add lines 2a and 2b
............................
2c
2,904
3
Distributable amount before adjustments. Subtract line 2c from line 1
............
3
159,280
4
Recoveries of amounts treated as qualifying distributions
................
4
5,000
5
Add lines 3 and 4
............................
5
164,280
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
164,280
Part XII
Qualifying Distributions
(see instructions)
1
Amounts paid (including administrative expenses) to accomplish charitable, etc., purposes:
a
Expenses, contributions, gifts, etc.—total from Part I, column (d), line 26
..........
1a
169,208
b
Program-related investments—total from Part IX-B
..................
1b
0
2
Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc.,
purposes
...............................
2
0
3
Amounts set aside for specific charitable projects that satisfy the:
a
Suitability test (prior IRS approval required)
....................
3a
0
b
Cash distribution test (attach the required schedule)
.................
3b
0
4
Qualifying distributions.
Add lines 1a through 3b. Enter here and on Part V, line 8, and Part XIII, line 4
4
169,208
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
2,904
6
Adjusted qualifying distributions.
Subtract line 5 from line 4
..............
6
166,304
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
164,280
2
Undistributed income, if any, as of the end of 2019:
a
Enter amount for 2018 only
.......
129,655
b
Total for prior years:
20
,
20
,
20
0
3
Excess distributions carryover, if any, to 2019:
a
From 2014
......
0
b
From 2015
......
0
c
From 2016
......
0
d
From 2017
......
0
e
From 2018
......
0
f
Total
of lines 3a through e
........
0
4
Qualifying distributions for 2019 from Part
XII, line 4:
$
169,208
a
Applied to 2018, but not more than line 2a
129,655
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
.....
39,553
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
..........
124,727
7
Amounts treated as distributions out of
corpus to satisfy requirements imposed by
section 170(b)(1)(F) or 4942(g)(3) (Election may
be required - see instructions)
.......
0
8
Excess distributions carryover from 2014 not
applied on line 5 or line 7 (see instructions)
...
0
9
Excess distributions carryover to 2020.
Subtract lines 7 and 8 from line 6a
......
0
10
Analysis of line 9:
a
Excess from 2015
....
0
b
Excess from 2016
....
0
c
Excess from 2017
....
0
d
Excess from 2018
....
0
e
Excess from 2019
....
0
Form
990-PF
(2019)
Form 990-PF (2019)
Page
10
Part XIV
Private Operating Foundations
(see instructions and Part VII-A, question 9)
1a
If the foundation has received a ruling or determination letter that it is a private operating
foundation, and the ruling is effective for 2019, enter the date of the ruling
.......
b
Check box to indicate whether the organization is a private operating foundation described in section
4942(j)(3)
or
4942(j)(5)
2a
Enter the lesser of the adjusted net
income from Part I or the minimum
investment return from Part X for each
year listed
..........
Tax year
Prior 3 years
(e) Total
(a)
2019
(b)
2018
(c)
2017
(d)
2016
b
85% of line 2a
.........
c
Qualifying distributions from Part XII,
line 4 for each year listed
.....
d
Amounts included in line 2c not used directly
for active conduct of exempt activities
..........
e
Qualifying distributions made directly
for active conduct of exempt activities.
Subtract line 2d from line 2c
....
3
Complete 3a, b, or c for the
alternative test relied upon:
a
“Assets" alternative test—enter:
(1)
Value of all assets
......
(2)
Value of assets qualifying
under section 4942(j)(3)(B)(i)
b
“Endowment" alternative test— enter 2/3
of minimum investment return shown in
Part X, line 6 for each year listed
...
c
“Support" alternative test—enter:
(1)
Total support other than gross
investment income (interest,
dividends, rents, payments
on securities loans (section
512(a)(5)), or royalties)
....
(2)
Support from general public
and 5 or more exempt
organizations as provided in
section 4942(j)(3)(B)(iii)
....
(3)
Largest amount of support
from an exempt organization
(4)
Gross investment income
Part XV
Supplementary Information (Complete this part only if the foundation had $5,000 or more in
assets at any time during the year—see instructions.)
1
Information Regarding Foundation Managers:
a
List any managers of the foundation who have contributed more than 2% of the total contributions received by the foundation
before the close of any tax year (but only if they have contributed more than $5,000). (See section 507(d)(2).)
b
List any managers of the foundation who own 10% or more of the stock of a corporation (or an equally large portion of the
ownership of a partnership or other entity) of which the foundation has a 10% or greater interest.
2
Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc., Programs:
Check here
if the foundation only makes contributions to preselected charitable organizations and does not accept
unsolicited requests for funds. If the foundation makes gifts, grants, etc. to individuals or organizations under
other conditions, complete items 2a, b, c, and d. See instructions
a
The name, address, and telephone number or e-mail address of the person to whom applications should be addressed:
JPMORGAN CHASE BANK NA
10 S DEARBORN STREET
CHICAGO
,
IL
606032300
(312) 732-6385
b
The form in which applications should be submitted and information and materials they should include:
LETTER
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:
PER TRUST INSTRUMENT
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
WARTBURG SEMINARY
333 WARTBURG PLACE
Dubuque
,
IA
52001
NONE
PC
GENERAL
500
ASSOCIATION OF FUNDRAISING
PROFESSIONALS
P O BOX 1861
DUBUQUE
,
IA
520041861
NONE
PC
GENERAL
1,000
SISTERS OF ST FRANCIS
3390 WINDSOR AVE
DUBUQUE
,
IA
520011311
NONE
PC
GENERAL
1,000
DUBUQUE ARTS COUNCIL
2728 ASBURY ROAD
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
500
RED CROSS
2400 ASBURY ROAD
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
1,000
ALBRECHT ACRES
14775 SHERRILL ROAD PO BOX 50
SHERRILL
,
IA
52023
NONE
PC
GENERAL
500
DUBUQUE COUNTY HISTORICAL SOCIETY
350 E 3RD STREET
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
1,000
LINWOOD CEMETERY ASSOC
2735 WINDSOR
DUBUQUE
,
IA
52001
NONE
NC
GENERAL
500
BOYS AND GIRLS CLUB OF
GREATER DUBUQUE
1299 LOCUST
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
2,500
CARNEGIE-STOUT PUBLIC LIBRARY
FOUNDATION
PO BOX 27
DUBUQUE
,
IA
520040027
NONE
PC
GENERAL
1,000
HILLS AND DALES
1011 DAVIS STREET
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
1,000
FOUR MOUNDS FOUNDATION
4900 PERU ROAD
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
1,000
ST MARKS YOUTH ENRICHMENT
1201 LOCUST ST
Dubuque
,
IA
52001
NONE
PC
GENERAL
1,000
DIVINE WORD SEMINARY
107 JACOBY DR SW
EPWORTH
,
IA
52045
NONE
PC
GENERAL
500
WAHLERT HIGH SCHOOL TRAP CLUB
2005 KANE STREET
Dubuque
,
IA
52001
NONE
PC
GENERAL
2,000
TRI-STATE INDEPENDENT
BLIND SOC
3333 ASBURY
DUBUQUE
,
IA
52002
NONE
PC
GENERAL
500
JR ACHIEVEMENT TRISTATES INC
900 JACKSON ST MAIL BOX 2F
Dubuque
,
IA
52001
NONE
PC
GENERAL
1,000
UNIVERSITY OF DUBUQUE
KLAUER FAMILY SCHOLARSHIP FUND
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
10,000
DUBUQUE HUMANE SOCIETY
4242 CHAVENELLE ROAD
DUBUQUE
,
IA
52003
NONE
PC
GENERAL
1,500
DUBUQUE MERCY HEALTH FOUNDATION
250 MERCY DRIVE
Dubuque
,
IA
52001
NONE
PC
GENERAL
7,500
MARYS INN MARERNITY HOME
P O BOX 3338
Dubuque
,
IA
520043338
NONE
PC
GENERAL
500
DUBUQUE RESCUE MISSION
398 MAIN ST
Dubuque
,
IA
52001
NONE
PC
GENERAL
500
STONEHILL CARE CENTER
3485 WINDSOR AVENUE
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
2,000
CATHOLIC CHARITIES OF THE
ARCHDIOCESE OF DUBUQUE
PO BOX 1300
DUBUQUE
,
IA
520041300
NONE
PC
GENERAL
1,000
ST STEPHENS FOOD BANK
3145 CEDAR CREST RIDGE
DUBUQUE
,
IA
52003
NONE
PC
GENERAL
1,000
DUBUQUE MUSEUM OF ART
701 LOCUST STREET
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
2,000
UNITED WAY OF DUBUQUE
215 WEST 6TH STREET
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
26,000
COLTS DRUM AND BUGLE CORPS
1101 CENTRAL AVE
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
3,000
FINLEY HEALTH FOUNDATION
350 NORTH GRANDVIEW AVE
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
6,000
ILLINOIS STATE UNIVERSITY
CAMPUS BOX 3060
NORMAL
,
IL
617903060
NONE
PC
GENERAL
10,000
LUTHER MANOR
3131 HILLCREST RD
WAUWATOSA
,
IA
52001
NONE
PC
GENERAL
1,000
SISTERS OF CHARITY
PO BOX 858
DUBUQUE
,
IA
520040858
NONE
PC
GENERAL
1,000
GREATER DUBUQUE DEVELOPMENT CORPORATION
900 JACKSON ST SUITE 109
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
2,400
ST VINCENT DE PAUL SOCIETY
4990 RADFORD CT
DUBUQUE
,
IA
52003
NONE
PC
GENERAL
1,000
GRAND OPERA HOUSE
135 W 8TH STREET
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
3,000
DUBUQUE SYMPHONY ORCHESTRA
2728 ASBURY RD SUITE 900
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
2,000
CLARKE UNIVERSITY
1550 CLARKE DRIVE
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
10,000
LORAS COLLEGE
1450 ALTA VISTA ST
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
10,000
UNIVERSITY OF NOTRE DAME
SCHOLARSHIPS
115 MAIN BUILDING
NOTRE DAME
,
IA
465565602
NONE
PC
GENERAL
5,000
UNIVERSITY OF IOWA FOUNDATION
PO BOX 4550
IOWA CITY
,
IA
522444550
NONE
PC
GENERAL
500
TERESA SHELTER OPENING DOORS
1111 BLUFF ST
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
500
HOLY FAMILY CATHOLIC SCHOOLS
2005 KANE
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
10,000
IOWA COLLEGE FOUNDATION
505-5TH AVE SUITE 1034
Des Moines
,
IA
50309
NONE
PC
GENERAL
2,500
SALVATION ARMY
PO BOX 416
DUBUQUE
,
IA
520040416
NONE
PC
GENERAL
400
COMMUNITY FOUNDATION OF
GREATER DUBUQUE
700 LOCUST ST SUITE 195
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
11,000
MARIA HOUSE OPENING DOORS
1561 JACKSON STREET
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
500
DUBUQUE ARBORETUM
AND BOTANICAL GARDENS
MARSHALL PARK
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
500
SHALOM RETREAT CENTER
1001 DAVIS
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
500
HILLCREST FAMILY SERVICES
2005 ASBURY ROAD
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
1,000
VISITING NURSE ASSOC
1454 IOWA ST
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
1,000
VETERANS FREEDOM CENTER
2245 KERPER BLVD SUITE 1
DUBUQUE
,
IA
52001
NONE
PC
GENERAL
500
Total
.................................
3a
151,800
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
85,353
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
231,913
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)
..
317,266
13
Total.
Add line 12, columns (b), (d), and (e)
..................
13
317,266
(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