GUFFEY FAMILY FOUNDATION: Form 990PF, tax year 2019
View the entire original 990 at ProPublica ↗
- Organization
- GUFFEY FAMILY FOUNDATION (EIN 46-4345106)
- Tax period
- 2019-01-01 to 2019-12-31
- Filed
- 2020-09-30
- IRS object ID
- 202032749349100428
- Schema version
- 2019v5.0
- 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
- Schedule B
- Accounting Fees Schedule
- Investments Corp Stock Schedule
- Investments Other Schedule2
- Other Decreases Schedule
- Other Expenses Schedule
- Other Income Schedule2
- Other Professional Fees Schedule
- Taxes Schedule
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return | 2020-09-30T15:01:13-05:00 | ReturnTs |
| Tax Period End | 2019-12-31 | TaxPeriodEndDt |
Preparer Firm PreparerFirmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Firm EIN | 941687665 | PreparerFirmEIN |
Preparer Firm Name PreparerFirmName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | BANK OF AMERICA | BusinessNameLine1Txt |
Preparer US Address PreparerUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | P O BOX 1802 | AddressLine1Txt |
| City | PROVIDENCE | CityNm |
| State Abbreviation | RI | StateAbbreviationCd |
| ZIP | 029011802 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990PF | ReturnTypeCd |
| Tax Period Begin | 2019-01-01 | TaxPeriodBeginDt |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 464345106 | EIN |
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | GUFFEY FAMILY FOUNDATION | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Control | LGFO | BusinessNameControlTxt |
| Phone | 8888663275 | PhoneNum |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 114 W 47TH ST NY8-114-07-07 AFT | AddressLine1Txt |
| City | NEW YORK | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 100361510 | ZIPCd |
Business Officer BusinessOfficerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | LAWRENCE GUFFEY | PersonNm |
| Person Title | PRESIDENT | PersonTitleTxt |
| Phone | 8888663275 | PhoneNum |
| Signature | 2020-09-03 | SignatureDt |
| Discuss With Paid Preparer | Yes (true) | DiscussWithPaidPreparerInd |
Preparer Person PreparerPersonGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Person | KAREN J KISER | PreparerPersonNm |
| PTIN | P00146417 | PTIN |
| Phone | 8888663275 | PhoneNum |
| Preparation | 2020-09-03 | PreparationDt |
Filing Security Information FilingSecurityInformation
IP Address IPAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| I Pv4 Address | 171.159.192.10 | IPv4AddressTxt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Filing License Type | P | FilingLicenseTypeCd |
| At Submission Creation Device Id | 2F8D1F33AC266B69522DED446860C142D969DE07 | AtSubmissionCreationDeviceId |
| At Submission Filing Device Id | D1FC840CEC69794B33F7E03FBDF54F899BD0C268 | AtSubmissionFilingDeviceId |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax | 2019 | TaxYr |
| Build TS | 2021-04-22 16:20:28Z | BuildTS |
Form 990-PF IRS990PF
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization501c3 Exempt PF | Yes (X) | Organization501c3ExemptPFInd |
| FMV Assets EOY | $14,905,232 | FMVAssetsEOYAmt |
Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contri Rcvd Rev And Expnss | $6,992 | ContriRcvdRevAndExpnssAmt |
| Dividends Rev And Expnss | $208,900 | DividendsRevAndExpnssAmt |
| Dividends Net Invst Incm | $176,478 | DividendsNetInvstIncmAmt |
| Net Gain Sale Ast Rev And Expnss | $202,987 | NetGainSaleAstRevAndExpnssAmt |
| Gross Sales Price | $5,476,832 | GrossSalesPriceAmt |
| Cap Gain Net Incm Net Invst Incm | $202,987 | CapGainNetIncmNetInvstIncmAmt |
| Net ST Capital Gain Adj Net Incm | $0 | NetSTCapitalGainAdjNetIncmAmt |
| Other Income Net Invst Incm | $212,517 | OtherIncomeNetInvstIncmAmt |
| Total Rev And Expnss | $418,879 | TotalRevAndExpnssAmt |
| Total Net Invst Incm | $591,982 | TotalNetInvstIncmAmt |
| Oth Empl Slrs Wgs Net Invst Incm | $0 | OthEmplSlrsWgsNetInvstIncmAmt |
| Oth Empl Slrs Wgs Adj Net Incm | $0 | OthEmplSlrsWgsAdjNetIncmAmt |
| Oth Empl Slrs Wgs Dsbrs Chrtbl | $0 | OthEmplSlrsWgsDsbrsChrtblAmt |
| Pension Empl Bnft Net Invst Incm | $0 | PensionEmplBnftNetInvstIncmAmt |
| Pension Empl Bnft Adj Net Incm | $0 | PensionEmplBnftAdjNetIncmAmt |
| Legal Fees Dsbrs Chrtbl | $0 | LegalFeesDsbrsChrtblAmt |
| Accounting Fees Rev And Expnss | $2,500 | AccountingFeesRevAndExpnssAmt |
| Accounting Fees Net Invst Incm | $0 | AccountingFeesNetInvstIncmAmt |
| Accounting Fees Adj Net Incm | $0 | AccountingFeesAdjNetIncmAmt |
| Accounting Fees Chrtbl Prps | $2,500 | AccountingFeesChrtblPrpsAmt |
| Other Prof Fees Rev And Expnss | $47,845 | OtherProfFeesRevAndExpnssAmt |
| Other Prof Fees Net Invst Incm | $28,707 | OtherProfFeesNetInvstIncmAmt |
| Other Prof Fees Dsbrs Chrtbl | $19,138 | OtherProfFeesDsbrsChrtblAmt |
| Interest Dsbrs Chrtbl | $0 | InterestDsbrsChrtblAmt |
| Taxes Rev And Expnss | $21,409 | TaxesRevAndExpnssAmt |
| Taxes Net Invst Incm | $4,259 | TaxesNetInvstIncmAmt |
| Taxes Dsbrs Chrtbl | $0 | TaxesDsbrsChrtblAmt |
| Deprec And Dpltn Rev And Expnss | $0 | DeprecAndDpltnRevAndExpnssAmt |
| Deprec And Dpltn Net Invst Incm | $0 | DeprecAndDpltnNetInvstIncmAmt |
| Trav Conf Meeting Net Invst Incm | $0 | TravConfMeetingNetInvstIncmAmt |
| Trav Conf Meeting Adj Net Incm | $0 | TravConfMeetingAdjNetIncmAmt |
| Printing And Pub Net Invst Incm | $0 | PrintingAndPubNetInvstIncmAmt |
| Printing And Pub Adj Net Incm | $0 | PrintingAndPubAdjNetIncmAmt |
| Other Expenses Rev And Expnss | $4,795 | OtherExpensesRevAndExpnssAmt |
| Other Expenses Net Invst Incm | $98,919 | OtherExpensesNetInvstIncmAmt |
| Tot Opr Expenses Rev And Expnss | $76,549 | TotOprExpensesRevAndExpnssAmt |
| Tot Opr Expenses Net Invst Incm | $131,885 | TotOprExpensesNetInvstIncmAmt |
| Tot Opr Expenses Adj Net Incm | $0 | TotOprExpensesAdjNetIncmAmt |
| Tot Opr Expenses Dsbrs Chrtbl | $21,638 | TotOprExpensesDsbrsChrtblAmt |
| Contri Paid Rev And Expnss | $420,250 | ContriPaidRevAndExpnssAmt |
| Contri Paid Dsbrs Chrtbl | $420,250 | ContriPaidDsbrsChrtblAmt |
| Total Expenses Rev And Expnss | $496,799 | TotalExpensesRevAndExpnssAmt |
| Total Expenses Net Invst Incm | $131,885 | TotalExpensesNetInvstIncmAmt |
| Total Expenses Adj Net Incm | $0 | TotalExpensesAdjNetIncmAmt |
| Total Expenses Dsbrs Chrtbl | $441,888 | TotalExpensesDsbrsChrtblAmt |
| Excess Revenue Over Expenses | -$77,920 | ExcessRevenueOverExpensesAmt |
| Net Investment Income | $460,097 | NetInvestmentIncomeAmt |
| Adjusted Net Income | $0 | AdjustedNetIncomeAmt |
Form990 PF Balance Sheets Form990PFBalanceSheetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Cash BOY | $3,131 | CashBOYAmt |
| Cash EOY | $2,381 | CashEOYAmt |
| Cash EOYFMV | $2,381 | CashEOYFMVAmt |
| Sav And Temp Cash Invst BOY | $54,682 | SavAndTempCashInvstBOYAmt |
| Sav And Temp Cash Invst EOY | $152,759 | SavAndTempCashInvstEOYAmt |
| Sav And Temp Cash Invst EOYFMV | $152,759 | SavAndTempCashInvstEOYFMVAmt |
| Acct Rcvbl EOY | $0 | AcctRcvblEOYAmt |
| Acct Rcvbl EOYFMV | $0 | AcctRcvblEOYFMVAmt |
| Other Rcvbl Allwnc Dbtfl Acct | $0 | OtherRcvblAllwncDbtflAcctAmt |
| Corporate Stock BOY | $3,000,250 | CorporateStockBOYAmt |
| Corporate Stock EOY | $3,000,250 | CorporateStockEOYAmt |
| Corporate Stock EOYFMV | $1,292,984 | CorporateStockEOYFMVAmt |
| Other Investments BOY | $11,890,592 | OtherInvestmentsBOYAmt |
| Other Investments EOY | $11,648,568 | OtherInvestmentsEOYAmt |
| Other Investments EOYFMV | $13,457,108 | OtherInvestmentsEOYFMVAmt |
| Total Assets BOY | $14,948,655 | TotalAssetsBOYAmt |
| Total Assets EOY | $14,803,958 | TotalAssetsEOYAmt |
| Total Assets EOYFMV | $14,905,232 | TotalAssetsEOYFMVAmt |
| Total Liabilities EOY | $0 | TotalLiabilitiesEOYAmt |
| Org Does Not Follow FASB117 | Yes (X) | OrgDoesNotFollowFASB117Ind |
| Capital Stock BOY | $14,948,655 | CapitalStockBOYAmt |
| Capital Stock EOY | $14,803,958 | CapitalStockEOYAmt |
| Tot Net Ast Or Fund Balances BOY | $14,948,655 | TotNetAstOrFundBalancesBOYAmt |
| Tot Net Ast Or Fund Balances EOY | $14,803,958 | TotNetAstOrFundBalancesEOYAmt |
| Total Liabilities Net Ast BOY | $14,948,655 | TotalLiabilitiesNetAstBOYAmt |
| Total Liabilities Net Ast EOY | $14,803,958 | TotalLiabilitiesNetAstEOYAmt |
Chg In Net Assets Fund Balances ChgInNetAssetsFundBalancesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tot Net Ast Or Fund Balances BOY | $14,948,655 | TotNetAstOrFundBalancesBOYAmt |
| Excess Revenue Over Expenses | -$77,920 | ExcessRevenueOverExpensesAmt |
| Other Increases | $0 | OtherIncreasesAmt |
| Subtotal | $14,870,735 | SubtotalAmt |
| Other Decreases | $66,777 | OtherDecreasesAmt |
| Tot Net Ast Or Fund Balances EOY | $14,803,958 | TotNetAstOrFundBalancesEOYAmt |
Cap Gains Loss Tx Invst Incm Detail CapGainsLossTxInvstIncmDetail
Cap Gains Loss Tx Invst Incm CapGainsLossTxInvstIncmGrp (389 entries)
| PropertyPropertyDesc | AcquiredAcquiredDt | SoldSoldDt | Gross Sales PriceGrossSalesPriceAmt | Cost Or Other BasisCostOrOtherBasisAmt | Gain Or LossGainOrLossAmt | Gains Minus Excess Or LossesGainsMinusExcessOrLossesAmt | How AcquiredHowAcquiredCd |
|---|---|---|---|---|---|---|---|
| 202. AQR MANAGED FUTURES | 2015-10-31 | 2019-03-15 | $1,687 | $2,141 | -$454 | -$454 | |
| 133. AQR MANAGED FUTURES | 2015-10-09 | 2019-03-15 | $1,111 | $1,438 | -$327 | -$327 | |
| .15 AQR MANAGED FUTURES | 2015-10-09 | 2019-03-15 | $1 | $2 | -$1 | -$1 | |
| 3442. AQR MANAGED FUTURES | 2016-03-24 | 2019-03-15 | $28,741 | $35,143 | -$6,402 | -$6,402 | |
| 27946. AQR MANAGED FUTURES | 2016-12-29 | 2019-03-15 | $233,349 | $261,295 | -$27,946 | -$27,946 | |
| 1. AQR MANAGED FUTURES | 2016-09-09 | 2019-03-15 | $8 | $10 | -$2 | -$2 | |
| 539. AQR MANAGED FUTURES | 2016-09-09 | 2019-03-15 | $4,501 | $5,433 | -$932 | -$932 | |
| 1229. AQR MANAGED FUTURES | 2016-11-23 | 2019-03-15 | $10,262 | $11,540 | -$1,278 | -$1,278 | |
| 1457. AQR MANAGED FUTURES | 2016-11-28 | 2019-03-15 | $12,166 | $13,754 | -$1,588 | -$1,588 | |
| 1. AQR MANAGED FUTURES | 2016-11-29 | 2019-03-15 | $8 | $10 | -$2 | -$2 | |
| 690. AQR MANAGED FUTURES | 2016-11-29 | 2019-03-15 | $5,762 | $6,493 | -$731 | -$731 | |
| 1. AQR MANAGED FUTURES | 2016-11-30 | 2019-03-15 | $8 | $9 | -$1 | -$1 | |
| 760. AQR MANAGED FUTURES | 2016-11-30 | 2019-03-15 | $6,346 | $7,098 | -$752 | -$752 | |
| 16262. AQR MANAGED FUTURES | 2018-01-02 | 2019-03-15 | $135,788 | $150,098 | -$14,310 | -$14,310 | |
| .55 BLACKSTONE ALT MULTI | 2019-04-04 | 2019-05-30 | $6 | $6 | |||
| 1138. BLACKSTONE ALT MULTI | 2019-04-04 | 2019-05-30 | $12,234 | $12,302 | -$68 | -$68 | |
| .42 BLACKSTONE ALT MULTI | 2019-03-15 | 2019-05-30 | $5 | $5 | |||
| 1073.06 BLACKSTONE ALT MULTI | 2019-04-04 | 2019-11-05 | $11,664 | $11,600 | $64 | $64 | |
| .17 DOUBLELINE TOTAL RETURN BOND FUND | 2018-03-06 | 2019-03-15 | $2 | $2 | |||
| 45381. DOUBLELINE TOTAL RETURN BOND FUND | 2018-03-06 | 2019-03-15 | $475,593 | $474,231 | $1,362 | $1,362 | |
| 2359. EATON VANCE ATL CAPITAL | 2019-03-15 | 2019-04-04 | $55,271 | $54,210 | $1,061 | $1,061 | |
| .05 EATON VANCE ATL CAPITAL | 2019-03-15 | 2019-04-04 | $1 | $1 | |||
| .01 EATON VANCE ATL CAPITAL | 2019-03-15 | 2019-04-04 | |||||
| 727. EATON VANCE ATL CAPITAL | 2019-03-15 | 2019-05-30 | $17,194 | $16,706 | $488 | $488 | |
| .61 EATON VANCE ATL CAPITAL | 2019-03-15 | 2019-05-30 | $14 | $14 | |||
| 685.5 EATON VANCE ATL CAPITAL | 2019-03-15 | 2019-11-05 | $17,994 | $15,753 | $2,241 | $2,241 | |
| .62 EATON VANCE FLOATING-RATE FUND | 2019-03-15 | 2019-04-04 | $6 | $6 | |||
| .3 EATON VANCE FLOATING-RATE FUND | 2019-03-15 | 2019-04-04 | $3 | $3 | |||
| 5400. EATON VANCE FLOATING-RATE FUND | 2019-03-15 | 2019-04-04 | $48,168 | $48,168 | |||
| .7 EATON VANCE FLOATING-RATE FUND | 2019-03-15 | 2019-05-30 | $6 | $6 | |||
| .54 EATON VANCE FLOATING-RATE FUND | 2019-03-15 | 2019-05-30 | $5 | $5 | |||
| 1665. EATON VANCE FLOATING-RATE FUND | 2019-03-15 | 2019-05-30 | $14,835 | $14,852 | -$17 | -$17 | |
| 1569.81 EATON VANCE FLOATING-RATE FUND | 2019-03-15 | 2019-11-05 | $13,736 | $14,003 | -$267 | -$267 | |
| 5. FPA CRESCENT FUND | 2015-07-02 | 2019-03-15 | $165 | $168 | -$3 | -$3 | |
| 2035. FPA CRESCENT FUND | 2014-04-03 | 2019-03-15 | $67,033 | $68,580 | -$1,547 | -$1,547 | |
| 34. FPA CRESCENT FUND | 2014-04-25 | 2019-03-15 | $1,120 | $1,138 | -$18 | -$18 | |
| 295. FPA CRESCENT FUND | 2015-12-22 | 2019-03-15 | $9,717 | $9,074 | $643 | $643 | |
| .43 FPA CRESCENT FUND | 2018-03-27 | 2019-03-15 | $14 | $14 | $14 | ||
| 1. FPA CRESCENT FUND | 2015-12-22 | 2019-03-15 | $33 | $32 | $1 | $1 | |
| 204. FPA CRESCENT FUND | 2016-11-23 | 2019-03-15 | $6,720 | $6,854 | -$134 | -$134 | |
| 1. FPA CRESCENT FUND | 2016-11-23 | 2019-03-15 | $33 | $34 | -$1 | -$1 | |
| 113. FPA CRESCENT FUND | 2018-01-02 | 2019-03-15 | $3,722 | $3,937 | -$215 | -$215 | |
| .11 FPA CRESCENT FUND | 2018-03-27 | 2019-03-15 | $4 | $4 | $4 | ||
| 5. FPA CRESCENT FUND | 2018-12-04 | 2019-03-15 | $165 | $165 | $165 | ||
| .4 FPA CRESCENT FUND | 2018-12-19 | 2019-03-15 | $13 | $12 | $1 | $1 | |
| 1. FPA CRESCENT FUND | 2017-12-20 | 2019-03-15 | $33 | $34 | -$1 | -$1 | |
| 148. FPA CRESCENT FUND | 2016-11-23 | 2019-03-15 | $4,875 | $4,973 | -$98 | -$98 | |
| 113. FPA CRESCENT FUND | 2017-12-20 | 2019-03-15 | $3,722 | $3,902 | -$180 | -$180 | |
| .17 FPA CRESCENT FUND | 2018-12-19 | 2019-03-15 | $5 | $5 | |||
| 1. FPA CRESCENT FUND | 2018-12-19 | 2019-03-15 | $33 | $30 | $3 | $3 | |
| 102. FPA CRESCENT FUND | 2018-07-03 | 2019-03-15 | $3,360 | $3,495 | -$135 | -$135 | |
| 5. FPA CRESCENT FUND | 2018-01-18 | 2019-03-15 | $165 | $152 | $13 | $13 | |
| 228. FPA CRESCENT FUND | 2016-11-23 | 2019-03-15 | $7,510 | $7,661 | -$151 | -$151 | |
| 492. FPA CRESCENT FUND | 2016-11-28 | 2019-03-15 | $16,206 | $16,477 | -$271 | -$271 | |
| 1. FPA CRESCENT FUND | 2016-11-29 | 2019-03-15 | $33 | $34 | -$1 | -$1 | |
| 232. FPA CRESCENT FUND | 2016-11-29 | 2019-03-15 | $7,642 | $7,774 | -$132 | -$132 | |
| 170. FPA CRESCENT FUND | 2016-11-30 | 2019-03-15 | $5,600 | $5,710 | -$110 | -$110 | |
| .1 FPA CRESCENT FUND | 2016-11-30 | 2019-03-15 | $3 | $3 | |||
| 107. FPA CRESCENT FUND | 2018-12-19 | 2019-03-15 | $3,525 | $3,190 | $335 | $335 | |
| .09 FPA CRESCENT FUND | 2018-12-19 | 2019-03-15 | $3 | $3 | |||
| 189. FPA CRESCENT FUND | 2016-12-21 | 2019-04-04 | $6,309 | $6,226 | $83 | $83 | |
| .79 FPA CRESCENT FUND | 2016-11-30 | 2019-04-04 | $26 | $26 | |||
| 104. FPA CRESCENT FUND | 2016-11-30 | 2019-04-04 | $3,472 | $3,493 | -$21 | -$21 | |
| 1. FPA CRESCENT FUND | 2016-12-21 | 2019-04-04 | $33 | $33 | |||
| 1. FPA CRESCENT FUND | 2016-12-21 | 2019-04-04 | $33 | $33 | |||
| 1. FPA CRESCENT FUND | 2016-12-21 | 2019-04-04 | $33 | $33 | |||
| 329. FPA CRESCENT FUND | 2019-03-18 | 2019-04-04 | $10,982 | $10,982 | $10,982 | ||
| 293. FPA CRESCENT FUND | 2016-12-29 | 2019-04-04 | $9,780 | $9,587 | $193 | $193 | |
| .47 FPA CRESCENT FUND | 2016-12-29 | 2019-05-30 | $15 | $15 | |||
| 157. FPA CRESCENT FUND | 2018-01-02 | 2019-05-30 | $5,090 | $5,470 | -$380 | -$380 | |
| .12 FPA CRESCENT FUND | 2016-11-30 | 2019-05-30 | $4 | $4 | |||
| 125. FPA CRESCENT FUND | 2018-01-02 | 2019-05-30 | $4,053 | $4,355 | -$302 | -$302 | |
| 1. FPA CRESCENT FUND | 2018-01-02 | 2019-05-30 | $32 | $35 | -$3 | -$3 | |
| 6. FPA CRESCENT FUND | 2019-06-27 | 2019-06-27 | $198 | $198 | |||
| .07 FPA CRESCENT FUND | 2019-06-27 | 2019-06-27 | $2 | $2 | |||
| 253.26 FPA CRESCENT FUND | 2016-12-29 | 2019-11-05 | $8,596 | $8,287 | $309 | $309 | |
| 157. FPA CRESCENT FUND | 2018-01-30 | 2019-11-05 | $5,329 | $5,553 | -$224 | -$224 | |
| 1. FPA CRESCENT FUND | 2018-01-30 | 2019-11-05 | $34 | $35 | -$1 | -$1 | |
| 96.26 FPA CRESCENT FUND | 2016-12-29 | 2019-11-05 | $707 | $3,150 | -$2,443 | -$2,443 | |
| 159. FPA CRESCENT FUND | 2016-12-29 | 2019-11-05 | $1,168 | $5,202 | -$4,034 | -$4,034 | |
| 95.26 FPA CRESCENT FUND | 2018-01-02 | 2019-11-05 | $3,233 | $3,319 | -$86 | -$86 | |
| 272.96 FPA CRESCENT FUND | 2018-01-02 | 2019-11-05 | $9,264 | $9,510 | -$246 | -$246 | |
| .05 FIRST EAGLE GLOBAL FUND | 2017-12-19 | 2019-03-15 | $3 | $3 | $3 | ||
| 86. FIRST EAGLE GLOBAL FUND | 2018-01-12 | 2019-03-15 | $4,838 | $4,696 | $142 | $142 | |
| 1. FIRST EAGLE GLOBAL FUND | 2018-01-12 | 2019-03-15 | $56 | $55 | $1 | $1 | |
| 526. FIRST EAGLE GLOBAL FUND | 2018-01-12 | 2019-03-15 | $29,593 | $28,720 | $873 | $873 | |
| .48 FIRST EAGLE GLOBAL FUND | 2018-12-13 | 2019-03-15 | $27 | $25 | $2 | $2 | |
| 14. FIRST EAGLE GLOBAL FUND | 2018-12-13 | 2019-03-15 | $788 | $735 | $53 | $53 | |
| .38 FIRST EAGLE GLOBAL FUND | 2018-12-13 | 2019-03-15 | $21 | $20 | $1 | $1 | |
| 245. FIRST EAGLE GLOBAL FUND | 2018-12-13 | 2019-03-15 | $13,784 | $12,865 | $919 | $919 | |
| 1316. FIRST EAGLE GLOBAL FUND | 2018-01-02 | 2019-03-15 | $74,038 | $78,513 | -$4,475 | -$4,475 | |
| 80. FIRST EAGLE GLOBAL FUND | 2017-12-19 | 2019-03-15 | $4,501 | $4,501 | $4,501 | ||
| 516. FIRST EAGLE GLOBAL FUND | 2016-11-23 | 2019-03-15 | $29,030 | $29,247 | -$217 | -$217 | |
| 2699. FIRST EAGLE GLOBAL FUND | 2014-04-03 | 2019-03-15 | $151,846 | $149,956 | $1,890 | $1,890 | |
| 169. FIRST EAGLE GLOBAL FUND | 2014-12-17 | 2019-03-15 | $9,508 | $8,670 | $838 | $838 | |
| 1. FIRST EAGLE GLOBAL FUND | 2014-12-17 | 2019-03-15 | $56 | $54 | $2 | $2 | |
| 1. FIRST EAGLE GLOBAL FUND | 2014-12-17 | 2019-03-15 | $56 | $51 | $5 | $5 | |
| 378. FIRST EAGLE GLOBAL FUND | 2015-10-09 | 2019-03-15 | $21,266 | $19,909 | $1,357 | $1,357 | |
| 1. FIRST EAGLE GLOBAL FUND | 2015-10-09 | 2019-03-15 | $56 | $52 | $4 | $4 | |
| 43. FIRST EAGLE GLOBAL FUND | 2015-12-18 | 2019-03-15 | $2,419 | $2,202 | $217 | $217 | |
| 2. FIRST EAGLE GLOBAL FUND | 2015-12-18 | 2019-03-15 | $113 | $102 | $11 | $11 | |
| 1. FIRST EAGLE GLOBAL FUND | 2015-12-18 | 2019-03-15 | $56 | $54 | $2 | $2 | |
| 18. FIRST EAGLE GLOBAL FUND | 2015-12-21 | 2019-03-15 | $1,013 | $922 | $91 | $91 | |
| 436. FIRST EAGLE GLOBAL FUND | 2016-11-28 | 2019-03-15 | $24,529 | $24,739 | -$210 | -$210 | |
| 1. FIRST EAGLE GLOBAL FUND | 2017-12-14 | 2019-03-15 | $56 | $56 | |||
| 19. FIRST EAGLE GLOBAL FUND | 2016-11-29 | 2019-03-15 | $1,069 | $1,079 | -$10 | -$10 | |
| 206. FIRST EAGLE GLOBAL FUND | 2016-11-30 | 2019-03-15 | $11,590 | $11,697 | -$107 | -$107 | |
| 204. FIRST EAGLE GLOBAL FUND | 2016-12-15 | 2019-03-15 | $11,477 | $11,126 | $351 | $351 | |
| 8. FIRST EAGLE GLOBAL FUND | 2016-12-15 | 2019-03-15 | $450 | $436 | $14 | $14 | |
| 1. FIRST EAGLE GLOBAL FUND | 2016-12-15 | 2019-03-15 | $56 | $55 | $1 | $1 | |
| 8320. FIRST EAGLE GLOBAL FUND | 2016-12-29 | 2019-03-15 | $468,083 | $454,022 | $14,061 | $14,061 | |
| 368. FIRST EAGLE GLOBAL FUND | 2017-12-14 | 2019-03-15 | $20,704 | $21,642 | -$938 | -$938 | |
| 18. FIRST EAGLE GLOBAL FUND | 2017-12-14 | 2019-03-15 | $1,013 | $1,059 | -$46 | -$46 | |
| 13. FIRST EAGLE GLOBAL FUND | 2014-12-17 | 2019-03-15 | $731 | $667 | $64 | $64 | |
| .33 POLEN GROWTH FUND | 2019-03-15 | 2019-04-04 | $10 | $10 | |||
| 1866. POLEN GROWTH FUND | 2019-03-15 | 2019-04-04 | $56,111 | $54,189 | $1,922 | $1,922 | |
| .24 POLEN GROWTH FUND | 2019-03-15 | 2019-05-30 | $7 | $7 | |||
| .88 POLEN GROWTH FUND | 2019-03-15 | 2019-05-30 | $26 | $26 | |||
| 575. POLEN GROWTH FUND | 2019-03-15 | 2019-05-30 | $17,296 | $16,698 | $598 | $598 | |
| 542.45 POLEN GROWTH FUND | 2019-03-15 | 2019-11-05 | $17,722 | $15,753 | $1,969 | $1,969 | |
| 2027. GATEWAY FUND | 2018-01-02 | 2019-03-15 | $67,195 | $68,067 | -$872 | -$872 | |
| 1. GATEWAY FUND | 2018-01-02 | 2019-03-15 | $33 | $34 | -$1 | -$1 | |
| .71 GATEWAY FUND | 2018-11-30 | 2019-03-15 | $24 | $23 | $1 | $1 | |
| 527. GATEWAY FUND | 2018-11-30 | 2019-03-15 | $17,470 | $17,502 | -$32 | -$32 | |
| 3989. GATEWAY FUND | 2018-11-30 | 2019-03-15 | $132,235 | $132,475 | -$240 | -$240 | |
| .75 GATEWAY FUND | 2015-10-09 | 2019-03-15 | $25 | $22 | $3 | $3 | |
| 1777. GATEWAY FUND | 2016-12-29 | 2019-03-15 | $58,908 | $54,874 | $4,034 | $4,034 | |
| .09 GATEWAY FUND | 2018-11-30 | 2019-03-15 | $3 | $3 | |||
| 1. GATEWAY FUND | 2018-01-22 | 2019-05-30 | $33 | $33 | |||
| .1 GATEWAY FUND | 2019-04-04 | 2019-05-30 | $3 | $3 | |||
| 309. GATEWAY FUND | 2018-01-22 | 2019-05-30 | $10,076 | $10,404 | -$328 | -$328 | |
| .58 GATEWAY FUND | 2015-10-09 | 2019-05-30 | $19 | $17 | $2 | $2 | |
| 292.89 GATEWAY FUND | 2018-01-22 | 2019-11-05 | $10,014 | $9,862 | $152 | $152 | |
| 1757. IVA WORLDWIDE FUND | 2019-03-15 | 2019-04-04 | $29,616 | $30,115 | -$499 | -$499 | |
| .13 IVA WORLDWIDE FUND | 2019-03-15 | 2019-04-04 | $2 | $2 | |||
| .34 IVA WORLDWIDE FUND | 2019-03-15 | 2019-05-30 | $6 | $6 | |||
| 542. IVA WORLDWIDE FUND | 2019-03-15 | 2019-05-30 | $9,030 | $9,290 | -$260 | -$260 | |
| 510.39 IVA WORLDWIDE FUND | 2019-03-15 | 2019-11-05 | $8,932 | $8,748 | $184 | $184 | |
| .2 IVA WORLDWIDE FUND | 2019-03-15 | 2019-11-05 | $3 | $3 | |||
| 278. LORD ABBETT FLOATING RATE FUND | 2016-11-30 | 2019-03-15 | $2,474 | $2,546 | -$72 | -$72 | |
| 18109. LORD ABBETT FLOATING RATE FUND | 2018-01-02 | 2019-03-15 | $161,170 | $166,060 | -$4,890 | -$4,890 | |
| 1. LORD ABBETT FLOATING RATE FUND | 2016-11-29 | 2019-03-15 | $9 | $9 | |||
| 710. LORD ABBETT FLOATING RATE FUND | 2016-11-29 | 2019-03-15 | $6,319 | $6,497 | -$178 | -$178 | |
| 12928. LORD ABBETT FLOATING RATE FUND | 2016-09-09 | 2019-03-15 | $115,059 | $117,903 | -$2,844 | -$2,844 | |
| .54 LORD ABBETT FLOATING RATE FUND | 2016-09-09 | 2019-03-15 | $5 | $5 | |||
| 1778. LORD ABBETT FLOATING RATE FUND | 2016-11-23 | 2019-03-15 | $15,824 | $16,251 | -$427 | -$427 | |
| 1503. LORD ABBETT FLOATING RATE FUND | 2016-11-28 | 2019-03-15 | $13,377 | $13,752 | -$375 | -$375 | |
| 1. LORD ABBETT FLOATING RATE FUND | 2016-11-28 | 2019-03-15 | $9 | $9 | |||
| 1. LORD ABBETT SHORT DURATION INCOME FUND | 2016-12-30 | 2019-03-15 | $4 | $4 | |||
| 1. LORD ABBETT SHORT DURATION INCOME FUND | 2015-05-29 | 2019-03-15 | $4 | $4 | |||
| 1. LORD ABBETT SHORT DURATION INCOME FUND | 2015-08-31 | 2019-03-15 | $4 | $4 | |||
| 6918. LORD ABBETT SHORT DURATION INCOME FUND | 2016-03-24 | 2019-03-15 | $28,848 | $29,817 | -$969 | -$969 | |
| 1. LORD ABBETT SHORT DURATION INCOME FUND | 2016-03-31 | 2019-03-15 | $4 | $4 | |||
| 1. LORD ABBETT SHORT DURATION INCOME FUND | 2016-04-29 | 2019-03-15 | $4 | $4 | |||
| 2884. LORD ABBETT SHORT DURATION INCOME FUND | 2016-11-23 | 2019-03-15 | $12,026 | $12,430 | -$404 | -$404 | |
| 1. LORD ABBETT SHORT DURATION INCOME FUND | 2016-11-28 | 2019-03-15 | $4 | $4 | |||
| 3191. LORD ABBETT SHORT DURATION INCOME FUND | 2016-11-28 | 2019-03-15 | $13,306 | $13,753 | -$447 | -$447 | |
| 1509. LORD ABBETT SHORT DURATION INCOME FUND | 2016-11-29 | 2019-03-15 | $6,293 | $6,504 | -$211 | -$211 | |
| 1752. LORD ABBETT SHORT DURATION INCOME FUND | 2016-11-30 | 2019-03-15 | $7,306 | $7,551 | -$245 | -$245 | |
| 58472. LORD ABBETT SHORT DURATION INCOME FUND | 2016-12-29 | 2019-03-15 | $243,828 | $251,430 | -$7,602 | -$7,602 | |
| 28360. LORD ABBETT SHORT DURATION INCOME FUND | 2018-01-02 | 2019-03-15 | $118,261 | $120,530 | -$2,269 | -$2,269 | |
| 2455. LORD ABBETT SHORT DURATION INCOME FUND | 2018-12-04 | 2019-03-15 | $10,237 | $10,237 | $10,237 | ||
| 384. LORD ABBETT SHORT DURATION INCOME FUND | 2019-01-31 | 2019-03-15 | $1,601 | $1,597 | $4 | $4 | |
| 391. LORD ABBETT SHORT DURATION INCOME FUND | 2019-02-28 | 2019-03-15 | $1,630 | $1,630 | |||
| .88 LORD ABBETT SHORT DURATION INCOME FUND | 2019-02-28 | 2019-03-15 | $4 | $4 | |||
| 1. LORD ABBETT SHORT DURATION INCOME FUND | 2015-06-30 | 2019-03-15 | $4 | $4 | |||
| 1. LORD ABBETT SHORT DURATION INCOME FUND | 2015-04-30 | 2019-03-15 | $4 | $4 | |||
| 1. LORD ABBETT SHORT DURATION INCOME FUND | 2015-02-27 | 2019-03-15 | $4 | $4 | |||
| 1. LORD ABBETT SHORT DURATION INCOME FUND | 2014-04-03 | 2019-03-15 | $4 | $5 | -$1 | -$1 | |
| .11 LORD ABBETT SHORT DURATION INCOME FUND | 2014-04-03 | 2019-03-15 | $1 | -$1 | -$1 | ||
| 9715. LORD ABBETT SHORT DURATION INCOME FUND | 2014-04-03 | 2019-03-15 | $40,512 | $44,203 | -$3,691 | -$3,691 | |
| 213. LORD ABBETT SHORT DURATION INCOME FUND | 2014-04-03 | 2019-03-15 | $888 | $969 | -$81 | -$81 | |
| 45. LORD ABBETT SHORT DURATION INCOME FUND | 2014-04-04 | 2019-03-15 | $188 | $205 | -$17 | -$17 | |
| 31. LORD ABBETT SHORT DURATION INCOME FUND | 2014-04-18 | 2019-03-15 | $129 | $142 | -$13 | -$13 | |
| 2449. LORD ABBETT SHORT DURATION INCOME FUND | 2014-04-18 | 2019-03-15 | $10,212 | $11,143 | -$931 | -$931 | |
| 309. LORD ABBETT SHORT DURATION INCOME FUND | 2014-04-18 | 2019-03-15 | $1,289 | $1,406 | -$117 | -$117 | |
| 593. LORD ABBETT SHORT DURATION INCOME FUND | 2014-04-18 | 2019-03-15 | $2,473 | $2,698 | -$225 | -$225 | |
| 333. LORD ABBETT SHORT DURATION INCOME FUND | 2014-05-01 | 2019-03-15 | $1,389 | $1,515 | -$126 | -$126 | |
| 31. LORD ABBETT SHORT DURATION INCOME FUND | 2014-05-16 | 2019-03-15 | $129 | $141 | -$12 | -$12 | |
| 1. LORD ABBETT SHORT DURATION INCOME FUND | 2014-10-31 | 2019-03-15 | $4 | $5 | -$1 | -$1 | |
| 1. LORD ABBETT SHORT DURATION INCOME FUND | 2014-11-28 | 2019-03-15 | $4 | $5 | -$1 | -$1 | |
| 13. LORD ABBETT SHORT DURATION INCOME FUND | 2014-04-17 | 2019-04-04 | $54 | $59 | -$5 | -$5 | |
| .11 LORD ABBETT SHORT DURATION INCOME FUND | 2019-03-29 | 2019-04-04 | |||||
| 1. LORD ABBETT SHORT DURATION INCOME FUND | 2014-04-17 | 2019-04-04 | $4 | $5 | -$1 | -$1 | |
| .05 LORD ABBETT SHORT DURATION INCOME FUND | 2019-04-30 | 2019-05-30 | |||||
| 1. LORD ABBETT SHORT DURATION INCOME FUND | 2014-05-13 | 2019-05-30 | $4 | $5 | -$1 | -$1 | |
| 3. LORD ABBETT SHORT DURATION INCOME FUND | 2014-04-17 | 2019-05-30 | $13 | $14 | -$1 | -$1 | |
| .32 LORD ABBETT SHORT DURATION INCOME FUND | 2019-03-29 | 2019-05-30 | $1 | $1 | |||
| .57 LORD ABBETT SHORT DURATION INCOME FUND | 2019-10-31 | 2019-11-05 | $2 | $2 | |||
| .61 LORD ABBETT SHORT DURATION INCOME FUND | 2019-09-30 | 2019-11-05 | $3 | $3 | |||
| .6 LORD ABBETT SHORT DURATION INCOME FUND | 2019-08-30 | 2019-11-05 | $3 | $3 | |||
| 196. LORD ABBETT SHORT DURATION INCOME FUND | 2014-04-17 | 2019-11-05 | $825 | $896 | -$71 | -$71 | |
| 1. LORD ABBETT SHORT DURATION INCOME FUND | 2014-05-14 | 2019-11-05 | $4 | $5 | -$1 | -$1 | |
| 1. LORD ABBETT SHORT DURATION INCOME FUND | 2019-07-31 | 2019-11-05 | $4 | $4 | |||
| .56 LORD ABBETT SHORT DURATION INCOME FUND | 2019-07-31 | 2019-11-05 | $2 | $2 | |||
| .1 LORD ABBETT SHORT DURATION INCOME FUND | 2019-11-29 | 2019-12-19 | |||||
| 353. MFS INTERNATIONAL VALUE FUND | 2012-12-19 | 2019-03-15 | $15,617 | $9,976 | $5,641 | $5,641 | |
| .06 MFS INTERNATIONAL VALUE FUND | 2017-12-19 | 2019-03-15 | $3 | $3 | $3 | ||
| .22 MFS INTERNATIONAL VALUE FUND | 2018-12-13 | 2019-03-15 | $10 | $9 | $1 | $1 | |
| 363. MFS INTERNATIONAL VALUE FUND | 2018-12-13 | 2019-03-15 | $16,059 | $14,752 | $1,307 | $1,307 | |
| 199. MFS INTERNATIONAL VALUE FUND | 2017-12-19 | 2019-03-15 | $8,804 | $8,804 | $8,804 | ||
| .82 MFS INTERNATIONAL VALUE FUND | 2017-12-19 | 2019-03-15 | $36 | $36 | $36 | ||
| 824. MFS INTERNATIONAL VALUE FUND | 2012-12-19 | 2019-04-04 | $36,874 | $23,286 | $13,588 | $13,588 | |
| .18 MFS INTERNATIONAL VALUE FUND | 2017-12-19 | 2019-04-04 | $8 | $8 | $8 | ||
| .21 MFS INTERNATIONAL VALUE FUND | 2017-12-19 | 2019-04-04 | $9 | $9 | $9 | ||
| 254. MFS INTERNATIONAL VALUE FUND | 2012-12-19 | 2019-05-30 | $11,278 | $7,178 | $4,100 | $4,100 | |
| .45 MFS INTERNATIONAL VALUE FUND | 2017-12-19 | 2019-05-30 | $20 | $20 | $20 | ||
| 346.06 MFS INTERNATIONAL VALUE FUND | 2012-12-19 | 2019-11-05 | $16,493 | $9,780 | $6,713 | $6,713 | |
| 1063. TORTOISE MLP & PIPELINE FUND | 2016-11-23 | 2019-03-15 | $13,936 | $14,112 | -$176 | -$176 | |
| 1. TORTOISE MLP & PIPELINE FUND | 2016-11-28 | 2019-03-15 | $13 | $13 | |||
| 438. TORTOISE MLP & PIPELINE FUND | 2016-11-29 | 2019-03-15 | $5,742 | $5,631 | $111 | $111 | |
| 1. TORTOISE MLP & PIPELINE FUND | 2016-11-29 | 2019-03-15 | $13 | $13 | |||
| 149. TORTOISE MLP & PIPELINE FUND | 2016-11-30 | 2019-03-15 | $1,953 | $1,980 | -$27 | -$27 | |
| 12541. TORTOISE MLP & PIPELINE FUND | 2016-12-29 | 2019-03-15 | $164,413 | $169,996 | -$5,583 | -$5,583 | |
| 9627. TORTOISE MLP & PIPELINE FUND | 2018-01-02 | 2019-03-15 | $126,210 | $129,453 | -$3,243 | -$3,243 | |
| 917. TORTOISE MLP & PIPELINE FUND | 2016-11-28 | 2019-03-15 | $12,022 | $11,935 | $87 | $87 | |
| .14 TORTOISE MLP & PIPELINE FUND | 2016-01-06 | 2019-03-15 | $2 | $1 | $1 | $1 | |
| 632. TORTOISE MLP & PIPELINE FUND | 2016-01-06 | 2019-03-15 | $8,286 | $5,812 | $2,474 | $2,474 | |
| 6703. TORTOISE MLP & PIPELINE FUND | 2015-12-30 | 2019-03-15 | $87,876 | $62,243 | $25,633 | $25,633 | |
| 219. TORTOISE MLP & PIPELINE FUND | 2015-12-30 | 2019-03-15 | $2,871 | $2,086 | $785 | $785 | |
| 115. MATTHEWS ASIA DIVIDEND FUND | 2019-03-15 | 2019-04-04 | $2,000 | $1,981 | $19 | $19 | |
| 388. MATTHEWS ASIA DIVIDEND FUND | 2018-12-12 | 2019-04-04 | $6,747 | $6,363 | $384 | $384 | |
| .07 MATTHEWS ASIA DIVIDEND FUND | 2017-12-19 | 2019-04-04 | $1 | $1 | $1 | ||
| 158. MATTHEWS ASIA DIVIDEND FUND | 2018-12-12 | 2019-04-04 | $2,748 | $2,591 | $157 | $157 | |
| .05 MATTHEWS ASIA DIVIDEND FUND | 2017-12-19 | 2019-04-04 | $1 | $1 | $1 | ||
| 89. MATTHEWS ASIA DIVIDEND FUND | 2018-09-27 | 2019-04-04 | $1,548 | $1,523 | $25 | $25 | |
| 140. MATTHEWS ASIA DIVIDEND FUND | 2018-06-28 | 2019-04-04 | $2,435 | $2,498 | -$63 | -$63 | |
| .01 MATTHEWS ASIA DIVIDEND FUND | 2017-12-19 | 2019-04-04 | |||||
| 140. MATTHEWS ASIA DIVIDEND FUND | 2018-06-28 | 2019-04-04 | $2,435 | $2,520 | -$85 | -$85 | |
| .51 MATTHEWS ASIA DIVIDEND FUND | 2017-12-19 | 2019-04-04 | $9 | $9 | $9 | ||
| 31. MATTHEWS ASIA DIVIDEND FUND | 2017-12-19 | 2019-04-04 | $539 | $539 | $539 | ||
| .18 MATTHEWS ASIA DIVIDEND FUND | 2017-12-19 | 2019-05-30 | $3 | $3 | $3 | ||
| .15 MATTHEWS ASIA DIVIDEND FUND | 2019-03-15 | 2019-05-30 | $2 | $3 | -$1 | -$1 | |
| 67. MATTHEWS ASIA DIVIDEND FUND | 2018-12-12 | 2019-05-30 | $1,083 | $1,099 | -$16 | -$16 | |
| 260. MATTHEWS ASIA DIVIDEND FUND | 2016-11-23 | 2019-05-30 | $4,204 | $4,164 | $40 | $40 | |
| .15 MATTHEWS ASIA DIVIDEND FUND | 2019-03-15 | 2019-05-30 | $2 | $3 | -$1 | -$1 | |
| 240. MATTHEWS ASIA DIVIDEND FUND | 2016-11-23 | 2019-11-05 | $4,202 | $3,843 | $359 | $359 | |
| 1. MATTHEWS ASIA DIVIDEND FUND | 2016-12-29 | 2019-11-05 | $18 | $15 | $3 | $3 | |
| 71.82 MATTHEWS ASIA DIVIDEND FUND | 2016-12-29 | 2019-11-05 | $1,258 | $1,110 | $148 | $148 | |
| 236. MERGER FUND/THE | 2016-12-29 | 2019-03-15 | $3,922 | $3,689 | $233 | $233 | |
| 244. MERGER FUND/THE | 2016-11-23 | 2019-03-15 | $4,055 | $3,807 | $248 | $248 | |
| 1. MERGER FUND/THE | 2016-11-28 | 2019-03-15 | $17 | $16 | $1 | $1 | |
| 334. MERGER FUND/THE | 2016-11-29 | 2019-03-15 | $5,551 | $5,197 | $354 | $354 | |
| 389. MERGER FUND/THE | 2016-11-30 | 2019-03-15 | $6,465 | $6,053 | $412 | $412 | |
| 1. MERGER FUND/THE | 2016-12-29 | 2019-03-15 | $17 | $16 | $1 | $1 | |
| 5044. MERGER FUND/THE | 2016-12-29 | 2019-03-15 | $83,831 | $78,842 | $4,989 | $4,989 | |
| 1. MERGER FUND/THE | 2016-12-29 | 2019-03-15 | $17 | $16 | $1 | $1 | |
| 195. MERGER FUND/THE | 2018-03-27 | 2019-03-15 | $3,241 | $3,241 | $3,241 | ||
| 442. MERGER FUND/THE | 2018-11-30 | 2019-03-15 | $7,346 | $7,514 | -$168 | -$168 | |
| .73 MERGER FUND/THE | 2018-12-28 | 2019-03-15 | $12 | $12 | |||
| .82 MERGER FUND/THE | 2018-12-28 | 2019-03-15 | $14 | $13 | $1 | $1 | |
| 442. MERGER FUND/THE | 2018-12-28 | 2019-03-15 | $7,346 | $7,187 | $159 | $159 | |
| 1. MERGER FUND/THE | 2016-12-29 | 2019-03-15 | $17 | $16 | $1 | $1 | |
| 441. MERGER FUND/THE | 2016-12-29 | 2019-03-15 | $7,329 | $6,893 | $436 | $436 | |
| 170. MERGER FUND/THE | 2018-12-28 | 2019-03-15 | $2,825 | $2,764 | $61 | $61 | |
| 271. MERGER FUND/THE | 2018-12-28 | 2019-03-15 | $4,504 | $4,406 | $98 | $98 | |
| 1. MERGER FUND/THE | 2018-12-28 | 2019-03-15 | $17 | $17 | |||
| 170. MERGER FUND/THE | 2018-12-28 | 2019-03-15 | $2,825 | $2,764 | $61 | $61 | |
| .78 MERGER FUND/THE | 2016-12-29 | 2019-03-15 | $13 | $12 | $1 | $1 | |
| 442. MERGER FUND/THE | 2016-12-29 | 2019-03-15 | $7,346 | $6,909 | $437 | $437 | |
| 1396. MERGER FUND/THE | 2016-12-29 | 2019-03-15 | $23,202 | $21,821 | $1,381 | $1,381 | |
| 1. MERGER FUND/THE | 2016-12-29 | 2019-03-15 | $17 | $16 | $1 | $1 | |
| 705. MERGER FUND/THE | 2016-11-28 | 2019-03-15 | $11,717 | $10,992 | $725 | $725 | |
| 574. MERGER FUND/THE | 2016-11-23 | 2019-03-15 | $9,540 | $8,955 | $585 | $585 | |
| 679. MERGER FUND/THE | 2014-09-24 | 2019-03-15 | $11,285 | $11,128 | $157 | $157 | |
| 225. MERGER FUND/THE | 2016-09-09 | 2019-03-15 | $3,740 | $3,490 | $250 | $250 | |
| 43. MERGER FUND/THE | 2014-12-30 | 2019-03-15 | $715 | $671 | $44 | $44 | |
| 1. MERGER FUND/THE | 2014-12-30 | 2019-03-15 | $17 | $16 | $1 | $1 | |
| 2336. MERGER FUND/THE | 2015-10-09 | 2019-03-15 | $38,824 | $36,258 | $2,566 | $2,566 | |
| 1. MERGER FUND/THE | 2015-10-09 | 2019-03-15 | $17 | $16 | $1 | $1 | |
| 1. MERGER FUND/THE | 2015-12-28 | 2019-03-15 | $17 | $16 | $1 | $1 | |
| 24. MERGER FUND/THE | 2015-12-28 | 2019-03-15 | $399 | $366 | $33 | $33 | |
| 1. MERGER FUND/THE | 2015-12-28 | 2019-03-15 | $17 | $15 | $2 | $2 | |
| 40. MERGER FUND/THE | 2015-12-29 | 2019-03-15 | $665 | $610 | $55 | $55 | |
| 482. MERGER FUND/THE | 2016-03-24 | 2019-03-15 | $8,011 | $7,409 | $602 | $602 | |
| 442. MERGER FUND/THE | 2018-12-20 | 2019-05-30 | $7,333 | $7,536 | -$203 | -$203 | |
| 177. MERGER FUND/THE | 2018-11-30 | 2019-05-30 | $2,936 | $3,009 | -$73 | -$73 | |
| .5 MERGER FUND/THE | 2019-04-04 | 2019-05-30 | $8 | $8 | |||
| 1. MERGER FUND/THE | 2019-11-05 | 2019-11-05 | $17 | $17 | |||
| .59 MERGER FUND/THE | 2019-11-05 | 2019-11-05 | $10 | $10 | |||
| 1. MERGER FUND/THE | 2019-11-05 | 2019-11-05 | $17 | $17 | |||
| 442. MERGER FUND/THE | 2019-11-05 | 2019-11-05 | $7,346 | $7,576 | -$230 | -$230 | |
| 1. MERGER FUND/THE | 2019-11-05 | 2019-11-05 | $17 | $17 | |||
| 2527.24 MERGER FUND/THE | 2018-11-30 | 2019-11-05 | $43,317 | $42,963 | $354 | $354 | |
| 1. MERGER FUND/THE | 2019-11-05 | 2019-11-05 | $17 | $17 | |||
| 1. MERGER FUND/THE | 2019-11-05 | 2019-11-05 | $17 | $17 | |||
| 6674.17 MERGER FUND/THE | 2018-11-30 | 2019-12-20 | $115,530 | $113,461 | $2,069 | $2,069 | |
| .33 MERGER FUND/THE | 2019-04-04 | 2019-12-20 | $6 | $5 | $1 | $1 | |
| 9610.08 MERGER FUND/THE | 2019-04-04 | 2019-12-20 | $166,351 | $160,200 | $6,151 | $6,151 | |
| 3269.41 MERGER FUND/THE | 2016-12-29 | 2019-12-20 | $56,593 | $51,104 | $5,489 | $5,489 | |
| 223. NUVEEN SHORT DURATION HI | 2019-03-29 | 2019-04-04 | $2,308 | $2,310 | -$2 | -$2 | |
| 1. NUVEEN SHORT DURATION HI | 2019-03-29 | 2019-04-04 | $10 | $10 | |||
| 6054. NUVEEN SHORT DURATION HI | 2019-03-15 | 2019-04-04 | $62,659 | $62,356 | $303 | $303 | |
| .54 NUVEEN SHORT DURATION HI | 2019-03-15 | 2019-04-04 | $6 | $6 | |||
| 78. NUVEEN SHORT DURATION HI | 2019-02-28 | 2019-04-04 | $807 | $800 | $7 | $7 | |
| .45 NUVEEN SHORT DURATION HI | 2018-12-04 | 2019-04-04 | $5 | $5 | $5 | ||
| 151. NUVEEN SHORT DURATION HI | 2016-09-09 | 2019-04-04 | $1,563 | $1,561 | $2 | $2 | |
| 1. NUVEEN SHORT DURATION HI | 2016-09-09 | 2019-04-04 | $10 | $10 | |||
| 1. NUVEEN SHORT DURATION HI | 2019-03-29 | 2019-04-04 | $10 | $10 | |||
| .16 NUVEEN SHORT DURATION HI | 2019-03-29 | 2019-04-04 | $2 | $2 | |||
| 1. NUVEEN SHORT DURATION HI | 2016-09-09 | 2019-04-04 | $10 | $10 | |||
| 151. NUVEEN SHORT DURATION HI | 2016-09-09 | 2019-04-04 | $1,563 | $1,569 | -$6 | -$6 | |
| 223. NUVEEN SHORT DURATION HI | 2019-04-24 | 2019-04-24 | $2,308 | $2,321 | -$13 | -$13 | |
| 1. NUVEEN SHORT DURATION HI | 2019-04-30 | 2019-04-30 | $10 | $10 | |||
| .19 NUVEEN SHORT DURATION HI | 2019-04-30 | 2019-04-30 | $2 | $2 | |||
| 1. NUVEEN SHORT DURATION HI | 2019-04-30 | 2019-04-30 | $10 | $10 | |||
| 90. NUVEEN SHORT DURATION HI | 2019-04-30 | 2019-04-30 | $932 | $936 | -$4 | -$4 | |
| 364. NUVEEN SHORT DURATION HI | 2016-09-09 | 2019-05-30 | $3,811 | $3,782 | $29 | $29 | |
| .27 NUVEEN SHORT DURATION HI | 2018-12-04 | 2019-05-30 | $3 | $3 | $3 | ||
| .55 NUVEEN SHORT DURATION HI | 2018-12-04 | 2019-05-30 | $6 | $6 | $6 | ||
| 1812. NUVEEN SHORT DURATION HI | 2019-03-15 | 2019-05-30 | $18,972 | $18,664 | $308 | $308 | |
| 56. NUVEEN SHORT DURATION HI | 2019-05-31 | 2019-05-31 | $580 | $587 | -$7 | -$7 | |
| .36 NUVEEN SHORT DURATION HI | 2019-05-31 | 2019-05-31 | $4 | $4 | |||
| 1. NUVEEN SHORT DURATION HI | 2019-07-31 | 2019-11-05 | $11 | $10 | $1 | $1 | |
| 102. NUVEEN SHORT DURATION HI | 2019-05-31 | 2019-11-05 | $1,073 | $1,069 | $4 | $4 | |
| 304. NUVEEN SHORT DURATION HI | 2019-06-28 | 2019-11-05 | $3,198 | $3,189 | $9 | $9 | |
| 53.76 NUVEEN SHORT DURATION HI | 2019-07-31 | 2019-11-05 | $566 | $566 | |||
| .8 NUVEEN SHORT DURATION HI | 2019-07-31 | 2019-11-05 | $8 | $8 | |||
| 102. NUVEEN SHORT DURATION HI | 2019-07-31 | 2019-11-05 | $1,073 | $1,073 | |||
| 303.47 NUVEEN SHORT DURATION HI | 2019-08-30 | 2019-11-05 | $3,192 | $3,217 | -$25 | -$25 | |
| 306.07 NUVEEN SHORT DURATION HI | 2019-09-30 | 2019-11-05 | $3,220 | $3,226 | -$6 | -$6 | |
| 307.37 NUVEEN SHORT DURATION HI | 2019-10-31 | 2019-11-05 | $3,234 | $3,237 | -$3 | -$3 | |
| 148.24 NUVEEN SHORT DURATION HI | 2019-07-31 | 2019-11-05 | $1,560 | $1,560 | |||
| 1. RIVERNORTH DOUBLE LINE | 2016-09-24 | 2019-03-15 | $10 | $11 | -$1 | -$1 | |
| 142. RIVERNORTH DOUBLE LINE | 2018-03-27 | 2019-03-15 | $1,437 | $1,437 | $1,437 | ||
| .57 RIVERNORTH DOUBLE LINE | 2018-03-27 | 2019-03-15 | $6 | $6 | $6 | ||
| .43 RIVERNORTH DOUBLE LINE | 2019-02-27 | 2019-03-15 | $4 | $4 | |||
| 20. RIVERNORTH DOUBLE LINE | 2019-02-27 | 2019-03-15 | $202 | $202 | |||
| 1. RIVERNORTH DOUBLE LINE | 2016-11-23 | 2019-03-15 | $10 | $10 | |||
| 194. RIVERNORTH DOUBLE LINE | 2016-03-24 | 2019-03-15 | $1,963 | $1,985 | -$22 | -$22 | |
| 2716. RIVERNORTH DOUBLE LINE | 2016-03-24 | 2019-03-15 | $27,486 | $27,788 | -$302 | -$302 | |
| 20. RIVERNORTH DOUBLE LINE | 2016-12-29 | 2019-03-15 | $202 | $209 | -$7 | -$7 | |
| 332. RIVERNORTH DOUBLE LINE | 2018-03-27 | 2019-03-15 | $3,360 | $3,360 | $3,360 | ||
| .32 RIVERNORTH DOUBLE LINE | 2018-03-27 | 2019-03-15 | $3 | $3 | $3 | ||
| 1381. RIVERNORTH DOUBLE LINE | 2018-12-04 | 2019-03-15 | $13,976 | $13,976 | $13,976 | ||
| .43 RIVERNORTH DOUBLE LINE | 2019-03-29 | 2019-03-29 | $4 | $4 | |||
| 162. RIVERNORTH DOUBLE LINE | 2016-04-07 | 2019-04-04 | $1,644 | $1,659 | -$15 | -$15 | |
| 1. RIVERNORTH DOUBLE LINE | 2016-04-07 | 2019-04-04 | $10 | $10 | |||
| 31. RIVERNORTH DOUBLE LINE | 2016-04-07 | 2019-04-04 | $315 | $317 | -$2 | -$2 | |
| 1. RIVERNORTH DOUBLE LINE | 2016-10-08 | 2019-04-04 | $10 | $11 | -$1 | -$1 | |
| .06 RIVERNORTH DOUBLE LINE | 2018-03-27 | 2019-04-04 | $1 | $1 | $1 | ||
| 1. RIVERNORTH DOUBLE LINE | 2016-12-07 | 2019-04-04 | $10 | $10 | |||
| 22. RIVERNORTH DOUBLE LINE | 2019-03-18 | 2019-04-04 | $223 | $223 | $223 | ||
| .07 RIVERNORTH DOUBLE LINE | 2019-03-29 | 2019-04-04 | $1 | $1 | |||
| 1. RIVERNORTH DOUBLE LINE | 2016-11-23 | 2019-04-04 | $10 | $10 | |||
| .19 RIVERNORTH DOUBLE LINE | 2016-03-24 | 2019-04-04 | $2 | $2 | |||
| 2413. RIVERNORTH DOUBLE LINE | 2016-03-24 | 2019-04-04 | $24,492 | $24,688 | -$196 | -$196 | |
| 196. RIVERNORTH DOUBLE LINE | 2016-12-29 | 2019-04-04 | $1,989 | $2,050 | -$61 | -$61 | |
| 1. RIVERNORTH DOUBLE LINE | 2016-03-24 | 2019-04-04 | $10 | $10 | |||
| 1. RIVERNORTH DOUBLE LINE | 2016-05-03 | 2019-04-04 | $10 | $10 | |||
| 1. RIVERNORTH DOUBLE LINE | 2016-04-19 | 2019-04-04 | $10 | $10 | |||
| 162. RIVERNORTH DOUBLE LINE | 2016-05-03 | 2019-04-04 | $1,644 | $1,661 | -$17 | -$17 | |
| .07 RIVERNORTH DOUBLE LINE | 2019-04-30 | 2019-04-30 | $1 | $1 | |||
| 663. RIVERNORTH DOUBLE LINE | 2016-11-28 | 2019-05-30 | $6,756 | $6,940 | -$184 | -$184 | |
| 1. RIVERNORTH DOUBLE LINE | 2016-11-23 | 2019-05-30 | $10 | $10 | |||
| .17 RIVERNORTH DOUBLE LINE | 2016-03-24 | 2019-05-30 | $2 | $2 | |||
| 263. RIVERNORTH DOUBLE LINE | 2016-12-29 | 2019-05-30 | $2,680 | $2,750 | -$70 | -$70 | |
| 8.75 RIVERNORTH DOUBLE LINE | 2019-06-28 | 2019-11-05 | $90 | $90 | |||
| 1. RIVERNORTH DOUBLE LINE | 2019-06-28 | 2019-11-05 | $10 | $10 | |||
| 173.15 RIVERNORTH DOUBLE LINE | 2019-06-28 | 2019-11-05 | $1,780 | $1,783 | -$3 | -$3 | |
| 1. RIVERNORTH DOUBLE LINE | 2019-06-28 | 2019-11-05 | $10 | $10 | |||
| 1.11 RIVERNORTH DOUBLE LINE | 2019-06-28 | 2019-11-05 | $11 | $11 | |||
| 183. RIVERNORTH DOUBLE LINE | 2019-07-31 | 2019-11-05 | $1,881 | $1,887 | -$6 | -$6 | |
| .48 RIVERNORTH DOUBLE LINE | 2019-07-31 | 2019-11-05 | $5 | $5 | |||
| 166.61 RIVERNORTH DOUBLE LINE | 2019-08-30 | 2019-11-05 | $1,713 | $1,724 | -$11 | -$11 | |
| 183.77 RIVERNORTH DOUBLE LINE | 2019-09-30 | 2019-11-05 | $1,889 | $1,897 | -$8 | -$8 | |
| 177.19 RIVERNORTH DOUBLE LINE | 2019-10-31 | 2019-11-05 | $1,822 | $1,823 | -$1 | -$1 | |
| 1483. VANGUARD DIVIDEND APPRECIATION ETF | 2016-02-02 | 2019-03-15 | $161,386 | $151,667 | $9,719 | $9,719 | |
| 1483. VANGUARD DIVIDEND APPRECIATION ETF | 2016-02-02 | 2019-03-15 | $161,386 | $151,666 | $9,720 | $9,720 | |
| 1167. VANGUARD DIVIDEND APPRECIATION ETF | 2016-02-02 | 2019-03-15 | $126,997 | $119,349 | $7,648 | $7,648 | |
| 25. VANGUARD DIVIDEND APPRECIATION ETF | 2016-12-29 | 2019-03-15 | $2,721 | $2,137 | $584 | $584 | |
| 531. VANGUARD DIVIDEND APPRECIATION ETF | 2016-01-20 | 2019-03-15 | $57,785 | $54,306 | $3,479 | $3,479 | |
| 442. VANGUARD DIVIDEND APPRECIATION ETF | 2016-12-29 | 2019-04-04 | $48,671 | $37,782 | $10,889 | $10,889 | |
| 137. VANGUARD DIVIDEND APPRECIATION ETF | 2016-12-29 | 2019-05-30 | $14,971 | $11,711 | $3,260 | $3,260 | |
| 129. VANGUARD DIVIDEND APPRECIATION ETF | 2015-10-09 | 2019-11-05 | $15,446 | $9,969 | $5,477 | $5,477 | |
| 94. VANGUARD FTSE DEVELOPED MARKETS ETF | 2018-01-02 | 2019-04-04 | $3,912 | $4,204 | -$292 | -$292 | |
| 94. VANGUARD FTSE DEVELOPED MARKETS ETF | 2018-01-02 | 2019-04-04 | $3,912 | $4,247 | -$335 | -$335 | |
| 277. VANGUARD FTSE DEVELOPED MARKETS ETF | 2019-03-15 | 2019-04-04 | $11,529 | $11,400 | $129 | $129 | |
| 264. VANGUARD FTSE DEVELOPED MARKETS ETF | 2016-09-09 | 2019-04-04 | $10,988 | $9,825 | $1,163 | $1,163 | |
| 3. VANGUARD FTSE DEVELOPED MARKETS ETF | 2016-12-29 | 2019-04-04 | $125 | $109 | $16 | $16 | |
| 225. VANGUARD FTSE DEVELOPED MARKETS ETF | 2016-12-29 | 2019-05-30 | $9,017 | $8,201 | $816 | $816 | |
| 212. VANGUARD FTSE DEVELOPED MARKETS ETF | 2016-03-24 | 2019-11-05 | $9,108 | $7,462 | $1,646 | $1,646 | |
| 568. VANGUARD INTL EQTY INDX | 2019-03-15 | 2019-04-04 | $24,579 | $24,127 | $452 | $452 | |
| 175. VANGUARD INTL EQTY INDX | 2019-03-15 | 2019-05-30 | $7,090 | $7,434 | -$344 | -$344 | |
| 165. VANGUARD INTL EQTY INDX | 2015-01-30 | 2019-11-05 | $7,082 | $6,606 | $476 | $476 | |
| 458. VANGUARD TOTAL STOCK MARKET ETF | 2019-03-15 | 2019-04-04 | $67,310 | $66,289 | $1,021 | $1,021 | |
| 141. VANGUARD TOTAL STOCK MARKET ETF | 2019-03-15 | 2019-05-30 | $20,080 | $20,408 | -$328 | -$328 | |
| 133. VANGUARD TOTAL STOCK MARKET ETF | 2015-10-09 | 2019-11-05 | $20,785 | $13,777 | $7,008 | $7,008 | |
| CAPITAL GAIN DIVIDENDS | $58,535 | P |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Capital Gain Net Income | $202,987 | CapitalGainNetIncomeAmt |
Qlfy Und Sect4940e Reduced Tax QlfyUndSect4940eReducedTaxGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Liable Section4942 Tax | false | LiableSection4942TaxInd |
| Adjusted Qlfy Distri Yr1 | $613,218 | AdjustedQlfyDistriYr1Amt |
| Net Vl Noncharitable Assets Yr1 | $12,615,290 | NetVlNoncharitableAssetsYr1Amt |
| Distribution Yr1 | 0.048609 | DistributionYr1Rt |
| Adjusted Qlfy Distri Yr2 | $543,916 | AdjustedQlfyDistriYr2Amt |
| Net Vl Noncharitable Assets Yr2 | $8,654,771 | NetVlNoncharitableAssetsYr2Amt |
| Distribution Yr2 | 0.062846 | DistributionYr2Rt |
| Adjusted Qlfy Distri Yr3 | $278,524 | AdjustedQlfyDistriYr3Amt |
| Net Vl Noncharitable Assets Yr3 | $2,660,464 | NetVlNoncharitableAssetsYr3Amt |
| Distribution Yr3 | 0.10469 | DistributionYr3Rt |
| Adjusted Qlfy Distri Yr4 | $169,829 | AdjustedQlfyDistriYr4Amt |
| Net Vl Noncharitable Assets Yr4 | $2,637,457 | NetVlNoncharitableAssetsYr4Amt |
| Distribution Yr4 | 0.064391 | DistributionYr4Rt |
| Adjusted Qlfy Distri Yr5 | $199,064 | AdjustedQlfyDistriYr5Amt |
| Net Vl Noncharitable Assets Yr5 | $2,867,139 | NetVlNoncharitableAssetsYr5Amt |
| Distribution Yr5 | 0.069429 | DistributionYr5Rt |
| Total Distribution | 0.349965 | TotalDistributionRt |
| Average Distribution | 0.069993 | AverageDistributionRt |
| Net Vl Noncharitable Assets | $14,276,598 | NetVlNoncharitableAssetsAmt |
| Adj Net Vl Noncharitable Assets | $999,262 | AdjNetVlNoncharitableAssetsAmt |
| Net Investment Income Pct | $4,601 | NetInvestmentIncomePctAmt |
| Adj Nonchrtbl Net Invst Incm Pct | $1,003,863 | AdjNonchrtblNetInvstIncmPctAmt |
| Qualifying Distributions | $441,888 | QualifyingDistributionsAmt |
Excise Tax Based On Invst Incm ExciseTaxBasedOnInvstIncmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Investment Income Excise Tax | $9,202 | InvestmentIncomeExciseTaxAmt |
| Tax Under Section511 | $0 | TaxUnderSection511Amt |
| Subtotal | $9,202 | SubtotalAmt |
| Subtitle A Tax | $0 | SubtitleATaxAmt |
| Tax Based On Investment Income | $9,202 | TaxBasedOnInvestmentIncomeAmt |
| Estimated Plus Ovpmt Incm Tx | $1,472 | EstimatedPlusOvpmtIncmTxAmt |
| Extsn Request Income Tax Paid | $5,458 | ExtsnRequestIncomeTaxPaidAmt |
| Total Payments And Credits | $6,930 | TotalPaymentsAndCreditsAmt |
| Form2220 Attached | Yes (X) | Form2220AttachedInd |
| Es Penalty | $0 | EsPenaltyAmt |
| Tax Due | $2,272 | TaxDueAmt |
| Applied To ES Tax | $0 | AppliedToESTaxAmt |
| Refund | $0 | RefundAmt |
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 | false | UnrelatedBusIncmOverLimitInd |
| Organization Dissolved Etc | false | OrganizationDissolvedEtcInd |
| Section508e Rqr Satisfied | Yes (true) | Section508eRqrSatisfiedInd |
| At Least5000 In Assets | Yes (true) | AtLeast5000InAssetsInd |
| Org Report Or Register State | DE | 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 | BANK OF AMERICA NA | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Phone | 8888663275 | PhoneNum |
Location Of Books US Address LocationOfBooksUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 114 WEST 47TH STREET NY8-114-07-07 | AddressLine1Txt |
| City | NEW YORK | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 100361510 | 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 | false | PayCompDisqualifiedPrsnInd |
| Transfer Ast Disqualified Prsn | false | TransferAstDisqualifiedPrsnInd |
| Payment To Government Official | false | PaymentToGovernmentOfficialInd |
| 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 (3 entries)
| Address Line1USAddress/AddressLine1Txt | CityUSAddress/CityNm | State AbbreviationUSAddress/StateAbbreviationCd | ZIPUSAddress/ZIPCd | TitleTitleTxt | Average Hrs Per Wk Devoted To PosAverageHrsPerWkDevotedToPosRt | CompensationCompensationAmt |
|---|---|---|---|---|---|---|
| LAWRENCE HALL GUFFEY | ||||||
| 62 BEACH STREET PHA | NEW YORK | NY | 10013 | DIRECTOR/PRESIDENT | 0 | $0 |
| LUCY MACKILLIGIN GUFFEY | ||||||
| 62 BEACH STREET PHA | NEW YORK | NY | 10013 | DIRECTOR/PRESIDENT | 0 | $0 |
| HAMISH BURT | ||||||
| 860 WASHINGTON ST 6TH FL | NEW YORK | NY | 10014 | DIRECTOR | 0 | $0 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Comp Of Hghst Pd Empl Or NONE | NONE | CompOfHghstPdEmplOrNONETxt |
| Other Employee Paid Over50k | 0 | OtherEmployeePaidOver50kCnt |
| Comp Of Hghst Pd Cntrct Or NONE | NONE | CompOfHghstPdCntrctOrNONETxt |
| Contractor Paid Over50k | 0 | ContractorPaidOver50kCnt |
| 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 | $14,387,518 | AverageMonthlyFMVOfSecAmt |
| Average Monthly Cash Balances | $106,490 | AverageMonthlyCashBalancesAmt |
| FMV All Other Noncharitable Ast | $0 | FMVAllOtherNoncharitableAstAmt |
| Total FMV Of Unused Assets | $14,494,008 | TotalFMVOfUnusedAssetsAmt |
| Reduction Claimed | $0 | ReductionClaimedAmt |
| Acquisition Indebtedness | $0 | AcquisitionIndebtednessAmt |
| Adjusted Total FMV Of Unused Ast | $14,494,008 | AdjustedTotalFMVOfUnusedAstAmt |
| Cash Deemed Charitable | $217,410 | CashDeemedCharitableAmt |
| Net Vl Noncharitable Assets | $14,276,598 | NetVlNoncharitableAssetsAmt |
| Minimum Investment Return | $713,830 | MinimumInvestmentReturnAmt |
Distributable Amount DistributableAmountGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Minimum Investment Return | $713,830 | MinimumInvestmentReturnAmt |
| Tax Based On Investment Income | $9,202 | TaxBasedOnInvestmentIncomeAmt |
| Total Tax | $9,202 | TotalTaxAmt |
| Distributable Before Adj | $704,628 | DistributableBeforeAdjAmt |
| Recoveries Qualfied Distri | $0 | RecoveriesQualfiedDistriAmt |
| Distributable Before Ded | $704,628 | DistributableBeforeDedAmt |
| Deduction From Distributable | $0 | DeductionFromDistributableAmt |
| Distributable As Adjusted | $704,628 | DistributableAsAdjustedAmt |
Qualifying Distri Part XII QualifyingDistriPartXIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expenses And Contributions | $441,888 | 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 | $441,888 | QualifyingDistributionsAmt |
| Pct Sect4940e Org Net Invst Incm | $0 | PctSect4940eOrgNetInvstIncmAmt |
| Adjusted Qualifying Distri | $441,888 | AdjustedQualifyingDistriAmt |
Undistributed Income UndistributedIncomeGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Distributable As Adjusted | $704,628 | DistributableAsAdjustedAmt |
| Undistributed Income PY | $0 | UndistributedIncomePYAmt |
| Total For Prior Years | $0 | TotalForPriorYearsAmt |
| Excess Distribution Cyov Yr5 | $74,563 | ExcessDistributionCyovYr5Amt |
| Excess Distribution Cyov Yr4 | $38,876 | ExcessDistributionCyovYr4Amt |
| Excess Distribution Cyov Yr3 | $153,624 | ExcessDistributionCyovYr3Amt |
| Excess Distribution Cyov Yr2 | $117,413 | ExcessDistributionCyovYr2Amt |
| Excess Distribution Cyov Yr1 | $1,251 | ExcessDistributionCyovYr1Amt |
| Total Excess Distribution Cyov | $385,727 | TotalExcessDistributionCyovAmt |
| Qualifying Distributions | $441,888 | QualifyingDistributionsAmt |
| Applied To Year1 | $0 | AppliedToYear1Amt |
| Applied To Prior Years | $0 | AppliedToPriorYearsAmt |
| Treated As Distri From Corpus | $0 | TreatedAsDistriFromCorpusAmt |
| Applied To Current Year | $441,888 | AppliedToCurrentYearAmt |
| Remaining Distri From Corpus | $0 | RemainingDistriFromCorpusAmt |
| Excess Distri Cyov App CY Corpus | $262,740 | ExcessDistriCyovAppCYCorpusAmt |
| Excess Distribution Cyov App CY | $262,740 | ExcessDistributionCyovAppCYAmt |
| Total Corpus | $122,987 | TotalCorpusAmt |
| Prior Year Undistributed Incm | $0 | PriorYearUndistributedIncmAmt |
| Prior Year Deficiency Or Tax | $0 | PriorYearDeficiencyOrTaxAmt |
| Taxable1 | $0 | Taxable1Amt |
| Taxable2 | $0 | Taxable2Amt |
| Undistributed Income CY | $0 | UndistributedIncomeCYAmt |
| Corpus Distri170b1 E Or4942g3 | $0 | CorpusDistri170b1EOr4942g3Amt |
| Excess Distri Cyov From Yr5 | $0 | ExcessDistriCyovFromYr5Amt |
| Excess Distri Cyov To Next Yr | $122,987 | ExcessDistriCyovToNextYrAmt |
| Excess From Year4 | $0 | ExcessFromYear4Amt |
| Excess From Year3 | $4,323 | ExcessFromYear3Amt |
| Excess From Year2 | $117,413 | ExcessFromYear2Amt |
| Excess From Year1 | $1,251 | ExcessFromYear1Amt |
Supplementary Information SupplementaryInformationGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contributing Manager | LAWERENCE HALL GUFFEY | ContributingManagerNm |
| Shareholder Manager | NONE | ShareholderManagerNm |
| Only Contri To Preselected | Yes (X) | OnlyContriToPreselectedInd |
Grant Or Contribution Pd Dur Yr GrantOrContributionPdDurYrGrp (17 entries)
| Address Line1RecipientUSAddress/AddressLine1Txt | CityRecipientUSAddress/CityNm | State AbbreviationRecipientUSAddress/StateAbbreviationCd | ZIPRecipientUSAddress/ZIPCd | Recipient RelationshipRecipientRelationshipTxt | Recipient Foundation StatusRecipientFoundationStatusTxt | Grant Or Contribution PurposeGrantOrContributionPurposeTxt | AmtAmt |
|---|---|---|---|---|---|---|---|
| MASSACHUSETTS GENERAL HOSPITAL | |||||||
| 125 NASHUA STREET SUITE 540 | BOSTON | MA | 02114 | N/A | PC | UNRESTRICTED GENERAL | $1,000 |
| SPONSORS FOR EDUCATIONAL OPPORTUNITY | |||||||
| 55 EXCHANGE PLACE | NEW YORK | NY | 10005 | N/A | PC | UNRESTRICTED GENERAL | $7,500 |
| NEW YORK - PRESBYTERIAN FD | |||||||
| 525 E 68TH ST | NEW YORK | NY | 10065 | N/A | PC | UNRESTRICTED GENERAL | $15,000 |
| HEAF | |||||||
| 650 FIRST AVE | NEW YORK | NY | 10016 | N/A | PC | UNRESTRICTED GENERAL | $30,000 |
| GABRIELLE'S ANGEL FOUNDATION | |||||||
| 142 W 57TH FL 11 | NEW YORK | NY | 10019 | N/A | PC | UNRESTRICTED GENERAL | $27,500 |
| Paris Review Foundation Inc | |||||||
| 62 WHITE STREET 4TH FLOOR | New York | NY | 100015537 | N/A | PC | UNRESTRICTED GENERAL | $136,250 |
| AMERICAN MUSUEM OF NATURAL HISTORY | |||||||
| 79TH ST CENTRAL PARK W | NEW YORK | NY | 10024 | N/A | PC | SUPPORT EARLY CHILDHOOD | $25,000 |
| GROUP FOR THE EAST END | |||||||
| PO BOX 1792 | SOUTHOLD | NY | 11971 | N/A | PC | UNRESTRICTED GENERAL | $1,000 |
| WINDSOR CHARITABLE FOUNDATION | |||||||
| 3125 WINDSOR BLVD | VERO BEACH | FL | 32963 | N/A | PC | UNRESTRICTED GENERAL | $10,000 |
| WGBO | |||||||
| 54 PARK PLACE | NEWARK | NJ | 07102 | N/A | PC | UNRESTRICTED GENERAL | $1,000 |
| PADDLERS FOR HUMANITY | |||||||
| PADDLERS FOR HUMANITY | EAST HAMPTON | NY | 11937 | N/A | PC | UNRESTRICTED GENERAL | $1,000 |
| Navy Seal Foundation Inc | |||||||
| PO BOX 5965 | Virginia Beach | VA | 234710965 | N/A | PC | UNRESTRICTED GENERAL | $50,000 |
| TWO EAST 62ND ST FDN | |||||||
| 2 EAST 62ND ST | NEW YORK | NY | 10131 | N/A | PC | UNRESTRICTED GENERAL | $25,000 |
| COMMON SENSE | |||||||
| 860 WASHINGTON ST | NEW YORK | NY | 10014 | N/A | PC | UNRESTRICTED GENERAL | $25,000 |
| ENTERPRISE COMMUNITY PARTNERS | |||||||
| 1 WHITEHALL STREET | NEW YORK | NY | 10004 | N/A | PC | UNRESTRICTED GENERAL | $5,000 |
| INDIAN RIVER HOSPITAL FDN | |||||||
| 1000 36TH ST | VERO BEACH | FL | 32960 | N/A | PC | UNRESTRICTED GENERAL | $10,000 |
| PRINCES TRUST AMERICA | |||||||
| 45 W 27TH ST FL 11 | NEW YORK | NY | 10001 | N/A | PC | UNRESTRICTED GENERAL | $50,000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Grant Or Contri Pd Dur Yr | $420,250 | 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 |
Div And Int From Sec Part VII DivAndIntFromSecPartVIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $208,900 | 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) |
|---|---|---|
| Exclusion | 18 | ExclusionCd |
| Exclusion | $202,987 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Net Income Loss From Special Evt | NetIncomeLossFromSpecialEvtGrp | |
| Gross Profit Loss Sls Of Invntry | GrossProfitLossSlsOfInvntryGrp |
Subtotals Incm Producing Acty SubtotalsIncmProducingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | $411,887 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Income Producing Acty | $411,887 | TotalIncomeProducingActyAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Rln Of Acty To Accom Of Exmpt Prps | RlnOfActyToAccomOfExmptPrpsGrp |
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 |
Schedule B IRS990ScheduleB
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization501c3 Exempt PF | Yes (X) | Organization501c3ExemptPFInd |
| General Rule | Yes (X) | GeneralRuleInd |
Contributor Information ContributorInformationGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contributor | 1 | ContributorNum |
| Contributor Person | L H GUFFY 2015 CLAT | ContributorPersonNm |
Contributor US Address ContributorUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | PO BOX 1501 | AddressLine1Txt |
| City | PENNINGTON | CityNm |
| State Abbreviation | NJ | StateAbbreviationCd |
| ZIP | 08534 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Contributions | $6,992 | TotalContributionsAmt |
| Person Contribution | Yes (X) | PersonContributionInd |
Accounting Fees Schedule AccountingFeesSchedule
Accounting Fees Detail AccountingFeesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | TAX PREPARATION FEE | CategoryTxt |
| Amt | $2,500 | Amt |
| Disbursements Charitable Prps | $2,500 | DisbursementsCharitablePrpsAmt |
Investments Corp Stock Schedule InvestmentsCorpStockSchedule
Investments Corporate Stock InvestmentsCorporateStockGrp (2 entries)
| StockStockNm | EOYFMVEOYFMVAmt | EOY Book ValueEOYBookValueAmt |
|---|---|---|
| R3331D106 NET1 INTL HLDG AS | $88,963 | |
| R0028G103 ICE GROUP AS | $1,204,021 | $3,000,250 |
Investments Other Schedule2 InvestmentsOtherSchedule2
Investments Other InvestmentsOtherGrp (30 entries)
| Category Or ItemCategoryOrItemTxt | Listed At Cost Or FMVListedAtCostOrFMVCd | Book ValueBookValueAmt | EOYFMVEOYFMVAmt |
|---|---|---|---|
| 589509207 MERGER FUND-INST #30 | |||
| 258620103 DOUBLELINE TOTAL RET | |||
| 921908844 VANGUARD DIVIDEND AP | AT COST | $490,158 | $750,578 |
| 922042858 VANGUARD INTL EQTY I | AT COST | $297,599 | $343,664 |
| 67065Q699 NUVEEN SHORT DURATIO | AT COST | $975,399 | $1,035,145 |
| 76881N202 RIVERNORTH DOUBLE LI | AT COST | $438,621 | $437,957 |
| 32008F606 FIRST EAGLE GLOBAL F | |||
| 30254T759 FPA CRESCENT FUND | AT COST | $405,810 | $443,007 |
| 367829884 GATEWAY FUND | AT COST | $432,478 | $475,102 |
| 922908769 VANGUARD TOTAL STOCK | AT COST | $738,720 | $1,019,843 |
| 56166Y404 TORTOISE MLP & | |||
| 55273E822 MFS INTERNATIONAL VA | AT COST | $330,222 | $557,100 |
| 543916167 LORD ABBETT FLOATING | |||
| 577125107 MATTHEWS ASIA PACIFI | |||
| 921943858 VANGUARD FTSE DEVELO | AT COST | $359,870 | $438,882 |
| 543916464 LORD ABBETT SHORT | |||
| 00203H859 AQR MANAGED FUTURES | |||
| 00203H792 AQR MULTI STRATEGY | |||
| BEGBALANCE | |||
| DIAMETER ONSHORE FD LP | |||
| 6AQH70000 DIAMETER ONSHORE FUN | AT COST | $2,500,000 | $2,858,198 |
| 6AQK70000 TELAMON CAPITAL FUND | AT COST | $500,000 | $560,455 |
| 6AQO40000 ARCADIA BMC INVESTOR | AT COST | $404,560 | $453,642 |
| 09257V201 BLACKSTONE ALT MULTI | AT COST | $542,399 | $536,547 |
| 277911491 EATON VANCE FLOATING | AT COST | $655,581 | $650,437 |
| 360873657 POLEN GROWTH FUND | AT COST | $737,519 | $886,090 |
| 277902458 EATON VANCE ATL CAPI | AT COST | $737,517 | $880,013 |
| 45070A206 IVA WORLDWIDE FUND | AT COST | $409,725 | $399,446 |
| 577130750 MATTHEWS ASIA DIVIDE | AT COST | $219,393 | $257,295 |
| 03875R205 ARBITRAGE FUND/THE | AT COST | $472,997 | $473,707 |
Other Decreases Schedule OtherDecreasesSchedule
Other Decreases Detail OtherDecreasesDetail (2 entries)
| DescDesc | AmtAmt |
|---|---|
| TYE INCOME ADJUSTMENT | $63 |
| COST ADJUSTMENT | $66,714 |
Other Expenses Schedule OtherExpensesSchedule
Other Expenses Schedule OtherExpensesScheduleGrp (2 entries)
| DescDesc | Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt | Net Investment IncomeNetInvestmentIncomeAmt | Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt |
|---|---|---|---|
| OTHER INVESTMENT FEE | $4,795 | $4,795 | $0 |
| FROM PARTNERSHIP/S-CORP | $94,124 | $0 |
Other Income Schedule2 OtherIncomeSchedule2
Other Income Detail OtherIncomeDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Desc | FROM PARTNERSHIP/S-CORP | Desc |
| Net Investment Income | $212,517 | NetInvestmentIncomeAmt |
Other Professional Fees Schedule OtherProfessionalFeesSchedule
Other Professional Fees Detail OtherProfessionalFeesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | INVESTMNT MNGMNT FEES (NON-DED | CategoryTxt |
| Amt | $47,845 | Amt |
| Net Investment Income | $28,707 | NetInvestmentIncomeAmt |
| Disbursements Charitable Prps | $19,138 | DisbursementsCharitablePrpsAmt |
Taxes Schedule TaxesSchedule
Taxes Detail TaxesDetail (5 entries)
| CategoryCategoryTxt | AmtAmt | Net Investment IncomeNetInvestmentIncomeAmt | Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt |
|---|---|---|---|
| FOREIGN TAXES | $3,162 | $3,162 | $0 |
| EXCISE TAX - PRIOR YEAR | $17,000 | $0 | $0 |
| EXCISE TAX ESTIMATES | $150 | $0 | $0 |
| FOREIGN TAXES ON QUALIFIED FOR | $30 | $30 | $0 |
| FOREIGN TAXES ON NONQUALIFIED | $1,067 | $1,067 | $0 |
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