2020-11-09T12:21:38-06:00 2019-12-31 271728945 PKF O'CONNOR DAVIES LLP 665 FIFTH AVENUE NEW YORK NY 100225342 990PF 2019-01-01 136116429 RITA ALLEN FOUNDATION INC RITA 6096838010 PO BOX 116 PRINCETON NJ 085421116 ELIZABETH CHRISTOPHERSON PRESIDENT 6096838010 2020-11-09 1 CHRISTOPHER PETERMANN P00097440 2122862600 100.8.105.92 2020-11-09 09:46:08 ES P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 ADF2295BF21A1B3D817E76B6F4BDC95B1CD5DB16 2019 2021-04-22 16:20:28Z X 183115178 X X 100525 100525 2188945 2728678 3894190 47790929 3548693 504760 343096 6688420 6720992 726456 0 726456 535153 0 535153 312055 0 312055 10747 0 10747 65000 0 65000 1099101 1093045 6056 39442 190873 34045 0 106419 0 106419 49572 0 49572 462608 282397 462608 3557984 1448929 2274066 5864935 5864935 9422919 1448929 8139001 -2734499 5272063 30337 30337 4294740 9011768 9011768 16472825 8615919 8615919 75574508 94482782 94482782 63318315 70968319 70968319 6053 6053 6053 159666441 183115178 183115178 0 0 X 155962133 179401872 3704308 3713306 159666441 183115178 159666441 183115178 159666441 -2734499 26183236 183115178 0 183115178 PUBLICLY TRADED SECURITIES 39936354 36337124 3599230 3599230 COLCHIS INCOME FUND, LTD. 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THE FOUNDATION WORKS WITH GRANT RECIPIENTS TO BUILD CAPACITY BEYOND FINANCIAL SUPPORT, INCLUDING PROVIDING VALUE-ADDED ACTIVITIES THROUGH CONFERENCES, PUBLISHING, AND CONTRIBUTING TO RESEARCH TO HELP GUIDE THE WORK OF EMERGING LEADERS AND ORGANIZATIONS, AS WELL AS OFFERING TECHNICAL ASSISTANCE FOR GRANT RECIPIENTS. IN 2019, THE FOUNDATION HOSTED A CONFERENCE OF CURRENT RITA ALLEN FOUNDATION SCHOLARS FOCUSING ON SHARING THEIR SCIENTIFIC RESEARCH IN CANCER, IMMUNOLOGY, NEUROSCIENCE, AND PAIN, AS WELL AS LEARNING ABOUT NEW DEVELOPMENTS IN THE BROADER FIELD OF BIOMEDICAL RESEARCH. WE ALSO BEGAN PREPARATIONS FOR ADDITIONAL CAPACITY-BUILDING ACTIVITIES FOR CURRENT SCHOLARS IN 2020, FOCUSING ON TOPICS IDENTIFIED BY THE SCHOLARS AS BEING INFLUENTIAL IN SUPPORTING THEIR DEVELOPMENT AS LEADERS IN THEIR FIELDS. 162671 THE RITA ALLEN FOUNDATION IS COMMITTED TO DEVELOPING THE KNOWLEDGE AND COLLABORATION OF THE PHILANTHROPIC SECTOR AND THE FIELDS IN WHICH IT WORKS IN ORDER TO BETTER ADDRESS COMPLEX PROBLEMS. IN 2019, THE FOUNDATION CONDUCTED RESEARCH ON THE INTERACTION BETWEEN SCIENCE, TECHNOLOGY, MEDIA, PHILANTHROPY, AND CIVIL SOCIETY. THIS RESEARCH WAS SHARED VIA A FIELD NEWSLETTER, AN ARTICLE PUBLISHED IN THE CHRONICLE OF PHILANTHROPY, A REPORT FOR PHILANTHROPIC PEERS, AND PARTICIPATION IN MEETINGS CONVENED WITH THE NATIONAL ACADEMY OF SCIENCES AND OTHER PARTNERS. IN 2019, THE FOUNDATION ALSO INITIATED A COHORT OF FELLOWS TO SUPPORT EFFECTIVE SCIENCE COMMUNICATION, AND DEVELOPED WEBINARS, BRIEFING PAPERS, RESOURCE COLLECTIONS, AND CONVENINGS FOR THE FELLOWS. 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6688420 0 0 0 0 0 0 0 0 0 0 BOOKKEEPING 29000 0 29000 FINANCIAL STATEMENT AUDIT AND TAX RETURNS PREPARATION 36000 0 36000 3M CO (MMM) 553 SHARES 97560 97560 ABBOTT LABORATORIES (ABT) 4,580 SHARES 397819 397819 ABBVIE INC (ABBV) 3,134 SHARES 277484 277484 ACCENTURE PLC (ACN) 7,374 SHARES 1552743 1552743 ADOBE INC (ADBE) 1,852 SHARES 610808 610808 AFLAC INC (AFL) 3,858 SHARES 204088 204088 AGILENT TECHNOLOGIES INC (A) 2,807 SHARES 239465 239465 AIRBUS SE (AIR) 1,105 SHARES 161843 161843 AIRBUS SE (EADSF) 1,106 SHARES 160735 160735 ALIBABA GROUP HOLDING LTD (BABA) 3,980 SHARES 844158 844158 ALIGN TECHNOLOGY INC (ALGN) 795 SHARES 221837 221837 ALPHABET INC-CL A (GOOGL) 578 SHARES 774167 774167 ALPHABET INC-CL C (GOOG) 1,432 SHARES 1914613 1914613 ALTRIA GROUP INC (MO) 3,828 SHARES 191055 191055 AMAZON.COM INC (AMZN) 380 SHARES 702179 702179 AMERCO (UHAL) 1,175 SHARES 441589 441589 AMERICAN TOWER CORP (AMT) 2,607 SHARES 599141 599141 AMERIPRISE FINANCIAL INC (AMP) 7,140 SHARES 1189381 1189381 AMERISOURCEBERGEN CORP (ABC) 4,193 SHARES 356489 356489 AMGEN INC (AMGN) 1,386 SHARES 334123 334123 ANTHEM INC (ANTM) 2,980 SHARES 900049 900049 APPLE INC (AAPL) 8,811 SHARES 2587350 2587350 ARAMARK (ARMK) 9,580 SHARES 415772 415772 ARCONIC INC (HWM) 14,170 SHARES 436011 436011 ASML HOLDING NV (ASML) 450 SHARES 133173 133173 AUTOMATIC DATA PROCESSING INC (ADP) 6,050 SHARES 1031525 1031525 AVISTA CORP (AVA) 7,700 SHARES 370293 370293 AXALTA COATING SYSTEMS LTD (AXTA) 16,480 SHARES 500992 500992 BANK OF AMERICA CORP (BAC) 52,331 SHARES 1843098 1843098 BERKSHIRE HATHAWAY INC (BRK/B) 5,309 SHARES 1202489 1202489 BEST BUY CO INC (BBY) 4,613 SHARES 405021 405021 BOK FINANCIAL CORP (BOKF) 4,554 SHARES 398020 398020 BOOKING HOLDINGS INC (BKNG) 667 SHARES 1369838 1369838 BROADCOM INC (AVGO) 3,060 SHARES 967021 967021 BROOKFIELD ASSET MANAGEMENT IN (BAM) 2,300 SHARES 132940 132940 CABOT OIL & GAS CORP (COG) 7,100 SHARES 123611 123611 CANADIAN NATIONAL RAILWAY CO (CNI) 3,689 SHARES 333670 333670 CARLISLE COS INC (CSL) 1,550 SHARES 250852 250852 CARLYLE GROUP LP/THE (CG) 2,294 SHARES 73592 73592 CARMAX INC (KMX) 10,468 SHARES 917730 917730 CDW CORP/DE (CDW) 675 SHARES 96417 96417 CERNER CORP (CERN) 4,050 SHARES 297230 297230 CHARLES SCHWAB CORP/THE (SCHW) 13,970 SHARES 664413 664413 CHEVRON CORP (CVX) 1,212 SHARES 146058 146058 CHURCH & DWIGHT CO INC (CHD) 2,750 SHARES 193435 193435 CIGNA CORP (CI) 1,025 SHARES 209602 209602 CIMAREX ENERGY CO (XEC) 4,831 SHARES 253579 253579 CINCINNATI FINANCIAL CORP (CINF) 5,099 SHARES 536160 536160 CISCO SYSTEMS INC (CSCO) 21,874 SHARES 1049077 1049077 CITIZENS FINANCIAL GROUP INC (CFG) 14,660 SHARES 595343 595343 CITRIX SYSTEMS INC (CTXS) 3,640 SHARES 403676 403676 CME GROUP INC (CME) 600 SHARES 120432 120432 COCA-COLA CO/THE (KO) 10,978 SHARES 607632 607632 COGNIZANT TECHNOLOGY SOLUTIONS (CTSH) 8,700 SHARES 539574 539574 COMCAST CORP (CMCSA) 10,746 SHARES 483248 483248 CONAGRA BRANDS INC (CAG) 20,492 SHARES 701646 701646 CREDIT ACCEPTANCE CORP (CACC) 238 SHARES 105275 105275 CROWN CASTLE INTERNATIONAL COR (CCI) 2,152 SHARES 305907 305907 CVS HEALTH CORP (CVS) 10,147 SHARES 753821 753821 DANAHER CORP (DHR) 925 SHARES 141969 141969 DELTA AIR LINES INC (DAL) 8,157 SHARES 477021 477021 DISCOVERY INC (DISCA) 17,960 SHARES 588010 588010 DOLLAR GENERAL CORP (DG) 3,507 SHARES 547022 547022 DOW INC (DOW) 4,339 SHARES 237473 237473 DUPONT DE NEMOURS INC (DD) 2,284 SHARES 146633 146633 EBAY INC (EBAY) 11,070 SHARES 399738 399738 EDWARDS LIFESCIENCES CORP (EW) 4,754 SHARES 1109061 1109061 ENCOMPASS HEALTH CORP (EHC) 7,422 SHARES 514122 514122 EOG RESOURCES INC (EOG) 2,600 SHARES 217776 217776 ERIE INDEMNITY CO (ERIE) 2,505 SHARES 415830 415830 EVEREST RE GROUP LTD (RE) 517 SHARES 143126 143126 EXPEDIA GROUP INC (EXPE) 4,695 SHARES 507717 507717 FACEBOOK INC (FB) 9,386 SHARES 1926477 1926477 FIDELITY NATIONAL FINANCIAL IN (FNF) 7,390 SHARES 335137 335137 FIDELITY NATIONAL INFORMATION (FIS) 1,275 SHARES 177340 177340 FIFTH THIRD BANCORP (FITB) 11,590 SHARES 356277 356277 FISERV INC (FISV) 900 SHARES 104067 104067 GARTNER INC (IT) 1,547 SHARES 238393 238393 GENERAL DYNAMICS CORP (GD) 3,352 SHARES 591125 591125 GILEAD SCIENCES INC (GILD) 2,925 SHARES 190067 190067 GLOBAL PAYMENTS INC (GPN) 755 SHARES 137833 137833 HAIN CELESTIAL GROUP INC/THE (HAIN) 9,232 SHARES 239617 239617 HANESBRANDS INC (HBI) 28,480 SHARES 422928 422928 HASBRO INC (HAS) 4,057 SHARES 428460 428460 HILTON WORLDWIDE HOLDINGS INC (HLT) 2,605 SHARES 288921 288921 HOME DEPOT INC/THE (HD) 2,114 SHARES 461655 461655 ILLINOIS TOOL WORKS INC (ITW) 1,005 SHARES 180528 180528 INGREDION INC (INGR) 6,705 SHARES 623230 623230 INTERPUBLIC GROUP OF COS INC/T (IPG) 22,000 SHARES 508200 508200 INTUIT INC (INTU) 675 SHARES 176803 176803 INVESCO LTD (IVZ) 31,680 SHARES 569606 569606 J M SMUCKER CO/THE (SJM) 1,818 SHARES 189308 189308 JOHNSON & JOHNSON (JNJ) 7,379 SHARES 1076375 1076375 JONES LANG LASALLE INC (JLL) 3,025 SHARES 526622 526622 JPMORGAN CHASE & CO (JPM) 15,000 SHARES 2091000 2091000 KINDER MORGAN INC (KMI) 50,921 SHARES 1077998 1077998 KKR & CO INC (KKR) 25,424 SHARES 741618 741618 KONTOOR BRANDS INC (KTB) 6,161 SHARES 258700 258700 KROGER CO/THE (KR) 8,118 SHARES 235341 235341 LINDE PLC (LIN) 2,480 SHARES 527992 527992 LKQ CORP (LKQ) 11,690 SHARES 417333 417333 LOEWS CORP (L) 7,840 SHARES 411522 411522 LOWE'S COS INC (LOW) 14,336 SHARES 1716879 1716879 MARRIOTT INTERNATIONAL INC/MD (MAR) 2,848 SHARES 431273 431273 MARSH & MCLENNAN COS INC (MMC) 2,495 SHARES 277968 277968 MASCO CORP (MAS) 5,960 SHARES 286020 286020 MASTERCARD INC (MA) 7,675 SHARES 2291678 2291678 MCDONALD'S CORP (MCD) 3,791 SHARES 749140 749140 MCKESSON CORP (MCK) 1,369 SHARES 189360 189360 MEDTRONIC PLC (MDT) 6,750 SHARES 765788 765788 MERCK & CO INC (MRK) 16,045 SHARES 1459293 1459293 MICROCHIP TECHNOLOGY INC (MCHP) 1,918 SHARES 200853 200853 MICROSOFT CORP (MSFT) 26,261 SHARES 4141360 4141360 MOODY'S CORP (MCO) 675 SHARES 160252 160252 MOTOROLA SOLUTIONS INC (MSI) 1,250 SHARES 201425 201425 MSCI INC (MSCI) 636 SHARES 164202 164202 NATIONAL OILWELL VARCO INC (NOV) 37,604 SHARES 941980 941980 NESTLE SA (NSRGY) 2,310 SHARES 249954 249954 NIKE INC (NKE) 4,269 SHARES 432492 432492 NOMAD FOODS LTD (NOMD) 23,607 SHARES 528089 528089 NORTHERN TRUST CORP (NTRS) 4,000 SHARES 424960 424960 NOVARTIS AG (NVS) 7,023 SHARES 665008 665008 NVIDIA CORP (NVDA) 1,306 SHARES 307302 307302 OCCIDENTAL PETROLEUM CORP (OXY) 7,084 SHARES 291932 291932 OMNICOM GROUP INC (OMC) 2,932 SHARES 237551 237551 ORACLE CORP (ORCL) 3,365 SHARES 178278 178278 O'REILLY AUTOMOTIVE INC (ORLY) 665 SHARES 291443 291443 PAYPAL HOLDINGS INC (PYPL) 7,592 SHARES 821227 821227 PHILIP MORRIS INTERNATIONAL IN (PM) 2,321 SHARES 197494 197494 PIONEER NATURAL RESOURCES CO (PXD) 3,640 SHARES 550987 550987 QORVO INC (QRVO) 3,547 SHARES 412268 412268 REGENERON PHARMACEUTICALS INC (REGN) 503 SHARES 188866 188866 ROPER TECHNOLOGIES INC (ROP) 275 SHARES 97413 97413 ROSS STORES INC (ROST) 2,248 SHARES 261712 261712 ROYAL DUTCH SHELL PLC (RDS/A) 2,159 SHARES 127338 127338 RYMAN HOSPITALITY PROPERTIES I (RHP) 4,110 SHARES 356173 356173 S&P GLOBAL INC (SPGI) 507 SHARES 138436 138436 SALESFORCE.COM INC (CRM) 950 SHARES 154508 154508 SBA COMMUNICATIONS CORP (SBAC) 1,849 SHARES 445591 445591 SERVICENOW INC (NOW) 580 SHARES 163746 163746 SIGNATURE BANK/NEW YORK NY (SBNY) 3,745 SHARES 511604 511604 SKYWORKS SOLUTIONS INC (SWKS) 3,658 SHARES 442179 442179 SNAP-ON INC (SNA) 2,920 SHARES 494648 494648 STANLEY BLACK & DECKER INC (SWK) 839 SHARES 139056 139056 STARBUCKS CORP (SBUX) 2,187 SHARES 192281 192281 STATE STREET CORP (STT) 3,414 SHARES 270047 270047 STERICYCLE INC (SRCL) 7,394 SHARES 471811 471811 SUNCOR ENERGY INC (SU) 29,125 SHARES 955300 955300 SWISS RE AG (SREN) 1,410 SHARES 158276 158276 SWISS RE AG (SSREF) 907 SHARES 101539 101539 TAIWAN SEMICONDUCTOR MANUFACTU (TSM) 6,307 SHARES 366437 366437 THOR INDUSTRIES INC (THO) 5,160 SHARES 383336 383336 TIFFANY & CO (TIF) 2,419 SHARES 323299 323299 TJX COS INC/THE (TJX) 4,366 SHARES 266588 266588 TRANSUNION (TRU) 1,400 SHARES 119854 119854 UGI CORP (UGI) 10,565 SHARES 477115 477115 UNILEVER NV (UN) 11,553 SHARES 663835 663835 UNION PACIFIC CORP (UNP) 675 SHARES 122033 122033 UNITED PARCEL SERVICE INC (UPS) 1,331 SHARES 155807 155807 UNITED RENTALS INC (URI) 2,077 SHARES 346381 346381 UNITED TECHNOLOGIES CORP (UTX) 7,175 SHARES 1074528 1074528 UNITEDHEALTH GROUP INC (UNH) 5,371 SHARES 1578967 1578967 UNIVERSAL HEALTH SERVICES INC (UHS) 2,355 SHARES 337848 337848 VENTAS INC (VTR) 7,230 SHARES 417460 417460 VF CORP (VFC) 2,840 SHARES 283034 283034 VISA INC (V) 13,930 SHARES 2617447 2617447 VISTRA ENERGY CORP (VST) 22,990 SHARES 528540 528540 WALT DISNEY CO/THE (DIS) 4,177 SHARES 604120 604120 WELLS FARGO & CO (WFC) 18,259 SHARES 982334 982334 WEYERHAEUSER CO (WY) 31,714 SHARES 957763 957763 WHITE MOUNTAINS INSURANCE GROU (WTM) 508 SHARES 566679 566679 WP CAREY INC (WPC) 7,832 SHARES 626873 626873 WW GRAINGER INC (GWW) 590 SHARES 199727 199727 ZIMMER BIOMET HOLDINGS INC (ZBH) 945 SHARES 141448 141448 ZOETIS INC (ZTS) 3,185 SHARES 421529 421529 8615919 8615919 0 0 ASM CONNAUGHT HOUSE FUND III LP FMV 2021993 2021993 BIRCH GROVE CREDIT STRATEGIES FUND LTD. 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