Form990-PF

Department of the Treasury
Internal Revenue Service

Return of Private Foundation
or Section 4947(a)(1) Trust Treated as Private Foundation
bulletDo not enter social security numbers on this form as it may be made public.
bulletGo to www.irs.gov/Form990PF for instructions and the latest information.
OMB No. 1545-0052
2020
Open to Public Inspection
For calendar year 2020, or tax year beginning 01-01-2020 , and ending 12-31-2020
Name of foundation
GRIFFITHS G H & O J CHAR FDN
 
Number and street (or P.O. box number if mail is not delivered to street address)PO BOX 52007
  Room/suite
City or town, state or province, country, and ZIP or foreign postal code
PHOENIX, AZ85072
A Employer identification number

30-6265990
B Telephone number (see instructions)

(805) 564-6211
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$6,020,894J 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... 104,634 103,265  
5a Gross rents............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10 -83,772
b Gross sales price for all assets on line 6a 1,691,378
7 Capital gain net income (from Part IV, line 2)... 0
8 Net short-term capital gain......... 0
9 Income modifications...........  
10a Gross sales less returns and allowances  
b Less: Cost of goods sold....  
c Gross profit or (loss) (attach schedule).....    
11 Other income (attach schedule).......      
12 Total. Add lines 1 through 11........ 20,862 103,265  
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc. 124,797 93,598   31,199
14 Other employee salaries and wages......   0 0 0
15 Pension plans, employee benefits.......   0 0  
16a Legal fees (attach schedule).........       0
b Accounting fees (attach schedule)....... Click to see attachment 1,000 0 0 1,000
c Other professional fees (attach schedule)....       0
17 Interest...............       0
18 Taxes (attach schedule) (see instructions)... Click to see attachment 1,762 1,762   0
19 Depreciation (attach schedule) and depletion... 0 0  
20 Occupancy..............        
21 Travel, conferences, and meetings.......   0 0  
22 Printing and publications..........   0 0  
23 Other expenses (attach schedule)....... Click to see attachment 10     10
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 127,569 95,360 0 32,209
25 Contributions, gifts, grants paid....... 241,000 241,000
26 Total expenses and disbursements. Add lines 24 and 25 368,569 95,360 0 273,209
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements -347,707
b Net investment income (if negative, enter -0-) 7,905
c Adjusted net income (if negative, enter -0-)... 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......... 54,842 111,017 111,017
3 Accounts receivable bullet  
Less: allowance for doubtful accounts bullet     0 0
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 bullet0      
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)....... 5,004,464 Click to see attachment4,601,622 5,909,877
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)..........     0
14 Land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
15 Other assets (describe bullet)      
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 5,059,306 4,712,639 6,020,894
Liabilities 17 Accounts payable and accrued expenses..........    
18 Grants payable.................    
19 Deferred revenue.................    
20 Loans from officers, directors, trustees, and other disqualified persons    
21 Mortgages and other notes payable (attach schedule)......    
22 Other liabilities (describe bullet)    
23 Total liabilities (add lines 17 through 22).........   0
Net Assets or Fund Balances Foundations that follow FASB ASC 958, check here bullet
and complete lines 24, 25, 29 and 30.
24 Net assets without donor restrictions...........    
25 Net assets with donor restrictions............    
Foundations that do not follow FASB ASC 958, check here bullet
and complete lines 26 through 30.
26 Capital stock, trust principal, or current funds........ 5,059,306 4,712,639
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)..... 5,059,306 4,712,639
30 Total liabilities and net assets/fund balances (see instructions). 5,059,306 4,712,639
Part III
Analysis of Changes in Net Assets or Fund Balances
1
Total net assets or fund balances at beginning of year—Part II, column (a), line 29 (must agree with end-of-year figure reported on prior year’s return) ...............
1
5,059,306
2
Enter amount from Part I, line 27a .....................
2
-347,707
3
Other increases not included in line 2 (itemize) bulletClick to see attachment
3
1,040
4
Add lines 1, 2, and 3 ..........................
4
4,712,639
5
Decreases not included in line 2 (itemize) bullet
5
0
6
Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 29 .
6
4,712,639
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 330. BRISTOL MYERS SQUIBB - CVR   2019-11-21 2020-01-16
b 8059.485 AQR MANAGED FUTURES STRAT R6 #15282   2015-12-21 2020-04-02
c 333. ABBOTT LABS COM   2017-08-22 2020-04-02
d 30. ADOBE INC   2017-08-22 2020-04-02
e 33. AMERICAN INTL GROUP COM   2017-08-22 2020-04-02
65. AMERICAN TOWER CORP   2017-08-22 2020-04-02
24. ANALOG DEVICES INC   2017-08-22 2020-04-02
206. APPLE INC COM   2017-08-22 2020-04-02
152. APPLIED MATLS INC   2017-08-22 2020-04-02
131. BAXTER INTL INC COM   2017-08-22 2020-04-02
1949.578 BLACKSTONE ALTNV MLT STR FD CL I   2017-08-24 2020-04-02
283. BRISTOL MYERS SQUIBB CO   2018-02-15 2020-04-02
32. CHEVRON CORP. COMMON STOCK   2017-08-22 2020-04-02
84. CISCO SYS INC   2018-02-15 2020-04-02
55. CITIGROUP INC COM   2017-08-22 2020-04-02
63. COCA-COLA CO   2017-08-22 2020-04-02
159. COMCAST CORP-CL A   2017-08-22 2020-04-02
12. CONCHO RES INC   2017-08-22 2020-04-02
14. CONSTELLATION BRANDS INC-A   2017-08-22 2020-04-02
23. COSTCO WHOLESALE CORP   2017-08-22 2020-04-02
3841.585 DFA LARGE CAP INTERNATIONAL PORT #28   2019-02-27 2020-04-02
15359.551 DODGE & COX INCOME FD #147   2018-12-19 2020-04-02
124.028 DODGE & COX INCOME FD #147   2020-03-26 2020-04-02
20. DOLLAR TREE STORES   2018-02-15 2020-04-02
14. ECOLAB INC   2017-08-22 2020-04-02
9. EQUIFAX INC   2018-02-15 2020-04-02
24. FACEBOOK INC CL A   2017-08-22 2020-04-02
31. FORTIVE CORP COM   2017-08-22 2020-04-02
378. GILEAD SCIENCES INC   2018-02-15 2020-04-02
559. HALLIBURTON CO   2017-08-22 2020-04-02
4582.731 OAKMARK INTERNATIONAL INTL #2886   2019-08-06 2020-04-02
226. HARTFORD FINL SVCS GROUP INC   2018-02-15 2020-04-02
1360.491 HARTFORD SCHRODERS EMRG MKT FD#3150   2017-08-24 2020-04-02
630. HOLOGIC INC   2018-02-15 2020-04-02
18. HONEYWELL INTL INC   2017-08-22 2020-04-02
17. HUNT J B TRANS SVCS INC   2017-08-22 2020-04-02
357. INTERCONTINENTAL EXCHANGE INC   2017-08-22 2020-04-02
47. JPMORGAN CHASE & CO   2017-08-22 2020-04-02
23. LOWES COS INC   2017-08-22 2020-04-02
41. MASTERCARD INC-A   2017-08-22 2020-04-02
91. MICROSOFT CORP   2017-08-22 2020-04-02
8. NORTHROP GRUMMAN CORP   2017-08-22 2020-04-02
640. OUTFRONT MEDIA INC COM REIT   2017-08-22 2020-04-02
87. PNC FINANCIAL SERVICES GROUP   2018-02-15 2020-04-02
187. PVH CORP   2017-08-22 2020-04-02
22. PHILIP MORRIS INTL COM   2017-08-22 2020-04-02
21. PROCTER & GAMBLE CO   2017-08-22 2020-04-02
4. ROCKWELL AUTOMATION, INC. COMMON STO   2019-08-06 2020-04-02
1028. SPDR S & P 500 ETF TR UNIT SER 1   2019-11-13 2020-04-02
469. STARBUCKS CORP   2017-08-22 2020-04-02
290. TJX COS INC NEW   2017-08-22 2020-04-02
178. TEXAS INSTRS INC   2017-08-22 2020-04-02
17. UNITED PARCEL SERVICE CL B   2017-08-22 2020-04-02
48. VERIZON COMMUNICATIONS   2017-08-22 2020-04-02
253. WEC ENERGY GROUP INC COM   2017-08-22 2020-04-02
272.21 WESTERN ASSET MAC OPP IS FD #5102   2019-12-18 2020-04-02
5056.419 WESTERN ASSET MAC OPP IS FD #5102   2017-12-20 2020-04-02
127. ALLERGAN PLC SHS   2018-02-15 2020-04-02
18. LINDE PLC COM   2018-10-31 2020-04-02
13. MEDTRONIC PLC SHS   2017-08-22 2020-04-02
162. ROYAL CARIBBEAN CRUISES LTD   2017-08-22 2020-04-02
445. E TRADE FIN CORP COM   2018-02-15 2020-04-24
51. CONCHO RES INC   2017-08-22 2020-05-22
138. CONCHO RES INC   2019-08-06 2020-05-22
146. EQUIFAX INC   2018-02-15 2020-05-22
70. ROCKWELL AUTOMATION, INC. COMMON STO   2019-08-06 2020-05-22
.6 VONTIER CORPORATION   2017-08-22 2020-10-21
3192.253 AQR EQTY MKT NEUTRAL FD R6 #15296   2017-08-24 2020-11-12
120.258 AQR EQTY MKT NEUTRAL FD R6 #15296   2019-12-23 2020-11-12
7406.256 AQR STYLE PREMIA ALT CL R6 #15289   2018-02-20 2020-11-12
12. ABBOTT LABS COM   2017-08-22 2020-11-12
4. ADOBE INC   2017-08-22 2020-11-12
6. ALPHABET INC CAP STK CL A   2017-08-22 2020-11-12
1. AMAZON.COM INC   2020-04-02 2020-11-12
33. AMERICAN INTL GROUP COM   2017-08-22 2020-11-12
12. AMERICAN TOWER CORP   2017-08-22 2020-11-12
18. ANALOG DEVICES INC   2017-08-22 2020-11-12
6. ANTHEM INC COM   2020-04-02 2020-11-12
237. APPLE INC COM   2017-08-22 2020-11-12
47. APPLIED MATLS INC   2017-08-22 2020-11-12
5554.511 BLACKSTONE ALTNV MLT STR FD CL I   2018-12-18 2020-11-12
127.907 BLACKSTONE ALTNV MLT STR FD CL I   2019-12-18 2020-11-12
40. CMS ENERGY CORP   2020-04-02 2020-11-12
26. CHEVRON CORP. COMMON STOCK   2017-08-22 2020-11-12
42. CITIGROUP INC COM   2017-08-22 2020-11-12
54. COMCAST CORP-CL A   2017-08-22 2020-11-12
11. CONSTELLATION BRANDS INC-A   2017-08-22 2020-11-12
6. COSTCO WHOLESALE CORP   2017-08-22 2020-11-12
263.617 DFA LARGE CAP INTERNATIONAL PORT #28   2019-02-27 2020-11-12
19. DISNEY (WALT) COMPANY HOLDING CO   2018-02-15 2020-11-12
1076.611 DODGE & COX INTL STOCK FD(CLSD)#1048   2018-02-20 2020-11-12
21. DOLLAR TREE STORES   2018-02-15 2020-11-12
171. EOG RES INC   2017-08-22 2020-11-12
12. ECOLAB INC   2017-08-22 2020-11-12
15. ELECTRONIC ARTS INC COMMON   2020-04-02 2020-11-12
19. FACEBOOK INC CL A   2017-08-22 2020-11-12
23. FORTIVE CORP COM   2017-08-22 2020-11-12
4. GOLDMAN SACHS GROUP INC   2019-08-06 2020-11-12
784.901 OAKMARK INTERNATIONAL INTL #2886   2019-08-06 2020-11-12
14. HONEYWELL INTL INC   2017-08-22 2020-11-12
14. HUNT J B TRANS SVCS INC   2017-08-22 2020-11-12
50. ILLUMINA INC   2020-04-02 2020-11-12
130. JPMORGAN CHASE & CO   2017-08-22 2020-11-12
22. LILLY ELI & CO   2020-04-02 2020-11-12
18. LOWES COS INC   2017-08-22 2020-11-12
12. MASTERCARD INC-A   2017-08-22 2020-11-12
11. MCDONALDS CORP   2020-04-02 2020-11-12
10. MERCK & CO COM COM   2020-04-02 2020-11-12
32. MERCK & CO COM COM   2017-08-22 2020-11-12
68. MICROSOFT CORP   2017-08-22 2020-11-12
32. MONDELEZ INTL INC CL A   2020-04-02 2020-11-12
3. O REILLY AUTOMOTIVE INC NEW   2020-04-02 2020-11-12
10. PNC FINANCIAL SERVICES GROUP   2017-08-22 2020-11-12
21. PHILIP MORRIS INTL COM   2017-08-22 2020-11-12
20. PROCTER & GAMBLE CO   2017-08-22 2020-11-12
44. SCHWAB CHARLES CORP NEW   2017-08-22 2020-11-12
9. STANLEY BLACK & DECKER INC   2020-04-02 2020-11-12
22. TJX COS INC NEW   2017-08-22 2020-11-12
14. UNITED PARCEL SERVICE CL B   2017-08-22 2020-11-12
10. V F CORP   2020-04-02 2020-11-12
50. VERIZON COMMUNICATIONS   2017-08-22 2020-11-12
8. VONTIER CORPORATION   2017-08-22 2020-11-12
12. WEC ENERGY GROUP INC COM   2017-08-22 2020-11-12
16. XILINX INC   2020-04-02 2020-11-12
14. LINDE PLC COM   2018-10-31 2020-11-12
23. MEDTRONIC PLC SHS   2017-08-22 2020-11-12
18. APTIV PLC COM   2017-08-22 2020-11-12
15. ALCON INC ORD SHS   2020-04-02 2020-11-12
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(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 1,140   703 437
b 69,795   86,511 -16,716
c 26,231   16,603 9,628
d 9,154   4,577 4,577
e 716   2,016 -1,300
14,157   9,224 4,933
2,089   1,900 189
49,912   32,940 16,972
6,507   6,762 -255
10,563   8,136 2,427
17,722   21,250 -3,528
15,442   17,127 -1,685
2,435   3,406 -971
3,286   3,785 -499
2,147   3,664 -1,517
2,731   2,876 -145
5,403   6,581 -1,178
571   1,315 -744
1,806   2,756 -950
6,573   3,650 2,923
66,920   84,707 -17,787
211,501   203,667 7,834
1,708   1,723 -15
1,414   2,121 -707
2,099   1,842 257
993   1,029 -36
3,826   4,071 -245
1,720   2,044 -324
28,605   28,948 -343
4,296   21,713 -17,417
68,283   98,620 -30,337
7,566   12,418 -4,852
17,251   21,102 -3,851
21,137   23,979 -2,842
2,355   2,367 -12
1,529   1,662 -133
28,463   23,357 5,106
4,084   4,291 -207
1,885   1,731 154
9,692   5,475 4,217
14,078   6,658 7,420
2,484   2,186 298
6,845   13,700 -6,855
7,846   12,462 -4,616
6,322   22,605 -16,283
1,625   2,555 -930
2,370   1,950 420
594   607 -13
257,640   295,488 -37,848
29,975   25,650 4,325
12,931   10,420 2,511
17,944   14,430 3,514
1,565   1,950 -385
2,640   2,321 319
22,137   16,358 5,779
2,594   2,978 -384
48,188   55,123 -6,935
22,331   27,018 -4,687
2,969   2,942 27
1,119   1,065 54
4,212   19,555 -15,343
17,024   23,142 -6,118
2,885   5,587 -2,702
7,806   9,611 -1,805
21,407   16,696 4,711
14,293   10,631 3,662
17   15 2
23,623   39,903 -16,280
890   1,122 -232
47,104   77,013 -29,909
1,339   598 741
1,861   610 1,251
10,467   5,639 4,828
3,106   1,919 1,187
1,177   2,016 -839
2,865   1,703 1,162
2,428   1,425 1,003
1,979   1,262 717
28,118   9,474 18,644
3,279   2,091 1,188
56,323   60,504 -4,181
1,297   1,363 -66
2,590   2,266 324
2,085   2,768 -683
2,014   2,798 -784
2,571   2,235 336
2,129   2,165 -36
2,253   952 1,301
6,111   5,813 298
2,566   2,006 560
43,118   50,558 -7,440
1,957   2,227 -270
6,877   14,420 -7,543
2,423   1,579 844
1,796   1,528 268
5,239   3,223 2,016
1,593   1,292 301
855   814 41
18,170   16,891 1,279
2,744   1,841 903
1,775   1,369 406
15,067   13,488 1,579
14,606   11,870 2,736
3,100   3,087 13
2,826   1,355 1,471
3,942   1,603 2,339
2,323   1,750 573
792   756 36
2,535   1,993 542
14,651   4,975 9,676
1,830   1,604 226
1,364   899 465
1,190   1,274 -84
1,546   2,439 -893
2,826   1,857 969
1,958   1,747 211
1,588   845 743
1,298   790 508
2,269   1,606 663
757   502 255
3,022   2,418 604
227   195 32
1,227   776 451
2,040   1,252 788
3,575   2,288 1,287
2,512   1,883 629
1,947   1,422 525
947   737 210
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
      39,143
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       437
b       -16,716
c       9,628
d       4,577
e       -1,300
      4,933
      189
      16,972
      -255
      2,427
      -3,528
      -1,685
      -971
      -499
      -1,517
      -145
      -1,178
      -744
      -950
      2,923
      -17,787
      7,834
      -15
      -707
      257
      -36
      -245
      -324
      -343
      -17,417
      -30,337
      -4,852
      -3,851
      -2,842
      -12
      -133
      5,106
      -207
      154
      4,217
      7,420
      298
      -6,855
      -4,616
      -16,283
      -930
      420
      -13
      -37,848
      4,325
      2,511
      3,514
      -385
      319
      5,779
      -384
      -6,935
      -4,687
      27
      54
      -15,343
      -6,118
      -2,702
      -1,805
      4,711
      3,662
      2
      -16,280
      -232
      -29,909
      741
      1,251
      4,828
      1,187
      -839
      1,162
      1,003
      717
      18,644
      1,188
      -4,181
      -66
      324
      -683
      -784
      336
      -36
      1,301
      298
      560
      -7,440
      -270
      -7,543
      844
      268
      2,016
      301
      41
      1,279
      903
      406
      1,579
      2,736
      13
      1,471
      2,339
      573
      36
      542
      9,676
      226
      465
      -84
      -893
      969
      211
      743
      508
      663
      255
      604
      32
      451
      788
      1,287
      629
      525
      210
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
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 -83,772
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................................ 1 110
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........................... 3 110
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- ..... 5 110
6 Credits/Payments:
a 2020 estimated tax payments and 2019 overpayment credited to 2020 6a 352
b Exempt foreign organizations—tax withheld at source...... 6b 0
c Tax paid with application for extension of time to file (Form 8868)... 6c 0
d Backup withholding erroneously withheld ........... 6d  
7 Total credits and payments. Add lines 6a through 6d.............. 7 352
8 Enter any penalty for underpayment of estimated tax. Check here if Form 2220 is attached. 8 0
9 Tax due. If the total of lines 5 and 8 is more than line 7, enter amount owed.......Bullet 9  
10 Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid...Bullet 10 242
11 Enter the amount of line 10 to be: Credited to 2021 estimated taxBullet112 RefundedBullet 11 130
Part VII-A
Statements Regarding Activities
1a
During the tax year, did the foundation attempt to influence any national, state, or local legislation or did
Yes
No
it participate or intervene in any political campaign? ....................
1a
 
No
b
Did it spend more than $100 during the year (either directly or indirectly) for political purposes? See the instructions
for the definition.................................
1b
 
No
If the answer is "Yes" to 1a or 1b, attach a detailed description of the activities and copies of any materials
published or distributed by the foundation in connection with the activities.
c
Did the foundation file Form 1120-POL for this year?.....................
1c
 
No
d
Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year:
(1) On the foundation. bullet$   (2) On foundation managers.bullet$  
e
Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed
on foundation managers.bullet$  
2
Has the foundation engaged in any activities that have not previously been reported to the IRS?.......
2
 
No
If "Yes," attach a detailed description of the activities.
3
Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles
of incorporation, or bylaws, or other similar instruments? If "Yes," attach a conformed copy of the changes....
3
 
No
4a
Did the foundation have unrelated business gross income of $1,000 or more during the year?........
4a
 
No
b
If "Yes," has it filed a tax return on Form 990-T for this year?...................
4b
 
 
5
Was there a liquidation, termination, dissolution, or substantial contraction during the year?.........
5
 
No
If "Yes," attach the statement required by General Instruction T.
6
Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either:
  • By language in the governing instrument, or
  • By state legislation that effectively amends the governing instrument so that no mandatory directions
    • that conflict with the state law remain in the governing instrument?................
    6
    Yes
     
    7
    Did the foundation have at least $5,000 in assets at any time during the year? If "Yes," complete Part II, col. (c),
    and Part XV..................................
    7
    Yes
     
    8a
    Enter the states to which the foundation reports or with which it is registered (see instructions)
    bulletCA
    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 addressbullet  
    14
    The books are in care ofbulletMUFG UNION BANK NA Telephone no.bullet (805) 884-8638

    Located atbullet1486 EAST VALLEY ROADSANTA BARBARACA ZIP+4bullet93108
    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
    MUFG UNION BANK N A CO-TRUSTEE
    1     		62,399    
    PO BOX 52007
    PHOENIX,AZ85072
    JOHN A BERRYHILL CO-TRUSTEE
    1     		62,398    
    PO BOX 5691
    SANTA BARBARA,CA931505691
    2 Compensation of five highest-paid employees (other than those included on line 1—see instructions). If none, enter “NONE."
    (a) Name and address of each employee paid more than $50,000 (b) Title, and average
    hours per week
    devoted to position     		(c) Compensation (d) Contributions to
    employee benefit
    plans and deferred
    compensation     		(e) Expense account,
    other allowances
    NONE
    Total number of other employees paid over $50,000...................bullet 0
    Form 990-PF (2020)
    Form 990-PF (2020)
    Page 7
    Part VIII
    Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees,
    and Contractors (continued)
    3 Five highest-paid independent contractors for professional services (see instructions). If none, enter "NONE".
    (a) Name and address of each person paid more than $50,000 (b) Type of service (c) Compensation
    NONE
    Total number of others receiving over $50,000 for professional services.............bullet0
    Part IX-A
    Summary of Direct Charitable Activities
    List the foundation’s four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of organizations and other beneficiaries served, conferences convened, research papers produced, etc. Expenses
    1  
    2  
    3  
    4  
    Part IX-B
    Summary of Program-Related Investments (see instructions)
    Describe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2. Amount
    1  
    2  
    All other program-related investments. See instructions.
    3  
    Total. Add lines 1 through 3.........................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
    5,290,000
    b
    Average of monthly cash balances.......................
    1b
    211,091
    c
    Fair market value of all other assets (see instructions)................
    1c
    0
    d
    Total (add lines 1a, b, and c).........................
    1d
    5,501,091
    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
    5,501,091
    4
    Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
    instructions) .............................
    4
    82,516
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
    5,418,575
    6
    Minimum investment return. Enter 5% of line 5..................
    6
    270,929
    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
    270,929
    2a
    Tax on investment income for 2020 from Part VI, line 5......
    2a
    110
    b
    Income tax for 2020. (This does not include the tax from Part VI.)...
    2b
     
    c
    Add lines 2a and 2b............................
    2c
    110
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
    270,819
    4
    Recoveries of amounts treated as qualifying distributions................
    4
    0
    5
    Add lines 3 and 4............................
    5
    270,819
    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
    270,819
    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
    273,209
    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
    0
    3
    Amounts set aside for specific charitable projects that satisfy the:
    a
    Suitability test (prior IRS approval required)....................
    3a
    0
    b
    Cash distribution test (attach the required schedule) .................
    3b
    0
    4
    Qualifying distributions. Add lines 1a through 3b. Enter here and on Part V, line 8, and Part XIII, line 4
    4
    273,209
    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
    273,209
    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 7 270,819
    2 Undistributed income, if any, as of the end of 2020:
    a Enter amount for 2019 only....... 240,661
    b Total for prior years:20, 20, 20 0
    3 Excess distributions carryover, if any, to 2020:
    a From 2015...... 0
    b From 2016...... 0
    c From 2017...... 0
    d From 2018...... 0
    e From 2019...... 0
    fTotal of lines 3a through e........ 0
    4Qualifying distributions for 2020 from Part
    XII, line 4: bullet$ 273,209
    a Applied to 2019, but not more than line 2a 240,661
    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..... 32,548
    e Remaining amount distributed out of corpus 0
    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 0
    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 ..........     		238,271
    7 Amounts treated as distributions out of
    corpus to satisfy requirements imposed by
    section 170(b)(1)(F) or 4942(g)(3) (Election may
    be required - see instructions) .......     		0
    8 Excess distributions carryover from 2015 not
    applied on line 5 or line 7 (see instructions) ...     		0
    9Excess distributions carryover to 2021.
    Subtract lines 7 and 8 from line 6a ......     		0
    10 Analysis of line 9:
    a Excess from 2016.... 0
    b Excess from 2017.... 0
    c Excess from 2018.... 0
    d Excess from 2019.... 0
    e Excess from 2020.... 0
    Form 990-PF (2020)
    Form 990-PF (2020)
    Page 10
    Part XIV
    Private Operating Foundations (see instructions and Part VII-A, question 9)
    1a If the foundation has received a ruling or determination letter that it is a private operating
    foundation, and the ruling is effective for 2020, enter the date of the ruling....... bullet
     
    b Check box to indicate whether the organization is a private operating foundation described in section or
    2a Enter the lesser of the adjusted net
    income from Part I or the minimum
    investment return from Part X for each
    year listed ..........     		Tax year Prior 3 years (e) Total
    (a) 2020 (b) 2019 (c) 2018 (d) 2017
             
    b 85% of line 2a .........          
    c Qualifying distributions from Part XII,
    line 4 for each year listed .....     		         
    d Amounts included in line 2c not used directly
    for active conduct of exempt activities ..........     		         
    e Qualifying distributions made directly
    for active conduct of exempt activities.
    Subtract line 2d from line 2c ....     		         
    3 Complete 3a, b, or c for the
    alternative test relied upon:
    a “Assets" alternative test—enter:
    (1) Value of all assets ......          
    (2) Value of assets qualifying
    under section 4942(j)(3)(B)(i)    		          
    b “Endowment" alternative test— enter 2/3
    of minimum investment return shown in
    Part X, line 6 for each year listed...     		         
    c “Support" alternative test—enter:
    (1) Total support other than gross
    investment income (interest,
    dividends, rents, payments
    on securities loans (section
    512(a)(5)), or royalties) ....     		         
    (2) Support from general public
    and 5 or more exempt
    organizations as provided in
    section 4942(j)(3)(B)(iii)....     		         
    (3) Largest amount of support
    from an exempt organization    		          
    (4) Gross investment income          
    Part XV
    Supplementary Information (Complete this part only if the foundation had $5,000 or more in
    assets at any time during the year—see instructions.)
    1Information Regarding Foundation Managers:
    aList any managers of the foundation who have contributed more than 2% of the total contributions received by the foundation
    before the close of any tax year (but only if they have contributed more than $5,000). (See section 507(d)(2).)
    bList any managers of the foundation who own 10% or more of the stock of a corporation (or an equally large portion of the
    ownership of a partnership or other entity) of which the foundation has a 10% or greater interest.
    2Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc., Programs:
    Check here bullet
    aThe name, address, and telephone number or e-mail address of the person to whom applications should be addressed:
    STEPHANIE EUBANKS CO MUFG UNION BA
    1486 EAST VALLEY ROAD
    SANTA BARBARA,CA93108
    (805) 884-8638
    bThe form in which applications should be submitted and information and materials they should include:
    LETTER OF INQUIRE
    cAny submission deadlines:
    OCTOBER 1ST
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    AWARDS ARE RESTRICTED TO SANTA BARBARA COUNTY
    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
    SANTA BARBARA SYMPHONY
    1330 STATE STREET SUITE 102
    SANTA BARBARA,CA93101     		NONE EXEMPT TO PROMOTE THE SYMPHONY FOR 17,000
    COMMUNITY ARTS MUSIC ASSOC
    2060 ALAMEDA PADRE SERRA SUITE 201
    SANTA BARBARA,CA93103     		NONE EXEMPT TO PRESENT MUSICAL 15,000
    SANTA BARBARA MARITIME MUSEUM
    113 HARBOR WAY SUITE 190
    SANTA BARBARA,CA93109     		NONE EXEMPT FOR ONGOING RESTORATION OF 17,000
    SANTA BARBARA MUSEUM OF ART
    1130 STATE STREET
    SANTA BARBARA,CA93101     		NONE EXEMPT SUPPORT MUSEUM'S EDUCATION 15,000
    SB MUSEUM OF NATURAL HISTORY
    2559 PUESTA DEL SOL
    SANTA BARBARA,CA93105     		NONE EXEMPT SUPPORT MUSEUM'S 17,000
    SANTA BARBARA HISTORICAL MUSEUM
    136 E DE LA GUERRA STREET
    SANTA BARBARA,CA93101     		NONE EXEMPT SUPPORT EDUC AND STUDY OF 17,000
    LOBERO THEATRE FOUNDATION
    33 E CANNON PERDIDO STREET
    SANTA BARBARA,CA93101     		NONE EXEMPT GENERAL SUPPORT FOR LOBERO 10,000
    SCHOLARSHIP FOUNDATION OF SB
    2253 LAS POSITAS ROAD
    SANTA BARBARA,CA93105     		NONE EXEMPT GEORGE GRIFFITHS/OLIVE 25,000
    OPERA SANTA BARBARA
    1330 STATE STREET SUITE 209
    SANTA BARBARA,CA93101     		NONE EXEMPT GENERAL OPERATING SUPPORT 17,000
    UC SANTA BARBARA FOUNDATION
    4219 CHEADLE HALL
    SANTA BARBARA,CA931062013     		NONE EXEMPT UCSB'S DEAN'S FUND FOR 58,000
    SANTA BARBARA BOTANIC GARDEN
    1212 MISSIONS CANYON RD
    SANTA BARBARA,CA93105     		NONE EXEMPT CHARITABLE 15,000
    SANTA BARBARA CENTER FOR THE PERFORMING
    ARTS (GRANADA THEATER)
    1214 STATE ST
    SANTA BARBARA,CA93101     		NONE EXEMPT CHARITABLE 15,000
    LOTUSLAND
    COLD SPRING ROAD
    MONTECITO,CA93108     		NONE EXEMPT CHARITABLE 3,000
    Total .................................bullet 3a 241,000
    bApproved for future payment
    Total .................................bullet 3b  
    Form 990-PF (2020)
    Form 990-PF (2020)
    Page 12
    Part XVI-A
    Analysis of Income-Producing Activities
    Enter gross amounts unless otherwise indicated. Unrelated business income Excluded by section 512, 513, or 514 (e)
    Related or exempt
    function income
    (See instructions.)
    1Program service revenue: (a)
    Business code     		(b)
    Amount     		(c)
    Exclusion code     		(d)
    Amount
    a
    b
    c
    d
    e
    f
    gFees and contracts from government agencies          
    2 Membership dues and assessments....          
    3 Interest on savings and temporary cash
    investments ...........     		         
    4 Dividends and interest from securities....     14 104,634  
    5 Net rental income or (loss) from real estate:
    aDebt-financed property......          
    bNot debt-financed property.....          
    6 Net rental income or (loss) from personal property          
    7 Other investment income.....          
    8 Gain or (loss) from sales of assets other than
    inventory ............     		    18 -83,772  
    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)..   20,862  
    13Total. Add line 12, columns (b), (d), and (e)..................
    13
    20,862
    (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:
    GRIFFITHS G H & O J CHAR FDN
    EIN:
    30-6265990
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    TAX PREPARATION FEE (NON-ALLOC 1,000     1,000

    TY 2020 InvestmentsCorpStockSchedule
    Name:
    GRIFFITHS G H & O J CHAR FDN
    EIN:
    30-6265990
    Name of Stock End of Year Book Value End of Year Fair Market Value
    AQR MGD FUTURES STR    
    WESTERN ASSET MAC OPP IS FD    
    ABBOTT LABS COM 7,429 16,314
    ADOBE SYS INC 7,323 24,006
    ALLERGAN PLC SHS    
    ALPHABET INC CAP STK CL A 62,963 117,427
    AMERICAN INTL GROUP COM 25,802 16,091
    AMERICAN TOWER CORP 22,563 35,689
    ANALOG DEVICES INC 19,004 35,455
    APPLE INC COM 53,368 177,141
    APPLIED MATLS INC 26,827 52,039
    APTIV PLC COM 18,648 32,312
    BAXTER INTL INC COM    
    BRISTOL MYERS SQUIBB CO 36,489 39,513
    CHEVRON CORP COMMON STOCK 34,490 27,362
    CISCO SYS INC 39,358 53,924
    CITIGROUP INC COM 35,837 33,173
    COCA-COLA CO 34,022 40,253
    COMCAST CORP CL A 28,930 36,628
    CONCHO RES INC    
    CONSTELLATION BRANDS INC 27,559 30,667
    COSTCO WHOLESALE CORP 11,902 28,259
    DISNEY (WALT) COMPANY HOLDING 26,264 46,744
    DOLLAR TREE STORES 20,478 28,955
    ECOLAB INC 19,732 32,454
    EOG RES INC 15,058 10,922
    FACEBOOK INC CL A 41,893 67,471
    FORTIVE CORP COM 17,196 21,671
    GILEAD SCIENCES INC    
    HALLIBURTON CO    
    HOLOGIC INC    
    HONEYWELL INTL INC 23,933 38,711
    HUNT J B TRANS SVCS INC 17,503 24,460
    INTERCONTINENTAL EXCHANGE INC    
    JPMORGAN CHASE & CO 41,719 58,325
    LILLY ELI & CO 25,222 49,977
    LOWES COS INC 17,537 37,399
    MASTERCARD INC 20,566 54,969
    MEDTRONIC PLC SHS 24,239 34,673
    MERCK & CO COM 34,011 44,663
    MICROSOFT CORP 64,093 194,840
    MONDELEZ INTL INC CL 19,019 25,376
    NORTHROP GRUMMAN CORP 26,748 29,558
    OUTFRONT MEDIA INC COM REIT    
    PHILIP MORRIS INTL COM 27,360 22,105
    PNC FINANCIAL SERVICES GROUP 16,176 18,923
    PROCTER & GAMBLE CO 23,277 36,872
    PVH CORP    
    ROYAL CARIBBEAN CRUISES LTD    
    SCHWAB CHARLES CORP NEW 21,874 31,028
    STARBUCKS CORP    
    TEXAS INSTRS INC    
    TJX COS INC NEW 9,917 18,848
    UNITED PARCEL SERVICE CL 20,298 29,807
    VERIZON COMMUNICATIONS 30,660 37,248
    WEC ENERGY GROUP INC COM 10,797 15,369
    AQR EQTY MKT NEUTRAL FD R6 #15    
    AQR STYLE PREMIA ALT CL #15289    
    BLACKROCK STRAT INC OPPS CL #1 55,579 57,676
    BLACKSTONE ALTNV MLT STR FD    
    DODGE & COX INTL STOCK FD (CLS 143,803 154,941
    ISHARES GOLD TR 63,146 90,324
    MFS INTERNATIONAL GROWTH #4805 271,272 375,783
    NATIXIS ASG MGD FUT CL N #6100 69,804 73,284
    PIMCO TOTAL RETURN INSTL #35 243,070 246,991
    PRUDENTIAL TOTAL RTRN BD CL Q 246,961 259,086
    UNDISCOVERED MGRS BEHAVRL 100,415 100,761
    EATON VANCE GLBL MACRO ABS R6    
    DELAWARE SM CAP CORE FD CL R6 299,446 340,566
    E TRADE FIN CORP COM    
    EQUIFAX INC    
    HARTFORD FINL SVCS CROUP INC 17,333 16,457
    LINDE PLC COM 29,749 47,959
    O REILLEY AUTOMOTIVE INC NEW 13,888 24,439
    DODGE & COX INCOME FD #147    
    DOUBLELINE CORE FIXED INC CL I 240,015 253,551
    BERKSHIRE HATHAWAY B 51,143 61,677
    BLACKROCK EV DRIVEN EQTY FD #0 74,335 75,719
    BRISTOL MYERS SQUIBB - CVR    
    DFA LARGE CAP INTERNATIONAL PO 124,305 141,105
    GOLDMAN SACHS GROUP INC 36,402 50,105
    HARTFORD SCHRODES EMRG MKT FD 272,502 345,207
    OAKMARK INTERNATIONAL INTL #28 128,959 156,165
    ROCKWELL AUTOMATION, INC. COMM    
    SPDR S & P 500 ETF TR UNIT SER    
    VICTORY RS SM CAP GROW #279 203,232 264,310
    ALCON INC ORD SHS 10,616 14,252
    AMAZON.COM INC 67,168 113,993
    AMERICAN BEACON AHL MGD FUTS # 60,918 58,685
    AMGEN INC 27,742 30,579
    ANTHEM INC COM 21,040 32,109
    BLACKROCK TOTAL FACTOR K#1994 50,629 48,921
    CMS ENERGY CORP 29,914 32,213
    ELECTRONIC ARTS INC COMMON 20,887 29,438
    EVERSOURCE ENERGY COM 22,294 20,935
    HARBOR CP APPRE RTRMT CL #2515 129,264 127,723
    ILLUMINA INC 12,139 16,650
    MCDONALDS CORP 25,616 34,547
    OTIS WORLDWIDE CORP 25,421 26,142
    STANLEY BLACK & DECKER INC 11,927 22,677
    UNITEDHEALTH GROUP INC 32,463 43,134
    V F CORP 7,581 12,897
    VANGUARD REAL ESTATE ETF 83,705 103,530
    VONTIER CORP 2,992 4,108
    VULCAN MATLS CO 15,582 16,759
    WORKDAY INCCL A 20,159 30,910
    XILINX INC 17,052 30,906
    EATON VANCE GLBL MACRO ABS R6 113,070 115,042

    TY 2020 OtherExpensesSchedule
    Name:
    GRIFFITHS G H & O J CHAR FDN
    EIN:
    30-6265990
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    STATE FILING FEE 10 0   10
    NON ALLOCABLE EXPENSES   0   0


    TY 2020 OtherIncreasesSchedule
    Name:
    GRIFFITHS G H & O J CHAR FDN
    EIN:
    30-6265990
    Description Amount
    LITIGATION FEE ADJUSTMENT 215
    MUTUAL FUND TIMING DIFFERENCES 793
    BASIS ADJUSTMENT 32


    TY 2020 TaxesSchedule
    Name:
    GRIFFITHS G H & O J CHAR FDN
    EIN:
    30-6265990
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    FOREIGN TAXES ON QUALIFIED FOR 1,571 1,571   0
    FOREIGN TAXES ON NONQUALIFIED 191 191   0