2022-11-15T16:41:13-06:00 2021-12-31 WITHUMSMITHBROWN PC 1411 BROADWAY 9TH FLOOR NEW YORK NY 10018 990PF 2021-01-01 133383348 THE HAROLD & MIMI STEINBERG CHARITABLE TRUST C/O SCHULTE ROTH & ZABEL LLP % SCHULTE ROTH & ZABEL LLP HARO 2127580404 919 THIRD AVENUE NEW YORK NY 10022 WILLIAM ZABEL TRUSTEE 2127562000 2022-05-16 true WILLIAM ZABEL 999009999 ALFRED LAROSA CPA P00103808 2127519100 2 2021 2022-09-23 18:48:47Z X 77063749 X 0 X 518397 459946 793672 793672 4973800 19446714 4973800 207936 456 6493805 6227874 0 140921 140921 17149 17149 311322 103774 0 207548 19352 9676 0 9676 314584 314584 13370 13160 1294774 1113200 121000 2111472 1554394 0 496294 3543500 3543500 5654972 1554394 0 4039794 838833 4673480 6904985 2188257 2188257 55996025 61551585 74875492 62901010 63739842 77063749 0 0 X 62000 62000 62839010 63677843 62901010 63739843 62901010 63739843 62901010 838833 63739843 63739843 TD AMERITRADE #2955 ST COVERED 2021-12-31 4860738 4890664 -24285 -29926 TD AMERITRADE #2955 LT COVERED 2021-12-31 612338 394653 217685 217685 TD AMERITRADE #2812 ST COVERED 2021-12-31 263597 277935 -14338 -14338 TD AMERITRADE #2812 LT COVERED 2021-12-31 2522352 2379645 142707 142707 CHARLES SCHWAB #6031 LT COVERED 2021-12-31 90982 72240 18742 18742 CHARLES SCHWAB #6031 LT CAPITAL GAIN DISTRIBUTION 2021-12-31 7282 7282 7282 CHARLES SCHWAB #3485 ST COVERED 2021-12-31 446837 434277 12560 12560 CHARLES SCHWAB #3485 LT COVERED 2021-12-31 916621 884242 32379 32379 CHARLES SCHWAB #0051 ST COVERED 2021-12-31 866694 853704 12990 12990 CHARLES SCHWAB #0051 LT CAPITAL GAIN DISTRIBUTION 2021-12-31 1578 1578 1578 CHARLES SCHWAB #9186 ST COVERED 2021-12-31 511463 497225 14238 14238 CHARLES SCHWAB #9186 ST NONCOVERED 2021-12-31 43818 43690 128 128 CHARLES SCHWAB #7287 ST COVERED 2021-12-31 276954 277240 -286 -286 CHARLES SCHWAB #7287 LT COVERED 2021-12-31 6949 6953 -4 -4 CHARLES SCHWAB #6929 ST COVERED 2021-12-31 1104526 1079610 25201 24916 CHARLES SCHWAB #6929 LT COVERED 2021-12-31 8970 6969 2001 2001 CHARLES SCHWAB #6929 LT CAPITAL GAIN DISTRIBUTION 2021-12-31 86380 86380 86380 ST LOSS FROM RENAISSANCE INSTITUTIONAL EQUIT 2021-12-31 51992 51992 51992 LT GAIN FROM RENAISSANCE INSTITUTIONAL EQUIT 2021-12-31 580609 580609 580609 LT GAIN FROM SPRUCE PRIVATE INVESTMENTS FUND LP 2021-12-31 277123 277123 277123 ST GAIN FROM SOUND POINT DISCOVERY FUND LLC 2021-12-31 38855 38855 38855 LT GAIN FROM SOUND POINT DISCOVERY FUND LLC 2021-12-31 741 741 741 LT GAIN FROM REDEMPTION OF THE CHILDREN'S INV FUND 2021-12-31 250000 132578 117422 117422 LT GAIN FROM REDEMPTION OF LONG POND CAPITAL 2021-12-31 230000 178881 51119 51119 LT GAIN FROM REDEMPTION OF SQN INVESTORS OFFSHORE LTD 2021-12-31 500000 353745 146255 146255 LT GAIN FROM STEINBERG PARTNERS FUND 2021-12-31 2590452 2590452 2590452 LT GAIN FROM SPRUCE PRIVATE INVEST FUND 2021-12-31 451331 451331 451331 CNR #0372 ST COVERED 2021-12-31 195471 171578 23893 23893 CNR #0372 LT COVERED 2021-12-31 1610507 1527336 84554 83171 480 SHS BROOKFIELD INFRASTRUCTURE PARTNERS LP 2021-02-16 24174 17058 7116 7116 CNR #0372 LT CAPITAL GAIN DISTRIBUTION 2021-12-31 16867 16867 16867 LT GAIN ECHO STREET CAPITAL PARTNERS 2021-12-31 513 513 513 4973800 64961 64961 64961 132610 210 132820 67859 67859 false false false false false false false true true NY true false true false false true N/A SCHULTE ROTH & ZABEL LLP 2127580404 919 THIRD AVENUE NEW YORK NY 10022 false false false false true false false false false false false false false false false false true false false false false false false false JAMES D STEINBERG C/O SCHULTE ROTH ZABEL LLP 919 THIRD AVENUE NEW YORK NY 10022 DIRECTOR 3.0 0 0 0 WILLIAM D ZABEL C/O SCHULTE ROTH ZABEL LLP 919 THIRD AVENUE NEW YORK NY 10022 TRUSTEE 3.0 0 0 0 SETH WEINGARTEN C/O SCHULTE ROTH ZABEL LLP 919 THIRD AVENUE NEW YORK NY 10022 TRUSTEE 3.0 0 0 0 MICHAEL A STEINBERG C/O SCHULTE ROTH ZABEL LLP 919 THIRD AVENUE NEW YORK NY 10022 DIRECTOR 3.0 0 0 0 CAROLE A KRUMLAND C/O SCHULTE ROTH ZABEL LLP 919 THIRD AVENUE NEW YORK NY 10022 DIRECTOR 3.0 0 0 0 SUSAN C FRUNI C/O SCHULTE ROTH ZABEL LLP 919 THIRD AVENUE NEW YORK NY 10022 TRUSTEE 3.0 0 0 0 DEBORAH E MARTIN 163 RUMFORD AVENUE MANSFIELD MA 02048 ADMIN ASSISTANT 40.0 131096 SCHULTE ROTH & ZABEL LLP 919 THIRD AVE NEW YORK NY 10022 LEGAL 311322 CNR SECURITIES 400 PARK AVENUE NEW YORK NY 10022 INVESTMENT ADVISORY 76973 TD AMERITRADE PO BOX 2209 OMAHA NE 68103 INVESTMENT ADVISORY 116324 WITHUMSMITHBROWN PC 1411 BROADWAY 9TH FL NEW YORK NY 10018 ACCOUNTING 19352 CHARLES SCHWAB 211 MAIN STREET SAN FRANCISCO CA 94105 INVESTMENT ADVISORY 91462 STEINBERG DISTINGUISHED PLAYWRIGHT AWARD (THE MIMI) FOR ARTISTIC ACHIEVEMENT IN THE THEATER. 121000 69364554 5099170 0 74463724 0 74463724 1116956 73346768 3667338 3667338 64961 64961 3602377 3602377 3602377 4039794 0 0 0 0 4039794 3602377 0 2019 2018 2017 0 3837299 3754399 4944660 3153616 2640500 18330474 4039794 0 3602377 437417 18767891 0 0 0 0 3837299 14930592 3754399 4944660 3153616 2640500 437417 X SEE ATTACHED SCHEDULE 919 THIRD AVENUE NEW YORK NY 10018 N/A PC UNRESTRICTED GRANTS 3543500 3543500 14 518397 14 793672 18 4973800 SPRUCE PRIVATE INVESTMENT FUND - UBTI 900099 23577 14 ITE RAIL FUND - UBTI 900099 -60574 14 SOUND POINT DISCOVERY FUND - UBTI 900099 133797 14 INVEST INCOME - BROOKFIELD INFRAS 900099 14 56 96800 6285925 6382725 false false false false false false false false false false ACCOUNTING FEES 19352 9676 9676 SPRUCE PRIVATE INVESTMENTS FD AT COST 5386787 3310758 SPRUCE PRIVATE INVEST. FUND II AT COST 5508068 7247438 STEINBERG PARTNERS FUND LP AT COST 13224146 18016389 LONG POND CAPITAL AT COST 1402499 1816352 SQN INVESTORS OFFSHORE LTD AT COST 1114417 1370142 ECHO STREET CAPITAL AT COST 0 0 RENAISSANCE INSITUTIONAL EQUIT AT COST 0 0 THE CHILDRENS INVESTMENT FUND AT COST 946113 1834767 KYLIN OFFSHORE FUND LTD AT COST 311976 93339 DE SHAW COMPOSITE INTL FUND AT COST 1190681 1985957 AIDENLAIR FARMSTED 1 LLC AT COST 627917 1975441 BROOKFIELD INFRASTRUCTURE AT COST 0 0 INV IN SECURITIES-CNR #0372 AT COST 9689364 12916865 MUNI BONDS-CHARLES SCHWAB 3485 AT COST 0 0 ELLINGTON EPO II OFFSHORE AT COST 854667 1237332 PODAREL 180 NORTH 4TH LLC AT COST 0 0 ECHO STREET GOODCO SELECT AT COST 700000 943261 HANACO II LP AT COST 227062 239876 ECV IL OPP AT COST 332436 490331 SOUND POINT DISCOVERY FUND LLC AT COST 2721145 2689558 KYLIN OFFSHORE LONG FUND AT COST 1000000 784671 HAWK RIDGE PARTNERS OFFSHORE AT COST 1000000 1143089 ITE RAIL FUND, LP AT COST 546576 546576 SECURITIES - CS #6031 AT COST 476618 512572 EX TRADED FUNDS -TD #2812 AT COST 0 0 EX TRADED FUNDS -TD #2955 AT COST 0 0 SECURITIES - CS #7287 AT COST 740825 713885 SECURITIES - CS #9186 AT COST 777458 785894 SECURITIES - CS #6929 AT COST 9170008 10503662 SECURITIES - CS #0051 AT COST 2280276 2332798 SQN AIDENLAIR RELATIVITY LLC AT COST 459984 460688 AIDENLAIR RIPCORD I 403903 409200 INFINITY VC FUND I LP 55461 60000 CERBERUS LEVERED LOAN FUND IV 403198 454651 LEGAL FEES 311322 103774 207548 AWARD RELATED EXPENSES 121000 121000 INVEST EXP - EPO FUND II LP 5019 5019 UBTI - SOUND POINT DISC 92554 92554 INVEST EXP - HANACO II LP 12938 12938 INVEST EXP - ECV II OPP 4715 4715 INVEST EXP - INFINITY VC FUND 4542 4542 INVEST EXP - SQN AIDENLAIR REL 704 704 INVEST EXP - AIDENLAIR RIPCORD 5299 5299 INVEST EXP - AIDENLAIR FARMSTE 7861 7861 INVEST EXP - PODAREL 180 NORTH 2969 2969 INVEST EXP - SPIF II 430599 430599 INVEST EXP - RENAISSANCE INST 6582 6582 INVEST EXP - STEINBERG PART 144120 144120 UBTI - ITE RAIL FUND 60574 0 UBTI - SPRUCE PRIV FUND 387199 387199 MISC EXPENSE - SLATE PR LLC 7650 7650 FILING FEE NONDEDUCTIBLE EXPENSES 449 449 SPRUCE PRIVATE INVESTMENT FUND LP - UBTI 133797 ITE RAIL FUND LP - UBTI 400 400 SOUND POINT DISCOVERY FUND LLC - UBTI 23577 INVEST INCOME - BROOKFIELD INFRAS 56 56 IRS REFUND 50106 BANK CUST.&INVEST. ADVIS. FEE 314584 314584 CONSULTANTS FEDERAL TAXES PAID 210 FOREIGN TAXES PAID 13160 13160