Beruflich Dokumente
Kultur Dokumente
9 9 0-PF
OMB No 1545-0052
^oo^
06 /30, 20 10
Note : The foundation ma y be able to use a co py of this return to satis fy state re p ortin g re q uirements Internal Revenue Service Fnr ealendar vaar 9nnq nr tax y ear beainnina 07 /01 . 2009. and ending
Final return
label.
Otherwise ,
31-1633189
Telephone number taee page 10 at th e ma , ucvons)
o
(`a^ Q
or type.
See S p ecific Instructions .
(651) 466-8710
If exemption pending, check here is ^ ^ ^ u 1. Foreign organizations , check here 2. Foreign organizations meeting the a5%test , check. here and attach computation E I f private foundation status was terminated
ST.
PAUL
MN 55164-0713
X Section 501(c)(3) exempt private foundation
Other taxable p rivate foundation
Accounting method: Cash L_J Accrual Fair market value of all assets at end under sect i on 507(b)(1 ) ( A), check here . ^ Other (specify) of year (from Part 11, col. (c), line --_-_-_--_-- F If the foundation is in a 60-MDnth term i nation (Part 1, column (d) must be on cash basis under section 507(b)111( B), check here . ^ 16) ^ $ 107 , 777. (d) Disbursements Analysis of Revenue and Expenses (The (a) Revenue and (c) Adjusted net (b) Net investment for charitable esta columns (bl may of a nd total
may not necessarily equal the amounts in s o column (a) (see page 11 of the instructions) J
1 Contributions , efts, grants , etc, received ( attach schedule)
income
income
purposes
2 3
Check ^
1 . 478.
1. 478.
STMT 1 STMT 2
5a Gross rents . . . . . . . . . . . . . . . .
-1
6a
600
y
m c
b Gross sales price for all 180,000. assets on line 6a 7 Capital gain net income (from Part IV, line 2) 8 9 Net short-term capitaLgain Income mod, fiQF'-L7' I
ld b Less Cost of odsso[^^ bI
c Gross profitoi(lossattac
schedule)
11
12
13
chedu(e)-1 H i,
OJT . rectors, trustees, etc ,
229.
-892
129.
608.
STMT 3
Total Addi1 ltnes 1rtfl Gt1'h) Other employee salaries and wages Pension plans, employee benefits
14 to 15
. . .
NON NON
NON
NON
1 , 150 .
555
152
575.
444.
NON
575
111
52
E, 19 a 20 n 21 W to 22 co 23
Depreciation (attach schedule) and depletion Occupancy . . . . . . . . . . . . . . . . Travel, conferences, and meetings . . . . Printing and publications . . . . . . . . . . . . . NON NON NON
NON
w
a ^f1
24
1 , 857 .
158 000.
1 , 071.
NO
686
1S8 , 000
0 25
27
159 , 857 .
-160 , 749
1 , 071.
NON
158 , 686
aF,
b Net investment income (if negative, enter -0-) c Adjusted net income (if ne g ative, enter -0-).
-0-
For Privacy Act and Paperwork Reduction Act Notice , see page 30 of the instructions. 9E1410 1 000 35514300 QKS372 F938 11/08/2010 12:05:34
JSA
31-1633189
Attached schedules and amounts in the description column should be for end-of-year amounts only ( See instructions ) Beginning of year ( a) Book Value ( b) Book Value End of year
Page 2
Balance Sheets 1 2 3
Cash - non-interest -bearing , , , , , , , , , , , , , , , , , Savings and temporary cash investments , , , , , , , , , Accounts receivable ^ Less allowance for doubtful accounts ^ --------------
-6 , 940.
13 , 485 .
13 , 485
Pledges receivable
^ - ------------, , , , , , , , , , , , , , , , , , , , ,
8 9
Q 10 a
Other notes and loans receivable ( attach schedule ) ^ NONE Less allowance for doubtful accounts ^ -------------Inventories for sale or use Prepaid expenses and deferred charges . , , , , , , , . . .
investments - U S and state government obligations ( attach schedule)
b Investments - corporate stock ( attach schedule ) , STMT ,7, c Investments - corporate bonds ( attach schedule ), , , , , , , ,
11 Investments - land, buildings, ^ and equipment basis -------------------Less accumulated depreciation ^ -------------------(attach schedule )
273
118.
91 944.
94 , 292
12 13
14
, , , , , , , , , , , , , , , ,
15 16
Other assets ( describe ^ -------- - ------------Total assets ( to be completed by all filers - see the instructions Also, see page 1, item 1) .. Accounts payable and accrued expenses , , , , , , , , , , , Grants payable Deferred revenue ,,,,,,,,,,,,,,,,,,,,,,, , , , , , , , , , , , , , , , , , , , , , ,
266 178.
105 429.
107 , 777
17 18 19
- 20
La 21 J 22 23
Mortgages and other notes payable ( attach schedule) . . . . . Other liabilities ( describe ^ -------------------)
Foundations that follow SFAS 117, check here ^ and complete lines 24 through 26 and lines 30 and 31.
ayi 24
a
25 m 26
,
8 27
28 y 29
Foundations that do not follow SFAS 117, check here and complete lines 27 through 31.
Paid-in or capital surplus , or land , bldg and equipment fund
^
, , ,
X
821
, -555
886.
821
, 886
708.
30
z
31
instructions ) , , , , , , , , , , , , , , , , , , , , , , , ,
Total liabilities and net assets /fund balances ( see page 17
266, 178.
266 178.
of the instructions ) .
....................
-160,749.
105 429. 105 , 429. Form 990-PF (2009)
35514300
31-1633189
Form 990-PF ( 2009) Page 3
How
acquired Po--oonatiPurchase n
(c) Date
acquired ( mo, day, yr.)
la
b c d e
a b c d e Complete only for assets showing gain in column (h) and owned by the foundation on 12 / 31/69
(i) F M V as of 12/31 / 69 (j) Adjusted basis as of 12 / 31 /69 ( k) Excess of col (1) over col ()), if any
a b c d e If gain , also enter in Part I, line 7 If (loss), enter -0- in Part I, line 7 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 pages 13 and 17 of the instructions). If (loss ), enter -0 - In Part 1 , line 8. 2 Capital gain net income or (net capital loss) { } 2 -1,600.
Qualification Under Section 4940 ( e) for Reduced Tax on Net Investment Income
(For optional use by domestic private foundations subject to the section 4940(a) tax on net investment income.) If section 4940(d)(2) applies, leave this part blank Was the foundation liable for the section 4942 tax on the distributable amount of any year in the base period? If "Yes ,' the foundation does not qualify under section 4940 ( e). Do not complete this part. 1 Enter the appropriate amount in each column for each year, see page 18 of the instructions before making any entries. (a ) (d) (c) (b' Base period years
Calendar year ( or tax year beg i nn i ng in) Adjusted qualifying distributions Net value of noncharitable -use assets
Yes No
2008 2007
140,534. 863.
303,377. 494,700.
0.46323221602 0.00174449161
2006
2005
831.
50 , 772.
454 961.
344 236.
0.00182653019
0.14749183700
2004
68 , 701.
193 251. 2
3
4 5 6 7 8
4
5 6 7
Enter 1 % of net investment income ( 1% of Part I, line 27b) ............ ........ Add lines 5 and 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
32 , 313.
Enter qualifying distributions from Part XII, line 4 8 158 , 686. If line 8 is equal to or greater than line 7 , check the box in Part VI . line 1b. and complete t hat p art usina a 1% tax rate. See the Part VI instructions on page 18. Form 990-PF (2009)
JSA
9E 1430 1 000
35514300
31-1
^ Li and enter'N/A' on line 1 . . .
Page 4
Excise Tax Based on Investment Income (Section 4940(a), 4940(b), 4940(e), or 4948 - see page 18 of the instructions)
la Exempt operating foundations described in section 4940(d)(2), check here Date of ruling or determination letter - - - - - - - - - - - - -( attach copy of ruling letter if necessary - see instructions) b Domestic foundations that meet the section 4940(e) requirements in Part V, check
NONE
and enter 1%of Part I, line 27b . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . e All other domestic foundations enter 2% of line 27b Exempt foreign organizations enter 4% of Part I, line 12, col (b) here ^ 2 3 4 5 6 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only Others enter -0-) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) . . . Tax based on investment income Subtract line 4 from line 3 If zero or less, enter -0 . . . . . . . . . . . . . . Credits/Payments a 2009 estimated tax payments and 2008 overpayment credited to 2009 , , , , b Exempt foreign organizations-tax withheld at source . . . . . . . . . . . . c Tax paid with application for extension of time to file (Form 8868) , , , , , , , d Backup withholding erroneously withheld . . . . . . . . . . . . . . . . . 7 8 9 10 11 Total credits and payments. Add lines 6a through 6d . . . . . Enter any penalty for underpayment of estimated tax Check here 6a 6b 6c 6d 131. NONE NONE Add lines 1 and 2 2
. . . . . . . . . . . . . . . . . . .
El if Form 2220 is attached . . . . . . . Tax due . If the total of lines 5 and 8 is more than line 7, enter amount owed , , , , , , , , , , , , , , , , ^ Overpayment . If line 7 is more than the total of lines 5 and 8, enter the amount overpaid , , , , , , , , , , ^ Enter the amount of line 10 to be- Credited to 2010 estimated tax ^ Refunded ^
131. 131.
Yes 1a No X
Statements Re
la
Activities
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
During the tax year , did the foundation attempt to influence any national, state, or local legislation or did it participate or intervene in any political campaign? of the instructions for definition )?
b Did it spend more than $100 during the year ( either directly or indirectly) for political purposes ( see page 19 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1b X If the answer is " Yes" to la 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 d Did the foundation file Form 11 20-POL for this year? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
12) On foundation managers ^ $
1c I
Enter the amount ( if any) of tax on political expenditures ( section 4955 ) imposed during the year
(1) On the foundation
Enter the reimbursement ( if any) paid by the foundation during the year for political expenditure tax imposed on foundation managers ^ $ 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 . . . . . . . . . . . . .
2 1
4a
Did the foundation have unrelated business gross income of $1,000 or more during the year? . . . . . . . . . . . . . . . . . b 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? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3 4a 4b
X X
7 8a
Did the foundation have at least $ 5,000 in assets at any time during the year? If "Yes, " complete Part 11, col (c), and Part XV ( see page 19 of the STMT 8 -------------------------------------------------------------------b If the answer is "Yes " to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney General instructions ) ^ (or designate) of each state as required by General Instruction G7If "No," attach explanation . . . . . : . . . . . . . . . . . . Is the foundation claiming status as a private operating foundation within the meaning of section 4942 (()( 3) or 4942 (1)(5) for calendar year 2009 or the taxable year beginning in 2009 (see instructions for Part XIV on page 27)? if 'Yes,"complete Part XIV . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Enter the states to which the foundation reports or with which it is registered
6 7
X X
Bb
9
10
X
X
10
substantial
contributors
during the tax year? If 'Yes ," attach a schedule listing their . . . . . . . . . . . . . . . . . . . . . . . . . .
35514300
31-1633189
Page 5
12 13 X
Website address ^ _______________________ N,A -------------------------------------------------14 The books are in care of ^ _U_S_-BANK N.-A - - Telephone no ^ _L651) 466_8710--------101 _E_FIFST^ _ ST PAULl - N________________________ ZIP +a ^ _55101TH -_______-Located at -----------------15 Section 4947 ( a))1) nonexempt charitable trusts filing Form 990 - PF in lieu of Form 1041 - Check here . . . . . . . . . and enter the amount of tax-exempt interest received or accrued during the year . . . . . . . . . . . . . . . . . . ^ 1 15 . . . . . ^u
Yes
No
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 page 20 of the instructions.) . . . . . . . . . . . . . . . . . . . . 2b
If the provisions of section 4942 ( a)(2) are being applied to any of the years listed in 2a , list the years here ^ ----------------------------------Did the foundation hold more than a 2% direct or indirect interest in any business El Yes If "Yes," did it have excess business holdings in 2009 as a result of (1) any purchase by the foundation or enterprise at any time during the year? . , , , , , , , , , , , , , , 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 X u No
3a
foundation had excess business holdings in 2009) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4a Did the foundation invest during the year any amount in a manner that would j eopardize its charitable purposes? . . . . . . . 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 2009? . . . . . .
3b 4a 4b X X
35514300
31-1633189
Page 6
"
5a
Statements Regarding Activities for Which Form 4720 May Be Required (continued)
During the year did the foundation pay or incur any amount to (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 drlve7 . . . . . . . . . . . . . . . . . . . . . (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 509 ( a)(1), (2), or (3), or section 4940 ( d)(2)7 (see page 22 of the instructions) . . . . . . . (5) Provide for any purpose other than religious , charitable , scientific , literary, or educational 1:1 Yes If any answer is 'Yes " to 5a ( 1)-(5), did any of the transactions fail to qualify under the exceptions d escribed in Regulations section 53 4945 or in a current notice regarding disaster assistance ( see page 22 of the Instructions ) ? Organizations relying on a current notice regarding disaster assistance check here . . . . . . . . . . . . . . . ^ 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) El Y es u Y es a No , , , , , , , , , , El Yes X No . 7b 6b X El N o purposes , or for the prevention of cruelty to children or anlmals7 . . . . . . . . . . . . . . . . . X No . . . El Yes No E] Yes Yes 8 Yes No
X No X No
5b
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? 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?
Information About Officers , Directors , Trustees , Foundation Managers, Highly Paid Employees, and Contractors
1 List all officers. directors. trustees . foundation managers and their comoensation ( see oaae 22 of the instructions).
( a) Name and address (b) Title, and average hours per week devoted to p osition (c) Compensation ( If not paid, enter -0(d) Contributions to employee benefit plans and deferred com pe nsation
--------------------------------------
-0--------------------------------------
-0-
-0-
--------------------------------------
--------------------------------------
Compensation of five highest-paid employees (other than those included on line 1 - see page Z3 of the 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 ( a) Expense account, other allowances
-------------------------------------NONE
NONE
NONE
NONE
----------------------------------------------------------------------------------------------------------------------------------------------------Total number of other employees paid over $50,000 . ^ I NONE Form 990-PF (2009)
35514300
Information About Officers, Directors, Trustees, Foundation Managers , Highly Paid Employees, and Contractors (continued)
3 Five highest- paid independent contractors for professional services ( see page 23 of the instructions). (a) Name and address of each person paid more than $50,000 ---------------------------------------------------------(b) Type of service If none , enter " NONE." (c) Compensation
NONE ----------------------------------------------------------
NONE
Total number of others receiving over $50,000 for professional services Summary of Direct Charitable Activities
List the foundation ' s four largest direct chantable 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
NONE
Expenses
35514300
31-1633189 Minimum Investment Return (All domestic foundations must complete this part. Foreign foundations, see page 24 of the instructions.)
Page 8
1 a b c d e 2 3 4 5 6
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 . . . . . . . . . . . . . . . . . . . . . . . . . Average of monthly cash balances . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . Fair market value of all other assets (see page 24 of the instructions) . . . . . . . . . . . . . . . . Total (add lines la, b, and c) . . . . . . . . . . . . . . . . . . . . . . . . Reduction claimed for blockage or other factors reported on lines la and 1c (attach detailed explanation) le Acquisition indebtedness applicable to line 1 assets ............................ Subtract line 2 from line 1d ........................................ Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see page 25
la lb lc id
160 , 178.
g 957.
NONE
169
135.
3
4
..
..
......
..
.....
Net value of noncharitable-use assets . Subtract line 4 from line 3. Enter here and on Part V, line 4 5 Minimum investment return . Enter 5% of line 5 . 6 Distributable Amount (see page 25 of the instructions) (Section 4942(j)(3) and (j)(5) private operating foundations and certain foreign organizations check here ^ and do not complete this part.)
, S98. 8 , 330.
171
1 2a b c 3 4 5 6 7
Minimum investment return from Part X, line 6 . . . . . . . . . . . . . . . . . . . . . . . . . 2a Tax on investment income for 2009 from Part VI, line 5 NON 2b Income tax for 2009. (This does not include the tax from Part VI.) Add lines 2a and 2b ............................................ Distributable amount before adjustments Subtract line 2c from line 1 , , , , , , , , , , , , , , , , , Recoveries of amounts treated as qualifying distributions , , , , , , , , , , , , , , , , , , , , , , Add lines 3 and 4 ............................................. Deduction from distributable amount (see page 25 of the instructions) , . . . . . . . . Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII,
8 , 330.
2c 3 4 5 6
NONE
liner
..
la lb 2
3a 3b 4
158 , 686 -.
NONE NONE
Qualifying distributions Add lines la through 3b. Enter here and on Part V, line 8, and Part XIII, line 4
158,686.
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 page 26 of the instructions ) , , , , , , , , , , , , , , , , , , , , 5 Adjusted qualifying distributions . Subtract line 5 from line 4 . . . .. 6 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.
158,686.
35514300
31-1633189
Form 990-PF Page 9
e 26 of the instructions)
( a) Corpus (b) Years prior to 2008
(c) 2008
line7 .....................
2 a b Undistributed income , if any , as of the end of 2009 Enter amount for 2008 only Total for prior years 20 , , , , 20 , , , , , , , , 20
NON
3 a
Excess distributions carryover , if any, to 2009, From 2004 , , , , , , , , , , , , 59 , 141. 29 , 814. NONE
NONE d From 2007 , , , , , , 12S , 823. e From 2008 f Total of lines 3a through e , , , , , , , , , , ,
4 Qualifying distributions for 2009 from Part XII,
214,778
line 4- ^ $
a b
158,686.
, ,
NON
Applied to undistributed income of prior years ( Electior required - see page 26 of the instructions ) , , , , , ,
Treated as distributions out of corpus ( Election required - see page 26 of the instructions) . , , , , , , , ,
8 , 330.
150,356
NONE
Excess distributions carryover applied to 2009 , (If an amount appears in column (d), the same amount must be shown in column (a) )
6
a b c
365,134
line 6c from line 6b Taxable d Subtract amount - see page 27 of the instructions , e Undistributed income for 2008 Subtract line 4a from line 2a Taxable amount - see page 27 of the instructions . . . . . . . . . . . . . f Undistributed income for 2009 Subtract lines 4d and 5 from line 1. This amount must be distributed in 2010 Amounts treated as distributions out of corpus to satisfy requirements imposed by section 170(b)(1)(F) or 4942 ( g)(3) (see page 27 of the instructions ) . . . . . . . . . . Excess distributions carryover from 2004 not applied on line 5 or line 7 (see page 27 of the instructions) . . . . . . . . . . . . . . . . . . Excess distributions carryover to 2010. Subtract lines 7 and 8 from line 6a 10 a Analysis of line 9 Excess from 2005 . . . 29 , 814. NONE NONE 125 , 823. 150 , 356.
NON
NONE
59.141 0
b Excess from 2006 . . . e Excess from 2007 . . . d Excess from 2008 . . e Excess from 2009
35514300
10
Form 990-PF (2009) 31-1633189 Private Operating Foundations (see pa g e 27 of the instructions and Part VII-A, question 9) I a If the foundation has received a ruling or determination letter that it is a private operating
foundation, and the ruling is effective for 2009, enter the date of the ruling . . . . . . . . . . . . .
b 2a Check box to indicate whether the foundation is a private operating foundation described in section Enter the lesser of the adj usted net income from Part I or the minimum investment return from Part X for each year listed , , , , ,
85% of line 2a . . . . .
^
4942(1)(3) or 4942(1)(5) ( e) Total
b C
Qualifying distnbutions from Part XII, line 4 for each year listed
Amounts included in line 2c not used directly for active conduct of exempt activities . . . . .
distributions
made of ,
active conduct , ,
Subtract line
Complete 3a, b, or c for the alternative test relied upon 'Assets' alternative test - enter (1) (2) Value of all assets . Value of assets qualifying . . 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) . . . Support general from public and 5 or more exempt organizations as provided in section 4942 111(311B11) . . . . . . Largest amount from an port organization of supexempt
(2)
(3)
Supplementary Information (Complete this part only if the foundation had $5,000 or more in assets at any time during th e ye a r - see page 2 8 of th e instructions.)
1 a Information Regarding Foundation Managers: List 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) N/A List 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.
N/A
2 Information Regarding Contribution, Grant , Gift, Loan , Scholarship , etc., Programs: if the foundation only makes contributions to preselected charitable organizations and does not accept Check here ^ unsolicited requests for funds. If the foundation makes gifts, grants, etc (see page 28 of the instructions) to individuals or organizations under other conditions, complete items 2a, b, c, and d. a The name, address, and telephone number of the person to whom applications should be addressed:
b The form in which applications should be submitted and information and materials they should include
d Any restrictions or limitations on awards , such as by geographical areas , charitable fields, kinds of institutions , or other factors:
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11
31-1633189
Form 990-PF (2009) Page 1 1
120121
Supplementary information (continued) Grants and Contributions Paid Durinci the Year or Approved for Future Payment
Recipient Name and address (home or business)
If recipient is an individual , show any relationship to on mannager any fou or substantial cont bufor Foundation status o f rec i p ient Purpose of grant or
ontribution
A mount
Total.. .............................................. .
b Approved for future payment
1110- 3a
158 000.
Total .................................................
35514300
12
31-1633189
Form 990-PF (2009) Page 12
(d )
Businesscode
Amount
Amount
3 Inter est on savings and temporarycash investments 4 DiveBends and interest from securities a b Debt-financed property
14
1 .
, ,
14
-
478.
6 Net r ental income or (loss ) from personal property 7 0th e r investment income , , , , , , , , , 8 Gain or (loss ) from sales of assets other than invento ry 9 Net income or (loss) from special events . , 10 Gros s profit or (loss) from sales of inventory . 11 0th e r revenue: a b c d e 12 Sub t otal Add columns ( b), (d), and (e) . . 13 Total . Add line 12, columns ( b), (d), and (e) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (See worksheet in line 13 instructions on page 28 to verify calculations ) -892 . 13 -'892.
18
-1 , 600.
01 01
129. 100.
35514300
13
31-163318 9
Page
13
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) of the Code ( other than section 501 ( c)(3) organizations ) or in section 527, relating to political Q rgan zati p ns7 I ransters from the reporting foundation to a noncharitable exempt organization of. (1) Cash ......................................................... (2) Other assets b Other transactions (1) Sales of assets to a noncharitable exempt organization , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , (2) Purchases of assets from a noncharitable exempt organization (3) Rental of facilities , equipment , or other assets , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , 1b(1) 1b(2 1b(3) 1b(4) 1b(5) 1b(6) is the than X X X X X X X fair market fair market received . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . la(l) 1a(2) Yes No
X X
(4) Reimbursement arrangements , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , (5) Loans or loan guarantees , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , following reporting schedule foundation. Column If the ( b) (6) Performance of services or membership or fundraising solicitations c d If the answer
Sharing of facilities , equipment , mailing lists , other assets, or paid employees , , , , , , , , , , , , , , , , , , , , , , , , to any of the above is "Yes, " complete given the should always received show less value of the goods , other assets , or services by the foundation
or sharing
arrangement , show
in column
(d) the
2a
h
Is the foundation directly or indirectly affiliated with, or related to, one or more tax-exempt organizations described in
section 501 (c) of the Code (other than section 501(c)(3)) or in section 5277 , , , , , , , , , , , , If "Yes ' rmmnlete the fnllnwinn srhedule (a) Name of organization (b) Type of organization (c) Description of relationship , , , , , , , , , , , , Yes No
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, orrect, and, comp to Declaration of preparer (other than taxpayer or fiduciary) is based on all information of which preparer has any knowledge J ` d 2 Signal r of officer or trustee
CD
(cDL y Firm's name (or yours if a self-employed), address, and ZIP code
FORM 990-PF - PART IV CAPITAL GAINS AND LOSSES FOR TAX ON INVESTMENT INCOME
Kind of Property Gross sa l e price less ex p enses of sale Depreciation allowed / allowable Cost or other hagis Description p FMV as of 12/31/69 Add basis as of 12/31/69 Excess of FMV over ad i basis Date acquired Gain or ( loss ) Date sold
09/28/2005
07/01/2009
3,000.00
4,149.00
580.945 CALVERT SOCIAL EQUITY PORT CL A PROPERTY TYPE: SECURITIES
-1,149.00
09/28/2005 07/16/2009
15,000.00
10/29/2009
10,000.00
11,847.00
672.721 CALVERT SOCIAL EQUITY PORT CL A PROPERTY TYPE: SECURITIES 23,518.00 110.926 NEW ALTERNATIVES FD INC PROPERTY TYPE: SECURITIES 4,310.00 626.253 NEW ALTERNATIVES FD INC
20,000.00
4,000.00
25,000.00
1,797.00
09/28/2005 12/09/2009
45,000.00
39,791.00
1073.986 NEW ALTERNATIVES FD INC PROPERTY TYPE: SECURITIES
5,209.00
09/28/2005 12/09/2009
-45,000.00
-39,791.00
1077.586 NEW ALTERNATIVES FD INC
-5,209.00
09/28/2005 12/10/2009
45,000.00
5,075.00
03/08/2002 07/01/2009
3,000.00
3,996.00
1629.63 PARNASSUS FD SBI PROPERTY TYPE: SECURITIES
-996.00
12/28/2007 12/08/2009
55,000.00
50,342.00
4,658.00
35514300
15
FORM 990-PF - PART IV CAPITAL GAINS AND LOSSES FOR TAX ON INVESTMENT INCOME
Kind of Property Gross sale price less ex p enses of sale Depreciation allowed / allowable Cost or other FMV as of Description D Adj basis as of Excess of FMV over adi basis Date acquired Gain or ( loss ) Date sold
TOTAL GAIN(LOSS)
......
.......................................
-1,600.
35514300
16
31-1633189
FORM 990PF, PART I - INTEREST ON TEMPORARY CASH INVESTMENTS ----------------------------------------------------------REVENUE AND EXPENSES PER BOOKS --------1. --------------
DESCRIPTION
35514300 17
STATEMENT
31-1633189
FORM 990PF, PART I - DIVIDENDS AND INTEREST FROM SECURITIES ----------------------------------------------------------REVENUE AND EXPENSES PER BOOKS --------40. 356. 82. -------------478. --------------
DESCRIPTION ----------CALVERT SOCIAL EQUITY PORT CL A NEW ALTERNATIVES FD INC PARNASSUS FD SBI TOTAL
12:05:34
35514300 18
STATEMENT
31-1633189
FORM 990PF, PART I - OTHER INCOME --------------------------------REVENUE AND EXPENSES PER BOOKS
DESCRIPTION
12:05:34
35514300 19
STATEMENT
31-1633189
FORM 990PF, PART I - ACCOUNTING FEES -----------------------------------REVENUE AND EXPENSES PER BOOKS
NET INVESTMENT
DESCRIPTION
INCOME
1,150. -------------1,150.
575. -------------575.
-------------NONE
35514300 20
STATEMENT
31-1633189
FORM 990PF, PART I - OTHER PROFESSIONAL FEES -------------------------------------------REVENUE AND EXPENSES PER BOOKS
DESCRIPTION
CHARITABLE PURPOSES
(A
TOTALS
111. --------------
QK5372 F938
11/08/2010
12:05:34
35514300 21
STATEMENT
31-1633189
DESCRIPTION
QK5372 F938 -
11/08/2010 12:05:34
35514300 22
STATEMENT
FARVIEW FOUNDATION 35514300 FORM 990PF, PART II - CORPORATE STOCK ------------------------------------BEGINNING BOOK VALUE
31-1633189
DESCRIPTION
ENDING FMV
QK5372 F938 -
11/08/2010
12:05:34
35514300 23
STATEMENT
31-1633189
FARVIEW FOUNDATION 35514300 31-1633189 FORM 990PF , PART XV, LINE 3 - CONTRIBUTIONS, GIFTS, GRANTS PAID ---------------------------------------------------------------
RECIPIENT NAME:
INSTITUTE NOETIC SCIENCE ADDRESS:
6,000.
SUITE 600
............................................
8,000.
RECIPIENT NAME: EARTH POLICY INSTITUTE ADDRESS: 1350 CONNECTICUT AVE NW WASHINGTON, DC 20036 RELATIONSHIP: NONE PURPOSE OF GRANT: ENVIRONMENTAL
60,000.
STATEMENT
XD576
2000
35514300
25
FARVIEW FOUNDATION 35514300 31-1633189 FORM 990PF, PART XV, LINE 3 - CONTRIBUTIONS, GIFTS, GRANTS PAID ---------------------------------------------------------------
RECIPIENT NAME: ENDANGERED SPECIES COALITION ADDRESS: PO BOX 65195 WASHINGTON, DC 20035 RELATIONSHIP: NONE
PURPOSE OF GRANT: WILDLIFE PROTECTION FOUNDATION STATUS OF RECIPIENT: N/A
............................................
3,000.
2828 CHERRY STREET BERKELEY, CA 94705 RELATIONSHIP: NONE PURPOSE OF GRANT: PROMOTE RENEWABLE ENERGY FOUNDATION STATUS OF RECIPIENT: N/A AMOUNT OF GRANT PAID ............................................
2,000.
RECIPIENT NAME: JUSTICE THROUGH MUSIC ADDRESS: PO BOX 9576 WASHINGTON, DC 20016 RELATIONSHIP: NONE PURPOSE OF GRANT: VOTING ACTIVISM
25,000.
STATEMENT
XD576
10 -
2000
35514300
26
FARVIEW FOUNDATION 35514300 31-1633189 FORM 990PF, PART XV, LINE 3 - CONTRIBUTIONS, GIFTS, GRANTS PAID ---------------------------------------------------------------
............................................
2,000.
............................................
2,000.
RECIPIENT NAME: PROJECT ON GOVERNMENT OVERSIGHT ADDRESS: 1100 G TREET NW, SUITE 900 WASHINGTON, DC 20005 RELATIONSHIP: NONE PURPOSE OF GRANT: FUNDING FOUNDATION STATUS OF RECIPIENT: N/A AMOUNT OF GRANT PAID ............................................
3,000.
STATEMENT
X0576
11
2000
35514300
27
FARVIEW FOUNDATION 35514300 31-1633189 FORM 990PF, PART XV, LINE 3 - CONTRIBUTIONS, GIFTS, GRANTS PAID ---------------------------------------------------------------
RECIPIENT NAME: PACIFIC ENVIRONMENT ADDRESS: 251 KEARNY STREET, 2ND FLOOR SAN FRANCISCO, CA 94108 RELATIONSHIP:
NONE PURPOSE OF GRANT: FUNDING
1,000.
............................................
3,000.
RECIPIENT NAME: INSIGHT MEDIATION COMMUNITY ADDRESS: PO BOX 3 CABIN JOHN, MD 20818 RELATIONSHIP: NONE PURPOSE OF GRANT: FUNDING FOUNDATION STATUS OF RECIPIENT: N/A
............................................
2,000.
STATEMENT
X0576
12
2000
35514300
28
FARVIEW FOUNDATION 35514300 31-1633189 FORM 990PF, PART XV, LINE 3 - CONTRIBUTIONS, GIFTS, GRANTS PAID ---------------------------------------------------------------
............................................
2,000.
............................................
1,000.
RECIPIENT NAME: LAND INSTITUTE ADDRESS: 2440 E WATER WELL ROAD SALINAS, KS 67401 RELATIONSHIP: NONE PURPOSE OF GRANT: FUNDING
1,000.
STATEMENT
XD576
13 -
2 000
35514300
29
FARVIEW FOUNDATION 35514300 31-1633189 FORM 990PF, PART XV, LINE 3 - CONTRIBUTIONS, GIFTS, GRANTS PAID ---------------------------------------------------------------
............................................
1,000.
............................................
5,000.
RECIPIENT NAME: THE MARYLAND VOTERS ADDRESS: P.O. BOX 6423 ANNAPOLIS, MD 21401 RELATIONSHIP: NONE PURPOSE OF GRANT: GENERAL SUPPORT
FOR ANIMALS
3,000.
STATEMENT
XD576
14
2 000
12:05:34
35514300
30
FARVIEW FOUNDATION 35514300 31-1633189 FORM 990PF, PART XV, LINE 3 - CONTRIBUTIONS, GIFTS, GRANTS PAID ---------------------------------------------------------------
NY 12125
1,000.
8601 GEORGIA AVENUE, SUITE 612 SILVER SPRING, MD 20910 RELATIONSHIP: NONE PURPOSE OF GRANT: GENERAL SUPPORT FOUNDATION STATUS OF RECIPIENT: N/A AMOUNT OF GRANT PAID ............................................
1,000.
RECIPIENT NAME: WILD EARTH GUARDIANS ADDRESS: 312 MONTEZUMA AVE, SUITE A SANTA FE, NM 87501 RELATIONSHIP:
NONE PURPOSE OF GRANT: FUNDING FOUNDATION STATUS OF RECIPIENT: N/A AMOUNT OF GRANT PAID ............................................
3,000.
STATEMENT
XD576
15 -
2 000
12:05:34
35514300
31
FARVIEW FOUNDATION 35514300 31-1633189 FORM 990PF, PART XV, LINE 3 - CONTRIBUTIONS, GIFTS, GRANTS PAID ---------------------------------------------------------------
PURPOSE OF GRANT: GENERAL SUPPORT FOUNDATION STATUS OF RECIPIENT: N/A AMOUNT OF GRANT PAID ............................................
2,000.
RECIPIENT NAME:
............................................
8,000.
RECIPIENT NAME: FRIENDS OF FREDERICK COUNTY ADDRESS: 4 EAST CHURCH STREET FREDERICK, MD 21701 RELATIONSHIP: NONE PURPOSE OF GRANT: GENERAL SUPPORT
5,000.
STATEMENT
XD576
16
2000
35514300
32
FARVIEW FOUNDATION 35514300 31-1633189 FORM 990PF, PART XV, LINE 3 - CONTRIBUTIONS, GIFTS, GRANTS PAID ---------------------------------------------------------------
............................................
1,000.
2,000.
RECIPIENT NAME:
BOULDER INSTITUTE FOR NATURE & HUMAN SPIRIT ADDRESS: 18679 W 60TH AVE BOULDER, CO 80403 RELATIONSHIP:
............................................
2,000.
STATEMENT
XD576
17
2000
12:05:34
35514300
33
FARVIEW FOUNDATION 35514300 31-1633189 FORM 990PF, PART XV, LINE 3 - CONTRIBUTIONS, GIFTS, GRANTS PAID -----------------------------------------------------------------------------------------------------------------------------
RECIPIENT NAME: JANE GOODALL INSTITUTE ADDRESS: 8700 GEORGIA AVE SILVER SPRING, MD 20910 RELATIONSHIP:
NONE PURPOSE OF GRANT: EDUCATION FOUNDATION STATUS OF RECIPIENT: N/A
............................................
2,000.
............................................
1,000.
158,000. ---------------
STATEMENT
XD576
18 -
2000
35514300
34
SCHEDULE D -(Form
0 M B No 1545-0092
1041)
2009
Name of estate or trust FARVIEW FOUNDATION 35514300 Note : Form 5227 filers need to complete onlyParts land II.
F7M
Short-Term Capital Gains and Losses - Assets Held One Year or Less
( b) Date acquired (mo , day, yr) (c) Date sold (mo , day, yr ^ ( d) Sales price ( e) Cost or other basis ( see pa ge 4 of the in st ructions) (f) Gain or ( loss) for the entire year Subtract (e) from (d)
la
b Enter the short-term gain or (loss), if any, from Schedule D-1, Ilne lb . . . . . . . . . . . . . . .. . . . . 2 3 4 Short-term capital gain or (loss) from Forms 4684, 6252, 6781, and 8824 , , , , , , , , , , , , , , , , ,
lb 2 3 4 5
(f) Gain or (loss) for the entire year Subtract ( e) from (d)
Net short-term gain or (loss) from partnerships, S corporations, and other estates or trusts , , , , , , , , Short-term capital loss carryover. Enter the amount, if any, from line 9 of the 2008 Capital Loss Carryover Worksheet . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . Net short-term gain or (loss). Combine lines la through 4 in column (f) Enter here and on line 13, 5 column (3) on the back . ^ FT.r; lI Long-Term Capital Gains and Losses - Assets Held More Than One Year
(a) Description of property (Example 100 shares 7% preferred of 'Z' Co) ( b) Date acquired (mo , day, yr ) ( e) Date sold (mo , day, yr) (d) Sales price
6a
b Enter the long-term gain or (loss), if any, from Schedule D-1, line 6b . . .. .. . . . . . . . . . . . . . . . 7 8 9 10 11 12 Long-term capital gain or (loss) from Forms 2439, 4684, 6252, 6781, and 8824 , , , , , , , , , , , , ,
6b 7 8 9 10 11 12 (
-1 , 600
Net long-term gain or (loss) from partnerships, S corporations, and other estates or trusts , , . . . . . . . Capital gain distributions . . . . . . . . . . . . .. . . .. . . . . . . . . . . . . . . . . . . . . . .. . . . Gain from Form 4797, Part I , , , , , , , , , , , , , , , , , , , Long-term capital loss carryover. Enter the amount, if any, from line 14 of the 2008 Capital Loss Carryover Worksheet,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,, Net long-term gain or (loss). Combine lines 6a through 11 in column (f). Enter here and on line 14a, column (3) on the back . ^
-1 , 600
For Paperwork Reduction Act Notice, see the Instructions for Form 1041.
35514300
35
Schedule D (Form 1041) 2009 Summary of Parts I and 11 (1) Beneficiaries' (2) Estate's
Page 2
Caution : Read the instructions before completing this part. 13 Net short-term gain or ( loss) 13 14 Net long-term gain or ( loss): a Total for year . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14a 14b b Unrecaptured section 1250 gain (see line 18 of the wrksht.). 14c c 28% rate gain . . . . . . . . . . . . . . . . . . . . . . . . . . . .
15 Total net gain or (loss). Combine lines 13 and 14a , . . . . . . ^ 15
(see page 5)
or trust's
(3) Total
-1 , 600.
-1 , 600,
Note : If line 15, column (3), is a net gain, enter the gain on Form 1041, line 4 (or Form 990-T, Part 1, line 4a) If lines 14a and 15, column (2), are net gains, go to Part V. and do not complete Part IV If line 15, column (3), is a net loss, complete Part IV and the Capital Loss Carryover Worksheet, as necessary
16
Loss Limitation Enter here and enter as a (loss) on Form 1041, line 4 (or Form 990-T, Part I, line 4c, if a trust), the smaller of.
a The loss on line 15, column (3) or b $3,000 , , 16 ( 1,600) Note: If the loss on line 15, column (3), is more than $3,000, or if Form 1041, page 1, line 22 (or Form 990-T, line 34), is a loss, complete the Capital Loss Carryover Worksheet on page 7 of the instructions to figure your capital loss carryover.
. .
17
22 23 24 25
amount from line 4g; otherwise, enter -0- . . ^ 21 Subtract line 21 from line 20. If zero or less, enter -0- . . . . . . . . . . . Subtract line 22 from line 17. If zero or less, enter -0- . . . . . . . . . . . . Enter the smaller of the amount on line 17 or $2,300 , . . . . . . . . . . Is the amount on line 23 equal to or more than the amount on line 24? 8 Yes. Skip lines 25 and 26, go to line 27 and check the "No" box. No. Enter the amount from line 23 , Subtract line 25 from line 24 Are the amounts on lines 22 and 26 the same?
Dyes. Skip fines 27 thru 30 , go to line 31 u NO . Enter the smaDec of line 17 or line 22
22 23 24
26 27
25 26
27
28 29 30 31
Enter the amount from line 26 (If line 26 is blank, enter -0-) , , , , , , , , , , 1 28 Subtract line 28 from line 27 .......................... 29 Multiply line 29 by 15% (. 15) , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , Figure the tax on the amount on line 23. Use the 2009 Tax Rate Schedule for Estates and Trusts (see the Schedule G instructions in the instructions for Form 1041) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ Add lines 30 and 31 ............................................. Figure the tax on the amount on line 17. Use the 2009 Tax Rate Schedule for Estates and Trusts (see the Schedule G instructions in the instructions for Form 1041) . . . . . . . . . . . . . . . . . . . Tax on all taxable income . Enter the smaller of line 32 or line 33 here and on Form 1041, Schedule G, line 1a (or Form 990-T, line 36) . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . .
30 31 32 33 34
Schedule D (Form 1041) 2009
32 33 34
35514300
36
ScheduleD-1 (Form 1041) 2009 Name of estate or trust as shown on Form 1041 Do not enter name and employer identification number if shown on the other side Employer identification number
Pag e 2
FARVIEW FOUNDATION 35514300 I fl IlU Lona-Term Canital Gains and Losses - Assets Held More Than One Year
(a) Description of property ( Example 100 sh 7% preferred of 'Z' Co ) ( b) Date acquired (mo, da y, r 1 (c) Date sold (mo, day, yr) ( d) Sales puce (see page 4 of the instructions )
31-1633189
(e) Cost or other basis ( see page 4 of the instructions) (f) Gain or (loss) Subtract ( e) from (d)
6a 118.671 CALVERT SOCIAL EQUITY PORT CL A 580.945 CALVERT SOCIAL EQUITY PORT CL A 338.868 CALVERT SOCIAL E QUITY PORT CL A 672.721 CALVERT SOCIAL E QUITY PORT CL A 110.926 NEW ALTERNATIVES FD INC
09 / 28 / 2005
07 / 01 / 200 9
3 , 000.00
4 , 149.00
-1 1 149:00
09 / 28 / 2005
09 / 28 / 200S
07 / 16 / 200 9
10 / 29 / 200 9
15 000.00
10 000.00
20 310.00
11 847.00
-5 1 310.00
-1 1 847 00
09 / 28 / 2005
12 / 29 / 2006
12 / 08 / 2009
07 / 02 / 2009
20 000.00
4 , 00 .00
23 518.00
4 1 ` 310.00
-3 518.00
- 310.00
10 / 30 / 2009 12 / 09 / 2009
12 09 / 2009 12 / 10 / 2009 07 / 01 / 2009 12 / 08 / 2009
6b Total . Combine the amounts in column (f) Enter here and on Schedule D, line 6b
35514300
37