Form990-PF
Click to see attachment

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
ALLEN-HEATH MEMORIAL FOUNDATION
 
Number and street (or P.O. box number if mail is not delivered to street address)151 N FRANKLIN ST 2500
  Room/suite
City or town, state or province, country, and ZIP or foreign postal code
CHICAGO, IL60606
A Employer identification number

36-3056910
B Telephone number (see instructions)

(312) 704-3712
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$9,728,500J 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... 144,431 144,431  
5a Gross rents............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10 322,143
b Gross sales price for all assets on line 6a 1,768,659
7 Capital gain net income (from Part IV, line 2)... 322,143
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).......      
12 Total. Add lines 1 through 11........ 466,574 466,574  
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc. 19,476     19,476
14 Other employee salaries and wages......        
15 Pension plans, employee benefits.......        
16a Legal fees (attach schedule)......... Click to see attachment 26,150 19,612   6,538
b Accounting fees (attach schedule)....... Click to see attachment 8,650 8,650    
c Other professional fees (attach schedule).... Click to see attachment 37,820 37,820    
17 Interest...............        
18 Taxes (attach schedule) (see instructions)... Click to see attachment 12,684 11,068   1,616
19 Depreciation (attach schedule) and depletion...      
20 Occupancy..............        
21 Travel, conferences, and meetings....... 1,250 1,250    
22 Printing and publications..........        
23 Other expenses (attach schedule).......        
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 106,030 78,400   27,630
25 Contributions, gifts, grants paid....... 322,000 322,000
26 Total expenses and disbursements. Add lines 24 and 25 428,030 78,400   349,630
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements 38,544
b Net investment income (if negative, enter -0-) 388,174
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............. 309,437 92,226 92,226
2 Savings and temporary cash investments.........      
3 Accounts receivable bullet  
Less: allowance for doubtful accounts bullet        
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.......... 433    
10a Investments—U.S. and state government obligations (attach schedule) 398,004    
b Investments—corporate stock (attach schedule)....... 2,278,558 Click to see attachment2,495,694 5,779,857
c Investments—corporate bonds (attach schedule)....... 1,002,241 Click to see attachment1,006,269 1,040,516
11 Investments—land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
12 Investments—mortgage loans.............      
13 Investments—other (attach schedule).......... 2,000,879 Click to see attachment2,433,907 2,815,901
14 Land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
15 Other assets (describe bullet)      
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 5,989,552 6,028,096 9,728,500
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
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...........    
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 5,989,552 6,028,096
29 Total net assets or fund balances (see instructions)..... 5,989,552 6,028,096
30 Total liabilities and net assets/fund balances (see instructions). 5,989,552 6,028,096
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
5,989,552
2
Enter amount from Part I, line 27a .....................
2
38,544
3
Other increases not included in line 2 (itemize) bullet
3
 
4
Add lines 1, 2, and 3 ..........................
4
6,028,096
5
Decreases not included in line 2 (itemize) bullet
5
 
6
Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 29 .
6
6,028,096
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 100 ADOBE SYSTEMS INC P 2014-03-31 2020-10-27
b 20 AMAZON.COM INC P 2011-12-20 2020-10-27
c 50 DEXCOM INC P 2019-04-02 2020-10-27
d 100 MICROSOFT CORP P 2014-07-23 2020-10-27
e 100 VEEVA SYSTEMS INC P 2017-03-08 2020-10-27
2855.511 WILLIAM BLAIR INTERNATIONAL GROWTH I P 2019-01-01 2020-10-27
700 VONTIER ORD P 2019-01-01 2020-10-26
300000 US TREASURY 2.000% 9/30/20 P 2019-06-26 2020-09-30
100000 CELGENE 2.875% 8/15/20 P 2018-04-17 2020-08-17
30 AMAZON.COM INC P 2019-01-01 2020-08-11
100 DEXCOM INC P 2019-04-02 2020-08-11
300 MICROSOFT CORP P 2019-01-01 2020-08-11
150 VEEVA SYSTEMS INC P 2017-03-08 2020-08-11
20 AMAZON.COM INC P 2014-05-21 2020-07-13
75 DEXCOM INC P 2019-04-02 2020-07-13
100 MICROSOFT CORP P 2015-10-14 2020-07-13
100 VEEVA SYSTEMS INC P 2017-03-08 2020-07-13
4811.805 DODGE & COX INTERNATIONAL STOCK P 2017-11-01 2020-07-13
2150 GLACIER BANCORP INC P 2017-10-31 2020-05-11
325 VAIL RESORTS INC P 2018-12-11 2020-05-11
725 WALT DISNEY COMPANY P 2019-08-13 2020-04-24
1300 EOG RESOURCES INC P 2019-01-01 2020-03-26
3812.636 WILLIAM BLAIR EMERG MKTS SM CP GR I P 2017-11-01 2020-03-25
100000 UTC 3.100% 6/1/22 P 2018-09-05 2020-03-04
100000 US TREAS P 2019-12-31 2020-01-30
(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 47,783   6,577 41,206
b 65,525   3,646 61,879
c 19,256   5,802 13,454
d 21,433   4,535 16,898
e 30,266   4,427 25,839
100,000   68,789 31,211
20,780   11,816 8,964
300,000   300,000  
100,000   99,608 392
93,303   8,921 84,382
41,496   11,604 29,892
62,150   13,620 48,530
38,036   6,640 31,396
62,146   6,112 56,034
30,340   8,703 21,637
20,864   4,688 16,176
24,168   4,427 19,741
173,754   225,000 -51,246
82,238   81,520 718
58,032   77,045 -19,013
72,868   99,503 -26,635
49,117   124,625 -75,508
50,708   70,000 -19,292
104,522   98,908 5,614
99,874   100,000 -126
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       41,206
b       61,879
c       13,454
d       16,898
e       25,839
      31,211
      8,964
       
      392
      84,382
      29,892
      48,530
      31,396
      56,034
      21,637
      16,176
      19,741
      -51,246
      718
      -19,013
      -26,635
      -75,508
      -19,292
      5,614
      -126
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 2 322,143
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 5,396
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  
3 Add lines 1 and 2........................... 3 5,396
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 5,396
6 Credits/Payments:
a 2020 estimated tax payments and 2019 overpayment credited to 2020 6a  
b Exempt foreign organizations—tax withheld at source...... 6b  
c Tax paid with application for extension of time to file (Form 8868)... 6c 10,400
d Backup withholding erroneously withheld ........... 6d  
7 Total credits and payments. Add lines 6a through 6d.............. 7 10,400
8 Enter any penalty for underpayment of estimated tax. Check here if Form 2220 is attached. 8  
9 Tax due. If the total of lines 5 and 8 is more than line 7, enter amount owed.......Bullet 9  
10 Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid...Bullet 10 5,004
11 Enter the amount of line 10 to be: Credited to 2021 estimated taxBullet5,004 RefundedBullet 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 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$   (2) On foundation managers.bullet$  
e
Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed
on foundation managers.bullet$  
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)
    bulletIL
    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 ofbulletJAMES HARBERT Telephone no.bullet (312) 704-3712

    Located atbullet151 N FRANKLINCHICAGOIL ZIP+4bullet60606
    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
     
    No
    ........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
    JAMES HARBERT VP and Treas.
    0.00     		0    
    151 N Franklin Ste 2500
    CHICAGO,IL60606
    ALEXANDRA HEATH Director
    0.00     		0    
    3216 West Stephens Place
    Chandler,AZ85226
    ELIZABETH PHILLIPS President
    0.00     		19,476    
    3800 GOAT ROCK RD
    UKIAH,CA95482
    LISA BURMAN Secretary & Dir
    0.00     		0    
    151 N Franklin Ste 2500
    CHICAGO,IL60606
    EDWIN BRZEZINSKI Director
    0.00     		0    
    3216 West Stephens Place
    Chandler,AZ85226
    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  
    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
    NONE
    Total number of others receiving over $50,000 for professional services.............bullet  
    Part IX-A
    Summary of Direct Charitable Activities
    List the foundation’s four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of organizations and other beneficiaries served, conferences convened, research papers produced, etc. Expenses
    1  
    2  
    3  
    4  
    Part IX-B
    Summary of Program-Related Investments (see instructions)
    Describe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2. Amount
    1  
    2  
    All other program-related investments. See instructions.
    3  
    Total. Add lines 1 through 3.........................bullet  
    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
    8,113,296
    b
    Average of monthly cash balances.......................
    1b
    460,210
    c
    Fair market value of all other assets (see instructions)................
    1c
    0
    d
    Total (add lines 1a, b, and c).........................
    1d
    8,573,506
    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
    8,573,506
    4
    Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
    instructions) .............................
    4
    128,603
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
    8,444,903
    6
    Minimum investment return. Enter 5% of line 5..................
    6
    422,245
    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
    422,245
    2a
    Tax on investment income for 2020 from Part VI, line 5......
    2a
    5,396
    b
    Income tax for 2020. (This does not include the tax from Part VI.)...
    2b
     
    c
    Add lines 2a and 2b............................
    2c
    5,396
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
    416,849
    4
    Recoveries of amounts treated as qualifying distributions................
    4
     
    5
    Add lines 3 and 4............................
    5
    416,849
    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
    416,849
    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
    349,630
    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
    349,630
    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
    349,630
    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 7 416,849
    2 Undistributed income, if any, as of the end of 2020:
    a Enter amount for 2019 only....... 302,480
    b Total for prior years:20, 20, 20  
    3 Excess distributions carryover, if any, to 2020:
    a From 2015......  
    b From 2016......  
    c From 2017......  
    d From 2018......  
    e From 2019......  
    fTotal of lines 3a through e........  
    4Qualifying distributions for 2020 from Part
    XII, line 4: bullet$ 349,630
    a Applied to 2019, but not more than line 2a 302,480
    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 2020 distributable amount..... 47,150
    e Remaining amount distributed out of corpus  
    5 Excess distributions carryover applied to 2020.    
    (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  
    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 2019. Subtract line
    4a from line 2a. Taxable amount—see
    instructions .............     		 
    f Undistributed income for 2020. Subtract
    lines 4d and 5 from line 1. This amount must
    be distributed in 2021 ..........     		369,699
    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 2015 not
    applied on line 5 or line 7 (see instructions) ...     		 
    9Excess distributions carryover to 2021.
    Subtract lines 7 and 8 from line 6a ......     		 
    10 Analysis of line 9:
    a Excess from 2016....  
    b Excess from 2017....  
    c Excess from 2018....  
    d Excess from 2019....  
    e Excess from 2020....  
    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 email address of the person to whom applications should be addressed:
    bThe form in which applications should be submitted and information and materials they should include:
    cAny submission deadlines:
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    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
    UKIAH COMMUNITY CONCERT ASSOCIATION
    PO BOX 844
    UKIAH,CA95482     		NONE PC Maintenance of concert grand piano 1,000
    LILLIAN AND MORTIMER VOGEL FOUNDATI
    333 NORTH OAK STREET
    UKIAH,CA95482     		NONE PC SCHOLARSHIPS UNDER THE ALLEGRO MUSIC SCHOLARSHIP FUND 5,000
    ARIZONA EQUINE RESCUE ORGANIZATION
    34522 N SCOTTSDALE RD
    SCOTTSDALE,AZ85266     		NONE PC GENERAL FUND 7,500
    DOVES INCORPORATED
    1366 E THOMAS RD
    PHOENIX,AZ85014     		NONE PC No restrictions 4,000
    HALO HELPING ANIMALS LIVE ON
    5231 N 35TH
    PHOENIX,AZ85014     		NONE PC GENERAL FUND 5,000
    AMERICAN RADIO RELAY LEAGUE INC
    225 MAIN ST
    NEWINGTON,CT06111     		NONE PC SPECTRUM DEFENSE FUND,EDUCATION & TECH. AND SECOND CENTURY FUND. 21,000
    CAREER CONNECTORS NETWORK
    3317 S HIGHLY RD
    GILBERT,AZ85297     		NONE PC No restrictions 7,000
    SEAKAY INC
    P O BOX 78192
    SAN FRANCISCO,CA94107     		NONE PC To expand service territory to rural areas in Mendocino & Lake Counties; replace fire damaged equipment 60,000
    PROJECT SANCTUARY
    P O BOX 132
    PARKER,CO80134     		NONE PC NOT TO BE USED FOR SALARIES AND WAGES 1,000
    SEAKAY INC
    P O BOX 78192
    San Francisco,CA94107     		NONE PC Implementing Mendocino Co, Public Safety Backbone; helipad road improvements. 90,000
    SYMPHONY OF THE SOUTHWEST
    213 N MORRIS
    MESA,AZ85201     		NONE PC Local youth symphony 5,000
    AFTER THE HOMESTRECH-ARIZONA
    3939 W MARIPOSA GRANDE
    GLENDALE,AZ85310     		NONE PC GENERAL FUND 6,000
    ASU FOUNDATION FOR A NEW AMERICAN U
    PO BOX 2260
    TEMPE,AZ85280     		NONE PC ASU GAMMAGE CAPITAL PROJECTS FUND 15,000
    FRIENDS OF PUBLIC RADIO ARIZONA
    2323 W 14TH ST
    TEMPE,AZ85281     		NONE PC LEADERSHIP SOCIETY FOR SUPPORT OF KBAQ PUBLIC RADIO 12,500
    JUNIOR LEAGUE OF PHOENIX
    2505 N CENTRAL AVE
    PHOENIX,AZ85004     		NONE PC No restrictions 2,000
    MENDOCINO COAST BOTANICAL GARDENS C
    18220 CALIFORNIA 1
    FORT BRAGG,CA95437     		NONE PC CURRENT WISH LIST 2,000
    MENDOCINO CO SHERIFF'S SEARCH AND R
    700 S FRANKLIN ST
    FORT BRAGG,CA95437     		NONE PC RESCUE EQUIPMENT PURCHASE 1,000
    HOSPICE OF UKIAH
    620 S DORA 101
    UKIAH,CA95482     		NONE PC No restrictions 5,000
    HOPLAND FIRE PROTECTION DISTRICT
    21 FELIZ CREEK RD
    HOPLAND,CA95449     		NONE PC Purchase of firefighting equipment Not for salaries and wages 10,000
    PLOWSHARES PEACE AND JUSTICE CENTER
    1346 S STATE ST
    UKIAH,CA95482     		NONE PC NOT FOR SALARIES AND WAGES 4,000
    UKIAH VALLEY ADVENTIST HEALTH
    275 HOSPITAL DR
    UKIAH,CA95482     		NONE PC SURGICAL SUITE REFRESH PROJECT & NOT FOR SALARIES & WAGES. 25,000
    ARIZONA ACADEMY OF THE PERFORMING A
    5861 S KYRENE RD
    TEMPE,AZ85283     		NONE PC Academy Drum & Bugle Corps 10,000
    ARIZONA WILDLIFE FEDERATION
    P O BOX 1182
    MESA,AZ85211     		NONE PC NOT TO BE USED FOR WAGES AND SALARIES 8,000
    ARIZONA OPERA COMPANY
    1636 N CENTRAL AVE
    PHOENIX,AZ85004     		NONE PC NO RESTRICTIONS 5,000
    DESERT BOTANICAL GARDEN
    1201 GALVIN PKWY
    PHOENIX,AZ85008     		NONE PC NOT TO BE USED FOR SALARIES AND WAGES 5,000
    SALT RIVER WILD HORSE MANAGEMENT GR
    4610 N 68th ST 477
    SCOTTSDALE,AZ85251     		NONE PC VETERINARY SERVICES ONLY 5,000
    Total .................................bullet 3a 322,000
    bApproved for future payment
    Total .................................bullet 3b  
    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....     14 144,431  
    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.....          
    8 Gain or (loss) from sales of assets other than
    inventory ............     		    18 322,143  
    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)..   466,574  
    13Total. Add line 12, columns (b), (d), and (e)..................
    13
    466,574
    (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: 20011551
    Software Version: 2020v4.0


    Form 990PF - Special Condition Description:
    Special Condition Description

    TY 2020 AccountingFeesSchedule
    Name:
    ALLEN-HEATH MEMORIAL FOUNDATION
    EIN:
    36-3056910
    Software ID:
    20011551
    Software Version:
    2020v4.0
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Boone & Johnson, CPA's 8,650 8,650 0 0

    TY 2020 InvestmentsCorpBondsSchedule
    Name:
    ALLEN-HEATH MEMORIAL FOUNDATION
    EIN:
    36-3056910
    Software ID:
    20011551
    Software Version:
    2020v4.0
    Name of Bond End of Year Book Value End of Year Fair Market Value
    EBAY INC NOTE 99,993 102,926
    APPLE INC NOTE 98,264 100,119
    THERMO FISHER SCI 102,047 105,539
    UNITEDHEALTH GROUP 101,071 104,820
    MICROSOFT CORP NOTE 99,811 104,157
    MCDONALDS CORP MED TERM NT 100,165 106,528
    MARRIOTT INTL 101,637 102,754
    GENERAL MILLS INC NOTE 98,477 103,750
    STARBUCKS CORP NOTE CALL 102,255 105,635
    DISNEY WAT CO NOTE CALL 102,549 104,288

    TY 2020 InvestmentsCorpStockSchedule
    Name:
    ALLEN-HEATH MEMORIAL FOUNDATION
    EIN:
    36-3056910
    Software ID:
    20011551
    Software Version:
    2020v4.0
    Name of Stock End of Year Book Value End of Year Fair Market Value
    APPLE INC 27,429 238,842
    AMAZON.COM INC 12,762 227,985
    COPART INC 98,076 209,963
    MASTERCARD INC-CLASS A 28,752 214,164
    UNION PACIFIC CORP 56,811 187,398
    ADOBE SYSTEMS 28,898 225,054
    MICROSOFT CORP 44,618 222,420
    ZOETIS INC 45,339 200,917
    DANAHER CORP 73,092 222,140
    VERISK ANALYTICS INC 60,969 166,072
    FORTIVE CORP 73,373 123,935
    ACCENTURE PLC CLS 98,173 208,968
    ALIGN TECH INC COM 50,310 280,550
    GUIDEWIRE SOFTWARE INC 38,265 64,365
    INTERCONTINENTIAL EXCH 108,264 210,058
    MCCORMICK & CO INC 67,650 143,400
    SALESFORCE COM INC 41,411 89,012
    VEEVA SYS INC CL A 33,199 204,188
    WATSCO INC COM CL A 114,037 178,295
    WORKDAY INC COM USDO.001 53,513 119,805
    DOLBY LABS INC 73,594 101,987
    POOL CORP 73,512 186,250
    PURE STORAGE 109,881 117,572
    STRYKER CORP 116,572 183,780
    DEXCOM INC 58,019 184,860
    MICROCHIP TECHNOLOGY 95,053 138,110
    PAYPAL HOLDINGS 54,426 140,520
    ROLLINGS INC 58,070 102,559
    ACTIVISION BLIZZARD INC COM 70,132 83,565
    ARISTIA NETWORKS INC COM 85,953 87,171
    CINTAS CORP 106,090 123,711
    ECOLAB INC 95,309 102,771
    MONGODB INC CL A 80,868 143,616
    ROCKWELL AUTOMATION INC COM 106,493 112,865
    SLACK TECHNOLOGIES INC COM CL A 73,986 99,264
    STARBUCKS CORP COM 82,795 133,725

    TY 2020 InvestmentsOtherSchedule2
    Name:
    ALLEN-HEATH MEMORIAL FOUNDATION
    EIN:
    36-3056910
    Software ID:
    20011551
    Software Version:
    2020v4.0
    Category/ Item Listed at Cost or FMV Book Value End of Year Fair Market Value
    WILLIAM BLAIR BOND FD AT COST 997,757 987,237
    CHAMPLAIN SMALL CO AT COST 359,690 521,236
    WM BLAIR INTL GRWTH - BIGIX AT COST 320,143 550,378
    JANUS HENDERSON SHRT DUR INC AT COST 756,317 757,050

    TY 2020 LegalFeesSchedule
    Name:
    ALLEN-HEATH MEMORIAL FOUNDATION
    EIN:
    36-3056910
    Software ID:
    20011551
    Software Version:
    2020v4.0
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Hinshaw & Culbertson LLP 26,150 19,612 0 6,538


    TY 2020 OtherProfessionalFeesSchedule
    Name:
    ALLEN-HEATH MEMORIAL FOUNDATION
    EIN:
    36-3056910
    Software ID:
    20011551
    Software Version:
    2020v4.0
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    William Blair & Company, L.L.C. 37,820 37,820 0 0


    TY 2020 TaxesSchedule
    Name:
    ALLEN-HEATH MEMORIAL FOUNDATION
    EIN:
    36-3056910
    Software ID:
    20011551
    Software Version:
    2020v4.0
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    2019 990 penalty 883 883    
    2019 EXCISE TAX PART VI LN 1 10,170 10,170    
    IL AG 990 15 15    
    PAYROLL TAX EXPENSE 1,616     1,616