2020-11-12T14:23:27-06:00 2019-12-31 221478099 COHNREZNICK LLP 4 BECKER FARM ROAD ROSELAND NJ 07068 990 2019-01-01 363490231 NATIONAL EQUITY FUND INC NATI 3123600400 10 S RIVERSIDE PLAZA SUITE 1700 CHICAGO IL 60606 ALEX DENJA SVP, COO, CFO 3123600400 2020-11-12 1 LORI ROTHE YOKOBOSKY CPA P01273422 9732283500 2020-11-10 209.59.243.22 2020-11-12 10:44:05 ES P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 6C9B1A35775087DBDB8A6D25ECA509C7F6C27838 2019 2021-04-22 16:20:28Z MATTHEW REILEIN 10 S RIVERSIDE PLAZA SUITE 1700 CHICAGO IL 60606 52923109 0 X WWW.NEFINC.ORG X 1987 IL NATIONAL EQUITY FUND, INC. IS DEDICATED TO SUPPORTING THE DEVELOPMENT AND PRESERVATION OF HIGH-QUALITY AFFORDABLE RENTAL HOUSING IN DISINVESTED COMMUNITIES. 16 11 199 0 0 0 0 0 52923557 50656668 1127529 1396769 1350517 869672 55401603 52923109 11123549 13878000 0 0 32426000 34911742 0 0 0 17590161 19793333 61139710 68583075 -5738107 -15659966 89732932 97839893 43599548 48791472 46133384 49048421 X SEE SCHEDULE O 0 0 60857904 13878000 52091858 NEF, INC SERVES AS THE GENERAL PARTNER OR MANAGING MEMBER OF INVESTOR LIMITED PARTNERSHIPS AND LIMITED LIABILITY COMPANIES THAT ACQUIRE LIMITED PARTNER OR NON-MANAGING MEMBER INTERESTS IN PROJECT PARTNERSHIPS OR PROJECT LIMITED LIABILITY COMPANIES THAT ACQUIRE, OWN, CONSTRUCT, REHABILITATE AND OPERATE LOW INCOME HOUSING PROJECTS. IN ADDITION, NEF, INC. PROVIDES AND FACILITATES VARIOUS GRANTS, FINANCING, TECHNICAL ASSISTANCE, AND ASSET MANAGEMENT SERVICES TO SUPPORT SUCH INVESTMENTS IN LOW INCOME HOUSING PROJECTS. 60857904 0 0 0 0 0 0 0 0 0 1 0 0 0 1 1 0 1 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 1 78 0 1 199 1 0 0 0 0 0 0 1 0 X 16 11 0 0 0 0 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 CA X ALEX DENJA 3123600400 10 S RIVERSIDE PLAZA SUITE 1700 CHICAGO IL 60606 ANDREW DITTON DIRECTOR 1.90 0.10 X 5000 0 0 EDWARD SIGLER DIRECTOR & CHAIRMAN 2.00 X X 17000 0 0 ELDRIDGE EDGECOMBE DIRECTOR 2.00 X 14000 0 0 HELEN DUNLAP DIRECTOR 2.00 X 10000 70559 0 JANE GRAF DIRECTOR 2.00 X 0 0 0 JOHN LINDELL DIRECTOR 2.00 X 16000 0 0 JOSEPH HAGAN PRESIDENT EMERITUS 18.00 22.00 X X 1426968 0 356041 KEITH BURGESS DIRECTOR 2.00 X 9000 0 0 KRISTEN SWITZER DIRECTOR 2.00 X 0 0 0 MATTHEW REILEIN PRESIDENT & CEO (AND DIRECTOR) 18.00 22.00 X X 225319 0 14586 MAURICE JONES VICE CHAIRMAN & DIRECTOR 2.00 38.00 X X 0 629150 67578 MICHAEL HEARNE OUTGOING DIRECTOR 2.00 38.00 X 0 366225 29413 MICHAEL MAY DIRECTOR 2.00 X 15000 0 0 PATRICK NASH DIRECTOR 2.00 X 3000 0 0 ROBERT COONEY DIRECTOR 2.00 38.00 X 0 269490 59176 ROBERT MANTLE DIRECTOR 2.00 X 0 0 0 SINDY SPIVAK DIRECTOR 2.00 X 0 0 0 ALEX DENJA SVP, COO, CFO 18.00 22.00 X 540463 0 54172 JUDY SCHNEIDER SVP, CHIEF RISK OFFICER, A 19.00 21.00 X 518346 0 51895 KEVIN BOES SVP 2.70 37.30 X 434999 0 58641 MARK SIRANOVIC SVP MLTI-INV FND MKTS 18.00 22.00 X 504251 0 52780 MICHAEL JACOBS SVP ORIGINATIONS 40.00 X 520505 0 53359 MICHAEL ROGERS SVP GEN. COUNSEL & SECRETA 18.00 22.00 X 439582 0 49329 PETER HARRISON SVP ASSET MANAGEMENT 18.00 22.00 X 460306 0 52200 REENA BRAMBLETT SVP & PROPRIETARY FUND MAR 18.00 22.00 X 439143 0 23959 ANTHONY LYONS VP/RELATIONSHIP MANAGER 40.00 X 426334 0 254005 ED SIMON SVP/CHIEF INFORMATION OFFI 40.00 X 435986 0 50111 KRISTEN SENFF VP/ORIGINATIONS 40.00 X 432637 0 216737 RACHEL RHODES VP/REGIONAL MANAGER 40.00 X 585800 0 393966 TODD FABIAN VP/REGIONAL MANAGER 40.00 X 739427 0 468966 GREGORY SCHULER FORMER SVP GEN COUNCIL ASS 40.00 X 237279 0 21642 KAREN PRZYPYSZNY MANAGING DIRECTOR SPECIAL 0.00 40.00 X 340605 0 45873 8796950 1335424 2374429 91 1 1 0 NOVOGRADAC & COMPANY LLP 1160 BATTERY ST E BLDG 4TH FL SAN FRANCISCO CA 94111 AUDIT AND TAX SERVICES 2056287 BARNES & THORNBURG LLP 11 SOUTH MERIDIAN STREET INDIANAPOLIS IN 46204 LEGAL SERVICES 1964168 KRAUS LAM LLC 230 WEST MONROE STREET SUITE 2528 CHICAGO IL 60606 LEGAL SERVICES 1847560 SPARTA ADVISORS LLC 1840 MACKENZIE DR STE 202 COLUMBUS OH 43220 CONSULTING SERVICES 1449997 COHNREZNICK LLP 7501 WISCONSIN AVENUE SUITE 400E BETHESDA MA 20814 AUDIT AND TAX SERVICES 1048671 18 LOW INCOME HOUSING REV 531190 50656668 50656668 50656668 1396769 565518 831251 WORKOUT REIMBURSEMENTS 900099 598523 598523 ALL OTHER 900099 214694 214694 LOAN LOSS RECOVERY 900099 56455 56455 869672 52923109 52091858 0 831251 13878000 13878000 6995364 5873995 1121369 647296 543533 103763 21918543 18404964 3513579 1579151 1326010 253141 2021845 1697740 324105 1749543 1469088 280455 5711486 5295277 416209 319966 10953 309013 4413737 3948283 465454 867374 867374 799049 541357 257692 546318 441690 104628 1572890 1393435 179455 1539626 1432937 106689 270465 238263 32202 53795 53795 473287 373337 99950 469315 379269 90046 LOAN ALLOWANCE 2360707 2360707 MISCELLANEOUS 213563 202968 10595 EQUIP RENTAL & MAINT. 92016 79453 12563 MEMBERSHIP DUES 42385 12477 29908 47354 32999 14355 68583075 60857904 7725171 0 36333865 35258975 9436187 13737835 37963441 40044499 3644 870753 970125 7665912 5983311 1859862 1682601 2464334 2324515 800846 3821343 89732932 97839893 18498503 20021348 545000 4894774 4468954 20206271 23756170 43599548 48791472 X 46133384 49048421 46133384 49048421 89732932 97839893 X -15659966 3637503 14937500 X X 0 1 X 1 0 3300424 2052671 1247753 2756736 2377791 378945 1608752 1552849 55903 1682601 DUE TO NYEF, INC. 853757 DUE TO NEFCI, INC. 16725458 NOTES PAYABLE TO RELATED ORG 2128659 OPERATING LEASE LIABILITY 4048296 23756170 X PART X, LINE 2: THE CORPORATION IS EXEMPT FROM FEDERAL INCOME TAXES UNDER SECTION 501(C)(4) OF THE U.S. INTERNAL REVENUE CODE (THE CODE). AS A 501(C)(4) CORPORATION, CONTRIBUTIONS TO NEF ARE NOT TAX DEDUCTIBLE. THE ORGANIZATION RECOGNIZES THE EFFECT OF INCOME TAX POSITIONS ONLY IF THOSE POSITIONS ARE MORE LIKELY THAN NOT TO BE SUSTAINED. INCOME GENERATED FROM ACTIVITIES UNRELATED TO THE ORGANIZATION'S EXEMPT PURPOSE IS SUBJECT TO TAX UNDER INTERNAL REVENUE CODE SECTION 511. AS A RESULT OF THE TAX CUTS AND JOBS ACT, QUALIFIED TRANSPORTATION FRINGE BENEFITS PROVIDED TO EMPLOYEES ARE NOW TREATED AS UNRELATED BUSINESS INCOME. THE ORGANIZATION RECOGNIZED UNRELATED BUSINESS INCOME TAX LIABILITIES OF $42,178 AND $53,052 FOR THE YEARS ENDED DECEMBER 31, 2019 AND 2018 AND THESE AMOUNTS ARE INCLUDED IN OFFICE AND ADMINISTRATIVE EXPENSES IN THE ACCOMPANYING CONSOLIDATED STATEMENTS OF ACTIVITIES. THE UNRELATED BUSINESS INCOME TAX LIABILITIES ARE ENTIRELY RELATED TO QUALIFIED TRANSPORTATION FRINGE BENEFITS PROVIDED TO EMPLOYEES. ON DECEMBER 20, 2019, H. R. 1865 FURTHER CONSOLIDATED APPROPRIATIONS ACT, 2020 (THE "ACT") WAS SIGNED INTO LAW AS PART OF A SPENDING BILL TO FUND THE GOVERNMENT THROUGH SEPTEMBER 2020. THE ACT REPEALS THE "QUALIFIED TRANSPORTATION FRINGE BENEFITS TAX" PAID BY TAX EXEMPT EMPLOYERS. THE CORPORATION EXPECTS TO RECEIVE A FULL REFUND IN 2020 FOR TAXES PAID FOR QUALIFIED TRANSPORTATION FRINGE BENEFITS. INCOME TAX RETURNS FILED BY THE CORPORATION ARE SUBJECT TO EXAMINATION BY THE INTERNAL REVENUE SERVICE FOR A PERIOD OF THREE YEARS. WHILE NO INCOME TAX RETURNS ARE CURRENTLY BEING EXAMINED BY THE INTERNAL REVENUE SERVICE, TAX YEARS SINCE 2016 REMAIN OPEN. 1 BICKERDIKE REDEVELOPMENT CORPORATION 2550 NORTH AVENUE CHICAGO IL 60647 237087890 501(C)(3) 20000 SUPPORT LOW-INCOME HOUSING DEVELOPMENT CLIFFORD BEERS HOUSING INC 11739 VICTORY BLVD LOS ANGELES CA 91606 954485263 501(C)(3) 15000 SUPPORT LOW-INCOME HOUSING DEVELOPMENT FULL CIRCLE COMMUNITIES INC 310 SOUTH PEORIA STREET SUITE 500 CHICAGO IL 60607 364382850 501(C)(3) 40000 SUPPORT LOW-INCOME HOUSING DEVELOPMENT HOUSING OPPORTUNITY DEVELOPMENT CORPORATION 2001 WAUKEGAN ROAD TECHNY IL 60082 363237455 501(C)(3) 10000 SUPPORT LOW-INCOME HOUSING DEVELOPMENT LOCAL INITIATIVES SUPPORT (SOUTHWEST OPERATING PROJECT) 28 LIBERTY STREET 34TH FLOOR NEW YORK NY 10005 133030229 501(C)(3) 1000000 SUPPORT LOW-INCOME HOUSING DEVELOPMENT LOCAL INITIATIVES SUPPORT CORPORATION 28 LIBERTY STREET 34TH FLOOR NEW YORK NY 10005 133030229 501(C)(3) 12500000 SUPPORT COMMUNITY DEVELOPMENT MERCY HOUSING LAKEFRONT INC 120S LASALLE ST CHICAGO IL 60603 470646706 501(C)(3) 46000 SUPPORT LOW-INCOME HOUSING DEVELOPMENT NATIONAL CHURCH RESIDENCES 2335 NORTH BANK DRIVE COLUMBUS OH 43220 310651750 501(C)(3) 100000 SUPPORT LOW-INCOME HOUSING DEVELOPMENT NEW HOPE HOUSING INC 1117 TEXAS AVENUE HOUSTON TX 77002 731419279 501(C)(3) 50000 SUPPORT LOW-INCOME HOUSING DEVELOPMENT RS EDEN 1931 W BROADWAY AVENUE SUITE 101 MINNEAPOLIS MN 55411 411948604 501(C)(3) 10000 SUPPORT LOW-INCOME HOUSING DEVELOPMENT RUPCO INC 289 FAIR STREET KINGSTON NY 12401 222368174 501(C)(3) 10000 SUPPORT LOW-INCOME HOUSING DEVELOPMENT WEST SIDE FEDERATION FOR SENIOR AND SUPPORTING HOUSING INC 2345 BROADWAY NEW YORK NY 10024 132926433 501(C)(3) 10000 SUPPORT LOW-INCOME HOUSING DEVELOPMENT 12 PART I, LINE 2: GRANTS ARE GENERALLY MADE TO 501(C)(3) NONPROFIT ORGANIZATIONS THAT SPONSOR LOW-INCOME HOUSING PROJECTS, IN FURTHERANCE OF NEF'S TAX-EXEMPT MISSION. THE PRIMARY FACTORS CONSIDERED WHEN DECIDING TO AWARD A GRANT TO A LOW INCOME HOUSING PROJECT SPONSOR INCLUDE NEF'S DESIRE TO SUPPORT THE UNDERPRIVILEGED POPULATION THAT THE SPONSOR SERVES AND THE INTENDED USE OF THE FUNDS. TYPICALLY, THE FUNDS ARE DESIGNATED FOR A VARIETY OF PURPOSES INCLUDING ASSISTING THE SPONSOR IN ACHIEVING ITS STRATEGIC GOALS, SENDING STAFF ON TRAINING PROGRAMS, HIRING CONSULTANTS, OR FUNDING SOCIAL SERVICES PROGRAMS. THE REGIONAL ACQUISITIONS VICE PRESIDENT MAY REQUEST A FOLLOW-UP REPORT FROM THE SPONSOR TO ENSURE THAT THE GRANT WAS USED AS INTENDED. GRANTS ARE ALSO MADE TO LOCAL INITIATIVES SUPPORT CORPORATION, A 501(C)(3) ENTITY, TO SUPPORT ITS COMMUNITY DEVELOPMENT INITIATIVES. X 1 1 X X X X 0 1 0 0 1 0 0 1 0 JOSEPH HAGAN PRESIDENT EMERITUS 364758 0 1060000 0 2210 0 332200 0 24307 0 1783475 0 833333 0 MATTHEW REILEIN PRESIDENT & CEO (AND DIRECTOR) 225219 0 0 0 100 0 0 0 20812 0 246131 0 0 0 MAURICE JONES VICE CHAIRMAN & DIRECTOR 0 573476 0 54384 0 1290 0 29400 0 38730 0 697280 0 0 MICHAEL HEARNE OUTGOING DIRECTOR 0 320977 0 43904 0 1344 0 29400 0 565 0 396190 0 0 ROBERT COONEY DIRECTOR 0 244194 0 24436 0 860 0 17894 0 41835 0 329219 0 0 ALEX DENJA SVP, COO, CFO 260163 0 280000 0 300 0 30306 0 25839 0 596608 0 0 0 JUDY SCHNEIDER SVP, CHIEF RISK OFFICER, A 226366 0 290000 0 1980 0 26554 0 26977 0 571877 0 0 0 KEVIN BOES SVP 274549 0 160000 0 450 0 32200 0 28107 0 495306 0 0 0 MARK SIRANOVIC SVP MLTI-INV FND MKTS 222961 0 280000 0 1290 0 26439 0 29374 0 560064 0 0 0 MICHAEL JACOBS SVP ORIGINATIONS 229215 0 290600 0 690 0 27018 0 28162 0 575685 0 0 0 MICHAEL ROGERS SVP GEN. COUNSEL & SECRETA 218292 0 220000 0 1290 0 25488 0 25777 0 490847 0 0 0 PETER HARRISON SVP ASSET MANAGEMENT 218326 0 240000 0 1980 0 25859 0 29867 0 516032 0 0 0 REENA BRAMBLETT SVP & PROPRIETARY FUND MAR 207853 0 230000 0 1290 0 23959 0 3346 0 466448 0 0 0 ANTHONY LYONS VP/RELATIONSHIP MANAGER 189400 0 234954 0 1980 0 254005 0 466 0 680805 0 0 0 ED SIMON SVP/CHIEF INFORMATION OFFI 200536 0 235000 0 450 0 23770 0 29507 0 489263 0 0 0 KRISTEN SENFF VP/ORIGINATIONS 129507 0 302860 0 270 0 190396 0 26807 0 649840 0 0 0 RACHEL RHODES VP/REGIONAL MANAGER 173128 0 412372 0 300 0 370125 0 24307 0 980232 0 0 0 TODD FABIAN VP/REGIONAL MANAGER 173128 0 565609 0 690 0 445125 0 24307 0 1208859 0 565609 0 GREGORY SCHULER FORMER SVP GEN COUNCIL ASS 189690 0 45379 0 2210 0 21642 0 345 0 259266 0 0 0 KAREN PRZYPYSZNY MANAGING DIRECTOR SPECIAL 188625 0 150000 0 1980 0 22032 0 25393 0 388030 0 0 0 PART I, LINE 1B IT IS THE POLICY OF NATIONAL EQUITY FUND, INC. THAT NO OFFICER OR DIRECTOR, OTHER THAN THE PRESIDENT/CEO, SHALL RECEIVE REIMBURSEMENT OR OTHER CONSIDERATION AS IT RELATES TO HEALTH/SOCIAL CLUB DUES OR INITIATION FEES. CLARIFICATION 1. CONSIDERATION IS PROVIDED TO THE PRESIDENT/CEO AS A REASONABLE EMPLOYEE BUSINESS EXPENSE, TO BE USED ENTIRELY FOR BUSINESS, NOT FOR PERSONAL, PURPOSES. 2. CONSIDERATION MUST BE APPROVED AT THE BOARD LEVEL EITHER BY THE CHAIRMAN, VICE-CHAIRMAN OR AUTHORIZED BOARD SUB-COMMITTEE. 3. DOCUMENTED SUBSTANTIATION OF THE EXPENSE IS REQUIRED IN ORDER TO BE REIMBURSED. PART I, LINE 4B NATIONAL EQUITY FUND, INC. AWARDS INCENTIVE PAYOUTS TO ORIGINATIONS STAFF BASED ON FEES EARNED FROM ORIGINATING LOW INCOME HOUSING PROJECTS WHICH FULFILL THE MISSION OF DEVELOPING AND PRESERVING HIGH-QUALITY AFFORDABLE RENTAL HOUSING IN DISINVESTED COMMUNITIES. THE COMPANY ACCRUED THESE BONUSES IN 2019 AND PAID IN MARCH 2020. THE FOLLOWING EMPLOYEES RECEIVED COMPENSATION UNDER THIS PLAN: TODD FABIAN: AMOUNT EARNED AND PAID AMOUNT - $565,609; ACCRUED AND NOT PAID - $425,000 KRISTEN SENFF: AMOUNT EARNED AND PAID AMOUNT - $302,860; ACCRUED AND NOT PAID - $175,000 ANTHONY LYONS: AMOUNT EARNED AND PAID AMOUNT - $234,954; ACCRUED AND NOT PAID - $232,500 RACHEL RHODES: AMOUNT EARNED AND PAID AMOUNT - $412,372; ACCRUED AND NOT PAID - $350,000 NATIONAL EQUITY FUND, INC. AWARDS A LONGEVITY BONUS ACCRUED FOR AN ELIGIBLE EMPLOYEE. IN 2019, $1,000,000 WAS PAID TO JOSEPH HAGAN. $833,333 WAS ACCRUED ON PRIOR YEARS' FORM 990. PART I, LINE 5 CONTINGENT COMPENSATION: NATIONAL EQUITY FUND, INC. AWARDS INCENTIVE PAYOUTS TO ORIGINATIONS STAFF BASED ON FEES EARNED FROM ORIGINATING LOW INCOME HOUSING PROJECTS WHICH FULFILL THE MISSION OF DEVELOPING AND PRESERVING HIGH-QUALITY AFFORDABLE RENTAL HOUSING IN DISINVESTED COMMUNITIES, PART I, LINE 7 NON-FIXED PAYMENTS: NATIONAL EQUITY FUND, INC. AWARDS DISCRETIONARY BONUSES TO ELIGIBLE EMPLOYEES. UNDER THIS DISCRETIONARY BONUS PLAN, THE TOTAL AMOUNT OF BONUSES THAT CAN BE PAID IS LIMITED TO THE AMOUNT AVAILABLE IN A POOL WHICH IS CALCULATED AS A PERCENTAGE OF NET REVENUES. THE AMOUNTS AWARDED TO INDIVIDUALS FROM THE BONUS POOLS ARE BASED ON INDIVIDUAL AND TEAM PERFORMANCE. TO ENSURE THAT BONUSES ARE BASED ON ACCOMPLISHMENTS THAT FURTHER THE ORGANIZATION'S TAX-EXEMPT PURPOSES AND THAT TOTAL COMPENSATION IS REASONABLE, ALL BONUSES ARE REVIEWED ANNUALLY BY MANAGEMENT AND THE PERSONNEL COMMITTEE OF THE BOARD OF DIRECTORS; AND ON A PERIODIC BASIS BY INDEPENDENT COMPENSATION CONSULTANTS AS A COMPONENT OF OVERALL COMPENSATION. FORM 990, PART III, LINE 1, DESCRIPTION OF ORGANIZATION MISSION: NATIONAL EQUITY FUND, INC. ("NEF, INC.") IS DEDICATED TO SUPPORTING THE DEVELOPMENT AND PRESERVATION OF HIGH-QUALITY AFFORDABLE RENTAL HOUSING THAT UNDERPINS THE SUSTAINABLE REVITALIZATION OF DISINVESTED COMMUNITIES. NEF, INC. IS A LEADING NATIONAL SYNDICATOR OF LOW-INCOME HOUSING TAX CREDITS. IT SERVES AS THE GENERAL PARTNER OR MANAGING MEMBER OF INVESTMENT FUNDS THAT PLACE EQUITY INVESTMENTS IN PROJECT LIMITED PARTNERSHIPS AND LIMITED LIABILITY COMPANIES THAT ACQUIRE, CONSTRUCT, OPERATE AND REHABILITATE LOW-INCOME HOUSING PROJECTS. IN ADDITION, NEF, INC. PROVIDES AND/OR FACILITATES PREDEVELOPMENT GRANTS AND LOANS, PERMANENT AND CONSTRUCTION FINANCING AND VARIOUS LEVELS OF TECHNICAL ASSISTANCE AND ASSET MANAGEMENT TO SUPPORT OUR PARTNERS' DEVELOPMENT EFFORTS. NEF, INC. WAS CREATED IN 1987 BY LOCAL INITIATIVES SUPPORT CORPORATION (LISC), A SECTION 501(C)(3) PUBLIC CHARITY, IN THE WAKE OF THE TAX REFORM ACT OF 1986, WHICH ENACTED THE LOW-INCOME HOUSING TAX CREDIT. LISC WANTED TO MAKE SURE THAT THE CAPITAL ATTRACTED BY THE CREDIT MADE ITS WAY TO THE AREAS THAT NEEDED IT MOST. IN THE INTERVENING YEARS, NEF INC.'S SUCCESS HAS HELPED TRANSFORM THE CREDIT INTO A MAINSTREAM INVESTMENT TOOL WITH A LASTING IMPACT ON BOTH INDIVIDUALS AND THEIR COMMUNITIES. THE FUNDAMENTAL TENET WITH WHICH NEF BEGAN STILL HOLDS TRUE: STRONG, VIBRANT COMMUNITIES FLOW FROM THE EFFORTS OF DEVELOPERS, RESIDENTS, COMMUNITY GROUPS AND OTHERS FOCUSED ON THE UNIQUE NEEDS OF THEIR NEIGHBORHOODS. THOSE NEEDS MAY DIFFER FROM STATE TO STATE AND FROM TOWN TO TOWN BUT THE IMPORTANCE OF QUALITY AFFORDABLE HOUSING TO COMMUNITY REVITALIZATION AND STABILITY IS A CONSTANT. NEF, INC. UNDERSTANDS HOW THE CONCEPT OF "HOME" ANCHORS A COMMUNITY, HOW IT HELPS NURTURE LOCAL CULTURE AND SUPPORT LONG-TERM STABILITY. THAT'S WHY, TOGETHER WITH OUR PARENT LISC, WE ARE HELPING NEIGHBORS BUILD COMMUNITIES. NEF, INC.'S PORTFOLIO INCLUDES OVER 2,795 LOW-INCOME PROJECTS THAT RESPOND TO A DIVERSITY OF LOCAL HOUSING CONCERNS. IN BOTH URBAN AND RURAL COMMUNITIES, WE INVEST TAX-CREDIT EQUITY IN MULTIFAMILY AND SINGLE-FAMILY DEVELOPMENTS, AS WELL AS IN SUPPORTIVE HOUSING, PUBLIC HOUSING REVITALIZATION, ASSISTED LIVING AND HISTORIC REHABILITATION. THE NEF, INC. TRACK RECORD ---INVESTED MORE THAN $16.75 BILLION TO SUPPORT 2,795 PROJECTS. ---FINANCED THE DEVELOPMENT OF 187,237 HOMES. ---PARTNERED WITH MORE THAN 1,025 PRIMARILY NON-PROFIT DEVELOPERS ---HELPED REVITALIZE COMMUNITIES IN 47 STATES + THE DISTRICT OF COLUMBIA, PUERTO RICO, AND THE U.S. VIRGIN ISLANDS. HOW WE WORK NEF, INC. IS AN INTERMEDIARY. EACH YEAR, WE RAISE CAPITAL TO CREATE MULTI-INVESTOR POOLS AND SINGLE-INVESTOR FUNDS. WE THEN INVEST THAT EQUITY IN AFFORDABLE HOUSING PROJECTS THAT HAVE BEEN ALLOCATED LOW-INCOME HOUSING TAX CREDITS BY THEIR STATE OR LOCAL HOUSING FINANCE AGENCY. OUR PROJECTS NEF, INC.'S PORTFOLIO INCLUDES OVER 2,795 PROJECTS THAT RESPOND TO A DIVERSITY OF LOCAL HOUSING CONCERNS. IN BOTH URBAN AND RURAL COMMUNITIES, WE INVEST TAX-CREDIT EQUITY IN MULTIFAMILY AND SINGLE-FAMILY DEVELOPMENTS, AS WELL AS IN SUPPORTIVE HOUSING, PUBLIC HOUSING REVITALIZATION, ASSISTED LIVING AND HISTORIC REHABS. OUR SPONSOR PARTNERS FOR OVER 30 YEARS, NEF INC HAS COLLABORATED WITH LOCAL AND NATIONAL AFFORDABLE HOUSING DEVELOPERS IN OVER 776 CITIES AND TOWNS ACROSS THE COUNTRY. OUR PARTNERS ARE AS DIVERSE AS OUR PROJECTS, INCLUDING LOCAL COMMUNITY DEVELOPMENT CORPORATIONS, PUBLIC HOUSING AUTHORITIES, NATIONAL NON-PROFIT GROUPS AND FOR-PROFIT DEVELOPERS WITH A COMMITMENT TO COMMUNITY DEVELOPMENT. BECAUSE OF OUR ROOTS AS A NONPROFIT, WE SHARE THEIR PASSION FOR DEVELOPING HIGH-QUALITY, AFFORDABLE HOUSING THAT IS RESPONSIVE TO COMMUNITY NEEDS; AS A SEASONED FINANCIAL INTERMEDIARY, WE HAVE THE TECHNICAL AND FINANCIAL TOOLS TO SUPPORT THOSE EFFORTS. FORM 990, PART VI, SECTION A, LINE 6 LOCAL INITIATIVES SUPPORT CORPORATION ("LISC") IS THE PARENT AND SOLE VOTING MEMBER OF NEF, INC. LISC IS A SECTION 501(C)(3) PUBLIC CHARITY WHOSE MISSION IS TO TRANSFORM DISTRESSED URBAN AND RURAL COMMUNITIES INTO HEALTHY AND SUSTAINABLE COMMUNITIES. LISC CARRIES OUT THIS CHARITABLE MISSION BY MARSHALING PUBLIC AND PRIVATE SECTOR RESOURCES TO PROVIDE LOCAL COMMUNITY DEVELOPMENT ORGANIZATIONS WITH TECHNICAL AND MANAGEMENT ASSISTANCE AND FINANCIAL SUPPORT. LISC APPROVES AND APPOINTS ALL BOARD MEMBERS TO NEF INC.'S BOARD. FORM 990, PART VI, SECTION A, LINE 7A SAME AS LINE 6 EXPLANATION. FORM 990, PART VI, SECTION B, LINE 11B NEF'S FORM 990 IS PREPARED BY AN INDEPENDENT ACCOUNTING FIRM BASED ON INFORMATION PROVIDED BY THE ORGANIZATION AND IN CONSULTATION WITH NEF STAFF MEMBERS. THE DRAFT PREPARED BY THE ACCOUNTING FIRM IS THEN REVIEWED BY NEF'S FINANCE AND LEGAL DEPARTMENTS. THE FINAL DRAFT IS THEN SENT TO THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS. NEF'S BOARD OF DIRECTORS HAS DELEGATED RESPONSIBILITY TO REVIEW AND APPROVE THE FORM 990 TO THE AUDIT COMMITTEE. A COPY OF THE FINAL VERSION OF THE FORM 990 IS PROVIDED TO EACH MEMBER OF THE FULL BOARD OF DIRECTORS PRIOR TO FILING WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C NEF HAS A CONFLICT OF INTEREST POLICY COVERING ITS BOARD MEMBERS AND OFFICERS. ALL DIRECTORS AND OFFICERS ARE REQUIRED TO CERTIFY THEIR COMPLIANCE WITH THE COMPANY'S CONFLICT OF INTEREST POLICY AND DISCLOSE ANY POTENTIAL CONFLICTS ANNUALLY. THE GENERAL COUNSEL IS RESPONSIBLE FOR REVIEWING THE CERTIFICATIONS AND ANY DISCLOSURES. IF A POTENTIAL CONFLICT OF INTEREST IS REPORTED, IT IS THE GENERAL COUNSEL'S RESPONSIBILITY TO DETERMINE WHETHER OR NOT A CONFLICT DOES, IN FACT, EXIST AND TO REVIEW THE SITUATION WITH THE CEO, THE CHAIRMAN OF THE BOARD, AND THE CHAIRMAN OF THE AUDIT COMMITTEE TO DETERMINE HOW THE ISSUE SHOULD BE RESOLVED. A CONFLICTED OFFICER OR BOARD MEMBER WOULD BE EXCLUDED FROM PARTICIPATING IN DELIBERATIONS AND DECISIONS CONCERNING THE MATTER. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION FOR SENIOR MANAGEMENT IS DETERMINED BY THE PERSONNEL COMMITTEE OF NEF'S BOARD OF DIRECTORS. NO INDIVIDUALS WITH A CONFLICT OF INTEREST MAY BE INVOLVED IN THE COMPENSATION DETERMINATION PROCESS. NEF PERIODICALLY ENGAGES INDEPENDENT COMPENSATION CONSULTANTS TO PROVIDE COMPARABILITY DATA FOR SIMILARLY QUALIFIED PERSONS IN FUNCTIONALLY COMPARABLE POSITIONS AT SIMILARLY SITUATED ORGANIZATIONS. THE MINUTES OF THE PERSONNEL COMMITTEE DOCUMENT THE COMMITTEE'S DELIBERATIONS AND DECISIONS REGARDING COMPENSATION. FORM 990, PART VI, SECTION C, LINE 19 NEF MAKES ITS FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC ON ITS WEBSITE. IT DOES NOT CURRENTLY MAKE ITS GOVERNING DOCUMENTS OR CONFLICT OF INTEREST POLICY AVAILABLE TO THE PUBLIC. FORM 990, PART XI, LINE 9: CAPITAL CONTRIBUTIONS TO AFFILIATES -62,500. CAPITAL CONTRIBUTIONS FROM NEFCI 15,000,000. FORM 990, PART XII, LINE 2C: THE PROCESS DID NOT CHANGE FROM THE PRIOR YEAR. FORM 990, PART XI, LINE 8: DURING 2019, THE CORPORATION ADOPTED ACCOUNTING STANDARDS UPDATE 2014-09, REVENUE FROM CONTRACTS WITH CUSTOMERS, AND ACCOUNTING STANDARD UPDATE 2016-02, LEASES. AS A RESULT, BEGINNING NET ASSETS WERE RESTATED. THE NET EFFECT OF THESE RESTATEMENTS IS PRESENTED ON FORM 990, PART XI AS A PRIOR PERIOD ADJUSTMENT. LOCAL INITIATIVES MANAGED ASSET CORP 28 LIBERTY STREET 34TH FLOOR NEW YORK NY 10005 112848981 COMMUNITY DEVELOPMENT NY 501(C)(3) LINE 10 LISC 0 LOCAL INITIATIVES SUPPORT CORPORATION 28 LIBERTY STREET 34TH FLOOR NEW YORK NY 10005 133030229 COMMUNITY DEVELOPMENT NY 501(C)(3) LINE 7 N/A 0 NEF COMMUNITY INVESTMENTS INC 10 S RIVERSIDE PLAZA STE 1700 CHICAGO IL 60606 364229337 LOW INCOME HOUSING IL 501(C)(4) NEF INC 1 NEW YORK EQUITY FUND INC 10 S RIVERSIDE PLAZA STE 1700 CHICAGO IL 60606 364041986 LOW INCOME HOUSING IL 501(C)(4) NEF INC 1 OREGON CORP FOR AFFORDABLE HOUSING 10 S RIVERSIDE PLAZA STE 1700 CHICAGO IL 60606 931113844 LOW INCOME HOUSING OR 501(C)(3) LINE 10 NEF INC 1 THE RETAIL INITIATIVE INC 28 LIBERTY STREET 34TH FLOOR NEW YORK NY 10005 133690780 COMMUNITY DEVELOPMENT NY 501(C)(3) LINE 10 LISC 0 ACD MIDWEST FUND I LP 10 S RIVERSIDE PLAZA STE 1700 CHICAGO IL 60606 364849878 LOW INCOME HOUSING IL N/A ACD MIDWEST FUND II LP 10 S RIVERSIDE PLAZA STE 1700 CHICAGO IL 60606 843620204 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