TY 2021 Form 990PF

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.............	75,446	34,748	34,748
	2	Savings and temporary cash investments.........	263,022	1,564,108	1,564,108
	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).......	16,198	2,824,176	2,796,491
	c	Investments—corporate bonds (attach schedule).......
	11	Investments—land, buildings, and equipment: basis
		Less: accumulated depreciation (attach schedule)
	12	Investments—mortgage loans.............
	13	Investments—other (attach schedule)..........	41,968,017	41,653,198	58,717,389
	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)	42,322,683	46,076,230	63,112,736
	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	42,322,683	46,076,230
	29	Total net assets or fund balances (see instructions).....	42,322,683	46,076,230
	30	Total liabilities and net assets/fund balances (see instructions).	42,322,683	46,076,230

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

42,322,683

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

3,815,025

Other increases not included in line 2 (itemize) bullet

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

46,137,708

Decreases not included in line 2 (itemize) bullet

61,478

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

46,076,230

(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	UT HSG CORP MTG	P	2020-03-03	2021-01-01
b	FAIRFAX CNTY VA REDEV & HSG AUTH REV	P	2021-05-07	2021-10-01
c	CHARLES SCHWAB 9107- EXHIBIT A	P
d	CHARLES SCHWAB 9107- EXHIBIT A	P
e	FIDELITY 5142- EXHIBIT B	P
	FIDELITY 5142- EXHIBIT B	P
	FIDELITY 6130- EXHIBIT C	P
	HG BEACON II, LLC 1231	P
	HHLR FUND, LP	P
	SFM CAPITAL MARKETS, LP	P
	SFM CAPITAL MARKETS, LP	P
	SFM GLOBAL STRATEGIES QP, LP	P
	SFM GLOBAL STRATEGIES QP, LP	P
	SFM OPPORTUNITIES V, LP	P
	SFM OPPORTUNITIES V, LP	P
	SFM OPPORTUNITIES VI, LP	P
	SFM OPPORTUNITIES VI, LP	P
	SFM OPPORTUNITIES VII, LP	P
	SFM OPPORTUNITIES VII, LP	P
	THE CHILDREN'S INVESTMENT FUND, LP	P
	THE CHILDREN'S INVESTMENT FUND, LP	P
	YIELD POOL II, LP	P
	YIELD POOL II, LP	P
	YIELD POOL III, LP	P
	YIELD POOL III, LP	P
	FIDELITY 5142- CAPITAL GAIN DISTRIBUTION	P
	SFM GLOBAL STRATEGIES QP, LP 1231	P
	SFM OPPORTUNITIES V, LP 1231	P
	SFM OPPORTUNITIES VI, LP 1231	P
	YIELD POOL II, LP 1231	P
	YIELD POOL III, LP 1231	P
	SFM OPPORTUNITIES VII, LP	P
	UBTI CAPITAL GAIN	P
	CAPITAL GAINS FROM PFICS	P

(e) Gross sales price		(g) Cost or other basis plus expense of sale	(h) Gain or (loss) (e) plus (f) minus (g)
a	15,000	15,893	-893
b	150,000	150,000	0
c	46,065	41,222	4,843
d	5,656,920	3,638,111	2,018,809
e	3,933,020	4,000,030	-67,010
	1,104,179	1,069,450	34,729
	235,218	224,009	11,209
	12,789		12,789
	2,444		2,444
	422,021		422,021
	3,207,290		3,207,290
	395,731		395,731
	1,277,542		1,277,542
	20,039		20,039
	33,819		33,819
	5,454		5,454
	152,033		152,033
	5,062		5,062
	3,542		3,542
	10,085		10,085
	3,134		3,134
	1,883		1,883
		633	-633
	60		60
	11,378		11,378
	9,065		9,065
	933		933
	70,727		70,727
	2,906		2,906
	237,438		237,438
	13,030		13,030
	37		37
	475,600		475,600
	46,592		46,592

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			-893
b			0
c			4,843
d			2,018,809
e			-67,010
			34,729
			11,209
			12,789
			2,444
			422,021
			3,207,290
			395,731
			1,277,542
			20,039
			33,819
			5,454
			152,033
			5,062
			3,542
			10,085
			3,134
			1,883
			-633
			60
			11,378
			9,065
			933
			70,727
			2,906
			237,438
			13,030
			37
			475,600
			46,592

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	8,421,688
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

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	114,144
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	114,144
6	Credits/Payments:

a	2021 estimated tax payments and 2020 overpayment credited to 2021	6a	40,000
b	Exempt foreign organizations—tax withheld at source......	6b	0
c	Tax paid with application for extension of time to file (Form 8868)...	6c	110,000
d	Backup withholding erroneously withheld ...........	6d	0

7	Total credits and payments. Add lines 6a through 6d..............		7	150,000
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.......		9
10	Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid...		10	35,856
11	Enter the amount of line 10 to be: Credited to 2022 estimated tax35,856	Refunded	11	0

(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
JANE BATTEN	PRESIDENT 2.00	0	0	0
PO BOX 3310 NORFOLK,VA23514
LOUIS RYAN	ASST. SEC. 2.00	0	0	0
PO BOX 3310 NORFOLK,VA23514

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

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

		(a) Corpus	(b) Years prior to 2020	(c) 2020	(d) 2021
1 Distributable amount for 2021 from Part X, line 7					3,067,181
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......
b From 2017......
c From 2018......	12,613,484
d From 2019......	8,915,214
e From 2020......	12,988,544
f Total of lines 3a through e ........		34,517,242
4Qualifying distributions for 2021 from Part
XI, line 4: $ 10,111,667
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.....					3,067,181
e Remaining amount distributed out of corpus		7,044,486
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		41,561,728
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) ...		0
9 Excess distributions carryover to 2022. Subtract lines 7 and 8 from line 6a ......		41,561,728
10 Analysis of line 9:
a Excess from 2017....
b Excess from 2018....	12,613,484
c Excess from 2019....	8,915,214
d Excess from 2020....	12,988,544
e Excess from 2021....	7,044,486

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

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:

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
CHESAPEAKE BAY FOUNDATION 6 HERNDON AVENUE ANNAPOLIS,MD21403		501(C)(3)	FOR GENERAL CHARITABLE PURPOSES.	1,000,000
ENVIRONMENTAL DEFENSE FUND 257 PARK AVENUE SOUTH NEW YORK,NY10010		501(C)(3)	FOR GENERAL CHARITABLE PURPOSES.	1,000,000
ODU ATHLETIC FOUNDATION 4417 MONARCH WAY FL 4 NORFOLK,VA23529		501(C)(3)	FOR GENERAL CHARITABLE PURPOSES.	1,666,667
RARE 1310 N COURTHOUSE RD SUITE 110 ARLINGTON,VA22201		501(C)(3)	FOR GENERAL CHARITABLE PURPOSES.	1,000,000
UNITED WAY OF SOUTH HAMPTON ROADS 2515 WALMER AVE NORFOLK,VA23513		501(C)(3)	FOR GENERAL CHARITABLE PURPOSES.	2,500,000
NAUTICUS FOUNDATION ONE WATERSIDE DRIVE NORFOLK,VA23510		501(C)(3)	FOR GENERAL CHARITABLE PURPOSES	300,000
NAUTICUS FOUNDATION - REIMAGINED ONE WATERSIDE DRIVE NORFOLK,VA23510		501(C)(3)	FOR GENERAL CHARITABLE PURPOSES	1,000,000
VIRGINIA MUSEUM OF CONTEMPORARY ART 2200 PARKS AVENUE VIRGINIA BEACH,VA23451		501(C)(3)	FOR GENERAL CHARITABLE PURPOSES	45,000
NORFOLK BOTANICAL GARDEN 6700 AZALEA GARDEN ROAD NORFOLK,VA23518		501(C)(3)	FOR GENERAL CHARITABLE PURPOSES	500,000
SECOND HARVEST FOODBANK 700 EDWARDS AVENUE NEW ORLEANS,LA70123		501(C)(3)	FOR GENERAL CHARITABLE PURPOSES	100,000
VIRGINIA ARTS FESTIVAL 440 BANK STREET NORFOLK,VA23510		501(C)(3)	FOR GENERAL CHARITABLE PURPOSES	1,000,000
Total ................................. 3a				10,111,667

	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)	5,668,028
2	Check .............
3	Interest on savings and temporary cash investments
4	Dividends and interest from securities...	1,185,433		1,181,580
5a	Gross rents............
b	Net rental income or (loss)
6a	Net gain or (loss) from sale of assets not on line 10		8,421,688
b	Gross sales price for all assets on line 6a 17,561,036
7	Capital gain net income (from Part IV, line 2)...			8,421,688
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).......		-136,964	-365,557
12	Total. Add lines 1 through 11........	15,138,185		9,237,711
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).........		21,574	21,574	0
b	Accounting fees (attach schedule).......
c	Other professional fees (attach schedule)....
17	Interest...............
18	Taxes (attach schedule) (see instructions)...		200,596	16,860	0
19	Depreciation (attach schedule) and depletion...
20	Occupancy..............
21	Travel, conferences, and meetings.......
22	Printing and publications..........
23	Other expenses (attach schedule).......		989,323	987,487	0
24	Total operating and administrative expenses.
	Add lines 13 through 23..........	1,211,493		1,025,921	0
25	Contributions, gifts, grants paid.......	10,111,667			10,111,667
26	Total expenses and disbursements. Add lines 24 and 25	11,323,160		1,025,921	10,111,667
27	Subtract line 26 from line 12:
a	Excess of revenue over expenses and disbursements	3,815,025
b	Net investment income (if negative, enter -0-)			8,211,790
c	Adjusted net income (if negative, enter -0-)...

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

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 ............	523000	155,300	18	7,946,088
9 Net income or (loss) from special events:
10 Gross profit or (loss) from sales of inventory
11 Other revenue: aEXCISE TAX REFUND			01	30,954
bSTATE INCOME TAX REFUND	523000	12,958
cBUSINESS INCOME TAX REFUND			01	40,753
d
e
12 Subtotal. Add columns (b), (d), and (e) ..		168,258		9,301,899	0

(a) Line No.	(b) Amount involved	(c) Name of noncharitable exempt organization	(d) Description of transfers, transactions, and sharing arrangements

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.


(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

bApproved for future payment

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

Name of organization THE BATTEN FOUNDATION C/O JANE BATTEN

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	JANE P BATTEN 8104 OCEAN FRONT AVENUE VIRGINIA BEACH, VA23451	$ 5,668,028	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)

Name of organization THE BATTEN FOUNDATION C/O JANE BATTEN		Employer identification number 54-1451569

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	SEE ATTACHED STATEMENT	$ 5,668,028	2021-01-22
(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)


Name of organization THE BATTEN FOUNDATION C/O JANE BATTEN			Employer identification number 54-1451569
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.

Category/ Item	Listed at Cost or FMV	Book Value	End of Year Fair Market Value
SFM CAPITAL MARKETS	FMV	3,580,999	12,011,868
SFM GLOBAL STRATEGIES QP, LP	FMV	9,397,874	11,448,086
SFM OPPORTUNITIES V, LP	FMV	1,486,134	3,158,142
HGI SF KFB, LLC	FMV	439,499	0
YIELD POOL II, LP	FMV	1,444,463	2,522,855
HARBOR GROUP BEACON II	FMV	350,041	1,234,197
HGI SF K30	FMV	96,658	103,893
HGI SF K34	FMV	522,625	527,748
YIELD POOL III, LP	FMV	1,662,186	2,542,029
SFM OPPORTUNITIES VI, LP	FMV	1,704,102	2,897,638
SFM OPPORTUNITIES VII, LP	FMV	347,763	553,596
HGI CREDIT FUND	FMV	1,885,226	1,900,000
FIDELITY 5142	FMV	7,990,135	8,573,633
FIDELITY 6130	FMV	3,421,655	3,796,001
FIDELITY 5141	FMV	156,388	152,360
HHLR FUND, LP	FMV	2,467,137	2,089,782
THE CHILDREN'S INVESTMENT FUND	FMV	2,500,813	3,062,250
HG KF98	FMV	1,531,390	1,500,000
SF NE-SW DEBT HOLDINGS, LP	FMV	668,110	643,311

Description	Amount
UNREALIZED GAIN ON INVESTMENTS	14,886
CAPITAL GAINS FROM PFICS	46,592

Description	Revenue and Expenses per Books	Net Investment Income
SFM CAPITAL MARKETS	166,043	165,004
SFM GLOBAL STRATEGIES QP, LP	362,937	362,905
SCHWAB MANAGEMENT FEES	100	100
SFM OPPORTUNITIES V, LP	47,954	47,594
SFM OPPORTUNITIES VI, LP	60,189	59,808
SFM OPPORTUNITIES VII	14,848	14,846
YIELD POOL II, LP	31,749	31,742
YIELD POOL III, LP	37,122	37,107
HGI SF K34	7,609	7,609
HGI SF KFB, LLC	7,845	7,845
HGI SF K30	1,621	1,621
HARBOR GROUP BEACON II	39,104	39,104
BANK OF AMERICA - SERVICE CHARGE	360	360
SCC REGISTRATION FEE	25	25
HGI CREDIT FUND I, LP	8,188	8,188
HGI SF KF98, LLC	24,647	24,647
HHLR FUND, LP	46,013	46,013
SF NE-SW DEBT HOLDINGS, LP	7,111	7,111
THE CHILDREN'S INVESTMENT FUND, LP	29,690	29,690
FIDELITY 6130	432	432
FIDELITY 5142	93,650	93,650
FIDELITY 5141	2,086	2,086

Description	Revenue And Expenses Per Books	Net Investment Income	Adjusted Net Income
HARBOR GROUP BEACON II	-603	-603	-603
ORDINARY GAIN/LOSS PARTNERSHIP UBTI	-320,300	0	-320,300
OTHER PARTNERSHIP CAPITAL GAINS UBTI	0	-475,600	0
SFM CAPITAL MARKETS, LP	243,123	243,123	243,123
SFM GLOBAL STRATEGIES, LP	2,297	2,297	2,297
SFM GLOBAL STRATEGIES, LP	-14,480	-14,480	-14,480
SFM OPPORTUNITIES V, LP	18,866	18,866	18,866
SFM OPPORTUNITIES V, LP	33,508	33,508	33,508
SFM OPPORTUNITIES VI, LP	143	143	143
SFM OPPORTUNITIES VI, LP	-8,379	-8,379	-8,379
YIELD POOL II, LP	-19,616	-19,616	-19,616
YIELD POOL III, LP	-210,806	-210,806	-210,806
SFM OPPORTUNITIES VII, LP	32	32	32
SFM OPPORTUNITIES VII, LP	-2,614	-2,614	-2,614
HGI SF K34, LLC	5,899	5,899	5,899
HHLR FUND, LP	24,816	24,816	24,816
SF NE-SW DEBT HOLDINGS, LP	3,603	3,603	3,603
THE CHILDREN'S INVESTMENT FUND, LP	-4,092	-4,092	-4,092
HHLR FUND, LP SEC 1256	-26,014	-26,014	-26,014
YIELD POOL II, LP	51,395	51,395	51,395
YIELD POOL III, LP LINE 11	1,593	1,593	1,593
ORDINARY INCOME FROM PFICS	0	11,372	0
EXCISE TAX REFUND	30,954		30,954
STATE INCOME TAX REFUND	12,958		12,958
BUSINESS INCOME TAX REFUND	40,753		40,753

Category	Amount	Net Investment Income
EXCISE TAX PAID	60,000	0
STATE TAX PAID	28,496	0
FOREIGN TAX	16,860	16,860
FORM 990-T	95,240	0

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