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
THE SUSAN S SHIVA FOUNDATION
C/O BAKER TILLY US LLP
Number and street (or P.O. box number if mail is not delivered to street address)ONE PENN PLAZA NO 3000
  Room/suite
City or town, state or province, country, and ZIP or foreign postal code
NEW YORK, NY10119
A Employer identification number

27-3493774
B Telephone number (see instructions)

(212) 697-6900
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$12,182,729J 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) 100,000
2 Check bullet.............
3 Interest on savings and temporary cash investments      
4 Dividends and interest from securities... 78,526 78,526  
5a Gross rents............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10 631,552
b Gross sales price for all assets on line 6a 792,649
7 Capital gain net income (from Part IV, line 2)... 631,552
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 116,823 65,919  
12 Total. Add lines 1 through 11........ 926,901 775,997  
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc. 0 0   0
14 Other employee salaries and wages......        
15 Pension plans, employee benefits.......        
16a Legal fees (attach schedule).........        
b Accounting fees (attach schedule)....... Click to see attachment 47,048 0   47,048
c Other professional fees (attach schedule).... Click to see attachment 72,908 72,908   0
17 Interest...............        
18 Taxes (attach schedule) (see instructions)... Click to see attachment 28,438 8,438   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 1,512 0   1,512
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 149,906 81,346   48,560
25 Contributions, gifts, grants paid....... 971,694 971,694
26 Total expenses and disbursements. Add lines 24 and 25 1,121,600 81,346   1,020,254
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements -194,699
b Net investment income (if negative, enter -0-) 694,651
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............. 222,280 280,118 548,068
2 Savings and temporary cash investments.........      
3 Accounts receivable bullet  
Less: allowance for doubtful accounts bullet        
4 Pledges receivable bullet  
Less: allowance for doubtful accounts bullet        
5 Grants receivable.................      
6 Receivables due from officers, directors, trustees, and other
disqualified persons (attach schedule) (see instructions).....      
7 Other notes and loans receivable (attach schedule) bullet  
Less: allowance for doubtful accounts bullet        
8 Inventories for sale or use..............      
9 Prepaid expenses and deferred charges..........      
10a Investments—U.S. and state government obligations (attach schedule) 473,492 Click to see attachment374,932 374,987
b Investments—corporate stock (attach schedule)....... 151,810 0 0
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).......... 7,490,119 Click to see attachment7,987,927 11,259,378
14 Land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
15 Other assets (describe bullet) Click to see attachment500,271 Click to see attachment296 Click to see attachment296
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 8,837,972 8,643,273 12,182,729
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 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 8,837,972 8,643,273
29 Total net assets or fund balances (see instructions)..... 8,837,972 8,643,273
30 Total liabilities and net assets/fund balances (see instructions). 8,837,972 8,643,273
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
8,837,972
2
Enter amount from Part I, line 27a .....................
2
-194,699
3
Other increases not included in line 2 (itemize) bullet
3
0
4
Add lines 1, 2, and 3 ..........................
4
8,643,273
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
8,643,273
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 PASS-THROUGH ENTITIES - LTCG P    
b FROM PASS-THROUGH ENTITIES - STCG P    
c FROM PASS-THROUGH ENTITIES-SECTION 1231 GAIN P    
d DISTRIBUTION IN EXCESS OF COST BASIS P    
e CHARLES SCHWAB #0551 - LTCG P    
LOSS ON DISPOSITION OF MANATEE PRODUCTIONS LLC P    
TYBOURNE LONG OPPORTUNITIES OFFSHORE FUND- PFIC CAPITAL GAIN P    
HCP ABSOLUTE RETURN FUND OFFSHORE FEEDERLP - PFIC CAPITLA GAIN P    
CHARLES SCHWAB #0551 - LTCG 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 346,558     346,558
b 134,897     134,897
c 435     435
d 18,593     18,593
e 248,799   151,810 96,989
    9,287 -9,287
17,098     17,098
26,165     26,165
104     104
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       346,558
b       134,897
c       435
d       18,593
e       96,989
      -9,287
      17,098
      26,165
      104
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 2 631,552
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 9,656
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 9,656
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 9,656
6 Credits/Payments:
a 2020 estimated tax payments and 2019 overpayment credited to 2020 6a 20,982
b Exempt foreign organizations—tax withheld at source...... 6b 0
c Tax paid with application for extension of time to file (Form 8868)... 6c 5,000
d Backup withholding erroneously withheld ........... 6d 0
7 Total credits and payments. Add lines 6a through 6d.............. 7 25,982
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 16,326
11 Enter the amount of line 10 to be: Credited to 2021 estimated taxBullet16,326 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
Yes
 
b
If "Yes," has it filed a tax return on Form 990-T for this year?...................
4b
Yes
 
5
Was there a liquidation, termination, dissolution, or substantial contraction during the year?.........
5
 
No
If "Yes," attach the statement required by General Instruction T.
6
Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either:
  • By language in the governing instrument, or
  • By state legislation that effectively amends the governing instrument so that no mandatory directions
    • that conflict with the state law remain in the governing instrument?................
    6
    Yes
     
    7
    Did the foundation have at least $5,000 in assets at any time during the year? If "Yes," complete Part II, col. (c),
    and Part XV..................................
    7
    Yes
     
    8a
    Enter the states to which the foundation reports or with which it is registered (see instructions)
    bulletNY
    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 ofbulletBAKER TILLY US LLP Telephone no.bullet (212) 697-6900

    Located atbulletONE PENN PLAZA SUITE 3000NEW YORKNY ZIP+4bullet10119
    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
     
     
    ........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
     
    No
    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
    ALEXANDRA SHIVA PRESIDENT
    1.00     		0 0 0
    5 EAST 9TH STREET
    NEW YORK,NY10003
    GUEDALIAHOU SHIVA SECRETARY
    1.00     		0 0 0
    1 WEST 72ND STREET
    NEW YORK,NY10023
    2 Compensation of five highest-paid employees (other than those included on line 1—see instructions). If none, enter “NONE."
    (a) Name and address of each employee paid more than $50,000 (b) Title, and average
    hours per week
    devoted to position     		(c) Compensation (d) Contributions to
    employee benefit
    plans and deferred
    compensation     		(e) Expense account,
    other allowances
    NONE
    Total number of other employees paid over $50,000...................bullet 0
    Form 990-PF (2020)
    Form 990-PF (2020)
    Page 7
    Part VIII
    Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees,
    and Contractors (continued)
    3 Five highest-paid independent contractors for professional services (see instructions). If none, enter "NONE".
    (a) Name and address of each person paid more than $50,000 (b) Type of service (c) Compensation
    NONE
    Total number of others receiving over $50,000 for professional services.............bullet0
    Part IX-A
    Summary of Direct Charitable Activities
    List the foundation’s four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of organizations and other beneficiaries served, conferences convened, research papers produced, etc. Expenses
    1  
    2  
    3  
    4  
    Part IX-B
    Summary of Program-Related Investments (see instructions)
    Describe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2. Amount
    1  
    2  
    All other program-related investments. See instructions.
    3  
    Total. Add lines 1 through 3.........................bullet0
    Form 990-PF (2020)
    Form 990-PF (2020)
    Page 8
    Part X
    Minimum Investment Return (All domestic foundations must complete this part. Foreign foundations, see instructions.)
    1
    Fair market value of assets not used (or held for use) directly in carrying out charitable, etc.,
    purposes:
    a
    Average monthly fair market value of securities...................
    1a
    1,052,785
    b
    Average of monthly cash balances.......................
    1b
    370,158
    c
    Fair market value of all other assets (see instructions)................
    1c
    9,473,564
    d
    Total (add lines 1a, b, and c).........................
    1d
    10,896,507
    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
    10,896,507
    4
    Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
    instructions) .............................
    4
    163,448
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
    10,733,059
    6
    Minimum investment return. Enter 5% of line 5..................
    6
    536,653
    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
    536,653
    2a
    Tax on investment income for 2020 from Part VI, line 5......
    2a
    9,656
    b
    Income tax for 2020. (This does not include the tax from Part VI.)...
    2b
    10,480
    c
    Add lines 2a and 2b............................
    2c
    20,136
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
    516,517
    4
    Recoveries of amounts treated as qualifying distributions................
    4
    0
    5
    Add lines 3 and 4............................
    5
    516,517
    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
    516,517
    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
    1,020,254
    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
    1,020,254
    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
    1,020,254
    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 7 516,517
    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...... 413,722
    b From 2016...... 269,360
    c From 2017...... 176,883
    d From 2018......  
    e From 2019...... 444,398
    fTotal of lines 3a through e........ 1,304,363
    4Qualifying distributions for 2020 from Part
    XII, line 4: bullet$ 1,020,254
    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..... 516,517
    e Remaining amount distributed out of corpus 503,737
    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 1,808,100
    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) ...     		413,722
    9Excess distributions carryover to 2021.
    Subtract lines 7 and 8 from line 6a ......     		1,394,378
    10 Analysis of line 9:
    a Excess from 2016.... 269,360
    b Excess from 2017.... 176,883
    c Excess from 2018....  
    d Excess from 2019.... 444,398
    e Excess from 2020.... 503,737
    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:
    THE SUSAN S SHIVA FOUNDATION
    C/O BAKER TILLY US LLP ONE PENN
    PLAZA - SUITE 3000
    NEW YORK,NY10119
    (212) 697-6900
    bThe form in which applications should be submitted and information and materials they should include:
    NO SPECIFIC FORM IS REQUIRED. A LETTER SUMMARIZING THE REQUEST SUPPORTED BY APPROPRIATE BROCHURES OR MATERIAL IS REQUIRED.
    cAny submission deadlines:
    NONE
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    GRANTS ARE GENERALLY RESTRICTED TO HEALTH CARE, EDUCATION AND THE ARTS AND ARE ISSUED AT THE DISCRETION OF THE BOARD OF DIRECTORS.
    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
    92ND STREET Y
    1395 LEXINGTON AVE
    NEW YORK,NY10128     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 2,500
    ACLU
    125 BROAD ST
    NEW YORK,NY10004     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    ALEX FUND
    63 BENEDICT AVE
    NEW YORK,NY10591     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    AMER FRIENDS OF JORDAN RIVER VILLAGE
    244 MADISON AVE SUITE 482
    NEW YORK,NY10016     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    AMER COMM FOR WEIZMANN INST OF SCIENCE
    633 3RD AVE NEW YORK
    NEW YORK,NY10017     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 5,000
    AMERI FRIENDS OF THE ISRAELI OPERA
    200 E 74TH STR
    NEW YORK,NY10021     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 3,600
    AMERICAN BALLET THEATRE (ABTORG)
    890 BROADWAY 3RD FLOOR
    NEW YORK,NY10003     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    AMERICAN CANCER SOCIETY
    132 W 32ND ST
    NEW YORK,NY10001     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    AMERICAN FRIENDS ISRAEL PHILHARMOIC
    122 EAST 42ND STREET SUITE 4507
    NEW YORK,NY10168     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 3,000
    AMERICAN FRIENDS OF KESHET EILON
    25 TRINITY PASS RD
    POUND RIDGE,NY105761526     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 61,000
    AMERICAN FRIENDS OF MAGEN DAVID ADOM
    20 W 36TH ST
    NEW YORK,NY10018     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    AMERICAN FRIENDS OF THE HEBREW UNIVERSITY
    199 WATER ST 11TH FLOOR
    NEW YORK,NY10038     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 5,000
    AMERICAN FRIENDS OF THE ISRAEL MUSEUM
    545 5TH AVE 920
    NEW YORK,NY10017     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,250
    ASIA INITIATIVES INC
    200 EAST 61ST STREET 25AB
    NEW YORK,NY10065     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    AUTISM SPEAKS
    1 EAST 33RD STREET 4TH FLOOR
    NEW YORK,NY10016     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    BARBARA D SHERMAN MEMORIAL SCHOLARSHIP
    C/O BAKER TILLY US LLP
    NEW YORK,NY10119     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 5,000
    BROOKLYN ACADEMY OF MUSIC
    30 LAFAYETTE AVE
    BROOKLYN,NY11217     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    CARNEGIE HALL SOCIETY INC
    881 7TH AVE
    NEW YORK,NY10019     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 9,000
    CASITA MARIA FIESTA
    928 SIMPSON ST
    THE BRONX,NY10459     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    CENTRAL PARK CONSERVANCY
    14 EAST 60TH STREET
    NEW YORK,NY10022     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 2,500
    CHAMBER MUSIC SOCIETY OF LINCOLN CENTER
    70 LINCOLN CENTER PLAZA
    NEW YORK,NY10023     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 2,500
    CHICKEN AND EGG PICTURES
    55 WASHINGTON ST STE 307
    BROOKLYN,NY11201     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 25,000
    CITY HARVEST
    6 EAST 32ND STREET 5TH FLOOR
    NEW YORK,NY10016     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 2,000
    CITYMEALS-ON-WHEELS
    355 LEXINGTON AVE 3
    NEW YORK,NY10017     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 2,000
    COALITION FOR THE HOMELESS
    129 FULTON STREET
    NEW YORK,NY10038     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 5,000
    CONGREGATION EMANU-EL
    2125 WESTCHESTER AVENUE EAST
    RYE,NY10580     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,950
    DANCE THEATRE OF HARLEM
    466 W 152ND ST
    NEW YORK,NY10031     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 3,000
    DOCTORS WITHOUT BORDERS
    40 RECTOR ST 16TH FLOOR
    NEW YORK,NY10006     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 2,000
    EDIBLE SCHOOLYARD NYC
    20 JAY ST M 9
    BROOKLYN,NY11201     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 2,000
    FEEDING AMERICA
    161 NORTH CLARK STREET SUITE 700
    CHICAGO,IL60601     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 2,000
    FOUNTAIN HOUSE
    425 W 47TH ST
    NEW YORK,NY10036     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 500
    FRENCH HERITAGE SOCIETY
    14 E 60TH ST 605
    NEW YORK,NY10022     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    GOD'S LOVE WE DELIVER
    166 6TH AVE
    NEW YORK,NY10013     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 2,000
    HENRY STREET SETTLEMENT
    301 HENRY ST 1ST FLOOR
    NEW YORK,NY10002     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 2,000
    HOSPITAL FOR SPECIAL SURGERY FUND INC
    535 E 70TH ST NEW YORK
    NEW YORK,NY10021     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    HOT BREAD KITCHEN
    630 FLUSHING AVE
    BROOKLYN,NY11206     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    ICAHN SCHOOL OF MEDICINE AT MOUNT SINAI
    1 GUSTAVE L LEVY PL
    NEW YORK,NY10029     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 25,000
    INTERNATIONAL RESCUE COMMITTEE
    122 EAST 42ND STREET
    NEW YORK,NY10168     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 5,000
    J STREET EDUCATION FUND
    PO BOX 66073
    WASHINGTON,DC20035     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 10,350
    JOHNS HOPKINS UNIVERSITY
    3400 N CHARLES ST
    BALTIMORE,MD21218     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 5,000
    KING HUSSEIN CANCER FOUNDATION
    601 MASSACHUSETTS AVENUE
    WASHINGTON,DC20001     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 2,500
    KING'S ACADEMY INC
    250 W 19TH ST 16B
    NEW YORK,NY10011     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    LANDMARK WEST
    45 W 67TH ST 1
    NEW YORK,NY10023     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    LINCOLN CENTER FOR THE PERFORMING ARTS
    LINCOLN CENTER PLAZA
    NEW YORK,NY10023     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 11,333
    MARIA DROSTE COUNSELING SERVICES
    171 MADISON AVE SUITE 400
    NEW YORK,NY10016     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    MAYO CLINIC
    200 FIRST ST SW
    ROCHESTER,MN55905     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    METROPOLITAN OPERA THEATRE CL PRDCR
    30 LINCOLN CENTER PLAZA
    NEW YORK,NY10023     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 25,000
    MPTF FOUNDATION
    23388 MULHOLLAND DRIVE
    WOODLAND HILLS,CA91364     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 5,000
    MUSEUM OF MODERN ART
    11 W 53RD ST
    NEW YORK,NY10019     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,500
    NEW YORK CITY BALLET
    20 LINCOLN CENTER PLAZA
    NEW YORK,NY10023     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 3,500
    NEW YORK LIVE ARTS
    219 W 19TH ST
    NEW YORK,NY10011     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,500
    NEW YORK PHILHARMONIC
    10 LINCOLN CENTER
    NEW YORK,NY10023     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 3,500
    NEW YORK PUBLIC RADIO
    160 VARICK STREET
    NEW YORK,NY10013     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,200
    NEW YORK SHAKESPEARE FESTIVAL
    425 LAFAYETTE ST
    NEW YORK,NY10003     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 350,000
    NEXT FOR AUTISM
    1430 BROADWAY 8TH FLOOR
    NEW YORK,NY10018     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 7,500
    NORTH SHORE CHAMBER MUSIC FESTIVAL
    1300 SHERMER RD
    NORTHBROOK,IL60062     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    PEF ENDOWMENT FUNDS INC
    630 3RD AVE 15TH
    NEW YORK,NY10017     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 10,000
    PARK AVENUE ARMORY
    643 PARK AVE
    NEW YORK,NY10065     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    PEACEWORKS FOUNDATION
    PO BOX 1577-OCS
    NEW YORK,NY10113     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    PLANNED PARENTHOOD
    123 WILLIAM ST 10TH FLOOR
    NEW YORK,NY10038     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    PULMONARY WELLNESS FOUNDATION
    10 EAST 38TH STREET 10TH FLOOR
    NEW YORK,NY10016     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    REUT USA
    21550 OXNARD ST SUITE 1000
    WOODLAND HILLS,CA91367     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 3,000
    ROSENTHAL CENER FOR ADDICTION STUDIES
    118 E 28TH ST SUITE 708
    NEW YORK,NY10016     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    SEEDS OF PEACE
    370 LEXINGTON AVENUE SUITE 1201
    NEW YORK,NY10017     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    SESAME WORKSHOP
    1900 BROADWAY
    NEW YORK,NY10023     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 2,000
    SPECIAL OLYMPICS
    560 BROADHOLLOW RD 106
    MELVILLE,NY11747     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    ST JUDE CHILDREN'S RESEARCH HOSPITAL
    220 E 42ND ST
    NEW YORK,NY10017     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    ST THOMAS EPISCOPAL CHURCH
    168 WEST BOSTON POST ROAD
    MAMARONECK,NY10543     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 500
    THE CARNEGIE HALL CORPORATION
    881 7TH AVE
    NEW YORK,NY10019     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 6,000
    THE COMMON GOOD
    767 LEXINGTON AVE 602
    NEW YORK,NY10065     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    THE DOE FUND
    345 E 102ND ST 305
    NEW YORK,NY10029     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    THE ELIE WIESEL FOUND OF HUMANITY
    555 MADISON AVENUE
    NEW YORK,NY10022     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    THE FILM FORUM
    209 W HOUSTON ST
    NEW YORK,NY10014     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 5,000
    THE FORTUNE SOCIETY
    2976 NORTHERN BLVD
    LONG ISLAND CITY,NY11101     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    THE FRICK COLLECTION
    1 E 70TH ST
    NEW YORK,NY10021     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,500
    THE METROPOLITAN OPERA
    30 LINCOLN CENTER PLAZA
    NEW YORK,NY10023     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 10,000
    THE NATION INSTITUTE
    116 E 16TH ST
    NEW YORK,NY10003     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 5,000
    THE NEW GROUP
    240 W 35TH ST SUITE 1200
    NEW YORK,NY10001     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 5,000
    THE NEW YORK PUBLIC LIBRARY
    224 EAST 125TH STREET
    NEW YORK,NY10035     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 2,500
    THE PUBLIC THEATER
    425 LAFAYETTE ST
    NEW YORK,NY10003     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 20,000
    THE ROME CHAMBER MUSIC FESTIVAL
    250 PARK AVE
    NEW YORK,NY10177     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    THE SOCIETY OF MSKCC
    1233 YORK AVE
    NEW YORK,NY10065     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    THIRTEEN
    825 EIGHTH AVENUE
    NEW YORK,NY10019     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    UNITED STATES HOLOCAUST MEMORIAL MUSEUM
    100 RAOUL WALLENBERG PL SW
    WASHINGTON,DC20024     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    VASSAR COLLEGE
    124 RAYMOND AVE
    POUGHKEEPSIE,NY12604     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 258,500
    VISITING NURSE SERVICES OF NEW YORK
    220 EAST 42ND STREET
    NEW YORK,NY10017     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 1,000
    CHARITABLE DONATION FROM PASS-THROUGH ENTITIES
    C/O BAKER TILLY US LLP
    NEW YORK,NY10119     		NONE 501(C)(3) TAX EXEMPT GENERAL CHARITABLE SUPPORT 11
    Total .................................bullet 3a 971,694
    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 78,526  
    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.....     14 116,823  
    8 Gain or (loss) from sales of assets other than
    inventory ............     		    18 631,552  
    9 Net income or (loss) from special events:          
    10 Gross profit or (loss) from sales of inventory          
    11 Other revenue: a
    b
    c
    d
    e
    12 Subtotal. Add columns (b), (d), and (e).. 0 826,901 0
    13Total. Add line 12, columns (b), (d), and (e)..................
    13
    826,901
    (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
    Schedule B
    (Form 990, 990-EZ,
    or 990-PF)
    Department of the Treasury
    Internal Revenue Service
    Schedule of Contributors

    Arrow Bullet Attach to Form 990, 990-EZ, or 990-PF.
    Arrow Bullet Go to www.irs.gov/Form990 for the latest information.
    OMB No. 1545-0047
    2020
    Name of the organization
    THE SUSAN S SHIVA FOUNDATION
    C/O BAKER TILLY US LLP
    Employer identification number

    27-3493774
    Organization type (check one):
    Filers of:
    Section:
    Form 990 or 990-EZ






    Form 990-PF




    Check if your organization is covered by the General Rule or a Special Rule.  
    Note: Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.
    General Rule
    Special Rules
    ......... Arrow Bullet $  
    Caution: An organization that isn't covered by the General Rule and/or the Special Rules doesn't file Schedule B (Form 990,
    990-EZ, or 990-PF), but it must answer “No” on Part IV, line 2, of its Form 990; or check the box on line H of its Form 990-EZ
    or on its Form 990PF, Part I, line 2, to certify that it doesn't meet the filing requirements of Schedule B (Form 990,
    990-EZ, or 990-PF).
    For Paperwork Reduction Act Notice, see the Instructions
    for Form 990, 990-EZ, or 990-PF.
    Cat. No. 30613XSchedule B (Form 990, 990-EZ, or 990-PF) (2020)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2020) Page 2
    Name of organization
    THE SUSAN S SHIVA FOUNDATION
    C/O BAKER TILLY US LLP         		Employer identification number
    27-3493774
    Part I
    Contributors
    Contributors (see instructions). Use duplicate copies of Part I if additional space is needed.
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    1
    ALEXANDRA SHIVA
     
    5 EAST 9TH STREET
     
    NEW YORK, NY10003

    		$ 100,000


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
     
     
     
     

    		$  


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
     
     
     
     

    		$  


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
     
     
     
     

    		$  


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
     
     
     
     

    		$  


    (Complete Part II for noncash contributions.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
     
     
     
     

    		$  


    (Complete Part II for noncash contributions.)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2020)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2020)
    Page 3
    Name of organization
    THE SUSAN S SHIVA FOUNDATION
    C/O BAKER TILLY US LLP         		Employer identification number

    27-3493774
    Part II
    Noncash Property (see instructions). Use duplicate copies of Part II if additional space is needed.
    (a)
    No. from Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (See instructions)     		(d)
    Date received
     
    		$    
    (a)
    No. from Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (See instructions)     		(d)
    Date received
     
    		$    
    (a)
    No. from Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (See instructions)     		(d)
    Date received
     
    		$    
    (a)
    No. from Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (See instructions)     		(d)
    Date received
     
    		$    
    (a)
    No. from Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (See instructions)     		(d)
    Date received
     
    		$    
    (a)
    No. from Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (See instructions)     		(d)
    Date received
     
    		$    
    Schedule B (Form 990, 990-EZ, or 990-PF) (2020)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2020)
    Page 4
    Name of organization
    THE SUSAN S SHIVA FOUNDATION
    C/O BAKER TILLY US LLP         		Employer identification number

    27-3493774
    Part III
    Exclusively religious, charitable, etc., contributions to organizations described in section 501(c)(7), (8), or (10) that total more than $1,000 for the year from any one contributor. Complete columns (a) through (e) and the following line entry. For organizations completing Part III, enter the total of exclusively religious, charitable, etc., contributions of $1,000 or less for the year. (Enter this information once. See instructions.) Arrow Bullet$  
    Use duplicate copies of Part III if additional space is needed.
    (a)
    No. from Part I    		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
     
    (e) Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
         
     
    (a)
    No. from Part I    		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
     
    (e) Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
         
     
    (a)
    No. from Part I    		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
     
    (e) Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
         
     
    (a)
    No. from Part I    		 (b) Purpose of gift (c) Use of gift (d) Description of how gift is held
     
    (e) Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
         
     
    Schedule B (Form 990, 990-EZ, or 990-PF) (2020)
    Additional Data


    Software ID:  
    Software Version:  

    TY 2020 AccountingFeesSchedule
    Name:
    THE SUSAN S SHIVA FOUNDATION
     
    C/O BAKER TILLY US LLP
    EIN:
    27-3493774
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    ACCOUNTING FEES 47,048 0   47,048

    TY 2020 InvestmentsGovtObligationsSch
    Name:
    THE SUSAN S SHIVA FOUNDATION
     
    C/O BAKER TILLY US LLP
    EIN:
    27-3493774
    US Government Securities - End of Year Book Value:

    374,932
    US Government Securities - End of Year Fair Market Value:

    374,987
    State & Local Government Securities - End of Year Book Value:


    0
    State & Local Government Securities - End of Year Fair Market Value:


    0


    TY 2020 InvestmentsOtherSchedule2
    Name:
    THE SUSAN S SHIVA FOUNDATION
     
    C/O BAKER TILLY US LLP
    EIN:
    27-3493774
    Category/ Item Listed at Cost or FMV Book Value End of Year Fair Market Value
    FILM INVESTMENT - BLEED OUT AT COST 3,409 3,409
    FILM INVESTMENT - FANTASY ISLAND AT COST 5,912 5,912
    FILM INVESTMENT- FATHER'S & SON'S AT COST 3,571 3,571
    FILM INVESTMENT- MUSICAL PROJECT AT COST 14,286 14,286
    FILM INVESTMENT - NIGHT SCHOOL AT COST 3,529 3,529
    FILM INVESTMENT - NOTES ON BLINDNESS AT COST 10,679 10,679
    FILM INVESTMENT - RULES TO LIVE BY AT COST 2,500 2,500
    FILM INVESTMENT- SHOOTING THE MAFIA AT COST 18,434 18,434
    FILM INVESTMENT - THE APOLLO AT COST 14,291 14,291
    FILM INVESTMENT- THE BISBEE AT COST 13,636 13,636
    FILM INVESTMENT- THE BLUE WALL AT COST 17,924 17,924
    FILM INVESTMENT- THE FEELING OF BEING WATCHED AT COST 6,667 6,667
    FILM INVESTMENT- THE FOURTH ESTATE AT COST 7,274 7,274
    FILM INVESTMENT - THE REAGAN YEARS AT COST 477 477
    FILM INVESTMENT ON HOLD WITH IMPACT PARTNERS AT COST 38,583 38,583
    GS MOUNT KELLETT CAPITAL PARTNERS AT COST 80,537 5,121
    HCP ABSOLUTE RETURN FUND OFFSHORE FEEDER LP AT COST 1,224,479 1,653,408
    K-1 OAKMARK GLOBAL EQUITY LP AT COST 1,425,943 1,645,408
    K-1 HCP ENERGY AND NATURAL RESOURCES FUND LP AT COST 324,723 447,037
    K-1 HCP REAL ESTATE FUND LP AT COST 366,751 479,935
    K-1 HMI CAPITAL PARTNERS AT COST 2,010,815 2,805,851
    K-1 WGI EMERGING MARKETS FUND LLC AT COST 1,311,187 1,547,568
    TYBOUME LONG OPPORTUNITIES (OFFSHORE) FUND AT COST 932,296 2,320,817
    FILM INVESTMENT - CITIZEN ALLIES AT COST 10,000 10,000
    FILM INVESTMENT - HOLLYWOOD SEXUALS ASSA AT COST 4,762 4,762
    FILM INVESTMENT - JACINTA AT COST 9,444 9,444
    FILM INVESTMENT - LOVE & STUFF AT COST 5,902 5,902
    FILM INVESTMENT - THE TELEVISION EVENT AT COST 27,615 27,615
    FILM INVESTMENT - THE THEATRE OF ALL POS AT COST 18,000 18,000
    FILM INVESTMENT - I2 AT COST 5,850 5,850
    FILM INVESTMENT - US KIDS AT COST 17,596 17,596
    FILM INVESTMENT - GIVING VOICE AT COST 22,619 22,619
    FILM INVESTMENT - LITTLE G DEVELOPMENT AT COST 1,759 1,759
    FILM INVESTMENT - FATHOM AT COST 2,460 2,460
    FILM INVESTMENT - UNTITLED MISSOURI PROJECT AT COST 2,500 2,500
    FILM INVESTMENT - ATHLETE A AT COST 8,627 8,627
    FILM INVESTMENT - THE GRAB AT COST 5,417 5,417
    FILM INVESTMENT - UNTITLED PENNY LANE AT COST 158 158
    FILM INVESTMENT - MIJA DEVELOPMENT AT COST 2,375 2,375
    FILM INVESTMENT - A SONG FOR SUMMER & WINTER AT COST 3,065 3,065
    FILM INVESTMENT - THE OIL WAR AT COST 1,875 1,875
    GS MEZZANINE PARTNERS V OFFSHORE LP AT COST 0 7,711
    GS HEDGE FUNDS AT COST 0 35,326

    TY 2020 OtherAssetsSchedule
    Name:
    THE SUSAN S SHIVA FOUNDATION
     
    C/O BAKER TILLY US LLP
    EIN:
    27-3493774
    Description Beginning of Year - Book Value End of Year - Book Value End of Year - Fair Market Value
    DISTRIBUTION RECEIVABLE 500,271 296 296


    TY 2020 OtherExpensesSchedule
    Name:
    THE SUSAN S SHIVA FOUNDATION
     
    C/O BAKER TILLY US LLP
    EIN:
    27-3493774
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    BANK FEES 762 0   762
    FILING FEES 750 0   750


    TY 2020 OtherIncomeSchedule2
    Name:
    THE SUSAN S SHIVA FOUNDATION
     
    C/O BAKER TILLY US LLP
    EIN:
    27-3493774
    Description Revenue And Expenses Per Books Net Investment Income Adjusted Net Income
    INVESTMENT INCOME FROM PASS-THROUGH ENTITIES 65,327 65,327 65,327
    INVESTMENT LOSS FROM FILM INVESTMENTS -700 -700 -700
    ADDITION: UBT LOSS FROM PASS-THROUGH ENTITIES-FILM INVESTMENTS   700  
    SUBTRACT: UBTI FROM FILM INVESTMENTS   -52,196  
    FILM INVESTMENT RECOUPMENT INCOME 52,196 52,196 52,196
    ADDITION: UBT LOSS FROM PASS-THROUGH ENTITIES   592  


    TY 2020 OtherProfessionalFeesSchedule
    Name:
    THE SUSAN S SHIVA FOUNDATION
     
    C/O BAKER TILLY US LLP
    EIN:
    27-3493774
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    INVESTMENT MANAGEMENT FEES 72,908 72,908   0


    TY 2020 TaxesSchedule
    Name:
    THE SUSAN S SHIVA FOUNDATION
     
    C/O BAKER TILLY US LLP
    EIN:
    27-3493774
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    FROM PASS-THROUGH ENTITIES-FOREIGN TAXES 8,438 8,438   0
    FEDERAL EXCISE TAXES 20,000 0   0