2018-11-07T12:55:27-05:00 2017-12-31 043299080 MARLENE S KAPLAN CPA PC 60 GUILD ST STE 1 NORWOOD MA 02062 990PF 2017-01-01 136225947 THE SMALLEY FOUNDATION INC MATT RIORDAN ARNOLD&PORTER KAYE SMAL 2128368816 250 WEST 55TH STREET NEW YORK NY 100199710 MARTIN SAIMAN PRESIDENT 5614883682 2018-11-07 true MARLENE S KAPLAN P00040157 7812789552 2018-11-07 216.211.253.7 2018-11-07 11:55:27 CS P BA66578E372F69CB0048E27B0A2C50234F0271A6 B8D0D8EE351C500CC2D2F1B7AA8DD29EEC2F35E2 2017 2019-02-21 02:37:17Z X 28821385 X 21555738 125776 119647 125776 127990 5474691 128305 21809504 247952 125776 48000 24000 24000 24000 11200 5600 5600 5600 29724 29724 6273 6273 7605 3802 3802 3803 102802 69399 33402 33403 142054 142054 244856 69399 33402 175457 21564648 178553 92374 131959 127738 127738 278127 6041343 6041343 58 13826 13826 3930262 17634359 17634359 5004119 5004119 4340406 28821385 28821385 16247 10000 5936 65194 22183 75194 X 4318223 28746191 4318223 28746191 4340406 28821385 4318223 21564648 2983814 28866685 120494 28746191 BOSTON, MA WTR. & SEWER P 2017-12-01 91809 92356 -547 -547 PENNSYLVANIA ST HIGHER ED P 2017-12-04 56420 56392 28 28 MASSACHUSETTS ST HEALTH & EDL P 2017-12-15 43297 43376 -79 -79 EXXON MOBIL CORP SHARES 52 P 2012-01-25 2017-08-30 3957 4488 -531 -531 ENERGY NORTHWEST WASH P 2017-12-01 211173 209241 1932 1932 MASSACHUSETTS BAY TRANS AUTH P 2017-12-05 150045 148924 1121 1121 BAY ARE TOLL AUTH CA TOLL P 2017-12-18 114000 113111 889 889 LIMITED BRANDS INC SHARES 52 P 2013-01-28 2017-02-28 2717 2501 216 216 MASSACHUSETTS BAY TRANSN AUTH MA P 2017-12-01 44644 44971 -327 -327 WASHINGTON ST FOR ISSUES DTD P 2017-12-05 236060 232417 3643 3643 METROPOLITAN BOSTON TRAN PKG P 2017-12-18 83196 83261 -65 -65 PRIMCO INCOME SHARES 4830.918 P 2017-08-30 60000 59127 873 873 MASSACHUSETTS BAY TRANSN AUTH MA P 2017-12-01 86129 86240 -111 -111 MA STATE FEDERAL HIGHWAY P 2017-12-06 91500 90031 1469 1469 MASSACHUSETTS ST GO P 2017-12-19 148870 147125 1745 1745 ABBOTT LABORATORIES SHARES 275 P 2001-01-27 2017-08-30 13801 9984 3817 3817 MASSACHUSETTS BAY TRANSN AUTH MA P 2017-12-01 85263 85421 -158 -158 TARRANT REGL WTR DIST TEX P 2017-12-06 236300 233105 3195 3195 CHICAGO ILL O HARE INTL ARPT REV P 2017-12-20 165195 159746 5449 5449 E V FLOATING RATE 1 SHARES 6220.417 P 2020-08-18 53833 53783 50 50 MASSACHUSETTS ST HEALTH & EDL P 2017-12-01 41963 42140 -177 -177 MASSACHUSETTS ST SCH BLDG AUTH P 2017-12-07 148420 147008 1412 1412 METROPOLITAN TRANSN AUTH NY P 2017-12-21 117608 113551 4057 4057 E V FLOATING RATE 1 SHARES 6220.417 P 2017-08-18 2150 2136 14 14 MASSACHUSETTS STATE HEALTH & ED P 2017-12-01 142470 142568 -98 -98 NEW YORK ST DOM AUTH P 2017-12-08 184428 178330 6098 6098 MASSACHUSETTS ST DEV FIN AGY P 2017-12-22 144870 140313 4557 4557 FIRST TRUST NORTH AMERICA E SHARES 5 P 2015-04-09 2017-12-04 12372 13203 -831 -831 MASSACHUSETTS STATE PORT AUTH P 2017-12-01 94074 94765 -691 -691 NORTH CAROLINA MUN PWR AGY P 2017-12-11 101103 98055 3048 3048 GENERAL ELECTRIC CO SHARES 2313 P 2017-11-16 14357 25740 -11383 -11383 HEALTH CARE SEL SECT SPDR FD SHARES P 2015-10-07 2017-08-30 14100 11976 2124 2124 MASSACHUSETTS ST WRT RES AUTH P 2017-12-01 113934 114425 -491 -491 UNIVERSITY MASS BLDG P 2017-12-11 149388 144375 5013 5013 GENERAL ELECTRIC CO SHARES 2313 P 2017-11-16 27153 36106 -8953 -8953 CONS DISCRET SEL SPDR FD SHARES -156 P 2015-10-07 2017-12-04 15305 11933 3372 3372 MIAMA DADE CNTY FL WATER P 2017-12-01 141561 142157 -596 -596 MASSACHUSETTS ST GO P 2017-12-12 229235 227848 1387 1387 VISA INC COM CL A SHARES 325 P 2017-08-21 33643 5532 28111 28111 POWERSHARES PREFERRED PORT SHARES -3 P 2016-02-29 2017-12-04 51121 49989 1132 1132 NORTH CAROLINA MUN PWR AGY P 2017-12-01 20719 20694 25 25 NEW YORK NY CITY TRANSITIONAL FIN P 2017-12-12 179995 177079 2916 2916 SCHLUMBERGER LTD SHARES 390 P 2017-08-08 26522 36006 -9484 -9484 PIONEER MULTI AST ULTRA STC SHARES - P 2017-08-30 2017-12-04 30000 30090 -90 -90 OREGON ST FOR ISSUES DTD P 2017-12-01 138501 138993 -492 -492 SNOHOMISH CNTY WASH PUB UTIL P 2017-12-13 111965 111479 486 486 OAKMARK INTERNATIONAL CL SHARES 1100 P 2017-08-17 30527 29193 1334 1334 WISDOM TREES TR. JAPAN HEDGE P 2017-09-06 2017-12-19 28515 24997 3518 3518 WASHINGTON ST FUEL TAX P 2017-12-01 168271 169270 -999 -999 MASSACHUSETTS BAY TRANS AUTH P 2017-12-14 176290 175949 341 341 WCM FOCUSED INTL SHARES 1500 P 2017-08-17 22030 18740 3290 3290 MASSACHUSETTS BAY TRANS AUTH MA P 2017-12-04 150028 149123 905 905 NORTH HARRIS CNTY REGL WTR AUTH P 2017-12-14 117915 116500 1415 1415 ABBOTT LABORATORIES SHARES 500 P 2017-08-21 24837 19614 5223 5223 MASSACHUSETTS ST GO P 2017-12-04 171517 170176 1341 1341 FLA WTR POLLUTION CTL P 2017-12-15 155556 155712 -156 -156 VANGUARD REIT EFT SHARES 311 P 2014-09-30 2017-08-30 25929 21251 4678 4678 128305 -7941 false 192761 3504707 0.055001 200599 3547509 0.056546 162155 3189523 0.050840 157013 2638057 0.059518 128237 1974806 0.064937 0.286842 0.057368 8966296 514378 1786 516164 175457 3571 3571 3571 17395 17395 13824 13824 false false false false false false false true MA NY true false true false false true N/A ELISA D DOYLE 2128368816 228 ARDMORE AVE HADDONFIELD NJ 08033 false false false false false false false false false false false false false false false false false false false MARTIN SAIMAN 26910 GRAND CENTRAL PARKWAY APT18L FLORAL PARK NY 11005 PRESIDENT 000.00 8000 0 0 ELISA D DOYLE 228 ARDMORE AVE HADDONFIELD NJ 08033 SCHLSHIP CH/ 000.00 16000 0 0 MARIE HOROWITTZ 87 HILLTOP DR MANHASSET NY 11030 FOUN MEMBER 000.00 8000 0 0 ARLENE HARRIS 250 WEST 55TH STREET NEW YORK NY 100199710 FOUN MEMBER 000.00 8000 0 0 CONSTANTINE KREATSOULAS 611 FOXCROFT ROAD ELKINS PARK PA 19027 FOUN MEMBER 000.00 8000 0 0 ELISA D DOYLE 228 ARDMORE AVENUE HADDONFIELD NJ 08033 FOUN MEMBER 000.00 0 0 0 NONE NONE SCHOLARSHIPS TO COLLEGES AND TO DESERVING MALE AND FEMALE PUBLIC HIGH SCHOOL STUDENTS 142054 N/A 8215206 873807 13826 9102839 9102839 136543 8966296 448315 448315 3571 3571 444744 444744 444744 175457 175457 175457 444744 29836 25889 20159 26021 32309 134214 175457 175457 134214 134214 135073 X APPLICATIONS ARE COMPLETED AND RETURNED TO GUIDANCE COUNSELORS HADDONFIELD NJ 08033 2128368816 APPLICATION FORMS AVAILABLE UPON REQUEST FROM GUIDANCE SERVICES AND BY OFFICE OF FINANCIAL AID IN SCHOOLS WHERE SCHOLARSHIPS HAVE BEEN ESTABLISHED. DATES OF APPLICATION HAVE DEADLINES SUPPLIED BY GUIDANCE SERVICES AND FINANCIAL AID OFFICERS. AWARDS ARE GRANTED ONLY TO STUDENTS ACCEPTED TO INSTITUTIONS WHERE SCHOLARSHIPS HAVE BEEN ESTABLISHED AND TO STUDENTS IN WORCESTER, MA AND YONKERS, NY PUBLIC HIGH SCHOOLS. GRANTS ARE PAID DIRECTLY TO SCHOOLS, NOT TO INDIVIDUALS. UMASS AMHERST E HALLET UNIVERSITY OF MASSACHUSET AMHERST MA 01003 SCHOLARSHIP 10000 UMASS AMHERST A BOTTALI UNIVERSITY OF MASSACHUSET AMHERST MA 01003 SCHOLARSHIP 10000 LEHMAN COLLEGE G WALWRATH LEHMAN COLLEGE NEW YORK NY 10468 SCHOLARSHIP 479 MANHATTAN COLLEGE K MADDUR MANHATTAN COLLEGE RIVERDALE NY 10471 SCHOLARSHIP 10000 NEW YORK UNIVERSITY N GUERRERO NEW YORK UNIVERSITY NEW YORK NY 10012 SCHOLARSHIP 5000 UMASS AMHERST M MARTINI UNIVERSITY OF MASSACHUSET AMHERST MA 01003 SCHOLARSHIP 10000 SUNY ALBANY N PACHECO SUNY ALBANY ALBANY NY 12222 SCHOLARSHIP 10000 SUNY EDWIN BENITEZ SUNY ALBANY ALBANY NY 12222 SCHOLARSHIP 10000 WORCESTER POLYTECH INST D LECH WORCESTER POLYTECHNIC INS WORCESTER MA 01602 SCHOLARSHIP 10000 CLARK UNIVERSITY A NOP CLARK UNIVERSITY WORCESTER MA 01610 SCHOLARSHIP 8038 UMASS BOSTON B CHATAIGNE UNIVERSITY OF MASSACHUSET BOSTON MA 02125 SCHOLARSHIP 10000 UNIVERSITY OF ROCHESTER P FERREIRA UNIVERSITY OF ROCHESTER ROCHESTER NY 14627 SCHOLARSHIP 10000 HARVARD UNIVERSITY D HOXHA HARVARD UNIVERSITY CAMBRIDGE MA 02138 SCHOLARSHIP 10000 DREXEL UNIVERSITY D NGUYEN DREXEL UNIVERSITY PHILADELPHIA PA 19104 SCHOLARSHIP 10000 HUNTER COLLEGE A BATES HUNTER COLLEGE NEW YORK NY 10065 SCHOLARSHIP 6780 BRANDEIS UNIVERSITY O MANDAWI BRANDEIS UNIVERSITY WALTHAM MA 02453 SCHOLARSHIP 1231 BARNARD COLLEGE J NIOLLA BARNARD COLLEGE NEW YORK NY 10027 SCHOLARSHIP 10000 WORCESTER STATE M BIRO WORCESTER STATE WORCESTER MA 01602 SCHOLARSHIP 526 142054 14 119647 6129 25 54340 73650 173987 79779 253766 false false false false false false false false false false X X 1 ELLIN SMALLEY C/O SAIMAN 20110 BOCA WEST DRIVE 2 BOCA RATON FL 33434 21555738 X X 1 100000SH. BAY AREA TOLL AUTH CA 115847 2017-11-27 1 40000SH MA BAY TRANSN AUTH 46159 2017-11-27 1 125000SH MA ST DEV FIN 141968 2017-11-27 1 125000SH MA ST SCH BLDG AUTH 149755 2017-11-27 1 100000SH METROPOLITAN NY TRANSN 115543 2017-11-27 1 100000SH NORTH HARRIS CNTY TX 118478 2017-11-27 1 200000SH WASHINGTON ST FOR ISSUE 235611 2017-11-27 1 7000SH APPLE INC (AAPL) 834855 2017-12-12 1 32743.90 GUGGENHEIM TOTAL RETURN 870660 2017-12-12 1 8750 NESTLE S.A. SPONS ADR (NSRG 635136 2017-12-12 1 8191SH TOOTSIE ROLL COMMON STOCK 312282 2017-12-12 1 80000SH BOSTON MA WATER & SEWER 94483 2017-11-27 1 75000SH MA BAY TRANSN AUTH 87344 2017-11-27 1 75000SH MA ST FED HWY GRANT ANTI 91453 2017-11-27 1 100000SH MA ST WATER RES AUTH 117043 2017-11-27 1 125000SH MIAMI-DADE CNTY FL WTR 145141 2017-11-27 1 125000SH OREGON ST FOR PREVIOUS 142512 2017-11-27 1 150000SH WASHINGTON ST 173203 2017-11-27 1 88626.81SH BARINGS ACTIVE SHORT 880951 2017-12-12 1 3100SH ISHARE 20+ YRTREASURY BON 378355 2017-12-12 1 5369SH PEPSICO INC (PEP) 547021 2017-12-12 1 8253SH TOOTSIE ROLL CLASS B STOC 419166 2017-12-12 1 75000SH CALIFORNIA STATE 86103 2017-11-27 1 75000SH MA BAY TRANSN AUTH 88315 2017-11-27 1 125000SH MA ST HLTH & EDL 146122 2017-11-27 1 125000SH MA ST 150024 2017-11-27 1 150000SH NEW YORK NY CITY TRANS 180404 2017-11-27 1 50000SH PENNSYLVANIA 57544 2017-11-27 1 17200SH ABBOTT LABORATORIES CORP 704300 2017-12-12 1 31100.48SH BARON EMERGING MARKET 351746 2017-12-12 1 3500SH ISHARES CORE US AGGREGATE 380363 2017-12-12 1 6500SH POWERSHARES QQQTRUST SER 796087 2017-12-12 1 140000SH CHICAGO IL OHARE INTL A 162112 2017-11-27 1 150000SH MA BAY TRANSN AUTH 180012 2017-11-27 1 40000SH MA ST HLTH & EDL 43320 2017-11-27 1 200,000SH MA ST 232997 2017-11-27 1 150000SH NEW YORK NY DORM AUTH 181326 2017-11-27 1 100000SH SNOHOMISH CNTY WA PUB 114024 2017-11-27 1 54360.20SH ALLIANZGI SHORT DURAT 827362 2017-12-12 1 82551.62SH BLACKROCK II STRATEGI 813958 2017-12-12 1 11574SH JPMORGAN CHASE 1001093 2017-12-12 1 4850SH UNITED TECHNOLOGIES CORP 538835 2017-12-12 1 175000SH ENERGY NORTHWEST WA ELE 212396 2017-11-27 1 125000SH MA BAY TRANSN AUTH 151510 2017-11-27 1 40000SH MA ST HLTH & EDL 44460 2017-11-27 1 150000SH MA ST 173792 2017-11-27 1 200000SH NORTH CAROLINA MUNI PWR 21254 2017-11-27 1 200000SH TARRANT TX REGL WTR DIS 237549 2017-11-27 1 900SH ALPHABET INC CLASS A (GOOG 743117 2017-12-12 1 8500SH COLGATE-PALMOLIVE CO(CL) 554242 2017-12-12 1 5600SH MCDONALDS CORP (MCD) 677936 2017-12-12 1 10600SH OF VISA INC (V) 862363 2017-12-12 1 150000SH FLORIDA WTR POLLUTION 160537 2017-11-27 1 125000SH MA BAY TRANSN AUTH 151724 2017-11-27 1 85000SH MA ST PORT AUTH 97099 2017-11-27 1 75000SH METROPOLITAN BOSTON MA T 85364 2017-11-27 1 85000SH NORTH CAROLINA MUNI PWR 99362 2017-11-27 1 125000SH UNIVERSITY MA BLDG 146712 2017-11-27 1 551SH ALPHABET INC CLASS C (GOOG 443423 2017-12-12 1 41022.99SH DREYFU/STANDISH CLOBA 864746 2017-12-12 1 14000SH MONDELEZ INTL INC CL A 625765 2017-12-12 1 6000SH WALT DISNEY CO (DIS) 653610 2017-12-12 AUDIT & TAX PREPARATION 11200 5600 5600 5600 CA ST VAR PURP GO BOND PURCHASE 2017-11 83770 84085 -315 FIDELITY CONSERVATIVE INCOME FUND 77311 77311 ALLIANZE SHORT DURATION 949928 949928 BARINGS ACTIVE SHORT 1034591 1034591 BLACKROCK STRATEGIC 959394 959394 DREYFUS STANDISH MELLON 983002 983002 GUGGENHEIM TOTAL RETURN 999893 999893 ABBOTT LABS 1042954 1042954 NESTLE 841442 841442 450 VECTREN 29259 29259 JP MORGAN CHASE 1329692 1329692 ISHARES RUSSELL MIDCAP VALUE 18337 18337 ISHARES TRUSSELL MIDCAP GR 9004 9004 FIDELITY ADVISOR NEW INSIGHTS 56841 56841 GOLDMAN SACHS SMALL CAP VALUE 7767 7767 JP MORGAN LARGE CAP 77960 77960 AIG/SUNAMERICA FOCUSED DIVIDEND 73210 73210 TWEEDY BROWNE GLOBAL 24921 24921 WASATCH INTL GROWTH FD 30427 30427 GENERAL ELECTRIC VANGUARD REIT ETF NEUBERGER BERMAN SRATEGIC INCOME 63738 63738 PIONEER STRATEGIC INCOME 54120 54120 PIONEER MLTI AST ULT 30129 30129 BLACKROCK INC 40069 40069 EXXON MOBIL JP MORGAN CHASE 23420 23420 WELLS FARGO 15714 15714 DANAHER 43625 43625 DISNEY 720317 720317 PEPSICO 694816 694816 UNION PACIFIC 75766 75766 UNITED TECHNOLOGIES 703549 703549 VISA 1279875 1279875 BLACKROCK HEALTH SCIENCES 36141 36141 OAKMARK INTERNATIONAL 120651 120651 L BRANDS INC PIMCO INCOME P 80437 80437 APPLE INC 1227933 1227933 JOHNSON & JOHNSON 52395 52395 SCHLUMBERGER LTD COM BLACKROCK STRATEGIC INCOME CLEARBRIDGE AGGESSIVE GROWTH I 61286 61286 E V FLOATING RATE I OAKMARK SELECT I SOUND SHORE INSTL CLASS 67091 67091 T ROWE PRICE INTL DISC 25949 25949 AMERICAN EXPRESS 99310 99310 COLGATE PALMOLIVE 726206 726206 3 M COMPANY 57666 57666 CONS DISCRET SEL SECT SPDR FIRST TRUST NORTH AMERICAN HEALTH CARE SEL SECT WCM FOCUSEDINTL GROWTH 132675 132675 JOHN HANCOCK SMALL CAP VALUE 90741 90741 LYRICAL US VALUE EQUITY 56681 56681 ALPHABET INC.CL C 576566 576566 ALPHABET INCCL A 1102910 1102910 FORTIVE CORP 8827 8827 MCDONALDS 963872 963872 MONDELEZ INT'L 684800 684800 STARBUCKS 48815 48815 TOOTSIE ROLL 602165 602165 BARON EMERGING MARKET 561744 561744 RBC EMERGING MARKET 80239 80239 ALLIANZ SHORT DURATION BARINGS ACTIVE SHORT DURATION DREYFUS STANDISH MELLON GL FIXED GUGGENHEIM TOTAL RETURN ISHARES S & P SMALLCAP 39135 39135 ISHARES EDGE MSCI MIN 105821 105821 ISHARES TRUST CORE 72699 72699 ISHARES CORE US AGGREG 489252 489252 ISHARES TR 20YR 513783 513783 ISHARES CORE S & P 500 73934 73934 POWERSHARES QQQ TR 1012440 1012440 ISHARES MSCI EMU 14879 14879 ISHARES MSCI EURO 15082 15082 ISHARES NASDAQ BIOTECH 61500 61500 WISDOM TREE INTL SM CAP 25651 25651 ABBOTT LABS FIRST TRUST DJ INTERNET 82959 82959 ISHARES NASDAQ BIOTECH POWERSHARES PREFERRED PORT AAM BAHL & GAYNOR INC 36232 36232 GUGGENHEIM DIRECTIONAL ALLOCATION 108681 108681 FIDELITY ADV EMERGING MKT 31282 31282 FIDELITY ADVISOR EMERGING MARKETS IN 32377 32377 MSIF GROWTH 74735 74735 VANGUARD SMALL CAP 36681 36681 VANGUARD WELLESLEY 55184 55184 DIFFERENCE IN GAIN ON SALE OF INVESTMENTS AT COST 26261 & INVESTMENTS ON FINANCIAL STATEMENT RECORDED AT 1 MARKET VALUE -1 UNREALIZED LOSS ON SECURITIES 1 DEFERRED FEDERAL EXCISE TAX 59258 NON-DEDUCTIBLE BOND PREMIUMS 34974 EXPENSES FILING FEES 310 155 155 155 OFFICE, TRAVEL, ADVERTISING 3783 1891 1891 1892 ANNUAL MEETING EXPENSE 3512 1756 1756 1756 UNREALIZED GAIN ON SECURITIES 2983814 DIFFERENCE IN GAIN ON SALE OF INVESTMENTS AT COST 1 & INVESTMENTS ON FINANCIAL STATEMENT RECORDED AT -1 MARKET VALUE 1 DEFERRED FEDERAL EXCISE TAX -1 DEFERRED FEDERAL EXCISE TAX 5936 65194 INVESTMENT MANAGEMENT 29724 29724 ELLIN SMALLEY ESTATE 20110 BOCA WEST DRIVE APT 225 BOCA RATON FL 33434 FOREIGN TAX 1288 1288 FEDERAL EXCISE TAX 4985 4985