2017-11-13T15:34:02-06:00 2016-12-31 990PF 2016-01-01 946064551 MIMI AND PETER HAAS FUND % ARGONAUT SECURITIES COMPANY MIMI 4152969249 201 FILBERT STREET FIFTH FLOOR SAN FRANCISCO CA 941333238 LYNN MERZ EXECUTIVE DIRECTOR 4152969249 2017-11-09 155.57.254.1 94577820173175000000 2017-11-13 P 02917CB4E8D35D604E773E5FE1D643813D168107 C4D305F0B7BC154D566E0186BFEB5B4DD4C154D2 2016 2018-03-14 21:41:22Z X 192576052 X 0 200 200 0 1234610 1234610 0 3683824 5857295 3683824 12083620 3019965 0 17002254 7938599 0 306029 0 0 306029 354898 0 0 354898 189841 0 0 189841 2110 1055 0 1055 225757 134051 0 67458 1943825 1943825 0 0 307170 3102 0 160 4840 241107 0 0 257130 5213 0 0 5213 1905 0 0 1905 69913 0 0 69913 3652608 2082033 0 1253602 5652279 5543529 9304887 2082033 0 6797131 7697367 5856566 0 500 500 500 1524263 798120 798120 231234 1685043 231234 231234 101000 226398 226398 32156342 30862572 30862572 42456912 44989372 44989372 5550 5550 5550 5550 106640530 115457299 115457299 332966 327959 9847 5007 5007 184579987 192576052 192576052 171472 196539 108750 52665 217546 224137 522835 X 184355850 192053217 184355850 192053217 184579987 192576052 184355850 7697367 192053217 192053217 BAUPOST VALUE PARTNERS IV 26-2208448 P 1542242 FARALLON CAPITAL INST 94-3106323 P -45146 FR XI ONSHORE AIV 71-1015969 P -248607 GEMINI ISRAEL IV 98-0428414 P 23383 GENERATION IM GLOBAL EQ. FUND (N/A) P 1165798 JC FLOWERS II 98-0494093 P -11363 HCP WPPE X INVESTORS 26-1278318 P 98872 JW CHILDS EQUITY III 03-0387301 P 218 HCP PRIVATE EQUITY 52-2335224 P 43170 HCP VF IX INVESTORS 26-1958282 P 39377 NATURAL GAS PARTNERS IX 26-0632609 P 29858 WARBURG PINCUS PRIV EQUITY VIII 13-4161869 P -18181 POUCHINE COOK CAPII 35-2249258 P -249392 HARRIS ASSOCIATES GLOBAL 26-0221909 P -12763 KHOSLA VENTURES III 26-4049910 P 23748 GS MOUNT KELLETT CAP PR (N/A) P 24945 KHOSLA VENTURES SEED 26-4754028 P -8901 BASELINE CORE FUND 45-3010611 P -25476 STG III A 20-8952445 P -299715 VARDE FUND XI (B)(FEEDER) 46-2022036 P 24988 WATERSHED CAP INSTITUTIONAL 82-0547075 P 62 CARMEL PARTNERS III 33-1177003 P 218173 HCP MEP H INVESTORS 27-4319591 P 218233 KHOSLA VENTURE SEED B 45-5043024 P -3731 KHOSLA VENTURES IV 90-0720388 P -16671 WGI EMERGING MARKETS FUND 20-3377269 P -284280 5AM VENTURES IV 46-3926873 P -4218 GEMINI ISRAEL V 98-0548428 P 302524 GENERATION IM CLIMATE SOLUTION FUND(CAYMAN) P 65160 HCP CDH V INVESTORS 80-0884122 P 4179 ROSEWOOD CAPITAL IV 22-3707169 P 1812 ROSEWOOD CAPITAL V 14-1948848 P 13487 ROSEWOOD CAPITAL V COBALT AIV 26-2157568 P 7278 SRI NINE REIT 77-0677478 P 104847 TCV IV 77-0527868 P -760 TCV III(Q) LIQUIDATING TRUST 46-7356883 P -217 VARDE FUND XII (B)(FEEDER) 81-0992297 P 13398 NT-CAPITAL GUARDIAN 26-03958(STMT D-1) P 943424 470366 473058 473058 SCHWAB/GURTIN 20905807(STMT D-2) P 4409850 4406279 3571 3571 WELLS FARGO 2009-5273(STMT D-3) P 504021 33157 470864 470864 3683824 false 9992100 186304951 0.053633 8931077 198674181 0.044953 12011497 194904327 0.061628 7913522 184041838 0.042998 11548569 191508650 0.060303 0.263515 0.052703 185107784 9755736 58566 9814302 6797131 117131 117131 117131 125408 125408 X 595 7682 7682 false false false false false true true false true true CA true false false false false true ARGONAUT SECURITIES COMPANY 4155014885 1155 BATTERY STREET SAN FRANCISCO CA 94111 false false false false true false false false false false false false false false false false false false false false false MIRIAM L HAAS C/O ARGONAUT SECURITIES CO 1155 BATTERY STREET LS7W SAN FRANCISCO CA 94111 TRUSTEE/PRESIDENT 10.0 0 0 0 ARI A LURIE C/O ARGONAUT SECURITIES CO 1155 BATTERY STREET LS7W SAN FRANCISCO CA 94111 TRUSTEE 1.0 0 0 0 DANIEL L LURIE C/O ARGONAUT SECURITIES CO 1155 BATTERY STREET LS7W SAN FRANCISCO CA 94111 TRUSTEE 1.0 0 0 0 LYNN MERZ C/O ARGONAUT SECURITIES CO 1155 BATTERY STREET LS7W SAN FRANCISCO CA 94111 EXECUTIVE DIRECTOR/SECRETARY 40.0 306029 51426 0 CATHERINE A JONES C/O ARGONAUT SECURITIES CO SAN FRANCISCO CA 94111 EXECUTIVE ASSISTANT 40.0 76891 23059 0 MARTIN D TILZER C/O ARGONAUT SECURITIES CO SAN FRANCISCO CA 94111 FINANCE MANAGER 40.0 110659 25099 0 SEPTEMBER JARRETT C/O ARGONAUT SECURITIES CO SAN FRANCISCO CA 94111 PROGRAM DIRECTOR 40.0 79027 11518 0 ARGONAUT SECURITIES COMPANY 1155 BATTERY STTREET LS7FL SAN FRANCISCO CA 94111 ACCOUNTING SERVICES 166486 FARALLON CAPITAL INST PARTNERS ONE MARITIME PLAZA SUITE 2100 SAN FRANCISCO CA 94111 INVESTMENT ADVISORY 142722 HALL CAPITAL PARTNERS LLC ONE MARITIME PLAZA FIFTH FLOOR SAN FRANCISCO CA 94111 INVESTMENT ADVISORY 645306 BAUPOST VALUE PARTNERS IV 10 ST JAMES AVE STE 1700 BOSTON MA 02116 INVESTMENT ADVISORY 552990 HARRIS ASSOCIATES GLOBAL LP 111 SOUTH WACKER DRIVESUITE 4600 CHICAGO IL 60606 INVESTMENT ADVISORY 107341 3 HOSTING MEETINGS OF NONPROFIT LEADERS AND GRANTMAKERS; SERVICE OF FOUNDATION STAFF ON NONPROFIT BOARDS AND ADVISORY COUNCILS; TECHNICAL ASSISTANCE TO ENCOURAGE PHILANTHROPY. 9143 NONE 75370668 1507101 111048915 187926684 0 187926684 2818900 185107784 9255389 9255389 117131 13114 130245 9125144 9125144 9125144 6797131 0 0 0 0 6797131 6797131 9125144 0 2014 2013 2012 0 2098568 0 2618637 0 1005160 5722365 6797131 0 6797131 0 2328013 2328013 3394352 0 0 0 0 3394352 2389192 0 1005160 NONE NONE EXECUTIVE DIRECTOR 201 FILBERT STREET 5TH FLOOR SAN FRANCISCO CA 94133 4152969249 NO PRESCRIBED FORM NONE NONE GRANTS PAID DURING YEAR PDF GRANTS PAID DURING YEAR SAN FRANCISCO CA 94133 PDF GRANTS PAID DURING YEAR PDF GRANTS PAID DURING YEAR 5543529 5543529 TEACH FOR AMERICA 940 HOWARD STREET SAN FRANCISCO CA 94103 NONE PC GENERAL OPERATING SUPPORT 108750 108750 14 200 14 1234610 525990 109457 14 3019965 18 3683824 UNREALIZED APPRECIATION (DEPRECIATION) 18 8954198 109457 16892797 17002254 false false false false false false false false false false ARGONAUT SECURITIES COMPANY 190734 116540 0 49946 OUTSIDE ACCOUNTING SERVICE 35023 17511 0 17512 NONE FURNITURE 92 1992-01-01 7691 7691 SL 10 OFFICE FURN 94 1994-01-01 98864 98864 SL 10 ARTWORK 94 1994-01-01 5550 L SIDETABLE 95 1995-09-15 1606 1606 SL 10 WORKSTATION 95 1995-08-24 552 552 SL 10 CONF TABLE 95 1995-11-15 924 924 SL 10 OFFICE CHAIR 98 1998-03-15 459 459 SL 7 2 STORAGE CABN 98 1998-04-30 2220 2220 SL 7 4 MERIDIAN FILE 98 1998-04-30 2681 2681 SL 7 2 TABLE DESK 98 1998-08-28 4200 4200 SL 7 BOOKCASE 98 1998-08-28 930 930 SL 7 FILE TOP 98 1998-08-18 350 350 SL 7 DISHWASHER 01 2001-01-17 427 427 SL 7 OFFICE CHAIRS 03 2003-09-02 1548 1548 SL 7 POWER PNT PROJ 04 2004-10-19 927 927 SL 5 OFFICE FURN 93 1993-01-01 68137 68137 SL 10 PHONE SYS 03 2003-02-14 21196 21196 SL 5 DOOR PLAQUE 06 2006-04-26 799 799 SL 7 BIZHUB COPIER 08 2008-02-05 17924 17924 SL 5 FURNITURE 10 2010-07-19 1093 858 M7 7 156 LM CHAIR 10 2010-10-15 601 473 M7 7 86 POWEREDGE SERVER11 2011-01-25 7586 7459 SL 5 127 FIREWALL 11 2011-04-11 2186 2076 SL 5 110 SERVER MIG.PROJ.11 2011-04-11 5400 5130 SL 5 270 NEW COMPUTER 12 2012-05-23 1145 821 SL 5 229 6 NEW COMPUTERS 12 2012-05-23 6851 4909 SL 5 1370 WINDOWS SERVER 12 2012-06-21 1120 784 SL 5 224 NEW COMPUTER 12 2012-06-21 2648 1855 SL 5 530 SERVER MGMT 12 2012-07-10 503 353 SL 5 101 COMPUTER INST. 12 2012-08-01 2400 1640 SL 5 480 LENOVO THINKPAD 14 2014-01-13 1347 538 SL 5 269 CISCO AIRONET 14 2014-01-23 396 152 SL 5 79 LOGITECH CAMERA 14 2014-07-02 1134 340 SL 5 227 LT VIDEO CONFER.14 2014-08-25 760 203 SL 5 152 CAMERA SET UP 14 2014-08-26 786 209 SL 5 157 OFFICE CHAIR 14 2014-09-11 597 113 SL 7 85 FILING CABINEET 15 2015-03-23 772 83 SL 7 110 BULLETIN BOARD 15 2015-08-17 544 26 SL 7 78 G GENERAL ACCOUNT 26-74278 16039031 16039031 (PDF NT GENERAL ) CAPITAL GUARDIAN 26-03958 28950341 28950341 (PDF NT CAP GUARDIAN) GOLDMAN SACHS XXX-XX445-6 (PDF GOLDMAN SACHS) 30862572 30862572 ARTWORK 94 5550 5550 5AM VENTURES IV 46-3926873 FMV 414069 414069 BASELINE CORE FUND 45-3010611 FMV 326826 326826 FARALLON CAPTL INST 94-3106323 FMV 14872256 14872256 FR XI ONSHORE AIV 71-1015969 FMV 47616 47616 GEMINI ISRAEL IV 98-0428414 FMV 348861 348861 GEMINI ISRAEL V 98-0548428 FMV 1891761 1891761 GENERATION IM GLOBAL EQ FUND FMV 13879563 13879563 27-0114160 FMV HCP WPPE X INVEST 26-1278318 FMV 1031074 1031074 JC FLOWERS II 98-0494093 FMV 196278 196278 HCP CDH V INVESTORS 80-0884122 FMV 631044 631044 HSH CAYMAN 98-0521559 FMV 1403 1403 VARDE FUNDXIB FEEDER46-2022036 FMV 1256455 1256455 JCF II SPECIAL AIV K FMV 20632 20632 JW CHILDS EQ III 03-0387301 FMV 178 178 LBA REALTY FUND III 20-5498217 FMV 1082343 1082343 OFFIT HALL PRVT EQ 52-2335224 FMV 335607 335607 WGI EMER-G MARKET FD20-3377269 FMV 5080381 5080381 NATURAL GAS PARTR IX26-0632609 FMV 238484 238484 POUCHINE COOK CAPII 35-2249258 FMV 0 0 KHOSLA VENTURE SEEDB45-5043024 FMV 346974 346974 ROSEWOOD CAP V 14-1948848 FMV 120674 120674 STG III A 20-8952445 FMV 2115068 2115068 TCV IV 77-0527868 FMV 1693 1693 WARBURG EQ VIII 13-4161869 FMV 341428 341428 ASIA ENVIRONMENTAL PARTNER(NA) FMV 1373717 1373717 CARMEL PARTNERS INV FUND III FMV 759799 759799 33-1177003 FMV HCP VF IX INVESTORS 26-1958282 FMV 320751 320751 JUPITER JCF AIV II SPECIAL FMV 199718 199718 98-0569851 FMV GENERATION IM CLIMATE SOL(N/A) FMV 630616 630616 GS MOUNT KELLETT CAP (N/A) FMV 426780 426780 WATERSHED CAP INST PARTNERS FMV 596264 596264 82-0547075 FMV ROSEWOOD CAP V COBALT (N/A) FMV 13588 13588 SRI NINE REIT 77-0677478 FMV 87438 87438 FR HORIZON AIV (N/A) FMV 178411 178411 BAUPOST VALUE PARTNERS IV FMV 42503806 42503806 26-2208448 FMV KHOSLA VENTURES III 26-4049910 FMV 744483 744483 KHOSLA VENTURES SEED FMV 285189 285189 26-4754028 FMV ROSEWOOD CAPITAL IV 22-3707169 FMV 52044 52044 HCP CHINA PE2009 FEEDER-CAYMAN FMV 946163 946163 BASELINE INCREASED EXPOSURE FD FMV 1406506 1406506 45-3010715 FMV MOUNT KELLETT CAP PR(CAYMAN)II FMV 478863 478863 98-0677267 HCP MEP H INVESTORS 27-4319591 FMV 1611979 1611979 KHOSLA VENTURES IV 90-0720388 FMV 1080462 1080462 HARRIS ASSOCIATES GLOBAL FMV 14812942 14812942 26-0221909 FMV QIMING VENTURE PARTNERS IV FMV 1304913 1304913 98-1164224 FMV TCV III(Q) LIQUIDATING TRUST FMV 85433 85433 N/A FMV HCP BF 2014 INVESTORS FMV 235398 235398 30-0827317 FMV 5AM VENTURES V 81-2585295 FMV 44931 44931 THE VARDE FUND XII(B)(FEEDER) FMV 469491 469491 81-0992297 FMV QIMING VENTURE PARTNERS V FMV 226946 226946 98-1282573 FURNITURE 92 7691 7691 OFFICE FURN 94 98864 98864 LEASEHOLD IMPR 94 30736 30736 SIDETABLE 95 1606 1606 WORKSTATION 95 552 552 CONF TABLE 95 924 924 LEASEHOLD IMPR 95 31396 31396 OFFICE CHAIR 98 459 459 2 STORAGE CABN 98 2220 2220 4 MERIDIAN FILE 98 2681 2681 2 TABLE DESK 98 4200 4200 BOOKCASE 98 930 930 FILE TOP 98 350 350 DISHWASHER 01 427 427 LEASEHOLD IMPR 03 1530 1530 OFFICE CHAIRS 03 1548 1548 POWER PNT PROJ 04 927 927 OFFICE FURN 93 68137 68137 PHONE SYS 03 21196 21196 DOOR PLAQUE 06 799 799 BIZHUB COPIER 08 17924 17924 FURNITURE 10 1093 1014 79 LM CHAIR 10 601 559 42 POWEREDGE SERVER11 7586 7586 FIREWALL 11 2186 2186 SERVER MIG.PROJ.11 5400 5400 NEW COMPUTER 12 1145 1050 95 6 NEW COMPUTERS 12 6851 6279 572 WINDOWS SERVER 12 1120 1008 112 NEW COMPUTER 12 2648 2385 263 SERVER MGMT 12 503 454 49 COMPUTER INST. 12 2400 2120 280 LENOVO THINKPAD 14 1347 807 540 CISCO AIRONET 14 396 231 165 LOGITECH CAMERA 14 1134 567 567 LT VIDEO CONFER.14 760 355 405 CAMERA SET UP 14 786 366 420 OFFICE CHAIR 14 597 198 399 FILING CABINEET 15 772 193 579 BULLETIN BOARD 15 544 104 440 LEGAL FEES 2110 1055 0 1055 ADMINISTRATIVE CONSULTANTS 17398 0 0 17398 GENERAL LIABILITY INSURANCE 851 0 0 851 TELEPHONE 11133 0 0 11133 SUPPLIES 3404 0 0 3404 POSTAGE & FREIGHT 279 0 0 279 MEMBERSHIP FEES 2150 0 0 2150 SERVICE CONTRACT & EQ REPAIR 20583 0 0 20583 EQUIPMENT RENTAL 1063 0 0 1063 MISC ADMIN-RELATED EXPENSES 2539 0 0 2539 MISC GRANT-RELATED EXPENSES 1927 0 0 1927 DIRECT CHARITABLE ACTIVITIES 9143 0 0 9143 SHARED EXPENSES -756 0 0 -756 PROFESSIONAL DEVELOPMENT 199 0 0 199 ORDINARY INCOME FROM PARTNERSHIPS- FARALLON CAPITAL INST 94-3106323 265653 265653 0 FIRST RESERVE XI ONSHORE AIV 71-1015969 6272 6272 0 BASELINE INCREASED EXP. 45-3010715 -280 -280 0 GEMINI ISRAEL IV 98-0428414 -369 -369 0 GEMINI ISRAEL V 98-0548428 -513 -513 0 JC FLOWERS II 94-6064551 110725 110725 0 BASELINE CORE FUND 45-3010611 -815 -815 0 HCP MEP H INVESTORS 27-4319591 163768 163768 0 KHOSLA VENTURE IV 90-0720388 439 439 0 GS MOUNT KELLETT CAP PART (N/A) 46586 46586 0 HCP WPPE X INVESTORS 26-1278318 9187 9187 0 JW CHILDS EQUITY III 03-0387301 -68 -68 0 KHOSLA VENTURES SEED B 45-5043024 217 217 0 HCP PRIVATE EQUITY 52-2335224 -812 -812 0 NATURAL GAS PARTNERS IX 26-0632609 -5355 -5355 0 5AM VENTURES IV 46-3926873 302 302 0 POUCHINE COOK CAPITAL II 35-2249258 -1235 -1235 0 HARRIS ASSOCIATES GLOBAL 26-0221909 348342 348342 0 5AM VENTURES V 81-2585295 -2236 -2236 0 CARMEL PARTNERS INV FUND III 33-1177003 1021 1021 0 ROSEWOOD CAPITAL V 14-1948848 -1032 -1032 0 STG III A 20-8952445 385988 385988 0 TCV III (Q) LIQUIDATING TR 46-7356883 -152 -152 0 TCV IV 77-0527868 -49 -49 0 WARBURG PINCUS PE VIII 13-4161869 2400 2400 0 VARDE FUND XII(B)(FEEDER)81-0992297 -3755 -3755 0 HCP CDH V INVESTORS 80-0884122 -20833 -20833 0 QIMING VENTURE PARTNERS V 98-1282573 -1362 -1362 0 VARDE FUND XI(B)(FEEDER)46-2022036 107156 107156 0 WGI EM FUND 20-3377269 110050 110050 0 GENERATION IM GLOBAL (N/A) 169334 169334 0 HCP BF 2014 INVESTORS -7328 -7328 0 QIMING VENTURE PARTNERS IV -333 -333 0 ROSEWOOD CAPITAL V COBALT AIV 26-2157568 -102 -102 0 HCP VF IX INVESTORS 26-1958282 37633 37633 0 WATERSHED CAPITAL INST 82-0547075 682233 682233 0 BAUPOST VALUE PARTNERS IV 26-2208448 730754 730754 0 KHOSLA VENTURES III 26-4049910 -1151 -1151 0 KHOSLA VENTURES SEED 26-4754028 -152 -152 0 ROSEWOOD CAPITAL IV 22-3707169 -706 -706 0 OTHER INCOME- SECURITIES LITIGATION SETTLEMENTS 0 0 0 CHANGES IN UNREALZED APPRECIATION 8954198 0 0 LESS: INVESTMENT PARTNERSHIP NET UBTI 0 -109457 0 DEFERRED TAX PAYABLE -2822 173440 DEFERRED RENT 55487 44106 INVESTMENT ADVISOR & CUSTODIAL FEES- CAPITAL GUARDIAN 26-03958 90771 90771 0 0 GENERAL ACCOUNT 26-74278 6361 6361 0 0 KHOSLA VENTURE IV 90-0720388 10691 10691 0 0 SCHWAB/GURTIN 20905807 25801 25801 0 0 CARMEL PARTNERS III33-1177003 8235 8235 0 0 HALL CAPITAL PARTNERS LLC 645306 645306 0 0 FARALLON CAPITAL 94-3106323 142722 142722 0 0 FR XI ONSHORE AIV 71-1015969 5330 5330 0 0 JC FLOWERS II 94-6064551 2354 2354 0 0 GEMINI ISRAEL IV 98-0428414 697 697 0 0 GEMINI ISRAEL V 98-0548428 22556 22556 0 0 5AM VENTURE V 81-2585295 15833 15833 0 0 GS MOUNT KELLETT CAP PAR.(N/A) 14839 14839 0 0 QIMING VENTURE PR V 98-1282573 15168 15168 0 0 5AM VENTURES IV 46-3926873 25000 25000 0 0 NATURAL GAS IX 26-0632609 12184 12184 0 0 THE VARDE FUND XII(B)XXX-XX-XXXX 2727 2727 0 0 POUCHINE COOK CAPITAL II 12535 12535 0 0 35-2249258 GENERATION IM GLOBAL (N/A) 101321 101321 0 0 HARRIS ASSTS GL.26-0221909 107341 107341 0 0 ROSEWOOD CAP V 14-1948848 3316 3316 0 0 BAUPOST VALUE PRIV 26-2208448 552990 552990 0 0 QIMING VENTURE PARTNERS IV 8092 8092 0 0 STG III A 20-8952445 25374 25374 0 0 VARDEFUNDXIB(FEEDER)46-2022036 14176 14176 0 0 WGI EM FUND 20-3377269 59367 59367 0 0 KHOSLA VENTURES III26-4049910 7778 7778 0 0 KHOSLA VENTURES SEED 3910 3910 0 0 26-4754028 INVESTMENT-RELATED EXPENSES- BANK SERVICE CHARGES 1050 1050 0 0 STATE TAX AND FILING FEES 160 0 0 160 FED TAXES (NET EXCISE,UBTI,DEF 295458 0 0 0 CALIFORNIA UBTI TAXES 8406 0 0 0 FOREIGN TAX WITHHOLDINGS 3102 3102 0 0 UBTI TR TAX FILING PENALITIES 44 0 0 0