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
HERBERT SIMON FAMILY FOUNDATION
 
Number and street (or P.O. box number if mail is not delivered to street address)600 E 96TH STREET NO 510
  Room/suite
City or town, state or province, country, and ZIP or foreign postal code
INDIANAPOLIS, IN46240
A Employer identification number

38-3905454
B Telephone number (see instructions)

(317) 575-2953
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$39,745,074J 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) 0
2 Check bullet.............
3 Interest on savings and temporary cash investments      
4 Dividends and interest from securities... 679,809 679,809  
5a Gross rents............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10 1,595,565
b Gross sales price for all assets on line 6a 12,934,059
7 Capital gain net income (from Part IV, line 2)... 1,595,565
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 42 42  
12 Total. Add lines 1 through 11........ 2,275,416 2,275,416  
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc. 0 0   0
14 Other employee salaries and wages...... 170,000 0   85,000
15 Pension plans, employee benefits.......        
16a Legal fees (attach schedule)......... Click to see attachment 165 0   0
b Accounting fees (attach schedule)....... Click to see attachment 38,350 0   9,588
c Other professional fees (attach schedule).... Click to see attachment 152,426 152,426   0
17 Interest...............        
18 Taxes (attach schedule) (see instructions)... Click to see attachment 58,065 9,033   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 375,568 13,540   53,520
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 794,574 174,999   148,108
25 Contributions, gifts, grants paid....... 8,927,835 8,927,835
26 Total expenses and disbursements. Add lines 24 and 25 9,722,409 174,999   9,075,943
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements -7,446,993
b Net investment income (if negative, enter -0-) 2,100,417
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.............      
2 Savings and temporary cash investments......... 7,992,310 3,082,386 3,082,386
3 Accounts receivable bullet  
Less: allowance for doubtful accounts bullet        
4 Pledges receivable bullet  
Less: allowance for doubtful accounts bullet        
5 Grants receivable.................      
6 Receivables due from officers, directors, trustees, and other
disqualified persons (attach schedule) (see instructions).....      
7 Other notes and loans receivable (attach schedule) bullet  
Less: allowance for doubtful accounts bullet        
8 Inventories for sale or use..............      
9 Prepaid expenses and deferred charges..........      
10a Investments—U.S. and state government obligations (attach schedule)      
b Investments—corporate stock (attach schedule)....... 22,398,304 Click to see attachment20,113,927 29,599,062
c Investments—corporate bonds (attach schedule)....... 2,071,729 Click to see attachment1,432,993 1,466,510
11 Investments—land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
12 Investments—mortgage loans.............      
13 Investments—other (attach schedule).......... 4,768,569 Click to see attachment5,037,972 5,597,116
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) 37,230,912 29,667,278 39,745,074
Liabilities 17 Accounts payable and accrued expenses..........    
18 Grants payable.................    
19 Deferred revenue................. 99  
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)......... 99 0
Net Assets or Fund Balances Foundations that follow FASB ASC 958, check here bullet
and complete lines 24, 25, 29 and 30.
24 Net assets without donor restrictions...........    
25 Net assets with donor restrictions............    
Foundations that do not follow FASB ASC 958, check here bullet
and complete lines 26 through 30.
26 Capital stock, trust principal, or current funds........ 0 0
27 Paid-in or capital surplus, or land, bldg., and equipment fund 0 0
28 Retained earnings, accumulated income, endowment, or other funds 37,230,813 29,667,278
29 Total net assets or fund balances (see instructions)..... 37,230,813 29,667,278
30 Total liabilities and net assets/fund balances (see instructions). 37,230,912 29,667,278
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
37,230,813
2
Enter amount from Part I, line 27a .....................
2
-7,446,993
3
Other increases not included in line 2 (itemize) bullet
3
0
4
Add lines 1, 2, and 3 ..........................
4
29,783,820
5
Decreases not included in line 2 (itemize) bulletClick to see attachment
5
116,542
6
Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 29 .
6
29,667,278
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 FROM K-1: OVERLOOK 3G INVESTMENTS P    
b FROM K-1: OAKTREE CAPITAL P    
c FROM K-1: OAKTREE CAPITAL P    
d DISPOSITION OF INVESTMENT IN ICAHN ENTERPRISES L.P. P    
e FROM K-1: ICAHN ENTERPRISES P    
FROM K-1: ICAHN ENTERPRISES P    
FROM K-1: ICAHN ENTERPRISES P    
FROM K-1: ICAHN ENTERPRISES P    
DISPOSITION OF INVESTMENT IN GAMCO MANAGED ACCOUNT P    
PUBLICLY TRADED SECURITIES P    
CAPITAL GAINS DIVIDENDS P    
(e)
Gross sales price 		(f)
Depreciation allowed
(or allowable) 		(g)
Cost or other basis
plus expense of sale 		(h)
Gain or (loss)
(e) plus (f) minus (g)
a 4,368     4,368
b 6,017     6,017
c 109,502     109,502
d 6,003     6,003
e     20 -20
    29 -29
    74 -74
    236 -236
    2,392 -2,392
12,603,133   11,335,743 1,267,390
205,036     205,036
Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69 (l)
Gains (Col. (h) gain minus
col. (k), but not less than -0-) or
Losses (from col.(h))
(i)
F.M.V. as of 12/31/69 		(j)
Adjusted basis
as of 12/31/69 		(k)
Excess of col. (i)
over col. (j), if any
a       4,368
b       6,017
c       109,502
d       6,003
e       -20
      -29
      -74
      -236
      -2,392
      1,267,390
      205,036
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 1,595,565
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 29,196
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 29,196
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 29,196
6 Credits/Payments:
a 2020 estimated tax payments and 2019 overpayment credited to 2020 6a 15,000
b Exempt foreign organizations—tax withheld at source...... 6b 0
c Tax paid with application for extension of time to file (Form 8868)... 6c 21,000
d Backup withholding erroneously withheld ........... 6d 0
7 Total credits and payments. Add lines 6a through 6d.............. 7 36,000
8 Enter any penalty for underpayment of estimated tax. Check here if Form 2220 is attached. 8 364
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 6,440
11 Enter the amount of line 10 to be: Credited to 2021 estimated taxBullet6,440 RefundedBullet 11 0
Part VII-A
Statements Regarding Activities
1a
During the tax year, did the foundation attempt to influence any national, state, or local legislation or did
Yes
No
it participate or intervene in any political campaign? ....................
1a
 
No
b
Did it spend more than $100 during the year (either directly or indirectly) for political purposes? See the instructions
for the definition.................................
1b
 
No
If the answer is "Yes" to 1a or 1b, attach a detailed description of the activities and copies of any materials
published or distributed by the foundation in connection with the activities.
c
Did the foundation file Form 1120-POL for this year?.....................
1c
 
No
d
Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year:
(1) On the foundation. bullet$ 0(2) On foundation managers.bullet$ 0
e
Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed
on foundation managers.bullet$ 0
2
Has the foundation engaged in any activities that have not previously been reported to the IRS?.......
2
 
No
If "Yes," attach a detailed description of the activities.
3
Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles
of incorporation, or bylaws, or other similar instruments? If "Yes," attach a conformed copy of the changes....
3
 
No
4a
Did the foundation have unrelated business gross income of $1,000 or more during the year?........
4a
 
No
b
If "Yes," has it filed a tax return on Form 990-T for this year?...................
4b
 
 
5
Was there a liquidation, termination, dissolution, or substantial contraction during the year?.........
5
 
No
If "Yes," attach the statement required by General Instruction T.
6
Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either:
  • By language in the governing instrument, or
  • By state legislation that effectively amends the governing instrument so that no mandatory directions
    • that conflict with the state law remain in the governing instrument?................
    6
    Yes
     
    7
    Did the foundation have at least $5,000 in assets at any time during the year? If "Yes," complete Part II, col. (c),
    and Part XV..................................
    7
    Yes
     
    8a
    Enter the states to which the foundation reports or with which it is registered (see instructions)
    bulletIN
    b
    If the answer is "Yes" to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney
    General (or designate) of each state as required by General Instruction G? If "No," attach explanation .
    8b
    Yes
     
    9
    Is the foundation claiming status as a private operating foundation within the meaning of section 4942(j)(3)
    or 4942(j)(5) for calendar year 2020 or the taxable year beginning in 2020? See the instructions for Part XIV.
    If "Yes," complete Part XIV .............................
    9
     
    No
    10
    Did any persons become substantial contributors during the tax year? If "Yes," attach a schedule listing their names
    and addresses. ...............................
    10
     
    No
    Form 990-PF (2020)
    Form 990-PF (2020)
    Page 5
    Part VII-A
    Statements Regarding Activities (continued)
    11
    At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the
    meaning of section 512(b)(13)? If "Yes," attach schedule. See instructions .............
    11
     
    No
    12
    Did the foundation make a distribution to a donor advised fund over which the foundation or a disqualified person had
    advisory privileges? If "Yes," attach statement. See instructions.................
    12
     
    No
    13
    Did the foundation comply with the public inspection requirements for its annual returns and exemption application?
    13
    Yes
     
    Website addressbulletN/A
    14
    The books are in care ofbulletHERBERT SIMON Telephone no.bullet (317) 575-2953

    Located atbullet600 EAST 96TH STREET SUITE 510INDIANPOLISIN ZIP+4bullet46260
    15
    Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041 —check here .........bullet
    and enter the amount of tax-exempt interest received or accrued during the year ........bullet
    15
     
    16 At any time during calendar year 2020, did the foundation have an interest in or a signature or other authority over YesNo
    a bank, securities, or other financial account in a foreign country? .................
    16   No
    See the instructions for exceptions and filing requirements for FinCEN Form 114. If "Yes", enter the name of the foreign
    country bullet
    Part VII-B
    Statements Regarding Activities for Which Form 4720 May Be Required
    File Form 4720 if any item is checked in the "Yes" column, unless an exception applies.
    Yes
    No
    1a
    During the year did the foundation (either directly or indirectly):
    (1) Engage in the sale or exchange, or leasing of property with a disqualified person?
    (2) Borrow money from, lend money to, or otherwise extend credit to (or accept it from)
    a disqualified person?......................
    (3) Furnish goods, services, or facilities to (or accept them from) a disqualified person?
    (4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person?
    (5) Transfer any income or assets to a disqualified person (or make any of either available
    for the benefit or use of a disqualified person)?...............
    (6) Agree to pay money or property to a government official? (Exception. Check "No"
    if the foundation agreed to make a grant to or to employ the official for a period
    after termination of government service, if terminating within 90 days.).......
    b
    If any answer is "Yes" to 1a(1)–(6), did any of the acts fail to qualify under the exceptions described in Regulations
    section 53.4941(d)-3 or in a current notice regarding disaster assistance? See instructions ........
    1b
     
    No
    ........bullet
    c
    Did the foundation engage in a prior year in any of the acts described in 1a, other than excepted acts,
    that were not corrected before the first day of the tax year beginning in 2020?.............
    1c
     
    No
    2
    Taxes on failure to distribute income (section 4942) (does not apply for years the foundation was a private
    operating foundation defined in section 4942(j)(3) or 4942(j)(5)):
    a
    At the end of tax year 2020, did the foundation have any undistributed income (lines 6d
    and 6e, Part XIII) for tax year(s) beginning before 2020?.............
    If "Yes," list the years bullet20, 20, 20, 20
    b
    Are there any years listed in 2a for which the foundation is not applying the provisions of section 4942(a)(2)
    (relating to incorrect valuation of assets) to the year’s undistributed income? (If applying section 4942(a)(2)
    to all years listed, answer "No" and attach statement—see instructions.) ..............
    2b
     
     
    c
    If the provisions of section 4942(a)(2) are being applied to any of the years listed in 2a, list the years here.
    bullet20, 20, 20, 20
    3a
    Did the foundation hold more than a 2% direct or indirect interest in any business enterprise at
    any time during the year?......................
    b
    If "Yes," did it have excess business holdings in 2020 as a result of (1) any purchase by the foundation
    or disqualified persons after May 26, 1969; (2) the lapse of the 5-year period (or longer period approved
    by the Commissioner under section 4943(c)(7)) to dispose of holdings acquired by gift or bequest; or (3)
    the lapse of the 10-, 15-, or 20-year first phase holding period? (Use Schedule C, Form 4720, to determine
    if the foundation had excess business holdings in 2020.)..................
    3b
     
     
    4a
    Did the foundation invest during the year any amount in a manner that would jeopardize its charitable purposes?
    4a
     
    No
    b
    Did the foundation make any investment in a prior year (but after December 31, 1969) that could jeopardize its
    charitable purpose that had not been removed from jeopardy before the first day of the tax year beginning in 2020?
    4b
     
    No
    Form 990-PF (2020)
    Form 990-PF (2020)
    Page 6
    Part VII-B
    Statements Regarding Activities for Which Form 4720 May Be Required (continued)
    5a
    During the year did the foundation pay or incur any amount to:
    Yes
    No
    (1) Carry on propaganda, or otherwise attempt to influence legislation (section 4945(e))?
    (2) Influence the outcome of any specific public election (see section 4955); or to carry
    on, directly or indirectly, any voter registration drive?.............
    (3) Provide a grant to an individual for travel, study, or other similar purposes?
    (4) Provide a grant to an organization other than a charitable, etc., organization described
    in section 4945(d)(4)(A)? See instructions................
    (5) Provide for any purpose other than religious, charitable, scientific, literary, or
    educational purposes, or for the prevention of cruelty to children or animals?.....
    b
    If any answer is "Yes" to 5a(1)–(5), did any of the transactions fail to qualify under the exceptions described in
    Regulations section 53.4945 or in a current notice regarding disaster assistance? See instructions ......
    5b
     
     
    .........bullet
    c
    If the answer is "Yes" to question 5a(4), does the foundation claim exemption from the
    tax because it maintained expenditure responsibility for the grant?..........
    If "Yes," attach the statement required by Regulations section 53.4945–5(d).
    6a
    Did the foundation, during the year, receive any funds, directly or indirectly, to pay premiums on
    a personal benefit contract?.....................
    b
    Did the foundation, during the year, pay premiums, directly or indirectly, on a personal benefit contract? ....
    6b
     
    No
    If "Yes" to 6b, file Form 8870.
    7a
    At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction?
    b
    If "Yes", did the foundation receive any proceeds or have any net income attributable to the transaction? ....
    7b
     
     
    8
    Is the foundation subject to the section 4960 tax on payment(s) of more than $1,000,000 in remuneration or
    excess parachute payment during the year? .................
    Part VIII
    Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees,
    and Contractors
    1 List all officers, directors, trustees, foundation managers and their compensation. See instructions
    (a) Name and address (b) Title, and average
    hours per week
    devoted to position     		(c) Compensation
     (If not paid, enter
    -0-)     		(d) Contributions to employee benefit plans and deferred compensation (e) Expense account,
    other allowances
    HERBERT SIMON PRESIDENT / DIRECTOR
    0.50     		0 0 0
    600 EAST 96TH STREET SUITE 510
    INDIANAPOLIS,IN46240
    STEPHEN H SIMON SECRETARY / DIRECTOR
    0.10     		0 0 0
    600 EAST 96TH STREET SUITE 510
    INDIANAPOLIS,IN46240
    JENNIFER K SIMON DIRECTOR
    0.10     		0 0 0
    600 EAST 96TH STREET SUITE 510
    INDIANAPOLIS,IN46240
    SARAH M SIMON DIRECTOR
    0.10     		0 0 0
    600 EAST 96TH STREET SUITE 510
    INDIANAPOLIS,IN46240
    RACHEL M SIMON DIRECTOR
    0.10     		0 0 0
    600 EAST 96TH STREET SUITE 510
    INDIANAPOLIS,IN46240
    ASHER M SIMON DIRECTOR
    0.10     		0 0 0
    600 EAST 96TH STREET SUITE 510
    INDIANAPOLIS,IN46240
    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
    STIFEL NICOLAUS & COMPANY INC INVESTMENT ADVISORY 148,662
    600 E 96TH STREET SUITE 575
    INDIANAPOLIS,IN46240
    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
    31,583,182
    b
    Average of monthly cash balances.......................
    1b
    2,949,600
    c
    Fair market value of all other assets (see instructions)................
    1c
    5,597,116
    d
    Total (add lines 1a, b, and c).........................
    1d
    40,129,898
    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
    40,129,898
    4
    Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
    instructions) .............................
    4
    601,948
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
    39,527,950
    6
    Minimum investment return. Enter 5% of line 5..................
    6
    1,976,398
    Part XI
    Distributable Amount (see instructions) (Section 4942(j)(3) and (j)(5) private operating foundations and certain foreign organizations check here right arrow and do not complete this part.)
    1
    Minimum investment return from Part X, line 6....................
    1
    1,976,398
    2a
    Tax on investment income for 2020 from Part VI, line 5......
    2a
    29,196
    b
    Income tax for 2020. (This does not include the tax from Part VI.)...
    2b
     
    c
    Add lines 2a and 2b............................
    2c
    29,196
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
    1,947,202
    4
    Recoveries of amounts treated as qualifying distributions................
    4
    0
    5
    Add lines 3 and 4............................
    5
    1,947,202
    6
    Deduction from distributable amount (see instructions).................
    6
    0
    7
    Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII, line 1 ...
    7
    1,947,202
    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
    9,075,943
    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
    9,075,943
    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
    9,075,943
    Note: The amount on line 6 will be used in Part V, column (b), in subsequent years when calculating whether the foundation qualifies for
    the section 4940(e) reduction of tax in those years.
    Form 990-PF (2020)
    Form 990-PF (2020)
    Page 9
    Part XIII
    Undistributed Income (see instructions)
    (a)
    Corpus     		(b)
    Years prior to 2019     		(c)
    2019     		(d)
    2020
    1 Distributable amount for 2020 from Part XI, line 7 1,947,202
    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...... 3,394,178
    b From 2016...... 6,029,265
    c From 2017...... 4,878,910
    d From 2018...... 5,714,389
    e From 2019...... 6,256,269
    fTotal of lines 3a through e........ 26,273,011
    4Qualifying distributions for 2020 from Part
    XII, line 4: bullet$ 9,075,943
    a Applied to 2019, but not more than line 2a 0
    b Applied to undistributed income of prior years
    (Election required—see instructions).....     		0
    c Treated as distributions out of corpus (Election
    required—see instructions)........     		0
    d Applied to 2020 distributable amount..... 1,947,202
    e Remaining amount distributed out of corpus 7,128,741
    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 33,401,752
    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) ...     		3,394,178
    9Excess distributions carryover to 2021.
    Subtract lines 7 and 8 from line 6a ......     		30,007,574
    10 Analysis of line 9:
    a Excess from 2016.... 6,029,265
    b Excess from 2017.... 4,878,910
    c Excess from 2018.... 5,714,389
    d Excess from 2019.... 6,256,269
    e Excess from 2020.... 7,128,741
    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).)
    HERBERT SIMON
    bList any managers of the foundation who own 10% or more of the stock of a corporation (or an equally large portion of the
    ownership of a partnership or other entity) of which the foundation has a 10% or greater interest.
    2Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc., Programs:
    Check here bullet
    aThe name, address, and telephone number or email address of the person to whom applications should be addressed:
    bThe form in which applications should be submitted and information and materials they should include:
    cAny submission deadlines:
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    Form 990-PF (2020)
    Form 990-PF (2020)
    Page 11
    Part XV
    Supplementary Information (continued)
    3 Grants and Contributions Paid During the Year or Approved for Future Payment
    Recipient If recipient is an individual,
    show any relationship to
    any foundation manager
    or substantial contributor
    		 Foundation
    status of
    recipient     		Purpose of grant or
    contribution     		Amount
    Name and address (home or business)
    aPaid during the year
    100 BLACK MEN OF INDIANAPOLIS INC
    1500 E MICHIGAN ST ROOM 8
    INDIANAPOLIS,IN46201     		N/A PC OPERATIONS 1,000
    AMERICAN FRIENDS OF HEBREW UNIVERSITY
    1 BATTERY PARK PLAZA 25TH FLOOR
    NEW YORK,NY10004     		N/A PC OPERATIONS 100,000
    BIG CAR COLLABORATIVE
    1125 CRUFT STREET
    INDIANAPOLIS,IN46203     		N/A PC OPERATIONS 5,000
    BIG GREEN
    1637 PEARUL STREET SUITE 201
    BOULDER,CO80302     		N/A PC LEARNING GARDEN INITIATIVE 10,000
    BRENTWOOD SCHOOL
    100 S BARRINGTON PLACE
    LOS ANGELES,CA90049     		N/A PC OPERATIONS 100,000
    CENTRAL INDIANA COMMUNITY FOUNDATION INC
    615 NORTH ALABAMA STREET SUITE 119
    INDIANAPOLIS,IN46204     		N/A PC VARIOUS GRANTS 5,717,335
    CHILDREN'S MUSEUM OF INDIANAPOLIS INC
    PO BOX 3000
    INDIANAPOLIS,IN46206     		N/A PC OPERATIONS 650,000
    COMMUNITY FOUNDATION OF WESTERN NEVADA
    50 WASHINGTON ST 300
    RENO,NV89503     		N/A PC OPERATIONS 250,000
    COMMUNITY KITCHEN INC
    PO BOX 922
    MORGANTOWN,WV26507     		N/A PC OPERATIONS 125,000
    ESKENAZI HEALTH FOUNDATION
    720 ESKENAZI AVE
    INDIANAPOLIS,IN46202     		N/A PC OPERATIONS 300,000
    UNITED WAY OF GREATER LOS ANGELES
    1150 S OLIVE ST
    LOS ANGELES,CA90015     		N/A PC EVERYONE IN LA 4,000
    GIRLS ON THE RUN - SIERRAS
    100 CALIFORNIA AVE 210
    RENO,NV89509     		N/A PC OPERATIONS 5,000
    HABITAT FOR HUMANITY INDIANAPOLIS
    3135 N MERIDIAN STREET
    INDIANAPOLIS,IN46208     		N/A PC OPERATIONS 30,000
    INDIANA UNIVERSITY FOUNDATION
    PO BOX 500
    BLOOMINGTON,IN47402     		N/A PC INFORMATICS DIVERSITY ENHANCED WORKFORCE 755,000
    INDIANA UNIVERSITY HILLEL FOUNDATION INC
    730 E 3RD ST
    BLOOMINGTON,IN47401     		N/A PC 2019 CAMPUS SUPERSTAR 10,000
    JEWISH FEDERATION OF GREATER INDIANAPOLIS INC AKA JFGI
    6705 HOOVER RD
    INDIANAPOLIS,IN462604120     		N/A PC OPERATIONS 500,000
    KIRKUS PRIZE WINNER - DERRICK BARNE
    65 W 36TH STREET SUITE 700
    NEW YORK,NY10018     		N/A I KIRKUS PRIZE WINNER 25,000
    KIRKUS PRIZE WINNER - GORDON C JAME
    65 W 36TH STREET SUITE 700
    NEW YORK,NY10018     		N/A I KIRKUS PRIZE WINNER 25,000
    KIRKUS PRIZE WINNER - MYCHAL DENZEL
    65 W 36TH STREET SUITE 700
    NEW YORK,NY10018     		N/A I KIRKUS PRIZE WINNER 50,000
    KIRKUS PRIZE WINNER - RAVEN BAPTISE
    65 W 36TH STREET SUITE 700
    NEW YORK,NY10018     		N/A I KIRKUS PRIZE WINNER 50,000
    KURT VONNEGUT MUSEUM & LIBRARY
    PO BOX 441245
    INDIANAPOLIS,IN462049998     		N/A PC OPERATIONS 100,000
    NEWFIELDS
    4000 MICHIGAN RD
    INDIANAPOLIS,IN46208     		N/A PC OPERATIONS 10,000
    RIGHTFIT
    1510 N MERIDIAN STREET
    INDIANAPOLIS,IN46202     		N/A PC OPERATIONS 15,000
    SIMON YOUTH FOUNDATION INC AKA SYF
    225 WEST WASHINGTON STREET
    INDIANAPOLIS,IN46204     		N/A PC OPERATIONS 5,000
    THE PUBLIC COLLECTION
    600 E 96TH STREET
    INDIANAPOLIS,IN462404169     		N/A PC OPERATIONS 40,000
    UNICEF USA
    125 MAIDEN LANE
    NEW YORK,NY10038     		N/A PC OPERATIONS 12,500
    USC SHOAH FOUNDATION
    650 MCCARTHY WAY
    LOS ANGELES,CA90089     		N/A PC SUPPORT OF IWITNESS 10,000
    WFYI FOUNDATION
    1630 NORTH MERIDIAN STREET
    INDIANAPOLIS,IN46202     		N/A PC OPERATIONS 20,000
    WILKES UNIVERSITY
    84 W SOUTH STREET
    WILKESBARRE,PA18766     		N/A PC PAUL P. ZAVADA, CPA, ACCOUNTING SCHOLARSHIP FUND 2,500
    HUMANE SOCIETY OF INDIANAPOLIS
    7929 NORTH MICHIGAN ROAD
    INDIANAPOLIS,IN46268     		N/A PC OPERATIONS 500
    Total .................................bullet 3a 8,927,835
    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....     14 679,809  
    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..... 900099 18 14 24  
    8 Gain or (loss) from sales of assets other than
    inventory ............     		    18 1,595,565  
    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).. 18 2,275,398 0
    13Total. Add line 12, columns (b), (d), and (e)..................
    13
    2,275,416
    (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:
    HERBERT SIMON FAMILY FOUNDATION
    EIN:
    38-3905454
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    ACCOUNTING FEES 38,350 0   9,588

    TY 2020 GeneralExplanationAttachment
    Name:
    HERBERT SIMON FAMILY FOUNDATION
    EIN:
    38-3905454
    Identifier Return Reference Explanation
      FORM 990-PF, PART VII-B, LINES 1A(3) AND 1B PART VII-B, LINE 1A(3) HAS BEEN ANSWERED "YES" BECAUSE HERBERT SIMON IS A SUBSTANTIAL CONTRIBUTOR TO THE HERBERT SIMON FAMILY FOUNDATION AND IS THEREFORE A DISQUALIFIED PERSON. HERB PROVIDES "SERVICE" TO THE ORGANIZATION BY SERVING ON ITS BOARD. LINE 1B IS ANSWERED "NO" BECAUSE THIS SERVICE IS PERFORMED WITHOUT COMPENSATION AND IS EXCEPTED BY THE REGULATIONS UNDER SECTION 4941.

    TY 2020 InvestmentsCorpBondsSchedule
    Name:
    HERBERT SIMON FAMILY FOUNDATION
    EIN:
    38-3905454
    Name of Bond End of Year Book Value End of Year Fair Market Value
    BANK MIDWEST 50,025 50,441
    BANK OF INTERNET USA 38,135 38,887
    COMENITY CAP BANK 51,491 52,933
    COMENITY CAP BANK 78,678 81,349
    COMENITY CAP BANK 40,082 40,452
    DISCOVER BANK 50,053 50,460
    ENERBANK USA 50,077 50,959
    ENERBANK USA 76,246 77,509
    FIRST MERCHANTS BANK NA 75,617 78,495
    FIRST MERCHANTS BANK NA 150,454 152,331
    FIRST NATL BANK OF AMER 73,730 76,827
    FIRST NATL BANK OF AMER 14,075 14,240
    FIRSTBANK OF PR 100,104 100,542
    GOLDMAN SACHS BANK USA 57,121 58,956
    GOLDMAN SACHS GROUP INC 52,988 55,550
    INDUSTRIAL & COML BK CHINA 78,950 81,002
    JPMORGAN CHASE & CO 78,494 83,208
    KANSAS ST BK MANHATTAN 16,020 16,291
    MORGAN STANLEY BANK NA 89,869 92,168
    PEAPACK GLADSTONE BANK 85,526 88,386
    TOYOTA FINL SVGS BANK 50,110 50,270
    WELLS FARGO & CO 75,148 75,254

    TY 2020 InvestmentsCorpStockSchedule
    Name:
    HERBERT SIMON FAMILY FOUNDATION
    EIN:
    38-3905454
    Name of Stock End of Year Book Value End of Year Fair Market Value
    ABBOTT LABORATORIES 6,257 6,569
    ABBVIE INC 14,523 16,180
    ABIOMED INC 5,885 6,160
    ACCENTURE PLC IRELAND CL A 13,054 14,628
    ACCENTURE PLC IRELAND CL A 29,247 47,540
    ACTIVISION BLIZZARD INC 6,375 7,242
    ADIDAS AG 22,775 32,023
    ADIDAS AG SPONS ADR 79,266 119,675
    ADOBE INC 32,115 152,537
    ADOBE INC 16,718 18,504
    ADOBE INC 55,886 69,017
    ADVANCED MICRO DEVICES INC 10,405 11,555
    ADYEN N V 50,765 147,876
    AIR PRODUCTS & CHEMICALS INC 5,505 5,191
    AIRBNB INC CL A 26,152 28,332
    ALBEMARLE CORP 2,323 3,688
    ALEXION PHARMACEUTICALS INC 6,357 9,687
    ALIBABA GROUP HOLDING LTD 82,206 119,856
    ALLSTATE CORP 4,872 5,606
    ALPHABET INC 72,842 231,348
    ALPHABET INC CL A 27,364 31,548
    ALPHABET INC CL A 78,757 140,211
    ALPHABET INC CL A 108,183 133,201
    ALPHABET INC CL C 25,891 29,782
    ALPHABET INC CL C 162,070 215,481
    AMAZON.COM INC 91,810 120,506
    AMAZON.COM INC 85,679 257,297
    AMAZON.COM INC 54,162 55,368
    AMERICAN EXPRESS CO 6,735 8,343
    AMERICAN TOWER CORP NEW 8,255 7,407
    AMERICAN WATER WORKS COMPANY INC 59,042 72,591
    AMERICAN WATER WORKS COMPANY INC NEW 3,958 4,144
    AMGEN INC 12,918 12,186
    ANALOG DEVICES INC 80,844 119,809
    ANHEUSER BUSCH INBEV SA NV 129,687 103,085
    ANTA SPORT PRODUCTS LTD 46,879 111,083
    ANTA SPORTS PRODUCTS LTD 13,215 30,509
    ANTHEM INC 56,254 66,466
    APPLE INC 40,435 117,298
    APPLE INC 94,412 387,986
    APPLE INC 82,621 95,271
    APPLE INC 115,720 187,358
    ARMSTRONG WORLD INDUSTRIES INC 50,746 50,511
    ARTHUR J GALLAGHER & COMPANY 4,371 5,072
    AT&T INC 14,472 13,920
    ATMOS ENERGY CORP 3,232 2,958
    AUTODESK INC 41,187 58,015
    AVERY DENNISON CORP 2,187 2,947
    BANK OF AMERICA CORP 14,232 16,610
    BANK OF AMERICA CORP 45,635 58,498
    BAXTER INTERNATIONAL INC 65,638 76,068
    BERKSHIRE HATHAWAY INC 24,809 27,824
    BERKSHIRE HATHAWAY INC DEL CL B 187,564 393,252
    BEST BUY COMPANY INC 3,323 2,994
    BEYOND MEAT INC 12,719 12,375
    BLACKROCK INC 8,284 10,102
    BOEING COMPANY 7,758 9,633
    BOOKING HOLDINGS INC 5,273 6,682
    BORG WARNER INC 20,183 26,391
    BRISTOL MYERS SQUIBB COMPANY 4,911 5,211
    BROADCOM INC 18,313 36,342
    BROADCOM INC 12,252 16,200
    BROADCOM INC 35,003 50,353
    BROWN FORMAN CORP CL A 5,299 11,021
    BROWN FORMAN CORP CL B 32,473 97,222
    BRUNSWICK CORP 26,081 36,748
    C H ROBINSON WORLDWIDE INC 3,604 3,567
    CABLE ONE INC COM 27,588 31,188
    CABOT OIL & GAS CORP 1,201 977
    CADENCE DESIGN SYSTEMS INC 6,912 8,595
    CAPITAL ONE FINANCIAL CORP 4,900 7,216
    CARMAX INC 3,385 3,023
    CATERPILLAR INC 6,927 9,101
    CDW CORP 14,692 18,187
    CDW CORP 14,827 17,133
    CENTENE CORP DEL 7,171 6,723
    CHEVRON CORP 10,459 9,796
    CHIPOTLE MEXICAN GRILL INC CL A 2,844 2,773
    CHUBB LTD 38,619 54,180
    CIE FINANCIERE RICHEMONT AG ZUG 137,299 161,376
    CIE FINANCIERE RICHEMONT RIGHT & WRT 0 914
    CINTAS CORP 62,551 82,710
    CISCO SYSTEMS INC 14,731 15,707
    CITIGROUP INC NEW 9,021 10,791
    CITIZENS FINANCIAL GROUP INC 17,871 16,020
    CITRIX SYSTEMS INC 6,036 5,724
    CLARIVATE PLC 48,927 52,616
    CME GROUP INC CL A 50,557 51,884
    CME GROUP INC CL A 20,581 24,031
    COCA-COLA COMPANY 13,845 15,684
    COMCAST CORP CL A 66,175 78,024
    COMCAST CORP CL A 27,122 34,846
    COMCAST CORP CL A NEW 13,612 16,401
    COMCAST CORP NEW CL A SPL 45,344 86,460
    CONCHO RESOURCES INC 1,745 1,984
    COOPER COS INC NEW 5,784 6,903
    COPART INC 4,031 5,090
    COSTCO WHOLESALE CORP 11,554 12,811
    CROWN CASTLE INTL CORP 62,270 67,656
    CROWN CASTLE INTL CORP 5,960 5,731
    CSX CORP 543 635
    CVS HEALTH CORP 9,743 10,245
    DARLING INGREDIENTS INC 17,082 37,780
    DELTA AIRLINES INC NEW 3,669 5,268
    DIGITAL REALTY TRUST INC 4,531 4,046
    DOLLAR TREE INC 58,297 66,661
    DOMINION ENERGY INC 6,063 5,790
    DOW INC 3,721 4,662
    ECOLAB INC 4,468 4,976
    ELECTRONIC ARTS INC 10,848 17,232
    ELI LILLY & CO 12,102 13,507
    EMERSON ELECTRIC CO 5,119 5,947
    ENTERGY CORP 3,626 3,594
    EOG RESOURCES INC 2,789 2,992
    EVERGY INC 3,143 3,275
    EXACT SCIENCES CORP 29,699 50,346
    EXELON CORP 4,477 5,066
    EXXON MOBIL CORP 11,108 10,758
    FACEBOOK INC CL A 38,164 39,881
    FACEBOOK INC CL A 91,890 168,267
    FASTENAL CO 26,580 27,394
    FIDELITY NATIONAL INFORMATION SERVICES INC 9,985 9,761
    FIFTH THIRD BANCORP 4,096 5,459
    FIFTH THIRD BANCORP 109,038 108,212
    FIRST EAGLE OVERSEAS CL I 771,899 802,013
    FISERV INC 8,371 9,337
    FISERV INC 110,834 139,137
    FOMENTO ECONOMICO MEX 35,603 32,202
    FORTINET INC 32,723 35,944
    FORTIVE CORP 123 142
    FPA CRESCENT INSTL CL 1,630,467 1,767,180
    FREEPORT MCMORAN INC 3,116 5,776
    GENERAL DYNAMICS CORP 4,766 4,613
    GENERAL ELECTRIC CO 5,944 9,925
    GENERAL MOTORS CO 4,165 5,788
    HALLIBURTON COMPANY 1,968 2,249
    HANNON ARMSTRONG SUSTAINABLE INFRA 33,789 66,284
    HASBRO INC 2,867 3,461
    HEALTHPEAK PPTYS INC 3,055 3,356
    HEINEKEN HLDG NV SHS 117,214 184,190
    HERSHEY COMPANY 4,894 5,027
    HILTON WORLDWIDE 1,990 2,114
    HILTON WORLDWIDE HOLDINGS INC 81,744 85,003
    HOME DEPOT INC 70,279 77,030
    HOME DEPOT INC 18,763 17,265
    HOME DEPOT INC 32,243 43,030
    HONEYWELL INTERNATIONAL INC 14,452 19,994
    HONEYWELL INTL INC 8,870 11,911
    ILLINOIS TOOL WORKS INC 5,895 6,116
    ILLUMINA INC 8,194 8,510
    INTEL CORP 16,409 16,640
    INTERCONTINENTAL EXCHANGE INC 77,666 110,678
    INTERCONTINENTAL EXCHANGE INC 49,680 96,613
    INTERNATIONAL EXCHANGE INC 19,260 29,399
    INTERNATIONAL PAPER 2,609 3,530
    INTUIT INC 48,689 62,295
    INTUIT INC 9,044 15,954
    INTUITIVE SURGICAL INC 19,710 73,629
    IRON MOUNTAIN INC NEW 2,250 2,211
    JOHNSON & JOHNSON 11,331 11,961
    JP MORGAN CHASE & CO 101,058 140,921
    JPMORGAN CHASE & CO 19,943 21,983
    JPMORGAN CHASE & CO 45,118 61,883
    JPMORGAN CHASE & CO 19,696 25,033
    KERING S A ADR 109,260 112,370
    KIMBERLY CLARK CORP 6,473 5,528
    KINDER MORGAN INC DE 2,925 2,775
    LAM RESEARCH CORP 8,035 9,918
    LINDE PLC 9,183 9,750
    LKQ CORP 25,639 28,721
    LOCKHEED MARTIN CORP 8,172 7,455
    LOEWS CORP 3,761 4,592
    LOWES COMPANIES INC 8,389 8,507
    LOWES COMPANIES INC 38,394 64,846
    LVMH MOET HENNESSY LOUIS VUITTON 15,434 25,570
    MARRIOTT INTL INC CL A 3,341 4,617
    MARSH & MCLENNAN COS INC 6,527 6,552
    MARTIN MARIETTA MATLS INC COM 39,135 94,846
    MASTERCARD INC CL A 20,850 22,487
    MASTERCARD INC CL A 16,973 36,765
    MASTERCARD INC CL A COM 57,076 391,920
    MCDONALDS CORP 10,235 10,514
    MCDONALDS CORP 68,577 75,318
    MCDONALDS CORP 81,750 84,330
    MEDTRONIC PLC 12,667 14,525
    MEDTRONIC PLC 112,106 153,453
    MERCADOLIBRE INCE 106,609 112,240
    MERCK & COMPANY INC 66,208 68,221
    MERCK & COMPANY INC NEW 17,002 16,360
    METTLER TOLEDO INTL INC 5,773 6,838
    MFS INTL VALUE CL I 1,398,448 1,949,525
    MICRON TECHNOLOGY INC 6,847 7,217
    MICROSOFT CORP 119,379 143,238
    MICROSOFT CORP 58,483 289,813
    MICROSOFT CORP 37,654 91,192
    MICROSOFT CORP 72,302 76,512
    MONDELEZ INTERNATIONAL INC CL A 8,096 8,361
    MONGODB INC CL A 21,910 87,606
    MORGAN STANLEY 6,610 8,840
    MORGAN STANLEY 108,887 116,158
    NASDAQ INC 4,177 4,248
    NATIONAL VISION HOLDINGS INC 25,892 28,442
    NESTLE SA SPONSORED ADR REPSTG 182,967 307,458
    NETFLIX INC 72,422 84,354
    NETFLIX INC 14,035 15,681
    NEWMONT CORP 29,967 36,174
    NEXTERA ENERGY INC 9,925 10,801
    NIKE INC CL B 8,962 12,025
    NORFOLK SOUTHERN CORP 20,065 32,790
    NORFOLK SOUTHERN CORP 5,840 6,653
    NOVO NORDISK AS ADR 77,915 84,588
    NVIDIA CORP 21,802 22,977
    NVIDIA CORP 81,919 82,508
    NVIDIA CORP 50,189 67,364
    NXP SEMICONDUCTORS N V 68,169 68,533
    O REILLY AUTOMOTIVE INC 3,762 3,621
    OPPENHEIMER DEVELOPING MARKETS CL Y 1,030,558 1,392,938
    ORACLE CORP 8,786 8,733
    PALO ALTO NETWORKS INC 54,503 99,154
    PARKER-HANNIFIN CORP 4,189 5,448
    PAYPAL HOLDINGS INC 65,270 95,319
    PAYPAL HOLDINGS INC 40,773 147,078
    PENTAIR PLC 3,300 3,876
    PEPSICO INC 14,056 15,127
    PERNOD RICARD ORD SHS 125,519 203,339
    PFIZER INC 16,033 16,233
    PIONEER NATURAL RESOURCES CO 2,047 2,164
    PNC FINANCIAL SERVICES GROUP INC 5,737 7,748
    PROCTER & GAMBLE CO 21,927 22,541
    PROLOGIS INC 6,317 6,079
    PROLOGIS INC 43,526 47,339
    PUBLIC STORAGE INC 83,729 92,603
    QORVO INC 92,791 114,394
    QUALCOMM INC 11,924 16,148
    QUALCOMM INC 33,838 54,842
    RAYMOND JAMES FINANCIAL INC 3,758 4,784
    RAYTHEON TECHNOLOGIES CORP 7,921 9,010
    REALTY INCOME CORP 3,339 3,357
    REGENERON PHARMACEUTICALS INC 77,592 66,186
    REGENERON PHARMACEUTICALS INC 8,701 6,764
    ROCHE HOLDING LIMITED 78,046 79,657
    ROKU INC 37,771 101,266
    ROLLINS INC 3,334 3,555
    ROPER TECHNOLOGIES INC 5,278 5,173
    ROYAL CARIBBEAN GROUP 2,840 3,510
    S&P GLOBAL INC 43,986 77,252
    SALESFORCE.COM INC 57,855 70,097
    SALESFORCE.COM INC 14,741 16,690
    SCHLUMBERGER LTD 501 633
    SCHWAB CHARLES CORP 43,189 68,422
    SEA LTD 37,585 196,860
    SEMPRA ENERGY 4,526 4,459
    SHERWIN WILLIAMS CO 43,442 85,250
    SHERWIN WILLIAMS CO 4,674 5,144
    SIMON PROPERTY GROUP INC 4,968,918 8,040,710
    SIMON PROPERTY GROUP INC 980 1,279
    SKYWORKS SOLUTIONS INC 42,250 78,733
    SKYWORKS SOLUTIONS INC 20,581 22,168
    SOLAREDGE TECHNOLOGIS INC 33,963 66,058
    SOTERA HEALTH COMPANY 23,355 24,367
    SOUTHERN COMPANY 5,571 6,389
    SPDR S&P 500 ETF 75,417 95,339
    SPDR S&P 500 ETF 102,226 127,867
    STARBUCKS CORP 6,920 9,414
    STARBUCKS CORP 74,166 110,403
    STARBUCKS CORP 31,818 42,685
    STARBUCKS CORP 20,693 32,736
    STATE STREET CORP 4,577 4,803
    SYNOPSYS INC 6,795 8,814
    SYSCO CORP 24,615 26,808
    SYSCO CORP 5,317 6,609
    TARGET CORP 5,662 7,238
    TENCENT HOLDINGS LTD ADR 83,602 161,034
    TESLA INC 21,187 22,581
    TEXAS INSTRUMENTS INC 12,071 14,279
    TEXAS INSTRUMENTS INC 65,510 111,608
    TEXAS INSTRUMENTS INC 29,010 41,853
    THERMO FISHER SCIENTIFIC INC 14,222 15,837
    THERMO FISHER SCIENTIFIC INC 48,816 69,401
    TJX COMPANIES INC 45,176 80,924
    TJX COS INC 44,761 59,822
    TJX COS INC NEW 5,818 6,692
    T-MOBILE US INC 6,681 7,686
    TRACTOR SUPPLY CO 2,758 2,530
    TRANSDIGM GROUP INC 3,928 4,951
    TRAVELERS COS INC 4,856 5,896
    TREX CO INC 57,519 61,953
    TRUIST FINANCIAL CORP 6,119 7,573
    TRUIST FINANCIAL CORP 36,661 50,758
    TYSON FOODS INC CL A 4,727 4,769
    UBER TECHNOLOGIES INC 71,509 119,697
    UDR INC 2,350 2,575
    UNILEVER NV NEW YORK SHS NEW 117,228 170,517
    UNION PACIFIC CORP 28,913 36,439
    UNION PACIFIC CORP 57,315 70,170
    UNION PACIFIC CORP 10,276 11,036
    UNITED PARCEL SERVICE INC CL B 9,117 9,599
    UNITEDHEALTH GROUP INC 21,461 23,496
    UNITEDHEALTH GROUP INC 65,651 78,202
    UNITEDHEALTH GROUP INC 55,515 121,686
    UNITEDHEALTH GROUP INC 35,887 50,849
    VEEVA SYSTEMS INC CL A 21,995 62,618
    VERISK ANALYTICS INC 48,497 56,464
    VERISK ANALYTICS INC 4,519 4,982
    VERIZON COMMUNICATIONS INC 16,122 16,098
    VERTEX PHARMACEUTICALS INC 3,172 2,836
    VIATRIS INC 868 1,012
    VISA INC CL A 17,507 19,248
    VISA INC CL A 24,327 33,684
    VISA INC CL A 49,379 56,214
    VISA INC CLASS A 42,535 114,615
    VISA INC COM CL A 95,209 158,579
    VULCAN MATERIALS CO CMM 60,516 70,447
    VULCAN MATERIALS COMPANY 49,206 60,510
    WALMART INC 48,435 68,471
    WALMART INC 27,963 40,074
    WALMART INC 14,125 14,992
    WALT DISNEY CO 62,352 96,750
    WALT DISNEY CO 114,654 149,655
    WALT DISNEY CO 34,741 52,180
    WASTE MANAGEMENT INC 51,822 63,210
    WASTE MANAGEMENT INC 25,358 28,539
    WELLTOWER INC 3,406 3,942
    WILLIAMS COS INC 2,877 2,586
    ZEBRA TECHNOLOGIES CORP CL A 6,037 8,071
    ZEBRA TECHNOLOGIES CORP CL A 24,958 43,045
    ZEBRA TECHNOLOGIES CORP CLASS A 40,606 93,777
    ZOETIS INC CL A 9,272 9,765

    TY 2020 InvestmentsOtherSchedule2
    Name:
    HERBERT SIMON FAMILY FOUNDATION
    EIN:
    38-3905454
    Category/ Item Listed at Cost or FMV Book Value End of Year Fair Market Value
    OVERLOOK 3G INVESTMENTS, L.P. AT COST 176,298 243,828
    RGG SUSTAINABLE WATER IMPACT FUND B LP AT COST 137,583 137,583
    THE OVERLOOK PARTNERS FUND, L.P. AT COST 982,528 1,155,238
    TIFF CENTERSTONE FUND LP AT COST 3,741,563 4,060,467

    TY 2020 LegalFeesSchedule
    Name:
    HERBERT SIMON FAMILY FOUNDATION
    EIN:
    38-3905454
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    LEGAL FEES 165 0   0


    TY 2020 OtherDecreasesSchedule
    Name:
    HERBERT SIMON FAMILY FOUNDATION
    EIN:
    38-3905454
    Description Amount
    BOOK/TAX DIFFERENCES 116,542


    TY 2020 OtherExpensesSchedule
    Name:
    HERBERT SIMON FAMILY FOUNDATION
    EIN:
    38-3905454
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    OTHER INVESTMENT EXPENSES 308,508 0   0
    WIRE TRANSFER FEES 110 110   0
    KIRKUS REVIEW SUBSCRIPTIONS 53,520 0   53,520
    BOND AMORTIZATION 13,430 13,430   0


    TY 2020 OtherIncomeSchedule2
    Name:
    HERBERT SIMON FAMILY FOUNDATION
    EIN:
    38-3905454
    Description Revenue And Expenses Per Books Net Investment Income Adjusted Net Income
    ICAHN ENTERPRISES - INCOME 24 24 24
    ICAHN ENTERPRISES - INCOME 18 18 18


    TY 2020 OtherProfessionalFeesSchedule
    Name:
    HERBERT SIMON FAMILY FOUNDATION
    EIN:
    38-3905454
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    INVESTMENT ADVISORY FEES 152,426 152,426   0


    TY 2020 TaxesSchedule
    Name:
    HERBERT SIMON FAMILY FOUNDATION
    EIN:
    38-3905454
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    FOREIGN TAXES 9,033 9,033   0
    TAX PAYMENTS 49,032 0   0