HAROLD & MIMI STEINBERG CHARITABLE TRUST: Form 990PF, tax year 2016
View the entire original 990 at ProPublica ↗
- Organization
- HAROLD & MIMI STEINBERG CHARITABLE TRUST (EIN 13-3383348)
- Tax period
- 2016-01-01 to 2016-12-31
- Filed
- 2017-11-15
- IRS object ID
- 201713199349103531
- Schema version
- 2016v3.1
- Source
- Download XML · Original 990 at ProPublica
Every field in the e-filed return. Faint text is the IRS element name, for citing.
- Return header
- Form 990-PF
- Accounting Fees Schedule
- Depreciation Schedule
- Investments Corp Stock Schedule
- Investments Other Schedule2
- Legal Fees Schedule
- Other Assets Schedule
- Other Decreases Schedule
- Other Expenses Schedule
- Other Income Schedule2
- Other Professional Fees Schedule
- Taxes Schedule
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return | 2017-11-15T15:55:57-06:00 | ReturnTs |
| Tax Period End | 2016-12-31 | TaxPeriodEndDt |
Preparer Firm PreparerFirmGrp
Preparer Firm Name PreparerFirmName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | WITHUMSMITHBROWN PC | BusinessNameLine1Txt |
Preparer US Address PreparerUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1411 BROADWAY 9TH FLOOR | AddressLine1Txt |
| City | NEW YORK | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 10018 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990PF | ReturnTypeCd |
| Tax Period Begin | 2016-01-01 | TaxPeriodBeginDt |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 133383348 | EIN |
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | THE HAROLD & MIMI STEINBERG CHARITABLE | BusinessNameLine1Txt |
| Business Name Line2 | TRUST C/O SCHULTE ROTH & ZABEL LLP | BusinessNameLine2Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| In Care Of | % SCHULTE ROTH & ZABEL LLP | InCareOfNm |
| Business Name Control | HARO | BusinessNameControlTxt |
| Phone | 2127580404 | PhoneNum |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 919 THIRD AVENUE | AddressLine1Txt |
| City | NEW YORK | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 10022 | ZIPCd |
Business Officer BusinessOfficerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | WILLIAM ZABEL | PersonNm |
| Person Title | TRUSTEE | PersonTitleTxt |
| Signature | 2017-11-15 | SignatureDt |
| Discuss With Paid Preparer | Yes (true) | DiscussWithPaidPreparerInd |
Preparer Person PreparerPersonGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Person | ALFRED LAROSA CPA | PreparerPersonNm |
| PTIN | P00103808 | PTIN |
| Phone | 2127519100 | PhoneNum |
| Preparation | 2017-11-15 | PreparationDt |
Filing Security Information FilingSecurityInformation
IP Address IPAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| I Pv4 Address | 198.46.120.251 | IPv4AddressTxt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Federal Original Submission Id | 22006220173195000240 | FederalOriginalSubmissionId |
| Federal Original Submission Id | 2017-11-15 | FederalOriginalSubmissionIdDt |
| Filing License Type | P | FilingLicenseTypeCd |
| At Submission Creation Device Id | 9E9B97DDA32FA70632E055389FA95636EE0890FF | AtSubmissionCreationDeviceId |
| At Submission Filing Device Id | 35F0847852E884557EB622AE181688CF42288C20 | AtSubmissionFilingDeviceId |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax | 2016 | TaxYr |
| Build TS | 2017-02-10 21:41:12Z | BuildTS |
Form 990-PF IRS990PF
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization501c3 Exempt PF | Yes (X) | Organization501c3ExemptPFInd |
| FMV Assets EOY | $86,009,018 | FMVAssetsEOYAmt |
| Method Of Accounting Cash | Yes (X) | MethodOfAccountingCashInd |
Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contri Rcvd Rev And Expnss | $0 | ContriRcvdRevAndExpnssAmt |
| Schedule B Not Required | Yes (X) | ScheduleBNotRequiredInd |
| Interest On Sav Rev And Expnss | $1,634 | InterestOnSavRevAndExpnssAmt |
| Interest On Sav Net Invst Incm | $1,634 | InterestOnSavNetInvstIncmAmt |
| Dividends Rev And Expnss | $873,107 | DividendsRevAndExpnssAmt |
| Dividends Net Invst Incm | $873,107 | DividendsNetInvstIncmAmt |
| Net Gain Sale Ast Rev And Expnss | $6,663,056 | NetGainSaleAstRevAndExpnssAmt |
| Gross Sales Price | $9,508,279 | GrossSalesPriceAmt |
| Cap Gain Net Incm Net Invst Incm | $6,663,056 | CapGainNetIncmNetInvstIncmAmt |
| Other Income Rev And Expnss | $1,350,982 | OtherIncomeRevAndExpnssAmt |
| Other Income Net Invst Incm | $1,024,459 | OtherIncomeNetInvstIncmAmt |
| Total Rev And Expnss | $8,888,779 | TotalRevAndExpnssAmt |
| Total Net Invst Incm | $8,562,256 | TotalNetInvstIncmAmt |
| Comp Ofcr Dir Trst Rev And Expnss | $0 | CompOfcrDirTrstRevAndExpnssAmt |
| Oth Empl Slrs Wgs Rev And Expnss | $111,328 | OthEmplSlrsWgsRevAndExpnssAmt |
| Oth Empl Slrs Wgs Dsbrs Chrtbl | $111,328 | OthEmplSlrsWgsDsbrsChrtblAmt |
| Pension Empl Bnft Rev And Expnss | $29,855 | PensionEmplBnftRevAndExpnssAmt |
| Pension Empl Bnft Dsbrs Chrtbl | $29,855 | PensionEmplBnftDsbrsChrtblAmt |
| Legal Fees Rev And Expnss | $330,429 | LegalFeesRevAndExpnssAmt |
| Legal Fees Net Invst Incm | $165,215 | LegalFeesNetInvstIncmAmt |
| Legal Fees Adj Net Incm | $0 | LegalFeesAdjNetIncmAmt |
| Legal Fees Dsbrs Chrtbl | $165,214 | LegalFeesDsbrsChrtblAmt |
| Accounting Fees Rev And Expnss | $25,818 | AccountingFeesRevAndExpnssAmt |
| Accounting Fees Net Invst Incm | $12,909 | AccountingFeesNetInvstIncmAmt |
| Accounting Fees Adj Net Incm | $0 | AccountingFeesAdjNetIncmAmt |
| Accounting Fees Chrtbl Prps | $12,909 | AccountingFeesChrtblPrpsAmt |
| Other Prof Fees Rev And Expnss | $419,887 | OtherProfFeesRevAndExpnssAmt |
| Other Prof Fees Net Invst Incm | $419,887 | OtherProfFeesNetInvstIncmAmt |
| Taxes Rev And Expnss | $23 | TaxesRevAndExpnssAmt |
| Taxes Net Invst Incm | $23 | TaxesNetInvstIncmAmt |
| Trav Conf Meeting Rev And Expnss | $114,727 | TravConfMeetingRevAndExpnssAmt |
| Trav Conf Meeting Net Invst Incm | $28,682 | TravConfMeetingNetInvstIncmAmt |
| Trav Conf Meeting Dsbrs Chrtbl | $86,045 | TravConfMeetingDsbrsChrtblAmt |
| Other Expenses Rev And Expnss | $164,116 | OtherExpensesRevAndExpnssAmt |
| Other Expenses Dsbrs Chrtbl | $164,116 | OtherExpensesDsbrsChrtblAmt |
| Tot Opr Expenses Rev And Expnss | $1,196,183 | TotOprExpensesRevAndExpnssAmt |
| Tot Opr Expenses Net Invst Incm | $626,716 | TotOprExpensesNetInvstIncmAmt |
| Tot Opr Expenses Adj Net Incm | $0 | TotOprExpensesAdjNetIncmAmt |
| Tot Opr Expenses Dsbrs Chrtbl | $569,467 | TotOprExpensesDsbrsChrtblAmt |
| Contri Paid Rev And Expnss | $7,714,100 | ContriPaidRevAndExpnssAmt |
| Contri Paid Dsbrs Chrtbl | $7,714,100 | ContriPaidDsbrsChrtblAmt |
| Total Expenses Rev And Expnss | $8,910,283 | TotalExpensesRevAndExpnssAmt |
| Total Expenses Net Invst Incm | $626,716 | TotalExpensesNetInvstIncmAmt |
| Total Expenses Adj Net Incm | $0 | TotalExpensesAdjNetIncmAmt |
| Total Expenses Dsbrs Chrtbl | $8,283,567 | TotalExpensesDsbrsChrtblAmt |
| Excess Revenue Over Expenses | -$21,504 | ExcessRevenueOverExpensesAmt |
| Net Investment Income | $7,935,540 | NetInvestmentIncomeAmt |
Form990 PF Balance Sheets Form990PFBalanceSheetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Cash BOY | $498,921 | CashBOYAmt |
| Cash EOY | $556,137 | CashEOYAmt |
| Cash EOYFMV | $556,137 | CashEOYFMVAmt |
| Sav And Temp Cash Invst BOY | $702,711 | SavAndTempCashInvstBOYAmt |
| Sav And Temp Cash Invst EOY | $412,813 | SavAndTempCashInvstEOYAmt |
| Sav And Temp Cash Invst EOYFMV | $412,813 | SavAndTempCashInvstEOYFMVAmt |
| Corporate Stock BOY | $1,321,511 | CorporateStockBOYAmt |
| Corporate Stock EOY | $0 | CorporateStockEOYAmt |
| Corporate Stock EOYFMV | $0 | CorporateStockEOYFMVAmt |
| Other Investments BOY | $62,807,621 | OtherInvestmentsBOYAmt |
| Other Investments EOY | $71,023,602 | OtherInvestmentsEOYAmt |
| Other Investments EOYFMV | $82,163,689 | OtherInvestmentsEOYFMVAmt |
| Other Assets BOY | $11,109,128 | OtherAssetsBOYAmt |
| Other Assets EOY | $2,876,379 | OtherAssetsEOYAmt |
| Other Assets EOYFMV | $2,876,379 | OtherAssetsEOYFMVAmt |
| Total Assets BOY | $76,439,892 | TotalAssetsBOYAmt |
| Total Assets EOY | $74,868,931 | TotalAssetsEOYAmt |
| Total Assets EOYFMV | $86,009,018 | TotalAssetsEOYFMVAmt |
| Total Liabilities BOY | $0 | TotalLiabilitiesBOYAmt |
| Total Liabilities EOY | $0 | TotalLiabilitiesEOYAmt |
| Org Does Not Follow SFAS117 | Yes (X) | OrgDoesNotFollowSFAS117Ind |
| Capital Stock BOY | $62,000 | CapitalStockBOYAmt |
| Capital Stock EOY | $62,000 | CapitalStockEOYAmt |
| Retained Earning BOY | $76,377,892 | RetainedEarningBOYAmt |
| Retained Earning EOY | $74,806,931 | RetainedEarningEOYAmt |
| Tot Net Ast Or Fund Balances BOY | $76,439,892 | TotNetAstOrFundBalancesBOYAmt |
| Tot Net Ast Or Fund Balances EOY | $74,868,931 | TotNetAstOrFundBalancesEOYAmt |
| Total Liabilities Net Ast BOY | $76,439,892 | TotalLiabilitiesNetAstBOYAmt |
| Total Liabilities Net Ast EOY | $74,868,931 | TotalLiabilitiesNetAstEOYAmt |
Chg In Net Assets Fund Balances ChgInNetAssetsFundBalancesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tot Net Ast Or Fund Balances BOY | $76,439,892 | TotNetAstOrFundBalancesBOYAmt |
| Excess Revenue Over Expenses | -$21,504 | ExcessRevenueOverExpensesAmt |
| Subtotal | $76,418,388 | SubtotalAmt |
| Other Decreases | $1,549,457 | OtherDecreasesAmt |
| Tot Net Ast Or Fund Balances EOY | $74,868,931 | TotNetAstOrFundBalancesEOYAmt |
Cap Gains Loss Tx Invst Incm Detail CapGainsLossTxInvstIncmDetail
Cap Gains Loss Tx Invst Incm CapGainsLossTxInvstIncmGrp (10 entries)
| PropertyPropertyDesc | Gross Sales PriceGrossSalesPriceAmt | Cost Or Other BasisCostOrOtherBasisAmt | Gain Or LossGainOrLossAmt | Gains Minus Excess Or LossesGainsMinusExcessOrLossesAmt |
|---|---|---|---|---|
| STATE STREET BANK & TRUST COMPANY #000038 - SEE ATTACHED | $347,807 | $348,969 | -$1,162 | -$1,162 |
| STATE STREET BANK & TRUST COMPANY #000038 - SEE ATTACHED | $1,042,193 | $1,116,092 | -$70,553 | -$73,899 |
| GAIN FROM K-1 SPRUCE FIXED INCOME LP | $0 | $56,971 | -$56,971 | -$56,971 |
| GAIN FROM K-1 SPRUCE PRIVATE INVESTMENT FUND | $435,795 | $0 | $435,795 | $435,795 |
| GAIN FROM K-1 SPRUCE GLOBAL EQUITIES FUND LP | $4,025,442 | $0 | $4,025,442 | $4,025,442 |
| SALE OF SPRUCE FIXED INCOME LP | $60,477 | $0 | $60,477 | $60,477 |
| SALE OF SPRUCE GLOBAL EQUITIES FUND LP | $570,395 | $0 | $570,395 | $570,395 |
| CITIBANK #0768 - SEE ATTACHED | $32,311 | $32,741 | -$430 | -$430 |
| CITIBANK #0768 - SEE ATTACHED | $2,982,478 | $1,293,796 | $1,688,682 | $1,688,682 |
| STATE STREET BANK & TRUST COMPANY #000038 - CAP GAIN DISTRIBUTION | $11,381 | $0 | $11,381 | $11,381 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Capital Gain Net Income | $6,663,056 | CapitalGainNetIncomeAmt |
Qlfy Und Sect4940e Reduced Tax QlfyUndSect4940eReducedTaxGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Liable Section4942 Tax | false | LiableSection4942TaxInd |
| Adjusted Qlfy Distri Yr1 | $8,837,847 | AdjustedQlfyDistriYr1Amt |
| Net Vl Noncharitable Assets Yr1 | $94,630,109 | NetVlNoncharitableAssetsYr1Amt |
| Distribution Yr1 | 0.093394 | DistributionYr1Rt |
| Adjusted Qlfy Distri Yr2 | $6,746,695 | AdjustedQlfyDistriYr2Amt |
| Net Vl Noncharitable Assets Yr2 | $104,033,304 | NetVlNoncharitableAssetsYr2Amt |
| Distribution Yr2 | 0.064851 | DistributionYr2Rt |
| Adjusted Qlfy Distri Yr3 | $6,979,548 | AdjustedQlfyDistriYr3Amt |
| Net Vl Noncharitable Assets Yr3 | $102,791,997 | NetVlNoncharitableAssetsYr3Amt |
| Distribution Yr3 | 0.0679 | DistributionYr3Rt |
| Adjusted Qlfy Distri Yr4 | $6,486,718 | AdjustedQlfyDistriYr4Amt |
| Net Vl Noncharitable Assets Yr4 | $100,142,795 | NetVlNoncharitableAssetsYr4Amt |
| Distribution Yr4 | 0.064775 | DistributionYr4Rt |
| Adjusted Qlfy Distri Yr5 | $5,983,491 | AdjustedQlfyDistriYr5Amt |
| Net Vl Noncharitable Assets Yr5 | $106,134,522 | NetVlNoncharitableAssetsYr5Amt |
| Distribution Yr5 | 0.056376 | DistributionYr5Rt |
| Total Distribution | 0.347296 | TotalDistributionRt |
| Average Distribution | 0.069459 | AverageDistributionRt |
| Net Vl Noncharitable Assets | $90,512,457 | NetVlNoncharitableAssetsAmt |
| Adj Net Vl Noncharitable Assets | $6,286,905 | AdjNetVlNoncharitableAssetsAmt |
| Net Investment Income Pct | $79,355 | NetInvestmentIncomePctAmt |
| Adj Nonchrtbl Net Invst Incm Pct | $6,366,260 | AdjNonchrtblNetInvstIncmPctAmt |
| Qualifying Distributions | $8,283,567 | QualifyingDistributionsAmt |
Excise Tax Based On Invst Incm ExciseTaxBasedOnInvstIncmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Domestic Org Meeting Sect4940e | Yes (X) | DomesticOrgMeetingSect4940eInd |
| Investment Income Excise Tax | $79,355 | InvestmentIncomeExciseTaxAmt |
| Subtotal | $79,355 | SubtotalAmt |
| Tax Based On Investment Income | $79,355 | TaxBasedOnInvestmentIncomeAmt |
| Estimated Plus Ovpmt Incm Tx | $126,078 | EstimatedPlusOvpmtIncmTxAmt |
| Applied To Es Tax | $150,000 | AppliedToEsTaxAmt |
| Total Payments And Credits | $276,078 | TotalPaymentsAndCreditsAmt |
| Overpayment | $196,723 | OverpaymentAmt |
| Applied To ES Tax | $196,723 | AppliedToESTaxAmt |
Statements Regarding Acty StatementsRegardingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Legislative Political Acty | false | LegislativePoliticalActyInd |
| More Than100 Spent | false | MoreThan100SpentInd |
| Form1120 POL Filed | false | Form1120POLFiledInd |
| Activities Not Previously Rpt | false | ActivitiesNotPreviouslyRptInd |
| Changes To Articles Or Bylaws | false | ChangesToArticlesOrBylawsInd |
| Unrelated Bus Incm Over Limit | false | UnrelatedBusIncmOverLimitInd |
| Organization Dissolved Etc | false | OrganizationDissolvedEtcInd |
| Section508e Rqr Satisfied | Yes (true) | Section508eRqrSatisfiedInd |
| At Least5000 In Assets | Yes (true) | AtLeast5000InAssetsInd |
| Org Report Or Register State | NY | OrgReportOrRegisterStateCd |
| Form990 PF Filed With Atty Gen | Yes (true) | Form990PFFiledWithAttyGenInd |
| Private Operating Foundation | false | PrivateOperatingFoundationInd |
| New Substantial Contributors | false | NewSubstantialContributorsInd |
| Own Controlled Entity | false | OwnControlledEntityInd |
| Donor Advised Fund | false | DonorAdvisedFundInd |
| Comply With Public Insp Rqr | Yes (true) | ComplyWithPublicInspRqrInd |
Persons With Books Name PersonsWithBooksName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | SCHULTE ROTH & ZABEL LLP | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Phone | 2127580404 | PhoneNum |
Location Of Books US Address LocationOfBooksUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 919 THIRD AVENUE | AddressLine1Txt |
| City | NEW YORK | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 10022 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Foreign Accounts Question | false | ForeignAccountsQuestionInd |
Statements Regarding Acty4720 StatementsRegardingActy4720Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sale Or Exch Disqualified Prsn | false | SaleOrExchDisqualifiedPrsnInd |
| Brrw Or Lend Disqualified Prsn | false | BrrwOrLendDisqualifiedPrsnInd |
| Furn Goods Disqualified Prsn | false | FurnGoodsDisqualifiedPrsnInd |
| Pay Comp Disqualified Prsn | Yes (true) | PayCompDisqualifiedPrsnInd |
| Transfer Ast Disqualified Prsn | false | TransferAstDisqualifiedPrsnInd |
| Payment To Government Official | false | PaymentToGovernmentOfficialInd |
| Acts Fail To Qlfy As Exceptions | false | ActsFailToQlfyAsExceptionsInd |
| Uncorrected Prior Acts | false | UncorrectedPriorActsInd |
| Undistributed Income PY | false | UndistributedIncomePYInd |
| Undistr Incm Sect4942a2 Not App | false | UndistrIncmSect4942a2NotAppInd |
| Business Holdings | false | BusinessHoldingsInd |
| Jeopardy Investments | false | JeopardyInvestmentsInd |
| Uncorrected PY Jeopardy Invst | false | UncorrectedPYJeopardyInvstInd |
| Influence Legislation | false | InfluenceLegislationInd |
| Influence Election | false | InfluenceElectionInd |
| Grants To Individuals | Yes (true) | GrantsToIndividualsInd |
| Grants To Organizations | false | GrantsToOrganizationsInd |
| Noncharitable Purpose | false | NoncharitablePurposeInd |
| Transactions Fail To Qlfy As Exc | false | TransactionsFailToQlfyAsExcInd |
| Rcv Fnds To Pay Prsnl Bnft Cntrct | false | RcvFndsToPayPrsnlBnftCntrctInd |
| Pay Premiums Prsnl Bnft Cntrct | false | PayPremiumsPrsnlBnftCntrctInd |
| Prohibited Tax Shelter Trans | false | ProhibitedTaxShelterTransInd |
Officer Dir Trst Key Empl Info OfficerDirTrstKeyEmplInfoGrp
Officer Dir Trst Key Empl OfficerDirTrstKeyEmplGrp (5 entries)
| Address Line1USAddress/AddressLine1Txt | Address Line2USAddress/AddressLine2Txt | CityUSAddress/CityNm | State AbbreviationUSAddress/StateAbbreviationCd | ZIPUSAddress/ZIPCd | TitleTitleTxt | Average Hrs Per Wk Devoted To PosAverageHrsPerWkDevotedToPosRt | CompensationCompensationAmt | Employee Benefit ProgramEmployeeBenefitProgramAmt | Expense Account Other AllwncExpenseAccountOtherAllwncAmt |
|---|---|---|---|---|---|---|---|---|---|
| JAMES D STEINBERG | |||||||||
| C/O SCHULTE ROTH ZABEL LLP | 919 THIRD AVENUE | NEW YORK | NY | 10022 | DIRECTOR | 3.0 | $0 | $0 | $0 |
| WILLIAM D ZABEL | |||||||||
| C/O SCHULTE ROTH ZABEL LLP | 919 THIRD AVENUE | NEW YORK | NY | 10022 | TRUSTEE/DIRECTOR | 3.0 | $0 | $0 | $0 |
| SETH WEINGARTEN | |||||||||
| C/O SCHULTE ROTH ZABEL LLP | 919 THIRD AVENUE | NEW YORK | NY | 10022 | TRUSTEE/DIRECTOR | 3.0 | $0 | $0 | $0 |
| MICHAEL A STEINBERG | |||||||||
| C/O SCHULTE ROTH ZABEL LLP | 919 THIRD AVENUE | NEW YORK | NY | 10022 | DIRECTOR | 3.0 | $0 | $0 | $0 |
| CAROLE A KRUMLAND | |||||||||
| C/O SCHULTE ROTH ZABEL LLP | 919 THIRD AVENUE | NEW YORK | NY | 10022 | DIRECTOR | 3.0 | $0 | $0 | $0 |
Compensation Highest Paid Empl CompensationHighestPaidEmplGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | DEBORAH MARTIN | PersonNm |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 163 RUMFORD AVENUE UNIT 201 | AddressLine1Txt |
| City | MANSFIELD | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 02048 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Title | ADMIN ASSISTANT | TitleTxt |
| Average Hrs Per Wk Devoted To Pos | 40.0 | AverageHrsPerWkDevotedToPosRt |
| Compensation | $111,328 | CompensationAmt |
| Employee Benefits | $21,127 | EmployeeBenefitsAmt |
Compensation Of Hghst Pd Cntrct CompensationOfHghstPdCntrctGrp (3 entries)
| Address Line1USAddress/AddressLine1Txt | CityUSAddress/CityNm | State AbbreviationUSAddress/StateAbbreviationCd | ZIPUSAddress/ZIPCd | Service TypeServiceTypeTxt | CompensationCompensationAmt |
|---|---|---|---|---|---|
| STATE STREET BANK & TRUST COMPANY | |||||
| PO BOX 5300 | BOSTON | MA | 02206 | INVESTMENT ADVISORY | $419,887 |
| SCHULTE ROTH & ZABEL LLP | |||||
| 919 THIRD AVE | NEW YORK | NY | 10022 | LEGAL | $330,429 |
| SLATE PR | |||||
| C/O FORTE 170 VARICK STREET FL 2 | NEW YORK | NY | 10022 | CONSULTING | $53,550 |
Summary Of Direct Chrtbl Acty SummaryOfDirectChrtblActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description1 | STEINBERG DISTINGUISHED PLAYWRIGHT AWARD (THE MIMI) FOR ARTISTIC ACHIEVEMENT IN THE THEATER. (INCLUDES AWARD RELATED EXPENSES OF 162,616) | Description1Txt |
| Expenses1 | $362,616 | Expenses1Amt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sum Of Program Related Invst | SumOfProgramRelatedInvstGrp |
Minimum Investment Return MinimumInvestmentReturnGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Average Monthly FMV Of Sec | $53,631,579 | AverageMonthlyFMVOfSecAmt |
| Average Monthly Cash Balances | $1,311,034 | AverageMonthlyCashBalancesAmt |
| FMV All Other Noncharitable Ast | $36,948,206 | FMVAllOtherNoncharitableAstAmt |
| Total FMV Of Unused Assets | $91,890,819 | TotalFMVOfUnusedAssetsAmt |
| Acquisition Indebtedness | $0 | AcquisitionIndebtednessAmt |
| Adjusted Total FMV Of Unused Ast | $91,890,819 | AdjustedTotalFMVOfUnusedAstAmt |
| Cash Deemed Charitable | $1,378,362 | CashDeemedCharitableAmt |
| Net Vl Noncharitable Assets | $90,512,457 | NetVlNoncharitableAssetsAmt |
| Minimum Investment Return | $4,525,623 | MinimumInvestmentReturnAmt |
Distributable Amount DistributableAmountGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Minimum Investment Return | $4,525,623 | MinimumInvestmentReturnAmt |
| Tax Based On Investment Income | $79,355 | TaxBasedOnInvestmentIncomeAmt |
| Total Tax | $79,355 | TotalTaxAmt |
| Distributable Before Adj | $4,446,268 | DistributableBeforeAdjAmt |
| Distributable Before Ded | $4,446,268 | DistributableBeforeDedAmt |
| Distributable As Adjusted | $4,446,268 | DistributableAsAdjustedAmt |
Qualifying Distri Part XII QualifyingDistriPartXIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expenses And Contributions | $8,283,567 | ExpensesAndContributionsAmt |
| Program Related Invst Total | $0 | ProgramRelatedInvstTotalAmt |
| Charitable Assets Acquis Paid | $0 | CharitableAssetsAcquisPaidAmt |
| Set Aside Suitability Test | $0 | SetAsideSuitabilityTestAmt |
| Set Aside Cash Distri Test | $0 | SetAsideCashDistriTestAmt |
| Qualifying Distributions | $8,283,567 | QualifyingDistributionsAmt |
| Pct Sect4940e Org Net Invst Incm | $79,355 | PctSect4940eOrgNetInvstIncmAmt |
| Adjusted Qualifying Distri | $8,204,212 | AdjustedQualifyingDistriAmt |
Undistributed Income UndistributedIncomeGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Distributable As Adjusted | $4,446,268 | DistributableAsAdjustedAmt |
| Undistributed Income PY | $0 | UndistributedIncomePYAmt |
| Prior Year1 | 2014 | PriorYear1Yr |
| Prior Year2 | 2013 | PriorYear2Yr |
| Prior Year3 | 2012 | PriorYear3Yr |
| Total For Prior Years | $0 | TotalForPriorYearsAmt |
| Excess Distribution Cyov Yr5 | $672,052 | ExcessDistributionCyovYr5Amt |
| Excess Distribution Cyov Yr4 | $1,503,224 | ExcessDistributionCyovYr4Amt |
| Excess Distribution Cyov Yr3 | $1,848,086 | ExcessDistributionCyovYr3Amt |
| Excess Distribution Cyov Yr2 | $1,666,870 | ExcessDistributionCyovYr2Amt |
| Excess Distribution Cyov Yr1 | $4,106,342 | ExcessDistributionCyovYr1Amt |
| Total Excess Distribution Cyov | $9,796,574 | TotalExcessDistributionCyovAmt |
| Qualifying Distributions | $8,283,567 | QualifyingDistributionsAmt |
| Applied To Year1 | $0 | AppliedToYear1Amt |
| Applied To Current Year | $4,446,268 | AppliedToCurrentYearAmt |
| Remaining Distri From Corpus | $3,837,299 | RemainingDistriFromCorpusAmt |
| Total Corpus | $13,633,873 | TotalCorpusAmt |
| Prior Year Undistributed Incm | $0 | PriorYearUndistributedIncmAmt |
| Taxable1 | $0 | Taxable1Amt |
| Taxable2 | $0 | Taxable2Amt |
| Undistributed Income CY | $0 | UndistributedIncomeCYAmt |
| Excess Distri Cyov From Yr5 | $672,052 | ExcessDistriCyovFromYr5Amt |
| Excess Distri Cyov To Next Yr | $12,961,821 | ExcessDistriCyovToNextYrAmt |
| Excess From Year4 | $1,503,224 | ExcessFromYear4Amt |
| Excess From Year3 | $1,848,086 | ExcessFromYear3Amt |
| Excess From Year2 | $1,666,870 | ExcessFromYear2Amt |
| Excess From Year1 | $4,106,342 | ExcessFromYear1Amt |
| Excess From Current Year | $3,837,299 | ExcessFromCurrentYearAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Private Operating Foundations | PrivateOperatingFoundationsGrp |
Supplementary Information SupplementaryInformationGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Only Contri To Preselected | Yes (X) | OnlyContriToPreselectedInd |
Grant Or Contribution Pd Dur Yr GrantOrContributionPdDurYrGrp (2 entries)
| Address Line1RecipientUSAddress/AddressLine1Txt | CityRecipientUSAddress/CityNm | State AbbreviationRecipientUSAddress/StateAbbreviationCd | ZIPRecipientUSAddress/ZIPCd | Recipient RelationshipRecipientRelationshipTxt | Recipient Foundation StatusRecipientFoundationStatusTxt | Grant Or Contribution PurposeGrantOrContributionPurposeTxt | AmtAmt |
|---|---|---|---|---|---|---|---|
| SEE ATTACHED SCHEDULE | |||||||
| 919 THIRD AVENUE | NEW YORK | NY | 10018 | N/A | PC | UNRESTRICTED GRANTS | $7,514,100 |
| SARAH RUHL | |||||||
| 115 WILLOW STREET APT 6A | BROOKLYN | NY | 11201 | N/A | I | STEINBERG DISTINGUISHED PLAYWRIGHT AWARD (THE MIMI) FOR ARTISTIC ACHIEVEMENT IN THE THEATER. | $200,000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Grant Or Contri Pd Dur Yr | $7,714,100 | TotalGrantOrContriPdDurYrAmt |
Analysis Income Producing Acty AnalysisIncomeProducingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Fees Contracts From Govt Ag | FeesContractsFromGovtAgGrp | |
| Membership Dues And Assmnt | MembershipDuesAndAssmntGrp |
Int On Sav And Temp Cash Invst IntOnSavAndTempCashInvstGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $1,634 | ExclusionAmt |
Div And Int From Sec Part VII DivAndIntFromSecPartVIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $873,107 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Net Rntl Incm Re Debt Fincd Prop | NetRntlIncmReDebtFincdPropGrp | |
| Net Rntl Incm Re Not Debt Fincd Prop | NetRntlIncmReNotDebtFincdProp | |
| Net Rental Income Personal Prop | NetRentalIncomePersonalPropGrp | |
| Other Investment Incm Part VII | OtherInvestmentIncmPartVIIGrp |
Gain Sales Ast Oth Than Invntry GainSalesAstOthThanInvntryGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 18 | ExclusionCd |
| Exclusion | $6,663,056 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Net Income Loss From Special Evt | NetIncomeLossFromSpecialEvtGrp | |
| Gross Profit Loss Sls Of Invntry | GrossProfitLossSlsOfInvntryGrp |
Other Revenue Described OtherRevenueDescribedGrp (5 entries)
| DescDesc | BusinessBusinessCd | Unrelated Business Taxbl IncmUnrelatedBusinessTaxblIncmAmt | ExclusionExclusionCd | ExclusionExclusionAmt | Related Or Exempt Function IncmRelatedOrExemptFunctionIncmAmt |
|---|---|---|---|---|---|
| SPRUCE PRIVATE INVESTMENT FUND | 900099 | $326,523 | 14 | -$261,730 | -$359 |
| SPRUCE TAXABLE BOND FUND LP | 14 | -$148,894 | |||
| SPRUCE EQUITIES FUND LP | 14 | -$189,451 | |||
| SPRUCE PRIVATE INVESTMENT FUND II | 14 | $389,093 | |||
| STEINBERG PARTNERS FUND | 14 | $1,235,800 |
Subtotals Incm Producing Acty SubtotalsIncmProducingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Unrelated Business Taxbl Incm | $326,523 | UnrelatedBusinessTaxblIncmAmt |
| Exclusion | $8,562,615 | ExclusionAmt |
| Related Or Exempt Function Incm | -$359 | RelatedOrExemptFunctionIncmAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Income Producing Acty | $8,888,779 | TotalIncomeProducingActyAmt |
Rln Of Acty To Accom Of Exmpt Prps RlnOfActyToAccomOfExmptPrpsGrp
Rln Of Acty To Accom Of Exmpt Prps RlnOfActyToAccomOfExmptPrpsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Line Number | 11 | LineNumberTxt |
| Relationship Statement | NONDEDUCTIBLE EXPENSES PER SPRUCE PRIVATE INVESTMENT FUND K-1. | RelationshipStatementTxt |
Trnsfr Trans Rln Nonchrtbl EO TrnsfrTransRlnNonchrtblEOGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trnsfr Of Cash To Nonchrtbl EO | false | TrnsfrOfCashToNonchrtblEOInd |
| Trnsfr Other Asset Nonchrtbl EO | false | TrnsfrOtherAssetNonchrtblEOInd |
| Sales Or Exchanges Of Assets | false | SalesOrExchangesOfAssetsInd |
| Purchase Of Assets Nonchrtbl EO | false | PurchaseOfAssetsNonchrtblEOInd |
| Rental Of Facilities Oth Assets | false | RentalOfFacilitiesOthAssetsInd |
| Reimbursement Arrangements | false | ReimbursementArrangementsInd |
| Loans Or Loan Guarantees | false | LoansOrLoanGuaranteesInd |
| Performance Of Services Etc | false | PerformanceOfServicesEtcInd |
| Sharing Of Facilities Etc | false | SharingOfFacilitiesEtcInd |
| Relationships Nonchrtbl EO | false | RelationshipsNonchrtblEOInd |
Accounting Fees Schedule AccountingFeesSchedule
Accounting Fees Detail AccountingFeesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | ACCOUNTING FEES | CategoryTxt |
| Amt | $25,818 | Amt |
| Net Investment Income | $12,909 | NetInvestmentIncomeAmt |
| Disbursements Charitable Prps | $12,909 | DisbursementsCharitablePrpsAmt |
Depreciation Schedule DepreciationSchedule
Investments Corp Stock Schedule InvestmentsCorpStockSchedule
Investments Corporate Stock InvestmentsCorporateStockGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Stock | CORPORATE STOCK (CITIBANK) | StockNm |
| EOY Book Value | $0 | EOYBookValueAmt |
| EOYFMV | $0 | EOYFMVAmt |
Investments Other Schedule2 InvestmentsOtherSchedule2
Investments Other InvestmentsOtherGrp (8 entries)
| Category Or ItemCategoryOrItemTxt | Listed At Cost Or FMVListedAtCostOrFMVCd | Book ValueBookValueAmt | EOYFMVEOYFMVAmt |
|---|---|---|---|
| MUTUAL FUNDS (STATE ST BANK) | AT COST | $19,519,782 | $20,981,644 |
| SPRUCE PRIVATE INVESTMENTS FD | AT COST | $7,278,586 | $7,747,468 |
| SPRUCE ABSOLUTE RETURN (OFF) | AT COST | $11,305,269 | $15,219,153 |
| SPRUCE GLOBAL EQUITY (OFF) | AT COST | $13,296,271 | $18,830,933 |
| SPRUCE FIXED INCOME LP | AT COST | $0 | $0 |
| SPRUCE EQUITIES FUND LP | AT COST | $0 | $0 |
| SPRUCE PRIVATE INVEST. FUND II | AT COST | $4,169,533 | $3,930,330 |
| STEINBERG PARTNERS FUND LP | AT COST | $15,454,161 | $15,454,161 |
Legal Fees Schedule LegalFeesSchedule
Legal Fees LegalFeesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | LEGAL FEES | CategoryTxt |
| Legal Fees | $330,429 | LegalFeesAmt |
| Net Investment Income | $165,215 | NetInvestmentIncomeAmt |
| Disbursements Charitable Prps | $165,214 | DisbursementsCharitablePrpsAmt |
Other Assets Schedule OtherAssetsSchedule
Other Assets Schedule OtherAssetsScheduleGrp (5 entries)
| DescDesc | BOY Book ValueBOYBookValueAmt | EOY Book ValueEOYBookValueAmt | EOYFMVEOYFMVAmt |
|---|---|---|---|
| PAYROLL ADJUSTMENT | $4,231 | $1,841 | $1,841 |
| DISTRIBUTION RECEIVABLE | $8,372 | $2,874,433 | $2,874,433 |
| ARC FUND - DISTR. RECEIVABLES | $11,009,038 | $0 | $0 |
| SPRUCE ALPHA FUND - DIS. RECEI | $87,487 | $0 | $0 |
| INTEREST RECEIVABLE | $0 | $105 | $105 |
Other Decreases Schedule OtherDecreasesSchedule
Other Decreases Detail OtherDecreasesDetail (2 entries)
| DescDesc | AmtAmt |
|---|---|
| MARK TO MARKET ON RECEIPT OF SECURITIES | $1,521,743 |
| PRIOR PERIOD ADJUSTMENTS | $27,714 |
Other Expenses Schedule OtherExpensesSchedule
Other Expenses Schedule OtherExpensesScheduleGrp (2 entries)
| DescDesc | Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt | Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt |
|---|---|---|
| AWARD RELATED EXPENSES | $162,616 | $162,616 |
| FILING FEES | $1,500 | $1,500 |
Other Income Schedule2 OtherIncomeSchedule2
Other Income Detail OtherIncomeDetail (5 entries)
| DescDesc | Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt | Net Investment IncomeNetInvestmentIncomeAmt |
|---|---|---|
| SPRUCE PRIVATE INVESTMENT FUND LP | $64,434 | -$262,089 |
| SPRUCE FIXED INCOME LP | -$148,894 | -$148,894 |
| SPRUCE GLOBAL EQUITIES FUND LP | -$189,451 | -$189,451 |
| SPRUCE PRIVATE INVESTMENT FUND II | $389,093 | $389,093 |
| STEINBERG PARTNERS FUND | $1,235,800 | $1,235,800 |
Other Professional Fees Schedule OtherProfessionalFeesSchedule
Other Professional Fees Detail OtherProfessionalFeesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | BANK CUST.&INVEST. ADVIS. FEE | CategoryTxt |
| Amt | $419,887 | Amt |
| Net Investment Income | $419,887 | NetInvestmentIncomeAmt |
Taxes Schedule TaxesSchedule
Taxes Detail TaxesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | FOREIGN TAXES PAID | CategoryTxt |
| Amt | $23 | Amt |
| Net Investment Income | $23 | NetInvestmentIncomeAmt |
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