2018-10-31T13:32:39-05:00 2017-12-31 861065772 DELOITTE TAX LLP 1111 BAGBY STREET SUITE 4500 HOUSTON TX 77002 990PF 2017-01-01 760101380 VIVIAN L SMITH FOUNDATION VIVI 7139868030 1900 WEST LOOP SOUTH NO 1050 HOUSTON TX 770273207 RANSOM LUMMIS PRESIDENT 7139868030 2018-10-30 1 RINDA CORBIN P00747421 7139822000 167.219.88.140 2018-10-30 15:45:01 CD P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 BE20F5E2F8581EF6DB16CAF303D48A88641C6C67 2017 2019-02-21 02:37:17Z X 86375097 X X 1975360 1975360 1920518 26025761 1920518 73908 73908 3969786 3969786 0 0 0 12150 6075 6075 472522 422522 50000 41606 41606 0 8520 7162 1358 534798 477365 57433 3845000 3845000 4379798 477365 3902433 -410012 3492421 5687 5676 5676 3881702 0 0 53962436 60159827 67503117 9461292 5787199 5007539 10453217 11398601 13858765 77764334 77351303 86375097 0 0 X 0 0 0 0 77764334 77351303 77764334 77351303 77764334 77351303 77764334 -410012 0 77354322 3019 77351303 PUBLICLY TRADED SECURITIES P 24979189 24105243 873946 873946 PASSTHROUGH K-1 CAPITAL GAIN P 2017-12-31 673466 673466 673466 OTHER CAPITAL GAINS/LOSSES P 372949 372949 372949 CAPITAL GAINS DIVIDENDS P 157 157 157 1920518 0 4117933 79820516 0.051590 4212011 83924475 0.050188 4182672 88160761 0.047444 3946699 86137956 0.045818 3971247 80113173 0.049570 0.244610 0.048922 84097061 4114196 34924 4149120 3902433 69848 0 69848 0 69848 145985 0 0 145985 X 0 76137 76137 0 0 0 0 0 0 0 0 0 0 0 1 1 TX 1 0 0 0 0 1 N/A R E SMITH INTERESTS INC 7139868030 1900 WEST LOOP SOUTH 1050 HOUSTON TX 770273207 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 SUZANNE R BENSON 1900 WEST LOOP SOUTH STE 1050 HOUSTON TX 77027 TRUSTEE 2.00 0 0 0 AMY M MECKEL 1900 WEST LOOP SOUTH STE 1050 HOUSTON TX 77027 VP/TREAS/TRUSTEE 10.00 0 0 0 RANSOM C LUMMIS 1900 WEST LOOP SOUTH STE 1050 HOUSTON TX 77027 PRESIDENT 2.00 0 0 0 RICHARD H SKINNER 1900 WEST LOOP SOUTH STE 1050 HOUSTON TX 77027 TRUSTEE 2.00 0 0 0 CYNTHIA J ADKINS 1900 WEST LOOP SOUTH STE 1050 HOUSTON TX 77027 TRUSTEE 2.00 0 0 0 KIRBY COHN MCCOOL 1900 WEST LOOP SOUTH STE 1050 HOUSTON TX 77027 TRUSTEE 2.00 0 0 0 JUDY S TATE 1900 WEST LOOP SOUTH STE 1050 HOUSTON TX 77027 TRUSTEE 2.00 0 0 0 CINDY GUICHET 1900 WEST LOOP SOUTH STE 1050 HOUSTON TX 77027 SECRETARY 2.00 0 0 0 NONE 0 SILCHESTER INTERNATIONAL INVESTORS 780 THIRD AVE 42ND FLOOR NEW YORK NY 10017 INVESTMENT MANAGEMENT 97066 DANA INVESTMENT ADVISORS 20700 SWENSON DRIVE SUITE 400 WAUKESHA WI 53186 INVESTMENT MANAGEMENT 58728 0 N/A 0 0 70577059 941903 13858765 85377727 0 0 85377727 1280666 84097061 4204853 4204853 69848 69848 4135005 0 4135005 0 4135005 3902433 0 3902433 0 3902433 4135005 3837438 0 0 3902433 3837438 0 0 64995 0 0 0 0 0 0 0 0 4070010 0 0 0 AMY MECKEL VIVIAN L SMITH FOUNDATIO 1900 WEST LOOP SOUTH SUITE 1050 HOUSTON TX 770273207 7139868030 NO SPECIFIC FORM REQUIRED. APPLICANTS MUST SPECIFY PURPOSE AND INCLUDE PROOF THAT THEY ARE QUALIFYING SEC 509(A)(1),(2) OR (3) ORGANIZATIONS. GRANTS MUST BE SUBMITTED BY FEB 15,MAY 15,AUG 15,AND OCT 25 PRECEDING THE QUARTERLY MEETINGS. THE FOUNDATION DOES NOT MAKE GRANTS TO INDIVIDUALS. ALL RECEIPIENTS MUST BE QUALIFYING SEC 509(A)(1),(2), OR (3) ORGANIZATIONS. THERE ARE NO RESTRICTIONS TO GEOGRAPHICAL AREAS OR CHARITABLE FIELDS. AMAZING PLACE INC 3735 DREXEL DR HOUSTON TX 77027 N/A PC GENERAL SUPPORT 25000 ARCHWAY ACADEMY 6221 MAIN ST HOUSTON TX 77030 N/A PC GENERAL SUPPORT 10000 BAYLOR COLLEGE OF MEDICINE ONE BAYLOR PLAZA BCM160 HOUSTON TX 77030 N/A PC GENERAL SUPPORT 150000 BO'S PLACE 10050 BUFFALO SPEEDWAY HOUSTON TX 77054 N/A PC GENERAL SUPPORT 15000 BOY SCOUTS OF AMERICA 1325 WEST WALNUT HILL LANE PO BOX 152079 IRVING TX 75015 N/A PC GENERAL SUPPORT 10000 BOYS AND GIRLS COUNTRY 18806 ROBERTS ROAD HOCKLEY TX 77447 N/A PC GENERAL SUPPORT 10000 BREAKTHROUGH HOUSTON 2401 CLAREMONT LANE HOUSTON TX 77019 N/A PC GENERAL SUPPORT 25000 CAMP FOR ALL FOUNDATION 10500 NW FREEWAY HOUSTON TX 77092 N/A PC GENERAL SUPPORT 50000 CANCARE INC PO BOX 79362 HOUSTON TX 77279 N/A PC GENERAL SUPPORT 15000 CASA DE ESPERANZA DE LOS NINOS PO BOX 66581 HOUSTON TX 77266 N/A PC GENERAL SUPPORT 10000 CENTER FOUNDATION 32 OLD SLIP 24TH FLOOR NEW YORK NY 100053500 N/A PC GENERAL SUPPORT 50000 CHILD ADVOCATES INC 2401 PORTSMOUTH HOUSTON TX 77098 N/A PC GENERAL SUPPORT 10000 CHILDREN'S MUSEUM OF HOUSTON 1500 BINZ ST HOUSTON TX 77004 N/A PC GENERAL SUPPORT 25000 COMMUNITIES IN SCHOOLS INC 1235 N LOOP WEST STE 300 HOUSTON TX 77008 N/A PC GENERAL SUPPORT 100000 CONTEMPORARY ARTS MUSEUM HOUSTON 5216 MONTROSE BLVD HOUSTON TX 77006 N/A PC GENERAL SUPPORT 5000 COUNCIL ON RECOVERY 303 JACKSON HILL STREET HOUSTON TX 77007 N/A PC GENERAL SUPPORT 50000 COVENANT HOUSE TEXAS 1111 LOVETT BLVD HOUSTON TX 77006 N/A PC GENERAL SUPPORT 15000 CRIME STOPPERS OF HOUSTON INC PO BOX 541654 HOUSTON TX 77254 N/A PC GENERAL SUPPORT 25000 CYSTIC FIBROSIS FOUNDATION 6931 ARLINGTON RD BETHESDA MD 20814 N/A PC GENERAL SUPPORT 75000 DEPELCHIN CHILDREN'S CENTER 4950 MEMORIAL DR HOUSTON TX 77007 N/A PC GENERAL SUPPORT 15000 DEPRESSION AND BIPOLAR SUPPORT ALLIANCE PO BOX 27607 HOUSTON TX 77227 N/A PC GENERAL SUPPORT 10000 DRESS FOR SUCCESS HOUSTON 3310 EASTSIDE STREET HOUSTON TX 77098 N/A PC GENERAL SUPPORT 25000 ECHOS EPIPHANY COMMUNITY 9600 S GESSNER RD HOUSTON TX 77071 N/A PC GENERAL SUPPORT 30000 EMERGE FELLOWSHIP 2 GREENWAY PLAZA SUITE 500 HOUSTON TX 77046 N/A PC GENERAL SUPPORT 25000 EPILEPSEY FOUNDATION 8301 PROFESSIONAL PLACE EAST LANDOVER MD 20785 N/A PC GENERAL SUPPORT 15000 EPISCOPAL HIGH SCHOOL 4650 BISSONET ST BELLAIRE TX 77401 N/A PC GENERAL SUPPORT 1000 GOOD SAMARITAN FOUNDATION 5615 KIRBY DR STE 610 HOUSTON TX 77005 N/A PC GENERAL SUPPORT 50000 HEALTHCARE FOR THE HOMELESS-HOUSTON PO BOX 66690 HOUSTON TX 77266 N/A PC GENERAL SUPPORT 10000 HOUSTON ARBORETUM AND NATURE CENTER 4501 WOODWAY DRIVE HOUSTON TX 77024 N/A PC GENERAL SUPPORT 10000 HOUSTON AREA WOMENS CENTER 1010 WAUGH DR HOUSTON TX 77019 N/A PC GENERAL SUPPORT 25000 HOUSTON BALLET FOUNDATION 601 PRESTON STREET HOUSTON TX 77002 N/A PC GENERAL SUPPORT 60000 HOUSTON FOOD BANK 535 PORTWALL ST HOUSTON TX 77029 N/A PC GENERAL SUPPORT 15000 HOUSTON HOSPICE 1905 HOLCOMBE BLVD HOUSTON TX 77030 N/A PC GENERAL SUPPORT 100000 HOUSTON MUSEUM OF NATURAL SCIENCE 5555 HERMANN PARK DRIVE HOUSTON TX 77030 N/A PC GENERAL SUPPORT 25000 HOUSTON SYMPHONY 615 LOUISIANA SUITE 102 HOUSTON TX 77002 N/A PC GENERAL SUPPORT 60000 JULIE ROGERS GIFT OF LIFE PROGRAM 2390 DOWLEN RD BEAUMONT TX 77706 N/A PC GENERAL SUPPORT 15000 KELSEY RESEARCH FOUNDATION 5615 KIRBY DR STE 660 HOUSTON TX 77005 N/A PC GENERAL SUPPORT 80000 KIDS MEALS INC 330 GARDEN OAKS BLVD HOUSTON TX 77018 N/A PC GENERAL SUPPORT 25000 KINKAID SCHOOL 201 KINKAID SCHOOL DR HOUSTON TX 77024 N/A PC GENERAL SUPPORT 25000 KIPP ACADEMY 11000 SCOTT ST HOUSTON TX 77047 N/A PC GENERAL SUPPORT 10000 LORD OF THE STREETS EPISCOPAL CHURCH 3401 FANNIN ST HOUSTON TX 77004 N/A PC GENERAL SUPPORT 10000 MAKE A WISH FOUNDATION 4741 M 24TH STREET SUITE 400 PHEONIX AZ 85016 N/A PC GENERAL SUPPORT 15000 MD ANDERSON CANCER CENTER 1515 HOLCOMBE BOULEVARD HOUSTON TX 77030 N/A PC GENERAL SUPPORT 200000 MEMORIAL HERMANN FOUNDATION 929 GESSNER SUITE 2650 HOUSTON TX 77024 N/A PC GENERAL SUPPORT 100000 MENIL FOUNDATION INC 1519 BRANARD ST HOUSTON TX 77006 N/A PC GENERAL SUPPORT 75000 MENNINGER CLINIC 12301 MAIN STREET HOUSTON TX 77035 N/A PC GENERAL SUPPORT 1000 MUSEUM OF FINE ARTS HOUSTON PO BOX 6826 HOUSTON TX 77265 N/A PC GENERAL SUPPORT 15000 NICK FINNEGAN COUNSELING CENTER 2714 JOANEL ST HOUSTON TX 77027 N/A PC GENERAL SUPPORT 25000 PALMER DRUG ABUSE PROGRAM THREE MEMORIAL CITY PLAZA HOUSTON TX 77024 N/A PC GENERAL SUPPORT 15000 POSSE FOUNDATION INC 14 WALL ST NEW YORK NY 10005 N/A PC GENERAL SUPPORT 25000 RISE SCHOOL OF HOUSTON 5618 H MARK CROSSWELL JR ST HOUSTON TX 77021 N/A PC GENERAL SUPPORT 25000 RONALD MCDONALD HOUSE HOUSTON 1907 HOLCOMBE BOULEVARD HOUSTON TX 77030 N/A PC GENERAL SUPPORT 10000 SACRED HEART CATHOLIC CHURCH 1111 ST JOSEPH PKWY HOUSTON TX 77002 N/A PC GENERAL SUPPORT 1000 SALVATION ARMY 615 SLATERS LANE ALEXANDERIA VA 22313 N/A PC GENERAL SUPPORT 135000 SHRINERS HOSPITALS FOR CHILDREN PO BOX 31356 TAMPA FL 33631 N/A PC GENERAL SUPPORT 50000 SIRE THERAPEUTIC HORSEMANSHIP 11211 KATY FWY STE 660 HOUSTON TX 77079 N/A PC GENERAL SUPPORT 20000 SMALL STEPS NURTURING CENTER 2902 JENSEN DRIVE HOUSTON TX 77026 N/A PC GENERAL SUPPORT 21750 SPAY NEUTER ASSISTANCE PROGRAM PO BOX 70286 HOUSTON TX 77270 N/A PC GENERAL SUPPORT 15000 SPECIAL OLYMPICS TEXAS 7715 CHEVY CHASE DR STE 120 AUSTIN TX 78752 N/A PC GENERAL SUPPORT 25000 SPRING SPIRIT BASEBALL 8526 PITNER RD HOUSTON TX 77080 N/A PC GENERAL SUPPORT 25000 ST JOHN'S SCHOOL 2401 CLAREMONT LANE HOUSTON TX 77019 N/A PC GENERAL SUPPORT 25000 ST JOHN'S UNITED METHODIST CHURCH 2019 CRAWFORD ST HOUSTON TX 77002 N/A PC GENERAL SUPPORT 20000 ST MARTIN'S EPISCOPAL CHURCH 717 SAGE RD HOUSTON TX 77056 N/A PC GENERAL SUPPORT 6000 STAR OF HOPE MISSION 6897 ARDMORE HOUSTON TX 77054 N/A PC GENERAL SUPPORT 10000 SUNSHINE KIDS FOUNDATION 2814 VIRGINIA ST HOUSTON TX 77098 N/A PC GENERAL SUPPORT 25000 TEXAS CHILDREN'S HOSPITAL 6621 FANNIN STREET HOUSTON TX 77030 N/A PC GENERAL SUPPORT 130000 TEXAS EXES ALUMNI ASSOCIATION 2110 SAN JACINTO BLVD AUSTIN TX 78712 N/A PC GENERAL SUPPORT 2500 TEXAS HEART INSTITUTE 6770 BERTNER HOUSTON TX 77030 N/A PC GENERAL SUPPORT 4000 THE ROSE FOUNDATION 1970 BROADWAY SUITE 600 OAKLAND CA 94612 N/A PC GENERAL SUPPORT 75000 THEATRE UNDER THE STARS 800 BAGBY STREET SUITE 200 HOUSTON TX 77002 N/A PC GENERAL SUPPORT 10000 TIRR FOUNDATION 4605 POST OAK PLACE SUITE 222 HOUSTON TX 77027 N/A PC GENERAL SUPPORT 100000 UNIVERSITY OF HOUSTON SUGARLAND 14000 UNIVERSITY BLVD SUGAR LAND TX 77479 N/A PC GENERAL SUPPORT 29000 UNIVERSITY OF ST THOMAS 3800 MONTROSE BLVD HOUSTON TX 77006 N/A PC GENERAL SUPPORT 50000 UNIVERSITY OF TEXAS AT AUSTIN 2268 SAN JACINTO AUSTIN TX 78712 N/A PC GENERAL SUPPORT 7000 UTHSC 7000 FANNIN ST STE 1200 HOUSTON TX 77030 N/A PC GENERAL SUPPORT 25000 WRITERS IN THE SCHOOLS 1523 W MAIN STREET HOUSTON TX 77006 N/A PC GENERAL SUPPORT 10000 YES PREP PUBLIC SCHOOLS INC 6201 BONHOMME STE 168N HOUSTON TX 77036 N/A PC GENERAL SUPPORT 100000 HERITAGE SOCIETY AT SAM HOUSTON PARK 1100 BAGBY STREET HOUSTON TX 77002 N/A PC GENERAL SUPPORT 10000 HERMANN PARK CONSERVANCY 6201 A HERMANN PARK DRIVE HOUSTON TX 77030 N/A PC GENERAL SUPPORT 10000 HOPE & HEALING CENTER & INSTITUTE 717 SAGE ROAD HOUSTON TX 77056 N/A PC GENERAL SUPPORT 15000 HOUSTON CENTER FOR LITERACY 2401 PORTSMOUTH 230 HOUSTON TX 77098 N/A PC GENERAL SUPPORT 10000 METHODIST HOSPITAL FOUNDATION 600 GRANT STREET GARY IN 46402 N/A PC GENERAL SUPPORT 100000 NEW HOPE HOUSING INC 1117 TEXAS AVE HOUSTON TX 77002 N/A PC GENERAL SUPPORT 50000 PROJECT GRAD HOUSTON 3000 RICHARD AVE HOUSTON TX 77098 N/A PC GENERAL SUPPORT 50000 SPAULDING FOR CHILDREN 6925 PORTWEST DRIVE SUITE 110 HOUSTON TX 77024 N/A PC GENERAL SUPPORT 5000 TEACH FOR AMERICA 315 WEST 36TH STREET 7TH FLOOR NEW YORK NY 10018 N/A PC GENERAL SUPPORT 50000 WILL ERWIN HEADACHE RESEARCH FOUNDATION 712 MAIN STREET SUITE 2000E HOUSTON TX 77002 N/A PC GENERAL SUPPORT 5000 YELLOWSTONE ACADEMY 3000 TRULLEY HOUSTON TX 77004 N/A PC GENERAL SUPPORT 10000 ALLEY THEATRE 615 TEXAS AVE HOUSTON TX 77002 N/A PC GENERAL SUPPORT 60000 BAKER RIPLEY PO BOX 271389 HOUSTON TX 77277 N/A PC GENERAL SUPPORT 100000 BEACON OF DOWNTOWN HOUSTON 1117 TEXAS AVE HOUSTON TX 77002 N/A PC GENERAL SUPPORT 15000 BLUE BIRD CIRCLE 615 W ALABAMA STREET HOUSTON TX 77006 N/A PC GENERAL SUPPORT 25000 CAMP ALLEN CAMP CONFERENCE CENTER 18800 FM 362 NAVASOTA TX 77868 N/A PC GENERAL SUPPORT 15000 COMMUNITIES IN SCHOOLS HOUSTON 1235 NORTH LOOP WEST SUITE 300 HOUSTON TX 77008 N/A PC GENERAL SUPPORT 100000 HOUSTON BOTANIC GARDEN 3701 KIRBY DRIVE SUITE 992 HOUSTON TX 77098 N/A PC GENERAL SUPPORT 100000 HOUSTON GRAND OPERA 510 PRESTON STREET HOUSTON TX 77002 N/A PC GENERAL SUPPORT 50000 HOUSTON HISTORY ALLIANCE PO BOX 25086 HOUSTON TX 77265 N/A PC GENERAL SUPPORT 750 HOUSTON POLICE FOUNDATION 1221 MCKINNEY ST HOUSTON TX 77010 N/A PC GENERAL SUPPORT 50000 IBC NETWORK FOUNDATION PO BOX 908 FRIENDSWOOD TX 77546 N/A PC GENERAL SUPPORT 1000 MEMORIAL PARK CONSERVANCY INC 7575 NORTH PICNIC LANE HOUSTON TX 77007 N/A PC GENERAL SUPPORT 50000 MONARCH SCHOOL & INSTITUTE 2815 ROSEFIELD DRIVE HOUSTON TX 77080 N/A PC GENERAL SUPPORT 50000 NEXTOP VETERANS 2929 MCKINNEY STREET HOUSTON TX 77003 N/A PC GENERAL SUPPORT 10000 ST THOMAS HIGH SCHOOL 4500 MEMORIAL DRIVE HOUSTON TX 77007 N/A PC GENERAL SUPPORT 50000 STAGES REPERTORY THEATRE 3201 ALLEN PARKWAY SUITE 101 HOUSTON TX 77019 N/A PC GENERAL SUPPORT 100000 TEVA FOUNDATION PO BOX 11779 EL DORADO AR 71730 N/A PC GENERAL SUPPORT 10000 3845000 0 14 1975360 14 7009 18 1920518 K-1 PASSTHROUGH OTHER INCOME 14 66899 0 3969786 0 3969786 0 0 0 0 0 0 0 0 0 0 TAX COMPLIANCE SERVICES 12150 6075 6075 FORM 990PF, PART VII-B, LINE 1A (2)(3)(4) AND LINE 1B THE FOUNDATION'S BOOKKEEPING, CASH AND PROPERTY MANAGEMENT FUNCTIONS ARE PERFORMED BY R.E. SMITH INTERESTS INC., A MANAGEMENT COMPANY OWNED BY THE R.E. SMITH TESTAMENTARY TRUST PARTNERSHIP, A DISQUALIFIED PERSON. IN THIS CAPACITY, THE MANAGEMENT COMPANY PAYS EXPENSES ON THE FOUNDATION'S BEHALF WHICH ARE LATER REIMBURSED FROM THE FOUNDATION'S FUNDS. IN EXCHANGE FOR THESE SERVICES, THE FOUNDATION REMITTED TO R.E. SMITH INTERESTS, INC. A MANAGEMENT FEE IN THE AMOUNT OF $100,000 WHICH REPRESENTS REASONABLE PAYMENT FOR SUCH SERVICES.THE FOUNDATION HAS ANSWERED "YES" TO QUESTIONS 1A (2), (3) AND (4) SINCE IT PAYS FOR SERVICES PROVIDED EITHER DIRECTLY OR INDIRECTLY BY A DISQUALIFIED PERSON AS DESCRIBED ABOVE. HOWEVER, THE PAYMENT FOR THESE SERVICES IS AN EXCEPTED ACT UNDER SEC. 4941(D)(2)(E) SINCE THE PAYMENTS ARE FOR "PERSONAL SERVICES" WHICH ARE NECESSARY TO CARRY OUT THE EXEMPT PURPOSES OF THE FOUNDATION AND ARE "REASONABLE" IN AMOUNT AS THOSE TERMS ARE USED IN THE REGULATIONS AND OTHER AUTHORITATIVE PRONOUNCEMENTS. FRANKLIN TEMPLETON BONDS 3137000 2743486 FX STRATEGY GLOBAL 2650199 2264053 ARTISAN INTERNATIONAL 5685908 6255164 CHARLES SCHWAB 75321 75321 DANA 2746462 3352938 DODGE & COX 9458889 9407661 DOUBLELINE TOTAL 9561178 9414082 GARGOYLE HEDGE VALUE 1984248 1940565 HILLCREST 2174670 2332542 INVESTMENT - FAYEZ SAROFIM 3190089 5981812 INVESTMENT - INVESTORS TREASURY 1208481 1208481 LEUTHOLD CORE INVESTMENT 3489317 4273626 LUTHER KING 2660596 4016641 MITCHELL 6770242 6253668 VANGUARD GROWTH INDEX 2450630 3083662 VANGUARD INDEX S&P 1534007 1845924 VANGUARD INDEX VALUE 3170016 3646071 VANGUARD INTERNATIONAL EXPLOERER 3999773 4414959 RANGER AT COST 2531264 3197058 SILCHESTER INTERNATIONAL AT COST 8867337 10661707 OTHER DECREASE 3019 DUES 750 0 750 DELIVERY SERVICE AND OTHER EXPENSES 608 0 608 OTHER INVESTMENT EXPENSES 7162 7162 0 OTHER INVESTMENT INCOME 7009 7009 7009 K-1 PASSTHROUGH OTHER INCOME 66899 66899 66899 MANAGEMENT FEES 100000 50000 50000 INVESTMENT MANAGEMENT FEES 372522 372522 0 FOREIGN TAX 41606 41606 0