2017-11-10T17:32:46-06:00 2016-12-31 770076647 DAMITZ BROOKS NIGHTINGALE 200 EAST CARRILLO STREET SUITE 303 SANTA BARBARA CA 93101 990PF 2016-01-01 770359291 RAINTREE FOUNDATION RAIN 8059677964 1255 FRANKLIN RANCH ROAD GOLETA CA 93117 ELLICOT MILLION PRESIDENT/CFO 8059677964 2017-11-08 1 CATHERINE MACAULAY P00178796 8059631837 216.64.156.34 2017-11-08 12:50:07 PS P 0004BEF20EF00B07AE83CC9C931485928D24D0BF 126C55C33015076242EA3A1EA892F641F0A51BAB 2016 2017-02-10 21:41:12Z X 13286844 X 123240 1121 1121 207151 207151 1198227 1307307 1198227 1515 1515 1531254 1408014 11539 9231 2308 1051 0 1051 27710 26325 1385 57466 57466 0 21514 1626 236 71324 71117 207 190604 165765 5187 1705407 1705407 1896011 165765 1710594 -364757 1242249 645957 126743 126743 8124078 8189546 9195715 866627 903824 890352 2811564 2743427 3074034 12448226 11963540 13286844 0 118 0 118 X 12448226 11963422 0 0 0 0 12448226 11963422 12448226 11963540 12448226 -364757 0 12083469 120047 11963422 TCW #6415 - CONCENTRATED CORE P 2015-01-01 2016-12-31 708963 708963 708963 TCW #6416 - CONCENTRATED VALUE P 2015-01-01 2016-12-31 208466 208466 208466 GS #4315 - CONCENTRATED GROWTH P 2015-01-01 2016-12-31 15309 15309 15309 GS #4307 - STRATEGIC VALUE P 2015-01-01 2016-12-31 24031 -24031 -24031 CYPRESS PARTNERS P 2015-01-01 2016-12-31 28150 28150 28150 TCW #1004 - SECURITIZED OPPORTUNITIES P 2015-01-01 2016-12-31 4044 -4044 -4044 GS #5737 - ADVISORY P 2015-01-01 2016-12-31 81005 -81005 -81005 GAIN ON REDEMPTION - TCW #6415 CONCENTRATED CORE P 2015-01-01 2016-12-31 23108 23108 23108 GAIN ON REDEMPTION - TCW #1004 SECURITIZED P 2015-01-01 2016-12-31 17229 17229 17229 GAIN ON REDEMPTION - TCW #7333 SELECT EQUITIES P 2015-01-01 2016-12-31 91801 91801 91801 SETTLEMENT INCOME P 2015-01-01 2016-12-31 1034 1034 1034 DISTRIBUTION IN EXCESS OF BASIS - GROW FUND P 2015-01-01 2016-12-31 3985 3985 3985 CAPITAL GAINS DIVIDENDS P 209262 209262 209262 1198227 0 2053486 15206076 0.135044 1610412 16641727 0.096770 1344584 15884052 0.084650 1175508 13253481 0.088694 965777 13994495 0.069011 0.474169 0.094834 13334465 1264561 12422 1276983 1710594 X 12422 0 12422 0 12422 7430 5000 12430 X 62 54 0 0 0 0 0 0 0 0 0 0 1 1 CA 1 0 0 0 0 1 N/A ELLICOTT MILLION 8059677964 1255 FRANKLIN RANCH ROAD GOLETA CA 93117 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 JAMES A FRANK 1255 FRANKLIN RANCH ROAD GOLETA CA 93117 PRESIDENT/CFO 5.00 0 0 0 JESSICA FRANK 1255 FRANKLIN RANCH ROAD GOLETA CA 93117 VICE PRESIDENT 2.00 0 0 0 ELLICOTT MILLION 1255 FRANKLIN RANCH ROAD GOLETA CA 93117 SECRETARY 10.00 11539 0 0 NONE 0 NONE 0 0 10894213 785459 1857856 13537528 0 0 13537528 203063 13334465 666723 666723 12422 12422 654301 0 654301 0 654301 1710594 0 1710594 12422 1698172 654301 0 0 281095 531808 576317 818840 1324430 3532490 1710594 0 0 0 654301 1056293 0 0 4588783 0 0 0 0 0 0 281095 4307688 531808 576317 818840 1324430 1056293 JAMES A FRANK JAMES A FRANK PRESIDENTCFO 1255 FRANK RANCH ROAD GOLETA CA 93117 8059677964 LETTER FORM, INCLUDING EXEMPT STATUS AND SOCIAL VALUE OF PROGRAM FOR WHICH THE GRANT IS BEING REQUESTED. NONE PREFER TO GRANT PROPOSALS WITHIN SANTA BARBARA COUNTY, FOR PROGRAMS RELATED TO EDUCATION, HEALTH CARE AND YOUTH ACTIVITIES. OTHER PROPOSALS ARE CONSIDERED ON MERIT. AMERICAN INDIAN COLLEGE FUND 8333 GREENWOOD BOULEVARD DENVER CO 80221 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 1000 ANIMAL RESCUE TEAM 875 CARRIAGE DRIVE SOLVANG CA 93463 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 25000 CALIFORNIA NARCOTIC OFFICERS ASSOCIATION 28245 AVENUE CROCKER SANTA CLARITA CA 91355 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 5000 CALIFORNIA POLYTECHNIC STATE UNIVERSITY FOUNDATION ONE GRAND AVENUE HERON HALL NO 103 SAN LUIS OBISPO CA 93407 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 200000 CALIFORNIA STATE PARKS FOUNDATION 50 FRANCISCO STREET NO 110 SAN FRANCISCO CA 94133 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 25000 COMMUNITY FOUNDATION OF JACKSON HOLE 245 EAST SIMPSON AVENUE JACKSON WY 83001 NONE PC JENNY LAKE RANGERS AND FUN RUN 5000 DIRECT RELIEF 27 SOUTH LA PATERA LANE GOLETA CA 93117 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 50000 DOCTORS WITHOUT WALLS - SANTA BARBARA STREET MEDICINE 19 EAST MICHELTORENA STREET SANTA BARBARA CA 93101 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 10000 DOMESTIC VIOLENCE SOLUTIONS FOR SANTA BARBARA COUNTY PO BOX 1536 SANTA BARBARA CA 93102 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 5000 DOS PUEBLOS HIGH SCHOOL 7266 ALAMEDA AVENUE GOLETA CA 93117 NONE PC RIVIERA ROBOTICS 5000 FAMILY SERVICE AGENCY OF SANTA BARBARA 123 WEST GUTIERREZ STREET SANTA BARBARA CA 93101 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 1000 FOODBANK OF SANTA BARBARA COUNTY INC 4554 HOLLISTER AVENUE SANTA BARBARA CA 93110 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 15000 FOUNDATION FOR SANTA BARBARA HIGH SCHOOL 700 EAST ANAPAMU STREET SANTA BARBARA CA 93103 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 5000 FRIENDS OF YOSAR INC PO BOX 611 YOSEMITE CA 95389 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 5000 GIRLS INCORPORATED 120 WALL STREET NEW YORK NY 10005 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 10000 GIRLS ROCK SANTA BARBARA 810 EAST GUTIERREZ STREET UNIT D SANTA BARBARA CA 93103 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 5000 GOLETA VALLEY COTTAGE HOSPITAL FOUNDATION 351 S PATTERSON AVENUE SANTA BARBARA CA 931112403 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 50000 GRAND CANYON ASSOCIATION 4 TONTO STREET GRAND CANYON VILLAGE AZ 86023 NONE PC PREVENTATIVE SEARCH & RESCUE 75000 HEARTS THERAPEUTIC EQUESTRIAN CENTER 4420 CALLE REAL SANTA BARBARA CA 93110 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 15507 INLAND EMPIRE SEARCH AND RESCUE COUNCIL 13255 FIRST AVENUE VICTORVILLE CA 92935 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 20000 MEMORIAL SLOAN-KETTERING CANCER CENTER 1275 YORK AVENUE NEW YORK NY 10065 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 1000 MONTECITO TRAILS FOUNDATION PO BOX 5481 SANTA BARBARA CA 93150 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 5000 MOUNTAIN RESCUE ASSOCIATION PO BOX 880868 SAN DIEGO CA 92168 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 10000 NATURE TRACK FOUNDATION INC PO BOX 953 LOS OLIVOS CA 93441 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 5000 RESTORE HETCH HETCHY 3286 ADELINE STREET SUITE 7 BERKELEY CA 94703 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 10000 THE SALVATION ARMY SANTA BARBARA CORPS 4849 HOLLISTER AVENUE SANTA BARBARA CA 93111 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 100 SANTA BARBARA BOTANIC GARDEN 1212 MISSION CANYON ROAD SANTA BARBARA CA 93105 NONE PC SANTA ROSA ISLAND STUDIES 5000 SANTA BARBARA CHANNELKEEPER INC 714 BOND AVENUE SANTA BARBARA CA 93103 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 5000 SANTA BARBARA COUNTY TRAILS COUNCIL PO BOX 22352 SANTA BARBARA CA 93121 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 5000 SANTA BARBARA MUSEUM OF NATURAL HISTORY 2559 PUESTA DEL SOL SANTA BARBARA CA 93105 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 5000 SANTA BARBARA POLICE ACTIVITIES LEAGUE INC 1235 CHAPALA STREET SANTA BARBARA CA 93101 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 5000 SANTA BARBARA SCHOOL OF SQUASH 1530 CHAPALA STREET SUITE F SANTA BARBARA CA 93101 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 10000 SANTA BARBARA COMMUNITY YOUTH PERFORMING ARTS CENTER INC 721 EAST COTA STREET SANTA BARBARA CA 93103 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 3000 SCHOLARSHIP FOUNDATION OF SANTA BARBARA 2253 LAS POSITAS ROAD SANTA BARBARA CA 93105 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 200000 SEMPERVIRENS FUND 419 SOUTH SAN ANTONIO ROAD NO 211 LOS ALTOS CA 94022 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 20000 SPECIAL OLYMPICS SOUTHERN CALIFORNIA INC 1600 FORBES WAY NO 200 LONG BEACH CA 90810 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 1000 TETON COUNTY SEARCH & RESCUE FOUNDATION PO BOX 1063 JACKSON WY 83001 NONE PC BACKCOUNTRY ZERO 20000 TETON SCIENCE SCHOOLS INC 700 COYOTE CANYON ROAD JACKSON WY 83001 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 25000 THE FOUNDATION FOR SANTA BARBARA CITY COLLEGE 721 CLIFF DRIVE SANTA BARBARA CA 93109 NONE PC SINGLE PARENTS ARRIVING READY FOR COLLEGE (SPARC) PROGRAM 50000 THE LAND TRUST FOR SANTA BARBARA COUNTY 1530 CHAPALA STREET SUITE A SANTA BARBARA CA 93101 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 50000 TRANSITIONS MENTAL HEALTH ASSOCIATION 784 HIGH STREET SAN LUIS OBISPO CA 93401 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 10000 UCSB SEDGWICK RESERVE 3566 BRINKERHOFF ROAD SANTA YNEZ CA 93460 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 30800 UNIVERSITY OF CALIFORNIA SANTA BARBARA 4219 CHEADLE HALL UC SANTA BARBARA SANTA BARBARA CA 93106 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 300000 UNITED BOYS AND GIRLS CLUBS OF SANTA BARBARA COUNTY 1124 CASTILLO STREET SANTA BARBARA CA 93101 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 5000 UNITY SHOPPE INC 110 WEST SOLA STREET SANTA BARBARA CA 93101 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 1000 WASHINGTON STATE UNIVERSITY FOUNDATION WASHINGTON STATE UNIVERSITY PULLMAN WA 99164 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 300000 WILDERNESS YOUTH PROJECT INC 5386 HOLLISTER AVENUE GOLETA CA 93111 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 10000 WILLBRIDGE OF SANTA BARBARA INC 2904 STATE STREET SANTA BARBARA CA 93105 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 1000 YOSEMITE FOUNDATION DBA YOSEMITE CONSERVANCY 101 MONTGOMERY STREET SUITE 1700 SAN FRANCISCO CA 94104 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 75000 ZION NATIONAL PARK FOUNDATION ZION NATIONAL PARK SPRINGDALE UT 84767 NONE PC IN FURTHERANCE OF SECTION 501(C)(3) CHARITABLE PURPOSE 5000 1705407 0 14 1121 14 207151 14 1515 18 1198227 0 1408014 0 1408014 0 0 0 0 0 0 0 0 0 0 X X 1 JAMES FRANK 1255 FRANKLIN RANCH ROAD GOLETA CA 93117 123240 X 1 10,300 SHARES OF KEY TECHNOLOGY INC. STOCK 123240 2016-12-23 TAX PREPARATION & BOOKKEEPING 27710 26325 1385 TCW #7333 - CORE FIXED INCOME 345736 353443 TCW #7333 - EMERGING MARKETS 558088 536909 GOLDMAN SACHS #4315 - CONCENTRATED GROWTH 629253 732640 GOLDMAN SACHS #4307 - STRATEGIC VALUE 769570 842042 GOLDMAN SACHS #5737 - ADVISORY 904929 881659 TCW #7333 - FOCUSED EQUITIES 2928735 3479187 TCW #7333 - SELECT EQUITIES FUND 2953866 3141222 UBS #8567 - KEY TECHNOLOGY INC 3193 118965 TCW SECURITIZED OPPORTUNITIES, LP AT COST 989671 1216178 THE CYPRESS PARTNERS LP AT COST 1753756 1857856 LEGAL FEES 1051 0 1051 ADJUST CONTRIBUTIONS TO COST BASIS 120047 BANK FEES 252 252 0 CALIFORNIA FILING FEES 10 0 10 ANNUAL LICENSE FEE 150 0 150 OFFICE EXPENSE 47 0 47 INVESTMENT FEES 34535 34535 0 CYPRESS PARTNERS 36330 36330 0 OTHER INVESTMENT INCOME 1515 1515 1515 PAYROLL LIABILITIES 0 118 INVESTMENT MANAGEMENT FEES 57466 57466 0 FEDERAL TAX PAYMENTS 19500 0 0 FOREIGN TAXES 682 682 0 PENALTIES AND INTEREST 152 0 0 PAYROLL TAXES 1180 944 236