2022-11-15T23:06:27-06:00 2021-12-31 Foundation Source 3333 New Hyde Park Rd Ste 406 New Hyde Park NY 11042 990PF 2021-01-01 463298762 Robert and Ardis James Foundation Inc % Foundation Source ROBE 8008391754 501 Silverside Rd Wilmington DE 198091377 robert james president 8008391754 2022-11-14 true robert james 999009999 Jeffrey D Haskell P01345770 8008391754 2021 2022-09-23 18:48:47Z X 246275412 X 242354 5526 5526 807579 807579 17896692 21127982 17804319 1001718 322937 19953869 18940361 0 1632 0 0 1632 605489 373889 231600 17165 17165 148711 1133 5866 258 5608 11088 11088 3340681 2958611 192620 4130632 3362144 0 431460 19071000 19071000 23201632 3362144 0 19502460 -3247763 15578217 9415354 5795295 5795295 3915 28392 3915 3915 40088449 36417597 45260406 134046778 138115160 195215796 183578973 180331967 246275412 0 0 X 183578973 180331967 183578973 180331967 183578973 180331967 183578973 -3247763 757 180331967 180331967 Publicly-traded Securities 19080120 15950317 3129803 Passthrough K1 Capital Gain/(Loss) 14603766 APOLLO INFRA EQUITY FEEDER FUND (TEUP) LP P 2018-12-12 2021-05-26 1738 299 1439 BERENS GLOBAL VALUE FUND LTD P 2019-07-29 2021-02-05 1038426 1000000 38426 DYSON CAPITAL SERIES FUND LLC P 2020-11-12 2021-12-31 3915 3989 -74 -74 HOUND PARTNERS CONCENTRATED FUND, LP P 2015-06-25 2021-05-20 12526 12526 HOUND PARTNERS LP P 2015-04-28 2021-04-05 18973 18974 -1 -1 RAGING CAPITAL OFFSHORE FUND LTD P 2017-06-01 2021-01-01 213081 218537 -5456 RAGING CAPITAL OFFSHORE FUND LTD P 2017-06-01 2021-04-19 128568 101235 27333 RAGING CAPITAL OFFSHORE FUND LTD P 2017-06-01 2021-07-19 107363 76939 30424 RAGING CAPITAL OFFSHORE FUND LTD P 2017-06-01 2021-10-20 47913 25562 22351 RAGING CAPITAL OFFSHORE FUND LTD P 2017-06-01 2021-11-11 141770 77099 64671 RAGING CAPITAL OFFSHORE FUND LTD P 2017-06-01 2021-12-31 82727 54839 27888 SEAVEST PROPERTIES III, LLC D 2017-10-01 2021-12-31 1112 0 1112 1112 SPECIAL VALUE OPPORTUNITIES FUND, LLC P 2021-12-29 150 387113 -386963 STRATEGIC PARTNERS OFFSHORE FUND VI LP CG DISTRIB 166222 166222 166222 WEXFORD OFFSHORE SPECTRUM FUND CG DIST 82854 82854 82854 KAYNE SENIOR CREDIT FUND (QP), LP 524 524 524 17804319 216537 216537 216537 170000 0 94200 264200 X 0 47663 47663 false false false false false true true false true true DE true false false true false true Foundation Source 8008391754 501 Silverside Road Suite 123 Wilmington DE 198091377 false false false false true false false false false false false false false false false false false false false false false false Ralph James 501 Silverside Rd Wilmington DE 198091377 Dir 1.0 0 0 0 Robert James 501 Silverside Rd Wilmington DE 198091377 Dir, Pres 10.0 0 0 0 Catherine James Paglia 501 Silverside Rd Wilmington DE 198091377 Dir, Sec, Treas 10.0 0 0 0 Dyson Capital Advisors LLC 201 North Union St Suite 300 Alexandria VA 22314 Investment Mgmt 305041 Enterprise Asset Management Inc 521 Fifth Avenue Suite 1804 New York NY 10175 ADMIN & INVESTMENT 292500 Foundation Source 55 Walls Drive 3rd Fl Fairfield CT 06824 Administrative 188323 51040980 8020823 191396057 250457860 0 250457860 3756868 246700992 12335050 12335050 216537 218982 435519 11899531 757 11900288 11900288 19502460 0 0 0 0 19502460 11900288 2019 2018 2017 933920 1411863 6371702 10124970 18842455 19502460 11900288 7602172 26444627 0 26444627 933920 1411863 6371702 10124970 7602172 Robert James CATHERINE JAMES PAGLIA RALPH JAMES X ALZHEIMER'S ASSOCIATION - CONNECTICUT CHAPTER 200 EXECUTIVE BLVD STE 4B SOUTHINGTON CT 06489 N/A PC General & Unrestricted 1000 AMERICAN ENTERPRISE INSTITUTE FOR PUBLIC POLICY RE 1789 MASSACHUSETTS AVE NW WASHINGTON DC 20036 N/A PC General & Unrestricted 5000 AMERICAN QUILT STUDY GROUP 1610 L ST LINCOLN NE 68508 N/A PC sponsor a research paper for the 2021 AQSG Seminar 2000 BOSTON FOUNDATION INC 75 ARLINGTON ST BOSTON MA 02116 N/A PC second installment to support King Boston FOR the initiative to establish the King Center for Social Justice. 50000 BUILDING ONE COMMUNITY CORP 75 SELLECK ST STAMFORD CT 06902 N/A PC General & Unrestricted 10000 CARLETON COLLEGE 1 N COLLEGE ST NORTHFIELD MN 55057 N/A PC General & Unrestricted 5000000 CARLETON COLLEGE 1 N COLLEGE ST NORTHFIELD MN 55057 N/A PC To fund the Paglia Post-Bac Research Fellowship 325000 CARLETON COLLEGE 1 N COLLEGE ST NORTHFIELD MN 55057 N/A PC Parents Fund 20000 CARLETON COLLEGE 1 N COLLEGE ST NORTHFIELD MN 55057 N/A PC To support the Paglia Post-Bac Research Fellowship 350000 CARLETON COLLEGE 1 N COLLEGE ST NORTHFIELD MN 55057 N/A PC This gift is to support financial aid endowment. 100000 CARNEGIE ENDOWMENT FOR INTERNATIONAL PEACE 1779 MASSACHUSETTS AV NW WASHINGTON DC 20036 N/A PC General & Unrestricted 100000 CARNEGIE ENDOWMENT FOR INTERNATIONAL PEACE 1779 MASSACHUSETTS AV NW WASHINGTON DC 20036 N/A PC Second installment CAPITAL PLEDGE 2000000 CATO INSTITUTE 1000 MASSACHUSETTS AVE NW WASHINGTON DC 20001 N/A PC General & Unrestricted 40000 CHAPPAQUA SCHOOL FOUNDATION INC PO BOX 202 CHAPPAQUA NY 10514 N/A PC FOR CONSTRUCTION OF THE CLIMATE CONTROLLED MULTIZONE GREENHOUSE 500000 CHILDRENS VILLAGE INC 1 ECHO HILLS DOBBS FERRY NY 10522 N/A PC General & Unrestricted 50000 COOKE SCHOOL AND INSTITUTE 1713 MADISON AVE NEW YORK NY 10029 N/A PC General & Unrestricted 25000 DOANE UNIVERSITY 1014 BOSWELL AVE CRETE NE 68333 N/A PC General & Unrestricted 160000 EL PORVENIR 80 GARDEN CENTER STE 135 BROOMFIELD CO 80020 N/A PC General & Unrestricted 10000 FRAXA RESEARCH FOUNDATION INC 10 PRINCE PL STE 203 NEWBURYPORT MA 01950 N/A PC General & Unrestricted 10000 FRIENDS OF INTERNATIONAL QUILT STUDY CENTER & MUSE PO BOX 21936 LINCOLN NE 68542 N/A PC General & Unrestricted 10000 FRIENDS OF NGONG ROAD PO BOX 581308 MINNEAPOLIS MN 55458 N/A PC fourth and final installment TO SUSTAINING PLEDGE PROGRAM 50000 FRIENDS OF NGONG ROAD PO BOX 581308 MINNEAPOLIS MN 55458 N/A PC General & Unrestricted 20000 GLOBAL LYME ALLIANCE INC 1290 E MAIN ST 3RD FL STAMFORD CT 06902 N/A PC General & Unrestricted 25000 GREENWICH HOSPITAL 5 PERRYRIDGE RD GREENWICH CT 06830 N/A PC This grant is given to support the Neonatal Intens 25000 HARVARD BUSINESS SCHOOL PO BOX 412275 BOSTON MA 02241 N/A PC JAMES FAMILY FELLOWSHIP FUND 25000 HARVARD BUSINESS SCHOOL PO BOX 412275 BOSTON MA 02241 N/A PC Catherine James Paglia (MBA 1976) Search Fund Fellowship 250000 HARVARD BUSINESS SCHOOL PO BOX 412275 BOSTON MA 02241 N/A PC third installment of PLEDGE 2000000 HARVARD BUSINESS SCHOOL PO BOX 412275 BOSTON MA 02241 N/A PC General & Unrestricted 125000 HARVARD UNIVERSITY - RADCLIFFE INSTITUTE FOR ADVAN 10 GARDEN ST CAMBRIDGE MA 02138 N/A PC General & Unrestricted 35000 HARVARD UNIVERSITY GRADUATE SCHOOL OF ARTS & SCIEN 124 MOUNT AUBURN ST CAMBRIDGE MA 02138 N/A PC General & Unrestricted 25000 HELEN KELLER INTERNATIONAL ONE DAG HAMMARSKJOLD PLZ FL 2 NEW YORK NY 10017 N/A PC General & Unrestricted 60000 MANHATTAN INSTITUTE FOR POLICY RESEARCH INC 52 VANDERBILT AVE NEW YORK NY 10017 N/A PC General & Unrestricted 150000 MASSACHUSETTS INSTITUTE OF TECHNOLOGY 600 MEMORIAL DR W98-200 CAMBRIDGE MA 02139 N/A PC General & Unrestricted 10000 MASSACHUSETTS INSTITUTE OF TECHNOLOGY 600 MEMORIAL DR W98-200 CAMBRIDGE MA 02139 N/A PC For the Student Center Capital Renovations Fund 250000 MICHIGAN STATE UNIVERSITY 409 W CIR DR EAST LANSING MI 48824 N/A GOV Second installment of a A PLEDGE TO SUPPORT THE QUILT INDEX 25000 NAVY SUPPLY CORPS FOUNDATION INCORPORATED 2061 EXPERIMENT STA RD STE 301 WATKINSVILLE GA 30677 N/A PC General & Unrestricted 15000 NEW COVENANT CENTER 174 RICHMOND HILL AVE STAMFORD CT 06902 N/A PC New Covenant Center 15000 NEW COVENANT CENTER 174 RICHMOND HILL AVE STAMFORD CT 06902 N/A PC Charitable Event 10000 NORTHEAST ARC INC 1 SOUTHSIDE RD DANVERS MA 01923 N/A PC second installment in a pledgE PAYABLE 2020-2024 50000 NORWALK COMMUNITY COLLEGE FOUNDATION 188 RICHARDS AVE STE E 311 NORWALK CT 06854 N/A PC General & Unrestricted 85000 ORD TOWNSHIP LIBRARY FOUNDATION INC 1718 M ST ORD NE 68862 N/A PC General & Unrestricted 5000 P E F ISRAEL ENDOWMENT FUNDS INC 630 THIRD AVE 15TH FLOOR NEW YORK NY 10017 N/A PC For Sikkuy 10000 P E F ISRAEL ENDOWMENT FUNDS INC 630 THIRD AVE 15TH FLOOR NEW YORK NY 10017 N/A PC For Sikkuy. 200000 PARTNERS HEALTHCARE SYSTEM INC - SPAULDING REHAB H 1575 CAMBRIDGE ST CAMBRIDGE MA 02138 N/A PC To Support 50th Anniversary Celebration 50000 PARTNERS HEALTHCARE SYSTEM INC - SPAULDING REHAB H 1575 CAMBRIDGE ST CAMBRIDGE MA 02138 N/A PC To support Nurse Professional Development 100000 PLATTE INSTITUTE FOR ECONOMIC RESEARCH INC 6910 PACIFIC ST STE 216 OMAHA NE 68106 N/A PC General & Unrestricted 65000 PLUMMER YOUTH PROMISE INC 37 WINTER ISLAND RD SALEM MA 01970 N/A PC General & Unrestricted 75000 PRESIDENT AND FELLOWS OF HARVARD COLLEGE PO BOX 419209 BOSTON MA 02241 N/A PC FOURTH INSTALLMENT OF A PLEDGE TO ANDOVER HALL RENEWAL FUND 2000000 PRESIDENT AND FELLOWS OF HARVARD COLLEGE PO BOX 419209 BOSTON MA 02241 N/A PC For Harvard Divinity School Annual Fund and Religion and Public Life Initiative 50000 PRESIDENT AND FELLOWS OF HARVARD COLLEGE PO BOX 419209 BOSTON MA 02241 N/A PC Harvard Divinity School in support of Religion and Public Life 125000 PRESIDENT AND FELLOWS OF HARVARD COLLEGE PO BOX 419209 BOSTON MA 02241 N/A PC For Harvard Divinity SchooL 25000 PRESIDENT AND FELLOWS OF HARVARD COLLEGE PO BOX 419209 BOSTON MA 02241 N/A PC To benefit Harvard Divinity School 25000 PRESIDENT AND FELLOWS OF HARVARD COLLEGE - HARVARD PO BOX 419209 BOSTON MA 02241 N/A PC first installment of pledge to support the Online Master's Degree Support Fund 2000000 PRESIDENT AND FELLOWS OF HARVARD COLLEGE - HARVARD PO BOX 419209 BOSTON MA 02241 N/A PC General & Unrestricted 25000 PRESIDENT AND FELLOWS OF HARVARD COLLEGE - HARVARD PO BOX 419209 BOSTON MA 02241 N/A PC To Support HGSE Dean's Priority Fund and Centennial Scholars Fund 200000 PROJECT MUSIC 1127 HIGH RIDGE ROAD STE 167 STAMFORD CT 06905 N/A PC General & Unrestricted 30000 READWORKS INC PO BOX 24673 NEW YORK NY 11202 N/A PC General & Unrestricted 102000 REAL CLEAR FOUNDATION 666 DUNDEE RD STE 600 NORTHBROOK IL 60062 N/A PC General & Unrestricted 50000 RIVERVIEW SCHOOL INC 551 RTE 6A EAST SANDWICH MA 02537 N/A PC For the Wellness Campaign 200000 RIVERVIEW SCHOOL INC 551 RTE 6A EAST SANDWICH MA 02537 N/A PC General & Unrestricted 25000 SAFE HORIZON INC 2 LAFAYETTE ST FL 3 NEW YORK NY 10007 N/A PC General & Unrestricted 15000 STAMFORD HOSPITAL 1351 WASHINGTON BLVD SUITE 20 STAMFORD CT 06902 N/A PC General & Unrestricted 25000 STAMFORD HOSPITAL 1351 WASHINGTON BLVD SUITE 20 STAMFORD CT 06902 N/A PC Support Team Edgehill 1000 SUMMER SEARCH BOSTON 3840 WASHINGTON ST STE 2 JAMAICA PLAIN MA 02130 N/A PC General & Unrestricted 50000 TENACITY INC 38 EVERETT ST LOWER LEVEL BOSTON MA 02134 N/A PC General & Unrestricted 100000 THE INDEPENDENT INSTITUTE 100 SWAN WAY OAKLAND CA 94621 N/A PC General & Unrestricted 10000 THE PRESBYTERIAN CHURCH OF MT KISCO 605 MILLWOOD RD MT KISCO NY 10549 N/A PC General & Unrestricted 50000 THE YANKEE INSTITUTE FOR PUBLIC POLICY STUDIES INC 216 MAIN ST HARTFORD CT 06106 N/A PC General & Unrestricted 60000 THEATER MASTERS PO BOX 899 ASPEN CO 81612 N/A PC General & Unrestricted 10000 UNITED WAY OF GREENWICH INC 500 W PUTNAM AVE STE 415 GREENWICH CT 06830 N/A PC General & Unrestricted 10000 UNIVERSITY OF MASSACHUSETTS FOUNDATION INC 100 CARLSON AVE NEWTON CENTER MA 02459 N/A PC General & Unrestricted 450000 UNIVERSITY OF NEBRASKA FOUNDATION 1010 LINCOLN MALL STE 300 LINCOLN NE 68508 N/A PC final installment of a pledge 425000 UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL PO BOX 309 CHAPEL HILL NC 27514 N/A PC to support graduate training within the context of the marine environmental research being conducted in Joel Fodrie's lab 87500 VMTS EDUCATION INC 137 MONTAGUE ST STE 132 BROOKLYN NY 11201 N/A PC General & Unrestricted 100000 VMTS EDUCATION INC 137 MONTAGUE ST STE 132 BROOKLYN NY 11201 N/A PC Second and final installment of $250,000 grant. 125000 WALLIN EDUCATION PARTNERS 451 LEXINGTON PKWY N STE 100 SAINT PAUL MN 55104 N/A PC General & Unrestricted 100000 WILLA CATHER FOUNDATION 413 N WEBSTER ST RED CLOUD NE 68970 N/A PC second installment of AN ENDOWMENT PLEDGE 62500 WILLA CATHER FOUNDATION 413 N WEBSTER ST RED CLOUD NE 68970 N/A PC General & Unrestricted 10000 19071000 14 5526 14 807579 525990 664804 18 17231888 K-1 Inc/Loss 525990 630233 14 315424 Federal Tax Refund 01 40766 INTEREST/DIVIDENDS FROM ALTERNATIVE INVESTMENTS 14 15295 1295037 18416478 19711515 false false false false false false false false false false X X 1 James Robert 122 Palmers Hill Rd Apt 1209 Stamford CT 06902 242354 X 1 MADISON SQUARE GARDEN ENTERTAINMENT COR MSGE, 3406 sh. 242354 2021-07-30 PART I, LINE 6A PART I, LINE 6A RECONCILIATION OF NET GAIN/(LOSS) FROM SALES OF ASSETS NOT INCLUDED IN PART IV TOTAL INCLUDED IN PART IV: (DETAILS BELOW) NET GAIN/(LOSS): $17,231,888 TOTAL NOT INCLUDED IN PART IV: PASSTHROUGH K-1 CAPITAL GAIN/(LOSS) - UBI NET GAIN/(LOSS): $664,804 TOTAL PART I, LINE 6A: $17,896,692 DETAILS OF ASSETS INCLUDED IN PART IV: PUBLICLY-TRADED SECURITIES GROSS SALES PRICE: $19,080,120 BOOK BASIS: $16,001,643 NET GAIN/(LOSS): $3,078,477 PASSTHROUGH K-1 CAPITAL GAIN/(LOSS) - NON UBI NET GAIN/(LOSS): $14,603,766 SALES OF OTHER ITEMIZED ASSETS GROSS SALES PRICE: $2,047,862 BOOK BASIS: $2,498,217 NET GAIN/(LOSS): $(450,355) FORMS 926 FORMS 926 The Foundation has prepared these forms to the best of its ability based on the limited information provided to it by the investment on which the Foundation is reporting. Any missing or incomplete information is due to the Foundation's inability to obtain such information and is not a willful attempt to withhold such information. FORMS 8865 FORMS 8865 The Foundation has prepared these forms to the best of its ability based on the limited information provided to it by the investment on which the Foundation is reporting. Any missing or incomplete information is due to the Foundation's inability to obtain such information and is not a willful attempt to withhold such information. PART VI-A, LINE 11 PART VI-A, LINE 11 Name of Controlled Entity: James Foundation Investments, Ltd. EIN: N/A Street Address: PO Box 309GT, Ugland House, Grand Cayman, Cayman Islands KY1-1104 No transfers were made during 2021 from the Foundation to this entity or from this entity to the Foundation. JAMES FOUNDATION INVESTMENTS, LTD. IS NOT AN EXCESS BUSINESS HOLDING OF THE FOUNDATION. NAME OF CONTROLLED ENTITY: RCR JAMES ASSOCIATES, LLC EIN: 75-3194306 STREET ADDRESS: 521 5TH AVE, STE 1804, NEW YORK, NY 10175 THE ONLY TRANSFERS MADE DURING 2021 WERE NET CASH CONTRIBUTIONS AND DISTRIBUTIONS TOTALING $15,134,135 BETWEEN THE FOUNDATION AND RCR JAMES ASSOCIATES, LLC. RCR JAMES ASSOCIATES, LLC IS NOT AN EXCESS BUSINESS HOLDING OF THE FOUNDATION. NAME OF CONTROLLED ENTITY: KF PAGLIA-JAMES ASSOCIATES, LLC EIN: 34-1998546 STREET ADDRESS: 521 5TH AVE, STE 1804, NEW YORK, NY 10175 THE ONLY TRANSFERS MADE DURING 2021 WERE NET CASH CONTRIBUTIONS AND DISTRIBUTIONS TOTALING $657,128 BETWEEN THE FOUNDATION AND KF PAGLIA-JAMES ASSOCIATES, LLC. KF PAGLIA-JAMES ASSOCIATES, LLC IS NOT AN EXCESS BUSINESS HOLDING OF THE FOUNDATION. FORMS 8858 FORMS 8858 THE FOUNDATION HAS PREPARED THESE FORMS TO THE BEST OF ITS ABILITY BASED ON THE INFORMATION PROVIDED TO IT BY THE FOREIGN BRANCH ON WHICH THE FOUNDATION IS REPORTING. ANY MISSING OR INCOMPLETE INFORMATION IS NOT A WILLFUL ATTEMPT TO WITHHOLD SUCH INFORMATION. FORMS 8886 FORMS 8886 The Foundation has prepared these forms to the best of its ability based on the limited information provided to it by the investment on which the Foundation is reporting and on the basis of having received no information to the contrary. Any missing or incomplete information is due to the Foundation's inability to obtain such information and is not a willful attempt to withhold such information. AKAMAI TECH COM STK 40302 46114 AMDOCS LIMITED 39929 39291 AMERICAN TOWER REIT INC 79893 98865 AT&T, INC 19905 16113 BCE INC 39917 45795 BLACKROCK EMERGING MARKETS FUN 4260539 4223766 BROADCOM INC 60821 87169 BT GROUP PLC 60790 63924 CELLNEX TELECOM ORD SHS 42571 42722 CHARTER COMMUNICATIONS, INC 60189 62589 CISCO SYSTEMS INC 39872 48858 COMCAST CORP 79935 73834 CROWN CASTLE INTL 72689 89132 DELL TECHNOLOGIES INC CLASS C 29291 38027 DEUTSCHE TELEKOM N ORD SHS 86832 82383 DIGITAL RLTY TR INC 39697 50408 DISH NETWORK CORPORATION 59918 53948 DYCOM INDS INC 19641 20158 EQUINIX, INC 80140 101501 ERICSSON L M TEL CO 53524 44121 FRONTIER COMMUNICATIONS PARENT 42946 44235 IHS INC 44140 38070 ISHARES S&P 500 INDEX FD 5721201 10228574 JUNIPER NETWORKS 19815 28068 KEPPEL DC REIT 19109 17443 LIBERTY GLOBAL PLC - SERIES A 80262 86937 LIBERTY LATIN AMERICA (FORMERL 72121 62312 LUMEN TECHNOLOGIES INC 42016 40160 MARVELL TECHNOLOGY, INC 20304 36396 NOKIA 20044 31256 ORANGE 40184 34224 PHAEACIAN ACCENT INTERNATIONAL 6299166 7120446 PRANA BIOTECHNOLOGY LIMITED 500000 45833 QORVO INC 19799 18767 QUALCOMM INC 60472 83206 RADIUS GLOBAL INFRASTRUCTURE O 20649 21574 SANDS CAPITAL GLOBAL GROWTH IN 6084923 7638722 SBA COMMUNICATIONS CORP 39867 56797 SES SA FDR 39394 39032 SINGTEL 10 19945 18801 SKYWORKS SOLUTIONS, INC 40397 34286 TELECOM ITALIA SAVING SHS 40666 32281 VANGUARD EMERGING MARKETS BOND 2676414 2640828 VANGUARD FTSE DEVELOPED MARKET 8965727 11334401 VERIZON COMMUNICATIONS 110900 99711 VMWARE INC 30546 34532 VODAFONE GROUP PLC 80195 64796 AAVIN MEZZANINE FUND LP 2123697 3473221 ABERDEEN VENTURE PARTNERS XI ( 3738102 6263417 ABERDEEN VENTURE PARTNERS XII 1965009 2074780 ACCOLADE PARTNERS BLOCKCHAIN I 60000 87098 ACCOLADE PARTNERS BLOCKCHAIN I 80000 82219 ALTEGRIS MULTI-STRATEGY FUND L 4500000 7496100 AP EPF III ($B EH AIV II) LP 12023 12023 APOLLO ATHENE DEDICATED INVEST 1575399 2387364 APOLLO EUROPEAN PRNCPL FNC FD 765080 1067420 APOLLO INFRA EQUITY FEEDER FUN 174354 184196 APOLLO INFRA EQUITY FEEDER FUN 808518 839430 APOLLO INFRA EQUITY INTL FUND 344114 363537 APOLLO INFRASTRUCTURE OPPOR FU APOLLO SPAC FUND I (B FC), L.P 1250095 1255612 APOLLO TOTAL RETURN FUND (OFFS 3000000 3497323 APOLLO TOTAL RETURN FUND (OFFS 4000000 4297462 BSCP SBIC I LP 2143234 2121138 CAPITAL INTERNATIONAL PRIVATE 424772 5499 CAPITAL INTERNATIONAL PRIVATE 1948289 1831072 CASDIN PARTNERS OFFSHORE LTD 4000000 8398019 CASDIN PRIVATE GROWTH EQUITY F 1796707 1984309 COLUMBIA SPECTRUM PARTNERS II- 1266788 1263863 COLUMBIA SPECTRUM PARTNERS V-A 43981 37871 CORSAIR III FINANCIAL SRVCS CP 839646 1076405 CORSAIR III FINANCIAL SRVCS OF CORSAIR KOREA INVESTORS LLC 758250 968916 EAST ROCK FOCUS FUND LP 5815303 7879062 EDGE PRINCIPAL INVESTMENTS II, 232382 55905 EDGE PRINCIPAL INVESTMENTS III 1696603 2548250 EDGE PRINCIPAL INVESTMENTS IV 4282167 5550804 EDGE PRINCIPAL INVESTMENTS, LP 8868 3845 ENTERPRISE 299 ASSOCIATES 235534 5479000 ENTERPRISE WEXFORD ASSOCIATES 187456 188005 ENTERPRISE WEXFORD ELEVEN LLC 69558 75191 EUNETWORKS HOLDINGS LP 1053572 1052778 GAIP 2019 (BERMUDA) AIV LP 2141296 2580396 GAIP 2019 AIV B, LP 585473 907703 GENERAL ATLANTIC INV PTNS 2019 677469 909161 HARVEST MLP INCOME FUND II LLC 4112304 4243677 HEALTH VELOCITY CAPITAL I LP 1095610 2344364 HEALTH VELOCITY CAPITAL II, LP 44494 41793 IGNIA FUND I, LP 1616479 364568 JAMES FOUNDATION INVESTMENTS L 507525 1253292 KAYNE ANDERSON REAL ESTATE OPP 1206633 1293856 KAYNE SENIOR CREDIT II OFFSHOR 348235 334575 KF PAGLIA-JAMES ASSOCIATES LLC 12988500 13550892 KLD INVESTORS LLC 1008029 750478 ORCHID CHINA (CAYMAN) LP 1349319 1071224 PALOMA INTERNATIONAL LIMITED 2000260 5403453 PATHWAY CO-INVESTMENT FUND, LP 957697 987924 QED FUND VII LP 246010 256797 QED GROWTH FUND, LP 485302 517115 QED MND HOLDINGS, LLC 375726 375646 RA CAPITAL HEALTHCARE INTL FUN 2500000 2004823 RAGING CAPITAL OFFSHORE FUND L 519839 784196 RCG LONGVIEW II, LP 5350 3583 RCR JAMES ASSOCIATES, LLC 31158616 52429207 SCULPTOR REAL ESTATE FUND III 382520 518051 SELECT EQUITY OFFSHORE 3000000 6293078 SIERRA CAPITAL LP 39297 16435 SIMCOE PARTNERS OFFSHORE LTD 3500000 5220388 SIRE SPV LLC 21192 20397 STRATEGIC PARTNERS OFFSHORE FU 544871 SUSTAINABLE CAPITAL AFRICA ALP 1500000 1607219 TEMPLETON GLOBAL SUMMITS (CAYM 4000000 3150414 TENNENBAUM SPECIAL SITUATIONS 1393226 1755303 TT EMERGING MARKETS OPP FUND I 3000000 3729729 VISTA CREDIT PARTNERS FUND III 1143830 1283929 WEXFORD OFFSHORE SPECTRUM FUND 40822 WEXFORD VPEP HOLDINGS CO. LIMI 99225 60772 ZAMA CAPITAL FUND LP 2319118 3862848 ZEPHYR PEACOCK INDIA FUND II L 176074 145796 ZEPHYR PEACOCK INDIA FUND III 411011 655887 General Consultations 1632 1632 Administrative Fees 188323 188323 Bank Charges 317 317 Computers/Electronic Devices 1964 1964 K-1 Exp AAVIN MEZZANINE FUND L 137997 81716 K-1 Exp APOLLO ATHENE DEDICATE 21544 14196 K-1 Exp APOLLO INFRA EQUITY FE 4 4 K-1 Exp APOLLO INFRA EQUITY IN 25498 25498 K-1 Exp APOLLO INFRASTRUCTURE 12004 12004 K-1 Exp CAPITAL INTERNATIONAL 507 507 K-1 Exp CAPITAL INTERNATIONAL 14955 14955 K-1 Exp CASDIN PRIVATE GROWTH 20624 20624 K-1 Exp COLUMBIA SPECTRUM PART 13444 13443 K-1 Exp COLUMBIA SPECTRUM PART 64 64 K-1 Exp CORSAIR III FINANCIAL 18480 18480 K-1 Exp CORSAIR KOREA INVESTOR 4451 4451 K-1 Exp DYSON CAPITAL SERIES F 1517 1517 K-1 Exp EAST ROCK FOCUS FUND L 298931 298884 K-1 Exp EDGE PRINCIPAL INVESTM 473 466 K-1 Exp EDGE PRINCIPAL INVESTM 3042 -1224 K-1 Exp EDGE PRINCIPAL INVESTM 113995 113595 K-1 Exp EDGE PRINCIPAL INVESTM 172 172 K-1 Exp ENTERPRISE 299 ASSOCIA 63506 63506 K-1 Exp ENTERPRISE WEXFORD ASS 1872 1658 K-1 Exp ENTERPRISE WEXFORD ELE 3901 3898 K-1 Exp GAIP 2019 (BERMUDA) AI 4703 3948 K-1 Exp GAIP 2019 AIV B, LP 372 372 K-1 Exp GENERAL ATLANTIC INV P 84286 84286 K-1 Exp HARVEST MLP INCOME FUN 90947 90946 K-1 Exp HEALTH VELOCITY CAPITA 30316 30316 K-1 Exp HEALTH VELOCITY CAPITA 4256 4256 K-1 Exp JAMES FOUNDATION INVES 9884 9884 K-1 Exp KAYNE ANDERSON REAL ES 41326 26222 K-1 Exp KF PAGLIA-JAMES ASSOCI 334805 284337 K-1 Exp KLD INVESTORS LLC 3139 3139 K-1 Exp ORCHID CHINA (CAYMAN) 36402 36402 K-1 Exp PATHWAY CO-INVESTMENT 5147 5093 K-1 Exp QED FUND VII LP 8066 8066 K-1 Exp QED GROWTH FUND, LP 4895 4895 K-1 Exp QED MND HOLDINGS, LLC 78 78 K-1 Exp RCG LONGVIEW II, LP 79 79 K-1 Exp RCR JAMES ASSOCIATES, 1537166 1535632 K-1 Exp SCULPTOR REAL ESTATE F 7108 3163 K-1 Exp SIERRA CAPITAL LP 773 773 K-1 Exp SIRE SPV LLC 367 367 K-1 Exp SPECIAL VALUE OPPORTUN 264 264 K-1 Exp TENNENBAUM SPECIAL SIT 92027 53298 K-1 Exp VISTA CREDIT PARTNERS 11 11 K-1 Exp ZAMA CAPITAL FUND LP 77077 66784 K-1 Exp ZEPHYR PEACOCK INDIA F 2216 2216 K-1 Exp ZEPHYR PEACOCK INDIA F 15053 15053 Office & Supplies 233 233 Postage/Delivery Service 557 557 State or Local Filing Fees 25 25 Website Hosting/Support 283 283 SOFTWARE 1235 1235 K-1 Inc/Loss AAVIN MEZZANINE FUND LP 779100 779100 K-1 Inc/Loss AP EPF III ($B EH AIV II) LP 11992 11992 K-1 Inc/Loss APOLLO ATHENE DEDICATED INVESTMENT PR 2 1 K-1 Inc/Loss APOLLO INFRA EQUITY FEEDER FUND (TE D 30055 30055 K-1 Inc/Loss APOLLO INFRA EQUITY FEEDER FUND TE LP 115792 115792 K-1 Inc/Loss APOLLO INFRA EQUITY INTL FUND LP 48 48 K-1 Inc/Loss APOLLO INFRASTRUCTURE OPPOR FUND II ( 12004 12004 K-1 Inc/Loss BSCP SBIC I LP 164348 164320 K-1 Inc/Loss CAPITAL INTERNATIONAL PRIVATE EQUITY 115 115 K-1 Inc/Loss CAPITAL INTERNATIONAL PRIVATE EQUITY 80728 80728 K-1 Inc/Loss CASDIN PRIVATE GROWTH EQUITY FUND LP 7180 7180 K-1 Inc/Loss COLUMBIA SPECTRUM PARTNERS II-A, L.P 5596 5596 K-1 Inc/Loss CORSAIR III FINANCIAL SRVCS CPTL PTNR 10761 10761 K-1 Inc/Loss CORSAIR KOREA INVESTORS LLC 16529 16529 K-1 Inc/Loss EAST ROCK FOCUS FUND LP -380618 -386894 K-1 Inc/Loss EDGE PRINCIPAL INVESTMENTS II, LP -5130 -8213 K-1 Inc/Loss EDGE PRINCIPAL INVESTMENTS III, LP -289390 -272413 K-1 Inc/Loss EDGE PRINCIPAL INVESTMENTS IV LP 15914 18749 K-1 Inc/Loss EDGE PRINCIPAL INVESTMENTS, LP -402 -402 K-1 Inc/Loss ENTERPRISE 299 ASSOCIATES 323639 8159 K-1 Inc/Loss ENTERPRISE WEXFORD ASSOCIATES LLC -33918 1084 K-1 Inc/Loss ENTERPRISE WEXFORD ELEVEN LLC 10840 5038 K-1 Inc/Loss GAIP 2019 (BERMUDA) AIV LP 1109 628 K-1 Inc/Loss GAIP 2019 AIV B, LP 14540 14540 K-1 Inc/Loss GENERAL ATLANTIC INV PTNS 2019 LP 7 7 K-1 Inc/Loss HARVEST MLP INCOME FUND II LLC 717318 717410 K-1 Inc/Loss HEALTH VELOCITY CAPITAL I LP 141987 141987 K-1 Inc/Loss IGNIA FUND I, LP -4882 -4882 K-1 Inc/Loss KAYNE ANDERSON REAL ESTATE OPPS DEBT 151558 124737 K-1 Inc/Loss KF PAGLIA-JAMES ASSOCIATES LLC -253197 -331501 K-1 Inc/Loss ORCHID CHINA (CAYMAN) LP 11602 11602 K-1 Inc/Loss PATHWAY CO-INVESTMENT FUND, LP 12135 5 K-1 Inc/Loss QED GROWTH FUND, LP 240 240 K-1 Inc/Loss RCG LONGVIEW II, LP 3 3 K-1 Inc/Loss RCR JAMES ASSOCIATES, LLC -943229 -1262335 K-1 Inc/Loss SCULPTOR REAL ESTATE FUND III LP 53119 25630 K-1 Inc/Loss SEAVEST PROPERTIES III, LLC -5063 K-1 Inc/Loss SPECIAL VALUE OPPORTUNITIES FUND, LLC 14 14 K-1 Inc/Loss TENNENBAUM SPECIAL SITUATIONS FUND IX 111785 210247 K-1 Inc/Loss VISTA CREDIT PARTNERS FUND III-A LP 50577 50577 K-1 Inc/Loss ZAMA CAPITAL FUND LP 10849 9404 Federal Tax Refund 40766 INTEREST/DIVIDENDS FROM ALTERNATIVE INV 15295 15295 RETURNED GRANT 757 OFFICE MANAGEMENT SERVICES 231600 231600 Investment Management Services 373889 373889 990-PF Estimated Tax for 2021 70000 990-T Extension for 2020 58100 990-T Income Tax for 2020 8920 Foreign Tax Paid 1133 1133 IRS Miscellaneous Fee Expense 386 STATE INCOME TAX 2020 10172