SAPPHIRE FOUNDATION INC: Form 990PF, tax year 2020
View the entire original 990 at ProPublica ↗
- Organization
- SAPPHIRE FOUNDATION INC (EIN 30-0674167)
- Tax period
- 2020-01-01 to 2020-12-31
- Filed
- 2021-11-16
- IRS object ID
- 202123209349101117
- Schema version
- 2020v4.1
- 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
- Form 990-PF
- Depreciation Schedule
- Expenditure Responsibility Stmt
- General Explanation Attachment
- Investments Corp Bonds Schedule
- Investments Corp Stock Schedule
- Investments Other Schedule2
- Other Assets Schedule
- Other Expenses Schedule
- Other Income Schedule2
- Other Professional Fees Schedule
- Taxes Schedule
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return | 2021-11-16T13:57:00-06:00 | ReturnTs |
| Tax Period End | 2020-12-31 | TaxPeriodEndDt |
| Disaster Relief | NEW YORK-HURRICANE IDA | DisasterReliefTxt |
Preparer Firm PreparerFirmGrp
Preparer Firm Name PreparerFirmName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | FOUNDATION SOURCE | BusinessNameLine1Txt |
Preparer US Address PreparerUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | ONE HOLLOW LN STE 212 | AddressLine1Txt |
| City | LAKE SUCCESS | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 11042 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990PF | ReturnTypeCd |
| Tax Period Begin | 2020-01-01 | TaxPeriodBeginDt |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 300674167 | EIN |
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | Sapphire Foundation Inc | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| In Care Of | % Foundation Source | InCareOfNm |
| Business Name Control | SAPP | BusinessNameControlTxt |
| Phone | 8008391754 | PhoneNum |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | Foundation Source 501 Silverside Rd | AddressLine1Txt |
| City | Wilmington | CityNm |
| State Abbreviation | DE | StateAbbreviationCd |
| ZIP | 198091377 | ZIPCd |
Business Officer BusinessOfficerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | BENJAMIN CROSLAND | PersonNm |
| Person Title | PRESIDENT | PersonTitleTxt |
| Phone | 8008391754 | PhoneNum |
| Signature | 2021-11-13 | SignatureDt |
| Discuss With Paid Preparer | Yes (true) | DiscussWithPaidPreparerInd |
Signing Officer SigningOfficerGrp
Person Full Name PersonFullName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person First | BENJAMIN | PersonFirstNm |
| Person Last | CROSLAND | PersonLastNm |
| Field | Value | IRS element (for citing) |
|---|---|---|
| SSN | 999009999 | SSN |
Preparer Person PreparerPersonGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Person | Jeffrey D Haskell | PreparerPersonNm |
| PTIN | P01345770 | PTIN |
| Phone | 8008391754 | PhoneNum |
Additional Filer Information AdditionalFilerInformation
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trusted Customer | TrustedCustomerGrp |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax | 2020 | TaxYr |
| Build TS | 2022-09-23 18:48:47Z | BuildTS |
Form 990-PF IRS990PF
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization501c3 Exempt PF | Yes (X) | Organization501c3ExemptPFInd |
| FMV Assets EOY | $30,025,198 | FMVAssetsEOYAmt |
| Method Of Accounting Cash | Yes (X) | MethodOfAccountingCashInd |
Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contri Rcvd Rev And Expnss | $0 | ContriRcvdRevAndExpnssAmt |
| Schedule B Not Required | Yes (X) | ScheduleBNotRequiredInd |
| Interest On Sav Rev And Expnss | $2,369 | InterestOnSavRevAndExpnssAmt |
| Interest On Sav Net Invst Incm | $2,369 | InterestOnSavNetInvstIncmAmt |
| Dividends Rev And Expnss | $304,650 | DividendsRevAndExpnssAmt |
| Dividends Net Invst Incm | $302,548 | DividendsNetInvstIncmAmt |
| Net Gain Sale Ast Rev And Expnss | $1,469,998 | NetGainSaleAstRevAndExpnssAmt |
| Gross Sales Price | $17,439,938 | GrossSalesPriceAmt |
| Cap Gain Net Incm Net Invst Incm | $1,350,683 | CapGainNetIncmNetInvstIncmAmt |
| Other Income Rev And Expnss | $822,214 | OtherIncomeRevAndExpnssAmt |
| Other Income Net Invst Incm | $585,734 | OtherIncomeNetInvstIncmAmt |
| Total Rev And Expnss | $2,599,231 | TotalRevAndExpnssAmt |
| Total Net Invst Incm | $2,241,334 | TotalNetInvstIncmAmt |
| Comp Ofcr Dir Trst Rev And Expnss | $83,592 | CompOfcrDirTrstRevAndExpnssAmt |
| Comp Ofcr Dir Trst Dsbrs Chrtbl | $83,592 | CompOfcrDirTrstDsbrsChrtblAmt |
| Pension Empl Bnft Rev And Expnss | $6,395 | PensionEmplBnftRevAndExpnssAmt |
| Pension Empl Bnft Dsbrs Chrtbl | $6,395 | PensionEmplBnftDsbrsChrtblAmt |
| Other Prof Fees Rev And Expnss | $118,923 | OtherProfFeesRevAndExpnssAmt |
| Other Prof Fees Net Invst Incm | $118,923 | OtherProfFeesNetInvstIncmAmt |
| Interest Rev And Expnss | $2 | InterestRevAndExpnssAmt |
| Interest Dsbrs Chrtbl | $2 | InterestDsbrsChrtblAmt |
| Taxes Rev And Expnss | $36,103 | TaxesRevAndExpnssAmt |
| Taxes Net Invst Incm | $15,403 | TaxesNetInvstIncmAmt |
| Occupancy Rev And Expnss | $10,400 | OccupancyRevAndExpnssAmt |
| Occupancy Dsbrs Chrtbl | $10,400 | OccupancyDsbrsChrtblAmt |
| Trav Conf Meeting Rev And Expnss | $774 | TravConfMeetingRevAndExpnssAmt |
| Trav Conf Meeting Dsbrs Chrtbl | $774 | TravConfMeetingDsbrsChrtblAmt |
| Other Expenses Rev And Expnss | $381,053 | OtherExpensesRevAndExpnssAmt |
| Other Expenses Net Invst Incm | $310,453 | OtherExpensesNetInvstIncmAmt |
| Other Expenses Dsbrs Chrtbl | $43,564 | OtherExpensesDsbrsChrtblAmt |
| Tot Opr Expenses Rev And Expnss | $637,242 | TotOprExpensesRevAndExpnssAmt |
| Tot Opr Expenses Net Invst Incm | $444,779 | TotOprExpensesNetInvstIncmAmt |
| Tot Opr Expenses Dsbrs Chrtbl | $144,727 | TotOprExpensesDsbrsChrtblAmt |
| Contri Paid Rev And Expnss | $1,212,898 | ContriPaidRevAndExpnssAmt |
| Contri Paid Dsbrs Chrtbl | $1,212,898 | ContriPaidDsbrsChrtblAmt |
| Total Expenses Rev And Expnss | $1,850,140 | TotalExpensesRevAndExpnssAmt |
| Total Expenses Net Invst Incm | $444,779 | TotalExpensesNetInvstIncmAmt |
| Total Expenses Dsbrs Chrtbl | $1,357,625 | TotalExpensesDsbrsChrtblAmt |
| Excess Revenue Over Expenses | $749,091 | ExcessRevenueOverExpensesAmt |
| Net Investment Income | $1,796,555 | NetInvestmentIncomeAmt |
Form990 PF Balance Sheets Form990PFBalanceSheetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sav And Temp Cash Invst BOY | $1,138,885 | SavAndTempCashInvstBOYAmt |
| Sav And Temp Cash Invst EOY | $755,595 | SavAndTempCashInvstEOYAmt |
| Sav And Temp Cash Invst EOYFMV | $755,595 | SavAndTempCashInvstEOYFMVAmt |
| US Government Obligations BOY | $68,666 | USGovernmentObligationsBOYAmt |
| Corporate Stock BOY | $13,331,244 | CorporateStockBOYAmt |
| Corporate Stock EOY | $8,746,444 | CorporateStockEOYAmt |
| Corporate Stock EOYFMV | $11,199,753 | CorporateStockEOYFMVAmt |
| Corporate Bonds BOY | $232,903 | CorporateBondsBOYAmt |
| Corporate Bonds EOY | $461,440 | CorporateBondsEOYAmt |
| Corporate Bonds EOYFMV | $492,893 | CorporateBondsEOYFMVAmt |
| Other Investments BOY | $11,014,022 | OtherInvestmentsBOYAmt |
| Other Investments EOY | $16,571,332 | OtherInvestmentsEOYAmt |
| Other Investments EOYFMV | $17,326,957 | OtherInvestmentsEOYFMVAmt |
| Other Assets BOY | $250,000 | OtherAssetsBOYAmt |
| Other Assets EOY | $250,000 | OtherAssetsEOYAmt |
| Other Assets EOYFMV | $250,000 | OtherAssetsEOYFMVAmt |
| Total Assets BOY | $26,035,720 | TotalAssetsBOYAmt |
| Total Assets EOY | $26,784,811 | TotalAssetsEOYAmt |
| Total Assets EOYFMV | $30,025,198 | TotalAssetsEOYFMVAmt |
| Total Liabilities BOY | $0 | TotalLiabilitiesBOYAmt |
| Total Liabilities EOY | $0 | TotalLiabilitiesEOYAmt |
| Org Does Not Follow FASB117 | Yes (X) | OrgDoesNotFollowFASB117Ind |
| Retained Earning BOY | $26,035,720 | RetainedEarningBOYAmt |
| Retained Earning EOY | $26,784,811 | RetainedEarningEOYAmt |
| Tot Net Ast Or Fund Balances BOY | $26,035,720 | TotNetAstOrFundBalancesBOYAmt |
| Tot Net Ast Or Fund Balances EOY | $26,784,811 | TotNetAstOrFundBalancesEOYAmt |
| Total Liabilities Net Ast BOY | $26,035,720 | TotalLiabilitiesNetAstBOYAmt |
| Total Liabilities Net Ast EOY | $26,784,811 | TotalLiabilitiesNetAstEOYAmt |
Chg In Net Assets Fund Balances ChgInNetAssetsFundBalancesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tot Net Ast Or Fund Balances BOY | $26,035,720 | TotNetAstOrFundBalancesBOYAmt |
| Excess Revenue Over Expenses | $749,091 | ExcessRevenueOverExpensesAmt |
| Subtotal | $26,784,811 | SubtotalAmt |
| Tot Net Ast Or Fund Balances EOY | $26,784,811 | TotNetAstOrFundBalancesEOYAmt |
Cap Gains Loss Tx Invst Incm Detail CapGainsLossTxInvstIncmDetail
Cap Gains Loss Tx Invst Incm CapGainsLossTxInvstIncmGrp (3 entries)
| PropertyPropertyDesc | Gross Sales PriceGrossSalesPriceAmt | Cost Or Other BasisCostOrOtherBasisAmt | Gain Or LossGainOrLossAmt |
|---|---|---|---|
| Publicly-traded Securities | $17,439,938 | $16,331,806 | $1,108,132 |
| Passthrough K1 Capital Gain/(Loss) | $398,567 | ||
| Sec 751 Gain on Sale of Ptshp Reclass | $0 | -$156,016 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Capital Gain Net Income | $1,350,683 | CapitalGainNetIncomeAmt |
Excise Tax Based On Invst Incm ExciseTaxBasedOnInvstIncmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Investment Income Excise Tax | $24,972 | InvestmentIncomeExciseTaxAmt |
| Subtotal | $24,972 | SubtotalAmt |
| Tax Based On Investment Income | $24,972 | TaxBasedOnInvestmentIncomeAmt |
| Estimated Plus Ovpmt Incm Tx | $28,100 | EstimatedPlusOvpmtIncmTxAmt |
| Exempt Frgn Org Tax Wthld At Srce | $0 | ExemptFrgnOrgTaxWthldAtSrceAmt |
| Total Payments And Credits | $28,100 | TotalPaymentsAndCreditsAmt |
| Form2220 Attached | Yes (X) | Form2220AttachedInd |
| Overpayment | $3,128 | OverpaymentAmt |
| Applied To ES Tax | $3,128 | AppliedToESTaxAmt |
Statements Regarding Acty StatementsRegardingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Legislative Political Acty | false | LegislativePoliticalActyInd |
| More Than100 Spent | false | MoreThan100SpentInd |
| Form1120 POL Filed | false | Form1120POLFiledInd |
| Activities Not Previously Rpt | false | ActivitiesNotPreviouslyRptInd |
| Changes To Articles Or Bylaws | false | ChangesToArticlesOrBylawsInd |
| Unrelated Bus Incm Over Limit | Yes (true) | UnrelatedBusIncmOverLimitInd |
| Form990 T Filed | Yes (true) | Form990TFiledInd |
| Organization Dissolved Etc | false | OrganizationDissolvedEtcInd |
| Section508e Rqr Satisfied | Yes (true) | Section508eRqrSatisfiedInd |
| At Least5000 In Assets | Yes (true) | AtLeast5000InAssetsInd |
| Org Report Or Register State | TN | OrgReportOrRegisterStateCd |
| Org Report Or Register State | TX | OrgReportOrRegisterStateCd |
| Form990 PF Filed With Atty Gen | Yes (true) | Form990PFFiledWithAttyGenInd |
| Private Operating Foundation | false | PrivateOperatingFoundationInd |
| New Substantial Contributors | false | NewSubstantialContributorsInd |
| Own Controlled Entity | false | OwnControlledEntityInd |
| Donor Advised Fund | false | DonorAdvisedFundInd |
| Comply With Public Insp Rqr | Yes (true) | ComplyWithPublicInspRqrInd |
Persons With Books Name PersonsWithBooksName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | Foundation Source | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Phone | 8008391754 | PhoneNum |
Location Of Books US Address LocationOfBooksUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 501 Silverside Road Suite 123 | AddressLine1Txt |
| City | Wilmington | CityNm |
| State Abbreviation | DE | StateAbbreviationCd |
| ZIP | 198091377 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Foreign Accounts Question | false | ForeignAccountsQuestionInd |
Statements Regarding Acty4720 StatementsRegardingActy4720Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sale Or Exch Disqualified Prsn | false | SaleOrExchDisqualifiedPrsnInd |
| Brrw Or Lend Disqualified Prsn | false | BrrwOrLendDisqualifiedPrsnInd |
| Furn Goods Disqualified Prsn | false | FurnGoodsDisqualifiedPrsnInd |
| Pay Comp Disqualified Prsn | Yes (true) | PayCompDisqualifiedPrsnInd |
| Transfer Ast Disqualified Prsn | false | TransferAstDisqualifiedPrsnInd |
| Payment To Government Official | false | PaymentToGovernmentOfficialInd |
| Acts Fail To Qlfy As Exceptions | false | ActsFailToQlfyAsExceptionsInd |
| Uncorrected Prior Acts | false | UncorrectedPriorActsInd |
| Undistributed Income PY | false | UndistributedIncomePYInd |
| Business Holdings | false | BusinessHoldingsInd |
| Jeopardy Investments | false | JeopardyInvestmentsInd |
| Uncorrected PY Jeopardy Invst | false | UncorrectedPYJeopardyInvstInd |
| Influence Legislation | false | InfluenceLegislationInd |
| Influence Election | false | InfluenceElectionInd |
| Grants To Individuals | false | GrantsToIndividualsInd |
| Grants To Organizations | false | GrantsToOrganizationsInd |
| Noncharitable Purpose | false | NoncharitablePurposeInd |
| Rcv Fnds To Pay Prsnl Bnft Cntrct | false | RcvFndsToPayPrsnlBnftCntrctInd |
| Pay Premiums Prsnl Bnft Cntrct | false | PayPremiumsPrsnlBnftCntrctInd |
| Prohibited Tax Shelter Trans | false | ProhibitedTaxShelterTransInd |
| Subj To Tax Rmnrtn Ex Prcht Pymt | false | SubjToTaxRmnrtnExPrchtPymtInd |
Officer Dir Trst Key Empl Info OfficerDirTrstKeyEmplInfoGrp
Officer Dir Trst Key Empl OfficerDirTrstKeyEmplGrp (7 entries)
| Address Line1USAddress/AddressLine1Txt | CityUSAddress/CityNm | State AbbreviationUSAddress/StateAbbreviationCd | ZIPUSAddress/ZIPCd | TitleTitleTxt | Average Hrs Per Wk Devoted To PosAverageHrsPerWkDevotedToPosRt | CompensationCompensationAmt | Employee Benefit ProgramEmployeeBenefitProgramAmt | Expense Account Other AllwncExpenseAccountOtherAllwncAmt |
|---|---|---|---|---|---|---|---|---|
| Adriane Crosland | ||||||||
| Foundation Source 501 Silverside Rd | Wilmington | DE | 198091377 | Dir | 1.0 | $0 | $0 | $0 |
| ANDERSON BURNS Crosland | ||||||||
| Foundation Source 501 Silverside Rd | Wilmington | DE | 198091377 | Dir, Treas | 1.0 | $0 | $0 | $0 |
| BenJAMIN LUPTON Crosland | ||||||||
| Foundation Source 501 Silverside Rd | Wilmington | DE | 198091377 | Dir, Sec | 40.0 | $83,592 | $0 | $0 |
| Sandy Crosland | ||||||||
| Foundation Source 501 Silverside Rd | Wilmington | DE | 198091377 | Dir | 1.0 | $0 | $0 | $0 |
| KatHERINE L Juett | ||||||||
| Foundation Source 501 Silverside Rd | Wilmington | DE | 198091377 | Chairman of the Board, Dir | 1.0 | $0 | $0 | $0 |
| AliCE CROSLAND Treaster | ||||||||
| Foundation Source 501 Silverside Rd | Wilmington | DE | 198091377 | Dir | 1.0 | $0 | $0 | $0 |
| Justin Treaster | ||||||||
| Foundation Source 501 Silverside Rd | Wilmington | DE | 198091377 | Dir | 1.0 | $0 | $0 | $0 |
Compensation Of Hghst Pd Cntrct CompensationOfHghstPdCntrctGrp
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | Reynolds and Park Wealth Management | BusinessNameLine1Txt |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | one union square ste 100 | AddressLine1Txt |
| City | CHATTANOOG | CityNm |
| State Abbreviation | TN | StateAbbreviationCd |
| ZIP | 37402 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Service Type | Investment mgt | ServiceTypeTxt |
| Compensation | $101,923 | CompensationAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Summary Of Direct Chrtbl Acty | SummaryOfDirectChrtblActyGrp | |
| Sum Of Program Related Invst | SumOfProgramRelatedInvstGrp |
Minimum Investment Return MinimumInvestmentReturnGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Average Monthly FMV Of Sec | $11,587,028 | AverageMonthlyFMVOfSecAmt |
| Average Monthly Cash Balances | $1,955,540 | AverageMonthlyCashBalancesAmt |
| FMV All Other Noncharitable Ast | $15,372,260 | FMVAllOtherNoncharitableAstAmt |
| Total FMV Of Unused Assets | $28,914,828 | TotalFMVOfUnusedAssetsAmt |
| Acquisition Indebtedness | $0 | AcquisitionIndebtednessAmt |
| Adjusted Total FMV Of Unused Ast | $28,914,828 | AdjustedTotalFMVOfUnusedAstAmt |
| Cash Deemed Charitable | $433,722 | CashDeemedCharitableAmt |
| Net Vl Noncharitable Assets | $28,481,106 | NetVlNoncharitableAssetsAmt |
| Minimum Investment Return | $1,424,055 | MinimumInvestmentReturnAmt |
Distributable Amount DistributableAmountGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Minimum Investment Return | $1,424,055 | MinimumInvestmentReturnAmt |
| Tax Based On Investment Income | $24,972 | TaxBasedOnInvestmentIncomeAmt |
| Income Tax | $58,509 | IncomeTaxAmt |
| Total Tax | $83,481 | TotalTaxAmt |
| Distributable Before Adj | $1,340,574 | DistributableBeforeAdjAmt |
| Distributable Before Ded | $1,340,574 | DistributableBeforeDedAmt |
| Distributable As Adjusted | $1,340,574 | DistributableAsAdjustedAmt |
Qualifying Distri Part XII QualifyingDistriPartXIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expenses And Contributions | $1,357,625 | ExpensesAndContributionsAmt |
| Program Related Invst Total | $0 | ProgramRelatedInvstTotalAmt |
| Charitable Assets Acquis Paid | $0 | CharitableAssetsAcquisPaidAmt |
| Set Aside Suitability Test | $0 | SetAsideSuitabilityTestAmt |
| Set Aside Cash Distri Test | $0 | SetAsideCashDistriTestAmt |
| Qualifying Distributions | $1,357,625 | QualifyingDistributionsAmt |
| Pct Sect4940e Org Net Invst Incm | $0 | PctSect4940eOrgNetInvstIncmAmt |
| Adjusted Qualifying Distri | $1,357,625 | AdjustedQualifyingDistriAmt |
Undistributed Income UndistributedIncomeGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Distributable As Adjusted | $1,340,574 | DistributableAsAdjustedAmt |
| Undistributed Income PY | $1,348,466 | UndistributedIncomePYAmt |
| Prior Year1 | 2018 | PriorYear1Yr |
| Prior Year2 | 2017 | PriorYear2Yr |
| Prior Year3 | 2016 | PriorYear3Yr |
| Qualifying Distributions | $1,357,625 | QualifyingDistributionsAmt |
| Applied To Year1 | $1,348,466 | AppliedToYear1Amt |
| Applied To Current Year | $9,159 | AppliedToCurrentYearAmt |
| Remaining Distri From Corpus | $0 | RemainingDistriFromCorpusAmt |
| Total Corpus | $0 | TotalCorpusAmt |
| Undistributed Income CY | $1,331,415 | UndistributedIncomeCYAmt |
| Excess Distri Cyov To Next Yr | $0 | ExcessDistriCyovToNextYrAmt |
| Excess From Current Year | $0 | ExcessFromCurrentYearAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Private Operating Foundations | PrivateOperatingFoundationsGrp |
Supplementary Information SupplementaryInformationGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contributing Manager | KATHERINE L JUETT | ContributingManagerNm |
| Only Contri To Preselected | Yes (X) | OnlyContriToPreselectedInd |
Grant Or Contribution Pd Dur Yr GrantOrContributionPdDurYrGrp (65 entries)
| Address Line1RecipientUSAddress/AddressLine1Txt | CityRecipientUSAddress/CityNm | State AbbreviationRecipientUSAddress/StateAbbreviationCd | ZIPRecipientUSAddress/ZIPCd | Recipient RelationshipRecipientRelationshipTxt | Recipient Foundation StatusRecipientFoundationStatusTxt | Grant Or Contribution PurposeGrantOrContributionPurposeTxt | AmtAmt |
|---|---|---|---|---|---|---|---|
| ADVISORY BOARD BOOKER T WASHINGTON H S FOR PERFORM | |||||||
| PO BOX 192648 | DALLAS | TX | 75219 | N/A | PC | Patron of the Arts Magnet (PAM) Program | $2,500 |
| AMISTAD MISSION | |||||||
| PO BOX 23030 | NASHVILLE | TN | 37202 | N/A | PC | General & Unrestricted | $5,000 |
| ANCHORED BY FAMILY | |||||||
| 4610 ISABELLA LN | DALLAS | TX | 75229 | N/A | PC | General & Unrestricted | $2,500 |
| BRIGHTER TOMORROWS INC | |||||||
| 928 BLUEBIRD DR | IRVING | TX | 75061 | N/A | PC | Emergency Shelter Program | $10,000 |
| C C YOUNG MEMORIAL HOME | |||||||
| 4847 WESTLAWTHE DR STE 100 | DALLAS | TX | 75214 | N/A | PC | For COVID-19 Related Costs & Expenses | $5,000 |
| CAFE MOMENTUM | |||||||
| 1510 PACIFIC AVE | DALLAS | TX | 75201 | N/A | PC | Ninny's Closet Food Pantry Fund | $2,500 |
| CARRY THE LOAD | |||||||
| 514 S HALL ST | DALLAS | TX | 75226 | N/A | PC | General & Unrestricted | $3,000 |
| CHILDRENS MEDICAL CENTER FOUNDATION | |||||||
| 2777 N STEMMONS FWY STE 1700 | DALLAS | TX | 75207 | N/A | PC | Supporting ER Renovation, Construction and Modernization Project at Children's Medical Center Dallas | $100,000 |
| COMMUNITY MARKET OF POTTAWATOMIE COUNTY INCORPORAT | |||||||
| PO BOX 1694 | SHAWNEE | OK | 74802 | N/A | PC | CEO Education & Professional Development Grant | $5,000 |
| CRISTO REY DALLAS ACADEMIC CENTER | |||||||
| 1064 N SAINT AUGUSTINE DR | DALLAS | TX | 75217 | N/A | SO I | Bill Miller Memorial Fund | $2,500 |
| CRISTO REY DALLAS CORPORATE WORK STUDY PROGRAM INC | |||||||
| 1064 N SAINT AUGUSTINE DR | DALLAS | TX | 75217 | N/A | SO II | Work Study Program | $5,000 |
| DALLAS ARBORETUM & BOTANICAL | |||||||
| 8617 GARLAND RD | DALLAS | TX | 75218 | N/A | PC | General & Unrestricted | $10,000 |
| DALLAS CHILDRENS ADVOCACY CENTER | |||||||
| 5351 SAMUELL BLVD | DALLAS | TX | 75228 | N/A | PC | Art For Advocacy: Patron Level Sponsor | $10,000 |
| DALLAS FIREFIGHTERS MUSEUM INCORPORATED | |||||||
| 3801 PARRY AVE | DALLAS | TX | 75226 | N/A | PC | Capital Campaign | $10,000 |
| DALLAS FOUNDATION A TX NONPROFIT CORPORATION | |||||||
| 3000 PEGASUS PARK DR STE 930 | DALLAS | TX | 75247 | N/A | PC | Aurora Fund: Parking Garage Drive-Thru Exhibit Sponsorship | $10,000 |
| DALLAS FOUNDATION A TX NONPROFIT CORPORATION | |||||||
| 3000 PEGASUS PARK DR STE 930 | DALLAS | TX | 75247 | N/A | PC | Bachman Lake Together Fund: Hello Grant | $2,000 |
| DALLAS FOUNDATION A TX NONPROFIT CORPORATION | |||||||
| 3000 PEGASUS PARK DR STE 930 | DALLAS | TX | 75247 | N/A | PC | Bonton Farms: Seven Pillars Program Grant | $20,000 |
| DALLAS SOCIAL VENTURE PARTNERS | |||||||
| PO BOX 670546 | DALLAS | TX | 75367 | N/A | PC | For Dana Juett Residency and Foundation Partner Membership | $56,000 |
| DALLAS THEATER CENTER | |||||||
| 2400 FLORA ST | DALLAS | TX | 75201 | N/A | PC | General Fund & Benefactor's Circle | $35,000 |
| DAVIDS LEGACY FOUNDATION | |||||||
| PO BOX 90732 | SAN ANTONIO | TX | 78209 | N/A | PC | General & Unrestricted | $2,500 |
| DEEP VELLUM PUBLISHING | |||||||
| 3000 COMMERCE ST | DALLAS | TX | 75226 | N/A | PC | General & Unrestricted | $2,500 |
| DWELL WITH DIGNITY INC | |||||||
| 1127 CONVEYOR LN | DALLAS | TX | 75247 | N/A | PC | General & Unrestricted | $1,500 |
| EPISCOPAL CHURCH OF THE GOOD SHEPHERD OF DALLAS | |||||||
| 11110 MIDWAY RD | DALLAS | TX | 75229 | N/A | PC | Annual Fund Gift for 2020-2021 School Year | $3,000 |
| FOOD FOR THE POOR INC | |||||||
| 6401 LYONS RD | COCONUT CREEK | FL | 33073 | N/A | PC | General & Unrestricted | $2,500 |
| GRACE-BASED FILMS INC | |||||||
| 2460 GRAMERCY PARK | LOS ANGELES | CA | 90018 | N/A | PC | Funding for the Bishop Curry Documentary | $3,000 |
| GRANT HALLIBURTON FOUNDATION INC | |||||||
| 601 HOMEWOOD DR | PLANO | TX | 75025 | N/A | PC | Mental Health Hotline | $5,000 |
| HIGHLAND PARK MIDDLE | |||||||
| 3555 GRANADA AVE | DALLAS | TX | 75205 | N/A | GOV | MIS Raider Hero Sponsor Level (5th Grade) | $10,000 |
| IMPACT CITY INITIATIVE | |||||||
| 2807 ALLEN ST 813 | DALLAS | TX | 75204 | N/A | PC | Sustain Initiative & ADAPT (Installment 2 of 3) | $100,000 |
| IMPACT CITY INITIATIVE | |||||||
| 2807 ALLEN ST 813 | DALLAS | TX | 75204 | N/A | PC | SUSTAIN Initiative (Payment 3 of 3) | $100,000 |
| INTERFAITH FAMILY SERVICES | |||||||
| 1651 MATILDA ST | DALLAS | TX | 75206 | N/A | PC | 2021 Luncheon: Sponsor & Underwriting | $100,000 |
| JOHN S BRADFIELD SCHOOL PARENT TEACHER ASSOCIATION | |||||||
| 4300 SOUTHERN AVE | DALLAS | TX | 75205 | N/A | PC | Diamond Level Sponsor 2020-2021 School Year | $10,000 |
| JUBILEE PARK & COMMUNITY CENTER CORPORATION | |||||||
| 917 BANK ST | DALLAS | TX | 75223 | N/A | PC | General & Unrestricted | $3,100 |
| JULIETTE FOWLER COMMUNITIES INC | |||||||
| 1234 ABRAMS RD | DALLAS | TX | 75214 | N/A | PC | The Ebby House | $4,700 |
| JUST COMMUNITY INC | |||||||
| 1000 RIO GRANDE ST | AUSTIN | TX | 78701 | N/A | PC | SUSTAIN: Phase 2 | $25,000 |
| JUST COMMUNITY INC | |||||||
| 1000 RIO GRANDE ST | AUSTIN | TX | 78701 | N/A | PC | program expansion of JUST into Dallas, Texas | $25,000 |
| LEGACY PARENTING CENTER | |||||||
| PO BOX 3574 | SHAWNEE | OK | 74802 | N/A | PC | General & Unrestricted | $898 |
| LT TODD WESLEY KRODLE MEMORIAL FOUNDATION | |||||||
| 5514 BELMONT AVE | DALLAS | TX | 75206 | N/A | PC | General & Unrestricted | $3,000 |
| MY POSSIBILITIES | |||||||
| 3601 MAPLESHADE LN | PLANO | TX | 75075 | N/A | PC | Reimbursement For Costs Associated With Food Distribution during covid-19 | $2,500 |
| MY POSSIBILITIES | |||||||
| 3601 MAPLESHADE LN | PLANO | TX | 75075 | N/A | PC | Educational Gap- HIPster Sponsor (4 People) | $20,000 |
| MY POSSIBILITIES | |||||||
| 3601 MAPLESHADE LN | PLANO | TX | 75075 | N/A | PC | MPACT Officer Grant | $115,000 |
| MY POSSIBILITIES | |||||||
| 3601 MAPLESHADE LN | PLANO | TX | 75075 | N/A | PC | For Continued Support & Belief In The MPACT Program | $30,000 |
| NET FORT WORTH INC | |||||||
| PO BOX 470928 | FORT WORTH | TX | 76147 | N/A | PC | General & Unrestricted | $2,500 |
| NETWORK FOR TEACHING ENTREPRENEURSHIP | |||||||
| 201 N BRAND BLVD STE 200 | GLENDALE | CA | 91203 | N/A | PC | Dallas Independent School District: P-TECH Program | $5,000 |
| ORLANDO LAND TRUST INC | |||||||
| PO BOX 2346 | ORLANDO | FL | 32802 | N/A | PC | Grandmother's Legacy of Love | $2,500 |
| PARISH EPISCOPAL SCHOOL | |||||||
| 4101 SIGMA RD | DALLAS | TX | 75244 | N/A | PC | Performing Arts Center (Payments 2 & 3 of 5) | $10,000 |
| PARISH EPISCOPAL SCHOOL | |||||||
| 4101 SIGMA RD | DALLAS | TX | 75244 | N/A | PC | Performing Arts Center | $11,000 |
| PEGASUS FOUNDATION DBA DALLAS INSTITUTE OF HUMAN | |||||||
| 2719 ROUTH ST | DALLAS | TX | 75201 | N/A | PC | General & Unrestricted | $35,000 |
| PEGASUS FOUNDATION DBA DALLAS INSTITUTE OF HUMAN | |||||||
| 2719 ROUTH ST | DALLAS | TX | 75201 | N/A | PC | Matching Grant Opportunity- General Fund | $10,000 |
| PHILANTHROPY SOUTHWEST | |||||||
| 624 NORTH GOOD-LATIMER EXPY | DALLAS | TX | 75204 | N/A | PC | Annual Membership- 2020 | $1,700 |
| SAINT MICHAEL EPISCOPAL SCHOOL | |||||||
| 8011 DOUGLAS AVE | DALLAS | TX | 75225 | N/A | PC | School Auction Sponsorship 2020/2021 School Year | $10,000 |
| SALESMANSHIP CLUB CHARITABLE GOLF OF DALLAS INC | |||||||
| 106 E 10TH ST 200 | DALLAS | TX | 75203 | N/A | PC | General & Unrestricted | $5,000 |
| SECOND THOUGHT THEATRE | |||||||
| 3839 MCKINNEY AVE STE 155452 | DALLAS | TX | 75204 | N/A | PC | General & Unrestricted | $10,000 |
| SOUTHERN METHODIST UNIVERSITY | |||||||
| PO BOX 750181 | DALLAS | TX | 75275 | N/A | PC | SMU-in-Taos Scholarship Fund | $25,000 |
| SOUTHERN METHODIST UNIVERSITY | |||||||
| PO BOX 750181 | DALLAS | TX | 75275 | N/A | PC | TEDxKids@SMU Event 2020 | $5,000 |
| SOUTHERN METHODIST UNIVERSITY - ATHLETICS | |||||||
| PO BOX 750305 | DALLAS | TX | 75275 | N/A | PC | General & Unrestricted | $3,000 |
| TACA INC | |||||||
| 1722 ROUTH ST STE 800 | DALLAS | TX | 75201 | N/A | PC | TACA Silver Cup Award Luncheon: Table Sponsor | $5,000 |
| TEXAS TECH FOUNDATION INC | |||||||
| PO BOX 45025 | LUBBOCK | TX | 79409 | N/A | PC | Talkington College of the Arts | $25,000 |
| THE BIRTHDAY PARTY PROJECT | |||||||
| 2143 FARRINGTON ST | DALLAS | TX | 75207 | N/A | PC | General & Unrestricted | $7,500 |
| THE UNIVERSITY OF TEXAS AT DALLAS CENTER FOR BRAIN | |||||||
| 2200 W MOCKINGBIRD LN | DALLAS | TX | 75235 | N/A | GOV | Stress Resilience For The Front Line Fund | $25,000 |
| TREY ATHLETES | |||||||
| 3131 MAIN ST APT 1515 | DALLAS | TX | 75226 | N/A | PC | Congratulations On The United Way Pitch WIN! | $2,500 |
| TRUST FOR PUBLIC LAND | |||||||
| 101 MONTGOMERY ST STE 900 | SAN FRANCISCO | CA | 94104 | N/A | PC | North Texas Office: Alice Branch Creek Project | $75,000 |
| UNIVERSITY PARK SCHOOL PARENT- TEACHER ASSOCIATION | |||||||
| 3505 AMHERST AVE | DALLAS | TX | 75225 | N/A | PC | General & Unrestricted | $20,000 |
| UNIVERSITY PARK SCHOOL PARENT- TEACHER ASSOCIATION | |||||||
| 3505 AMHERST AVE | DALLAS | TX | 75225 | N/A | PC | UP All Night Sponsorship | $1,000 |
| URBAN TEACHER CENTER | |||||||
| 1800 WASHINGTON BLVD STE 411 | BALTIMORE | MD | 21230 | N/A | PC | Dallas Branch- Hello Grant | $1,000 |
| VISITING NURSE ASSOCIATION OF TEXAS | |||||||
| 1420 W MOCKINGBIRD LN STE 700 | DALLAS | TX | 75247 | N/A | PC | Meals on Wheels Program | $50,000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Grant Or Contri Pd Dur Yr | $1,212,898 | TotalGrantOrContriPdDurYrAmt |
Analysis Income Producing Acty AnalysisIncomeProducingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Fees Contracts From Govt Ag | FeesContractsFromGovtAgGrp | |
| Membership Dues And Assmnt | MembershipDuesAndAssmntGrp |
Int On Sav And Temp Cash Invst IntOnSavAndTempCashInvstGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $2,369 | ExclusionAmt |
Div And Int From Sec Part VII DivAndIntFromSecPartVIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $304,650 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Net Rntl Incm Re Debt Fincd Prop | NetRntlIncmReDebtFincdPropGrp | |
| Net Rntl Incm Re Not Debt Fincd Prop | NetRntlIncmReNotDebtFincdProp | |
| Net Rental Income Personal Prop | NetRentalIncomePersonalPropGrp | |
| Other Investment Incm Part VII | OtherInvestmentIncmPartVIIGrp |
Gain Sales Ast Oth Than Invntry GainSalesAstOthThanInvntryGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business | 525990 | BusinessCd |
| Unrelated Business Taxbl Incm | $119,315 | UnrelatedBusinessTaxblIncmAmt |
| Exclusion | 18 | ExclusionCd |
| Exclusion | $1,350,683 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Net Income Loss From Special Evt | NetIncomeLossFromSpecialEvtGrp | |
| Gross Profit Loss Sls Of Invntry | GrossProfitLossSlsOfInvntryGrp |
Other Revenue Described OtherRevenueDescribedGrp (3 entries)
| DescDesc | BusinessBusinessCd | Unrelated Business Taxbl IncmUnrelatedBusinessTaxblIncmAmt | ExclusionExclusionCd | ExclusionExclusionAmt |
|---|---|---|---|---|
| K-1 Inc/Loss | 525990 | $79,186 | 14 | $585,278 |
| Federal Tax Refund | 01 | $1,734 | ||
| Sec 751 Gain on Sale of Ptshp | 525990 | $156,016 |
Subtotals Incm Producing Acty SubtotalsIncmProducingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Unrelated Business Taxbl Incm | $354,517 | UnrelatedBusinessTaxblIncmAmt |
| Exclusion | $2,244,714 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Income Producing Acty | $2,599,231 | TotalIncomeProducingActyAmt |
Trnsfr Trans Rln Nonchrtbl EO TrnsfrTransRlnNonchrtblEOGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trnsfr Of Cash To Nonchrtbl EO | false | TrnsfrOfCashToNonchrtblEOInd |
| Trnsfr Other Asset Nonchrtbl EO | false | TrnsfrOtherAssetNonchrtblEOInd |
| Sales Or Exchanges Of Assets | false | SalesOrExchangesOfAssetsInd |
| Purchase Of Assets Nonchrtbl EO | false | PurchaseOfAssetsNonchrtblEOInd |
| Rental Of Facilities Oth Assets | false | RentalOfFacilitiesOthAssetsInd |
| Reimbursement Arrangements | false | ReimbursementArrangementsInd |
| Loans Or Loan Guarantees | false | LoansOrLoanGuaranteesInd |
| Performance Of Services Etc | false | PerformanceOfServicesEtcInd |
| Sharing Of Facilities Etc | false | SharingOfFacilitiesEtcInd |
| Relationships Nonchrtbl EO | false | RelationshipsNonchrtblEOInd |
Depreciation Schedule DepreciationSchedule
Expenditure Responsibility Stmt ExpenditureResponsibilityStmt
Expenditure Responsibility ExpenditureResponsibilityGrp
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | SUSTAIN Initiative LLC | BusinessNameLine1Txt |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 2807 Allen St 813 | AddressLine1Txt |
| City | Dallas | CityNm |
| State Abbreviation | TX | StateAbbreviationCd |
| ZIP | 75226 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Grant | 2019-12-10 | GrantDt |
| Grant | $250,000 | GrantAmt |
| Purpose Of Grant | PRI INVEST-SEE GENERAL EXPLANATION FOR PURPOSE & ADDTL DETAILS RE AMT EXPENDED & LACK OF DIVERSION | PurposeOfGrantTxt |
| Any Diversion By Grantee | NO | AnyDiversionByGranteeTxt |
| Dates Of Reports By Grantee | 01/08/2021 | DatesOfReportsByGranteeTxt |
| Results Of Verification | THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OR RELIABILITY OF THE REPORT FROM THE GRANTEE; THEREFORE, NO INDEPENDENT VERIFICATION OF THE REPORT WAS MADE. | ResultsOfVerificationTxt |
General Explanation Attachment GeneralExplanationAttachment
General Explanation GeneralExplanationGrp (2 entries)
| IdentifierIdentifierTxt | Form And Line ReferenceFormAndLineReferenceDesc | Medium ExplanationMediumExplanationTxt |
|---|---|---|
| PART I LINE 6A | part I line 6A | PART I LINE 6A (990-PF) - RECONCILIATION OF NET GAIN/(LOSS) FROM SALES OF ASSETS NOT INCLUDED IN PART IV TOTAL INCLUDED IN PART IV: (DETAILS BELOW) NET GAIN/(LOSS): $1,350,683 TOTAL NOT INCLUDED IN PART IV: PASSTHROUGH K-1 CAPITAL GAIN/(LOSS) - UBI NET GAIN/(LOSS): $119,315 TOTAL PART I, LINE 6A: $1,469,998 DETAILS OF ASSETS INCLUDED IN PART IV: PUBLICLY-TRAIDED SECURITIES GROSS SALES PRICE: $17,439,938 BOOK BASIS: $16,331,806 NET GAIN/(LOSS): $1,108,132 PASSTHROUGH K-1 CAPITAL GAIN/(LOSS) - NON UBI NET GAIN/(LOSS): $398,567 SECTION 751 GAIN ON SALE OF PARTNERSHIP - RECLASS NET GAIN/(LOSS): $(156,016) |
| FORM 990-PF, PART VII-B, LINE 5C - EXPENDITURE RESPONSIBILITY | FORM 990-PF, PART VII-B, LINE 5C - EXPENDITURE RESPONSIBILITY | PRI RECIPIENT: SUSTAIN Initiative , LLC DATE OF PRI: 12/10/2019 PURPOSE OF PRI: To support social impact organizations in developing long-term financial sustainability and thereby increase their social impact. REPORTS OF AMOUNTS EXPENDED: RECIPIENT HAS SUBMITTED A FULL AND COMPLETE FINANCIAL REPORT OF THE TYPE ORDINARILY REQUIRED BY COMMERCIAL INVESTORS UNDER SIMILAR CIRCUMSTANCES AND A STATEMENT THAT IT HAS COMPLIED WITH THE TERMS OF THE INVESTMENT FOR ITS FISCAL YEAR INDICATED BELOW: DATE OF REPORT: 01/08/2021 FOR FYE 12/31/2019 THIS INVESTMENT REMAINED ON THE FOUNDATION'S BOOKS AS OF 12/31/2020. DIVERSIONS: TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED TO ANY ACTIVITY OTHER THAN THE ACTIVITY FOR WHICH THE INVESTMENT WAS ORIGINALLY MADE. |
Investments Corp Bonds Schedule InvestmentsCorpBondsSchedule
Investments Corporate Bonds InvestmentsCorporateBondsGrp (25 entries)
| BondBondNm | EOY Book ValueEOYBookValueAmt | EOYFMVEOYFMVAmt |
|---|---|---|
| AMERICAN EXPRESS CO - 5.200% - | $8,575 | $9,913 |
| ARES CAPITAL CORP NOTE - 3.250 | $8,903 | $9,538 |
| BANK NEW YORK MELLONCORP BOND | $12,123 | $13,234 |
| BOEING CO NOTE - 4.508% - 05/0 | $40,212 | $43,231 |
| BP CAP MKTS P L C NOTE PERPETU | $48,833 | $52,438 |
| CAPITAL ONE FINL CORP NOTE - 2 | $12,014 | $12,574 |
| CITIGROUP INC - 4.675% - 12/29 | $5,019 | $5,008 |
| CITIGROUP INC - 5.950% - 12/29 | $14,890 | $14,925 |
| CITIGROUP INC BOND PERPETUAL - | $9,000 | $9,236 |
| CITIGROUP INC BOND PERPETUAL - | $8,672 | $11,303 |
| CITIZENS FINANCIAL GROUP INC - | $24,000 | $26,945 |
| ENERGY TRANSFER OPERATING LP B | $13,032 | $12,350 |
| FIFTH THIRD BANCORP BOND PERPE | $12,000 | $12,762 |
| GENERAL MTRS CO - 2.790% - 09/ | $38,437 | $39,045 |
| GENERAL MTRS FINL CO INC NOTE | $10,995 | $12,061 |
| HUNTINGTON BANCSHARES INC PERP | $5,512 | $5,838 |
| METLIFE - 5.250% - 12/31/2049 | $6,014 | $5,970 |
| MPLX LP BOND PERPETUAL - 6.875 | $21,480 | $21,230 |
| OAKTREE SPECIALTY LENDING CORP | $6,877 | $7,248 |
| PPL CAP FDG BOND - 6.700% - 03 | $1,950 | $2,587 |
| REGIONS FINANCIAL CORP - 5.750 | $28,312 | $31,192 |
| SCHWAB CHARLES CORP BOND PERPE | $33,042 | $35,640 |
| SEMPRA ENERGY BOND PERPETUAL - | $55,452 | $58,780 |
| TRUIST FINL CORP BOND PERPETUA | $23,000 | $26,278 |
| VALERO ENERGY CORP NOTE - 2.70 | $13,096 | $13,567 |
Investments Corp Stock Schedule InvestmentsCorpStockSchedule
Investments Corporate Stock InvestmentsCorporateStockGrp (444 entries)
| StockStockNm | EOY Book ValueEOYBookValueAmt | EOYFMVEOYFMVAmt |
|---|---|---|
| ABBVIE INC | $9,473 | $10,608 |
| ACCELERON PHARMA INC | $12,922 | $19,575 |
| ACCENTURE PLC | $42,458 | $70,265 |
| ACI WORLDWIDE INC | $7,293 | $10,222 |
| ACUSHNET HOLDINGS CORP | $17,630 | $29,027 |
| ADAPTEC, INC | $4,919 | $9,638 |
| ADECCO S.A. UNSP/ADR | $33,826 | $36,930 |
| ADOBE SYSTEMS, INC | $20,890 | $29,007 |
| ADVANCED ENERGY IND INC | $12,112 | $22,109 |
| AGCO CP | $18,266 | $31,752 |
| AGNCP | $28,141 | $29,050 |
| AGREE REALTY CORP | $12,001 | $13,582 |
| AIA GROUP LTD ADR | $70,409 | $92,757 |
| AIRBUS GROUP | $21,610 | $31,336 |
| ALBANY INTERNATIONAL CORP | $9,634 | $12,555 |
| ALCON INC | $25,727 | $30,087 |
| ALIBABA GROUP HOLDING LTD | $187,611 | $206,897 |
| ALLETE INC | $19,414 | $18,520 |
| ALLIANZGI CVT AND INCOME PFD S | $9,661 | $9,877 |
| ALPHABET INC CL A | $54,643 | $68,353 |
| AMADEUS IT HLDS SA | $15,238 | $16,155 |
| AMAZON COM | $70,391 | $117,249 |
| AMCOR LTD ORD SHS | $13,618 | $14,771 |
| AMDOCS LIMITED | $24,722 | $27,450 |
| AMERICAN CAPITAL AGENCY CORP | $9,828 | $10,374 |
| AMERICAN ELECTRIC POWER INC | $12,206 | $12,241 |
| AMERICAN EXPRESS CO | $7,420 | $13,905 |
| AMERICAN TOWER REIT INC | $24,001 | $22,446 |
| AMERIPRISE FINANCIAL INC | $27,146 | $37,894 |
| AMERISOURCEBERGEN CORP | $9,628 | $11,731 |
| AMGEN INC | $31,970 | $31,039 |
| ANGLO AM PLC ADR | $34,511 | $49,896 |
| ANNALY CAPITAL MANAGEMENT PFD | $22,555 | $24,464 |
| APPLE INC | $47,591 | $57,720 |
| APTIV PLC | $12,445 | $25,146 |
| ARES MANAGEMENT PFD 7% SERIES | $24,714 | $25,142 |
| ARROWHEAD PHARMACEUTICALS INC | $8,055 | $33,071 |
| ASE TECHNOLOGY HOLDINGS CO LTD | $22,898 | $26,665 |
| ASHTEAD GROUP PLC | $6,751 | $13,265 |
| ASM PACIFIC TECH | $32,026 | $30,219 |
| ASML HOLDING NV NY REG SHS | $27,695 | $61,940 |
| ASSURED GUARANTY LTD | $15,595 | $14,800 |
| AT&T 5.625% 08/01/2067 | $3,127 | $3,321 |
| ATRICURE, INC. | $15,003 | $17,313 |
| AVERY DENNISON CORP | $13,407 | $20,475 |
| BAC CAPITAL PFD 6.20% | $2,921 | $2,824 |
| BAC CAPITAL TR X - 6.250% - 03 | $5,532 | $5,641 |
| BAE SYSTEMS PLC | $26,631 | $24,055 |
| BANCO BRADESCO S.A. SPONS ADR | $30,117 | $32,822 |
| BANK OF AMERICA PREF A | $10,935 | $10,668 |
| BANK OZK | $23,284 | $29,581 |
| BAOZUN INC | $7,298 | $8,175 |
| BARRICK GOLD CORPORATION | $17,859 | $22,028 |
| BAUSCH HEALTH COS INC | $25,030 | $29,598 |
| BEIERSDORF AG ADR EACH REPR 0. | $14,041 | $15,430 |
| BIO RAD LABS INC CL A | $9,279 | $19,237 |
| BIOHAVEN PHARMACEUTICAL HOLDIN | $6,772 | $14,056 |
| BIOMARIN PHARMACEUTICAL INC | $6,129 | $7,103 |
| BLACKLINE INC | $8,406 | $18,673 |
| BLACKROCK CORPORATE HIGH YIELD | $28,668 | $32,381 |
| BLACKROCK CREDIT ALLOCATION IN | $5,973 | $6,384 |
| BLACKROCK INC | $24,199 | $31,026 |
| BLACKROCK LTD DUR IN | $6,101 | $5,938 |
| BLACKROCK MULTI-SECTOR INCOME | $992 | $1,316 |
| BLACKROCK MUNICIPLAL INCOME TR | $8,212 | $9,267 |
| BLACKROCK MUNIVEST FUND | $12,016 | $12,719 |
| BLACKROCK MUNIYIELD QUALITY FU | $20,795 | $22,499 |
| BLUEBIRD BIO INC | $16,189 | $7,399 |
| BOOKING HOLDINGS INC | $28,977 | $35,636 |
| BRAMBLES LTD UNSP AD | $36,349 | $39,670 |
| BRITISH AMERICAN TOBACCO PLC | $12,996 | $11,734 |
| BROADCOM INC | $19,450 | $50,791 |
| BROOKFIELD RENEWABLE PFD CL A | $16,628 | $18,469 |
| BRUNSWICK CORP | $18,205 | $30,039 |
| BT GROUP PLC | $10,757 | $13,193 |
| CABLE ONE INC | $30,189 | $33,416 |
| CADENCE DESIGN SYSTEMS INC | $12,844 | $13,370 |
| CALRSBERG AS SP ADR REP B | $47,255 | $67,055 |
| CAMDEN PPTY TR | $4,301 | $4,596 |
| CANADIAN NATL RAILWAY CO | $26,458 | $38,667 |
| CAP GEMINI SA UNSP/ADR | $25,117 | $32,711 |
| CATHAY GENERAL BANCORP | $16,040 | $17,705 |
| CGI INC | $33,121 | $49,252 |
| CHAMPIONX CORP | $14,485 | $18,391 |
| CHARLES SCHWAB CORP | $12,249 | $20,686 |
| CHEGG INC | $6,338 | $20,234 |
| CHINA MENGNIU DAIRY COMPANY AD | $13,744 | $22,775 |
| CHINA MERCHANTS BANK | $27,309 | $35,022 |
| CHUBB LIMITED | $28,081 | $35,863 |
| CHUNGHWA TELECOM | $21,124 | $22,670 |
| CHURCHILL DOWNS INC | $12,021 | $25,907 |
| CIENA CORP | $10,156 | $10,517 |
| CIMAREX ENERGY CO | $16,812 | $16,579 |
| CISCO SYSTEMS INC | $50,833 | $57,056 |
| COGENT COMMUNICATIONS GROUP, I | $7,374 | $5,209 |
| COGNIZANT TECHNOLOGY SOLUTIONS | $15,992 | $19,176 |
| COHEN AND STEERS LIMITED DURAT | $10,210 | $10,959 |
| COMCAST CORP | $50,652 | $67,701 |
| COMFORT SYSTEMS USA INC | $4,686 | $5,213 |
| COMPAGNIE DE SAINT G | $34,552 | $38,827 |
| CONMED CORPORATION | $14,147 | $21,728 |
| CONOCOPHILLIPS | $5,034 | $4,519 |
| CONTL AG SPONS ADR | $15,229 | $17,758 |
| COSTCO WHOLESALE CORPORATION | $18,300 | $25,998 |
| CRANE CO | $20,539 | $27,026 |
| CREDICORP LTD | $37,893 | $30,344 |
| CRITEO SA | $11,499 | $13,106 |
| CSL LTD | $8,694 | $12,006 |
| CULLEN FROST BANKERS INC | $10,948 | $14,655 |
| DAIRY FARM INTERNATIONAL ADR | $20,083 | $18,537 |
| DANAHER CORP | $13,805 | $19,104 |
| DBS GROUP HLDGS SPON ADR | $29,760 | $35,515 |
| DEBT STRATEGY FUND | $5,674 | $5,570 |
| DEUTSCHE BOERSE ADR | $50,097 | $65,690 |
| DEUTSCHE POST AG | $39,017 | $46,850 |
| DIAGEO PLC ADS | $20,703 | $25,727 |
| DIAMONDBACK ENERGY INC | $3,773 | $7,599 |
| DICK'S SPORTING GDS | $11,768 | $19,168 |
| DISCOVERY INC (FORMERLY DISC C | $11,565 | $12,362 |
| DNB NOR ASA SPONSOR ADR | $31,944 | $41,357 |
| DOLBY LABORATORIES | $15,149 | $21,369 |
| DOLLAR GENERAL CORP | $14,173 | $15,983 |
| DONALDSON CO. INC | $4,669 | $6,706 |
| DR. REDDY'S LAB LTD | $22,182 | $28,445 |
| DUKE ENERGY DRC | $12,667 | $13,371 |
| EAST WEST BANCORP, INC | $20,842 | $29,919 |
| EASTGROUP PROPERTIES INC | $11,135 | $15,049 |
| EATON VANCE LIMITED DURATION I | $1,543 | $1,829 |
| EATON VANCE MUNICIPAL BOND FUN | $20,577 | $21,502 |
| ECOLAB INC | $13,793 | $19,472 |
| ELECTRONIC ARTS | $9,190 | $13,211 |
| ELI LILLY & CO | $4,979 | $6,416 |
| EMCOR GROUP INC | $14,238 | $19,390 |
| EMPIRE STATE REALTY TRUST | $9,345 | $11,454 |
| ENEL SOCIETA PER AZI | $22,897 | $34,185 |
| ENERGIZER HOLDINGS INC | $12,716 | $13,624 |
| ENN ENERGY HOLDINGS LIMITED | $16,986 | $22,669 |
| ENPRO INDUSTRIES INC | $4,456 | $7,174 |
| ENTEGRIS INC MINNESOTA | $12,635 | $33,058 |
| ENTERGY LA LLC PFD - 4.875% - | $6,702 | $7,036 |
| ENTERGY MISSISSIPPI INC PFD - | $1,493 | $1,696 |
| ENVESTNET INC | $9,454 | $14,894 |
| EQUATORIAL ENERGIA | $24,686 | $18,838 |
| EQUINOR ASA | $14,292 | $13,136 |
| ERSTE GROUP BANK AG | $8,727 | $11,378 |
| ESTEE LAUDER COMPANIES INC | $6,754 | $9,583 |
| ETSY INC | $13,725 | $52,128 |
| EVERBRIDGE INC | $13,321 | $19,975 |
| EXACT SCIENCES CORPORATION | $10,021 | $19,079 |
| EXELIXIS, INC. | $17,460 | $17,541 |
| EXELON CORPORATION | $10,709 | $13,088 |
| EXLSERVICE HOLDINGS INC | $7,088 | $11,322 |
| EXXON MOBIL CORP | $2,378 | $2,267 |
| FABRINET INC | $24,995 | $34,295 |
| FACEBOOK INC | $40,932 | $62,280 |
| FANUC LIMITED UNSPONSORED | $30,767 | $49,503 |
| FEDERAL AGRICULTURAL MORTGAGE | $7,413 | $8,093 |
| FIBROGEN INC | $12,675 | $11,238 |
| FIDELITY NATIONAL FINANCIAL IN | $22,915 | $29,357 |
| FIDELITY NATIONAL INFORMATION | $23,106 | $23,199 |
| FIRST TRUST HIGH INCOME LONG S | $5,872 | $5,746 |
| FIRST TRUST INTERMEDIATE DURAT | $5,181 | $5,724 |
| FLUTTER ENTMT PLC ADR | $22,031 | $42,137 |
| FOMENTO ECONOMICO MEXICANO | $22,484 | $18,033 |
| FOUR CORNERS PROPERTY TRUST IN | $9,588 | $13,009 |
| FULLER H B CO | $4,012 | $5,136 |
| GEN DYNAMICS CP | $12,988 | $15,626 |
| GENMAB A/S SPON | $6,837 | $13,418 |
| GLAXOSMITHKLINE PLC | $20,736 | $20,350 |
| GLOBE LIFE INC | $9,495 | $14,529 |
| GMAC CAPITAL TRUST I - 8.125% | $20,170 | $21,829 |
| GROUPE DANONE ADS | $33,976 | $27,523 |
| GRUPO AEROPORTUARIO DEL ADR | $16,919 | $23,037 |
| GUARDANT HEALTH INC | $8,234 | $16,110 |
| GUIDEWIRE SOFTWARE INC | $5,121 | $7,466 |
| H LUNDBECK A/S UNSPON ADR | $7,269 | $7,211 |
| HARTFORD FINANCIALSERVICES GRO | $14,356 | $17,878 |
| HARTFORD FINL SVCS GRP PFD - 7 | $8,561 | $8,670 |
| HASBRO INC | $17,123 | $20,579 |
| HDFC BANK LTD ADR | $77,602 | $107,956 |
| HEINEKEN N V S ADR | $31,527 | $35,123 |
| HENKEL & KGAA PREF SHS | $8,729 | $9,354 |
| HESS CORP | $10,116 | $10,083 |
| HILL-ROM HOLDINGS, INC | $16,248 | $16,165 |
| HITACHI LTD | $28,056 | $32,236 |
| HOLLYFRONTIER CORP | $9,705 | $8,815 |
| HOLLYSYS AUTOMATION TECHNOLOGI | $11,458 | $11,223 |
| HOME DEPOT INC | $45,668 | $56,311 |
| HONDA MOTOR CO LTD | $5,130 | $5,226 |
| HONEYWELL INTL | $13,265 | $19,143 |
| HONG KONG EX&CL UNSP/ADR | $20,510 | $32,078 |
| HOYA CORP SPONS ADR | $22,673 | $37,751 |
| HUBBELL INCORPORATED | $8,686 | $12,073 |
| HUNTINGTON INGALLS INDUSTRIES | $13,650 | $13,127 |
| HUNTSMAN CORP | $11,942 | $17,724 |
| HYATT HOTELS CORP | $12,190 | $17,300 |
| ICICI BK LTD ADS | $46,619 | $51,163 |
| ICON PLC - AMERICAN DEPOSITARY | $19,901 | $24,762 |
| IDACORP INC HLDG CO | $5,340 | $5,282 |
| INARI MEDICAL INC | $10,518 | $13,879 |
| INDUSTRIA DE DISENO | $46,093 | $47,799 |
| INFOSYS TECH LTD SPD ADR | $30,800 | $50,087 |
| INGERSOLL-RAND INC | $7,888 | $14,260 |
| INGREDION INC | $32,545 | $32,333 |
| INPHI CORPORATION | $4,804 | $8,024 |
| INSPERITY INC | $13,505 | $16,447 |
| INTEL CORP | $35,808 | $33,080 |
| INTERCONTINENTAL EXCHANGE, INC | $12,670 | $14,988 |
| INTERPUBLIC GROUP OF COS | $5,746 | $7,315 |
| INVESCO MUNICIPAL OPPORTUNITY | $22,081 | $23,166 |
| INVESCO MUNICIPAL TRUST | $13,935 | $14,679 |
| INVESCO SENIOR INCOME TRUST | $27,307 | $26,371 |
| INVESCO TRUST FOR INVESTMENT G | $7,515 | $8,124 |
| IRADIMED CORP | $3,386 | $3,283 |
| IRHYTHM TECHNOLOGIES INC | $10,839 | $32,023 |
| ISHARES 0 5 YEAR HIGH YIELD CO | $30,751 | $30,990 |
| ISHARES S&P U.S. PREFERRED STO | $45,747 | $49,601 |
| ITT INC | $9,237 | $14,095 |
| JAMES RIVER GROUP HOLDINGS LTD | $16,909 | $22,265 |
| JD.COM, INC | $75,504 | $97,305 |
| JERONIMO MARTINS | $19,653 | $19,363 |
| JOHN HANCOCK PREMIUM DIVIDEND | $8,166 | $8,601 |
| JOHNSON & JOHNSON | $50,744 | $59,647 |
| JP MORGAN CHASE | $27,743 | $33,674 |
| JP MORGAN CHASE AND CO PF SER | $752 | $778 |
| JULIUS BAER GROUP LTD | $24,991 | $31,455 |
| KBC GROUP SA UNSP ADR | $29,996 | $31,227 |
| KBC GROUP SA/NV SHS | $9,341 | $10,302 |
| KEYSIGHT TECHNOLOGIES INC | $14,901 | $18,228 |
| KNORR BREMSE ADR | $21,842 | $26,476 |
| KOITO MANUFACTURING | $21,927 | $29,079 |
| KOMATSU LTD | $58,132 | $68,757 |
| KONINKLIJKE AHOLD DELHAIZE NV | $31,821 | $39,804 |
| KONINKLIJKE PHILIPS ELECTRONIC | $28,121 | $30,606 |
| KROGER CO | $8,707 | $10,481 |
| KUENE & NAGEL INTL AG ADR | $21,435 | $31,206 |
| L'AIR LIQUIDE ADR OTC | $27,162 | $29,173 |
| LABORATORY CORP AMER HLDGS | $3,929 | $4,682 |
| LAIDLAW INTL | $7,836 | $7,006 |
| LCI INDUSTRIES | $15,101 | $27,752 |
| LEIDOS HOLDINGS INC | $8,749 | $10,407 |
| LHC GROUP | $10,168 | $21,759 |
| LIBERTY MEDIA CORPORATION - SE | $5,110 | $6,901 |
| LINCOLN ELECTRIC HOLDING INC | $12,340 | $18,368 |
| LINDE PLC COM | $48,934 | $73,519 |
| LITHIA MOTORS INC CL A | $12,974 | $14,341 |
| LITTELFUSE, INC | $14,284 | $24,193 |
| LOCALIZA RENT A CAR SA | $22,085 | $24,549 |
| LOCKHEED MARTIN CORP | $24,806 | $25,559 |
| LOGITECH INTERNATIONAL | $6,252 | $14,190 |
| LONGFOR PROPERTIES UNSP ADR | $15,346 | $18,206 |
| LOWES COMPANIES INC | $25,554 | $41,893 |
| LVMH MOET HENN UNSP | $12,744 | $18,710 |
| LYFT INC | $4,697 | $8,745 |
| MANTECH INTERNATIONAL CORP | $4,129 | $5,247 |
| MARSH AND MCLENNAN COMPANIES I | $34,478 | $43,992 |
| MATERION CORP | $4,629 | $6,308 |
| MCDONALD'S CORP | $22,231 | $33,474 |
| MCKESSON CORP | $10,305 | $12,174 |
| MEDIA GENERAL CL A | $8,249 | $8,669 |
| MEDICAL PROPERTIES TRUST, INC | $10,262 | $14,098 |
| MEDTRONIC PLC | $71,455 | $87,269 |
| MERCADOLIBRE, INC | $7,696 | $25,128 |
| MERCK KGAA SPON ADR EACH REPR | $35,765 | $46,984 |
| MICRON TECHNOLOGY | $6,874 | $15,186 |
| MICROSOFT CORP | $151,304 | $210,188 |
| MIRATI THERAPEUTICS INC | $2,379 | $6,150 |
| MKS INSTRUMENTS, INC | $16,881 | $30,692 |
| MOBILE TELSYS OJSC | $17,997 | $15,582 |
| MOHAWK INDS INC | $12,888 | $21,565 |
| MOMO INC | $26,162 | $13,779 |
| MONDELEZ INTERNATIONAL INC | $34,136 | $41,572 |
| MONDI PLC | $6,907 | $7,357 |
| MONOLITHIC POWER SYSTEMS, INC | $3,126 | $6,592 |
| MSA SAFETY INCORPORATED | $19,281 | $32,119 |
| MURATA MFG INC UNSP/ADR | $20,427 | $31,656 |
| NASPERS LTD N SPONS ADR | $48,117 | $55,880 |
| NATERA INC | $4,661 | $15,724 |
| NATIONAL GRID TRANSCO PLC | $7,246 | $8,028 |
| NATIONAL INSTRUMENTS CORPORATI | $9,791 | $10,018 |
| NATIONAL RURAL UTIL - 5.50% - | $12,690 | $14,172 |
| NATL FUEL GAS CO | $7,309 | $7,033 |
| NATL HEALTH INVESTOR | $8,338 | $9,061 |
| NESTE ORD SHS | $8,747 | $19,765 |
| NESTLE S.A | $35,946 | $38,756 |
| NETEASE.COM INC COM STK | $24,022 | $32,562 |
| NETWORK INTERNATIONAL HOLDINGS | $21,374 | $20,656 |
| NEW ORIENTAL ED & TECHNOLOGY G | $27,847 | $43,665 |
| NEW YORK TIMES CO CL A | $15,082 | $24,798 |
| NEXTERA ENERGY, INC | $14,123 | $18,670 |
| NIDEC CORPORATION ADR | $6,242 | $14,867 |
| NINTENDO CO LTD ADR UNSPON | $5,495 | $12,239 |
| NIPPON TELEGRAPH & TELEPHONE C | $6,235 | $6,451 |
| NORDEA BANK ABP | $38,161 | $34,166 |
| NORDSON CP | $13,257 | $21,904 |
| NOVARTIS AG ADR | $41,889 | $45,799 |
| NOVO NORDISK A S | $15,944 | $19,069 |
| NOVOCURE LTD | $6,394 | $25,956 |
| NUVEEN AMT FREE QUALITY MUNICI | $41,473 | $44,696 |
| NUVEEN CREDIT STRATEGIES INCOM | $31,089 | $27,599 |
| NUVEEN DIVIDEND ADVANTAGE MUNI | $42,076 | $45,234 |
| NUVEEN MLT STR I&G | $9,052 | $10,108 |
| NUVEEN MUNI VALUE FUND INC | $2,150 | $2,276 |
| NUVEEN QUALITY PREFERRED INC F | $10,676 | $11,647 |
| NVENT ELECTRIC PLC | $14,165 | $17,351 |
| NXP SEMICONDUCTORS | $5,100 | $10,654 |
| O'REILLY AUTOMOTIVE INC | $17,160 | $19,461 |
| OIL CO LUKOIL PJSC SPON ADR RE | $43,256 | $29,805 |
| OLYMPUS CORP S/ADR | $33,810 | $34,842 |
| ONE GAS INC | $3,612 | $3,148 |
| OPEN TEXT CORP | $18,049 | $20,548 |
| ORIX CORP ADS | $8,245 | $9,898 |
| PACKAGING CORP AMER | $11,909 | $19,445 |
| PAGSEGURO DIGITAL LTD. | $10,501 | $18,429 |
| PAPA JOHNS INTL INC | $4,414 | $4,582 |
| PARKER HANNIFIN CP | $16,183 | $21,793 |
| PARTNERRE LTD PFD H | $4,296 | $4,205 |
| PERFORMANCE FOOD GROUP COMPANY | $5,201 | $9,379 |
| PERNOD-RECARD SA | $53,185 | $66,499 |
| PHIBRO ANIMAL HEALTH CORP | $4,732 | $3,962 |
| PHILIP MORRIS INTL | $37,433 | $38,083 |
| PHILLIPS 66 | $22,830 | $23,150 |
| PING AN INSURANCE GROUP ADR | $37,326 | $41,381 |
| PNC FINANCIAL GROUP INC | $11,755 | $15,645 |
| PORTLAND GEN ELEC | $4,750 | $4,063 |
| POWER INTEGRATIONS, INC | $7,501 | $18,255 |
| PPG INDUSTRIES INC | $6,555 | $10,095 |
| PPL CORPORATION | $11,267 | $12,549 |
| PRIMERICA, INC | $10,090 | $13,661 |
| PROCTER GAMBLE CO | $35,273 | $44,386 |
| PROSUS NV ADR | $68,426 | $97,366 |
| PRYSMIAN SPA | $9,395 | $14,685 |
| PT BANK CENTRAL ASIA TBK | $20,405 | $20,779 |
| PT BK MANDIR PRS UNSP/ADR | $13,908 | $13,573 |
| PTC INC | $7,760 | $11,363 |
| PVH CORP | $13,692 | $26,665 |
| QUALYS INC COM | $10,940 | $19,621 |
| RAYMOND JAMES FINANCIAL INC | $9,297 | $14,255 |
| RAYTHEON TECHNOLOGIES CORP | $16,005 | $18,950 |
| REALPAGE, INC | $6,584 | $14,046 |
| RECKITT BENCKISER GROUP | $24,766 | $27,470 |
| REINSURANCE GROUP AMER INC | $11,042 | $14,603 |
| REPLIGEN CORP | $7,377 | $21,654 |
| REPUBLIC SVCS INC | $15,456 | $17,238 |
| REVOLVE GROUP INC | $14,760 | $15,117 |
| REXNORD CORP | $10,626 | $13,624 |
| RIO TINTO PLC SPONSORED ADR | $23,601 | $31,969 |
| RITCHIE BROS AUCTIONEERS | $13,533 | $12,728 |
| ROCHE HOLDING LTD ADR | $57,370 | $63,919 |
| ROCKWELL AUTOMATION INC | $18,300 | $29,596 |
| RPM INTERNATIONAL INC | $9,335 | $14,525 |
| RWE AKTIENGESELLSCHAF | $21,130 | $31,193 |
| SAGE GROUP PLC | $10,691 | $11,352 |
| SALESFORCE.COM | $18,192 | $21,140 |
| SANDS CHINA LTD UNSP ADR | $79,005 | $79,450 |
| SANDVIK AB SPONS ADR | $38,041 | $46,623 |
| SANOFI-AVENTIS SPONSORED ADR | $54,110 | $53,157 |
| SAP AKTIENGESELL ADS | $34,514 | $34,945 |
| SBERBANK SPONSORED ADR | $12,847 | $11,745 |
| SCHNEIDER ELEC UNSP/ADR | $21,902 | $37,143 |
| SEAWORLD ENTERTAINMENT INC | $10,674 | $16,016 |
| SEMTECH CORPORATION | $8,803 | $15,139 |
| SERVISFIRST BANCSHARES INC | $13,508 | $17,164 |
| SHERWIN-WILLIAMS CO | $11,983 | $16,168 |
| SHINHAN FINL GROUP CO LTD | $20,186 | $18,689 |
| SHOCKWAVE MEDICAL ORD SHS | $7,960 | $8,609 |
| SIEMENS AG | $47,143 | $48,961 |
| SILICON MOTION TECHNOLOGY CORP | $12,286 | $14,541 |
| SK TELECOM ADS ADS | $32,782 | $38,825 |
| SMC CORPORATION | $13,118 | $18,923 |
| SMITH & NEPHEW PLC ADR | $21,326 | $25,175 |
| SMITH A O CORP DEL COM | $13,524 | $14,911 |
| SNAP ON INC | $12,932 | $16,429 |
| SONY CORP ADR - OLD | $41,598 | $62,480 |
| SOUTHWEST AIRLINES | $14,324 | $20,462 |
| SPECTRIS PLC | $9,893 | $12,124 |
| SPIRE INC | $6,429 | $5,507 |
| SPX CORPORATION | $7,528 | $8,236 |
| STERIS PLC | $16,134 | $23,882 |
| STIFEL FINL CORP SER B 5.200% | $6,646 | $7,009 |
| STONERIDGE INC | $11,263 | $13,029 |
| STORE CAPITAL CORPORATION | $9,390 | $19,674 |
| SUNNY OPTICAL TECHNOLOGY GROUP | $16,254 | $21,456 |
| T. ROWE PRICE GROUP | $11,711 | $18,167 |
| TAIWAN SEMICONDUCTOR MFG CO LT | $133,403 | $281,542 |
| TAKEDA PHARMACEUTICAL COMPANY | $14,396 | $14,342 |
| TARGA RESOURCES CORP | $10,995 | $10,552 |
| TARGET CORPORATION | $3,197 | $8,120 |
| TECHNOPRO HOLDINGS 5 SPONSORED | $6,051 | $9,419 |
| TELEFLEX INC | $6,768 | $9,466 |
| TEMENOS GROUP AG | $36,721 | $33,989 |
| TENCENT HOLDINGS LIMITED | $132,064 | $179,941 |
| TERRENO RLTY CORPCOM | $7,006 | $8,133 |
| TEXAS INSTRUMENTS INC | $29,687 | $39,719 |
| THE COCA-COLA CO | $37,115 | $42,556 |
| THE MOSAIC CO | $16,472 | $21,376 |
| THERMO FISHER SCIENTIFIC INC | $21,517 | $30,741 |
| TIMKEN CO COM | $8,769 | $13,770 |
| TJX COMPANIES INC | $37,701 | $48,896 |
| TOPBUILD CORP | $15,232 | $16,015 |
| TORREY PINES THERAPEUTICS | $6,211 | $16,937 |
| TOTAL FINA ELF S.A | $10,919 | $11,944 |
| TRAVELERS COMPANIES INC | $11,278 | $15,441 |
| TREX CO INC | $4,907 | $18,670 |
| TRIMBLE NAV LTD | $5,639 | $12,152 |
| TRIP COM GROUP ADR | $17,025 | $18,788 |
| TRUIST FINANCIAL CORPORATION | $23,052 | $29,141 |
| TSINGTAO BREWERY CO LTD | $13,938 | $21,012 |
| TWITTER INC | $10,112 | $16,678 |
| UCB UNSP ADR | $31,503 | $27,364 |
| UNILEVER PLC AMER | $35,601 | $37,363 |
| UNION PACIFIC | $22,278 | $31,649 |
| UNITED OVRSEAS BK LTD ADR | $14,096 | $13,087 |
| UNITED PARCEL SERVICE | $26,814 | $31,491 |
| UNITEDHEALTH GROUP INC | $51,321 | $65,577 |
| UNIVERSAL DISPLAY CORP | $14,949 | $22,980 |
| US BANCORP | $17,240 | $17,704 |
| USD CYRUSONE INC | $19,384 | $23,554 |
| V F CORP | $21,509 | $31,602 |
| VAIL RESORTS INC | $10,842 | $15,622 |
| VERACYTE INC | $7,573 | $21,876 |
| VERIZON COMMUNICATIONS | $18,021 | $20,563 |
| VIKING THERAPEUTICS INC | $4,160 | $2,173 |
| VISA INC | $42,264 | $51,839 |
| VMWARE INC | $9,682 | $9,678 |
| WAL-MART DE MEX V SP/ADR | $65,291 | $68,493 |
| WALGREENS BOOTS ALLIANCE | $12,345 | $12,762 |
| WASHINGTON TRUST BANCORP INC | $8,512 | $9,542 |
| WELLS FARGO & CO | $38,613 | $31,085 |
| WELLS FARGO ADVANTAGE INCOME O | $11,060 | $12,632 |
| WELLS FARGO COMPANY PREFERRED | $2,540 | $3,329 |
| WELLS FARGO PFD SHS SER W - 5. | $3,365 | $3,379 |
| WESTERN ASSET HI YLD DEFINED | $12,303 | $12,860 |
| WESTERN ASSET HIGH INCOME OPPO | $10,485 | $12,222 |
| WESTERN DIGITAL CORP | $7,219 | $10,081 |
| WILEY JOHN & SONS INC CL A | $5,038 | $6,164 |
| WILLIAMS COS | $10,092 | $11,629 |
| WOLTERS KLUWER S/ADR | $27,010 | $40,711 |
| WPX ENERGY INC | $8,906 | $9,201 |
| XP INC CL A | $15,292 | $16,185 |
| YANDEX N V | $23,105 | $33,468 |
| YUM CHINA HOLDINGS INC | $69,021 | $78,727 |
| ZURICH INS GROU ADR | $41,004 | $48,722 |
| ZYNGA INC | $7,820 | $16,404 |
Investments Other Schedule2 InvestmentsOtherSchedule2
Investments Other InvestmentsOtherGrp (11 entries)
| Category Or ItemCategoryOrItemTxt | Book ValueBookValueAmt | EOYFMVEOYFMVAmt |
|---|---|---|
| ALKEON GROWTH OFFSHORE FUND II | $750,000 | $750,000 |
| BLUE MARLIN TALF | $1,024,015 | $1,012,107 |
| ENERGY TFR OPERATING LP - SER | $20,759 | $19,010 |
| GOOD RETURNS GROUP, INC | $108,315 | $145,315 |
| HEADLANDS CPTL SECONDARY FD II | $34,081 | $70,181 |
| JTL PRIVATE EQUITY FUND, L.P | $1,444,583 | $631,225 |
| LUPTON HEDGE FUND PARTNERSHIP | $10,229,628 | $11,561,922 |
| LUPTON INTERNATIONAL EQUITY PA | $739,209 | $807,126 |
| LUPTON PRIVATE EQUITY FUND 201 | $641,812 | $688,479 |
| OAKTREE REAL ESTATE INCOME TRU | $1,436,213 | $1,474,315 |
| PORTFOLIO ADV PVT EQT FUND 201 | $142,717 | $167,277 |
Other Assets Schedule OtherAssetsSchedule
Other Assets Schedule OtherAssetsScheduleGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Desc | SUSTAIN INITIATIVE PRI | Desc |
| EOY Book Value | $250,000 | EOYBookValueAmt |
| EOYFMV | $250,000 | EOYFMVAmt |
Other Expenses Schedule OtherExpensesSchedule
Other Expenses Schedule OtherExpensesScheduleGrp (17 entries)
| DescDesc | Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt | Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt | Net Investment IncomeNetInvestmentIncomeAmt |
|---|---|---|---|
| Administrative Fees | $40,892 | $40,892 | |
| Bank Charges | $5,078 | $5,078 | |
| Indemnification Insurance | $2,032 | $2,032 | |
| K-1 Exp BLUE MARLIN TALF | $37,003 | $37,003 | |
| K-1 Exp ENERGY TRANSFER LP | $102 | $96 | |
| K-1 Exp ENTERPRISE PRODUCTS PA | $3 | ||
| K-1 Exp HEADLANDS CPTL SECONDA | $14,187 | $14,187 | |
| K-1 Exp JTL PRIVATE EQUITY FUN | $22,873 | $18,936 | |
| K-1 Exp LUPTON HEDGE FUND PART | $231,202 | $209,012 | |
| K-1 Exp LUPTON INTERNATIONAL E | $11,048 | $10,650 | |
| K-1 Exp LUPTON PRIVATE EQUITY | $15,908 | $15,436 | |
| K-1 Exp MAGELLAN MIDSTREAM PAR | $2 | ||
| K-1 Exp PLAINS ALL AMERICAN PI | $83 | $55 | |
| CREDIT CARD FEES | $38 | $38 | |
| Office Supplies | $429 | $429 | |
| State or Local Filing Fees | $20 | $20 | |
| Website Hosting/Support | $153 | $153 |
Other Income Schedule2 OtherIncomeSchedule2
Other Income Detail OtherIncomeDetail (24 entries)
| DescDesc | Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt | Net Investment IncomeNetInvestmentIncomeAmt |
|---|---|---|
| K-1 Inc/Loss BLUE MARLIN TALF | $51,240 | $51,240 |
| K-1 Inc/Loss ENERGY TFR OPERATING LP - SER E | $1,581 | $1,581 |
| K-1 Inc/Loss ENERGY TRANSFER LP | -$1,037 | $142 |
| K-1 Inc/Loss ENTERPRISE PRODUCTS PARTNERS LP | -$802 | -$2 |
| K-1 Inc/Loss HEADLANDS CPTL SECONDARY FD III LP (S | $33 | $33 |
| K-1 Inc/Loss JTL PRIVATE EQUITY FUND, L.P | $9,933 | $3,810 |
| K-1 Inc/Loss LUPTON HEDGE FUND PARTNERSHIP LP | $567,896 | $487,703 |
| K-1 Inc/Loss LUPTON INTERNATIONAL EQUITY PARTNERSH | $29,381 | $29,381 |
| K-1 Inc/Loss LUPTON PRIVATE EQUITY FUND 2019, GP | $11,239 | $11,123 |
| K-1 Inc/Loss MAGELLAN MIDSTREAM PARTNERS LP | -$1,078 | $381 |
| K-1 Inc/Loss MPLX LP | -$579 | $39 |
| K-1 Inc/Loss PHILLIPS 66 PARTNERS LP | -$464 | $50 |
| K-1 Inc/Loss PLAINS ALL AMERICAN PIPELINE LP | -$1,204 | $1 |
| K-1 Inc/Loss SHELL MIDSTREAM PARTNERS LP | -$249 | $241 |
| K-1 Inc/Loss WESTERN MIDSTREAM PARTNERS, LP | -$1,426 | $11 |
| Federal Tax Refund | $1,734 | |
| Sec 751 Gain on Sale ENERGY TRANSFER LP | $32,597 | |
| Sec 751 Gain on Sale ENTERPRISE PRODUCTS PARTNERS | $39,182 | |
| Sec 751 Gain on Sale MAGELLAN MIDSTREAM PARTNERS L | $19,264 | |
| Sec 751 Gain on Sale MPLX LP | $27,817 | |
| Sec 751 Gain on Sale PHILLIPS 66 PARTNERS LP | $5,996 | |
| Sec 751 Gain on Sale PLAINS ALL AMERICAN PIPELINE | $11,675 | |
| Sec 751 Gain on Sale SHELL MIDSTREAM PARTNERS LP | $7,423 | |
| Sec 751 Gain on Sale WESTERN MIDSTREAM PARTNERS, L | $12,062 |
Other Professional Fees Schedule OtherProfessionalFeesSchedule
Other Professional Fees Detail OtherProfessionalFeesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | Investment Management Services | CategoryTxt |
| Amt | $118,923 | Amt |
| Net Investment Income | $118,923 | NetInvestmentIncomeAmt |
Taxes Schedule TaxesSchedule
Taxes Detail TaxesDetail (3 entries)
| CategoryCategoryTxt | AmtAmt | Net Investment IncomeNetInvestmentIncomeAmt |
|---|---|---|
| 990-PF Estimated Tax for 2020 | $20,600 | |
| 990-T Extension for 2019 | $100 | |
| Foreign Tax Paid | $15,403 | $15,403 |
Comments