2019-10-22T12:31:15-05:00 2018-12-31 111986323 MARCUM LLP 1899 L STREET NW WASHINGTON DC 20036 990PF 2018-01-01 521757445 RATHMANN FAMILY FOUNDATION C/O JAMES RATHMANN RATH 2397898857 148 10TH AVE S NAPLES FL 34102 JAMES RATHMANN PRESIDENT 2397898857 2019-10-22 1 FRANK H SMITH P00639053 2028225000 47.19.127.190 2019-10-22 12:31:12 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 8F00C35A511C5669FE13E079FA6B41EFA98612EB 2018 2020-03-31 21:24:44Z X 24136090 X X 1143345 1143345 971973 12908646 971973 440 440 2115758 2115758 166000 0 166000 216056 0 103420 69893 0 45944 307447 0 250942 32302 14536 17766 141094 139400 0 17302 0 12872 950094 153936 596944 31312871 11381674 32262965 153936 11978618 -30147207 1961822 1269097 481135 481135 8047796 0 0 17913295 15366497 15366497 1987797 3713944 3713944 9203824 4434261 4434261 15787 140253 140253 38437596 24136090 24136090 130 90000 0 90130 X 38437596 24045960 38437596 24045960 38437596 24136090 38437596 -30147207 18234696 26525085 2479125 24045960 MORGAN STANLEY INVESTMENTS P 2175259 1798724 376535 376535 US BANK INVESTMENTS # 6800 P 4563386 4352986 210400 210400 US BANK INVESTMENTS # 6801 P 1477220 1443784 33436 33436 CHARLES SCHWAB INVESTMENTS # 0875 P 2185996 1395811 790185 790185 TIFF INVESTMENT P 2335421 2372457 -37036 -37036 CHARLES SCHWAB INVESTMENTS # 3735 P 171364 216728 -45364 -45364 PARTNERSHIP INVESTMENTS K-1 P -356183 -356183 971973 0 2480010 53625966 0.046246 2315372 49483485 0.046791 2257713 46483251 0.048570 2050217 46586220 0.044009 1850326 42555022 0.043481 0.229097 0.045819 40281988 1845680 19618 1865298 11978618 X 19618 0 19618 0 19618 37114 0 0 37114 X 0 17496 17496 0 0 0 0 0 0 0 0 1 0 1 1 1 MD WA 1 0 0 0 1 1 RATHMANNFAMILYFOUNDATION.ORG MARCUM LLP 2022276000 1899 L STREET NW 850 WASHINGTON DC 20036 0 0 0 1 1 0 0 0 0 0 1 0 0 0 0 0 0 1 0 0 1 0 0 0 0 MARGARET CROSBY RATHMANN 148 10TH AVE S NAPLES FL 34102 PRESIDENT (LEFT JUNE) 2.00 0 0 0 JAMES LOUIS RATHMANN 148 10TH AVE S NAPLES FL 34102 PRESIDENT (STARTED JULY) 5.00 0 0 0 RICHARD G RATHMANN 148 10TH AVE S NAPLES FL 34102 VP (LEFT JUNE) 35.00 166000 20733 0 SALLY RATHMANN KADIFA 148 10TH AVE S NAPLES FL 34102 VICE-PRESIDENT (LEFT JUNE) 1.00 0 0 0 ALEXANDRA JOY RATHMANN-NOONAN 148 10TH AVE S NAPLES FL 34102 CHAIRMAN (STARTED JULY) 3.00 0 0 0 ROBIN W RATHMANN-NOONAN 148 10TH AVE S NAPLES FL 34102 SECRETARY (STARTED JULY) 3.00 0 0 0 LAURA JEAN RATHMANN 148 10TH AVE S NAPLES FL 34102 CHAIR (LEFT JUNE) 3.00 0 0 0 ANDREW G RATHMANN-NOONAN 148 10TH AVE S NAPLES FL 34102 TREASURER (STARTED APRIL) 3.00 0 0 0 SUZANNE E BUSTA 148 10TH AVE S NAPLES FL 34102 DIR. OF OPERATIONS A 26.00 115500 0 0 0 NONE 0 0 35344020 1693433 3857966 40895419 0 0 40895419 613431 40281988 2014099 2014099 19618 19618 1994481 0 1994481 0 1994481 11978618 0 11978618 19618 11959000 1994481 2634950 0 0 11978618 2634950 0 0 1994481 7349187 0 0 7349187 0 0 0 0 0 0 0 7349187 7349187 X ACHIEVEMINNEAPOLIS 2829 UNIVERSITY AVE SE MINNEAPOLIS MN 55414 PC GENERAL OPERATING ACTIVITIES 17000 AFRICAN PARKS FOUNDATION OF AMERICA 21 WEST 46TH STREET NEW YORK NY 10036 PC GENERAL OPERATING ACTIVITIES 20000 ALZHEIMER'S DISEASE AND RELATED DISORDERS ASSOCIATION INC 225 N MICHIGAN AVENUE FL 17 CHICAGO IL 60601 PC GENERAL OPERATING ACTIVITIES 10000 ARTISNAPLES INC 5833 PELICAN BAY BOULEVARD NAPLES FL 34108 PC GENERAL OPERATING ACTIVITIES 25000 BEST FRIENDS ANIMAL SOCIETY 5001 ANGEL CANYON ROAD KANAB UT 84741 PC GENERAL OPERATING ACTIVITIES 5000 BROWN UNIVERSITY 350 EDDY STREET PROVIDENCE RI 02903 PC GENERAL OPERATING ACTIVITIES 15000 BUZZARDS BAY COALITION INC 114 FRONT STREET NEW BEDFORD MA 02740 PC GENERAL OPERATING ACTIVITIES 75000 CENTER FOR ECOTECHNOLOGY 112 ELM STREET PITTSFIELD MA 01201 PC GENERAL OPERATING ACTIVITIES 200000 CITY DOGS RESCUE 2121 DECATUR PL NW UNIT 3 WASHINGTON DC 20008 PC GENERAL OPERATING ACTIVITIES 20000 CLEMSON UNIVERSITY FOUNDATION 155 OLD GREENVILLE HWY UNIT 105 CLEMSON SC 29631 PC GENERAL OPERATING ACTIVITIES 5000 CORPORATION OF HAVERFORD COLLEGE DBA HAVERFORD COLLEGE 370 LANCASTER AVENUE HAVERFORD PA 19041 PC GENERAL OPERATING ACTIVITIES 25000 DHARMA VOYAGE INC PO BOX N104 WESTPORT MA 02790 PC GENERAL OPERATING ACTIVITIES 15000 DOCTORS WITHOUT BORDERS 333 SEVENTH AVENUE 2ND FLOOR NEW YORK NY 10001 PC GENERAL OPERATING SUPPORT 5000 END RAPE ON CAMPUS INC 811 9TH STREET DURHAM NC 27705 PC GENERAL OPERATING ACTIVITIES 50000 EXPONENT PHILANTHROPY FKA ASSOCIATION OF SMALL FOUNDATIONS 1720 N STREET NW WASHINGTON DC 20036 PC GENERAL OPERATING ACTIVITIES 1000 FARM SANCTUARY 3100 AIKENS ROAD WATKINS GLEN NY 14891 PC GENERAL OPERATING ACTIVITIES 3000 FOR ALISON FOUNDATION PO BOX 1205 COLLINSVILLE VA 24078 PC GENERAL OPERATING ACTIVITIES 20000 FOR THE GOOD PERIOD 1028 PALMER AVE GLENWOOD SPGS CO 81601 PC GENERAL OPERATING ACTIVITIES 5000 GREAT RIVER GREENING 251 STARKEY STREET SAINT PAUL MN 55107 PC GENERAL OPERATING ACTIVITIES 10000 HILARITY FOR CHARITY 9301 WILSHIRE BLVD BEVERLY HILLS CA 90210 PC GENERAL OPERATING ACTIVITIES 10000 HISTORY THEATRE INC 30 E TENTH ST ST PAUL MN 55101 PC GENERAL OPERATING ACTIVITIES 10000 HUERTA DEL VALLE 310 E PHILADELPHIA ST ONTARIO CA 91761 PC GENERAL OPERATING ACTIVITIES 120000 INNOCENCE PROJECT INC 40 WORTH STREET SUITE 701 NEW YORK NY 10013 PC GENERAL OPERATING ACTIVITIES 20000 MACPHAIL CENTER FOR MUSIC 501 SOUTH SECOND STREET MINNEAPOLIS MN 55401 PC GENERAL OPERATING ACTIVITIES 10000 MATH FOR AMERICA 915 BROADWAY 16TH FLOOR NEW YORK NY 10010 PC GENERAL OPERATING ACTIVITIES 20000 NATIONAL AUDUBON SOCIETY INC 711 UNIVERSITY AVENUE ANAHEIM CA 92825 PC GENERAL OPERATING ACTIVITIES 53000 NATIONAL SCIENCE AND TECHNOLOGY MEDALS FOUNDATION 3222 N STREET NW STE 300 WASHINGTON DC 20007 PC GENERAL OPERATING ACTIVITIES 240000 NAVY SPECIAL OPERATIONS FOUNDATION 2720 TIDESWELL LANE VIRGINIA BEACH VA 23456 PC GENERAL OPERATING ACTIVITIES 20000 PLANNED PARENTHOOD FEDERATION OF AMERICA 123 WILLIAM STREET NEW YORK NY 10038 PC GENERAL OPERATING ACTIVITIES 50000 REGENTS OF THE UNIVERSITY OF MINNESOTA 600 MCNAMARA ALUMNI CENTER MINNEAPOLIS MN 55455 PC GENERAL OPERATING ACTIVITIES 9500 THE ADVOCATES FOR HUMAN RIGHTS 330 2ND AVE S STE 800 MINNEAPOLIS MN 55401 PC GENERAL OPERATING ACTIVITIES 5000 THE DAVID SHELDRICK WILDLIFE TRUST USA INC 25283 CABOT ROAD LAGUNA HILLS CA 92653 PC GENERAL OPERATING ACTIVITIES 10000 THE MINNESOTA OPERA 620 NORTH 1ST STREET MINNEAPOLIS MN 55401 PC GENERAL OPERATING ACTIVITIES 6000 TRUSTEES OF TRINITY COLLEGE - ADVANCEMENT 300 SUMMIT STREET HARTFORD CT 06106 PC GENERAL OPERATING ACTIVITIES 70000 UNIVERSITY OF AZ SPONSORED PROJECTS SERVICES TUCSON AZ 857210158 PC GENERAL OPERATING ACTIVITIES 100000 UNIVERSITY OF MINNESOTA FOUNDATION - SCHOOL OF MUSIC -- COLLEGE OF LIBERAL MCNAMARA ALUMNI CENTER MINNEAPOLIS MN 554552010 PC GENERAL OPERATING ACTIVITIES 75000 UPWARD SCHOLARS FKA SEQUOIA ADULT SCHOOL SCHOLARS 3481 JANICE WAY PALO ALTO CA 94303 PC GENERAL OPERATING ACTIVITIES 20000 VOLUNTEERS OF LEGAL SERVICE 40 WORTH STREET NEW YORK NY 10013 PC GENERAL OPERATING ACTIVITIES 25000 WESTPORT HISTORICAL SOCIETY 25 DRIFT ROAD WESTPORT MA 02790 PC GENERAL OPERATING ACTIVITIES 10000 GOLDMAN SACHS PHILANTHROPY FUND 200 WEST STREET 15TH FLOOR NEW YORK NY 10282 PC DONOR ADVISED FUND (SEE STATEMENT 14) 9972174 JOY IN BLUE FOUNDATION 5115 N DYSART RD 202 PMB 601 LITCHFIELD PARK AZ 85340 PF ENDOWMENT GRANT (SEE STATEMENT 17) 19841197 31222871 DHARMA VOYAGE INC PO BOX N104 WESTPORT MA 02790 PC GENERAL OPERATING ACTIVITIES 15000 BUZZARDS BAY COALITION INC 114 FRONT STREET NEW BEDFORD MA 02740 PC GENERAL OPERATING ACTIVITIES 75000 90000 14 1143345 14 440 18 971973 0 2115758 0 2115758 0 0 0 0 0 0 0 0 0 0 ACCOUNTING FEES 32302 14536 17766 JOY IN BLUE FOUNDATION 5115 N DYSART RD 202 PMB 601 LITCHFIELD PARK AZ 85340 THE ASSETS TRANSFERRED CONSISTED OF CASH AND VARIOUS INVESTMENT HOLDINGS, INCLUDING STOCKS, BONDS, AND ALTERNATIVE INVESTMENTS. 19841197 JOY IN BLUE FOUNDATION 5115 N DYSART RD 202 PMB 601 LITCHFIELD PARK AZ 85340 2018-06-29 19841197 THE TRANSFER WAS MADE PURSUANT TO THE TERMS AND CONDITIONS OF THAT CERTAIN GRANT AND EXPENDITURE RESPONSIBILITY AGREEMENT ENTERED INTO AS OF JUNE 28, 2018 (THE "GRANT AND E/R AGREEMENT"). THE GRANT AND E/R AGREEMENT PROVIDES, AMONG OTHER THINGS, THAT THE GRANT FUNDS TRANSFERRED ARE REQUIRED TO BE USED FOR ENDOWMENT, FOR THE PURCHASE OF CAPITAL EQUIPMENT, OR FOR OTHER CAPITAL PURPOSES WITHIN THE MEANING OF SECTION 53.4945-5(C)(2) OF THE TREASURY REGULATIONS.DURING ITS YEAR ENDED DECEMBER 31, 2018 , NO PORTION OF THE TRANSFERRED ASSETS WAS DIVERTED FROM THE PURPOSES SET FORTH IN THE AGREEMENT. THE GRANTEE'S USE OF THE FUNDS AND THE INCOME (IF ANY) FROM THE FUNDS DURING 2018 FURTHERED THE PURPOSES SET FORTH IN THE AGREEMENT BY SUPPORTING THE CHARITABLE, EDUCATIONAL, SCIENTIFIC, OR LITERARY PURPOSES, IN EACH CASE WITHIN THE MEANING OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE, STATED IN GRANTEE'S ARTICLES OF INCORPORATION. 43546 NONE MARCH 27, 2019 2018-12-31 CHARLES SCHWAB #0875- EFT 163745 163745 CHARLES SCHWAB #3735- CORPORATE BONDS 757152 757152 CHARLES SCHWAB #3735- EFT 518587 518587 CHARLES SCHWAB #3735-MUNICIPAL BONDS 2274460 2274460 BERKSHIRE HATHAWAY CL B 683595 683595 ENERGY SEL SECT SPDR 91932 91932 ISHARES RUSSELL 3000 ETF 336006 336006 VANGUARD INTL EQUITY INDEX 501608 501608 VANGUARD TTL STK MKT 510648 510648 CHARLES SCHWAB #0875- EQUITIES 7423155 7423155 CHARLES SCHWAB #3735- EQUITIES 5819553 5819553 LUCENT MEDICAL FMV 10000 10000 ACUMARK/CARE DX FMV 37500 37500 ARCH VENTURE FUND V FMV 231031 231031 BROADOAK FUND III FMV 417066 417066 CELLERANT THERAPEUTICS FMV 175000 175000 EXICURE INC. FMV 255432 255432 FFC EXECUTIVE PARTNERS III FMV 11496 11496 FFC PARTNERS II FMV 3436 3436 IMMUNOMIC THERAPEUTICS FMV 678318 678318 PRESIDO FMV 500 500 SYMPHONY EVOLUTION HOLDINGS, LLC FMV 21405 21405 LAB CONNECT FMV 154414 154414 MS- CERTIFICATES OF DEPOSIT FMV 1401830 1401830 CROWN CASTLE INTL CO FMV 213458 213458 AMERN TOWER CORP FMV 197105 197105 IRON MOUNTAIN US HOLDINGS FMV 126172 126172 FARM CREDIT SYSTEMS FMV 100098 100098 CHARLES SCHWAB #3735-TREASURY OBLIGATION FMV 400000 400000 DURING ITS 2018 TAXABLE YEAR, THE RATHMANN FAMILY FOUNDATION MADE A GRANT TO THE JOY IN BLUE FOUNDATION, INC., EIN 83-0528682, THAT CONSTITUTED A SIGNIFICANT DISPOSITION OF ASSETS TO A PRIVATE FOUNDATION WITHIN THE MEANING OF SECTION 507(B)(2) OF THE INTERNAL REVENUE CODE AND THE TREASURY REGULATIONS THEREUNDER. FURTHER INFORMATION CONCERNING THE FOUNDATION'S GRANT TO JOY IN BLUE FOUNDATION IS SET FORTH IN STATEMENTS13 AND 17. LEGAL FEES 307447 0 250942 DISTRIBUTION RECEIVABLE-BROADOAK FUND PARTNERSHIP 15787 ACCRUED INTEREST RECEIVABLES 140253 140253 UNREALIZED LOSS ON INVESTMENTS 2479125 DUES AND SUBSCRIPTIONS 1329 0 1145 INSURANCE 5217 0 3245 LICENSES AND FEES 629 0 629 COMPLIANCE, AGENT REPRESENTATION 28 0 28 OTHER EXPENSES 3224 0 1849 REGISTERED AGENT 170 0 116 TELEPHONE 2002 0 1619 WEB/EMAIL HOSTING 3733 0 3512 PAYROLL ADMINISTRATION FEES 970 0 729 PARTNERSHIP INCOME 440 440 440 CHANGE IN ACCOUNTING METHOD ADJUSTMENT 18234696 INVESTMENT FEES 141094 138936 0 PARTNERSHIP INVESTMENT FEES 0 464 0