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
The Charles A Dana Foundation Incorporated
 
Number and street (or P.O. box number if mail is not delivered to street address)10 Rockefeller Plaza Room 16th Fl
  Room/suite
City or town, state or province, country, and ZIP or foreign postal code
New York, NY10020
A Employer identification number

06-6036761
B Telephone number (see instructions)

(212) 223-4040
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$248,257,333J 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... 698,836 698,836  
5a Gross rents............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10 Click to see attachment 7,415,973
b Gross sales price for all assets on line 6a 56,812,233
7 Capital gain net income (from Part IV, line 2)... 7,415,973
8 Net short-term capital gain.........  
9 Income modifications...........  
10a Gross sales less returns and allowances  
b Less: Cost of goods sold....  
c Gross profit or (loss) (attach schedule).....    
11 Other income (attach schedule)....... Click to see attachment 12,655,038 11,162,177  
12 Total. Add lines 1 through 11........ 20,769,847 19,276,986  
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc. 545,706 57,571   488,135
14 Other employee salaries and wages...... 1,482,779 77,720   1,405,059
15 Pension plans, employee benefits....... -175,054 48,688   888,276
16a Legal fees (attach schedule)......... Click to see attachment 44,361     44,361
b Accounting fees (attach schedule)....... Click to see attachment 60,271 24,108   36,163
c Other professional fees (attach schedule).... Click to see attachment 927,579 612,298   315,281
17 Interest...............        
18 Taxes (attach schedule) (see instructions)... Click to see attachment 377,808      
19 Depreciation (attach schedule) and depletion... Click to see attachment 39,874 3,987  
20 Occupancy.............. 853,674 85,367   837,429
21 Travel, conferences, and meetings....... 9,138     9,138
22 Printing and publications.......... 48,580     48,580
23 Other expenses (attach schedule)....... Click to see attachment 267,742 26,774   153,367
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 4,482,458 936,513   4,225,789
25 Contributions, gifts, grants paid....... 5,078,103 6,226,156
26 Total expenses and disbursements. Add lines 24 and 25 9,560,561 936,513   10,451,945
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements 11,209,286
b Net investment income (if negative, enter -0-) 18,340,473
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............. 5,850,479 14,891,493 14,891,493
2 Savings and temporary cash investments.........      
3 Accounts receivable bullet5,692
Less: allowance for doubtful accounts bullet   1,253 5,692 5,692
4 Pledges receivable bullet  
Less: allowance for doubtful accounts bullet        
5 Grants receivable.................      
6 Receivables due from officers, directors, trustees, and other
disqualified persons (attach schedule) (see instructions).....      
7 Other notes and loans receivable (attach schedule) bullet  
Less: allowance for doubtful accounts bullet        
8 Inventories for sale or use..............      
9 Prepaid expenses and deferred charges..........      
10a Investments—U.S. and state government obligations (attach schedule)      
b Investments—corporate stock (attach schedule)....... 52,351,113 Click to see attachment29,778,341 29,778,341
c Investments—corporate bonds (attach schedule).......      
11 Investments—land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
12 Investments—mortgage loans.............      
13 Investments—other (attach schedule).......... 173,457,457 Click to see attachment203,175,303 203,175,303
14 Land, buildings, and equipment: basis bullet410,438
Less: accumulated depreciation (attach schedule) bullet353,860 56,578 Click to see attachment16,704 16,704
15 Other assets (describe bullet) Click to see attachment541,585 Click to see attachment389,800 Click to see attachment389,800
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 232,258,465 248,257,333 248,257,333
Liabilities 17 Accounts payable and accrued expenses.......... 235,079 273,083
18 Grants payable................. 3,331,054 2,183,001
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) Click to see attachment5,350,818 Click to see attachment4,391,718
23 Total liabilities (add lines 17 through 22)......... 8,916,951 6,847,802
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........... 223,341,514 241,409,531
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)..... 223,341,514 241,409,531
30 Total liabilities and net assets/fund balances (see instructions). 232,258,465 248,257,333
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
223,341,514
2
Enter amount from Part I, line 27a .....................
2
11,209,286
3
Other increases not included in line 2 (itemize) bulletClick to see attachment
3
7,008,731
4
Add lines 1, 2, and 3 ..........................
4
241,559,531
5
Decreases not included in line 2 (itemize) bulletClick to see attachment
5
150,000
6
Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 29 .
6
241,409,531
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 Priince Street Opp Liquidation P    
b Prince Street Inst Liquidation P    
c Wellington Fund Liquidation P    
d King Street Liquidation P    
e Harvest MLP Liquidation P    
TIFF III Liquidation P    
Vanguard Emerging Markets P    
Osterweiss Fund P    
Vanguard Short Term Treas Fund P    
Eagle Mng Acct P    
Harvest MLP Liquidation P    
Misc P    
(e)
Gross sales price 		(f)
Depreciation allowed
(or allowable) 		(g)
Cost or other basis
plus expense of sale 		(h)
Gain or (loss)
(e) plus (f) minus (g)
a 347,634     347,634
b 159,922     159,922
c 6,733,777   4,896,869 1,836,908
d 7,020,829   5,000,000 2,020,829
e 139,053     139,053
11,600     11,600
4,672,021   5,301,734 -629,713
4,900,409   5,417,247 -516,838
18,000,000   17,386,743 613,257
10,956,165   7,915,518 3,040,647
3,474,770   3,477,449 -2,679
    700 -700
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       347,634
b       159,922
c       1,836,908
d       2,020,829
e       139,053
      11,600
      -629,713
      -516,838
      613,257
      3,040,647
      -2,679
      -700
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 7,415,973
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................................ 1 254,933
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........................... 3 254,933
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- ..... 5 254,933
6 Credits/Payments:
a 2020 estimated tax payments and 2019 overpayment credited to 2020 6a 260,240
b Exempt foreign organizations—tax withheld at source...... 6b  
c Tax paid with application for extension of time to file (Form 8868)... 6c  
d Backup withholding erroneously withheld ........... 6d  
7 Total credits and payments. Add lines 6a through 6d.............. Part VI Line 7 - Tax Paid with the Original Return: 260240 7 260,240
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 5,307
11 Enter the amount of line 10 to be: Credited to 2021 estimated taxBullet   RefundedBullet 11 5,307
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
Yes
 
b
If "Yes," has it filed a tax return on Form 990-T for this year?...................
4b
Yes
 
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
     
    No
    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)
    bulletCT, MD, NY
    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
     
     
    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
    Yes
     
    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.dana.org
    14
    The books are in care ofbulletBurton M Mirsky Telephone no.bullet (212) 223-4040

    Located atbullet10 Rockefeller Plaza 16th FlNew YorkNY ZIP+4bullet10020
    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
     
    No
    .........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
    Steven E Hyman Chairman
    002.00     		6,000    
    10 Rockefeller Plaza 16th Fl
    New York,NY10020
    Burton M Mirsky President
    026.00     		460,281 70,937  
    10 Rockefeller Plaza 16th Fl
    New York,NY10020
    Barbara E Gill Exec VP
    003.00     		37,425 9,225  
    10 Rockefeller Plaza 16th Fl
    New York,NY10020
    Charles A Dana III Director
    002.00     		6,000 360  
    10 Rockefeller Plaza 16th Fl
    New York,NY10020
    Edward Blier Director
    002.00     		6,000 945  
    10 Rockefeller Plaza 16th Fl
    New York,NY10020
    Wallace Cook Secretary Director
    002.00     		6,000 745  
    10 Rockefeller Plaza 16th Fl
    New York,NY10020
    Hildegarde Mahoney Director
    002.00     		6,000    
    10 Rockefeller Plaza 16th Fl
    New York,NY10020
    Ann McLaughlin Korologus Director
    002.00     		6,000 1,105  
    10 Rockefeller Plaza 16th Fl
    New York,NY10020
    Herbert J Siegel Director
    002.00     		6,000 235  
    10 Rockefeller Plaza 16th Fl
    New York,NY10020
    Peter Nadosy Director
    002.00     		6,000    
    10 Rockefeller Plaza 16th Fl
    New York,NY10020
    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
    Carolyn Asbury Snr Consultant
    035.00     		213,900 44,023  
    10 Rockefeller Plaza 16th Fl
    New York,NY10020
    James Rutt CIO
    024.00     		195,245 81,664  
    10 Rockefeller Plaza 16th Fl
    New York,NY10020
    Mary Lucas Grants Mgr
    035.00     		121,000 46,521  
    10 Rockefeller Plaza 16th Fl
    New York,NY10020
    Steven Protass Finc Analyst
    032.00     		97,275 48,046  
    10 Rockefeller Plaza 16th Fl
    New York,NY10020
    Patricia Mangini Dir HR
    032.00     		93,000 43,360  
    10 Rockefeller Plaza 16th Fl
    New York,NY10020
    Total number of other employees paid over $50,000...................bullet 7
    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
    Cambridge Assoc Investment Advice 302,812
    125 High Street
    Boston,MA021102112
    Eagle Management Advisors Investment Management 180,369
    700 Commodore Court Unit 2728
    Philadelphia,PA19146
    Spencer Stuart Personnel Search 133,607
    272 Park Ave 32nd Fl
    NY,NY10172
    Wellington Trust Company Investment Management 81,912
    280 Congress Street
    Boston,MA02210
    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 GRANTS ADMININISTRATION (see attached statement) 2,043,470
    2 OUTREACH (see attached statement) 1,163,002
    3 WEBSITE (see attached statement) 1,019,317
    4  
    Part IX-B
    Summary of Program-Related Investments (see instructions)
    Describe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2. Amount
    1 None  
    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
    63,330,162
    b
    Average of monthly cash balances.......................
    1b
    10,499,036
    c
    Fair market value of all other assets (see instructions)................
    1c
    158,471,120
    d
    Total (add lines 1a, b, and c).........................
    1d
    232,300,318
    e
    Reduction claimed for blockage or other factors reported on lines 1a and
    1c (attach detailed explanation) .............
    1e
     
    2
    Acquisition indebtedness applicable to line 1 assets..................
    2
     
    3
    Subtract line 2 from line 1d.........................
    3
    232,300,318
    4
    Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
    instructions) Click to see attachment.............................
    4
    3,484,505
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
    228,815,813
    6
    Minimum investment return. Enter 5% of line 5..................
    6
    11,440,791
    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
    11,440,791
    2a
    Tax on investment income for 2020 from Part VI, line 5......
    2a
    254,933
    b
    Income tax for 2020. (This does not include the tax from Part VI.)...
    2b
    12,743
    c
    Add lines 2a and 2b............................
    2c
    267,676
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
    11,173,115
    4
    Recoveries of amounts treated as qualifying distributions................
    4
     
    5
    Add lines 3 and 4............................
    5
    11,173,115
    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
    11,173,115
    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 Click to see attachment..........
    1a
    10,451,945
    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
    10,451,945
    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
    10,451,945
    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 11,173,115
    2 Undistributed income, if any, as of the end of 2020:
    a Enter amount for 2019 only.......  
    b Total for prior years:20, 20, 20  
    3 Excess distributions carryover, if any, to 2020:
    a From 2015...... 2,809,543
    b From 2016...... 2,405,195
    c From 2017...... 1,937,388
    d From 2018...... 2,923,051
    e From 2019...... 792,285
    fTotal of lines 3a through e........ 10,867,462
    4Qualifying distributions for 2020 from Part
    XII, line 4: bullet$ 10,451,945
    a Applied to 2019, but not more than line 2a  
    b Applied to undistributed income of prior years
    (Election required—see instructions).....     		 
    c Treated as distributions out of corpus (Election
    required—see instructions)........     		 
    d Applied to 2020 distributable amount..... 10,451,945
    e Remaining amount distributed out of corpus  
    5 Excess distributions carryover applied to 2020. 721,170 721,170
    (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 10,146,292
    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 ..........     		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) .......     		 
    8 Excess distributions carryover from 2015 not
    applied on line 5 or line 7 (see instructions) ...     		2,088,373
    9Excess distributions carryover to 2021.
    Subtract lines 7 and 8 from line 6a ......     		8,057,919
    10 Analysis of line 9:
    a Excess from 2016.... 2,405,195
    b Excess from 2017.... 1,937,388
    c Excess from 2018.... 2,923,051
    d Excess from 2019.... 792,285
    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).)
    None
    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.
    None
    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:
    Celina Sooksatan
    10 Rockefeller Plaza
    New York,NY10020
    (212) 223-4040
    csooksatandana.org
    bThe form in which applications should be submitted and information and materials they should include:
    A letter, fully describing the proposed request, including the proposed funding.
    cAny submission deadlines:
    None
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    Grants are generally made under the Fndns neuroscience and society programs and Director grant rules. Recipients must be qualified orgs under the US tax laws.
    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
    Baylor College of Medicine
    Available Upon Request
    Houston,TX77041     		  PC Research 150,322
    Alvin Ailey American Dance Theatre
    Available Upon Request
    New York,NY10020     		  PC Support 2,500
    Amer Acad of Arts & Sciences
    Available Upon Request
    Cambridge,MA02114     		  PC Support 10,000
    American Repertory Theater
    Available Upon Request
    Cambridge,MA02114     		  PC Support 25,000
    Anderson Ranch Arts Center
    Available Upon Request
    Snowmass Village,CO81611     		  PC Support 20,000
    Animal Medical Center
    Available Upon Request
    New York,NY10020     		  PC Support 25,000
    Art Base
    Available Upon Request
    Basalt,CO81611     		  PC Support 5,000
    Arts Campus at Willits
    Available Upon Request
    Basalt,CO81611     		  PC Support 25,000
    ASPCA
    Available Upon Request
    New York,NY10020     		  PC Support 25,000
    Aspen Music Festival and School
    Available Upon Request
    Aspen,CO81611     		  PC Support 15,000
    Frontotemporal Degeneration
    Available Upon Request
    King of Prussia,PA19400     		  PC Support 10,000
    Bath & Tennis Historic Pres Fnd
    Available Upon Request
    Palm Beach,FL33480     		  POF Support 1,000
    Bay Street Theater
    Available Upon Request
    Sag Harbor,NY10020     		  PC Support 2,500
    Boys' Club of New York
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    Boys & Girls Club of PB County
    Available Upon Request
    West Palm Beach,FL33480     		  PC Support 15,000
    Breast Cancer Research Fnd Inc
    Available Upon Request
    New York,NY10020     		  PC Support 110,000
    Bridgehampton Chamber Music
    Available Upon Request
    New York,NY10020     		  PC Support 2,500
    Brunswick School
    Available Upon Request
    Greenwich,CT06870     		  PC Support 35,000
    Cambridge in America
    Available Upon Request
    New York,NY10020     		  PC Support 25,000
    Central Park Conservancy
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    Citizens Committee for NYC
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    Cold Spring Harbor Laboratory
    Available Upon Request
    Cold Spring Harbor,NY10020     		  PC Support 5,000
    Colorado Mountain College
    Available Upon Request
    Glenwood Springs,CO81611     		  PC Support 25,000
    Columbia Business School
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    Columbia-Dep of Ophthalmology
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    Comm Fnd for PB and Martin Cont
    Available Upon Request
    Palm Beach,FL33480     		  PC Support 2,500
    Concord Museum
    Available Upon Request
    Concord,MA02114     		  PC Support 5,000
    Cooper Union
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    Dana-Farber Cancer Institute
    Available Upon Request
    Boston,MA02114     		  PC Support 5,000
    Dancesport Academy Inc
    Available Upon Request
    West Palm Beach,FL33480     		  PC Support 5,500
    Dartmouth College
    Available Upon Request
    Hanover,NH03748     		  PC Support 5,000
    E Hampton Healthcare Fnd
    Available Upon Request
    East Hampton,NY10020     		  PC Support 5,000
    Foundation Milanollo
    Available Upon Request
    Lausanne    
    SZ     		    Support 5,000
    Friends Academy
    Available Upon Request
    Locust Valley,NY10020     		  PC Support 5,000
    Friends of St Francis Xavier U
    Available Upon Request
    Belmont,MA02114     		  PC Support 25,000
    Greenwich Academy
    Available Upon Request
    Greenwich,CT06870     		  PC Support 30,000
    Guild Hall of East Hampton
    Available Upon Request
    East Hampton,NY10020     		  PC Support 5,000
    Harlem Academy
    Available Upon Request
    New York,NY10020     		  PC Support 30,000
    Harvard Art Museum
    Available Upon Request
    Cambridge,MA02114     		  PC Support 25,000
    Harvard-Mahoney Neuroscience
    Available Upon Request
    Boston,MA02114     		  PC Support 10,000
    Harvard Scholars at Risk
    Available Upon Request
    Cambridge,MA02114     		  PC Support 25,000
    Hospice Fnd of PB County Inc
    Available Upon Request
    Palm Beach,FL33480     		  PC Support 10,000
    Intl Sephardic Education Fnd
    Available Upon Request
    New York,NY10020     		  POF Support 2,500
    IYRS Sch of Tech and Trades
    Available Upon Request
    Newport,RI02840     		  PC Support 10,000
    Weill Med College of Cornell Univ
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    Lincoln Center Theater
    Available Upon Request
    New York,NY10020     		  PC Support 7,500
    Martha Graham Dance Company
    Available Upon Request
    New York,NY10020     		  PC Support 2,500
    Massachusetts General Hospital
    Available Upon Request
    Boston,MA02114     		  PC Support 10,000
    Mayo Clinic
    Available Upon Request
    Rochester,NY10020     		  PC Support 30,000
    Middlebury College
    Available Upon Request
    Middlebury,VT05753     		  PC Support 5,000
    MEII
    Available Upon Request
    Washington,DC20001     		  PC Support 35,000
    Museum of Jewish Heritage
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    National Academy of Medicine
    Available Upon Request
    Washington,DC20001     		  PC Support 15,000
    Newport Hospital Foundation Inc
    Available Upon Request
    Newport,RI02840     		  PC Support 50,000
    Weill Cornell Medical Center
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    New York Presbyterian Hospital
    Available Upon Request
    New York,NY10020     		  PC Support 30,000
    New York Stem Cell Foundation
    Available Upon Request
    New York,NY10020     		  POF Support 10,000
    Palm Beach Civic Association
    Available Upon Request
    Palm Beach,FL33480     		  PC Support 6,000
    Palm Beach Police Foundation Inc
    Available Upon Request
    Palm Beach,FL33480     		  PC Support 5,000
    Pardee Rand Graduate School
    Available Upon Request
    Santa Monica,CA90291     		  PC Support 25,000
    Penland School of Crafts
    Available Upon Request
    Penland,NC28765     		  PC Support 20,000
    Public Theater
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    Kravis Ctr for the Performing Arts
    Available Upon Request
    West Palm Beach,FL33480     		  PC Support 5,000
    Rehab Ctr for Children and Adults
    Available Upon Request
    Palm Beach,FL33480     		  PC Support 3,000
    Reagan Presidential Fnd
    Available Upon Request
    Simi Valley,CA90291     		  POF Support 10,000
    Rose Island Lighthouse Foundation
    Available Upon Request
    Newport,RI02840     		  POF Support 5,000
    Rosemont College
    Available Upon Request
    Rosemeont,PA19010     		  PC Support 5,000
    Roxbury Latin School
    Available Upon Request
    West Roxbury,MA02114     		  PC Support 25,000
    Sail Newport
    Available Upon Request
    Newport,RI02840     		  PC Support 10,000
    Shinnecock Hills Education Fund
    Available Upon Request
    Southampton,NY10020     		  PC Support 15,000
    Silvercrest Ctr- Nursing & Rehab
    Available Upon Request
    Briarwood,NY10020     		  PC Support 5,000
    Southampton Fresh Air Home
    Available Upon Request
    Southampton,NY10020     		  PC Support 5,000
    Southampton Hospital
    Available Upon Request
    Southampton,NY10020     		  PC Support 10,000
    St Andrew's Preservation Fnd
    Available Upon Request
    Southampton,NY10020     		  POF Support 10,000
    St George's School
    Available Upon Request
    Newport,RI02840     		  PC Support 50,000
    St Michael's Country Day School
    Available Upon Request
    Newport,RI02840     		  PC Support 50,000
    St Thomas More Play Group
    Available Upon Request
    New York,NY10020     		  PC Support 10,000
    Syracuse- Newhouse Sch of Comm
    Available Upon Request
    Syracuse,NY10020     		  PC Support 25,000
    The Aspen Institute
    Available Upon Request
    Washington,DC20001     		  PC Support 15,000
    The Bone Marrow Foundation Inc
    Available Upon Request
    New York,NY10020     		  POF Support 10,000
    The Brearley School
    Available Upon Request
    New York,NY10020     		  PC Support 40,000
    The City College of New York
    Available Upon Request
    New York,NY10020     		  PC Support 7,500
    The Corning Museum of Glass
    Available Upon Request
    Corning,NY10020     		  PC Support 20,000
    The Council on Foreign Relations
    Available Upon Request
    New York,NY10020     		  PC Support 25,000
    The Hotchkiss School
    Available Upon Request
    Salisbury,CT06870     		  PC Support 5,000
    The Nature Conservancy
    Available Upon Request
    New York,NY10020     		  PC Support 50,000
    The Reading Team Inc
    Available Upon Request
    New York,NY10020     		  PC Support 150,000
    The Society of the Four Arts
    Available Upon Request
    Palm Beach,FL33480     		  PC Support 10,000
    The Winsor School
    Available Upon Request
    Boston,MA02114     		  PC Support 25,000
    UJA
    Available Upon Request
    New York,NY10020     		  PC Support 25,000
    University of Virginia
    Available Upon Request
    Charlottesville,VA22901     		  PC Support 25,000
    University of Virginia School of Law
    Available Upon Request
    Charlottesville,VA22901     		  PC Support 25,000
    UrbanGlass
    Available Upon Request
    Brooklyn,NY10020     		  PC Support 20,000
    Wheaton Arts and Cultural Center
    Available Upon Request
    Millville,NJ08332     		  PC Support 20,000
    Williams College
    Available Upon Request
    Williamstown,MA02114     		  PC Support 5,000
    92nd Street Y
    Available Upon Request
    New York,NY10020     		  PC Support 1,500
    Brooklyn Community Bail Fund
    Available Upon Request
    Brooklyn,NY10020     		  PC Support 4,400
    Wang Comm Health Center
    Available Upon Request
    New York,NY10020     		  PC Support 600
    CHS North American Foundation
    Available Upon Request
    New York,NY10020     		  POF Support 8,100
    Cincinnati Shakespeare Company
    Available Upon Request
    Cincinnati,OH45201     		  PC Support 668
    GBS CIDP
    Available Upon Request
    Conshohocken,PA19428     		  PC Support 2,000
    Gilda's Club Westchester
    Available Upon Request
    White Plains,NY10020     		  PC Support 3,000
    Johns Hopkins- Sch of Pub Health
    Available Upon Request
    Baltimore,MD21201     		  PC Support 1,000
    Louis Armstrong House Museum
    Available Upon Request
    Corona,NY10020     		  PC Support 500
    Lupus Research Alliance
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    Museum of Arts and Design
    Available Upon Request
    New York,NY10020     		  PC Support 2,000
    MS Society NYC Southern NY
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    Newport Festivals Foundation Inc
    Available Upon Request
    Essex,MA02114     		  POF Support 1,500
    Northern Light Blue Hill Hospl Fnd
    Available Upon Request
    Blue Hill,ME04614     		  POF support 3,000
    NQAPIA
    Available Upon Request
    New York,NY10020     		  PC Support 7,600
    Philabundance
    Available Upon Request
    Philadelphia,PA19019     		  PC Support 600
    Philadelphia Orchestra
    Available Upon Request
    Philadelphia,PA19019     		  PC Support 2,000
    Play on Philly
    Available Upon Request
    Philadelphia,PA19019     		  PC Support 334
    Riverside Park Conservancy
    Available Upon Request
    New York,NY10020     		  PC Support 1,000
    Rockland Community Foundation
    Available Upon Request
    New York,NY10020     		  POF Support 1,000
    Social Good Fund
    Available Upon Request
    Richmond,CA94530     		  PC Support 6,190
    St Claire of Assisi Church
    Available Upon Request
    Bronx,NY10020     		  PC Support 1,406
    The Brearley School
    Available Upon Request
    New York,NY10020     		  PC Support 500
    College of Physicians of Phila
    Available Upon Request
    Philadelphia,PA19019     		  PC Support 3,334
    Intl Myeloma Foundation
    Available Upon Request
    North Hollywood,CA94530     		  POF Support 1,000
    The Wetlands Institute
    Available Upon Request
    Stone Harbor,NJ08247     		  PC Support 200
    American Brain Coalition
    Available Upon Request
    Maple Grove,MN55311     		  PC Resaerch 10,000
    Amer Museum of Natural History
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    BioBus
    Available Upon Request
    New York,NY10020     		  PC Support 4,000
    BAW
    Available Upon Request
    New York,NY10020     		  PC Research 73,000
    Brain Mind EYOL
    Available Upon Request
    Watertown,MA02114     		  PC Research 35,000
    Broolyn Botanical Garden
    Available Upon Request
    Brooklyn,NY10020     		  PC Support 2,500
    FENS
    Available Upon Request
    D Berlin    
    GM     		    Support 35,000
    Frick Collection
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    IBRO Interntl Brain Research Org
    Available Upon Request
    Paris    
    FR     		    Research 35,000
    International Brain Bee
    Available Upon Request
    Washington,DC20001     		  PC Support 75,000
    International Neuroethics Society
    Available Upon Request
    Philadelphia,PA19019     		  PC Research 104,000
    INCF Karolinska Institutet
    Available Upon Request
    Stockholm    
    SW     		    Research 200,000
    Metropolitan Museum of Art
    Available Upon Request
    New York,NY10020     		  PC Support 3,000
    Metropolitan Opera Association
    Available Upon Request
    New York,NY10020     		  PC Support 2,750
    Morgan Library & Museum
    Available Upon Request
    New York,NY10020     		  PC Support 7,500
    Museum of Modern Art
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    Museum of the City of New York
    Available Upon Request
    New York,NY10020     		  PC Support 2,500
    Neue Galerie New York
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    New York Botanical Garden
    Available Upon Request
    New York,NY10020     		  PC Support 2,500
    New York Philharmonic
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    Nonprofit New York
    Available Upon Request
    New York,NY10020     		  PC Support 25,000
    ResearchAmerica
    Available Upon Request
    Alexandria,VA22206     		  PC Support 20,000
    Rockefeller University
    Available Upon Request
    New York,NY10020     		  PC Support 500
    Royal Society
    Available Upon Request
    London    
    UK     		    Research 112,000
    Rubin Museum of Art
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    Science Live Productions Inc
    Available Upon Request
    Brooklyn,NY10020     		  PC Support 8,000
    Society for Neuroscience (SfN)
    Available Upon Request
    Washington,DC20001     		  PC Research 160,000
    Solomon R Guggenheim Foundation
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    The Aspen Institute
    Available Upon Request
    Washington,DC20001     		  PC Research 75,000
    The Brooklyn Museum
    Available Upon Request
    Brooklyn,NY10020     		  PC Support 2,500
    The Jewish Museum
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    University of Minnesota
    Available Upon Request
    Duluth,MN55802     		  PC Research 42,000
    University of Washington
    Available Upon Request
    Seattle,WA98101     		  PC Research 20,000
    Whitney Museum of American Art
    Available Upon Request
    New York,NY10020     		  PC Support 5,000
    Wildlife Conservation Society
    Available Upon Request
    Bronx,NY10020     		  PC Support 5,000
    Dana Alliance for Brain Initiatives
    Available Upon Request
    New York,NY10020     		  POF Support 2,327,792
    Net Refunds
    Available Upon Request
    New York,NY10020     		    Support -185,693
    Total .................................bullet 3a 5,078,103
    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....       698,836  
    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 ............     		      7,415,973  
    9 Net income or (loss) from special events:          
    10 Gross profit or (loss) from sales of inventory          
    11 Other revenue:
    aPartnership Investments     		900099 70,676   12,582,992  
    bMisc Income       1,370  
    c
    d
    e
    12 Subtotal. Add columns (b), (d), and (e).. 70,676 20,699,171  
    13Total. Add line 12, columns (b), (d), and (e)..................
    13
    20,769,847
    (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: 20011406
    Software Version: 20.0.2.0
    Part VI Line 7 - Tax Paid with the Original Return: 260,240


    Form 990PF - Special Condition Description:
    Special Condition Description

    TY 2020 AccountingFeesSchedule
    Name:
    The Charles A Dana Foundation Incorporated
    EIN:
    06-6036761
    Software ID:
    20011406
    Software Version:
    20.0.2.0
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    OConnor Davies et al 56,321 23,713   32,608
    Preferred Pension 3,950 395   3,555

    TY 2020 AppliedToPriorYearElection
    Name:
    The Charles A Dana Foundation Incorporated
    EIN:
    06-6036761
    Software ID:
    20011406
    Software Version:
    20.0.2.0
    Election:
    The Dana Foundation hereby elects under Reg Sec 53-4942a-3d2 to apply 721,170 from the undistributed income from tax year 2015.

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

    TY 2020 DepreciationSchedule
    Name:
    The Charles A Dana Foundation Incorporated
    EIN:
    06-6036761
    Software ID:
    20011406
    Software Version:
    20.0.2.0
    Description of Property Date Acquired Cost or Other Basis Prior Years' Depreciation Computation Method Rate /
    Life (# of years)    		 Current Year's Depreciation Expense Net Investment Income Adjusted Net Income Cost of Goods Sold Not Included
    Leasehold Improvements NYO 2010-01-01 410,438 353,860 various 0000000010.000000000000 39,874 3,987    

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

    TY 2020 ExpenditureResponsibilityStmt
    Name:
    The Charles A Dana Foundation Incorporated
    EIN:
    06-6036761
    Software ID:
    20011406
    Software Version:
    20.0.2.0
    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
    Dana Alliance for Brain Initiatives Inc (aka DABI)
          		10 Rockefeller Plaza 16th Fl
    New York,NY10020     		2020-12-31 2,327,792 Provide for the general support of DABI to enable it to carry out it charitable purposes. 2,257,416 No July 2021 2021-07-01 Auditors Report

    TY 2020 GeneralExplanationAttachment
    Name:
    The Charles A Dana Foundation Incorporated
    EIN:
    06-6036761
    Software ID:
    20011406
    Software Version:
    20.0.2.0
    Identifier Return Reference Explanation
      Form 990-PF, Part IX-ASummary of Four Largest Direct Charitable Activities Grants Administration-2,0 Form 990-PF, Part IX-ASummary of Four Largest Direct Charitable Activities Grants Administration-2,043,470 The Foundation administers programs that support its Neuroscience and Society focus, through the specifically designated ojectives established by the foundations Board of Directors. The Foundations principal interest is in neuroscience, but also supports qualified civic and cultural organizations and maintains a matching charitable gifts program for its employees, OUTREACH- 1,163,002 The Dana Fnd is a private philanthropic org. dedicated to advancing understanding about the brain in health and disease through grants and public outreach. The Fnd funds and coordinates programs on a range of brain and brain health topics for diverse audiences. The signature outreach initiative is Brain Awareness Week , a global campaign coordinated by the Fnd to foster public enthusiasm and support for brain science. Every March, ptrs host imaginative activities in their communities that share the wonders of the brain, and the impact brain science has on our everyday lives. Currently, this annual global campaign includes more than 5,000 ptrs in 120 countries. The Dana Alliance DA, supported entirely by the Fnd, is a worldwide membership org. of neuroscientists and clinicians who have a proven history of and commitment to advancing public awareness about the progress and promise of brain research. Currently, the DA includes 670 members, including 45 Nobel laureates, in 45 countries. The Fnd is a resource for journalists for neuroscience information, providing background and access to experts in the field. The Fnd. publishes Cerebrum, an on-line journal, briefing papers and other electronic literature, and presents neuroscience-oriented podcasts, briefing papers, author interviews, and other neuroscience related materials. WEBSITE- 1,019,317 The Dana Foundation website features regular stories on neuroscience blog posts a user-friendly search engine grants information subscription features links to social media and all Foundation publications. The website includes regularly edited resource sections, including audience pages for kids, seniors, educators, and patients and caregivers, as well as sections on neuroeducation and neuro-ethics. The European Dana Alliance for the Brain website provides access to publications in multiple languages and links to international neuroscience research organizations. The Brain Awareness Week website offers partners and the public access to the international calendar free downloadable materials educational resources and information about the annual campaign. Part VII-A Line 11Controlled EntityThe Dana Alliance for Brain Initiatives, Inc.EIN 06-1360140Description of Transfer Cash grant paid during the year.Amount of Transfer 2,327,792 Part XV- GrantsWith regard to all grantsmade to any foreign grantees,an equivalancy determination wasmade.
      Treatment of Qualifying Distributions Election Pursuant to IRC Section 4942h2and Reg. 53.4942a-3d2, Treatment of Qualifying Distributions Election Pursuant to IRC Section 4942h)2)and Reg. 53.4942a)3d)2) the Foundation elects to treat qualifying distributions not treated as made out of the undistributed income of the immediately preceding tax year as made out of undistributed income from the tax year ended December 31 2015.

    TY 2020 InvestmentsCorpStockSchedule
    Name:
    The Charles A Dana Foundation Incorporated
    EIN:
    06-6036761
    Software ID:
    20011406
    Software Version:
    20.0.2.0
    Name of Stock End of Year Book Value End of Year Fair Market Value
    Eagle Acct Equities 17,270,728 17,270,728
    Vanguard Inter Term Treasury Fund 10,329,569 10,329,569
    Vanguard Short Term Treasury Fund 2,178,044 2,178,044

    TY 2020 InvestmentsOtherSchedule2
    Name:
    The Charles A Dana Foundation Incorporated
    EIN:
    06-6036761
    Software ID:
    20011406
    Software Version:
    20.0.2.0
    Category/ Item Listed at Cost or FMV Book Value End of Year Fair Market Value
    Adage Capital FMV 51,414,283 51,414,283
    Davidson Kempner FMV 16,390,092 16,390,092
    King Street Capital FMV 1,676,584 1,676,584
    Adamas Opportunities FMV 616,720 616,720
    Adamas Partners FMV 1,218,923 1,218,923
    Silchester FMV 6,491,830 6,491,830
    1607 Capital Partners FMV 13,306,549 13,306,549
    Abbott Capital Fund IV FMV 114,830 114,830
    Abbott Capital Fund V FMV 774,940 774,940
    Abbott Capital Fund VI FMV 2,834,214 2,834,214
    Commonfund PE VI FMV 762,325 762,325
    Commonfund PEVII FMV 2,623,518 2,623,518
    Commonfund Intl Ptrs VI FMV 1,451,341 1,451,341
    Commonfund Venture Ptrs VIII FMV 4,206,422 4,206,422
    Knightsbridge VC FMV 3,433,687 3,433,687
    Cantillon Global FMV 11,412,041 11,412,041
    Whale Rock Long Opp FMV 5,739,647 5,739,647
    Overlook Ptrs Fund FMV 5,000,000 5,000,000
    Diameter Offshore FMV 5,892,053 5,892,053
    Viking Global Opp FMV 10,000,000 10,000,000
    Rennaissance Ridge FMV 4,937,290 4,937,290
    TIFF Ptrs III FMV 66,741 66,741
    TIFF Ptrs IV FMV 19,965 19,965
    Aberdeen Real Assets FMV 573,520 573,520
    Commonfund NR IX FMV 1,613,491 1,613,491
    Dover Street IX FMV 1,742,609 1,742,609
    Dover Street X FMV 556,729 556,729
    Encap Flatrock Midstream V FMV 432,231 432,231
    Truebridge Cap V FMV 2,909,450 2,909,450
    Truebridge Cap VI FMV 341,021 341,021
    Kline Hill Ptrs II FMV 959,246 959,246
    Kline Hill Ptrs III FMV 245,653 245,653
    Kline Hill Ptrs Opp Fund III FMV 84,832 84,832
    Qiming VC FMV 556,273 556,273
    CA Resources FMV 558,938 558,938
    Rubicon Tech Ptrs III FMV 509,527 509,527
    Lead Edge Cap V FMV 57,187 57,187
    Moonrise China Ptrs II FMV 236,105 236,105
    Warburg Pincus Global Growth FMV 1,250,218 1,250,218
    Warburg Pincus Global Growth Europa FMV 1,879,564 1,879,564
    Warburg Pincus Global Growth EP 2 FMV 173 173
    Himilaya Cap FMV 6,538,592 6,538,592
    Doddington Emerg Mkts FMV 9,852,242 9,852,242
    Arrowstreet ACWI FMV 7,012,023 7,012,023
    Elliot Fund FMV 557,426 557,426
    Gold Bullion FMV 14,306,438 14,306,438
    Blacl Light Power FMV 17,820 17,820

    TY 2020 LandEtcSchedule2
    Name:
    The Charles A Dana Foundation Incorporated
    EIN:
    06-6036761
    Software ID:
    20011406
    Software Version:
    20.0.2.0
    Category / Item Cost / Other Basis Accumulated Depreciation Book Value End of Year Fair Market Value
    Leasehold Improvements 410,438 353,860 16,704 16,704


    TY 2020 LegalFeesSchedule
    Name:
    The Charles A Dana Foundation Incorporated
    EIN:
    06-6036761
    Software ID:
    20011406
    Software Version:
    20.0.2.0
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Epstein Becker, Green 5,765     5,765
    CT Corp 1,105     1,105
    Robinson Cole 12,291     12,291
    Mavride Moyal et al 21,700     21,700
    MMPS 3,500     3,500


    TY 2020 OtherAssetsSchedule
    Name:
    The Charles A Dana Foundation Incorporated
    EIN:
    06-6036761
    Software ID:
    20011406
    Software Version:
    20.0.2.0
    Description Beginning of Year - Book Value End of Year - Book Value End of Year - Fair Market Value
    Prepaid Expenses 136,180 84,464 84,464
    Security Deposits 130,405 198,872 198,872
    Prepaid Taxes 275,000 106,464 106,464


    TY 2020 OtherDecreasesSchedule
    Name:
    The Charles A Dana Foundation Incorporated
    EIN:
    06-6036761
    Software ID:
    20011406
    Software Version:
    20.0.2.0
    Description Amount
    Change in Deferred Excise Taxes 150,000


    TY 2020 OtherExpensesSchedule
    Name:
    The Charles A Dana Foundation Incorporated
    EIN:
    06-6036761
    Software ID:
    20011406
    Software Version:
    20.0.2.0
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Insurance 78,188 7,819   70,369
    Computers 120,278 12,028   108,250
    Dues/Subscription 5,759 575   5,184
    Copiers 18,305 1,831   16,474
    Prof Devel 413 44   369
    Office Expense 7,465 747   6,718
    Miscellaneous 9,272 927   8,345
    Telephone-Fax-Copier 27,626 2,763   24,863
    Cash To Accrual Adj,       -80,748
    FedEx Postage 436 40   396
    Expenses Deducted on Form 990T       -6,853


    TY 2020 OtherIncomeSchedule2
    Name:
    The Charles A Dana Foundation Incorporated
    EIN:
    06-6036761
    Software ID:
    20011406
    Software Version:
    20.0.2.0
    Description Revenue And Expenses Per Books Net Investment Income Adjusted Net Income
    Knightsbridge VC 534,475 517,579  
    Abbott Cap Fund IV -50,339 -98,402  
    Abbott Cap Fund V -190,280 -58,325  
    Abbott Cap Fund VI 698,994 659,257  
    Adamas Opp -2,430 345,532  
    976847 -2,601 75,940  
    Davidson Kempner 976,847 976,847  
    TIFF Ptrs III -7,252 -13,944  
    TIFF Ptrs IV -28,220 -25,407  
    Silchester -430,130 -430,130  
    Commonfund PE VI 95,481 95,481  
    Commonfund PE VII 537,114 537,114  
    Commonfund Intl. Ptrs 267,896 267,896  
    Commonfund Venture Ptrs VIII 1,502,186 1,502,186  
    Adage Capital 6,926,428 6,926,428  
    1607 Ptrs 818,157 1,421,876  
    Aberdeen Realty -131,236 -23,870  
    Commonfund Natural Resources IX 156,898 156,898  
    Wellington CFT 47,560 427,689  
    Truebridge Capital V -21,078 -72,228  
    Encap Flayrock Midstream IV -83,657 -89,340  
    Warburg Pincus -84,866 -84,866  
    Kline Hill II -83 25,696  
    Doddington Emerging Mkts 162,291 162,291  
    Arrowstreet ACWI 448,215 448,215  
    Truebridge Capital VI -23,091 -47,480  
    Renisassance Ridge -2,299,197 -2,299,197  
    Kline Hill III -3,039 3,451  
    Kline Hill Opport 151 4,797  
    Rubicon Technologies -44,212 -44,212  
    Qiming Venture Ptr VII -15,533 -15,533  
    Moonrise Ptrs II -5,156 -7,238  
    Lead Edge Capital V -6,555 -6,555  
    Forester Capital B   2,061  
    Warburg Pincus EP2   490  
    P/Y Adj of F/S Partnership Inc to Inc 2019 K-1s 2,909,930    
    Misc Inc 1,370 1,370  
    UBIT Per K-1s   -70,676  
    KPS   -9,514  


    TY 2020 OtherIncreasesSchedule
    Name:
    The Charles A Dana Foundation Incorporated
    EIN:
    06-6036761
    Software ID:
    20011406
    Software Version:
    20.0.2.0
    Description Amount
    Change in Net Unrealized Appreciation in Investment Assets 7,008,731


    TY 2020 OtherLiabilitiesSchedule
    Name:
    The Charles A Dana Foundation Incorporated
    EIN:
    06-6036761
    Software ID:
    20011406
    Software Version:
    20.0.2.0
    Description Beginning of Year - Book Value End of Year - Book Value
    Deferred Taxes 525,000 675,000
    Deferred Rent 97,923 28,801
    Post Retirement Benefit Obligation 4,727,895 3,687,917


    TY 2020 OtherProfessionalFeesSchedule
    Name:
    The Charles A Dana Foundation Incorporated
    EIN:
    06-6036761
    Software ID:
    20011406
    Software Version:
    20.0.2.0
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    Dr Blakemore 50,000     50,000
    Dr Magistetti 35,000     35,000
    Eagle Management Advisors 180,369 180,369    
    PWC 15,000     15,000
    Cambridge Assoc 302,812 302,812    
    JP Morgan Chase 13,387 13,387    
    Silchester 33,818 33,818    
    Wellington 81,912 81,912    
    Spencer Stuart 133,607     133,607
    Misc Honoraria 41 people2,500 56,200     56,200
    HighTower 25,474     25,474


    TY 2020 TaxesSchedule
    Name:
    The Charles A Dana Foundation Incorporated
    EIN:
    06-6036761
    Software ID:
    20011406
    Software Version:
    20.0.2.0
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    US Excise Tax 375,000      
    US UBiT 666      
    NYS Tax 2,142