-
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 BATTLE FAMILY FOUNDATION
Number and street (or P.O. box number if mail is not delivered to street address)
6552 WATERFRONT DRIVE
Room/suite
City or town, state or province, country, and ZIP or foreign postal code
TUSCALOOSA
,
AL
35406
A Employer identification number
58-6343708
B
Telephone number (see instructions)
(205) 348-3620
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)
$
0
J
Accounting method:
Cash
Accrual
Other (specify)
FMV
(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
86,804
86,804
86,804
4
Dividends and interest from securities
...
76,483
76,483
76,483
5a
Gross rents
............
b
Net rental income or (loss)
6a
Net gain or (loss) from sale of assets not on line 10
581,801
b
Gross sales price for all assets on line 6a
1,894,750
7
Capital gain net income (from Part IV, line 2)
...
581,801
8
Net short-term capital gain
.........
498
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)
.......
1,096,326
11,337
11,337
12
Total.
Add lines 1 through 11
........
1,841,414
756,425
175,122
13
Compensation of officers, directors, trustees, etc.
14
Other employee salaries and wages
......
15
Pension plans, employee benefits
.......
16a
Legal fees (attach schedule)
.........
b
Accounting fees (attach schedule)
.......
c
Other professional fees (attach schedule)
....
21,997
21,997
21,997
17
Interest
...............
18
Taxes (attach schedule) (see instructions)
...
1,487
1,487
1,487
19
Depreciation (attach schedule) and depletion
...
20
Occupancy
..............
21
Travel, conferences, and meetings
.......
22
Printing and publications
..........
23
Other expenses (attach schedule)
.......
24
Total operating and administrative expenses.
Add lines 13 through 23
..........
23,484
23,484
23,484
0
25
Contributions, gifts, grants paid
.......
90,000
90,000
26
Total expenses and disbursements.
Add lines 24 and 25
113,484
23,484
23,484
90,000
27
Subtract line 26 from line 12:
a
Excess of revenue over expenses and disbursements
1,727,930
b
Net investment income
(if negative, enter -0-)
732,941
c
Adjusted net income
(if negative, enter -0-)
...
151,638
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
.............
3,659
23,659
2
Savings and temporary cash investments
.........
35,941
196,863
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)
.......
2,647,803
3,809,903
c
Investments—corporate bonds (attach schedule)
.......
2,883,247
3,268,155
11
Investments—land, buildings, and equipment: basis
Less: accumulated depreciation (attach schedule)
12
Investments—mortgage loans
.............
13
Investments—other (attach schedule)
..........
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)
5,570,650
7,298,580
0
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
........
27
Paid-in or capital surplus, or land, bldg., and equipment fund
28
Retained earnings, accumulated income, endowment, or other funds
5,570,650
7,298,580
29
Total net assets or fund balances
(see instructions)
.....
5,570,650
7,298,580
30
Total liabilities and net assets/fund balances
(see instructions)
.
5,570,650
7,298,580
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
5,570,650
2
Enter amount from Part I, line 27a
.....................
2
1,727,930
3
Other increases not included in line 2 (itemize)
3
4
Add lines 1, 2, and 3
..........................
4
7,298,580
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
7,298,580
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
3 SITEONE LANDSCAPE SUPPLY, INC. CMN
P
2019-11-15
2019-12-19
b
3 CANTEL MEDICAL CORP. CMN
P
2019-11-15
2019-12-18
c
3 CANTEL MEDICAL CORP. CMN
P
2018-10-24
2019-12-18
d
5 COHEN & STEERS, INC. CMN
P
2019-11-15
2019-12-06
e
5 FORUM ENERGY TECHNOLOGIES INC CMN
P
2019-11-15
2019-12-06
10 FORUM ENERGY TECHNOLOGIES INC CMN
P
2013-11-18
2019-12-06
5 FORUM ENERGY TECHNOLOGIES INC CMN
P
2013-11-15
2019-12-06
20 FORUM ENERGY TECHNOLOGIES INC CMN
P
2013-08-05
2019-12-06
5 FORUM ENERGY TECHNOLOGIES INC CMN
P
2013-07-29
2019-12-06
10 PEBBLEBROOK HOTEL TRUST CMN
P
2017-06-29
2019-12-06
1 WD 40 CO CMN
P
2019-11-15
2019-12-06
15 WRIGHT MED GROUP N V CMN
P
2019-11-15
2019-12-06
4 AMAZON.COM INC CMN
P
2017-01-06
2019-11-15
12 AMAZON.COM INC CMN
P
2016-09-28
2019-11-15
1 ALPHABET INC. CMN CLASS C
P
2018-12-17
2019-11-14
12 ALPHABET INC. CMN CLASS C
P
2018-10-23
2019-11-14
3 ALPHABET INC. CMN CLASS C
P
2015-08-26
2019-11-14
100 GLOBUS MEDICAL INC CMN CLASS A
P
2016-04-22
2019-11-14
55 GLOBUS MEDICAL INC CMN CLASS A
P
2014-05-15
2019-11-14
154 GLOBUS MEDICAL INC CMN CLASS A
P
2014-01-31
2019-11-14
1 KLA CORP CMN
P
2017-09-29
2019-11-14
32 KLA CORP CMN
P
2017-09-28
2019-11-14
13 KLA CORP CMN
P
2017-09-20
2019-11-14
6 KLA CORP CMN
P
2017-09-15
2019-11-14
8 KLA CORP CMN
P
2017-09-13
2019-11-14
16 KLA CORP CMN
P
2017-09-08
2019-11-14
23 KLA CORP CMN
P
2017-09-07
2019-11-14
90 MICROSOFT CORPORATION CMN
P
2017-04-28
2019-11-14
10 TRANSDIGM GROUP INCORPORATED CMN
P
2018-10-23
2019-11-14
188 APPLE INC. CMN
P
2016-12-19
2019-11-13
111 APPLE INC. CMN
P
2016-10-26
2019-11-13
70 APPLE INC. CMN
P
2015-08-26
2019-11-13
13 APPLE INC. CMN
P
2014-09-10
2019-11-13
20 COHEN & STEERS, INC. CMN
P
2012-09-12
2019-11-13
95 COHEN & STEERS, INC. CMN
P
2011-06-07
2019-11-13
95 COHEN & STEERS, INC. CMN
P
2011-05-20
2019-11-13
20 COHEN & STEERS, INC. CMN
P
2011-03-18
2019-11-13
5 COHEN & STEERS, INC. CMN
P
2011-03-14
2019-11-13
90 DOLLAR GENERAL CORPORATION CMN
P
2017-06-20
2019-11-13
93 DOLLAR GENERAL CORPORATION CMN
P
2017-03-17
2019-11-13
20 DOLLAR GENERAL CORPORATION CMN
P
2017-02-06
2019-11-13
244 DOLLAR GENERAL CORPORATION CMN
P
2017-01-11
2019-11-13
180 INGERSOLL-RAND PLC CMN
P
2015-08-05
2019-11-13
50 RITCHIE BROS. AUCTIONEERS INC CMN
P
2013-10-08
2019-11-13
105 RITCHIE BROS. AUCTIONEERS INC CMN
P
2012-09-12
2019-11-13
105 THE HOME DEPOT, INC. CMN
P
2015-01-16
2019-11-13
522 VISA INC. CMN CLASS A
P
2016-12-19
2019-11-13
153 VISA INC. CMN CLASS A
P
2016-12-19
2019-11-13
159 VISA INC. CMN CLASS A
P
2016-07-25
2019-11-13
3 BOOKING HOLDINGS INC. CMN
P
2019-03-05
2019-11-07
4 IBERIABANK CORPORATION CMN
P
2013-01-31
2019-11-05
250000 UBS AG LINKED TO BASKET OF INDICES UPSIDE LEVERED NO CAP STRUCTURED NOTE DUE 11/05/2019
P
2017-10-31
2019-11-05
4 IBERIABANK CORPORATION CMN
P
2013-01-31
2019-11-04
4 IBERIABANK CORPORATION CMN
P
2013-01-31
2019-10-31
3 IBERIABANK CORPORATION CMN
P
2019-09-10
2019-10-30
1 IBERIABANK CORPORATION CMN
P
2013-01-31
2019-10-30
3 SITEONE LANDSCAPE SUPPLY, INC. CMN
P
2019-05-06
2019-10-30
50000 THE BOEING COMPANY 2.35% 10/30/2021 USD SR LIEN
P
2017-02-14
2019-10-21
4 CAMBREX CORPORATION CMN
P
2018-06-27
2019-10-17
10 CAMBREX CORPORATION CMN
P
2018-02-14
2019-10-17
9 CAMBREX CORPORATION CMN
P
2017-08-04
2019-10-17
2 CHURCHILL DOWNS INCORPORATED CMN
P
2018-12-21
2019-10-17
4 FIVE BELOW INC CMN
P
2015-08-07
2019-10-17
1 LITHIA MOTORS INC CL-A CMN CLASS A
P
2016-11-22
2019-10-17
3 LITHIA MOTORS INC CL-A CMN CLASS A
P
2015-01-27
2019-10-17
4 SILICON LABORATORIES INC. CMN
P
2017-02-02
2019-10-17
50000 HOST HOTELS & RESORTS, L.P. 6.0% 10/01/2021 SER Z SR LIEN
P
2014-10-03
2019-10-15
134 ADOBE INC CMN
P
2017-01-24
2019-10-03
5 AMAZON.COM INC CMN
P
2017-01-06
2019-10-03
10 CHIPOTLE MEXICAN GRILL, INC. CMN
P
2018-04-24
2019-10-03
5 CHIPOTLE MEXICAN GRILL, INC. CMN
P
2018-03-21
2019-10-03
5 CHIPOTLE MEXICAN GRILL, INC. CMN
P
2018-02-06
2019-10-03
2 FIDELITY NATL INFO SVCS INC CMN
P
2017-10-24
2019-10-03
178 FIDELITY NATL INFO SVCS INC CMN
P
2016-02-05
2019-10-03
146 FIDELITY NATL INFO SVCS INC CMN
P
2016-02-04
2019-10-03
35 FIVE BELOW INC CMN
P
2015-09-04
2019-10-03
120 FIVE BELOW INC CMN
P
2015-09-03
2019-10-03
15 FIVE BELOW INC CMN
P
2015-08-07
2019-10-03
135 GLOBUS MEDICAL INC CMN CLASS A
P
2014-08-06
2019-10-03
5 HUBSPOT INC. CMN
P
2016-12-19
2019-10-03
55 HUBSPOT INC. CMN
P
2016-11-03
2019-10-03
74 HUBSPOT INC. CMN
P
2016-08-04
2019-10-03
240 MICROSOFT CORPORATION CMN
P
2016-04-22
2019-10-03
136 MICROSOFT CORPORATION CMN
P
2016-02-05
2019-10-03
137 MICROSOFT CORPORATION CMN
P
2015-11-20
2019-10-03
532 MICROSOFT CORPORATION CMN
P
2015-10-27
2019-10-03
60 POWER INTEGRATIONS INC CMN
P
2011-06-07
2019-10-03
25 POWER INTEGRATIONS INC CMN
P
2011-05-20
2019-10-03
86 SALESFORCE.COM, INC CMN
P
2016-11-10
2019-10-03
68 SALESFORCE.COM, INC CMN
P
2016-09-28
2019-10-03
98 SALESFORCE.COM, INC CMN
P
2016-02-09
2019-10-03
89 SALESFORCE.COM, INC CMN
P
2015-07-09
2019-10-03
120 SERVICENOW INC CMN
P
2016-08-24
2019-10-03
228 TARGA RESOURCES CORP. CMN
P
2016-02-17
2019-10-03
108 TARGA RESOURCES CORP. CMN
P
2016-02-17
2019-10-03
55 TARGA RESOURCES CORP. CMN
P
2016-02-17
2019-10-03
51 TARGA RESOURCES CORP. CMN
P
2016-02-17
2019-10-03
48 TARGA RESOURCES CORP. CMN
P
2016-02-17
2019-10-03
41 TARGA RESOURCES CORP. CMN
P
2016-02-17
2019-10-03
22 TRANSDIGM GROUP INCORPORATED CMN
P
2017-04-18
2019-10-03
19 TRANSDIGM GROUP INCORPORATED CMN
P
2017-03-28
2019-10-03
21 TRANSDIGM GROUP INCORPORATED CMN
P
2015-08-06
2019-10-03
87 UNIVERSAL DISPLAY CORPORATION CMN
P
2016-08-09
2019-10-03
238 VISA INC. CMN CLASS A
P
2016-01-29
2019-10-03
33 AMERICAN TOWER CORPORATION CMN
P
2018-10-23
2019-09-10
1 INSULET CORPORATION CMN
P
2019-03-04
2019-09-10
8 INSULET CORPORATION CMN
P
2019-02-01
2019-09-10
3 ICU MEDICAL INC CMN
P
2013-01-31
2019-08-09
15 MEDIDATA SOLUTIONS, INC. CMN
P
2013-01-31
2019-08-07
5 TUPPERWARE BRANDS CORPORATION CMN
P
2015-02-03
2019-08-07
10 TUPPERWARE BRANDS CORPORATION CMN
P
2013-01-31
2019-08-07
1 POWER INTEGRATIONS INC CMN
P
2013-01-31
2019-07-29
2 HELEN OF TROY LTD (NEW) CMN
P
2016-06-03
2019-07-24
2 ICU MEDICAL INC CMN
P
2013-01-31
2019-07-24
15 PROASSURANCE CORPORATION CMN
P
2013-01-31
2019-07-24
10 TEXAS CAPITAL BANCSHARES, INC. CMN
P
2014-08-15
2019-07-11
5 TEXAS CAPITAL BANCSHARES, INC. CMN
P
2014-04-25
2019-07-11
6 TEXAS CAPITAL BANCSHARES, INC. CMN
P
2014-04-10
2019-07-11
100000 ORACLE CORPORATION 5.0% 07/08/2019 SR LIEN
P
2009-06-30
2019-07-08
12 FACEBOOK, INC. CMN CLASS A
P
2018-10-23
2019-07-05
2 HUBSPOT INC. CMN
P
2016-08-04
2019-06-27
3 FIVE BELOW INC CMN
P
2015-08-07
2019-06-17
2 GRAND CANYON EDUCATION, INC. CMN
P
2015-01-26
2019-06-17
1 MEDIDATA SOLUTIONS, INC. CMN
P
2015-02-05
2019-06-17
3 MEDIDATA SOLUTIONS, INC. CMN
P
2013-01-31
2019-06-17
42 CARMAX, INC. CMN
P
2018-10-23
2019-06-04
700 SPDR S&P 500 ETF TRUST
P
2018-07-12
2019-06-04
45 AMNEAL PHARMACEUTICALS, INC. CMN
P
2017-10-19
2019-05-16
10 AMNEAL PHARMACEUTICALS, INC. CMN
P
2016-02-22
2019-05-16
41 MICROCHIP TECHNOLOGY INCORPORA CMN
P
2018-10-23
2019-05-01
84 SCHLUMBERGER LTD CMN
P
2018-10-23
2019-04-30
4 MEDIDATA SOLUTIONS, INC. CMN
P
2015-02-05
2019-04-29
10 HEALTHCARE SVCS GROUP INC CMN
P
2013-01-31
2019-04-26
10 EPAM SYS INC CMN
P
2013-11-05
2019-04-11
2 EPAM SYS INC CMN
P
2013-11-04
2019-04-11
75000 WELLTOWER INC. 4.125% 04/01/2019 SR LIEN
P
2013-08-16
2019-03-18
10 AAR CORP CMN
P
2018-08-28
2019-03-14
4 ADOBE INC CMN
P
2018-10-23
2019-03-14
3 ALAMO GROUP INC. CMN
P
2018-04-02
2019-03-14
2 ALLEGIANT TRAVEL COMPANY CMN
P
2018-05-01
2019-03-14
2 ALLERGAN PUBLIC LIMITED COMPAN CMN
P
2018-10-23
2019-03-14
2 ALPHABET INC. CMN CLASS C
P
2019-02-04
2019-03-14
1 AMAZON.COM INC CMN
P
2018-10-23
2019-03-14
20 AMERICAN TOWER CORPORATION CMN
P
2018-10-23
2019-03-14
5 AMERIS BANCORP CMN
P
2017-06-29
2019-03-14
5 AMERISAFE, INC CMN
P
2018-05-10
2019-03-14
1 AMERISAFE, INC CMN
P
2018-05-09
2019-03-14
10 AMNEAL PHARMACEUTICALS, INC. CMN
P
2016-04-22
2019-03-14
5 AMNEAL PHARMACEUTICALS, INC. CMN
P
2016-02-22
2019-03-14
6 APPLE INC. CMN
P
2018-10-23
2019-03-14
5 ATRICURE, INC. CMN
P
2018-10-31
2019-03-14
1 BALCHEM CORPORATION CMN
P
2014-09-25
2019-03-14
2 BALCHEM CORPORATION CMN
P
2014-09-24
2019-03-14
7 BERKSHIRE HATHAWAY INC. CLASS B
P
2018-10-23
2019-03-14
1 BOOKING HOLDINGS INC. CMN
P
2019-03-05
2019-03-14
1 CAMBREX CORPORATION CMN
P
2018-06-27
2019-03-14
4 CAMBREX CORPORATION CMN
P
2017-08-03
2019-03-14
14 CARMAX, INC. CMN
P
2018-10-23
2019-03-14
10 CATALENT, INC. CMN
P
2018-03-28
2019-03-14
5 CATALENT, INC. CMN
P
2017-09-27
2019-03-14
10 CATHAY GENERAL BANCORP CMN
P
2017-12-15
2019-03-14
5 CENTRAL GARDEN & PET CO CMN
P
2018-02-21
2019-03-14
5 CENTRAL GARDEN & PET COMPANY CMN CLASS A NON VOTING SHARES
P
2018-08-02
2019-03-14
3 CHURCHILL DOWNS INCORPORATED CMN
P
2019-03-04
2019-03-14
5 CHUYS HLDGS INC CMN
P
2018-05-07
2019-03-14
10 COHEN & STEERS, INC. CMN
P
2013-01-31
2019-03-14
2 COMPASS MINERALS INTL, INC. CMN
P
2017-01-17
2019-03-14
3 COMPASS MINERALS INTL, INC. CMN
P
2015-02-04
2019-03-14
4 DRIL-QUIP, INC. CMN
P
2014-08-15
2019-03-14
1 DRIL-QUIP, INC. CMN
P
2013-01-31
2019-03-14
6 ECOLAB INC. CMN
P
2018-10-23
2019-03-14
10 ENTEGRIS, INC. CMN
P
2019-01-22
2019-03-14
1 EPAM SYS INC CMN
P
2017-03-02
2019-03-14
2 EPAM SYS INC CMN
P
2013-11-04
2019-03-14
5 EXLSERVICE HOLDINGS, INC. CMN
P
2017-06-26
2019-03-14
5 FACEBOOK, INC. CMN CLASS A
P
2018-10-23
2019-03-14
17 FIRST REPUBLIC BANK CMN SERIES
P
2018-10-23
2019-03-14
5 FIVE BELOW INC CMN
P
2015-08-07
2019-03-14
12 FORTIVE CORPORATION CMN
P
2018-10-23
2019-03-14
10 FORUM ENERGY TECHNOLOGIES INC CMN
P
2014-04-30
2019-03-14
10 GLACIER BANCORP INC (NEW) CMN
P
2017-12-15
2019-03-14
15 GLOBUS MEDICAL INC CMN CLASS A
P
2014-05-15
2019-03-14
7 GRAND CANYON EDUCATION, INC. CMN
P
2015-01-26
2019-03-14
10 HEALTHCARE SVCS GROUP INC CMN
P
2018-03-28
2019-03-14
10 HEALTHCARE SVCS GROUP INC CMN
P
2014-09-05
2019-03-14
15 HEARTLAND EXPRESS INC CMN
P
2013-01-31
2019-03-14
2 HELEN OF TROY LTD (NEW) CMN
P
2016-06-03
2019-03-14
14 HONEYWELL INTL INC CMN
P
2018-10-23
2019-03-14
4 HUBSPOT INC. CMN
P
2016-08-04
2019-03-14
2 IBERIABANK CORPORATION CMN
P
2013-12-18
2019-03-14
2 IBERIABANK CORPORATION CMN
P
2013-01-31
2019-03-14
5 ICF INTERNATIONAL INC CMN
P
2018-02-20
2019-03-14
3 ICU MEDICAL INC CMN
P
2013-01-31
2019-03-14
4 IDACORP, INC. CMN
P
2016-10-19
2019-03-14
2 INSULET CORPORATION CMN
P
2019-03-04
2019-03-14
2 INTUIT INC CMN
P
2018-10-23
2019-03-14
3 JOHN BEAN TECHNOLOGIES CORPORA CMN
P
2017-06-29
2019-03-14
6 JOHNSON & JOHNSON CMN
P
2018-10-23
2019-03-14
3 LHC GROUP, INC CMN
P
2019-03-04
2019-03-14
4 LINDE PLC CMN
P
2018-10-23
2019-03-14
4 LITHIA MOTORS INC CL-A CMN CLASS A
P
2016-11-22
2019-03-14
10 MACOM TECHNOLOGY SOLUTIONS CMN
P
2016-04-27
2019-03-14
3 MARKEL CORPORATION CMN
P
2018-10-23
2019-03-14
6 MATADOR RES CO CMN
P
2018-11-20
2019-03-14
5 MATADOR RES CO CMN
P
2018-06-08
2019-03-14
9 MATADOR RES CO CMN
P
2018-06-07
2019-03-14
5 MEDIDATA SOLUTIONS, INC. CMN
P
2015-12-31
2019-03-14
5 MERIDIAN BANCORP INC. CMN
P
2018-03-28
2019-03-14
1 METTLER-TOLEDO INTL CMN
P
2018-10-23
2019-03-14
16 MICROCHIP TECHNOLOGY INCORPORA CMN
P
2018-10-23
2019-03-14
5 MOBILE MINI INC CMN
P
2019-03-05
2019-03-14
5 MOODY'S CORPORATION CMN
P
2018-10-23
2019-03-14
4 NATIONAL HEALTH INVESTORS, INC CMN
P
2013-01-31
2019-03-14
4 NORTHWESTERN CORPORATION CMN
P
2013-09-10
2019-03-14
2 O'REILLY AUTOMOTIVE, INC. CMN
P
2018-10-23
2019-03-14
21 ORACLE CORPORATION CMN
P
2018-10-23
2019-03-14
3 OXFORD IND INC CMN
P
2014-03-27
2019-03-14
4 PACIFIC PREMIER BANCORP CMN
P
2018-05-10
2019-03-14
6 PACIFIC PREMIER BANCORP CMN
P
2018-03-14
2019-03-14
5 PATRICK INDUSTRIES, INC. CMN
P
2018-01-30
2019-03-14
5 PAYLOCITY HOLDING CORPORATION CMN
P
2018-09-17
2019-03-14
10 PEBBLEBROOK HOTEL TRUST CMN
P
2017-06-29
2019-03-14
16 PEPSICO, INC. CMN
P
2018-10-23
2019-03-14
15 PERFORMANCE FOOD GROUP COMPANY CMN
P
2018-02-08
2019-03-14
10 POLYONE CORPORATION CMN
P
2018-05-24
2019-03-14
2 POWER INTEGRATIONS INC CMN
P
2013-01-31
2019-03-14
10 PRA GROUP, INC. CMN
P
2018-05-24
2019-03-14
10 PRIMORIS SERVICES CORPORATION CMN
P
2014-06-09
2019-03-14
3 PROOFPOINT INC CMN
P
2017-06-27
2019-03-14
10 QTS REALTY TRUST, INC. CMN
P
2017-10-31
2019-03-14
3 RBC BEARINGS INCORPORATED CMN
P
2013-01-31
2019-03-14
10 RITCHIE BROS. AUCTIONEERS INC CMN
P
2018-04-02
2019-03-14
5 RITCHIE BROS. AUCTIONEERS INC CMN
P
2013-01-31
2019-03-14
2 ROGERS CORP CMN
P
2018-01-12
2019-03-14
5 ROPER TECHNOLOGIES INC CMN
P
2018-10-23
2019-03-14
14 SCHLUMBERGER LTD CMN
P
2018-10-23
2019-03-14
19 SENSATA TECHNOLOGIES HOLDING P CMN
P
2018-10-23
2019-03-14
15 SILGAN HOLDINGS INC CMN
P
2018-03-28
2019-03-14
4 SILICON LABORATORIES INC. CMN
P
2018-09-13
2019-03-14
10 SKYLINE CHAMPION CORPORATION CMN
P
2018-09-21
2019-03-14
10 STAG INDUSTRIAL, INC. CMN
P
2017-12-15
2019-03-14
10 STIFEL FINANCIAL CORP CMN
P
2013-01-31
2019-03-14
4 SUN HYDRAULICS INC CMN
P
2017-08-08
2019-03-14
1 SUN HYDRAULICS INC CMN
P
2017-08-07
2019-03-14
10 SYNEOS HEALTH INC CMN
P
2018-06-27
2019-03-14
4 TELEFLEX INC. CMN
P
2018-10-23
2019-03-14
5 TEXAS CAPITAL BANCSHARES, INC. CMN
P
2014-04-10
2019-03-14
10 TEXAS ROADHOUSE, INC. CMN
P
2014-03-27
2019-03-14
2 TRANSDIGM GROUP INCORPORATED CMN
P
2018-10-23
2019-03-14
5 TUPPERWARE BRANDS CORPORATION CMN
P
2013-01-31
2019-03-14
14 U.S. BANCORP CMN
P
2018-10-23
2019-03-14
20 UNILEVER N.V. NY SHS (NEW) ADR CMN
P
2018-10-23
2019-03-14
5 UNITED BANKSHARES INC W V CMN
P
2016-12-20
2019-03-14
10 UNIVERSAL FOREST PRODUCTS INC CMN
P
2013-01-31
2019-03-14
5 US ECOLOGY HOLDINGS INC CMN
P
2019-03-04
2019-03-14
5 VIRTUSA CORPORATION CMN
P
2019-01-02
2019-03-14
10 VISA INC. CMN CLASS A
P
2018-10-23
2019-03-14
1 WD 40 CO CMN
P
2013-01-31
2019-03-14
2 WEBSTER FINANCIAL CORP CMN
P
2019-01-17
2019-03-14
3 WEBSTER FINANCIAL CORP CMN
P
2015-03-25
2019-03-14
5 WOLVERINE WORLD WIDE CMN
P
2016-05-05
2019-03-14
10 WRIGHT MED GROUP N V CMN
P
2017-06-29
2019-03-14
15 XPO LOGISTICS INC CMN
P
2018-10-23
2019-03-05
68 XPO LOGISTICS INC CMN
P
2018-10-23
2019-03-05
30 DIPLOMAT PHARMACY, INC. CMN
P
2017-08-16
2019-02-27
3 DIPLOMAT PHARMACY, INC. CMN
P
2015-10-16
2019-02-27
60000 JPMORGAN CHASE & CO. LINKED TO SHORT JPY VS. LONG U UPSIDE LEVERED, UNCAPPED STRUCTURED NOTE D
P
2018-02-21
2019-02-26
15 DIPLOMAT PHARMACY, INC. CMN
P
2018-07-27
2019-02-25
10 DIPLOMAT PHARMACY, INC. CMN
P
2015-11-20
2019-02-25
10 DIPLOMAT PHARMACY, INC. CMN
P
2015-10-19
2019-02-25
2 DIPLOMAT PHARMACY, INC. CMN
P
2015-10-16
2019-02-25
5 INSTALLED BLDG PRODS INC CMN
P
2018-02-08
2019-02-21
3 INSTALLED BLDG PRODS INC CMN
P
2018-02-08
2019-02-20
2 INSTALLED BLDG PRODS INC CMN
P
2017-11-13
2019-02-20
3 INSTALLED BLDG PRODS INC CMN
P
2017-12-12
2019-02-19
2 INSTALLED BLDG PRODS INC CMN
P
2017-11-13
2019-02-19
3 INSTALLED BLDG PRODS INC CMN
P
2017-12-08
2019-02-15
3 EPAM SYS INC CMN
P
2017-03-02
2019-02-14
3 INSTALLED BLDG PRODS INC CMN
P
2018-01-12
2019-02-14
2 INSTALLED BLDG PRODS INC CMN
P
2017-12-08
2019-02-14
6 INSTALLED BLDG PRODS INC CMN
P
2018-03-12
2019-02-13
1 INSTALLED BLDG PRODS INC CMN
P
2018-01-12
2019-02-13
7 BLACKBAUD, INC CMN
P
2013-01-31
2019-02-07
12 BLACKBAUD, INC CMN
P
2014-05-15
2019-02-05
1 BLACKBAUD, INC CMN
P
2013-01-31
2019-02-05
120 MONDELEZ INTERNATIONAL, INC. CMN
P
2018-10-23
2019-02-04
3 EPAM SYS INC CMN
P
2017-03-02
2019-02-01
10 WRIGHT MED GROUP N V CMN
P
2017-06-29
2019-02-01
3 EPAM SYS INC CMN
P
2017-03-02
2019-01-17
5 POWER INTEGRATIONS INC CMN
P
2014-04-30
2019-01-17
4 POWER INTEGRATIONS INC CMN
P
2013-01-31
2019-01-17
10 SUN HYDRAULICS INC CMN
P
2018-02-02
2019-01-17
FIRST CLASS ACTION RECOVERY - JC PENNEY
P
2019-12-10
2019-12-10
(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
262
273
-11
b
214
218
-4
c
214
243
-29
d
336
326
10
e
7
5
2
13
284
-271
7
143
-136
26
559
-533
7
142
-135
265
328
-63
195
185
10
444
443
1
6,990
3,181
3,809
20,971
9,939
11,032
1,311
1,012
299
15,733
13,253
2,480
3,933
1,819
2,114
5,490
2,400
3,090
3,019
1,334
1,685
8,454
3,594
4,860
177
39
138
5,650
1,615
4,035
2,295
721
1,574
1,059
325
734
1,413
425
988
2,825
764
2,061
4,061
1,146
2,915
13,337
6,164
7,173
5,591
3,303
2,288
49,573
21,962
27,611
29,269
12,736
16,533
18,458
7,418
11,040
3,428
1,314
2,114
1,314
599
715
6,240
2,458
3,782
6,240
2,411
3,829
1,314
481
833
328
122
206
14,120
6,430
7,690
14,591
6,738
7,853
3,138
1,439
1,699
38,281
17,905
20,376
23,167
10,864
12,303
2,089
969
1,120
4,388
2,030
2,358
24,541
10,838
13,703
93,406
40,800
52,606
27,378
11,983
15,395
28,451
12,538
15,913
5,580
5,159
421
313
208
105
248,083
250,000
-1,917
307
208
99
293
208
85
225
222
3
75
52
23
254
193
61
50,351
50,026
325
238
202
36
595
538
57
536
524
12
260
157
103
532
147
385
128
90
38
383
266
117
439
282
157
53,837
52,236
1,601
36,435
15,240
21,195
8,592
3,976
4,616
8,159
3,386
4,773
4,080
1,615
2,465
4,080
1,489
2,591
259
140
119
23,081
9,155
13,926
18,931
7,594
11,337
4,350
1,192
3,158
14,914
4,180
10,734
1,864
552
1,312
6,760
2,507
4,253
787
243
544
8,655
2,754
5,901
11,645
4,127
7,518
32,668
12,436
20,232
18,512
6,861
11,651
18,648
7,366
11,282
72,413
28,649
43,764
5,325
2,186
3,139
2,219
919
1,300
12,604
6,358
6,246
9,966
4,830
5,136
14,363
5,603
8,760
13,044
6,306
6,738
30,851
8,734
22,117
9,026
1,744
7,282
4,276
1,166
3,110
2,177
421
1,756
2,019
390
1,629
1,900
458
1,442
1,623
314
1,309
11,141
4,643
6,498
9,622
3,676
5,946
10,635
4,430
6,205
14,158
5,507
8,651
41,049
17,292
23,757
7,130
4,986
2,144
146
92
54
1,170
656
514
506
181
325
1,369
359
1,010
78
355
-277
155
742
-587
90
37
53
294
209
85
505
121
384
554
677
-123
597
515
82
299
278
21
358
370
-12
100,000
99,627
373
2,342
1,854
488
345
112
233
393
110
283
248
90
158
91
44
47
274
72
202
3,371
2,910
461
195,373
195,467
-94
396
942
-546
88
326
-238
4,102
2,767
1,335
3,579
4,639
-1,060
364
177
187
337
243
94
1,721
365
1,356
344
73
271
75,000
75,000
340
469
-129
1,070
1,010
60
294
329
-35
255
323
-68
301
377
-76
2,377
2,239
138
1,689
1,773
-84
3,751
3,022
729
191
243
-52
303
297
6
61
59
2
138
364
-226
69
163
-94
1,104
1,335
-231
147
159
-12
94
57
37
188
115
73
1,427
1,434
-7
1,740
1,720
20
40
50
-10
159
247
-88
849
970
-121
418
406
12
209
195
14
364
432
-68
145
199
-54
131
199
-68
257
273
-16
109
149
-40
419
316
103
104
162
-58
156
271
-115
172
400
-228
43
82
-39
1,041
891
150
355
294
61
167
75
92
334
73
261
299
280
19
851
773
78
1,754
1,500
254
585
184
401
993
926
67
61
299
-238
410
387
23
683
364
319
801
313
488
317
434
-117
317
276
41
304
207
97
226
209
17
2,176
2,060
116
680
223
457
152
124
28
152
104
48
382
282
100
702
181
521
400
304
96
192
185
7
513
419
94
273
288
-15
830
835
-5
336
327
9
696
662
34
357
360
-3
186
422
-236
3,016
3,286
-270
112
138
-26
93
130
-37
168
243
-75
376
249
127
79
101
-22
698
545
153
1,346
1,080
266
180
185
-5
874
789
85
317
245
72
282
164
118
735
685
50
1,114
1,011
103
232
221
11
113
165
-52
170
265
-95
226
333
-107
433
411
22
318
264
54
1,854
1,766
88
570
464
106
304
425
-121
141
75
66
269
396
-127
221
308
-87
367
254
113
431
499
-68
403
157
246
338
311
27
169
108
61
308
342
-34
1,630
1,364
266
605
773
-168
906
827
79
431
413
18
319
373
-54
193
193
284
278
6
551
368
183
187
190
-3
47
43
4
415
470
-55
1,195
967
228
295
309
-14
592
257
335
887
669
218
135
371
-236
725
722
3
1,126
1,104
22
187
232
-45
301
135
166
284
293
-9
271
207
64
1,546
1,396
150
176
53
123
111
105
6
167
110
57
178
95
83
317
269
48
723
1,380
-657
3,276
8,457
-5,181
190
500
-310
19
85
-66
63,642
60,000
3,642
88
333
-245
59
353
-294
59
295
-236
12
57
-45
227
311
-84
134
187
-53
89
125
-36
136
211
-75
91
125
-34
135
216
-81
465
226
239
132
219
-87
88
144
-56
264
371
-107
44
73
-29
503
177
326
842
392
450
70
25
45
5,492
4,958
534
428
226
202
294
269
25
408
226
182
312
224
88
250
150
100
342
562
-220
87
87
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
-11
b
-4
c
-29
d
10
e
2
-271
-136
-533
-135
-63
10
1
3,809
11,032
299
2,480
2,114
3,090
1,685
4,860
138
4,035
1,574
734
988
2,061
2,915
7,173
2,288
27,611
16,533
11,040
2,114
715
3,782
3,829
833
206
7,690
7,853
1,699
20,376
12,303
1,120
2,358
13,703
52,606
15,395
15,913
421
105
-1,917
99
85
3
23
61
325
36
57
12
103
385
38
117
157
1,601
21,195
4,616
4,773
2,465
2,591
119
13,926
11,337
3,158
10,734
1,312
4,253
544
5,901
7,518
20,232
11,651
11,282
43,764
3,139
1,300
6,246
5,136
8,760
6,738
22,117
7,282
3,110
1,756
1,629
1,442
1,309
6,498
5,946
6,205
8,651
23,757
2,144
54
514
325
1,010
-277
-587
53
85
384
-123
82
21
-12
373
488
233
283
158
47
202
461
-94
-546
-238
1,335
-1,060
187
94
1,356
271
-129
60
-35
-68
-76
138
-84
729
-52
6
2
-226
-94
-231
-12
37
73
-7
20
-10
-88
-121
12
14
-68
-54
-68
-16
-40
103
-58
-115
-228
-39
150
61
92
261
19
78
254
401
67
-238
23
319
488
-117
41
97
17
116
457
28
48
100
521
96
7
94
-15
-5
9
34
-3
-236
-270
-26
-37
-75
127
-22
153
266
-5
85
72
118
50
103
11
-52
-95
-107
22
54
88
106
-121
66
-127
-87
113
-68
246
27
61
-34
266
-168
79
18
-54
6
183
-3
4
-55
228
-14
335
218
-236
3
22
-45
166
-9
64
150
123
6
57
83
48
-657
-5,181
-310
-66
3,642
-245
-294
-236
-45
-84
-53
-36
-75
-34
-81
239
-87
-56
-107
-29
326
450
45
534
202
25
182
88
100
-220
87
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
581,801
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
498
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
284,778
6,026,289
0.04726
2017
210,000
5,509,524
0.03812
2016
36,500
4,080,957
0.00894
2015
408,440
3,645,927
0.11203
2014
11,000
3,481,634
0.00316
2
Total
of line 1, column (d)
.....................
2
0.209501
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
0.041900
4
Enter the net value of noncharitable-use assets for 2019 from Part X, line 5
......
4
6,170,958
5
Multiply line 4 by line 3
......................
5
258,563
6
Enter 1% of net investment income (1% of Part I, line 27b)
...........
6
7,329
7
Add lines 5 and 6
........................
7
265,892
8
Enter qualifying distributions from Part XII, line 4
,.............
8
90,000
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
14,659
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
14,659
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
14,659
6
Credits/Payments:
a
2019 estimated tax payments and 2018 overpayment credited to 2019
6a
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
8
Enter any
penalty
for underpayment of estimated tax.
Check here
if Form 2220 is attached.
8
544
9
Tax due.
If the total of lines 5 and 8 is more than line 7, enter
amount owed
.......
9
15,203
10
Overpayment.
If line 7 is more than the total of lines 5 and 8, enter the
amount overpaid
...
10
11
Enter the amount of line 10 to be:
Credited to 2020 estimated tax
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
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)
GA
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
WILLIAM R BATTLE III
Telephone no.
(205) 348-3620
Located at
6552 WATERFRONT DRIVE
TUSCALOOSA
AL
ZIP+4
35406
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
WILLIAM R BATTLE III
TRUSTEE
1.00
0
6552 WATERFRONT DRIVE
TUSCALOOSA
,
AL
35406
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
TO PAY OUT OR USE INCOME OR PRINCIPAL EXCLUSIVELY TOOR FOR CHARITABLE ORGANIZATIONS DESCRIBED IN AND EXEMPTFROM TAX UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUECODE.
0
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
6,171,512
b
Average of monthly cash balances
.......................
1b
93,420
c
Fair market value of all other assets (see instructions)
................
1c
0
d
Total
(add lines 1a, b, and c)
.........................
1d
6,264,932
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
6,264,932
4
Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
instructions)
.............................
4
93,974
5
Net value of noncharitable-use assets.
Subtract line 4 from line 3. Enter here and on Part V, line 4
5
6,170,958
6
Minimum investment return.
Enter 5% of line 5
..................
6
308,548
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
308,548
2a
Tax on investment income for 2019 from Part VI, line 5
......
2a
14,659
b
Income tax for 2019. (This does not include the tax from Part VI.)
...
2b
c
Add lines 2a and 2b
............................
2c
14,659
3
Distributable amount before adjustments. Subtract line 2c from line 1
............
3
293,889
4
Recoveries of amounts treated as qualifying distributions
................
4
5
Add lines 3 and 4
............................
5
293,889
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
293,889
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
90,000
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
90,000
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
6
Adjusted qualifying distributions.
Subtract line 5 from line 4
..............
6
90,000
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
293,889
2
Undistributed income, if any, as of the end of 2019:
a
Enter amount for 2018 only
.......
b
Total for prior years:
20
,
20
,
20
3
Excess distributions carryover, if any, to 2019:
a
From 2014
......
b
From 2015
......
63,274
c
From 2016
......
d
From 2017
......
e
From 2018
......
f
Total
of lines 3a through e
........
63,274
4
Qualifying distributions for 2019 from Part
XII, line 4:
$
90,000
a
Applied to 2018, but not more than line 2a
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
.....
90,000
e
Remaining amount distributed out of corpus
5
Excess distributions carryover applied to 2019.
63,274
63,274
(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
..........
140,615
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).)
WILLIAM R BATTLE III
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
NATIONAL FOOTBALL FOUNDATION
433 E LAS COLINAS BLVD SUITE 1130
IRVING
,
TX
75039
NONE
501(C)(3)
EDUCATIONAL PURPOSES
10,000
BIG OAK RANCH
PO BOX 507
SPRINGVILLE
,
AL
35146
NONE
501(C)(3)
EDUCATIONAL PURPOSES
2,500
UNITED WAY DE TOQUEVILLE SOCIETY
2720 6TH STREET
TUSCALOOSA
,
AL
35401
NONE
501(C)(3)
EDUCATIONAL PURPOSES
10,000
ARTHRITIS FOUNDATION SOUTHEAST REGI
500 OFFICE PARK DRIVE SUITE 200
BIRMINGHAM
,
AL
35223
NONE
501(C)(3)
MEDICAL RESEARCH
35,000
BRYANT JORDAN STUDENT ATHLETE FUND
POST OFFICE BOX 242367
MONTGOMERY
,
AL
36124
NONE
501(C)(3)
EDUCATIONAL PURPOSE
2,500
ALABAMA SPORTS HALL OF FAME
2150 RICHARD ARRINGTON JR BLVD
BIRMINGHAM
,
AL
35203
NONE
501(C)(3)
EDUCATIONAL PURPOSE
2,500
SHEPHERD CENTER
2020 PEACHTREE ROAD NW
ATLANTA
,
GA
30309
NONE
501(C)(3)
MEDICAL RESEARCH
2,500
FELLOWSHIP OF CHRISTIAN ATHLETES
8701 LEEDS ROAD
KANSAS CITY
,
MO
64129
NONE
501(C)(3)
EDUCATIONAL PURPOSE
5,000
HEALTHY EATING ACTIVE LIVING HEAL
POST OFFICE BOX 660827
BIRMINGHAM
,
AL
35266
NONE
501(C)(3)
EDUCATIONAL PURPOSES
5,000
HOOVER INSTITUTION
STANFORD UNIVERSITY
STANFORD
,
CA
94305
NONE
501(C)(3)
EDUCATIONAL PURPOSES
10,000
CULVERHOUSE COLLEGE OF BUSINESS
361 STADIUM DRIVE
TUSCALOOSA
,
AL
35487
NONE
501(C)(3)
EDUCATIONAL PURPOSES
2,500
MIKE SLIVE FOUNDATION
POST OFFICE BOX 530748
BIRMINGHAM
,
AL
35253
NONE
501(C)(3)
MEDICAL RESEARCH
2,500
Total
.................................
3a
90,000
b
Approved for future payment
Total
.................................
3b
Form
990-PF
(2019)
Form 990-PF (2019)
Page
12
Part XVI-A
Analysis of Income-Producing Activities
Enter gross amounts unless otherwise indicated.
Unrelated business income
Excluded by section 512, 513, or 514
(e)
Related or exempt
function income
(See instructions.)
1
Program service revenue:
(a)
Business code
(b)
Amount
(c)
Exclusion code
(d)
Amount
a
b
c
d
e
f
g
Fees and contracts from government agencies
2
Membership dues and assessments
....
3
Interest on savings and temporary cash
investments
...........
86,804
4
Dividends and interest from securities
....
76,483
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
............
581,801
9
Net income or (loss) from special events:
10
Gross profit or (loss) from sales of inventory
11
Other revenue:
a
CAPITAL GAIN DISTRIBUTION
11,337
b
NON-DIVIDEND DISTRIBUTION
782
c
UNREALIZED LOSS ON ASSETS
1,084,207
d
e
12
Subtotal. Add columns (b), (d), and (e)
..
1,841,414
13
Total.
Add line 12, columns (b), (d), and (e)
..................
13
1,841,414
(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