TY 2021 Form 990PF

- TIN:

Form990-PF
Click to see attachment

Department of the Treasury
Internal Revenue Service

Return of Private Foundation

or Section 4947(a)(1) Trust Treated as Private Foundation

Do not enter social security numbers on this form as it may be made public.
bullet

Go to www.irs.gov/Form990PF for instructions and the latest information.

OMB No. 1545-0047

2021

Open to Public Inspection

For calendar year 2021, or tax year beginning 01-01-2021 , and ending 12-31-2021

Name of foundation
HERBERT SIMON FAMILY FOUNDATION

Number and street (or P.O. box number if mail is not delivered to street address)600 E 96TH STREET 510
Room/suite

City or town, state or province, country, and ZIP or foreign postal code
INDIANAPOLIS, IN46240

A Employer identification number

38-3905454

B Telephone number (see instructions)

(317) 575-2953

C If exemption application is pending, check here bullet

G Check all that apply: Initial returnInitial return of a former public charity
Final returnAmended return
Address change Name change

D 1. Foreign organizations, check here............. bullet

2. Foreign organizations meeting the 85%
test, check here and attach computation ... bullet

E If private foundation status was terminated
under section 507(b)(1)(A), check here ....... bullet

H Check type of organization: Section 501(c)(3) exempt private foundation
Section 4947(a)(1) nonexempt charitable trust Other taxable private foundation

F If the foundation is in a 60-month termination
under section 507(b)(1)(B), check here ....... bullet

I Fair market value of all assets at end
of year (from Part II, col. (c),
line 16) bullet

$43,190,358J Accounting method: Cash Accrual
Other (specify)
(Part I, column (d) must be on cash basis.)

	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	(d) Disbursements for charitable purposes (cash basis only)


1	Contributions, gifts, grants, etc., received (attach schedule)	2,997,086
2	Check .............
3	Interest on savings and temporary cash investments
4	Dividends and interest from securities...	925,430		925,430
5a	Gross rents............
b	Net rental income or (loss)
6a	Net gain or (loss) from sale of assets not on line 10		5,773,738
b	Gross sales price for all assets on line 6a 16,282,759
7	Capital gain net income (from Part IV, line 2)...			5,773,738
8	Net short-term capital gain.........
9	Income modifications...........
10a	Gross sales less returns and allowances
b	Less: Cost of goods sold....
c	Gross profit or (loss) (attach schedule).....
11	Other income (attach schedule).......
12	Total. Add lines 1 through 11........	9,696,254		6,699,168
13	Compensation of officers, directors, trustees, etc.	0		0	0
14	Other employee salaries and wages......	170,000		0	85,000
15	Pension plans, employee benefits.......
16a	Legal fees (attach schedule).........		10,041	0	0
b	Accounting fees (attach schedule).......		28,150	0	20,850
c	Other professional fees (attach schedule)....		145,024	145,024	0
17	Interest...............
18	Taxes (attach schedule) (see instructions)...		35,384	14,384	0
19	Depreciation (attach schedule) and depletion...
20	Occupancy..............	9,390		0	0
21	Travel, conferences, and meetings.......
22	Printing and publications..........
23	Other expenses (attach schedule).......		440,668	87,148	353,520
24	Total operating and administrative expenses.
	Add lines 13 through 23..........	838,657		246,556	459,370
25	Contributions, gifts, grants paid.......	10,919,603			10,919,603
26	Total expenses and disbursements. Add lines 24 and 25	11,758,260		246,556	11,378,973
27	Subtract line 26 from line 12:
a	Excess of revenue over expenses and disbursements	-2,062,006
b	Net investment income (if negative, enter -0-)			6,452,612
c	Adjusted net income (if negative, enter -0-)...

For Paperwork Reduction Act Notice, see instructions.

Cat. No. 11289X Form 990-PF (2021)

Form 990-PF (2021)

Page 2

Part II		Balance Sheets	Beginning of year	End of year
Part II		Balance Sheets	(a) Book Value	(b) Book Value	(c) Fair Market Value
	1	Cash—non-interest-bearing.............
	2	Savings and temporary cash investments.........	3,082,386	3,063,197	3,063,197
	3	Accounts receivable
		Less: allowance for doubtful accounts
	4	Pledges receivable
		Less: allowance for doubtful accounts
	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)
		Less: allowance for doubtful accounts
	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).......	20,113,927	16,338,221	32,670,836
	c	Investments—corporate bonds (attach schedule).......	1,432,993	554,783	561,552
	11	Investments—land, buildings, and equipment: basis
		Less: accumulated depreciation (attach schedule)
	12	Investments—mortgage loans.............
	13	Investments—other (attach schedule)..........	5,037,972	6,118,988	6,894,773
	14	Land, buildings, and equipment: basis
		Less: accumulated depreciation (attach schedule)
	15	Other assets (describe )
	16	Total assets (to be completed by all filers—see the
		instructions. Also, see page 1, item I)	29,667,278	26,075,189	43,190,358
	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 )
	23	Total liabilities (add lines 17 through 22).........	0	0
		Foundations that follow FASB ASC 958, check here
		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
		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	29,667,278	26,075,189
	29	Total net assets or fund balances (see instructions).....	29,667,278	26,075,189
	30	Total liabilities and net assets/fund balances (see instructions).	29,667,278	26,075,189

Part III

Analysis of Changes in Net Assets or Fund Balances

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) ...............

29,667,278

Enter amount from Part I, line 27a .....................

-2,062,006

Other increases not included in line 2 (itemize) bullet

Add lines 1, 2, and 3 ..........................

27,605,272

Decreases not included in line 2 (itemize) bullet

1,530,083

Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 29 .

26,075,189

Form 990-PF (2021)

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
1 a	PUBLICLY TRADED SECURITIES
b	PUBLICLY TRADED SECURITIES
c	PUBLICLY TRADED SECURITIES
d	FROM K-1: OVERLOOK 3G INVESTMENTS LP	P
e	FROM K-1: THE OVERLOOK PARTNERS FUND LP	P
	FROM K-1: THE OVERLOOK PARTNERS FUND LP	P
	FROM K-1: TIFF SUSTAINABILITY FUND, L.P.	P
	FROM K-1: TIFF SUSTAINABILITY FUND, L.P.	P
	CAPITAL GAINS DIVIDENDS	P

(e) Gross sales price		(g) Cost or other basis plus expense of sale	(h) Gain or (loss) (e) plus (f) minus (g)
a	2,873,572	2,729,465	144,107
b	9,505,793	6,007,654	3,498,139
c	2,967,658	1,771,902	1,195,756
d	14,985		14,985
e	169,687		169,687
	7,257		7,257
	128,622		128,622
	277,030		277,030
	338,155		338,155

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			144,107
b			3,498,139
c			1,195,756
d			14,985
e			169,687
			7,257
			128,622
			277,030
			338,155

2	Capital gain net income or (net capital loss)	If gain, also enter in Part I, line 7 If (loss), enter -0- in Part I, line 7	2	5,773,738
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 ...................		3

Form 990-PF (2021)

Page 4

Part V

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 and enter “N/A" on line 1.
	Date of ruling or determination letter: (attach copy of letter if necessary–see instructions)
b	All other domestic foundations enter 1.39% (0.0139) of line 27b. Exempt foreign organizations enter 4% (0.04) 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	89,691
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	89,691
6	Credits/Payments:

a	2021 estimated tax payments and 2020 overpayment credited to 2021	6a	6,440
b	Exempt foreign organizations—tax withheld at source......	6b	0
c	Tax paid with application for extension of time to file (Form 8868)...	6c	100,000
d	Backup withholding erroneously withheld ...........	6d	0

7	Total credits and payments. Add lines 6a through 6d..............		7	106,440
8	Enter any penalty for underpayment of estimated tax. Check here if Form 2220 is attached.		8	490
9	Tax due. If the total of lines 5 and 8 is more than line 7, enter amount owed.......		9
10	Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid...		10	16,259
11	Enter the amount of line 10 to be: Credited to 2022 estimated tax16,259	Refunded	11	0

Part VI-A

Statements Regarding Activities

During the tax year, did the foundation attempt to influence any national, state, or local legislation or did

Yes

it participate or intervene in any political campaign? ....................

Did it spend more than $100 during the year (either directly or indirectly) for political purposes? See the instructions

for the definition.................................

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.

Did the foundation file Form 1120-POL for this year?.....................

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

Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed

on foundation managers. bullet

$ 0

Has the foundation engaged in any activities that have not previously been reported to the IRS?.......

If "Yes," attach a detailed description of the activities.

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....

Did the foundation have unrelated business gross income of $1,000 or more during the year?.........

If "Yes," has it filed a tax return on Form 990-T for this year?...................

Was there a liquidation, termination, dissolution, or substantial contraction during the year?.........

If "Yes," attach the statement required by General Instruction T.

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?................

Yes

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 XIV..................................

Yes

Enter the states to which the foundation reports or with which it is registered (see instructions)

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 .

Yes

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 2021 or the taxable year beginning in 2021? See the instructions for Part XIII.

If "Yes," complete Part XIII .............................

Did any persons become substantial contributors during the tax year? If "Yes," attach a schedule listing their names

and addresses. ...............................

Form 990-PF (2021)

Page 5

Part VI-A

Statements Regarding Activities (continued)

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 .............

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 Click to see attachment

.................

Yes

Did the foundation comply with the public inspection requirements for its annual returns and exemption application?

Yes

Website address bullet

N/A

The books are in care of bullet

HERBERT SIMON Telephone no. bullet

(317) 575-2953

Located at bullet

600 EAST 96TH STREET SUITE 510INDIANPOLISIN ZIP+4 bullet

46260

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

16 At any time during calendar year 2021, 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 VI-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

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? ...........

1a(1)

(2) Borrow money from, lend money to, or otherwise extend credit to (or accept it from)

a disqualified person? ..............................

1a(2)

(3) Furnish goods, services, or facilities to (or accept them from) a disqualified person? ...........

1a(3)

Yes

(4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person? ............

1a(4)

(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)? ......................

1a(5)

(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.) ...............

1a(6)

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 ..........

Organizations relying on a current notice regarding disaster assistance check here........ bullet

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 2021? .............

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)):

At the end of tax year 2021, did the foundation have any undistributed income (lines 6d

and 6e, Part XII) for tax year(s) beginning before 2021?....................

If "Yes," list the years bullet

20, 20, 20, 20

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.) ..............

If the provisions of section 4942(a)(2) are being applied to any of the years listed in 2a, list the years here.

20, 20, 20, 20

Did the foundation hold more than a 2% direct or indirect interest in any business enterprise at

any time during the year? ..............................

If "Yes," did it have excess business holdings in 2021 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 2021.) .....................

Did the foundation invest during the year any amount in a manner that would jeopardize its charitable purposes?

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 2021? ..

Form 990-PF (2021)

Page 6

Part VI-B

Statements Regarding Activities for Which Form 4720 May Be Required (continued)

During the year did the foundation pay or incur any amount to:

Yes

(1) Carry on propaganda, or otherwise attempt to influence legislation (section 4945(e))? ..........

5a(1)

(2) Influence the outcome of any specific public election (see section 4955); or to carry

on, directly or indirectly, any voter registration drive? ....................

5a(2)

(3) Provide a grant to an individual for travel, study, or other similar purposes? .............

5a(3)

(4) Provide a grant to an organization other than a charitable, etc., organization described

in section 4945(d)(4)(A)? See instructions ........................

5a(4)

Yes

(5) Provide for any purpose other than religious, charitable, scientific, literary, or

educational purposes, or for the prevention of cruelty to children or animals? .............

5a(5)

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 ........

Yes

Organizations relying on a current notice regarding disaster assistance check here ......... bullet

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? .................

Yes

If "Yes," attach the statement required by Regulations section 53.4945–5(d). Click to see attachment

Did the foundation, during the year, receive any funds, directly or indirectly, to pay premiums on

a personal benefit contract? .............................

Did the foundation, during the year, pay premiums, directly or indirectly, on a personal benefit contract? ....

If "Yes" to 6b, file Form 8870.

At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction?

If "Yes", did the foundation receive any proceeds or have any net income attributable to the transaction? .....

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 VII

Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees,
and Contractors

1 List all officers, directors, trustees, foundation managers and their compensation. See instructions

(a) Name and address	(b) Title, and average hours per week devoted to position	(c) Compensation (If not paid, enter -0-)	(d) Contributions to employee benefit plans and deferred compensation	(e) Expense account, other allowances
HERBERT SIMON	PRESIDENT / DIRECTOR 0.50	0	0	0
600 EAST 96TH STREET SUITE 510 INDIANAPOLIS,IN46240	PRESIDENT / DIRECTOR 0.50	0	0	0
STEPHEN H SIMON	SECRETARY / DIRECTOR 0.10	0	0	0
600 EAST 96TH STREET SUITE 510 INDIANAPOLIS,IN46240	SECRETARY / DIRECTOR 0.10	0	0	0
JENNIFER K SIMON	DIRECTOR 0.10	0	0	0
600 EAST 96TH STREET SUITE 510 INDIANAPOLIS,IN46240	DIRECTOR 0.10	0	0	0
SARAH M SIMON	DIRECTOR 0.10	0	0	0
600 EAST 96TH STREET SUITE 510 INDIANAPOLIS,IN46240	DIRECTOR 0.10	0	0	0
RACHEL M SIMON	DIRECTOR 0.10	0	0	0
600 EAST 96TH STREET SUITE 510 INDIANAPOLIS,IN46240	DIRECTOR 0.10	0	0	0
ASHER M SIMON	DIRECTOR 0.10	0	0	0
600 EAST 96TH STREET SUITE 510 INDIANAPOLIS,IN46240	DIRECTOR 0.10	0	0	0

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...................				0

Form 990-PF (2021)

Page 7

Part VII

Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees,
and Contractors (continued)

3 Five highest-paid independent contractors for professional services (see instructions). If none, enter "NONE".
(a) Name and address of each person paid more than $50,000	(b) Type of service	(c) Compensation
STIFEL NICOLAUS & COMPANY INC	INVESTMENT ADVISORY	145,024
600 E 96TH STREET SUITE 575 INDIANAPOLIS,IN46240	INVESTMENT ADVISORY	145,024

Total number of others receiving over $50,000 for professional services............. bullet

Part VIII-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 VIII-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 (2021)

Page 8

Part IX

Minimum Investment Return (All domestic foundations must complete this part. Foreign foundations, see instructions.)

Fair market value of assets not used (or held for use) directly in carrying out charitable, etc.,

purposes:

Average monthly fair market value of securities...................

32,720,925

Average of monthly cash balances.......................

4,000,021

Fair market value of all other assets (see instructions)................

6,894,773

Total (add lines 1a, b, and c).........................

43,615,719

Reduction claimed for blockage or other factors reported on lines 1a and

1c (attach detailed explanation) .............

Acquisition indebtedness applicable to line 1 assets..................

Subtract line 2 from line 1d.........................

43,615,719

Cash deemed held for charitable activities. Enter 1.5% (0.015) of line 3 (for greater amount, see

instructions) .............................

654,236

Net value of noncharitable-use assets. Subtract line 4 from line 3. .......

42,961,483

Minimum investment return. Enter 5% (0.05) of line 5................

2,148,074

Part X

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.)

Minimum investment return from Part IX, line 6..................

2,148,074

Tax on investment income for 2021 from Part V, line 5.......

89,691

Income tax for 2021. (This does not include the tax from Part V.) ...

Add lines 2a and 2b............................

89,691

Distributable amount before adjustments. Subtract line 2c from line 1............

2,058,383

Recoveries of amounts treated as qualifying distributions................

Add lines 3 and 4............................

2,058,383

Deduction from distributable amount (see instructions).................

Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XII, line 1 ...

2,058,383

Part XI

Qualifying Distributions (see instructions)

Amounts paid (including administrative expenses) to accomplish charitable, etc., purposes:

Expenses, contributions, gifts, etc.—total from Part I, column (d), line 26 ..........

Program-related investments—total from Part VIII-B..................

Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc.,

purposes...............................

Amounts set aside for specific charitable projects that satisfy the:

Suitability test (prior IRS approval required)....................

Cash distribution test (attach the required schedule) .................

Qualifying distributions. Add lines 1a through 3b. Enter here and on Part XII, line 4.

Form 990-PF (2021)

Page 9

Part XII

Undistributed Income (see instructions)

		(a) Corpus	(b) Years prior to 2020	(c) 2020	(d) 2021
1 Distributable amount for 2021 from Part X, line 7					2,058,383
2 Undistributed income, if any, as of the end of 2021:
a Enter amount for 2020 only.......				0
b Total for prior years:20, 20, 20			0
3 Excess distributions carryover, if any, to 2021:
a From 2016......	6,029,265
b From 2017......	4,878,910
c From 2018......	5,714,389
d From 2019......	6,256,269
e From 2020......	7,128,741
f Total of lines 3a through e ........		30,007,574
4Qualifying distributions for 2021 from Part
XI, line 4: $ 11,378,973
a Applied to 2020, 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 2021 distributable amount.....					2,058,383
e Remaining amount distributed out of corpus		9,320,590
5 Excess distributions carryover applied to 2021.		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		39,328,164
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 2021. Subtract lines 4d and 5 from line 1. This amount must be distributed in 2022 ..........					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 2016 not applied on line 5 or line 7 (see instructions) ...		6,029,265
9 Excess distributions carryover to 2022. Subtract lines 7 and 8 from line 6a ......		33,298,899
10 Analysis of line 9:
a Excess from 2017....	4,878,910
b Excess from 2018....	5,714,389
c Excess from 2019....	6,256,269
d Excess from 2020....	7,128,741
e Excess from 2021....	9,320,590

Form 990-PF (2021)

Page 10

Part XIII

Private Operating Foundations (see instructions and Part VI-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 2021, enter the date of the ruling ....... bullet

b Check box to indicate whether the organization is a private operating foundation described in section 4942(j)(3) or4942(j)(5)

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) 2021	(b) 2020	(c) 2019	(d) 2018	(e) Total

b 85% (0.85) of line 2a .........
c Qualifying distributions from Part XI, 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 IX, 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 XIV

Supplementary Information (Complete this part only if the foundation had $5,000 or more in
assets at any time during the year—see instructions.)

1Information Regarding Foundation Managers:

aList any managers of the foundation who have contributed more than 2% of the total contributions received by the foundation
before the close of any tax year (but only if they have contributed more than $5,000). (See section 507(d)(2).)

HERBERT SIMON

bList any managers of the foundation who own 10% or more of the stock of a corporation (or an equally large portion of the
ownership of a partnership or other entity) of which the foundation has a 10% or greater interest.

2Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc., Programs:

Check here bullet

if the foundation only makes contributions to preselected charitable organizations and does not accept
unsolicited requests for funds. If the foundation makes gifts, grants, etc. to individuals or organizations under
other conditions, complete items 2a, b, c, and d. See instructions

aThe name, address, and telephone number or email address of the person to whom applications should be addressed:

bThe form in which applications should be submitted and information and materials they should include:

cAny submission deadlines:

dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
factors:

Form 990-PF (2021)

Page 11

Part XIV

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)		Foundation status of recipient	Purpose of grant or contribution	Amount
aPaid during the year
CENTRAL INDIANA COMMUNITY FOUNDATION INC 615 NORTH ALABAMA STREET SUITE 119 INDIANAPOLIS,IN46204	N/A	PC	MAKING GRANTS TO CHARITABLE ORGANIZATIONS	10,163,091
JAKKS CARES FOUNDATION 2951 28TH STREET SANTA MONICA,CA90405	N/A	NC	OPERATIONS	100,000
KIRKUS PRIZE WINNER - BRIAN BROOME 65 W 36TH STREET SUITE 700 NEW YORK,NY10018	N/A	I	KIRKUS PRIZE WINNER	50,000
KIRKUS PRIZE WINNER - CHRISTINA SOO 65 W 36TH STREET SUITE 700 NEW YORK,NY10018	N/A	I	KIRKUS PRIZE WINNER	50,000
KIRKUS PRIZE WINNER - JOY WILLIAMS 65 W 36TH STREET SUITE 700 NEW YORK,NY10018	N/A	I	KIRKUS PRIZE WINNER	50,000
CENTRAL INDIANA COMMUNITY FOUNDATION INC 615 NORTH ALABAMA STREET SUITE 119 INDIANAPOLIS,IN46204	N/A	PC	ROOTS TO READ	506,512
Total ................................. 3a				10,919,603

bApproved for future payment

Total ................................. 3b				0

Form 990-PF (2021)

Page 12

Part XV-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	(e) Related or exempt function income (See instructions.)
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 ....
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	5,773,738
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		6,699,168	0

13Total. Add line 12, columns (b), (d), and (e)..................

6,699,168

(See worksheet in line 13 instructions to verify calculations.)

Part XV-B

Relationship of Activities to the Accomplishment of Exempt Purposes

Line No.	Explain below how each activity for which income is reported in column (e) of Part XV-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 (2021)

Page 13

Part XVI

Information Regarding Transfers To and Transactions and Relationships With Noncharitable Exempt Organizations

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

Transfers from the reporting foundation to a noncharitable exempt organization of:

(1) Cash...................................

1a(1)

(2) Other assets.................................

1a(2)

Other transactions:

(1) Sales of assets to a noncharitable exempt organization....................

1b(1)

(2) Purchases of assets from a noncharitable exempt organization..................

1b(2)

(3) Rental of facilities, equipment, or other assets.......................

1b(3)

(4) Reimbursement arrangements...........................

1b(4)

(5) Loans or loan guarantees.............................

1b(5)

(6) Performance of services or membership or fundraising solicitations................

1b(6)

Sharing of facilities, equipment, mailing lists, other assets, or paid employees..............

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

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? ...........Yes No

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.
				May the IRS discuss this return with the preparer shown below? See instructions. Yes No
	Signature of officer or trustee	Date	Title

Paid Preparer Use Only	Print/Type preparer's name	Preparer's Signature	Date	Check if self- employed	PTIN
	Firm's name				Firm's EIN
	Firm's address				Phone no.

Form 990-PF (2021)

Additional Data

Software ID:
Software Version:

Form 990PF - Special Condition Description:

Special Condition Description

- TIN:

Schedule B
(Form 990)

Department of the Treasury
Internal Revenue Service

Schedule of Contributors

Attach to Form 990, 990-EZ, or 990-PF.

Go to www.irs.gov/Form990 for the latest information.

OMB No. 1545-0047

2021

Name of the organization

HERBERT SIMON FAMILY FOUNDATION

Employer identification number

38-3905454

Organization type (check one):

Filers of:

Section:

Form 990 or 990-EZ

501(c)( ) (enter number) organization

4947(a)(1) nonexempt charitable trust not treated as a private foundation

527 political organization

Form 990-PF

501(c)(3) exempt private foundation

4947(a)(1) nonexempt charitable trust treated as a private foundation

501(c)(3) taxable private foundation

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

For an organization filing Form 990, 990-EZ, or 990-PF that received, during the year, contributions totaling $5,000 or more (in money or other property) from any one contributor. Complete Parts I and II. See instructions for determining a contributor's total contributions.

Special Rules

For an organization described in section 501(c)(3) filing Form 990 or 990-EZ that met the 33¹/3% support test of the regulations
under sections 509(a)(1) and 170(b)(1)(A)(vi), that checked Schedule A (Form 990 or 990-EZ), Part II, line 13, 16a, or 16b, and that received from any one contributor, during the year, total contributions of the greater of (1) $5,000 or (2) 2% of the amount on (i) Form 990, Part VIII, line 1h, or (ii) Form 990-EZ, line 1. Complete Parts I and II.

For an organization described in section 501(c)(7), (8), or (10) filing Form 990 or 990-EZ that received from any one contributor,
during the year, total contributions of more than $1,000 exclusively for religious, charitable, scientific, literary, or educational purposes, or for the prevention of cruelty to children or animals. Complete Parts I, II, and III.

For an organization described in section 501(c)(7), (8), or (10) filing Form 990 or 990-EZ that received from any one contributor,
during the year, contributions exclusively for religious, charitable, etc., purposes, but no such contributions totaled more than $1,000. If this box is checked, enter here the total contributions that were received during the year for an exclusively religious, charitable, etc., purpose. Don't complete any of the parts unless the General Rule applies to this organization because it received nonexclusively religious, charitable, etc., contributions totaling $5,000 or more during the year ......... 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) (2021)

Schedule B (Form 990) (2021) Page 2

Name of organization HERBERT SIMON FAMILY FOUNDATION

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	HERBERT SIMON REVOCABLE TRUST 8765 PINE RIDGE DRIVE INDIANAPOLIS, IN46260	$ 2,997,086	Person Payroll Noncash (Complete Part II for noncash contributions.)
(a) No.	(b) Name, address, and ZIP + 4	(c) Total contributions	(d) Type of contribution
		$	Person Payroll Noncash (Complete Part II for noncash contributions.)
(a) No.	(b) Name, address, and ZIP + 4	(c) Total contributions	(d) Type of contribution
		$	Person Payroll Noncash (Complete Part II for noncash contributions.)
(a) No.	(b) Name, address, and ZIP + 4	(c) Total contributions	(d) Type of contribution
		$	Person Payroll Noncash (Complete Part II for noncash contributions.)
(a) No.	(b) Name, address, and ZIP + 4	(c) Total contributions	(d) Type of contribution
		$	Person Payroll Noncash (Complete Part II for noncash contributions.)
(a) No.	(b) Name, address, and ZIP + 4	(c) Total contributions	(d) Type of contribution
		$	Person Payroll Noncash (Complete Part II for noncash contributions.)
Schedule B (Form 990) (2021)

Schedule B (Form 990) (2021)

Page 3

Name of organization HERBERT SIMON FAMILY FOUNDATION		Employer identification number 38-3905454

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
1	PUBLICLY TRADED SECURITIES	$ 2,997,086	2021-12-16
(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) (2021)

Schedule B (Form 990) (2021)

Page 4


Name of organization HERBERT SIMON FAMILY FOUNDATION			Employer identification number 38-3905454
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.) $ Use duplicate copies of Part III if additional space is needed.

(a)
No. from Part I

(b) Purpose 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

(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

(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

(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) (2021)

Additional Data

Software ID:
Software Version:

- TIN:

TY 2021 AccountingFeesSchedule

Name:

HERBERT SIMON FAMILY FOUNDATION

EIN:

38-3905454

Category	Amount	Net Investment Income	Adjusted Net Income	Disbursements for Charitable Purposes
ACCOUNTING FEES	28,150	0		20,850

- TIN:

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

TY 2021 ExpenditureResponsibilityStmt

Name:

HERBERT SIMON FAMILY FOUNDATION

EIN:

38-3905454

Grantee's Name	Grantee's Address	Grant Date	Grant Amount	Grant Purpose	Amount Expended By Grantee	Any Diversion By Grantee?	Dates of Reports By Grantee	Date of Verification	Results of Verification
JAKKS CARES FOUNDATION	2951 28TH STREET SANTA MONICA,CA90405	2021-12-10	100,000	TO SUPPORT OPERATIONS.	100,000		12/31/21	2021-12-31

- TIN:

TY 2021 GeneralExplanationAttachment

Name:

HERBERT SIMON FAMILY FOUNDATION

EIN:

38-3905454

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

- TIN:

TY 2021 InvestmentsCorpBondsSchedule

Name:

HERBERT SIMON FAMILY FOUNDATION

EIN:

38-3905454

Name of Bond	End of Year Book Value	End of Year Fair Market Value
COMENITY CAP BANK	77,577	78,541
COMENITY CAP BANK	50,856	51,459
FIRST NATL BANK OF AMER	73,730	75,409
GOLDMAN SACHS BANK USA	56,115	56,800
GOLDMAN SACHS GROUP INC	52,293	52,889
INDUSTRIAL & COML BK CHINA	77,858	78,260
JPMORGAN CHASE & CO	77,887	79,217
MORGAN STANLEY BANK NA	88,467	88,977

- TIN:

TY 2021 InvestmentsCorpStockSchedule

Name:

HERBERT SIMON FAMILY FOUNDATION

EIN:

38-3905454

Name of Stock	End of Year Book Value	End of Year Fair Market Value
ABBVIE INC	42,059	53,618
ACCENTURE PLC IRELAND CL A	13,054	23,215
ACCENTURE PLC IRELAND CL A	30,021	76,692
ACTIVISION BLIZZARD INC	6,375	5,189
ADOBE INC	14,557	78,821
ADOBE INC	55,886	78,254
ADOBE INC	16,718	20,981
ADVANCED AUTO PARTS	3,174	3,838
ADVANCED DRAIN SYSTEM	50,637	62,620
ADVANCED MICRO DEVICES INC	10,405	18,131
ADYEN N V	21,087	70,200
AES CORP	1,676	1,507
AFLAC INC	4,023	5,138
AIR PRODUCTS & CHEMICALS INC	5,505	5,781
AIRBNB INC CL A	43,258	40,957
ALIBABA GROUP HLDG LTD	98,772	47,991
ALLSTATE CORP	4,872	6,000
ALPHABET INC	46,064	234,660
ALPHABET INC CL A	35,565	63,735
ALPHABET INC CL A	108,183	220,175
ALPHABET INC CL A	27,092	28,970
ALPHABET INC CL C	36,173	63,659
ALPHABET INC CL C	107,713	245,955
AMAZON.COM INC	103,810	106,699
AMAZON.COM INC	91,810	123,371
AMAZON.COM INC	61,851	160,048
AMERICAN EXPRESS CO	6,735	11,288
AMERICAN TOWER CORP NEW	10,351	12,285
AMERICAN WATER WORKS COMPANY INC	59,042	89,331
AMERICAN WATER WORKS COMPANY INC NEW	3,958	5,099
AMERISOURCEBERGEN CORP	1,097	1,329
ANTA SPORTS PRODUCTS LTD	13,215	29,154
ANTHEM INC	56,254	95,953
ANTHEM INC	3,241	5,099
AON PLC	5,146	7,514
APPLE INC	29,682	111,159
APPLE INC	104,000	224,626
APPLE INC	144,155	207,757
APPLE INC	70,380	318,561
APPLIED MATERIALS INC	9,466	14,477
APTIV PLC	48,207	51,629
ARTHUR J GALLAGHER & COMPANY	4,371	6,956
ASHTEAD GROUP PLC	35,324	58,338
ASML HOLDING NV	100,305	99,518
AT&T INC	16,661	13,776
ATMOS ENERGY CORP	3,232	3,248
AUTODESK INC	41,187	53,426
AUTODESK INC	3,421	3,374
AVALONBAY COMMNTYS	3,641	5,304
AVERY DENNISON CORP	2,187	4,115
BANK OF AMERICA CORP	14,232	24,381
BANK OF AMERICA CORP	45,635	85,866
BANK OF AMERICA CORP	86,816	102,460
BERKSHIRE HATHAWAY INC DEL CL B	136,140	381,225
BEST BUY COMPANY INC	3,323	3,048
BEYOND MEAT INC	27,800	14,335
BLACKROCK INC	8,284	12,818
BOOKING HOLDINGS INC	5,273	7,198
BROADCOM INC	12,252	24,620
BROADCOM INC	35,003	76,522
BROADCOM INC	19,162	56,560
BROADRIDGE FINANCIAL	3,718	4,753
BROWN FORMAN CORP CL A	5,299	10,169
BROWN FORMAN CORP CL B	28,455	79,053
BROWN-FORMAN CORP CL B	1,421	1,384
C H ROBINSON WORLDWIDE INC	3,604	4,090
CABLE ONE INC COM	45,867	42,323
CADENCE DESIGN SYSTEMS INC	6,912	11,740
CAPITAL ONE FINANCIAL CORP	4,900	10,592
CARMAX INC	3,385	4,167
CATALENT INC	1,356	1,536
CENTERPOINT ENERGY INC	1,131	1,312
CHARTER COMMUNICATIONS	7,441	7,824
CHEVRON CORP	101,451	116,411
CHEVRON CORP	37,820	49,639
CHIPOTLE MEXICAN GRILL INC CL A	4,350	5,245
CHUBB LTD	6,946	8,312
CHUBB LTD	38,619	68,045
CIE FINANCIERE RICHEMONT AG ZUG	101,741	199,938
CIGNA CORP	3,359	3,674
CINTAS CORP	62,551	103,702
CITIGROUP INC NEW	9,021	10,568
CITIZENS FINANCIAL GROUP INC	26,003	32,083
CITRIX SYSTEMS INC	6,036	4,162
CLARIVATE PLC	48,927	41,654
CME GROUP INC CL A	50,557	65,111
CME GROUP INC CL A	21,133	30,842
COMCAST CORP CL A	14,218	17,917
COMCAST CORP NEW CL A SPL	36,655	62,913
COMPAGNIE FINANCIERE RICHEMONT	0	3,855
CONSTELLATION BRANDS	2,439	2,761
COPART INC	4,031	6,065
COSTCO WHOLESALE CORP	39,345	49,390
COSTCO WHOLESALE CORP	27,203	40,874
CROWN CASTLE INTL CORP	7,556	9,602
CSX CORP	6,400	8,234
CVS HEALTH CORP	9,743	15,474
DARLING INGREDIENTS INC	17,082	45,385
DEERE & CO	8,337	9,258
DIGITAL REALTY TRUST INC	5,405	6,190
DOVER CORP	1,543	1,998
EATON CORP PLC	5,030	7,258
EBAY INC	4,396	4,722
ELECTRONIC ARTS INC	4,290	4,089
ELI LILLY & CO	51,665	51,377
EMERSON ELECTRIC CO	5,119	6,880
EQUINIX INC	6,722	7,613
EQUITY RESIDENTIAL	3,446	3,620
EVERSOURCE ENERGY	2,302	2,365
EXPEDIA GROUP INC	51,492	55,120
FASTENAL CO	3,517	4,805
FASTENAL CO	29,751	39,717
FEDEX CORP	5,936	6,207
FIDELITY NATIONAL INFORMATION SERVICES INC	9,985	7,531
FIFTH THIRD BANCORP	4,096	8,623
FIFTH THIRD BANCORP	66,923	104,912
FIRST HORIZON CORP	61,591	61,711
FIRST REPUBLIC BANK	3,725	4,956
FISERV INC	8,371	8,511
FOMENTO ECONOMICO MEX	26,807	24,867
FORD MOTOR CO	4,662	8,516
FORTUNE BRANDS HOME &	2,500	2,993
FPA CRESCENT	947,350	1,035,032
FREEPORT MCMORAN INC	3,116	9,264
GENERAL MOTORS CO	4,165	8,150
GENERAL MOTORS CO	15,341	16,475
GLOBE LIFE INC	2,615	2,624
GOLDMAN SACHS GROUP INC	8,846	11,477
HANNON ARMSTRONG SUSTAINABLE INFRA	33,259	55,510
HASBRO INC	2,867	3,766
HEALTHPEAK PPTYS INC	3,048	4,006
HEINEKEN HLDG NV SHS	116,947	168,403
HERSHEY COMPANY	4,894	6,385
HILTON WORLDWIDE HOLDINGS INC	50,181	73,159
HOME DEPOT INC	70,279	120,353
HOME DEPOT INC	25,096	52,291
HOME DEPOT INC	24,049	34,861
HONEYWELL INTERNATIONAL INC	15,061	20,225
HUMANA INC	2,282	2,783
IHS MARKIT LTD	4,042	5,981
ILLINOIS TOOL WORKS INC	5,895	7,404
ILLUMINA INC	8,194	8,750
INGERSOLL RAND INC	2,748	3,960
INTEL CORP	16,409	17,201
INTERCONTINENTAL EXCHANGE INC	31,795	70,163
INTERNATIONAL EXCHANGE INC	22,524	38,843
INTERNATIONAL PAPER	2,469	3,336
INTUIT INC	9,719	16,081
INTUIT INC	48,689	105,488
INTUIT INC	100,750	108,061
INTUITIVE SURGICAL INC	12,191	60,003
INVESCO DEVELOPING MARKETS CL Y	1,096,739	1,291,931
IRON MOUNTAIN INC NEW	2,247	3,925
JOHNSON & JOHNSON	4,316	6,830
JOHNSON CONTROLS INTL PLC	39,289	43,826
JP MORGAN CHASE & CO	55,177	99,919
JPMORGAN CHASE & CO	45,118	77,116
JPMORGAN CHASE & CO	22,721	34,679
JPMORGAN CHASE & CO	25,860	34,837
LAM RESEARCH CORP	8,035	15,102
LINDE PLC	9,183	12,818
LOWES COMPANIES INC	9,262	14,992
LVMH MOET HENNESSY LOUIS VUITTON	13,080	27,970
MARSH & MCLENNAN COS INC	6,527	9,734
MARTIN MARIETTA	1,187	1,762
MARTIN MARIETTA MATLS INC COM	24,396	107,927
MASTERCARD INC CL A	23,581	25,512
MASTERCARD INC CL A	12,894	28,027
MASTERCARD INC CL A COM	33,788	233,558
MC CORMICK & CO INC	1,701	1,836
MCDONALDS CORP	18,434	23,590
MCDONALDS CORP	12,762	16,352
MEDTRONIC PLC	12,667	12,828
META PLATFORMS INC	47,478	60,879
META PLATFORMS INC CL A	63,719	127,140
METTLER TOLEDO INTL INC	5,773	10,183
MFS INTL VALUE CL I	1,177,182	1,541,114
MICRON TECHNOLOGY INC	6,928	9,036
MICROSOFT CORP	39,470	269,056
MICROSOFT CORP	123,142	186,658
MICROSOFT CORP	119,379	216,590
MICROSOFT CORP	33,378	120,403
MORGAN STANLEY	24,375	34,847
MORGAN STANLEY	66,874	102,185
MORGAN STANLEY	6,610	12,663
NASDAQ INC	4,177	6,720
NATIONAL VISION HOLDINGS INC	25,892	30,138
NESTLE SA SPONSORED ADR REPSTG	135,844	275,125
NETFLIX INC	16,823	20,483
NETFLIX INC	116,720	110,849
NETFLIX INC	72,422	93,981
NEWMONT CORP	20,639	25,800
NEWMONT CORP	2,459	2,667
NIKE INC CL B	11,341	17,000
NIKE INC CL B	37,645	42,168
NORFOLK SOUTHERN CORP	5,840	8,336
NOVO NORDISK AS ADR	47,869	83,328
NOVO NORDISK AS ADR	33,259	52,304
NVIDIA CORP	50,292	114,115
NVIDIA CORP	46,874	140,879
NVIDIA CORP	24,521	57,646
NXP SEMICONDUCTORS N V	41,755	60,134
O REILLY AUTOMOTIVE INC	3,762	5,650
OLD DOMINION FREIGHT	1,658	2,509
ORACLE CORP	11,499	15,523
PACKAGING CORP	927	953
PALO ALTO NETWORKS INC	38,698	58,460
PALO ALTO NETWORKS INC	33,540	95,206
PAYCHEX INC	4,752	7,098
PAYPAL HOLDINGS INC	25,290	17,727
PAYPAL HOLDINGS INC	64,645	99,759
PAYPAL HOLDINGS INC	65,270	76,752
PENTAIR PLC	3,300	5,331
PEPSICO INC	14,056	17,718
PERNOD RICARD ORD SHS	84,689	175,082
PFIZER INC	49,098	56,334
PFIZER INC	13,953	16,947
PNC FINANCIAL SERVICES GROUP INC	5,737	10,427
PPL CORP	1,839	1,984
PROLOGIS INC	43,526	79,971
PROLOGIS INC	8,242	13,300
PRUDENTIAL FINANCIAL INC	4,216	5,520
QORVO INC	59,029	66,153
QUALCOMM INC	33,838	65,833
QUALCOMM INC	11,924	19,384
RAYMOND JAMES FINANCIAL INC	3,758	7,530
REALTY INCOME CORP	4,321	4,940
REGIONS FINANCIAL	3,297	3,793
ROCKWELL AUTOMATION INC	3,585	5,233
ROLLINS INC	3,334	3,113
ROPER TECHNOLOGIES INC	5,278	5,902
ROSS STORES INC	4,406	4,228
ROYAL CARIBBEAN GROUP	2,840	3,614
SALESFORCE.COM INC	14,741	19,060
SALESFORCE.COM INC	57,855	80,051
SCHWAB CHARLES CORP	7,610	11,690
SCHWAB CHARLES CORP	43,189	108,489
SEA LTD	14,039	69,126
SEMPRA ENERGY	4,526	4,630
SERVICENOW INC	10,524	11,684
SHERWIN WILLIAMS CO	29,253	75,362
SHERWIN WILLIAMS CO	4,674	7,395
SIMON PROPERTY GROUP INC	980	2,397
SIMON PROPERTY GROUP INC	4,968,905	15,064,074
SKYWORKS SOLUTIONS INC	20,581	22,495
SMUCKER JM COMPANY NEW	1,258	1,494
SOLAREDGE TECHNOLOGIS INC	33,963	58,078
SOUTHWEST AIRLINES CO	2,291	1,756
SPDR S&P 500 ETF	81,898	83,118
SPDR S&P 500 ETF	74,426	109,716
STARBUCKS CORP	7,455	10,878
STARBUCKS CORP	45,563	74,159
STARBUCKS CORP	13,728	23,043
STATE STREET CORP	4,577	6,138
SYNOPSYS INC	6,795	12,529
SYSCO CORP	5,317	6,991
TARGET CORP	5,662	9,489
TESLA INC	52,632	63,407
TESLA INC	42,281	60,236
TEXAS INSTRUMENTS INC	29,821	49,002
TEXAS INSTRUMENTS INC	40,173	78,592
THERMO FISHER SCIENTIFIC INC	29,814	60,719
TJX COS INC	44,761	66,506
TJX COS INC NEW	6,221	7,896
T-MOBILE US INC	6,681	6,611
TRACTOR SUPPLY CO	2,758	4,295
TRAVELERS COS INC	4,856	6,570
TREX CO INC	57,519	99,922
TRUIST FINANCIAL CORP	36,661	62,004
TRUIST FINANCIAL CORP	6,119	9,251
U S BANCORP DE NEW	6,310	7,695
UBER TECHNOLOGIES INC	45,792	60,547
UDR INC	2,350	4,019
UNILEVER NV NEW YORK SHS NEW	76,035	103,277
UNION PACIFIC CORP	57,315	84,900
UNION PACIFIC CORP	10,276	13,352
UNION PACIFIC CORP	54,635	60,463
UNION PACIFIC CORP	22,520	32,751
UNITED PARCEL SERVICE INC CL B	9,446	12,646
UNITED RENTALS INC	2,843	3,655
UNITED RENTALS INC	39,363	37,881
UNITEDHEALTH GROUP INC	65,651	111,977
UNITEDHEALTH GROUP INC	35,544	106,956
UNITEDHEALTH GROUP INC	36,922	74,317
VEEVA SYSTEMS INC CL A	13,484	36,023
VERISK ANALYTICS INC	4,519	5,490
VERIZON COMMUNICATIONS INC	18,827	16,783
VIACOMCBS INC	3,725	2,294
VISA INC CL A	27,115	29,039
VISA INC CL A	49,379	55,694
VISA INC CLASS A	57,237	96,219
VISA INC COM CL A	72,227	119,191
VULCAN MATERIALS CO CMM	45,865	74,729
VULCAN MATERIALS COMPANY	785	830
WALMART INC	20,877	30,096
WALT DISNEY CO	68,541	78,529
WALT DISNEY CO	35,591	45,383
WALT DISNEY CO	62,352	82,711
WASTE MANAGEMENT INC	11,246	17,358
WEC ENERGY GROUP INC	2,171	2,427
WELLS FARGO & CO	11,287	16,697
WELLTOWER INC	3,406	5,232
WHIRLPOOL CORP	28,216	30,036
YUM BRANDS INC	3,658	4,860
ZEBRA TECHNOLOGIES CORP CL A	6,037	12,499
ZEBRA TECHNOLOGIES CORP CLASS A	16,719	58,330
ZOETIS INC CL A	9,272	14,398

- TIN:

TY 2021 InvestmentsOtherSchedule2

Name:

HERBERT SIMON FAMILY FOUNDATION

EIN:

38-3905454

Category/ Item	Listed at Cost or FMV	Book Value	End of Year Fair Market Value
OVERLOOK 3G INVESTMENTS LP	AT COST	196,032	248,898
OVERLOOK PARTNERS FUND LP	AT COST	1,168,013	1,217,350
RGG SUSTAINABLE WATER IMPACT FUND B LP	AT COST	514,076	543,573
TIFF SUSTAINABILITY FUND, L.P.	AT COST	4,240,867	4,884,952

- TIN:

TY 2021 LegalFeesSchedule

Name:

HERBERT SIMON FAMILY FOUNDATION

EIN:

38-3905454

Category	Amount	Net Investment Income	Adjusted Net Income	Disbursements for Charitable Purposes
LEGAL FEES	10,041	0		0

- TIN:

TY 2021 OtherDecreasesSchedule

Name:

HERBERT SIMON FAMILY FOUNDATION

EIN:

38-3905454

Description	Amount
BOOK/TAX DIFFERENCES	304,899
BOOK/TAX DIFFERENCE ON CONTRIBUTED STOCK	1,225,184

- TIN:

TY 2021 OtherExpensesSchedule

Name:

HERBERT SIMON FAMILY FOUNDATION

EIN:

38-3905454

Description	Revenue and Expenses per Books	Net Investment Income	Disbursements for Charitable Purposes
OTHER INVESTMENT EXPENSES	76,583	76,583	0
WIRE TRANSFER FEES	789	789	0
KIRKUS REVIEW SUBSCRIPTIONS	53,520	0	53,520
BOND AMORTIZATION	9,776	9,776	0
CICF FEES	250,000	0	250,000
PROFESSIONAL FEES - STATE LEADERSHIP PROJECT	50,000	0	50,000

- TIN:

TY 2021 OtherProfessionalFeesSchedule

Name:

HERBERT SIMON FAMILY FOUNDATION

EIN:

38-3905454

Category	Amount	Net Investment Income	Adjusted Net Income	Disbursements for Charitable Purposes
INVESTMENT ADVISORY FEES	145,024	145,024		0

- TIN:

TY 2021 TaxesSchedule

Name:

HERBERT SIMON FAMILY FOUNDATION

EIN:

38-3905454

Category	Amount	Net Investment Income	Adjusted Net Income	Disbursements for Charitable Purposes
FOREIGN TAXES	14,384	14,384		0
TAX PAYMENTS	21,000	0		0