RATHMANN FAMILY FOUNDATION: Form 990PF, tax year 2021

View the entire original 990 at ProPublica ↗

Organization
RATHMANN FAMILY FOUNDATION (EIN 52-1757445)
Tax period
2021-01-01 to 2021-12-31
Filed
2022-08-11
IRS object ID
202202239349100405
Schema version
2021v4.0
Source
Download XML · Original 990 at ProPublica

Every field in the e-filed return. Faint text is the IRS element name, for citing.

Return header ReturnHeader

FieldValueIRS element (for citing)
Return2022-08-11T10:04:53-05:00ReturnTs
Tax Period End2021-12-31TaxPeriodEndDt

Preparer Firm PreparerFirmGrp

FieldValueIRS element (for citing)
Preparer Firm EIN453768259PreparerFirmEIN

Preparer Firm Name PreparerFirmName

FieldValueIRS element (for citing)
Business Name Line1MARTINBROWN CPAS & ADVISORSBusinessNameLine1Txt

Preparer US Address PreparerUSAddress

FieldValueIRS element (for citing)
Address Line13411 TAMIAMI TRAIL NORTH SUITE 201AddressLine1Txt
CityNAPLESCityNm
State AbbreviationFLStateAbbreviationCd
ZIP34103ZIPCd
FieldValueIRS element (for citing)
Return Type990PFReturnTypeCd
Tax Period Begin2021-01-01TaxPeriodBeginDt

Filer Filer

FieldValueIRS element (for citing)
EIN521757445EIN

Business Name BusinessName

FieldValueIRS element (for citing)
Business Name Line1RATHMANN FAMILY FOUNDATIONBusinessNameLine1Txt
Business Name Line2C/O JAMES RATHMANNBusinessNameLine2Txt
FieldValueIRS element (for citing)
Business Name ControlRATHBusinessNameControlTxt
Phone2397898857PhoneNum

US Address USAddress

FieldValueIRS element (for citing)
Address Line1148 10TH AVENUE SOUTHAddressLine1Txt
CityNAPLESCityNm
State AbbreviationFLStateAbbreviationCd
ZIP34102ZIPCd

Business Officer BusinessOfficerGrp

FieldValueIRS element (for citing)
PersonJAMES LOUIS RATHMANN DIRECTORPersonNm
Person TitlePRESIDENTPersonTitleTxt
Phone2397898857PhoneNum
Signature2022-07-25SignatureDt
Discuss With Paid PreparerYes (true)DiscussWithPaidPreparerInd

Signing Officer SigningOfficerGrp

Person Full Name PersonFullName

FieldValueIRS element (for citing)
Person FirstJAMESPersonFirstNm
Person LastRATHMANNPersonLastNm
FieldValueIRS element (for citing)
SSN999009999SSN

Preparer Person PreparerPersonGrp

FieldValueIRS element (for citing)
Preparer PersonDANIEL J BROWN CPAPreparerPersonNm
PTINP00839712PTIN
Phone2392548306PhoneNum
Preparation2022-08-11PreparationDt
FieldValueIRS element (for citing)
Tax2021TaxYr
Build TS2022-09-23 18:48:47ZBuildTS

Form 990-PF IRS990PF

FieldValueIRS element (for citing)
Organization501c3 Exempt PFYes (X)Organization501c3ExemptPFInd
FMV Assets EOY$37,308,079FMVAssetsEOYAmt
Method Of Accounting AccrualYes (X)MethodOfAccountingAccrualInd

Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses

FieldValueIRS element (for citing)
Schedule B Not RequiredYes (X)ScheduleBNotRequiredInd
Dividends Rev And Expnss$402,854DividendsRevAndExpnssAmt
Dividends Net Invst Incm$402,854DividendsNetInvstIncmAmt
Net Gain Sale Ast Rev And Expnss$1,398,127NetGainSaleAstRevAndExpnssAmt
Gross Sales Price$5,478,948GrossSalesPriceAmt
Cap Gain Net Incm Net Invst Incm$1,398,127CapGainNetIncmNetInvstIncmAmt
Other Income Rev And Expnss-$8,834OtherIncomeRevAndExpnssAmt
Total Rev And Expnss$1,792,147TotalRevAndExpnssAmt
Total Net Invst Incm$1,800,981TotalNetInvstIncmAmt
Legal Fees Rev And Expnss$7,663LegalFeesRevAndExpnssAmt
Legal Fees Dsbrs Chrtbl$7,663LegalFeesDsbrsChrtblAmt
Accounting Fees Rev And Expnss$19,613AccountingFeesRevAndExpnssAmt
Accounting Fees Net Invst Incm$8,826AccountingFeesNetInvstIncmAmt
Accounting Fees Chrtbl Prps$10,787AccountingFeesChrtblPrpsAmt
Other Prof Fees Rev And Expnss$187,494OtherProfFeesRevAndExpnssAmt
Other Prof Fees Net Invst Incm$174,594OtherProfFeesNetInvstIncmAmt
Other Prof Fees Dsbrs Chrtbl$12,900OtherProfFeesDsbrsChrtblAmt
Taxes Rev And Expnss$2,788TaxesRevAndExpnssAmt
Taxes Net Invst Incm$2,788TaxesNetInvstIncmAmt
Other Expenses Rev And Expnss$1,910OtherExpensesRevAndExpnssAmt
Other Expenses Net Invst Incm$83OtherExpensesNetInvstIncmAmt
Other Expenses Dsbrs Chrtbl$1,827OtherExpensesDsbrsChrtblAmt
Tot Opr Expenses Rev And Expnss$219,468TotOprExpensesRevAndExpnssAmt
Tot Opr Expenses Net Invst Incm$186,291TotOprExpensesNetInvstIncmAmt
Tot Opr Expenses Dsbrs Chrtbl$33,177TotOprExpensesDsbrsChrtblAmt
Contri Paid Rev And Expnss$1,705,500ContriPaidRevAndExpnssAmt
Contri Paid Dsbrs Chrtbl$1,425,000ContriPaidDsbrsChrtblAmt
Total Expenses Rev And Expnss$1,924,968TotalExpensesRevAndExpnssAmt
Total Expenses Net Invst Incm$186,291TotalExpensesNetInvstIncmAmt
Total Expenses Dsbrs Chrtbl$1,458,177TotalExpensesDsbrsChrtblAmt
Excess Revenue Over Expenses-$132,821ExcessRevenueOverExpensesAmt
Net Investment Income$1,614,690NetInvestmentIncomeAmt

Form990 PF Balance Sheets Form990PFBalanceSheetsGrp

FieldValueIRS element (for citing)
Cash BOY$1,249,315CashBOYAmt
Cash EOY$1,121,397CashEOYAmt
Cash EOYFMV$1,121,398CashEOYFMVAmt
Sav And Temp Cash Invst BOY$1,464,878SavAndTempCashInvstBOYAmt
Sav And Temp Cash Invst EOY$551,009SavAndTempCashInvstEOYAmt
Sav And Temp Cash Invst EOYFMV$551,009SavAndTempCashInvstEOYFMVAmt
Corporate Stock BOY$24,909,297CorporateStockBOYAmt
Corporate Stock EOY$30,015,061CorporateStockEOYAmt
Corporate Stock EOYFMV$30,015,061CorporateStockEOYFMVAmt
Corporate Bonds BOY$2,851,231CorporateBondsBOYAmt
Corporate Bonds EOY$3,019,317CorporateBondsEOYAmt
Corporate Bonds EOYFMV$3,019,317CorporateBondsEOYFMVAmt
Other Investments BOY$2,003,855OtherInvestmentsBOYAmt
Other Investments EOY$2,555,946OtherInvestmentsEOYAmt
Other Investments EOYFMV$2,555,946OtherInvestmentsEOYFMVAmt
Other Assets BOY$32,882OtherAssetsBOYAmt
Other Assets EOY$45,348OtherAssetsEOYAmt
Other Assets EOYFMV$45,348OtherAssetsEOYFMVAmt
Total Assets BOY$32,511,458TotalAssetsBOYAmt
Total Assets EOY$37,308,078TotalAssetsEOYAmt
Total Assets EOYFMV$37,308,079TotalAssetsEOYFMVAmt
Grants Payable BOY$1,250,000GrantsPayableBOYAmt
Grants Payable EOY$1,530,500GrantsPayableEOYAmt
Total Liabilities BOY$1,250,000TotalLiabilitiesBOYAmt
Total Liabilities EOY$1,530,500TotalLiabilitiesEOYAmt
Organization Follows FASB117Yes (X)OrganizationFollowsFASB117Ind
No Donor Rstr Net Assests BOY$31,261,458NoDonorRstrNetAssestsBOYAmt
No Donor Rstr Net Assests EOY$35,777,578NoDonorRstrNetAssestsEOYAmt
Tot Net Ast Or Fund Balances BOY$31,261,458TotNetAstOrFundBalancesBOYAmt
Tot Net Ast Or Fund Balances EOY$35,777,578TotNetAstOrFundBalancesEOYAmt
Total Liabilities Net Ast BOY$32,511,458TotalLiabilitiesNetAstBOYAmt
Total Liabilities Net Ast EOY$37,308,078TotalLiabilitiesNetAstEOYAmt

Chg In Net Assets Fund Balances ChgInNetAssetsFundBalancesGrp

FieldValueIRS element (for citing)
Tot Net Ast Or Fund Balances BOY$31,261,458TotNetAstOrFundBalancesBOYAmt
Excess Revenue Over Expenses-$132,821ExcessRevenueOverExpensesAmt
Other Increases$4,648,941OtherIncreasesAmt
Subtotal$35,777,578SubtotalAmt
Tot Net Ast Or Fund Balances EOY$35,777,578TotNetAstOrFundBalancesEOYAmt

Cap Gains Loss Tx Invst Incm Detail CapGainsLossTxInvstIncmDetail

Cap Gains Loss Tx Invst Incm CapGainsLossTxInvstIncmGrp (13 entries)

PropertyPropertyDescHow AcquiredHowAcquiredCdAcquiredAcquiredDtSoldSoldDtGross Sales PriceGrossSalesPriceAmtCost Or Other BasisCostOrOtherBasisAmtGain Or LossGainOrLossAmtGains Minus Excess Or LossesGainsMinusExcessOrLossesAmt
SEE ATTACHED - CHARLES SCH 0875P2020-06-182021-01-28$636,501$540,892$95,609$95,609
SEE ATTACHED - CHARLES SCH 0875P2018-12-212021-12-21$2,835,400$1,778,780$1,056,620$1,056,620
SEE ATTACHED - CHARLES SCH 3735P2020-11-042021-09-16$155,189$177,129-$21,940-$21,940
SEE ATTACHED - CHARLES SCH 3735P2007-03-142021-12-01$1,819,215$1,362,681$456,534$456,534
BROADOAK FUND III LLC - K1P$10,089-$10,089-$10,089
BROADOAK FUND III LLC - K1P$1,941-$1,941-$1,941
ARCH VENTURE FUND V LP - K1P$8,644-$8,644-$8,644
FFC PARTNERS II LP - K1P$8,466-$8,466-$8,466
FFC PARTNERS II LP - K1P$17,199-$17,199-$17,199
SYMPHONY DYNAMO HOLDINGS LLC - K1P$267$267$267
BROADOAK FUND IV LLC - K1P$21,623$21,623$21,623
BROADOAK FUND IV LLC - K1P$7,842$7,842$7,842
CELLERANT THERAPEUTICSP$175,000-$175,000-$175,000
FieldValueIRS element (for citing)
Capital Gain Net Income$1,398,127CapitalGainNetIncomeAmt
Net Short Term Capital Gain Loss$76,737NetShortTermCapitalGainLossAmt

Excise Tax Based On Invst Incm ExciseTaxBasedOnInvstIncmGrp

FieldValueIRS element (for citing)
Investment Income Excise Tax$22,444InvestmentIncomeExciseTaxAmt
Subtotal$22,444SubtotalAmt
Tax Based On Investment Income$22,444TaxBasedOnInvestmentIncomeAmt
Estimated Plus Ovpmt Incm Tx$29,452EstimatedPlusOvpmtIncmTxAmt
Total Payments And Credits$29,452TotalPaymentsAndCreditsAmt
Overpayment$7,008OverpaymentAmt
Applied To ES Tax$7,008AppliedToESTaxAmt

Statements Regarding Acty StatementsRegardingActyGrp

FieldValueIRS element (for citing)
Legislative Political ActyfalseLegislativePoliticalActyInd
More Than100 SpentfalseMoreThan100SpentInd
Form1120 POL FiledfalseForm1120POLFiledInd
Activities Not Previously RptfalseActivitiesNotPreviouslyRptInd
Changes To Articles Or BylawsfalseChangesToArticlesOrBylawsInd
Unrelated Bus Incm Over LimitfalseUnrelatedBusIncmOverLimitInd
Organization Dissolved EtcfalseOrganizationDissolvedEtcInd
Section508e Rqr SatisfiedYes (true)Section508eRqrSatisfiedInd
At Least5000 In AssetsYes (true)AtLeast5000InAssetsInd
Org Report Or Register StateWAOrgReportOrRegisterStateCd
Form990 PF Filed With Atty GenYes (true)Form990PFFiledWithAttyGenInd
Private Operating FoundationfalsePrivateOperatingFoundationInd
New Substantial ContributorsfalseNewSubstantialContributorsInd
Own Controlled EntityfalseOwnControlledEntityInd
Donor Advised FundfalseDonorAdvisedFundInd
Comply With Public Insp RqrYes (true)ComplyWithPublicInspRqrInd
Website AddressWWW.RATHMANNFAMILYFOUNDATION.ORGWebsiteAddressTxt

Persons With Books Name PersonsWithBooksName

FieldValueIRS element (for citing)
Business Name Line1MARTINBROWN CPAS & ADVISORSBusinessNameLine1Txt
FieldValueIRS element (for citing)
Phone2392548306PhoneNum

Location Of Books US Address LocationOfBooksUSAddress

FieldValueIRS element (for citing)
Address Line1PO BOX 11000AddressLine1Txt
CityNAPLESCityNm
State AbbreviationFLStateAbbreviationCd
ZIP34102ZIPCd
FieldValueIRS element (for citing)
Foreign Accounts QuestionfalseForeignAccountsQuestionInd

Statements Regarding Acty4720 StatementsRegardingActy4720Grp

FieldValueIRS element (for citing)
Sale Or Exch Disqualified PrsnfalseSaleOrExchDisqualifiedPrsnInd
Brrw Or Lend Disqualified PrsnfalseBrrwOrLendDisqualifiedPrsnInd
Furn Goods Disqualified PrsnfalseFurnGoodsDisqualifiedPrsnInd
Pay Comp Disqualified PrsnfalsePayCompDisqualifiedPrsnInd
Transfer Ast Disqualified PrsnfalseTransferAstDisqualifiedPrsnInd
Payment To Government OfficialfalsePaymentToGovernmentOfficialInd
Uncorrected Prior ActsfalseUncorrectedPriorActsInd
Undistributed Income PYfalseUndistributedIncomePYInd
Business HoldingsYes (true)BusinessHoldingsInd
Excess Business HoldingsfalseExcessBusinessHoldingsInd
Jeopardy InvestmentsfalseJeopardyInvestmentsInd
Uncorrected PY Jeopardy InvstfalseUncorrectedPYJeopardyInvstInd
Influence LegislationfalseInfluenceLegislationInd
Influence ElectionfalseInfluenceElectionInd
Grants To IndividualsfalseGrantsToIndividualsInd
Grants To OrganizationsfalseGrantsToOrganizationsInd
Noncharitable PurposefalseNoncharitablePurposeInd
Rcv Fnds To Pay Prsnl Bnft CntrctfalseRcvFndsToPayPrsnlBnftCntrctInd
Pay Premiums Prsnl Bnft CntrctfalsePayPremiumsPrsnlBnftCntrctInd
Prohibited Tax Shelter TransfalseProhibitedTaxShelterTransInd
Subj To Tax Rmnrtn Ex Prcht PymtfalseSubjToTaxRmnrtnExPrchtPymtInd

Officer Dir Trst Key Empl Info OfficerDirTrstKeyEmplInfoGrp

Officer Dir Trst Key Empl OfficerDirTrstKeyEmplGrp (4 entries)

Address Line1USAddress/AddressLine1TxtCityUSAddress/CityNmState AbbreviationUSAddress/StateAbbreviationCdZIPUSAddress/ZIPCdTitleTitleTxtAverage Hrs Per Wk Devoted To PosAverageHrsPerWkDevotedToPosRtCompensationCompensationAmtEmployee Benefit ProgramEmployeeBenefitProgramAmtExpense Account Other AllwncExpenseAccountOtherAllwncAmt
ALEXANDRA RATHMANN-NOONAN DIRECTOR
148 10TH AVENUE SOUTHNAPLESFL34102CHAIRPERSON1.00$0$0$0
JAMES LOUIS RATHMANN DIRECTOR
148 10TH AVENUE SOUTHNAPLESFL34102PRESIDENT5.00$0$0$0
ROBIN W RATHMANN-NOONAN DIRECTOR
148 10TH AVENUE SOUTHNAPLESFL34102SECRETARY1.00$0$0$0
ANDREW G RATHMANN-NOONAN DIRECTOR
148 10TH AVENUE SOUTHNAPLESFL34102TREASURER1.00$0$0$0
FieldValueIRS element (for citing)
Comp Of Hghst Pd Empl Or NONENONECompOfHghstPdEmplOrNONETxt
Comp Of Hghst Pd Cntrct Or NONENONECompOfHghstPdCntrctOrNONETxt

Sum Of Program Related Invst SumOfProgramRelatedInvstGrp

FieldValueIRS element (for citing)
Description1N/ADescription1Txt

Minimum Investment Return MinimumInvestmentReturnGrp

FieldValueIRS element (for citing)
Average Monthly FMV Of Sec$30,645,949AverageMonthlyFMVOfSecAmt
Average Monthly Cash Balances$2,140,646AverageMonthlyCashBalancesAmt
FMV All Other Noncharitable Ast$2,252,521FMVAllOtherNoncharitableAstAmt
Total FMV Of Unused Assets$35,039,116TotalFMVOfUnusedAssetsAmt
Adjusted Total FMV Of Unused Ast$35,039,116AdjustedTotalFMVOfUnusedAstAmt
Cash Deemed Charitable$525,587CashDeemedCharitableAmt
Net Vl Noncharitable Assets$34,513,529NetVlNoncharitableAssetsAmt
Minimum Investment Return$1,725,676MinimumInvestmentReturnAmt

Distributable Amount DistributableAmountGrp

FieldValueIRS element (for citing)
Minimum Investment Return$1,725,676MinimumInvestmentReturnAmt
Tax Based On Investment Income$22,444TaxBasedOnInvestmentIncomeAmt
Total Tax$22,444TotalTaxAmt
Distributable Before Adj$1,703,232DistributableBeforeAdjAmt
Distributable Before Ded$1,703,232DistributableBeforeDedAmt
Distributable As Adjusted$1,703,232DistributableAsAdjustedAmt

PF Qualifying Distributions PFQualifyingDistributionsGrp

FieldValueIRS element (for citing)
Expenses And Contributions$1,458,177ExpensesAndContributionsAmt
Qualifying Distributions$1,458,177QualifyingDistributionsAmt

Undistributed Income UndistributedIncomeGrp

FieldValueIRS element (for citing)
Distributable As Adjusted$1,703,232DistributableAsAdjustedAmt
Excess Distribution Cyov Yr3$7,113,457ExcessDistributionCyovYr3Amt
Excess Distribution Cyov Yr1$9,485ExcessDistributionCyovYr1Amt
Total Excess Distribution Cyov$7,122,942TotalExcessDistributionCyovAmt
Qualifying Distributions$1,458,177QualifyingDistributionsAmt
Applied To Current Year$1,458,177AppliedToCurrentYearAmt
Excess Distri Cyov App CY Corpus$245,055ExcessDistriCyovAppCYCorpusAmt
Excess Distribution Cyov App CY$245,055ExcessDistributionCyovAppCYAmt
Total Corpus$6,877,887TotalCorpusAmt
Undistributed Income CY$0UndistributedIncomeCYAmt
Excess Distri Cyov To Next Yr$6,877,887ExcessDistriCyovToNextYrAmt
Excess From Year3$6,868,402ExcessFromYear3Amt
Excess From Year1$9,485ExcessFromYear1Amt

Supplementary Information SupplementaryInformationGrp

FieldValueIRS element (for citing)
Only Contri To PreselectedYes (X)OnlyContriToPreselectedInd

Grant Or Contribution Pd Dur Yr GrantOrContributionPdDurYrGrp (17 entries)

Address Line1RecipientUSAddress/AddressLine1TxtCityRecipientUSAddress/CityNmState AbbreviationRecipientUSAddress/StateAbbreviationCdZIPRecipientUSAddress/ZIPCdRecipient Foundation StatusRecipientFoundationStatusTxtGrant Or Contribution PurposeGrantOrContributionPurposeTxtAmtAmtBusiness Name Line2RecipientBusinessName/BusinessNameLine2TxtAddress Line2RecipientUSAddress/AddressLine2Txt
AFRICAN PARKS FOUNDATION OF AMERICA
21 WEST 46TH STREETNEW YORKNY10036PCGENERAL OPERATING ACTIVITIES$175,000
ARTIS - NAPLES INC
5833 PELICAN BAY BLVDNAPLESFL34108PCGENERAL OPERATING ACTIVITIES$25,000
BUZZARDS BAY COALITION INC
114 FRONT STREETNEW BEDFORDMA02740PCWESTPORT, MA$75,000
CENTER FOR HEIRS
1535 SAM RITTENBURG BLVDCHARLESTONSC29407PCGENERAL OPERATING ACTIVITIES$40,000PROPERTY PRESERVATIONSUITE D
CORPORATION OF HAVERFORD COLLEGE
370 LANCASTER AVENUEHAVERFORDPA19041PCGENERAL OPERATING ACTIVITIES$60,000DBA HAVERFORD COLLEGE
DHARMA VOYAGE INC
PO BOX N104WESTPORTMA02790PCGENERAL OPERATING ACTIVITIES$15,000
GNOME INC
1510 HIGHLAND AVEFALL RIVERMA02720PCGENERAL OPERATING ACTIVITIES$25,000
HUERTA DEL VALLE
310 E PHILADELPHIA STREETONTARIOCA91761PCGENERAL OPERATING ACTIVITIES$100,000
NATIONAL AUDUBON SOCIETY INC
711 UNIVERSITY AVENUEANAHEIMCA92825PCCORKSCREW SWAMP REHABILITATION$25,000
NATIONAL AUDUBON SOCIETY INC
711 UNIVERSITY AVENUEANAHEIMCA92825PCCORKSCREW SWAMP REHABILITATION$50,000
NATIONAL SCIENCE AND TECHNOLOGY
3222 N STREET NWWASHINGTONDC20007PCGENERAL OPERATING ACTIVITIES$100,000MEDALS FOUNDATIONSUITE 300
NATIONAL SCIENCE AND TECHNOLOGY
3222 N STREET NWWASHINGTONDC20007PCGENERAL OPERATING ACTIVITIES$500,000MEDALS FOUNDATIONSUITE 300
PARTNERS IN HEALTH
800 BOYLSTON STBOSTONMA02199PCHAITI$50,000
THE MOVING WELL PROJECT
26 EASTMOOR DRIVESILVER SPRINGMD20901PCGENERAL OPERATING ACTIVITIES$30,000
TRUSTEES OF TRINITY COLLEGE
300 SUMMIT STREETHARTFORDCT06106PCSOFTBALL/BASEBALL/ANNUAL FUND$100,000
VOLUNTEERS OF LEGAL SERVICE
40 WORTH STREETNEW YORKNY10013PCIMMIGRATION PROJECT GEN SUPPORT$40,000
WESTPORT HISTORICAL SOCIETY
25 DRIFT ROADWESTPORTMA02790PCGENERAL OPERATING ACTIVITIES$15,000
FieldValueIRS element (for citing)
Total Grant Or Contri Pd Dur Yr$1,425,000TotalGrantOrContriPdDurYrAmt

Grant Or Contri Apprv For Fut GrantOrContriApprvForFutGrp (3 entries)

Address Line1RecipientUSAddress/AddressLine1TxtCityRecipientUSAddress/CityNmState AbbreviationRecipientUSAddress/StateAbbreviationCdZIPRecipientUSAddress/ZIPCdRecipient Foundation StatusRecipientFoundationStatusTxtGrant Or Contribution PurposeGrantOrContributionPurposeTxtAmtAmt
BROWN UNIVERSITY
350 EDDY STREETPROVIDENCERI02903PCSCHOLARSHIP FUND/ANNUAL FUND$100,500
BUZZARDS BAY COALITION INC
114 FRONT STREETNEW BEDFORDMA02740PCGOOSEBERRY CAUSEWAY$1,000,000
GNOME INC
1510 HIGHLAND AVEFALL RIVERMA02720PCGENERAL OPERATING ACTIVITIES$25,000
FieldValueIRS element (for citing)
Total Grant Or Contri Apprv Fut$1,125,500TotalGrantOrContriApprvFutAmt

Analysis Income Producing Acty AnalysisIncomeProducingActyGrp

Dividends And Interest From Sec Dtl DividendsAndInterestFromSecDtl

FieldValueIRS element (for citing)
Exclusion14ExclusionCd
Exclusion$402,854ExclusionAmt

Gain Sales Ast Oth Than Invntry GainSalesAstOthThanInvntryGrp

FieldValueIRS element (for citing)
Exclusion18ExclusionCd
Exclusion$1,398,127ExclusionAmt

Other Revenue Described OtherRevenueDescribedGrp (3 entries)

DescDescExclusionExclusionCdExclusionExclusionAmt
BROADOAK III LLC - K118-$8,639
BROADOAK IV LLC - K118-$345
BROADOAK V LP - K118$150

Subtotals Incm Producing Acty SubtotalsIncmProducingActyGrp

FieldValueIRS element (for citing)
Exclusion$1,792,147ExclusionAmt
FieldValueIRS element (for citing)
Total Income Producing Acty$1,792,147TotalIncomeProducingActyAmt

Trnsfr Trans Rln Nonchrtbl EO TrnsfrTransRlnNonchrtblEOGrp

FieldValueIRS element (for citing)
Trnsfr Of Cash To Nonchrtbl EOfalseTrnsfrOfCashToNonchrtblEOInd
Trnsfr Other Asset Nonchrtbl EOfalseTrnsfrOtherAssetNonchrtblEOInd
Sales Or Exchanges Of AssetsfalseSalesOrExchangesOfAssetsInd
Purchase Of Assets Nonchrtbl EOfalsePurchaseOfAssetsNonchrtblEOInd
Rental Of Facilities Oth AssetsfalseRentalOfFacilitiesOthAssetsInd
Reimbursement ArrangementsfalseReimbursementArrangementsInd
Loans Or Loan GuaranteesfalseLoansOrLoanGuaranteesInd
Performance Of Services EtcfalsePerformanceOfServicesEtcInd
Sharing Of Facilities EtcfalseSharingOfFacilitiesEtcInd
Relationships Nonchrtbl EOfalseRelationshipsNonchrtblEOInd

Accounting Fees Schedule AccountingFeesSchedule

Accounting Fees Detail AccountingFeesDetail

FieldValueIRS element (for citing)
CategoryACCOUNTING FEESCategoryTxt
Amt$19,613Amt
Net Investment Income$8,826NetInvestmentIncomeAmt
Disbursements Charitable Prps$10,787DisbursementsCharitablePrpsAmt

Investments Corp Bonds Schedule InvestmentsCorpBondsSchedule

Investments Corporate Bonds InvestmentsCorporateBondsGrp (2 entries)

BondBondNmEOY Book ValueEOYBookValueAmtEOYFMVEOYFMVAmt
CHARLES SCHWAB - ACCT 3735 - CORP$1,041,641$1,041,641
CHARLES SCHWAB - ACCT 3735 - MUNI$1,977,676$1,977,676

Investments Corp Stock Schedule InvestmentsCorpStockSchedule

Investments Corporate Stock InvestmentsCorporateStockGrp (10 entries)

StockStockNmEOY Book ValueEOYBookValueAmtEOYFMVEOYFMVAmt
CHARLES SCHWAB - ACCT 0875$11,439,733$11,439,733
CHARLES SCHWAB - ACCT 3735$10,582,961$10,582,961
APPLE INC$1,577,887$1,577,887
MICROSOFT CORP$2,145,722$2,145,722
VISA INC
ALPHABET INC$1,568,326$1,568,326
AMAZON.COM INC$970,293$970,293
TEXAS INSTRUMENTS$611,962$611,962
META PLATFORMS$561,032$561,032
THERMO FISHER$557,145$557,145

Investments Other Schedule2 InvestmentsOtherSchedule2

Investments Other InvestmentsOtherGrp (15 entries)

Category Or ItemCategoryOrItemTxtListed At Cost Or FMVListedAtCostOrFMVCdBook ValueBookValueAmtEOYFMVEOYFMVAmt
LUCENT MEDICALFMV$10,000$10,000
ACUMARK / CARE DXFMV$51,250$51,250
ARCH VENTURE FUND VFMV$135,485$135,485
BROADOAK FUND IIIFMV$448,515$448,515
CELLERANT THERAPEUTICSFMV
FFC EXECUTIVE PARTNERS IIIFMV$4,127$4,127
FFC PARTNERS IIFMV$476$476
PRESIDOFMV$500$500
SYMPHONY EVOLUTION HOLDINGS LLCFMV$21,324$21,324
LAB CONNECTFMV$153,569$153,569
CROWN CASTLE INTL COFMV$301,003$301,003
BROADOAK FUND IVFMV$919,960$919,960
BROADOAK CAPITAL 2019C-INFUSEFMV$249,953$249,953
SYMPHONY DYNAMO HOLDINGS LLCFMV$290$290
BROADOAK FUND VFMV$259,494$259,494

Legal Fees Schedule LegalFeesSchedule

Legal Fees LegalFeesGrp

FieldValueIRS element (for citing)
CategoryLEGAL FEESCategoryTxt
Legal Fees$7,663LegalFeesAmt
Disbursements Charitable Prps$7,663DisbursementsCharitablePrpsAmt

Other Assets Schedule OtherAssetsSchedule

Other Assets Schedule OtherAssetsScheduleGrp (2 entries)

DescDescBOY Book ValueBOYBookValueAmtEOY Book ValueEOYBookValueAmtEOYFMVEOYFMVAmt
ACCRUED INTEREST RECEIVABLES$32,882$26,798$26,798
DISTRIBUTION RECEIVABLES$18,550$18,550

Other Expenses Schedule OtherExpensesSchedule

Other Expenses Schedule OtherExpensesScheduleGrp (5 entries)

DescDescRevenue And Expenses Per BooksRevenueAndExpensesPerBooksAmtDisbursements Charitable PrpsDisbursementsCharitablePrpsAmtNet Investment IncomeNetInvestmentIncomeAmt
EXPENSES
DUES AND SUBSCRIPTIONS$120$120
INSURANCE$1,134$1,134
LICENSES AND FEES$242$242
COMMUNICATION AND INFO TECH$414$331$83

Other Income Schedule2 OtherIncomeSchedule2

Other Income Detail OtherIncomeDetail (3 entries)

DescDescRevenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt
BROADOAK III LLC - K1-$8,639
BROADOAK IV LLC - K1-$345
BROADOAK V LP - K1$150

Other Increases Schedule OtherIncreasesSchedule

Other Increases Detail OtherIncreasesDetail

FieldValueIRS element (for citing)
DescUNREALIZED GAIN ON INVESTMENTSDesc
Amt$4,648,941Amt

Other Professional Fees Schedule OtherProfessionalFeesSchedule

Other Professional Fees Detail OtherProfessionalFeesDetail (10 entries)

CategoryCategoryTxtAmtAmtNet Investment IncomeNetInvestmentIncomeAmtDisbursements Charitable PrpsDisbursementsCharitablePrpsAmt
INVESTMENT MGMT - BROADOAK FUND$5,368$5,368
INVESTMENT MGMT - ARCH VENTURE F$51$51
INVESTMENT MGMT - BROADOAK FUND$16,516$16,516
INVESTMENT MGMT - FFC PARTNERS I$461$461
INVESTMENT MGMT - FFC PARTNERS I$246$246
INVESTMENT MGMT - SYMPHONY EVOLU$27$27
INVESTMENT MGMT - BROADOAK 2016A$212$212
INVESTMENT MGMT - SYMPHONY DYNAM$66$66
INVESTMENT MGMT - OTHER$151,647$151,647
OTHER PROFESSIONAL FEES$12,900$12,900

Taxes Schedule TaxesSchedule

Taxes Detail TaxesDetail (2 entries)

CategoryCategoryTxtAmtAmtNet Investment IncomeNetInvestmentIncomeAmt
FOREIGN TAX PAID - CHARLES SCH 0$1,242$1,242
FOREIGN TAX PAID - CHARLES SCH 3$1,546$1,546

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