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
SMBC GLOBAL FOUNDATION INC
 
Number and street (or P.O. box number if mail is not delivered to street address)277 PARK AVENUE 5TH FLOOR 5TH FLO
  Room/suite
City or town, state or province, country, and ZIP or foreign postal code
NEW YORK, NY10172
A Employer identification number

13-3766226
B Telephone number (see instructions)

(212) 224-4440
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$16,767,760J 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... 529,353 529,353  
5a Gross rents............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10 285,826
b Gross sales price for all assets on line 6a 2,033,142
7 Capital gain net income (from Part IV, line 2)... 285,826
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........ 815,179 815,179  
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc. 0 0   0
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 28,848 2,885   25,963
c Other professional fees (attach schedule).... Click to see attachment 307,485 55,387   252,098
17 Interest...............        
18 Taxes (attach schedule) (see instructions)... Click to see attachment 10,521 0   0
19 Depreciation (attach schedule) and depletion...      
20 Occupancy..............        
21 Travel, conferences, and meetings.......        
22 Printing and publications..........        
23 Other expenses (attach schedule)....... Click to see attachment 4,699 0   4,699
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 351,553 58,272   282,760
25 Contributions, gifts, grants paid....... 514,380 514,380
26 Total expenses and disbursements. Add lines 24 and 25 865,933 58,272   797,140
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements -50,754
b Net investment income (if negative, enter -0-) 756,907
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............. 170,201 113,041 113,041
2 Savings and temporary cash investments.........      
3 Accounts receivable bullet14,010
Less: allowance for doubtful accounts bullet     14,010 14,010
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..........   8,250 8,250
10a Investments—U.S. and state government obligations (attach schedule)      
b Investments—corporate stock (attach schedule)....... 8,142,548 Click to see attachment9,502,683 9,502,683
c Investments—corporate bonds (attach schedule)....... 7,381,665 Click to see attachment7,129,776 7,129,776
11 Investments—land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
12 Investments—mortgage loans.............      
13 Investments—other (attach schedule)..........      
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) 15,694,414 16,767,760 16,767,760
Liabilities 17 Accounts payable and accrued expenses.......... 27,647 31,305
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)......... 27,647 31,305
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........... 15,666,767 16,736,455
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)..... 15,666,767 16,736,455
30 Total liabilities and net assets/fund balances (see instructions). 15,694,414 16,767,760
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
15,666,767
2
Enter amount from Part I, line 27a .....................
2
-50,754
3
Other increases not included in line 2 (itemize) bulletClick to see attachment
3
1,120,442
4
Add lines 1, 2, and 3 ..........................
4
16,736,455
5
Decreases not included in line 2 (itemize) bullet
5
0
6
Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 29 .
6
16,736,455
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 VANGUARD FUNDS P    
b
c
d
e
(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 2,033,142   1,747,316 285,826
b
c
d
e
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       285,826
b
c
d
e
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 2 285,826
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 10,521
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 10,521
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 10,521
6 Credits/Payments:
a 2020 estimated tax payments and 2019 overpayment credited to 2020 6a 7,516
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 7,516
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 3,005
10 Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid...Bullet 10  
11 Enter the amount of line 10 to be: Credited to 2021 estimated taxBullet   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$ 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, DE
    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 addressbulletWWW.SMBCGROUP.COM
    14
    The books are in care ofbulletOSAMU YAGI Telephone no.bullet (212) 224-4915

    Located atbulletSMBC 277 PARK AVENUENYNY ZIP+4bullet10172
    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
    Yes
     
    .........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). Click to see attachment
    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
    DAVID STOMSKI ASSISTANT TREASURER
    0.50     		0 0 0
    C/O SUMITOMO MITSUI BANKING CORP
    277 PARK AVENUE
    NEW YORK,NY10172
    HIRONORI SHIMOJIMA OUTGOING TREASURER 09/20
    0.50     		0 0 0
    C/O SUMITOMO MITSUI BANKING CORP
    277 PARK AVENUE
    NEW YORK,NY10172
    HOWARD TIEGEL DIRECTOR
    0.50     		0 0 0
    C/O SUMITOMO MITSUI BANKING CORP
    277 PARK AVENUE
    NEW YORK,NY10172
    JANE HUTTA SECRETARY
    1.00     		0 0 0
    C/O SUMITOMO MITSUI BANKING CORP
    277 PARK AVENUE
    NEW YORK,NY10172
    NATSUHIRO SAMEJIMA DIRECTOR
    0.50     		0 0 0
    C/O SUMITOMO MITSUI BANKING CORP
    277 PARK AVENUE
    NEW YORK,NY10172
    OSAMU YAGI TREASURER
    0.50     		0 0 0
    C/O SUMITOMO MITSUI BANKING CORP
    277 PARK AVENUE
    NEW YORK,NY10172
    RYOJI SATO DIRECTOR/PRESIDENT
    0.50     		0 0 0
    C/O SUMITOMO MITSUI BANKING CORP
    277 PARK AVENUE
    NEW YORK,NY10172
    WILLIAM HANEY DIRECTOR
    0.50     		0 0 0
    C/O SUMITOMO MITSUI BANKING CORP
    277 PARK AVENUE
    NEW YORK,NY10172
    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
    NONE
    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  
    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.........................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
    15,161,052
    b
    Average of monthly cash balances.......................
    1b
    275,650
    c
    Fair market value of all other assets (see instructions)................
    1c
    0
    d
    Total (add lines 1a, b, and c).........................
    1d
    15,436,702
    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
    15,436,702
    4
    Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
    instructions) .............................
    4
    231,551
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
    15,205,151
    6
    Minimum investment return. Enter 5% of line 5..................
    6
    760,258
    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
    760,258
    2a
    Tax on investment income for 2020 from Part VI, line 5......
    2a
    10,521
    b
    Income tax for 2020. (This does not include the tax from Part VI.)...
    2b
     
    c
    Add lines 2a and 2b............................
    2c
    10,521
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
    749,737
    4
    Recoveries of amounts treated as qualifying distributions................
    4
    0
    5
    Add lines 3 and 4............................
    5
    749,737
    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
    749,737
    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
    797,140
    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
    797,140
    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
    797,140
    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 7 749,737
    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......  
    b From 2016......  
    c From 2017......  
    d From 2018...... 22,456
    e From 2019...... 34,015
    fTotal of lines 3a through e........ 56,471
    4Qualifying distributions for 2020 from Part
    XII, line 4: bullet$ 797,140
    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..... 749,737
    e Remaining amount distributed out of corpus 47,403
    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 5 103,874
    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) ...     		0
    9Excess distributions carryover to 2021.
    Subtract lines 7 and 8 from line 6a ......     		103,874
    10 Analysis of line 9:
    a Excess from 2016....  
    b Excess from 2017....  
    c Excess from 2018.... 22,456
    d Excess from 2019.... 34,015
    e Excess from 2020.... 47,403
    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:
    PRESIDENT SMBC GLOBAL FOUNDATIONINC
    277 PARK AVENUE
    NEW YORK,NY10172
    (212) 224-4440
    bThe form in which applications should be submitted and information and materials they should include:
    THERE IS NO REQUIRED FORM IN WHICH APPLICATIONS FOR SUCH GRANTS SHOULD BE SUBMITTED. GRANT REQUESTS SHOULD INCLUDE THE FOLLOWING INFORMATION: A DESCRIPTION OF THE ORGANIZATION, ITS HISTORY AND OVERALL PURPOSES; THE SPECIFIC PURPOSE FOR THE GRANT REQUEST, EXPLANATION OF NEED AND AMOUNT OF CASH REQUESTED; CURRENT FINANCIAL STATEMENTS, AND A DETAILED BUDGET SHOWING HOW THE GRANT WOULD BE USED; SOURCES AND STATUS OF OTHER FUNDING; LISTS OF KEY PERSONNEL AND QUALIFICATIONS OF THE ORGANIZATION'S STAFF; AND EVIDENCE OF THE ORGANIZATION'S TAX-EXEMPT STATUS.
    cAny submission deadlines:
    THERE ARE NO SUBMISSION DEADLINES.
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    SMBC GLOBAL FOUNDATION, INC. DOES NOT RESTRICT GRANTS BY GEOGRAPHICAL AREAS. THE FOUNDATION ONLY GIVES TO INSTITUTIONS WITHIN THE UNITED STATES WHICH ARE TAX-EXEMPT UNDER SECTION 501(C)(3) OF THE U.S. INTERNAL REVENUE CODE, AND ONLY FOR 501(C)(3) PURPOSES OUTSIDE THE UNITED STATES. IT PROVIDES GRANTS TO PROGRAMS THAT PROVIDE SCHOLARSHIPS AND OTHER EDUCATIONAL ASSISTANCE TO AID DESERVING INDIVIDUALS IN FURTHERING THEIR EDUCATIONAL GOALS; TO PROVIDE FINANCIAL ASSISTANCE TO SCHOOLS, COLLEGES, UNIVERSITIES AND OTHER EDUCATIONAL ORGANIZATIONS; TO ASSIST THEM IN CARRYING OUT THEIR EDUCATIONAL ACTIVITIES; TO AID COMMUNITIES IN MEETING CREDIT NEEDS; TO ASSIST ORGANIZATIONS DEDICATED TO PUBLIC HEALTH; TO ASSIST ORGANIZATIONS COMMITTED TO COMMUNITY SERVICE AND TO THE PROVISION OF SOCIAL SERVICES TO THOSE IN NEED, AND TO ENCOURAGE INDIVIDUALS TO SERVE THEIR COMMUNITY; AND TO PROMOTE THE ARTS BY PROVIDING FINANCIAL ASSISTANCE TO ORGANIZATIONS DEDICATED TO ADVANCING CULTURE AND THE ARTS.
    aThe name, address, and telephone number or e-mail address of the person to whom applications should be addressed:
    PRESIDENT SMBC GLOBAL FOUNDATIONINC
    277 PARK AVENUE
    NEW YORK,NY10172
    (212) 224-4440
    bThe form in which applications should be submitted and information and materials they should include:
    A REGISTRATION FORM IS REQUIRED. THERE ARE TWO PARTS TO THE REGISTRATION FORM. THE FIRST PART IS COMPLETED BY THE EMPLOYEE NOTIFYING THE FOUNDATION OF THE AMOUNT OF THE DONATION, THE NAME OF THE 501(C)(3) CHARITABLE ORGANIZATION AND THE TAX DEDUCTIBLE PORTION OF THE DONATION. THE FORM IS THEN MAILED TO THE ORGANIZATION. THE SECOND PART IS COMPLETED BY CHARITABLE ORGANIZATION THAT RECEIVED THE DONATION. THE CHARITABLE ORGANIZATION CONFIRMS THAT IT RECEIVED THE EMPLOYEE'S DONATION AND RETURNS IT TO THE FOUNDATION. THE RECIPIENT CHARITY MUST HAVE TAX-EXEMPT STATUS AS RECOGNIZED BY THE IRC SECTION 501(C)(3) IN ORDER TO BE ELIGIBLE TO RECEIVE A MATCHING DONATION AND MUST PROVIDE PROOF OF TAX-EXEMPT STATUS.
    cAny submission deadlines:
    SET ANNUALLY IN DECEMBER TO BE MADE WITHIN THE CALENDAR YEAR.
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    THE MAXIMUM AMOUNT DONATED PER EMPLOYEE PER YEAR IS LIMITED TO $1,000, AND THE MINIMUM FOR MATCHING FUNDS IS $25. IN 2020, THE FOUNDATION MADE DONATIONS TOTALING $56,400 RELATING TO THIS PROGRAM. THE FOUNDATION RESERVES THE RIGHT TO REFUSE TO MATCH EMPLOYEE DONATIONS GIVEN TO A NON 501(C)(3) TAX-EXEMPT CHARITIES, ADVOCACY, RELIGIOUS AND POLITICAL GROUPS, OR ORGANIZATIONS THAT SUPPORT BIASED OR DISCRIMINATORY POLICIES. PAYMENTS TO AN ORGANIZATION OR INSTITUTION THAT ARE MADE IN CONSEQUENCE OF, OR LEAD TO, A DIRECT MATERIAL BENEFIT (SUCH AS GOODS AND SERVICES OF MORE THAN A NOMINAL VALUE) TO THE DONOR OR A MEMBER OF HIS OR HER FAMILY, OR AN INDIVIDUAL DESIGNATED BY THE DONOR, ARE NOT ELIGIBLE TO BE MATCHED BY GRANTS FROM THE FOUNDATION.
    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
    AMERICAN BALLET THEATRE
    890 BROADWAY
    NEW YORK,NY10003     		  PC IN SUPPORT OF ITS ART AND CULTURAL ACTIVITIES 600
    AMERICAN HEART ASSOCIATION
    NATIONAL CENTER 7272 GREENVILLE
    AVENUE
    DALLAS,TX75231     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 103
    AMERICARES (COVID RESPONSE FUND)
    88 HAMILTON AVE
    STAMFORD,CT06902     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 10,000
    ANCHOR HOUSE FOUNDATION INC
    PO BOX 2357 TRENTON
    TRENTON,NJ08607     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 500
    BAL JAGAT - CHILDREN'S WORLD INC
    5199 E PACIFIC COAST HIGHWAY SUITE
    204
    LONG BEACH,CA90804     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 100
    BARUCH COLLEGE FUND
    ONE BARNARD BRANCH WAY BOX A 1603
    NEW YORK,NY10010     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 50
    BEST FRIENDS ANIMAL SOCIETY
    5001 ANGEL CANYON ROAD
    KANAB,UT84741     		  PC IN SUPPORT OF PROTECTING NATURAL AREAS AND WILD POPULATIONS OF PLANTS AND ANIMALS. 100
    BLOOM MARIN
    1557 FOURTH STREET
    SAN RAFED,CA94901     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 1,000
    BOYLAN CENTRAL CATHOLIC HIGH SCHOOL
    400 STREET FRANSIC DRIVE
    ROCKFORD,IL61103     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 1,000
    BOYS AND GIRLS CLUB NORTHERN WESTCHESTER
    351 MAIN ST
    MT KISCO,NY10549     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 500
    BREAK THE SILENCE AGAINST DOMESTIC VIOLENCE
    530 COMMUNICATION CIRCLE
    COLORADO SPRINGS,CO80905     		  PC IN SUPPORT OF MEETING HUMAN NEEDS WITHOUT DISCRIMINATION 25
    BULGARIAN CHILDREN'S CHORUS AND SCHOOL GERGANA
    1546 MADISON AVENUE APT 1C
    NEW YORK,NY10029     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 1,000
    CARDINAL MCCLOSKEY COMMUNITY SERVICE
    115 EAST STEVENS AVENUE
    VALHALLA,NY10595     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 100
    CARLETON COLLEGE
    1 N COLLEGE ST
    NORTHFIELD,MN55057     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 1,000
    CATALYST INC
    120 WALL STREET 15TH FLOOR
    NEW YORK,NY10005     		  PC IN SUPPORT OF THE ORGANIZATION'S GENERAL OPERATION 2021 20,000
    CEKPET LTD
    2381 BRAGG STREET 1ST FLOOR
    BROOKLYN,NY11229     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 1,000
    CITY HARVEST (COVID RESPONSE FUND)
    6 EAST 32ND STREET 5TH FLOOR
    NEW YORK,NY10016     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 25,000
    CITY HARVEST INC
    6 EAST 32ND STREET 5TH FLOOR
    NEWYORK,NY10016     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 360
    CITY PARK FOUNDATION
    850 FIFTH AVENUE
    NEW YORK,NY10065     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 1,075
    COLUMBIA UNIVERSITY
    COLUMBIA BUSSINERSS SCHOOL URIS
    HALL 3022 BROADWAY ROOM 2M9
    NEW YORK,NY10027     		  PC IN SUPPORT OF THE EDUCATIONAL AND CULTURAL ACTIVITIES OF THE CENTER ON JAPANESE ECONOMY AND BUSINESS 50,000
    CORNELL UNIVERSITY
    130 E SENECA STREET SUITE 400
    ITHACA,NY14850     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 500
    DELBARTON SCHOOL
    230 MENDHAM ROAD
    MORRISTOWN,NJ07960     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 1,000
    DIGNITY HEALTH FOUNDATION (COVID RESPONSE FUND)
    185 BERRY STREET SUITE 300
    SAN FRANCISCO,CA94107     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 10,000
    DIRECT RELIEF
    6100 WALLACE BECKNELL ROAD
    SANTA BARBARA,CA93117     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 50
    DIRECT RELIEF (COVID RESPONSE FUND)
    6100 WALLACE BECKNELL ROAD
    SANTA BARBARA,CA93117     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 25,000
    FEEDING AMERICA
    35 EAST WACKER DRIVE SUITE 2000
    CHICAGO,IL60601     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 200
    FEEDING AMERICA (COVID RESPONSE FUND)
    35 EAST WACKER DRIVE SUITE 2000
    CHICAGO,IL60601     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 10,000
    FOOD BANK FOR NEW YORK CITY
    39 BROADWAY 10TH FLOOR
    NEW YORK,NY10006     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 750
    FOODBANK NYC
    39 BROADWAY 10TH FLOOR
    NEW YORK,NY10006     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 100
    FORDHAM PREPARATORY SCHOOL
    441 E FORDHAM RD
    THE BRONX,NY10458     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 250
    FRIENDS AND FAMILY OF PS11 PS-11PTA
    320 W 21ST STREET
    NEW YORK,NY10011     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 1,000
    HAMILTON MADISON HOUSE
    253 SOUTH STREET
    NEW YORK,NY10002     		  PC IN SUPPORT OF THE ORGANIZATION'S GENERAL OPERATION 10,000
    HEALTH SCIENCES UNIVERSITY
    450 CLARKSON AVE BOX 93 ATTN
    NATASHA EDWARDS
    BROOKLYN,NY11203     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 250
    HITOTSUBASHI UNIVERSITY
    2-1 NAKA KUNITACHI-SHI
    TOKYO    
    JA     		  NC IN SUPPORT OF THE HITOTSUBASHI UNIVERSITY FUND 20,479
    HLAA WALK4HEARING
    6116 EXECUTIVE BLVD SUITE 320
    ROCKVILLE,MD20852     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 100
    HUAXIA CHINESE SCHOOL NY
    POBOX 1236
    SCARSDALE,NY10583     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 100
    JCC FUND JCCI AND NIPPON CLUB'S ANNUAL MUSIC & DINNER CRUISE - PS 147 B
    145 WEST 57TH STREET
    NEW YORK,NY10019     		  PC IN SUPPORT OF THE ORGANIZATION'S GENERAL OPERATION OF P.S. 147 BROOKLYN 2,500
    JDRF JUVENILE DIABETES RESEARCH FDN INTL
    200 VESEY STREET 28TH FLOOR
    NEW YORK,NY10281     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 650
    JEI (JAPANESE EDUCATIONAL INSTITUTION) (ANNUAL DONATION)
    56 HARRISON STREET SUITE 505
    NEW ROCHELLE,NY10801     		  PC IN SUPPORT OF MAINTAINING THE QUALITY OF JAPANESE EDUCATION 20,000
    JEI (JAPANESE EDUCATIONAL INSTITUTION)(SCHOLARSHIP)
    56 HARRISON STREET SUITE 505
    NEW ROCHELLE,NY10801     		  PC IN SUPPORT OF MAINTAINING THE QUALITY OF JAPANESE EDUCATION 10,000
    LEARNINGSPRING SCHOOL
    247 EAST 20 STREET
    NEW YORK,NY10003     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 1,000
    LYCEE FRANCAIS DE NY
    505 EAST 75 STREET
    NEW YORK,NY10021     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 500
    MALOTO INC
    21 W 46TH ST SUITE 1408
    NEW YORK,NY10036     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 475
    MEMORIAL SLOAN KETTERING CANCER CENTER
    1275 YORK AVENUE
    NEW YORK,NY10065     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 100
    MEMORIAL SLOAN KETTERING CANCER CENTER
    1275 YORK AVENUE
    NEW YORK,NY10065     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 100
    MILLENNIUM TRIBECA HIGH SCHOOL PARENTS ASSOCIATION
    75 BROAD ST FL 13
    NEW YORK,NY10004     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 300
    MTC (FALL BENEFIT )
    311 WEST 43RD ST 8TH FL
    NEW YORK,NY10036     		  PC IN SUPPORT OF MTC'S 2020 ACTIVITIES 30,000
    MTC (SPRING GALA )
    311 WEST 43RD ST 8TH FL
    NEW YORK,NY10036     		  PC IN SUPPORT OF MTC'S 2020 ACTIVITIES 50,000
    NAACP EMPOWERMENT PROGRAMS
    4805 MT HOPE DRIVE
    BALTIMORE,MD21215     		  PC IN SUPPORT OF MEETING HUMAN NEEDS WITHOUT DISCRIMINATION 17,855
    NAACP EMPOWERMENT PROGRAMS
    4805 MT HOPE DRIVE
    BALTIMORE,MD21215     		  PC IN SUPPORT OF MEETING HUMAN NEEDS WITHOUT DISCRIMINATION 15,000
    NAACP LEGAL DEFENSE AND EDUCATIONAL FUND INC
    40 RECTOR STREET 5
    NEW YORK,NY10006     		  PC IN SUPPORT OF MEETING HUMAN NEEDS WITHOUT DISCRIMINATION 1,000
    NATIONAL PARKS FOUNDATION
    1110 VERMONT NW SUITE 200
    WASHINGTON,DC20005     		  PC IN SUPPORT OF PROTECTING NATURAL AREAS AND WILD POPULATIONS OF PLANTS AND ANIMALS. 100
    NEW YORK CARES
    65 BROADWAY 19TH FLOOR
    NEW YORK,NY10006     		  PC IN SUPPORT OF RELIEF EFFORTS AND PROGRAMS IN 2021-2022 25,000
    NYU LANGONE HEALTH
    1 PARK AVENUE 5TH FLOOR
    NEW YORK,NY10016     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 50
    PARENT TEACHER ASSOCIATION OF TOWNSEND HARRIS HIGH SCHOOL
    149-11 MELBOURNE AVE
    QUEENS,NY11367     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 200
    PARENTS OF PS334 INC
    100 W 77TH ST
    NEW YORK,NY10024     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 1,000
    PROCTOR ACADEMY
    204 MAIN STREET PO BOX 500
    ANDOVER,NH03216     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 1,000
    PROMYS FOUNDATION
    PO BOX 115502
    BOSTON,MA02215     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 300
    PS 321 PARENT TEACHER ASSOCIATION
    180 7TH AVENUE
    BROOKLYN,NY11215     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 870
    ROCHESTER AREA COMMUNITY FOUNDATION
    500 EAST AVENUE
    ROCHESTER,NY14607     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 500
    RONALD MCDONALD HOUSE NEW YORK
    405 EAST 73RD STREET
    NEW YORK,NY10021     		  PC IN SUPPORT OF THE ORGANIZATION'S GENERAL OPERATION 50,000
    SANCTUARY FOR FAMILIES
    PO BOX 1406 WALL STREET STATION
    NEW YORK,NY10268     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 1,000
    SAVE THE CHILDREN FEDERATION INC
    501 KING HIGHWAY EAST STE 400
    FAIRFIELD,CT06825     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 1,000
    ST HILDA'S AND ST HUGH'S SCHOOL
    619 WEST 114TH STREET
    NEW YORK,NY10025     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 1,000
    ST BENEDICT'S PREPARATORY SCHOOL
    520 DR MARTIN LUTHER KING JR BLVD
    NEWARK,NJ07102     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 1,000
    ST BERNARD SCHOOL
    4 EAST 98TH STREET
    NEW YORK,NY10029     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 100
    ST JUDE CHILDREN'S RESEARCH HOSPITAL
    501 ST JUDE PLACE
    MEMPHIS,TN38105     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 850
    ST MARK'S SCHOOL
    25 MARLBORO ROAD
    SOUTHBOROUGH,MA01772     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 100
    TABLE FOR TWO USA (2021 SPONSORSHIP)
    PO BOX 1103
    NEW YORK,NY10163     		  PC IN SUPPORT OF THE ORGANIZATION'S GENERAL OPERATION 2021 10,000
    THE BAIL PROJECT
    PO BOX 750
    VENICE,CA90294     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 101
    THE BREAST CANCER RESEARCH FOUNDATION
    28 WEST 44TH STREET SUITE 609
    NEW YORK,NY10036     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 100
    THE CHAPIN SCHOOL LTD
    100 EAST END AVENUE
    NEW YORK,NY10028     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 400
    THE ELEPHANT SANCTUARY
    PO BOX 397
    HOHENWALD,TN38462     		  PC IN SUPPORT OF PROTECTING NATURAL AREAS AND WILD POPULATIONS OF PLANTS AND ANIMALS. 100
    THE FLOATING HOSPITAL FOUNDATION
    GRAND CENTRAL STATION PO BOX 3391
    ATTN SAMANTHA LAMONT
    NEW YORK,NY10163     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 250
    THE HELLENIC INITIATIVE
    135 E 57TH STREET 14TH FLOOR
    NEW YORK,NY10022     		  PC IN SUPPORT OF THE ORGANIZATION'S GENERAL OPERATION 25,000
    THE HUMANE SOCIETY OF THE UNITED STATES
    2100 L ST NW
    WASHINGTON,DC20037     		  PC IN SUPPORT OF PROTECTING NATURAL AREAS AND WILD POPULATIONS OF PLANTS AND ANIMALS. 150
    THE KOREAN AMERICAN COMMUNITY FOUNDATION (KACF)
    135 EAST 64 STREET
    NEW YORK,NY10065     		  PC IN SUPPORT OF MEETING HUMAN NEEDS WITHOUT DISCRIMINATION 1,075
    THE NATURE CONSERVANCY
    4245 NORTH FAIRFAX DRIVE
    ARLINGTON,VA22203     		  PC IN SUPPORT OF PROTECTING NATURAL AREAS AND WILD POPULATIONS OF PLANTS AND ANIMALS. 412
    THE NOGUCHI MUSEUM
    32-37 VERNON BOULEVARD
    LONG ISLAND CITY,NY11106     		  PC IN SUPPORT FOR THE ORGANIZATION'S ARTS AND EDUCATIONAL ACTIVITIES 10,000
    THE PENNSYLVANIA STATE UNIVERSITY
    2583 GATEWAY DRIVE SUITE 130
    STATE COLLAGE,PA16801     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 1,000
    THE SALVATION ARMY
    440 WEST NYACK ROAD
    WEST NYACK,NY10994     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 50
    THE SPENCE SCHOOL
    22 E 91ST ST
    NEW YORK,NY10128     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 500
    THE UNDERDOG PROJECT
    4409 ELDORADO DRIVE
    PLANO,TX75093     		  PC IN SUPPORT OF PROTECTING NATURAL AREAS AND WILD POPULATIONS OF PLANTS AND ANIMALS. 900
    THE US-ASIA TECHNOLOGY MANAGEMENT CENTER -STANFORD UNIVERSITY
    PO BOX 20466
    STANFORD,CA94309     		  PC IN SUPPORT FOR THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 30,000
    TIDES CENTERCOMMUNITY JUSTICE EXCHANGE
    1012 TORNEY AVENUE PO BOX 399385
    SAN FRANCISCO,CA94139     		  PC IN SUPPORT OF MEETING HUMAN NEEDS WITHOUT DISCRIMINATION 50
    TRUSTEES OF PRINCETON UNIVERSITY
    1 NASSAU HALL
    PRINCETON,NJ08544     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 50
    UNBOUND
    1 ELMWOOD AVE
    KANSAS CITY,KS66103     		  PC IN SUPPORT OF MEETING HUMAN NEEDS WITHOUT DISCRIMINATION 812
    UNIVERSITY OF DENVER COLORADO SEMINARY
    2601 E COLORADO AVE FLR 4
    DENVER,CO80208     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 100
    UNIVERSITY OF MICHIGAN
    3003 SOUTH STATE STREET SUITE 9000
    ANN ARBOR,MI48109     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 1,000
    USTC ALUMNI ASSOCIATION IN GREAT NEW YORK INC
    322 WEST 52ND STREET 2291
    NEW YORK,NY10019     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 1,000
    VALPARAISO UNIVERSITY
    1700 CAMPUS DRIVE
    VALPARAISO,IN46383     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 500
    VOLUNTEERS OF AMERICA-GREATER NEW YORK
    135 WEST 50TH STREET 9TH FLOOR
    NEW YORK,NY10020     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 3,067
    WEST POINT ASSOCIATION OF GRADUATES
    698 MILLS ROAD
    WEST POINT,NY10996     		  PC IN SUPPORT OF THE ORGANIZATION'S EDUCATIONAL ACTIVITIES 622
    WILDLIFE CONSERVATION SOCIETY (BRONX)
    2300 SOUTHERN BLVD
    BRONX,NY10460     		  PC IN SUPPORT OF PROTECTING NATURAL AREAS AND WILD POPULATIONS OF PLANTS AND ANIMALS. 100
    WORLD WILD LIFE FUND
    1250 24TH STREET NW
    WASHINGTON,DC20037     		  PC IN SUPPORT OF PROTECTING NATURAL AREAS AND WILD POPULATIONS OF PLANTS AND ANIMALS. 100
    WORLD VISION INC
    PO BOX 9716
    FEDERAL WAY,WA98063     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 39
    WOUNDED WARRIOR PROJECT
    4899 BELFORT ROAD SUITE 300
    JACKSONVILLE,FL32256     		  PC IN SUPPORT OF SOCIAL SERVICE / HEALTH AND WELFARE SERVICES 60
    Total .................................bullet 3a 514,380
    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....     14 529,353  
    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 ............     		    18 285,826  
    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).. 0 815,179 0
    13Total. Add line 12, columns (b), (d), and (e)..................
    13
    815,179
    (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:
    SMBC GLOBAL FOUNDATION INC
    EIN:
    13-3766226
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    ACCOUNTING FEES 28,848 2,885   25,963

    Note: To capture the full content of this document, please select landscape mode (11" x 8.5") when printing.

    TY 2020 ExpenditureResponsibilityStmt
    Name:
    SMBC GLOBAL FOUNDATION INC
    EIN:
    13-3766226
    Grantee's Name Grantee's Address Grant Date Grant Amount Grant Purpose Amount Expended By Grantee Any Diversion By Grantee? Dates of Reports By Grantee Date of Verification Results of Verification
    HITOTSUBASHI UNIVERSITY
          		2-1 NAKA KUNITACHI- SHI
    TOKYO   186-8601
    JA     		2020-09-14 20,479 IN SUPPORT OF THE HITOTSUBASHI UNIVERSITY FUND         THE FOUNDATION HAS NO REASON TO DOUBT THE UNIVERSITY WILL SPEND THE GRANT ON OTHER THAN THE INTENDED PURPOSE. TESTING IS PERFORMED TO ENSURE THE STUDENTS ARE MEETING THE GRANT REQUIREMENTS.

    TY 2020 GeneralExplanationAttachment
    Name:
    SMBC GLOBAL FOUNDATION INC
    EIN:
    13-3766226
    Identifier Return Reference Explanation
      FORM 990 PF, PART XV: ON DECEMBER 12, 2013 THE ORGANIZATION RECIEVED A PRIVATE LETTER RULING FROM THE IRS STATING THAT THE IRS HAS APPROVED THE PROCEDURES THAT THE ORGANIZATION HAS IN PLACE FOR ITS SCHOLARSHIP PROGRAM, AND DETERMINED THAT SUCH EXPENDITURES WILL BE NOT BE CONSIDERED TAXABLE EXPENDITURES. AWARDS MADE UNDER THESE PROCEDURES ARE SCHOLARSHIP OR FELLOWSHIP GRANTS, AND ARE NOT TAXABLE TO THE RECIPIENT IF THEY ARE USED FOR QUALIFIED TUITION AND RELATED EXPENSES.
      FORM 990 PF, PART VII-B, LINE 1A(3): AS A SUBSTANTIAL CONTRIBUTOR, SUMITOMO MISUI BANKING CORPORATION IS A DISQUALIFIED PERSON WITH RESPECT TO THE SMBC GLOBAL FOUNDATION, INC. (THE FOUNDATION) WITHIN THE MEANING OF IRC SECTION 4946(A)(1)(A).SUMITOMO MITSUI BANKING CORPORATION PROVIDES NOMINAL OFFICE SPACE, OFFICE SUPPLIES, AND FURNISHINGS FOR THE USE OF THE FOUNDATION WHOLLY WITHOUT CHARGE TO THE FOUNDATION. THIS ACTIVITY IS A PERMISSIBLE ACTIVITY IN ACCORDANCE WITH TREASURY REGULATION SECTION 53.4941(D)-2(D)(3).SUMITOMO MITSUI BANKING CORPORATION AND ITS WHOLLY-OWNED SUBSIDIARIES ALSO PROVIDE GENERAL BANKING FUNCTIONS TO THE FOUNDATION. THE ACTIVITY IS A PERMISSIBLE ACTIVITY IN ACCORDANCE WITH TREASURY REGULATION SECTION 53.4941(D)-2(C)(4).
      FORM 990 PF, PART VII-B, LINE 1A(4): AS A SUBSTANTIAL CONTRIBUTOR, SUMITOMO MITSUI BANKING CORPORATION IS A DISQUALIFIED PERSON WITH RESPECT TO THE SMBC GLOBAL FOUNDATION, INC. (THE FOUNDATION) WITHIN THE MEANING OF IRC SECTION 4946(A)(1)(A).SUMITOMO MITSUI BANKING CORPORATION PROVIDES, OR ALTERNATIVELY, ENGAGES INDEPENDENT THIRD PARTIES TO PROVIDE, CERTAIN ACCOUNTING, BOOKKEEPING, RECORDKEEPING AND OTHER PERSONAL SERVICES TO THE FOUNDATION, ALL OF WHICH ARE REASONABLE AND NECESSARY TO CARRY OUT THE EXEMPT PURPOSE OF THE FOUNDATION. THE FOUNDATION REIMBURSES SUMITOMO MITSUI BANKING CORPORATION FOR ITS REASONABLE AND CUSTOMARY EXPENSES INCURRED IN PROVIDING THESE SERVICES. THE ACTIVITY IS A PERMISSIBLE ACTIVITY IN ACCORDANCE WITH TREASURY REGULATION 53.4941(D)-3(C).
      FORM 990 PF, PART XV, LINE 2C: THE SUBMISSION DEADLINE FOR A MATCHING CONTRIBUTION TO BE MADE WITHIN THE CALENDAR YEAR IS SET ANNUALLY IN DECEMBER TO ALLOW SUFFICIENT TIME FOR PROCESSING

    TY 2020 InvestmentsCorpBondsSchedule
    Name:
    SMBC GLOBAL FOUNDATION INC
    EIN:
    13-3766226
    Name of Bond End of Year Book Value End of Year Fair Market Value
    VANGUARD - BONDS 7,129,776 7,129,776

    TY 2020 InvestmentsCorpStockSchedule
    Name:
    SMBC GLOBAL FOUNDATION INC
    EIN:
    13-3766226
    Name of Stock End of Year Book Value End of Year Fair Market Value
    VANGUARD - EQUITY 9,502,683 9,502,683

    TY 2020 OtherExpensesSchedule
    Name:
    SMBC GLOBAL FOUNDATION INC
    EIN:
    13-3766226
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    REGISTRATION 1,025 0   1,025
    BOOKS, NEWSPAPERS AND MAGAZINES 158 0   158
    BANK FEE 766 0   766
    IT SUPPORT SERVICES 2,750 0   2,750


    TY 2020 OtherIncreasesSchedule
    Name:
    SMBC GLOBAL FOUNDATION INC
    EIN:
    13-3766226
    Description Amount
    UNREALIZED GAIN ON INVESTMENTS 1,120,442


    TY 2020 OtherProfessionalFeesSchedule
    Name:
    SMBC GLOBAL FOUNDATION INC
    EIN:
    13-3766226
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    INVESTMENT FEE 27,376 27,376   0
    MANAGEMENT SERVICE FEE 280,109 28,011   252,098


    TY 2020 TaxesSchedule
    Name:
    SMBC GLOBAL FOUNDATION INC
    EIN:
    13-3766226
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    FEDERAL TAX 10,521 0   0