2017-11-13T12:38:59-06:00 2016-12-31 941341042 FRANK RIMERMAN & CO LLP 1801 PAGE MILL ROAD PALO ALTO CA 94304 990PF 2016-01-01 770456449 THE 1440 FOUNDATION 1440 5107080663 PO BOX 3141 SARATOGA CA 95070 KEN BAKER TREASURER/SECRETARY 5107080663 2017-11-10 1 MICHAEL A CHOJNACKI P00428607 6508458100 2017-11-10 50.204.21.130 2017-11-10 13:58:06 PS P 11486F2E09FF1B764D434BAAA62D1EDA384A86E5 4A79E9A7C808186D5193924798CA28D14804FEFC 2016 2017-02-10 21:41:12Z X 107316652 X 3150011 30547 30547 30547 167750 167750 167750 10982 10982 10982 10982 -769813 50111461 2011567 0 1038628 1038628 1038628 3628105 3259474 1247907 0 0 0 0 332416 0 0 332416 54978 0 0 54978 138469 0 0 0 1471749 26114 26114 1445635 94 94 0 94 16540 0 0 16540 24162 0 24162 1120 0 0 1120 160698 0 0 160698 1719302 464024 466167 526883 3919528 490232 516443 2538364 1044899 1044899 4964427 490232 516443 3583263 -1336322 2769242 731464 13308898 3115620 3115620 110998 97835 110998 110998 216197 1055438 1055438 2716762 3210971 3210971 47665613 15633392 15633392 83004221 4200 34636814 83000021 83000021 670075 1190212 1190212 99312194 107316652 107316652 2191346 10008659 3595405 3101304 48336 788499 5835087 13898462 X 93477107 93418190 93477107 93418190 99312194 107316652 93477107 -1336322 2194338 94335123 916933 93418190 PUBLICLY TRADED SECURITIES - FROM PMA 301188 P 26201714 27353939 -1152225 -1152225 PUBLICLY TRADED SECURITIES - FROM PMA 301188 P 20609456 20104641 504815 504815 PUBLICLY TRADED SECURITIES - FROM RJJ 300418 P 3150497 641314 2509183 2509183 CAPITAL GAINS DISTRIBUTION P 6560 6560 6560 PASSTHROUGH FROM SILVER LAKE WATERMAN FUND P 3235 3235 3235 PASSTHROUGH FROM SILVER LAKE WATERMAN FUND P 108834 108834 108834 PASSTHROUGH 1231 FROM SILVER LAKE WATERMAN FUND P 580 580 580 PASSTHROUGH FROM LEGACY VENTURES VI P 1789 1789 1789 PASSTHROUGH FROM LEGACY VENTURES VI P 28796 28796 28796 LOSS ON DISPOSITION OF WOLF REAL ESTATE PARTNERS P 0 0 2011567 -1147201 0 19472816 72891098 0.267149 4489366 21875133 0.205227 8317666 22222494 0.374290 2188118 22639599 0.096650 1179287 24257279 0.048616 0.991932 0.198386 43438629 8617616 27692 8645308 39099677 X 27692 0 27692 0 27692 39153 39153 11461 11461 0 0 0 0 0 0 0 0 0 1 1 0 1 1 CA 1 1 0 0 1 1 N/A JOAN KRIENS 5107080663 PO BOX 3141 SARATOGA CA 95070 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 JOAN KRIENS PO BOX 3141 SARATOGA CA 95070 PRESIDENT 30.00 0 0 0 SCOTT KRIENS PO BOX 3141 SARATOGA CA 95070 VICE PRESIDENT 40.00 0 0 0 KEN BAKER PO BOX 3141 SARATOGA CA 95070 TREASURER/ SECRETARY 20.00 0 0 0 NONE 0 SARLEY ENTERPRISES 294 WHITE HILL ROAD HILLSDALE NY 12529 CONSULTING 500000 GERALD YATES 2017 MADRONE VISTA CA 92084 CONSULTING FOR DEVCO 374385 FINLAYSON CONSTRUCTION 805 REDWOOD DRIVE FELTON CA 95018 CONSULTING FOR DEVCO 350937 JANSON & JANSON 19359 OLIVE AVENUE SONOMA CA 95476 CONSULTING FOR DEVCO 165550 HEATHER HARDIE HARWOOD LANDSCAPE ARCH 13265 N EASTSHORE DR SYRACUSE IN 46567 LANDSCAPE DESIGN FOR DEVCO 142800 0 OFFER EDUCATIONAL CONFERENCES AND PROGRAMS FOCUSED ON WHOLE PERSON DEVELOPMENT. FOUNDATION IS IN PROCESS OF BUILDING NEW SCHOOL FOR THEIR EDUCATIONAL PROGRAMS. 36016414 0 18534206 13840760 11725165 44100131 0 0 44100131 661502 43438629 2171931 X 3583263 0 35516414 39099677 27692 39071985 2014-09-16 X 731464 0 178481 733693 1643638 621744 0 151709 623639 1397092 39099677 19491129 4557548 8385022 71533376 3028285 1834257 888645 1322513 7073700 36071392 17656872 3668903 7062509 64459676 0 0 1447954 2429703 729171 740750 5347578 0 0 0 0 JOAN KRIENS SCOTT KRIENS X CASEL 815 WEST VAN BUREN STREET STE 210 CHICAGO IL 60607 PC TO SUPPORT BEST PRACTICES IN ACADEMIC, SOCIAL AND EMOTIONAL LEARNING 214899 SILICON VALLEY CHARITABLE FOUNDATION 2440 W EL CAMINO REAL 300 MOUNTAIN VIEW CA 94040 PC TO SUPPORT THE SILICON VALLEY COMMUNITY 800000 BRIGHAM AND WOMEN'S HOSPITAL 75 FRANCIS STREET BOSTON CA 02115 PC TRANSFORMING HEALTH THROUGH LIFE-GIVING BREAKTHROUGHS 30000 1044899 0 14 30547 14 167750 14 10982 14 1038628 18 -769813 0 478094 0 478094 3 INCOME REPORTED ON LINE 3E IS RELATED TO INTEREST ON MUNICIPAL BONDS 0 0 0 0 0 0 0 0 0 0 X X 1 SCOTT AND JOAN KRIENS PO BOX 3141 SARATOGA CA 95070 3150011 X 1 VARIOUS MARKETABLE SECURITIES 3150011 2016-02-24 ACCOUNTING FEES 138469 0 0 0 FORM 990-PF, PART VII-A, LINE 12 DURING 2016 THE FOUNDATION MADE A GRANT PAYMENT OF $800,000 TO A DONOR ADVISED FUND, THE SILICON VALLEY CHARITABLE FOUNDATION(A PUBLIC CHARITY). THE DONOR ADVISORS OF THE FUND ARE SCOTT AND JOAN KRIENS, THE MANAGERS OF THE 1440 FOUNDATION. THIS GRANT WAS TREATED AS A QUALIFYING DISTRIBUTION FOR 2016. THE ASSETS CONTRIBUTED TO THE FUND WILL BE USED FOR CHARITABLE PURPOSES CONSISTENT WITH THE CHARITABLE PURPOSE OF THE 1440 FOUNDATION. INVESTMENT IN MARKETABLE SECURITIES PMA 300418 3210971 3210971 GLOO HOLDINGS, LLC FMV 1600000 1600000 BLUE NOTE VENTURES, LP FMV 703046 703046 SILVERLAKE WATERMAN FUND, LP FMV 1738031 1738031 WOLFF REAL ESTATE PARTNERS, LP FMV 0 0 WOLFF INCOME PARTNERS, LP FMV 7121570 7121570 LEGACY VENTURE VI, LP FMV 1167097 1167097 SILVERLAKE WATERMAN FUND II, LP FMV 482376 482376 KNOWLEDGE FACTOR FMV 499999 499999 HEADSPACE FMV 218750 218750 INTERAXON FMV 321708 321708 MINDSIGHT MEDIA FMV 500000 500000 EDGEWOOD FMV 91886 91886 SPDR S&P FMV 280530 280530 GRANDEUR FMV 48639 48639 IVA INTERNATIONAL FUND FMV 170744 170744 LYRICAL US VALUE FUND FMV 140396 140396 ISHARES TR CORE S&P 500 ETF FMV 0 0 EMINDFUL FMV 125017 125017 FPA CRESCENT FMV 0 0 HENDERSON EUROPEAN FMV 0 0 MATTHEWS ASIA DIVIDEND FMV 43018 43018 ISHARES TR RUSSELL 2000 ETF FMV 108150 108150 ISHARES TR EUROPE ETF FMV 54528 54528 VANGUARD S&P 500 ETF FMV 73090 73090 VANGUARD VALUE FUND FMV 144817 144817 LEGAL FEES 54978 0 0 54978 GOBLU INTERNATIONAL NOTE 176684 183752 183752 DEPOSITS 226106 544441 544441 HAPPIFY NOTE 53178 57432 57432 WISDOM LABS NOTE 214107 228899 228899 WEBSITE - OP CO 0 175688 175688 ACCRUAL TO CASH ADJUSTMENT 916933 INSURANCE EXPENSE 110106 0 0 110106 BANK FEES 344 0 0 344 BOOKS, SUBSCRIPTIONS, AND REFERENCES 17993 0 0 17993 OFFICE EXPENSES 155611 0 0 155611 POSTAGE 15820 0 0 15820 TELECOMMUNICATIONS 1870 0 0 1870 REPAIRS & MAINTENANCE 13459 0 0 13459 UTILITIES 42301 0 0 42301 REGISTRATION & LICENSE FEES 2644 0 0 2644 INVESTMENT FEES 124681 124681 124681 0 MARKETING 166406 0 0 166406 LEGACY K-1 PASSTHROUGH PORTFOLIO DEDUCTIONS 29182 29182 29182 0 BLUE NOTE VENTURES PASSTHROUGH PORTFOLIO DEDUCTIONS 81267 81267 81267 0 GLOO HOLDINGS PASSTHROUGH 59(E)(2) EXPENDITURES 61790 61790 61790 0 CHARITABLE CONTRIBUTIONS FROM PASSTHROUGH 329 0 0 329 N/D EXPENSES FROM PASSTHROUGH 2143 0 2143 0 NET RENTAL REAL ESTATE LOSS FROM PASSTHROUGH 167104 167104 167104 0 ORDINARY LOSS FROM PASSTHROUGH 726252 726252 726252 0 NET RENTAL REAL ESTATE LOSS FROM PASSTHROUGH - UBTI ADJUSTMENT 0 -5361 -5361 0 ORDINARY LOSS FROM PASSTHROUGH - UBTI ADJUSTMENT 0 -630692 -630692 0 K-1 AT RISK LOSS LIMITATION 0 -90199 -90199 0 ORDINARY INCOME FROM PASSTHROUGH 283353 283353 283353 RENTAL PROPERTY TAXES REFUND 33189 33189 33189 ORDINARY INCOME FROM SUBSIDIARY 722086 722086 722086 UNREALIZED GAIN/LOSS 2194338 DEFERRED TAX 48336 66021 ACCRUED EXPENSES 0 392 OTHER LIABILITIES 0 722086 OTHER PROFESSIONAL FEES 1471749 26114 26114 1445635 4940 EXCISE TAXES 16540 0 0 16540