2022-11-15T16:55:45-06:00 2021-12-31 271728945 PKF O'CONNOR DAVIES LLP 245 PARK AVENUE 12TH FLOOR NEW YORK NY 10167 990 2021-01-01 136257658 ROCKEFELLER FAMILY FUND INC ROCK 2128124252 475 RIVERSIDE DRIVE 900 NEW YORK NY 10115 LEE WASSERMAN DIRECTOR & SECRETARY 2128124252 2022-11-15 1 LEE WASSERMAN XXX-XX-XXXX EVA MRUK P00543254 2122862600 2022-11-15 3 AAL1 IAL1 2021 2022-09-23 18:48:47Z LEE WASSERMAN 475 RIVERSIDE DRIVE 900 NEW YORK NY 10115 495121555 0 X WWW.RFFUND.ORG X 1967 NY ROCKEFELLER FAMILY FUND IS A U.S. BASED, FAMILY-LED PUBLIC CHARITY THAT INITIATES, CULTIVATES, AND FUNDS STRATEGIC EFFORTS TO PROMOTE A SUSTAINABLE, JUST, FREE, AND PARTICIPATORY SOCIETY. 15 15 15 16 27498 0 18741885 38090028 0 0 25030483 21534028 0 0 43772368 59624056 23408047 26151604 0 0 3737769 2872378 0 0 144429 6626902 4925112 33772718 33949094 9999650 25674962 156631848 175072856 5978978 5643339 150652870 169429517 X ROCKEFELLER FAMILY FUND IS A U.S. BASED, FAMILY-LED PUBLIC CHARITY THAT INITIATES, CULTIVATES, AND FUNDS STRATEGIC EFFORTS TO PROMOTE A SUSTAINABLE, JUST, FREE, AND PARTICIPATORY SOCIETY. 0 0 20101187 19674937 0 PROJECT FUNDS - RFF MANAGES A NUMBER OF PROJECT FUNDS IN THE AREAS OF WORK/LIFE INITIATIVES; REDUCING THE GLOBAL USE OF FOSSIL FUELS AND ADVANCING POLICIES TO ADDRESS CLIMATE CHANGE AND THE TRANSITION TO A CLEAN TECH ECONOMY; AND U.S. DEMOCRACY AND NONPARTISAN VOTER ENGAGEMENT. IN EACH OF THESE AREAS, RFF DEVELOPS AND MANAGES INITIATIVES IN CONJUNCTION WITH FUNDER PARTNERS, INDIVIDUALS, AND EXISTING NON-PROFIT ORGANIZATIONS, TO ADVANCE CRITICAL POLICY OBJECTIVES OR BUILD NECESSARY CAPACITY. 4467400 4467400 0 DONOR ADVISED FUNDS - RFF ADVANCES ITS MISSION INCLUDING ENVIRONMENT PROTECTION AND COMBATTING CLIMATE CHANGE, DEMOCRACY AND ECONOMIC JUSTICE THROUGH ITS DONOR-ADVISED FUNDS. 2205000 1995000 0 CORE FUNDS - THE ROCKEFELLER FAMILY FUND CORE PROGRAM SERVICES REPRESENT AREAS SUCH AS ENVIRONMENT ("ENV"),EMERGING OPPORTUNITIES ("EO"), ECONOMIC JUSTICE FOR WOMEN ("EJW"), AND DEMOCRACY ("DEM").SEE SCHEDULE O FOR AN EXPLANATION OF ENV, EO, EJW, AND DEM PROGRAM AREAS.ENVIRONMENT - FUNDS CLIMATE CHANGE INITIATIVES DESIGNED TO ENACT POLICIES AT THE STATE AND NATIONAL LEVELS TO REDUCE CARBON EMISSIONS; ACCELERATE THE TRANSITION TO A CLEAN-ENERGY ECONOMY; BRING DIVERSE AND COMPELLING NEW VOICES INTO THE CLIMATE DEBATE; AND EXAMINE HOW SPECIAL INTERESTS AND OFFICIALS ARE DISTORTING SCIENCE AND DELAYING CONSTRUCTIVE STEPS TO DEAL WITH THIS IMPENDING GLOBAL CRISIS. ECONOMIC JUSTICE FOR WOMEN - SUPPORT PROJECTS DESIGNED TO PROMOTE WOMEN'S ECONOMIC EQUALITY AND EDUCATE THE PUBLIC ABOUT. CURRENTLY, THE PROGRAM SEEKS TO ADVANCE WORKPLACE REFORM POLICIES SUCH AS A PAID SICK LEAVE, FLEX TIME, AND RAISING THE MINIMUM WAGE. DEMOCRACY - ENCOURAGES THE ACTIVE PARTICIPATION OF CITIZENS IN GOVERNMENT, SEEKS TO MAKE GOVERNMENT AND PRIVATE INSTITUTIONS MORE ACCOUNTABLE AND RESPONSIVE, AND SUPPORTS EFFORTS TO ENSURE THAT INDIVIDUALS' RIGHTS AND LIBERTIES UNDER THE CONSTITUTION ARE PROTECTED.EMERGING OPPORTUNITIES - ENCOURAGES CREATIVE PUBLIC EDUCATION AND ADVOCACY IN ISSUE AREAS OUTSIDE OF RFF'S CURRENT AREAS OF FOCUS, BUT STILL WITHIN RFF'S ESTABLISHED PROGRAM AREAS AND SUPPLEMENTS THE RESPECTIVE ANNUAL BUDGET ALLOCATIONS FOR RFF'S OTHER PROGRAM AREA IN ORDER TO SEIZE EMERGING OPPORTUNITIES. 5456829 14267 0 5456829 14267 32230416 1 1 0 1 0 1 0 0 0 1 1 1 0 0 1 1 0 1 0 0 1 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 1 0 0 1 68 0 15 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 X 15 15 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 NY X X ANDREA LAWYER TREASURER 2128124252 475 RIVERSIDE DRIVE 900 NEW YORK NY 10115 X MIRANDA KAISER PRESIDENT/TRUSTEE 3.00 X X 0 0 0 ALEXANDRA CHASIN VICE PRESIDENT/TRUSTEE 3.00 X X 0 0 0 PETER GILL CASE VICE PRESIDENT/TRUSTEE 3.00 X X 0 0 0 LUCIA GILL CASE VICE PRESIDENT/TRUSTEE 3.00 X X 0 0 0 NEVA GOODWIN VICE PRESIDENT/TRUSTEE 3.00 X X 0 0 0 CLARE M PIERSON VICE PRESIDENT/TRUSTEE THRU NOV 2021 3.00 X X 0 0 0 TARA ROCKEFELLER VICE PRESIDENT/TRUSTEE 3.00 X X 0 0 0 ALEJANDRO FOUNG TRUSTEE 3.00 X 0 0 0 MICHAEL LAMBERT TRUSTEE 3.00 X 0 0 0 REBECCA LAMBERT TRUSTEE 3.00 X 0 0 0 PHEBE PIERSON TRUSTEE 3.00 X 0 0 0 FRAN SUSSNER RODGERS TRUSTEE 3.00 X 0 0 0 ELIZA ROCKEFELLER TRUSTEE 3.00 X 0 0 0 TRACY TOON SPENCER TRUSTEE 3.00 X 0 0 0 NAOMI WALETZKY TRUSTEE 3.00 X 0 0 0 LIAM WANG TRUSTEE 3.00 X 0 0 0 LEE H WASSERMAN DIRECTOR & SECRETARY 50.00 X 367553 0 90288 ANDREA LAWYER TREASURER 21.00 X 85508 0 23955 LISA GUIDE ASSOCIATE DIRECTOR 32.00 X 263664 0 72288 LAWRENCE G SHAPIRO ASSOCIATE DIRECTOR-PROG. DEV. 50.00 X 277525 0 65817 KATHARINE REDFORD EXE. DIRECTOR, EQUATION CAMPAIGN 40.00 X 132857 0 36615 JULIE FERNANDES ASSOCIATE DIRECTOR-IA&IL 40.00 X 260614 0 67403 ROXANNE STACHOWSKI SR MANAGER FOR EXECUTIVE INITIATIVES 40.00 X 111464 0 34827 1499185 0 391193 6 0 1 0 AGILITY 7979 EAST TUFTS AVENUE SUITE 700 DENVER CO 80237 INVESTMENT MANAGEMENT 362875 CARBO STRATEGIC CONSULTING LLC 185 HALL STREET APT 704 BROOKLYN NY 11205 CONSULTANT SERVICES 300000 CMM STRATEGIES INC 50 EAST 4TH STREET BROOKLYN NY 11218 CONSULTANT SERVICES 200006 HALFON & BOEHM PC 45 WEST 36TH STREET 6TH FLOOR NEW YORK NY 10018 LEGAL SERVICES & CONSULTING SERVICES 188356 TERESA VILLMAN 8381 SOUTH KOLLATH ROAD VERONA WI 53593 CONSULTANT SERVICES 180000 10 10503697 27586331 6357234 38090028 408936 -59 408995 456622591 435497499 21125092 21125092 27557 21097535 59624056 0 27498 21506530 X 26151604 26151604 1205119 960376 193800 50943 1045011 610618 393041 41352 221527 151845 60297 9385 294343 187958 93968 12417 106378 72916 28955 4507 127274 122366 4908 64850 64850 638525 638525 568472 568472 3102229 3067382 22541 12306 67381 33259 32024 2098 77009 38539 36105 2365 57701 35630 19474 2597 58610 56410 1941 259 9314 8964 309 41 4312 2663 1455 194 56882 35124 19198 2560 DUES AND SUBSCRIPTION 78180 48172 27066 2942 EQUIPMENT RENTAL 9965 4987 4672 306 PUBLICATIONS 3475 2145 1173 157 REPAIR AND MAINTENANCE 683 683 250 250 33949094 32230416 1574249 144429 3806201 3627858 66120949 23145484 3918728 8041675 37709 147645 55726 115267 174877 169637 13514 5240 19456295 28145397 63222726 111844290 156631848 175072856 1678882 1771817 1208100 864000 3091996 3007522 5978978 5643339 X 130598082 151315072 20054788 18114445 150652870 169429517 156631848 175072856 X 25674962 -7129701 231386 X X 0 1 X 1 0 X 29957267 25281667 34722028 18741885 38090028 146792875 29957267 25281667 34722028 18741885 38090028 146792875 64377209 82415666 923822 1525108 1892157 960378 408995 5710460 152503335 0.54040 0.52280 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 162275 480620 642895 32737727 33380622 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 642500 547500 853439 642895 2686334 250000 250000 250000 250000 1000000 1500000 195000 190000 181500 162275 728775 13 7 16217539 21872489 4722400 21366930 45539540 23336796 1 1 155993827 37980028 13808357 33471427 174310785 159075634 18676885 11859057 33617749 155993827 132698996 34677028 15554849 23855239 159075634 126841136 34551299 -6657820 22035619 132698996 103485633 29738267 12406737 18789501 126841136 0.89608 0.04814 0.05578 0 0 174877 169637 5240 5240 MULTI-STRATEGY 4957479 F U.S. FIXED INCOME 1082486 F EQUITIES - HEDGE FUNDS 83071436 F PRIVATE EQUITY FUNDS 12339840 F FIXED INCOME - HEDGE FUNDS 7313804 F REAL ESTATE 553874 F CAPITAL STRUCTURE ARBITRAGE - HEDGE FUNDS 2117589 F INSURANCE LINKED - HEDGE FUNDS 407782 F 111844290 ACCRUED PENSION AND POSTRETIREMENT BENEFITS 3007522 3007522 X 51409155 -7129701 10014467 2884766 48524389 568472 10531195 11099667 59624056 35583793 12657315 12657315 22926478 568472 10454144 11022616 33949094 PART V, LINE 4: THE ORGANIZATION INTENDS TO USE ITS ENDOWMENT FUNDS TO PROVIDE FUNDING AND SUPPORT FOR ITS PROGRAMS IN ACCORDANCE WITH APPLICABLE DONOR RESTRICTIONS. PART X, LINE 2: THE FUND FOLLOWS THE PROVISIONS OF ACCOUNTING STANDARDS CODIFICATION (ASC) SUBTOPIC 740-10, ACCOUNTING FOR INCOME TAXES, WHICH ADDRESSES THE ACCOUNTING FOR UNCERTAINTIES IN INCOME TAXES RECOGNIZED IN AN ORGANIZATION'S FINANCIAL STATEMENTS AND PRESCRIBES A THRESHOLD FOR THE RECOGNITION AND DERECOGNITION OF TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN. ASC SUBTOPIC 740-10 ALSO PROVIDES RELATED GUIDANCE ON MEASUREMENT, CLASSIFICATION, INTEREST AND PENALTIES, AND DISCLOSURES. THE FUND HAS CONCLUDED THAT THERE WERE NO UNCERTAINTIES TO DISCLOSE. THE FUND IS NO LONGER SUBJECT TO EXAMINATIONS BY THE APPLICABLE TAXING JURISDICTIONS FOR PERIODS PRIOR TO DECEMBER 31, 2018. PART XI, LINE 2D - OTHER ADJUSTMENTS: REVENUE FROM RELATED PARTY 10,014,467. PART XI, LINE 4B - OTHER ADJUSTMENTS: ELIMINATING ENTRY - RELATED PARTY 10,503,697. PASS-THROUGH UNRELATED BUSINESS LOSS FROM ALTERNATIVE 27,498. PART XII, LINE 2D - OTHER ADJUSTMENTS: EXPENSES FROM RELATED PARTY 12,657,315. PART XII, LINE 4B - OTHER ADJUSTMENTS: ELIMINATING ENTRY - RELATED PARTY 10,393,697. REFUND OF GRANTS 60,447. CENTRAL AMERICA 0 0 INVESTMENT 11559503 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENT 176329 0 0 0 0 0 0 11735832 0 11735832 1 0 1 1 1 0 PART III ACCOUNTING METHOD: PART I, LINE 3, COLUMN (F): INVESTMENTS IN THE REGION OF CENTRAL AMERICA AND THE CARIBBEAN CONSIST OF A DIRECT INVESTMENT IN A HEDGE FUND AS WELL AS INVESTMENTS HELD IN PRIVATE EQUITY FUND OF FUNDS. PART IV, LINE 1: THE ORGANIZATION IS REQUIRED TO FILE FORM 926 BECAUSE IT DOES MEET THE APPLICABLE OWNERSHIP THRESHOLD OR OTHER FILING REQUIREMENTS. PART IV, LINE 3: THE ORGANIZATION IS NOT REQUIRED TO FILE FORM 5471 BECAUSE IT DOES NOT MEET THE APPLICABLE OWNERSHIP THRESHOLD OR OTHER FILING REQUIREMENTS. 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ENVIRONMENT SUSTAINABLE MARKETS FOUNDATION 45 WEST 36TH STREET NEW YORK NY 10018 134188834 501(C)3 100000 0 PROJECT SUPPORT - ENVIRONMENT SUSTAINABLE MARKETS FOUNDATION 45 WEST 36TH STREET NEW YORK NY 10018 134188834 501(C)3 24045 0 PROJECT SUPPORT - ENVIRONMENT SUSTAINABLE MARKETS FOUNDATION 45 WEST 36TH STREET NEW YORK NY 10018 134188834 501(C)3 70000 0 PROJECT SUPPORT - ENVIRONMENT SUSTAINABLE MARKETS FOUNDATION 45 WEST 36TH STREET NEW YORK NY 10018 134188834 501(C)3 75000 0 PROJECT SUPPORT - ECONOMIC JUSTICE FOR WOMEN SUSTAINABLE MARKETS FOUNDATION 45 WEST 36TH STREET NEW YORK NY 10018 134188834 501(C)3 90000 0 PROJECT SUPPORT - ENVIRONMENT TAKEACTION MINNESOTA EDUCATION FUND 705 RAYMOND AVE STE 100 SAINT PAUL MN 551141967 411635130 501(C)3 200000 0 PROJECT SUPPORT - ECONOMIC JUSTICE FOR WOMEN TEXAS CAMPAIGN FOR THE ENVIRONMENT FUND PO BOX 42278 AUSTIN TX 78704 742808805 501(C)3 40000 0 PROJECT SUPPORT - ENVIRONMENT TEXAS CAMPAIGN FOR THE ENVIRONMENT FUND PO BOX 42278 AUSTIN TX 78704 742808805 501(C)3 175000 0 PROJECT SUPPORT - ENVIRONMENT TEXAS CAMPAIGN FOR THE ENVIRONMENT FUND PO BOX 42278 AUSTIN TX 78704 742808805 501(C)3 485000 0 PROJECT SUPPORT - ENVIRONMENT TEXAS SOUTHERN UNIVERSITY FOUNDATION 3100 CLEBURNE ST HANNAH HALL 201 HOUSTON TX 770044501 741620415 501(C)3 25000 0 PROJECT SUPPORT - ENVIRONMENT THE ADMINISTRATORS OF THE TULANE EDUCATIONAL FUND 6823 ST CHARLES AVE NEW ORLEANS LA 701185665 720423889 501(C)3 100000 0 PROJECT SUPPORT - ENVIRONMENT THE FUND FOR CONSTITUTIONAL GOVERNMENT 122 MARYLAND AVE NE WASHINGTON DC 200025610 237391766 501(C)3 35000 0 PROJECT SUPPORT - ENVIRONMENT THE GERMAN MARSHALL FUND OF THE UNITED STATES 1744 R STREET NW WASHINGTON DC 200092410 520954751 501(C)3 60000 0 PROJECT SUPPORT - ENVIRONMENT THE LAND INSTITUTE 2440 E WATER WELL ROAD SALINA KS 674019051 480842156 501(C)3 496000 0 PROJECT SUPPORT - ENVIRONMENT THE ST CROIX ENVIRONMENTAL ASSOCIATION 5032 ANCHOR WAY SUITE 4 CHRISTIANSTED FL 00820 660497982 501(C)3 20000 0 PROJECT SUPPORT - ENVIRONMENT THE TIDES FOUNDATION 1012 TORNEY AVENUE SAN FRANCISCO CA 94129 510198509 501(C)3 8000 0 PROJECT SUPPORT - ENVIRONMENT TIDES CENTER C/O TIDES CENTER PO BOX 889385 LOS ANGELES CA 900889385 943213100 501(C)3 75000 0 PROJECT SUPPORT - INSTITUTIONAL ACCOUNTABILITY & INDIVIDUAL LIBERTY TRUSTEES OF BOSTON UNIVERSITY 881 COMMONWEALTH AVENUE 4TH FLOOR BOSTON MA 022151390 042103547 501(C)3 150000 0 PROJECT SUPPORT - ENVIRONMENT UNDIVIDED INC 3500 MADISON ROAD CINCINNATI OH 452091120 851596122 501(C)3 50000 0 GENERAL SUPPORT - INSTITUTIONAL ACCOUNTABILITY & INDIVIDUAL LIBERTY UNION OF CONCERNED SCIENTISTS TWO BRATTLE SQUARE CAMBRIDGE MA 021383742 042535767 501(C)3 75000 0 PROJECT SUPPORT - ENVIRONMENT UNITED CHARITABLE 8201 GREENSBORO DR STE 702 TYSONS VA 221023818 204286082 501(C)3 120000 0 PROJECT SUPPORT - ENVIRONMENT UNIVERSITY OF CALIFORNIA IRVINE 120 THEORY STE 200 IRVINE CA 926173210 952226406 501(C)3 160000 0 PROJECT SUPPORT - ENVIRONMENT UNKITAWA 23103 MARINE VIEW DR S DES MOINES WA 981987345 832398323 501(C)3 109000 0 PROJECT SUPPORT - ENVIRONMENT UNKITAWA 23103 MARINE VIEW DR S DES MOINES WA 981987345 832398323 501(C)3 6000 0 PROJECT SUPPORT - ENVIRONMENT UNKITAWA 23103 MARINE VIEW DR S DES MOINES WA 981987345 832398323 501(C)3 150000 0 PROJECT SUPPORT - ENVIRONMENT UNKITAWA 23103 MARINE VIEW DR S DES MOINES WA 981987345 832398323 501(C)3 75000 0 PROJECT SUPPORT - ENVIRONMENT UNKITAWA 23103 MARINE VIEW DR S DES MOINES WA 981987345 832398323 501(C)3 75000 0 PROJECT SUPPORT - ENVIRONMENT US CLIMATE ACTION NETWORK 50 F STREET NW 8TH FLOOR WASHINGTON DC 20001 244597308 501(C)3 200000 0 PROJECT SUPPORT - ENVIRONMENT USAHELLO PO BOX 15167 PORTLAND OR 972935167 453789421 501(C)3 155200 0 GENERAL SUPPORT - CHARITABLE USAHELLO PO BOX 15167 PORTLAND OR 972935167 453789421 501(C)3 260000 0 GENERAL SUPPORT - CHARITABLE USAHELLO PO BOX 15167 PORTLAND OR 972935167 453789421 501(C)3 155200 0 PROJECT SUPPORT - CHARITABLE VERMONT PUBLIC INTEREST RESEARCH & EDUCATION FUND 141 MAIN ST STE 6 MONTPELIER VT 056022916 030228267 501(C)3 20000 0 PROJECT SUPPORT - ENVIRONMENT VIRGINIA ORGANIZING INC 703 CONCORD AVE CHARLOTTESVLE VA 229035208 541674992 501(C)3 157000 0 PROJECT SUPPORT - ENVIRONMENT VIRGINIA ORGANIZING INC 703 CONCORD AVE CHARLOTTESVLE VA 229035208 541674992 501(C)3 15000 0 PROJECT SUPPORT - ENVIRONMENT VOCES DE LA FRONTERA 1027 S 5TH ST MILWAUKEE WI 532041734 392010107 501(C)3 30000 0 GENERAL SUPPORT - INSTITUTIONAL ACCOUNTABILITY & INDIVIDUAL LIBERTY VOCES DE LA FRONTERA 1027 S 5TH ST MILWAUKEE WI 532041734 392010107 501(C)3 40000 0 GENERAL SUPPORT - INSTITUTIONAL ACCOUNTABILITY & INDIVIDUAL LIBERTY VOCES DE LA FRONTERA 1027 S 5TH ST MILWAUKEE WI 532041734 392010107 501(C)3 75000 0 GENERAL SUPPORT - INSTITUTIONAL ACCOUNTABILITY & INDIVIDUAL LIBERTY VOICES FOR A SUSTAINABLE FUTURE 6909 LAUREL AVENUE TAKOMA PARK MD 209137558 271940927 501(C)3 100000 0 PROJECT SUPPORT - ENVIRONMENT WASHINGTON ENVIRONMENTAL COUNCIL 1402 THIRD AVENUE SUITE 1400 SEATTLE WA 98101 910839385 501(C)3 50000 0 PROJECT SUPPORT - ENVIRONMENT WEST HARLEM ENVIRONMENTAL ACTION INC 1854 AMSTERDAM AVE 2ND FLOOR NEW YORK NY 10031 133800068 501(C)3 25000 0 PROJECT SUPPORT - ENVIRONMENT WEST HARLEM ENVIRONMENTAL ACTION INC 1854 AMSTERDAM AVE 2ND FLOOR NEW YORK NY 10031 133800068 501(C)3 25000 0 PROJECT SUPPORT - ENVIRONMENT WEST VIRGINIA RIVERS COALITION INC 3501 MACCORKLE AVE SE CHARLESTON WV 253041419 521736621 501(C)3 40000 0 PROJECT SUPPORT - ENVIRONMENT WEST VIRGINIA RIVERS COALITION INC 3501 MACCORKLE AVE SE CHARLESTON WV 253041419 521736621 501(C)3 95000 0 PROJECT SUPPORT - ENVIRONMENT WESTERN ENVIRONMENTAL LAW CENTER 120 SHELTON MCMURPHEY BLVD STE 340 EUGENE NM 974018718 931010269 501(C)3 150000 0 PROJECT SUPPORT - ENVIRONMENT WILDEARTH GUARDIANS 301 N GUADALUPE STREET SUITE 201 SANTA FE NM 875012933 850406306 501(C)3 215000 0 PROJECT SUPPORT - ENVIRONMENT WILLOWELL FOUNDATION INC PO BOX 314 BRISTOL VT 054430314 030366363 501(C)3 25000 0 PROJECT SUPPORT - ENVIRONMENT WOMEN'S EARTH AND CLIMATE ACTION NETWORK 775 E BLITHEDALE AVE 384 MILL VALLEY CA 94941 371702450 501(C)3 100000 0 PROJECT SUPPORT - ENVIRONMENT WOMENS REFUGEE COMMISSION INC 15 WEST 37TH STREET 9TH FLOOR NEW YORK NY 100185381 463668128 501(C)3 10000 0 GENERAL SUPPORT - ECONOMIC JUSTICE FOR WOMEN 188 0 PART I, LINE 2: BEFORE GRANT FUNDING IS PROVIDED TO AN ORGANIZATION, THE ROCKEFELLER FAMILY FUND (THE FUND) REQUESTS AND REVIEWS ORGANIZATIONAL INFORMATION FROM PROSPECTIVE GRANTEES, INCLUDING AUDITED FINANCIAL STATEMENTS, TAX RETURN INFORMATION, AND, IF APPLICABLE, FUNDING PROPOSALS. THE FUND ALSO PERFORMS A DUE DILIGENCE CHECK, TO CONFIRM THAT THE ORGANIZATION IS IN GOOD STANDING AND A RECOGNIZED PUBLIC CHARITY OR OTHER TYPE OF PERMISSIBLE GRANTEE. GRANT FUNDS ARE PROVIDED AFTER A GRANT AGREEMENT IS EXECUTED BY BOTH PARTIES SETTING OUT THE PERMISSIBLE AND PROHIBITED USES OF FUNDS. THE FUND MONITORS THE USE OF GRANT FUNDS IN A VARIETY OF WAYS: THE FUND REQUIRES AN ANNUAL NARRATIVE REPORT OF ACTIVITIES FINANCED BY THE GRANT. IF RELEVANT, A FINANCIAL REPORT DETAILING THE EXPENDITURE OF GRANT FUNDS IS REQUIRED. OFTEN LARGER GRANTS ARE DISTRIBUTED IN AT LEAST TWO PAYMENTS, WITH THE LATTER PAYMENT RELEASED ONLY AFTER REVIEW OF THE GRANTEE'S WORK DURING THE PREVIOUS PERIOD. FOR SIGNIFICANT GRANTS, THE FUND REGULARLY SPEAKS WITH THE GRANTEE THROUGHOUT THE GRANT PERIOD TO ASSESS THE GRANTEE'S PERFORMANCE AND DISCUSS CORRECTIVE ACTION, IF NECESSARY. X 1 1 X X X X X 0 1 0 0 0 0 0 1 0 LEE H WASSERMAN DIRECTOR & SECRETARY 330819 0 0 0 36734 0 55100 0 35188 0 457841 0 0 0 LAWRENCE G SHAPIRO ASSOCIATE DIRECTOR-PROG. DEV. 269905 0 0 0 7620 0 49750 0 16067 0 343342 0 0 0 LISA GUIDE ASSOCIATE DIRECTOR 259862 0 0 0 3802 0 38500 0 33788 0 335952 0 0 0 JULIE FERNANDES ASSOCIATE DIRECTOR-IA&IL 228462 0 30000 0 2152 0 33872 0 33531 0 328017 0 0 0 KATHARINE REDFORD EXE. DIRECTOR, EQUATION CAMPAIGN 132190 0 0 0 667 0 19699 0 16916 0 169472 0 0 0 ANDREA LAWYER TREASURER 85123 0 0 0 385 0 12109 0 11846 0 109463 0 0 0 PART I, LINE 1A HOUSING ALLOWANCE IS BASED ON A FIXED AMOUNT DETERMINED BY THE COMPENSATION COMMITTEE. THE 2021 HOUSING ALLOWANCE IN THE AMOUNT OF $31,800 PAID TO LEE WASSERMAN, DIRECTOR & SECRETARY, IS INCLUDED IN THE REPORTABLE COMPENSATION, PART II, COLUMN B (III). PART I, LINE 4B IN MARCH 2020, THE FUND ENTERED INTO A NEW SUPPLEMENTAL RETIREMENT PLAN FOR LEE H. WASSERMAN. AS OF DECEMBER 31, 2021, A LIABILITY OF $761,565 IS INCLUDED IN PENSION COSTS REPRESENTING THE VALUE OF THE FUND'S CURRENT OBLIGATION TO THE SERP. PART I, LINE 7 INDIVIDUAL REPORTED ON SCHEDULE J, PART II RECEIVED DISCRETIONARY BONUS IN 2021. THE AMOUNT IS REPORTED ON SCHEDULE J, PART II, COLUMN B(III). PART II, LINE 8: THE TREASURER IS PAID BY AN UNRELATED ORGANIZATION, ROCKEFELLER BROTHERS FUND (RBF), EIN 13-1760106, FOR SERVICES RENDERED TO THE FILING ORGANIZATION. TWENTY-FIVE HOURS PER WEEK ARE DEVOTED AND ITS ALLOCABLE SHARE OF COMPENSATION, PENSION, AND BENEFITS ARE REPORTED ON PART VII. X 9 6357234 AVG. SELLING PRICE 0 0 1 0 PART I, COLUMN (B): THE ORGANIZATION IS REPORTING THE NUMBER OF CONTRIBUTORS. FORM 990, PART VI, SECTION A, LINE 2 LUCIA GILL CASE AND PETER GILL CASE HAVE A FAMILY RELATIONSHIP. MICHAEL LAMBERT AND REBECCA LAMBERT HAVE A FAMILY RELATIONSHIP. ELIZA ROCKEFELLER AND TARA ROCKEFELLER HAVE A FAMILY RELATIONSHIP. MIRANDA KAISER AND NEVA GOODWIN HAVE A FAMILY RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11B THE 990 AND SUPPORTING SCHEDULES ARE REVIEWED AND APPROVED BY SENIOR MANAGEMENT AND THEN DISTRIBUTED VIA EMAIL, IN PDF FORMAT, TO THE BOARD OF TRUSTEES FOR REVIEW BEFORE FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C EACH DIRECTOR, PRINCIPAL OFFICER AND MEMBER OF A COMMITTEE WITH GOVERNING BOARD DELEGATED POWERS, AND KEY PERSON MUST ANNUALLY SIGN A STATEMENT WHICH AFFIRMS SUCH PERSON HAS: (A) RECEIVED A COPY OF THE CONFLICT OF INTEREST POLICY, (B) READ AND UNDERSTANDS THE POLICY, (C) AGREED TO COMPLY WITH THE POLICY, (D)SUBMITTED A STATEMENT TO THE SECRETARY IDENTIFYING TO THE BEST OF SUCH INDIVIDUAL'S KNOWLEDGE (I) ANY ENTITY OF WHICH SUCH INDIVIDUAL IS AN OFFICER, DIRECTOR, TRUSTEE, MEMBER, OWNER, OR EMPLOYEE AND WITH WHICH THE ORGANIZATION HAS A RELATIONSHIP, AND (II) ANY TRANSACTION IN WHICH THE ORGANIZATION IS A PARTICIPANT AND IN WHICH THE INDIVIDUAL MIGHT HAVE A CONFLICTING INTEREST, AND (III) ANY RELATED PARTY TRANSACTIONS, AND(E) UNDERSTANDS THE FUND IS CHARITABLE AND IN ORDER TO MAINTAIN ITS FEDERAL TAX EXEMPTION, IT MUST ENGAGE PRIMARILY IN ACTIVITIES WHICH ACCOMPLISH ONE OR MORE OF ITS TAX-EXEMPT PURPOSES. STEPS IN DETERMINING WHETHER A CONFLICT OF INTEREST EXISTS: AFTER DISCLOSURE OF THE FINANCIAL INTEREST AND ALL MATERIAL FACTS, AND AFTER ANY DISCUSSION WITH THE INTERESTED PERSON, HE OR SHE MUST LEAVE THE GOVERNING BOARD OR COMMITTEE MEETING WHILE THE DETERMINATION OF A CONFLICT OF INTEREST IS DISCUSSED AND VOTED UPON. THE REMAINING BOARD OR COMMITTEE MEMBERS MUST DECIDE IF A CONFLICT OF INTEREST EXISTS. IN NO EVENT CAN AN INTERESTED PERSON INFLUENCE IMPROPERLY THE DELIBERATION OR VOTING ON THE MATTER GIVING RISE TO A CONFLICT OR POSSIBLE CONFLICT. RESTRICTIONS IMPOSED ON PERSONS WITH A CONFLICT: IF THE BOARD OR COMMITTEE HAS REASONABLE CAUSE TO BELIEVE A MEMBER HAS FAILED TO DISCLOSE ACTUAL OR POSSIBLE CONFLICTS OF INTEREST, IT MUST INFORM THE MEMBER OF THE BASIS FOR SUCH BELIEF AND AFFORD THE MEMBER AN OPPORTUNITY TO EXPLAIN THE ALLEGED FAILURE TO DISCLOSE. IF AFTER HEARING THE MEMBER'S RESPONSE AND AFTER MAKING FURTHER INVESTIGATION AS WARRANTED BY THE CIRCUMSTANCES, THE BOARD OR COMMITTEE DETERMINES THE MEMBER HAS FAILED TO DISCLOSE AN ACTUAL OR POSSIBLE CONFLICT OF INTEREST, IT SHALL TAKE APPROPRIATE DISCIPLINARY AND CORRECTIVE ACTION. FORM 990, PART VI, SECTION B, LINE 15 THE ROCKEFELLER FAMILY FUND INDEPENDENT EXECUTIVE COMMITTEE REVIEWS ALL COMPENSATION MATTERS. THE COMMITTEE MEETS ANNUALLY TO CONSIDER THE PERFORMANCE OF THE DIRECTOR AND, AT REGULAR INTERVALS, CONSIDER COMPARABLE COMPENSATION DATA FOR CEOS IN CHARGE OF SIMILAR ORGANIZATIONS. ON THE BASIS OF THE ANNUAL PERFORMANCE REVIEW AND SAID COMPENSATION DATA, THE COMMITTEE ESTABLISHES THE COMPENSATION FOR THE DIRECTOR FOR THE SUCCEEDING YEAR. THE COMMITTEE ALSO REVIEWS THE DIRECTOR'S COMPENSATION RECOMMENDATIONS FOR OTHER KEY ORGANIZATIONAL STAFF. THE COMMITTEE MAINTAINS CONTEMPORANEOUS DOCUMENTATION OF ITS PROCEEDINGS, DELIBERATIONS, AND SUPPORTING MATERIAL IN THE MINUTES. FORM 990, PART VI, SECTION C, LINE 19 THE FUND'S FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART VII, SECTION A: ANDREA LAWYER DEVOTES APPROXIMATELY 25 HOURS PER WEEK TO ACCOUNTING AND FINANCIAL REPORTING SERVICES FOR THE ROCKEFELLER FAMILY FUND (RFF). MS. LAWYER IS PAID FOR THESE SERVICES BY THE ROCKEFELLER BROTHERS FUND (RBF) PURSUANT TO A COST-SHARING AGREEMENT BETWEEN RBF AND RFF. RFF REIMBURSES RBF FOR HER SERVICES PURSUANT TO THE AGREEMENT. FORM 990, PART IX, LINE 7: THE TIOGA FUND AND THE ROCKEFELLER FAMILY FUND (RFF) HAVE A SHARED SERVICES AGREEMENT, UNDER WHICH TIOGA FUND PAYS RFF FOR TIOGA'S USE OF RFF'S PERSONNEL AND OTHER RESOURCES. RFF EMPLOYS ALL PERSONNEL, WHO THEN PROVIDE SERVICES TO THE TIOGA FUND AS NEEDED. THE TIOGA FUND PROVIDES FUNDS TO RFF TO COVER THE FULL COSTS OF THESE SERVICES. THERE IS NO FINANCIAL OR ECONOMIC CONTROL BETWEEN THE TWO ENTITIES. THE TIOGA FUND'S PRESIDENT IS ALSO THE PRESIDENT OF RFF. THE TIOGA FUND IS TAX-EXEMPT UNDER SECTION 501(C)(4) OF THE INTERNAL REVENUE CODE. ITS MISSION IS TO DEVELOP AND IMPLEMENT ADVOCACY STRATEGIES TO ADVANCE CLIMATE CHANGE SOLUTIONS, ADDRESS WOMEN'S ECONOMIC INEQUALITY, IMPROVE THE NATION'S DEMOCRATIC INSTITUTIONS, AND PROTECT CITIZENS' CIVIL LIBERTIES. THE TIOGA FUND PAID $61,174 IN 2021 FOR SERVICES UNDER THE AGREEMENT. THERE WERE NO AMOUNTS DUE TO RFF ON DECEMBER 31, 2021. FORM 990, PART XI, LINE 9: AMOUNT NOT YET RECOGNIZED AS A COMPONENT OF NET PERIODIC BENEFIT COST 198,437. REFUND OF GRANTS 60,447. PASS-THROUGH UNRELATED BUSINESS LOSS FROM ALTERNATIVE -27,498. THE WILLIAM B WIENER JR FOUNDATION 330 MARSHALL STREET SUITE 640 SHREVEPORT LA 711013036 726024398 CIVIL LIBERTIES, SUSTAINABLE ECOSYSTEMS, PROTECTING HUMAN HEALTH LA 501(C)(3) LINE 12A, I ROCKEFELLER FAMILY FUND 1 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 THE WILLIAM B WIENER JR FOUNDATION C 10503697 BOOK VALUE