Form990-PF

Department of the Treasury
Internal Revenue Service

Return of Private Foundation
or Section 4947(a)(1) Trust Treated as Private Foundation
bulletDo not enter social security numbers on this form as it may be made public.
bulletGo to www.irs.gov/Form990PF for instructions and the latest information.
OMB No. 1545-0052
2020
Open to Public Inspection
For calendar year 2020, or tax year beginning 01-01-2020 , and ending 12-31-2020
Name of foundation
THE THEODORE H BARTH FOUNDATION INC
 
Number and street (or P.O. box number if mail is not delivered to street address)45 ROCKEFELLER PLAZA SUITE 2000
  Room/suite
City or town, state or province, country, and ZIP or foreign postal code
NEW YORK, NY101110100
A Employer identification number

13-6103401
B Telephone number (see instructions)

(212) 332-3466
C bullet
G Check all that apply:

D 1. Foreign organizations, check here............. bullet
2. Foreign organizations meeting the 85%
test, check here and attach computation ... bullet
E bullet
H Check type of organization:
F bullet
I Fair market value of all assets at end
of year (from Part II, col. (c),
line 16)bullet$27,806,328J Accounting method:
 
(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)
Revenue 1 Contributions, gifts, grants, etc., received (attach schedule)  
2 Check bullet.............
3 Interest on savings and temporary cash investments      
4 Dividends and interest from securities... 362,857 362,857  
5a Gross rents............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10 658,918
b Gross sales price for all assets on line 6a 16,725,526
7 Capital gain net income (from Part IV, line 2)... 658,918
8 Net short-term capital gain.........  
9 Income modifications...........  
10a Gross sales less returns and allowances  
b Less: Cost of goods sold....  
c Gross profit or (loss) (attach schedule).....    
11 Other income (attach schedule)....... Click to see attachment 14,873 14,873  
12 Total. Add lines 1 through 11........ 1,036,648 1,036,648  
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc. 107,000 16,050   90,950
14 Other employee salaries and wages......        
15 Pension plans, employee benefits.......        
16a Legal fees (attach schedule).........        
b Accounting fees (attach schedule)....... Click to see attachment 45,961 13,788   32,173
c Other professional fees (attach schedule).... Click to see attachment 158,520 157,520   1,000
17 Interest...............        
18 Taxes (attach schedule) (see instructions)... Click to see attachment 20,108 12,550   7,558
19 Depreciation (attach schedule) and depletion...      
20 Occupancy.............. 32,209 0   32,209
21 Travel, conferences, and meetings.......        
22 Printing and publications..........        
23 Other expenses (attach schedule)....... Click to see attachment 69,758 63,338   6,292
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 433,556 263,246   170,182
25 Contributions, gifts, grants paid....... 1,107,779 1,107,779
26 Total expenses and disbursements. Add lines 24 and 25 1,541,335 263,246   1,277,961
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements -504,687
b Net investment income (if negative, enter -0-) 773,402
c Adjusted net income (if negative, enter -0-)...  
For Paperwork Reduction Act Notice, see instructions.
Cat. No. 11289X Form 990-PF (2020)
Form 990-PF (2020)
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
Assets 1 Cash—non-interest-bearing............. 70,871 774 774
2 Savings and temporary cash investments......... 490,416 487,910 487,910
3 Accounts receivable bullet2,343
Less: allowance for doubtful accounts bullet   27,897 2,343 2,343
4 Pledges receivable bullet  
Less: allowance for doubtful accounts bullet        
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) bullet  
Less: allowance for doubtful accounts bullet        
8 Inventories for sale or use..............      
9 Prepaid expenses and deferred charges..........      
10a Investments—U.S. and state government obligations (attach schedule) 2,092,335 Click to see attachment1,008,742 1,004,586
b Investments—corporate stock (attach schedule)....... 7,838,844 Click to see attachment7,717,408 13,351,055
c Investments—corporate bonds (attach schedule)....... 1,989,293 Click to see attachment1,350,063 1,365,021
11 Investments—land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
12 Investments—mortgage loans.............      
13 Investments—other (attach schedule).......... 8,345,949 Click to see attachment9,697,816 11,589,789
14 Land, buildings, and equipment: basis bullet2,065
Less: accumulated depreciation (attach schedule) bullet2,065      
15 Other assets (describe bullet) Click to see attachment4,850 Click to see attachment4,850 Click to see attachment4,850
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 20,860,455 20,269,906 27,806,328
Liabilities 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 bullet)    
23 Total liabilities (add lines 17 through 22)......... 0 0
Net Assets or Fund Balances Foundations that follow FASB ASC 958, check here bullet
and complete lines 24, 25, 29 and 30.
24 Net assets without donor restrictions........... 20,860,455 20,269,906
25 Net assets with donor restrictions............    
Foundations that do not follow FASB ASC 958, check here bullet
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    
29 Total net assets or fund balances (see instructions)..... 20,860,455 20,269,906
30 Total liabilities and net assets/fund balances (see instructions). 20,860,455 20,269,906
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
20,860,455
2
Enter amount from Part I, line 27a .....................
2
-504,687
3
Other increases not included in line 2 (itemize) bulletClick to see attachment
3
12,970
4
Add lines 1, 2, and 3 ..........................
4
20,368,738
5
Decreases not included in line 2 (itemize) bulletClick to see attachment
5
98,832
6
Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 29 .
6
20,269,906
Form 990-PF (2020)
Form 990-PF (2020)
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 MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
b MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
c MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
d MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
e MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - MARKET DISCOUNT P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1224 - MARKET DISCOUNT P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1227 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1227 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - SALE OF ALSTROM INC P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1232 - SALE OF INVESCO PREM P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - MARKET DISCOUNT P 2020-01-01 2020-12-31
MORGAN STANLEY A/C 1245 - SALE OF INVESCO PREM P 2020-01-01 2020-12-31
FROM PASSTHROUGH - SECTION 4797 P 2020-01-01 2020-12-31
FROM PASSTHROUGH P 2020-01-01 2020-12-31
FROM PASSTHROUGH P 2020-01-01 2020-12-31
SALE OF BALYASNY ATLAS ENHANCED P 2020-01-01 2020-12-31
CAPITAL GAINS 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 120,271   115,598 4,673
b 28,378   27,428 950
c 56,982   55,543 1,439
d 74,093   72,137 1,956
e 78,533   74,442 4,091
61,379   48,218 13,161
51,065   49,593 1,472
31,417   34,385 -2,968
172,386   166,531 5,855
131,937   105,246 26,691
101,530   94,133 7,397
177,451   146,662 30,789
36,336   36,457 -121
51,522   49,910 1,612
11,502   11,925 -423
23,008   24,040 -1,032
255,463   251,526 3,937
298,775   292,553 6,222
1,181,099   1,135,579 45,520
1,070,222   1,001,738 68,484
149,491   145,347 4,144
    433 -433
    6,716 -6,716
306,000   306,000 0
952,890   856,652 96,238
33,302   25,596 7,706
49,699   32,613 17,086
13,320   16,144 -2,824
37,691   40,653 -2,962
389,853   483,711 -93,858
302,139   463,277 -161,138
617,663   575,859 41,804
313,388   276,520 36,868
267,736   267,747 -11
35,158   31,889 3,269
37,906   33,997 3,909
20,937   14,210 6,727
18,422   21,924 -3,502
11,659   5,986 5,673
9,974   9,039 935
36,552   20,015 16,537
46,465   36,549 9,916
35,505   24,059 11,446
15,387   11,855 3,532
4,794   3,578 1,216
2,067   1,684 383
55,279   41,929 13,350
368,678   306,103 62,575
689,690   534,300 155,390
470     470
880,142   880,142 0
177,852   167,924 9,928
211,370   162,821 48,549
69,110   68,124 986
278,779   186,611 92,168
777,857   1,037,748 -259,891
546,546   523,980 22,566
672,445   682,106 -9,661
490,749   304,449 186,300
103,045   108,358 -5,313
6,518   4,125 2,393
99,906   126,917 -27,011
149,727   120,131 29,596
187,856   209,762 -21,906
199,174   212,447 -13,273
154,339   124,053 30,286
486   461 25
175,892   234,621 -58,729
402   396 6
392,427   346,745 45,682
192,857   167,126 25,731
267,957   209,886 58,071
162,270   144,071 18,199
247,802   243,842 3,960
92,638   73,771 18,867
    923 -923
818,501   816,122 2,379
133,214     133,214
    366,711 -366,711
147,304     147,304
206,067   154,206 51,861
46,830     46,830
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       4,673
b       950
c       1,439
d       1,956
e       4,091
      13,161
      1,472
      -2,968
      5,855
      26,691
      7,397
      30,789
      -121
      1,612
      -423
      -1,032
      3,937
      6,222
      45,520
      68,484
      4,144
      -433
      -6,716
      0
      96,238
      7,706
      17,086
      -2,824
      -2,962
      -93,858
      -161,138
      41,804
      36,868
      -11
      3,269
      3,909
      6,727
      -3,502
      5,673
      935
      16,537
      9,916
      11,446
      3,532
      1,216
      383
      13,350
      62,575
      155,390
      470
      0
      9,928
      48,549
      986
      92,168
      -259,891
      22,566
      -9,661
      186,300
      -5,313
      2,393
      -27,011
      29,596
      -21,906
      -13,273
      30,286
      25
      -58,729
      6
      45,682
      25,731
      58,071
      18,199
      3,960
      18,867
      -923
      2,379
      133,214
      -366,711
      147,304
      51,861
      46,830
2 Capital gain net income or (net capital loss) Bracket If gain, also enter in Part I, line 7
If (loss), enter -0- in Part I, line 7		 Bracket 2 658,918
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 ................... 		Bracket 3  
Part V
Qualification Under Section 4940(e) for Reduced Tax on Net Investment Income
SECTION 4940(e) REPEALED ON DECEMBER 20, 2019 - DO NOT COMPLETE
1 Reserved
(a)
Reserved 		(b)
Reserved 		(c)
Reserved 		(d)
Reserved
2
Reserved...........................
2
3
Reserved...........................
3
4
Reserved...........................
4
5
Reserved...........................
5
6
Reserved...........................
6
7
Reserved...........................
7
8
Reserved,..........................
8
Form 990-PF (2020)
Form 990-PF (2020)
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 Bullet and enter “N/A" on line 1. Bracket for line 1a
Date of ruling or determination letter:   (attach copy of letter if necessary–see instructions)
b Reserved................................ 1 10,750
c All other domestic foundations enter 1.39% 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 10,750
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 10,750
6 Credits/Payments:
a 2020 estimated tax payments and 2019 overpayment credited to 2020 6a 13,650
b Exempt foreign organizations—tax withheld at source...... 6b 0
c Tax paid with application for extension of time to file (Form 8868)... 6c 0
d Backup withholding erroneously withheld ........... 6d 0
7 Total credits and payments. Add lines 6a through 6d.............. 7 13,650
8 Enter any penalty for underpayment of estimated tax. Check here if Form 2220 is attached. Click to see attachment 8 0
9 Tax due. If the total of lines 5 and 8 is more than line 7, enter amount owed.......Bullet 9  
10 Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid...Bullet 10 2,900
11 Enter the amount of line 10 to be: Credited to 2021 estimated taxBullet2,900 RefundedBullet 11 0
Part VII-A
Statements Regarding Activities
1a
During the tax year, did the foundation attempt to influence any national, state, or local legislation or did
Yes
No
it participate or intervene in any political campaign? ....................
1a
 
No
b
Did it spend more than $100 during the year (either directly or indirectly) for political purposes? See the instructions
for the 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. bullet$ 0(2) On foundation managers.bullet$ 0
e
Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed
on foundation managers.bullet$ 0
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)
    bulletNY
    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 2020 or the taxable year beginning in 2020? 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 (2020)
    Form 990-PF (2020)
    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 addressbulletN/A
    14
    The books are in care ofbulletFARKOUH FURMAN FACCIO LLP Telephone no.bullet (212) 245-5900

    Located atbullet460 PARK AVENUE 12TH FLOORNEW YORKNY ZIP+4bullet10022
    15
    Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041 —check here .........bullet
    and enter the amount of tax-exempt interest received or accrued during the year ........bullet
    15
     
    16 At any time during calendar year 2020, did the foundation have an interest in or a signature or other authority over YesNo
    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 bullet
    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?
    (2) Borrow money from, lend money to, or otherwise extend credit to (or accept it from)
    a disqualified person?......................
    (3) Furnish goods, services, or facilities to (or accept them from) a disqualified person?
    (4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person?
    (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)?...............
    (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.).......
    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
     
     
    ........bullet
    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 2020?.............
    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 2020, did the foundation have any undistributed income (lines 6d
    and 6e, Part XIII) for tax year(s) beginning before 2020?.............
    If "Yes," list the years bullet20, 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.
    bullet20, 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?......................
    b
    If "Yes," did it have excess business holdings in 2020 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 2020.)..................
    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 2020?
    4b
     
    No
    Form 990-PF (2020)
    Form 990-PF (2020)
    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))?
    (2) Influence the outcome of any specific public election (see section 4955); or to carry
    on, directly or indirectly, any voter registration drive?.............
    (3) Provide a grant to an individual for travel, study, or other similar purposes?
    (4) Provide a grant to an organization other than a charitable, etc., organization described
    in section 4945(d)(4)(A)? See instructions................
    (5) Provide for any purpose other than religious, charitable, scientific, literary, or
    educational purposes, or for the prevention of cruelty to children or animals?.....
    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
     
     
    .........bullet
    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?..........
    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?.....................
    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?
    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? .................
    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
    ELLEN S BERELSON PRESIDENT & TREAS/TRUSTEE
    20.00     		76,000 0 0
    45 ROCKEFELLER PLAZA-SUITE 2006
    NEW YORK,NY10111
    LAWRENCE M FRANKS SECRETARY/TRUSTEE
    4.00     		31,000 0 0
    45 ROCKEFELLER PLAZA-SUITE 2006
    NEW YORK,NY10111
    MARY E KIRK VICE PRESIDENT/TRUSTEE
    1.00     		1,000 0 0
    45 ROCKEFELLER PLAZA-SUITE 2006
    NEW YORK,NY10111
    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...................bullet 0
    Form 990-PF (2020)
    Form 990-PF (2020)
    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
    MORGAN STANLEY SMITH BARNEY HOLDINGS LLC CUSTODY AND ADVISORY 157,520
    399 PARK AVE 12TH FLOOR
    NEW YORK,NY10022
    Total number of others receiving over $50,000 for professional services.............bullet0
    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 NONE 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 NONE 0
    2  
    All other program-related investments. See instructions.
    3  
    Total. Add lines 1 through 3.........................bullet0
    Form 990-PF (2020)
    Form 990-PF (2020)
    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
    23,386,583
    b
    Average of monthly cash balances.......................
    1b
    971,753
    c
    Fair market value of all other assets (see instructions)................
    1c
    1,770,795
    d
    Total (add lines 1a, b, and c).........................
    1d
    26,129,131
    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
    26,129,131
    4
    Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
    instructions) .............................
    4
    391,937
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
    25,737,194
    6
    Minimum investment return. Enter 5% of line 5..................
    6
    1,286,860
    Part XI
    Distributable Amount (see instructions) (Section 4942(j)(3) and (j)(5) private operating foundations and certain foreign organizations check here right arrow and do not complete this part.)
    1
    Minimum investment return from Part X, line 6....................
    1
    1,286,860
    2a
    Tax on investment income for 2020 from Part VI, line 5......
    2a
    10,750
    b
    Income tax for 2020. (This does not include the tax from Part VI.)...
    2b
     
    c
    Add lines 2a and 2b............................
    2c
    10,750
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
    1,276,110
    4
    Recoveries of amounts treated as qualifying distributions................
    4
    0
    5
    Add lines 3 and 4............................
    5
    1,276,110
    6
    Deduction from distributable amount (see instructions).................
    6
    0
    7
    Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII, line 1 ...
    7
    1,276,110
    Part XII
    Qualifying Distributions (see instructions)
    1
    Amounts paid (including administrative expenses) to accomplish charitable, etc., purposes:
    a
    Expenses, contributions, gifts, etc.—total from Part I, column (d), line 26 ..........
    1a
    1,277,961
    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
     
    3
    Amounts set aside for specific charitable projects that satisfy the:
    a
    Suitability test (prior IRS approval required)....................
    3a
     
    b
    Cash distribution test (attach the required schedule) .................
    3b
     
    4
    Qualifying distributions. Add lines 1a through 3b. Enter here and on Part V, line 8, and Part XIII, line 4
    4
    1,277,961
    5
    Foundations that qualify under section 4940(e) for the reduced rate of tax on net investment
    income. Enter 1% of Part I, line 27b. See instructions.................
    5
    0
    6
    Adjusted qualifying distributions. Subtract line 5 from line 4..............
    6
    1,277,961
    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 (2020)
    Form 990-PF (2020)
    Page 9
    Part XIII
    Undistributed Income (see instructions)
    (a)
    Corpus     		(b)
    Years prior to 2019     		(c)
    2019     		(d)
    2020
    1 Distributable amount for 2020 from Part XI, line 7 1,276,110
    2 Undistributed income, if any, as of the end of 2020:
    a Enter amount for 2019 only....... 0
    b Total for prior years:20, 20, 20 0
    3 Excess distributions carryover, if any, to 2020:
    a From 2015...... 5,232
    b From 2016......  
    c From 2017......  
    d From 2018...... 30,756
    e From 2019...... 31,312
    fTotal of lines 3a through e........ 67,300
    4Qualifying distributions for 2020 from Part
    XII, line 4: bullet$ 1,277,961
    a Applied to 2019, but not more than line 2a 0
    b Applied to undistributed income of prior years
    (Election required—see instructions).....     		0
    c Treated as distributions out of corpus (Election
    required—see instructions)........     		0
    d Applied to 2020 distributable amount..... 1,276,110
    e Remaining amount distributed out of corpus 1,851
    5 Excess distributions carryover applied to 2020. 0 0
    (If an amount appears in column (d), the
    same amount must be shown in column (a).)
    6Enter the net total of each column as
    indicated below:
    a Corpus. Add lines 3f, 4c, and 4e. Subtract line 5 69,151
    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 2019. Subtract line
    4a from line 2a. Taxable amount—see
    instructions .............     		0
    f Undistributed income for 2020. Subtract
    lines 4d and 5 from line 1. This amount must
    be distributed in 2021 ..........     		0
    7 Amounts treated as distributions out of
    corpus to satisfy requirements imposed by
    section 170(b)(1)(F) or 4942(g)(3) (Election may
    be required - see instructions) .......     		0
    8 Excess distributions carryover from 2015 not
    applied on line 5 or line 7 (see instructions) ...     		5,232
    9Excess distributions carryover to 2021.
    Subtract lines 7 and 8 from line 6a ......     		63,919
    10 Analysis of line 9:
    a Excess from 2016....  
    b Excess from 2017....  
    c Excess from 2018.... 30,756
    d Excess from 2019.... 31,312
    e Excess from 2020.... 1,851
    Form 990-PF (2020)
    Form 990-PF (2020)
    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 2020, enter the date of the ruling....... bullet
     
    b Check box to indicate whether the organization is a private operating foundation described in section or
    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) 2020 (b) 2019 (c) 2018 (d) 2017
             
    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.)
    1Information Regarding Foundation Managers:
    aList 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).)
    bList 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.
    2Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc., Programs:
    Check here bullet
    aThe name, address, and telephone number or e-mail address of the person to whom applications should be addressed:
    ELLEN S BERELSON
    45 ROCKEFELLER PLAZA-SUITE 2006
    NEW YORK,NY10111
    (212) 332-3466
    bThe form in which applications should be submitted and information and materials they should include:
    NO FORMAL APPLICATION IS NECESSARY, ONLY A GENERAL LETTER OF REQUEST.
    cAny submission deadlines:
    NONE
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    NONE
    Form 990-PF (2020)
    Form 990-PF (2020)
    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)
    aPaid during the year
    ALEXANDRIA SYMPHONY ORCHESTRA
    2121 EISENHOWER AVENUE 608
    ALEXANDRIA,VA22314     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 5,000
    AMERICAN SHAKESPEARE THEATER
    302 W 91ST ST
    NEW YORK,NY10024     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 10,000
    ARENA STAGE
    1101 SIXTH STREET SW
    WASHINGTON,DC20024     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 20,000
    ARLINGTON THRIVE
    PO BOX 7429
    ARLINGTON,VA22207     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 12,500
    ATLANTIC THEATER COMPANY
    76 NINTH AVENUE STE 537
    NEW YORK,NY10011     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 5,000
    BIG BROTHERS AND BIG SISTERS OF NYC
    223 EAST 30TH STREET
    NEW YORK,NY10016     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 5,000
    BOYS CLUB OF NEW YORK
    13301 41ST RD
    FLUSHING,NY11355     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 5,000
    CHILDREN'S AID SOCIETY
    711 THIRD AVENUE SUITE 700
    NEW YORK,NY10017     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 15,000
    CITY HARVEST INC
    575 8TH AVENUE 4TH FL
    NEW YORK,NY10018     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 25,000
    CITY MEALS ON WHEELS
    355 LEXINGTON AVE
    NEW YORK,NY10017     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 25,000
    EAST SIDE HOUSE INC
    337 ALEXANDER AVENUE
    BRONX,NY10454     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 10,000
    FRESH AIR FUND
    633 THIRD AVENUE 14TH FL
    NEW YORK,NY10017     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 5,000
    GALA HISPANIC THEATRE
    PO BOX 43209
    WASHINGTON,DC20010     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 10,000
    GODDARD-RIVERSIDE COMMUNITY CENTER
    593 COLUMBUS AVENUE
    NEW YORK,NY10024     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 10,000
    HEALTHY HUMOR INC
    17 STREET STE 4000
    NEW YORK,NY10004     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 10,000
    INSERIES OPERA
    1835 14TH STREET NW
    WASHINGTON,DC20009     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 5,000
    JUBILEE JOBS
    2712 ONTARIO ROAD NW
    WASHINGTON,DC20009     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 10,000
    LATIN AMERICAN YOUTH CENTER
    1419 COLUMBIA ROAD NW
    WASHINGTON,DC20009     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 10,000
    LENOX HILL NEIGHBORHOOD ASSOCIATION INC
    331 EAST 70TH ST
    NEW YORK,NY10021     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 25,000
    LINCOLN CENTER FOR THE PERFORMING ARTS
    70 LINCOLN CENTER PLAZA
    NEW YORK,NY10023     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 10,000
    METROPOLITAN MUSEUM OF ART
    1000 FIFTH AVE
    NEW YORK,NY10028     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 15,000
    METROPOLITAN OPERA ASSOCIATION INC
    30 LINCOLN CENTER PLAZA
    NEW YORK,NY10023     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 29,196
    MORGAN LIBRARY AND MUSEUM
    225 MADISON AVE
    NEW YORK,NY10016     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 5,000
    N STREET VILLAGE
    1333 N ST NW
    WASHINGTON,DC20005     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 25,000
    NEW YORK CITY BALLET INC
    LINCOLN CENTER NY STATE THEATER
    NEW YORK,NY10023     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 17,500
    NEW YORK PHILHARMONIC SYMPHONY ORCHESTRA
    10 LINCOLN CENTER PLAZA
    NEW YORK,NY10023     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 25,000
    PLAYWRIGHTS HORIZONS
    416 WEST 42ND ST
    NEW YORK,NY10036     		NONE SECTION 501(C)(3) CHARITBALE PURPOSES 6,000
    PROJECT RENEWAL INC
    200 VARICK STREET PTH FL
    NEW YORK,NY10014     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 20,000
    ROUNDABOUT THEATRE COMPANY
    231 WEST 39TH ST SUITE 1200
    NEW YORK,NY10018     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 10,000
    SEARCH AND CARE
    1844 2ND AVE
    NEW YORK,NY10128     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 9,000
    SHAKESPEARE THEATRE
    516 8TH ST SE
    WASHINGTON,DC20003     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 20,000
    SIGNATURE THEATRE INC
    480 WEST 42ND ST
    NEW YORK,NY10036     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 10,000
    SO OTHERS MIGHT EAT
    71 O STREET NW
    WASHINGTON,DC20001     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 12,500
    TELAMON CORP
    4915 FITZHUGH AVE STE 200
    RICHMOND,VA23230     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 10,000
    THE WASHINGTON NATIONAL OPERA
    6925 WILLOW ST NW
    WASHINGTON,DC20012     		NONE SECTION 501(C)(3) CHARITABLE PUROSES 50,000
    THEATRE DEVELOPMENT FUND
    520 8TH AVE
    NEW YORK,NY10018     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 10,000
    UNION SETTLEMENT ASSOCIATION
    237 EAST 104TH ST
    NEW YORK,NY10029     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 10,000
    URBANARIAS
    1322 N ADAMS CT
    ARLINGTON,VA22201     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 7,500
    WETA
    3939 CAMPBELL AVENUE
    ARLINGTON,VA22206     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 5,000
    WOLF TRAP FDN FOR THE PERFORMING ARTS
    1635 TRAP RD
    VIENNA,VA22182     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 15,000
    CHURCH OF THE GOOD SHEPARD
    PO BOX 719
    WAREHAM,MA02571     		NONE SECTION 501(C)(3) RELIGIOUS PURPOSES 20,000
    BABSON COLLEGE
    231 FOREST ST
    BABSON PARK,MA02457     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 4,500
    BENTLEY COLLEGE
    175 FOREST ST
    WALTHAM,MA02452     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 4,500
    BRIDGEWATER STATE COLLEGE
    131 SUMMER STREET
    BRIDGEWATER,MA02324     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 10,500
    BROWN UNIVERSITY
    69 BROWN ST
    PROVIDENCE,RI02912     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 4,500
    BRYANT UNIVERSITY
    1150 DOUGLAS PIKE
    SMITHFIELD,RI02917     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 8,000
    CLARK UNIVERSITY
    950 MAIN ST
    WORCESTER,MA01610     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 21,000
    DELTA STATE UNIVERSITY
    PO BOX 3141
    CLEVELAND,MS38733     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 3,500
    HARVARD UNIVERSITY
    PO BOX 419209
    BOSTON,MA02241     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 4,500
    MANHATTAN SCHOOL OF MUSIC
    120 CLAREMONT AVE
    NEW YORK,NY10027     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 10,000
    MANNES COLLEGE OF MUSIC
    150 WEST 85TH ST
    NEW YORK,NY10024     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 10,000
    PROVIDENCE COLLEGE
    1 CUNNINGHAM SQUARE
    PROVIDENCE,RI02918     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 3,500
    SCHOOL OF AMERICAN BALLET
    70 LINCOLN CENTER PLAZA
    NEW YORK,NY10023     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 5,000
    STONEHILL COLLEGE
    320 WASHINGTON ST
    EASTON,MA02357     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 3,500
    TULANE UNIVERSITY
    6823 ST CHARLES AVE
    NEW ORLEANS,LA70118     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 4,500
    UNIVERSITY OF MASS - AMHERST
    UMASS AMHERST MEMORIAL HALL 134
    HICKS WAY
    AMHERST,MA01003     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 8,000
    UNIVERSITY OF MASS - BOSTON
    100 WILLIAM T MORRISSEY BLVD
    BOSTON,MA02125     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 3,500
    UNIVERSITY OF MASS - LOWELL
    220 PAWTUCKET ST STE 420
    LOWELL,MA01854     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 3,500
    UNIVERSITY OF MASS - DARTMOUTH
    285 OLD WESTPORT RD
    NORTH DARTMOUTH,MA02747     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 7,000
    UNIVERSITY OF NEW ENGLAND
    716 STEVENS AVE
    PORTLAND,ME04103     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 3,500
    UNIVERSITY OF NEW HAVEN
    300 BOSTON POST RD
    WEST HAVEN,CT06516     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 3,500
    UNIVERSITY OF RHODE ISLAND
    6 RHODY RAM WAY
    KINGSTON,RI02881     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 8,000
    UNIVERSITY OF VERMONT
    THE UNIVERSITY OF VERMONT
    BURLINGTON,VT05405     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 3,500
    UNIVERSITY OF VIRGINIA
    1001 N EMMET ST
    CHARLOTTESVILLE,VA22903     		NONE SECTION 501(C)(3) EDUCATIONAL PURPOSES 3,500
    CENTER FOR HEARING AND COMMUNICATION
    50 BROADWAY 6TH FL
    NEW YORK,NY10004     		NONE SECTION 501(C)(3) MEDICAL PURPOSES 62,500
    LA CLINICA DEL PUEBLO
    2831 15TH ST NW
    WASHINGTON,DC20009     		NONE SECTION 501(C)(3) MEDICAL PURPOSES 25,000
    SOUTHCOAST HEALTH SYSTEMS INC
    101 PAGE ST
    NEW BELFORD,MA02740     		NONE SECTION 501(C)(3) MEDICAL PURPOSES 50,000
    WILMER OPHTHALMOLOGICAL INSTITUTE
    4940 EASTERN AVE
    BALTIMORE,MD21224     		NONE SECTION 501(C)(3) MEDICAL PURPOSES 25,000
    METROPOLITAN OPERA ASSOCIATION INC
    30 LINCOLN CENTER PLAZA
    NEW YORK,NY10023     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 100,796
    ARENA STAGE
    1101 SIXTH STREET SW
    WASHINGTON,DC20024     		NONE SECTION 501(C)(3) CHARITABLE PURPOSES 75,694
    CENTER FOR HEARING AND COMMUNICATION
    50 BROADWAY 6TH FL
    NEW YORK,NY10004     		NONE SECTION 501(C)(3) MEDICAL PURPOSES 63,093
    Total .................................bullet 3a 1,107,779
    bApproved for future payment
    Total .................................bullet 3b 0
    Form 990-PF (2020)
    Form 990-PF (2020)
    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.)
    1Program service revenue: (a)
    Business code     		(b)
    Amount     		(c)
    Exclusion code     		(d)
    Amount
    a
    b
    c
    d
    e
    f
    gFees and contracts from government agencies          
    2 Membership dues and assessments....          
    3 Interest on savings and temporary cash
    investments ...........     		         
    4 Dividends and interest from securities....     14 362,857  
    5 Net rental income or (loss) from real estate:
    aDebt-financed property......          
    bNot debt-financed property.....          
    6 Net rental income or (loss) from personal property          
    7 Other investment income.....     14 14,873  
    8 Gain or (loss) from sales of assets other than
    inventory ............     		    18 658,918  
    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).. 0 1,036,648 0
    13Total. Add line 12, columns (b), (d), and (e)..................
    13
    1,036,648
    (See worksheet in line 13 instructions to verify calculations.)
    Part XVI-B
    Relationship of Activities to the Accomplishment of Exempt Purposes
    Line No.
    DownArrow     		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 (2020)
    Form 990-PF (2020)
    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? ...........
    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.
    Bullet Bullet
    May the IRS discuss this return
    with the preparer shown below?
    See instructions.
    Signature of officer or trustee Date Title
    Paid Preparer Use Only Print/Type preparer's name Preparer's Signature Date PTIN
    Firm's name SmallBullet
    		 Firm's EIN SmallBullet
    Firm's address SmallBullet


    		 Phone no.
    Form 990-PF (2020)
    Additional Data


    Software ID:  
    Software Version:  


    Form 990PF - Special Condition Description:
    Special Condition Description

    TY 2020 AccountingFeesSchedule
    Name:
    THE THEODORE H BARTH FOUNDATION INC
    EIN:
    13-6103401
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    ACCOUNTING FEES 45,961 13,788   32,173

    TY 2020 InvestmentsCorpBondsSchedule
    Name:
    THE THEODORE H BARTH FOUNDATION INC
    EIN:
    13-6103401
    Name of Bond End of Year Book Value End of Year Fair Market Value
    MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION 530,872 541,324
    MORGAN STANLEY A/C 1227 - DETAILS IN TAXPAYER'S POSSESSION 410,005 398,045
    MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION 409,186 425,652

    TY 2020 InvestmentsCorpStockSchedule
    Name:
    THE THEODORE H BARTH FOUNDATION INC
    EIN:
    13-6103401
    Name of Stock End of Year Book Value End of Year Fair Market Value
    MORGAN STANLEY A/C 1227 - DETAILS IN TAXPAYER'S POSSESSION 1,730,000 2,054,844
    MORGAN STANLEY A/C 1232 DETAILS IN TAXPAYER'S POSSESSION 2,012,278 2,886,818
    MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION 3,877,550 8,312,680
    MORGAN STANLEY A/C 1864 - DETAILS IN TAXPAYER'S POSSESSION 97,580 96,713

    TY 2020 InvestmentsGovtObligationsSch
    Name:
    THE THEODORE H BARTH FOUNDATION INC
    EIN:
    13-6103401
    US Government Securities - End of Year Book Value:

    1,008,742
    US Government Securities - End of Year Fair Market Value:

    1,004,586
    State & Local Government Securities - End of Year Book Value:


    0
    State & Local Government Securities - End of Year Fair Market Value:


    0


    TY 2020 InvestmentsOtherSchedule2
    Name:
    THE THEODORE H BARTH FOUNDATION INC
    EIN:
    13-6103401
    Category/ Item Listed at Cost or FMV Book Value End of Year Fair Market Value
    ALKEON GROWTH LTD AT COST 510,000 886,285
    ALPHAKEYS CARLYLE REALTY PARTNERS, LP (EIN: 32-0182960) AT COST 80,417 80,417
    BLACKSTONE REIT AT COST 949,526 1,188,544
    BRIDGE MULTIFAM IV INT-A AT COST 256,599 301,829
    ENERGY TRANSFER LP (EIN: 30-0108820) AT COST 28,961 27,791
    ENTERPRISE PRODUCTS PARTNERS, LP (EIN: 76-0568219) AT COST 141,354 188,083
    GENESIS ENERGY, L.P. (EIN: 76-0513049) AT COST 5,320 6,235
    HPC MILLENNIUM AT COST 607,401 878,466
    MAGELLAN MIDSTREAM PARTNERS LP (EIN: 73-1599053) AT COST 14,496 16,467
    MILLENNIUM INTL HF AT COST 216,960 281,207
    MORGAN STANLEY A/C 1232 DETAILS IN TAXPAYER'S POSSESSION AT COST 1,609,577 1,848,812
    MORGAN STANLEY A/C 1245 - DETAILS IN TAXPAYER'S POSSESSION AT COST 1,480,068 2,239,896
    MP SECURITIZED AT COST 360,543 181,893
    MPLX LP (EIN: 27-0005456) AT COST 12,493 19,247
    PHILLIPS 66 PARTNERS LP (EIN: 38-3899432) AT COST 5,404 4,146
    PLAINS ALL AMERICAN PIPELINE LP (EIN: 76-0582150) AT COST 19,581 20,435
    RENAISSANCE INSTITUIONAL EQUITIES FUND LLC (EIN: 33-1117438) AT COST 1,352,009 1,300,324
    SHELL MIDSTREAM PARTNERS LP (EIN: 46-5223743) AT COST 3,495 2,923
    TCG BDC II AT COST 367,181 387,460
    WESTERN GAS EQUITY PARTNERS, LP (EIN: 46-0967367) AT COST 8,764 11,222
    MORGAN STANLEY A/C 1224 - DETAILS IN TAXPAYER'S POSSESSION AT COST 1,338,121 1,390,300
    NUSTAR ENERGY LP (EIN: 74-2956831) AT COST 5,746 6,398
    VSS II OFFSHORE FEEDER AT COST 85,721 87,907
    RE PREMIER SP INFRA II AT COST 26,522 22,129
    MS DIRECT LENDING FUND AT COST 62,228 62,069
    MORGAN STANLEY A/C 1864 - DETAILS IN TAXPAYER'S POSSESSION AT COST 149,329 149,304

    TY 2020 OtherAssetsSchedule
    Name:
    THE THEODORE H BARTH FOUNDATION INC
    EIN:
    13-6103401
    Description Beginning of Year - Book Value End of Year - Book Value End of Year - Fair Market Value
    SECURITY DEPOSITS 4,850 4,850 4,850


    TY 2020 OtherDecreasesSchedule
    Name:
    THE THEODORE H BARTH FOUNDATION INC
    EIN:
    13-6103401
    Description Amount
    UNREALIZED GAIN/LOSS 98,832


    TY 2020 OtherExpensesSchedule
    Name:
    THE THEODORE H BARTH FOUNDATION INC
    EIN:
    13-6103401
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    NONDEDUCTIBLE EXPENSES FROM PASSTHROUGH 128 0   0
    FROM PASSTHROUGH - CONTRIBUTIONS 7 0   7
    INSURANCE 2,424 0   2,424
    OFFICE AND COUNCIL EXPENSES 3,861 0   3,861
    INVESTMENT EXPENSE 9,876 9,876   0
    PORTFOLIO DEDUCTIONS FROM PASSTHROUGH 31,169 31,169   0
    FROM PASSTHROUGH - ORDINARY LOSSES 22,293 22,293   0


    TY 2020 OtherIncomeSchedule2
    Name:
    THE THEODORE H BARTH FOUNDATION INC
    EIN:
    13-6103401
    Description Revenue And Expenses Per Books Net Investment Income Adjusted Net Income
    MORGAN STANLEY SMITH BARNEY HOLDINGS LLC 14,809 14,809 14,809
    OTHER MISCELLANEOUS INCOME 64 64 64


    TY 2020 OtherIncreasesSchedule
    Name:
    THE THEODORE H BARTH FOUNDATION INC
    EIN:
    13-6103401
    Description Amount
    NON-DIVIDEND DISTRIBUTIONS 12,970


    TY 2020 OtherProfessionalFeesSchedule
    Name:
    THE THEODORE H BARTH FOUNDATION INC
    EIN:
    13-6103401
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    CUSTODIAN AND INVESTMENT ADVISORY FEES 157,520 157,520   0
    PROFESSIONAL FEES 1,000 0   1,000


    TY 2020 TaxesSchedule
    Name:
    THE THEODORE H BARTH FOUNDATION INC
    EIN:
    13-6103401
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    FOREIGN TAXES WITHHELD 11,216 11,216   0
    PAYROLL TAXES 8,892 1,334   7,558