2017-11-15T11:24:29-06:00 2016-12-31 830331229 MCGEE HEARNE & PAIZ LLP PO BOX 1088 CHEYENNE WY 82003 990PF 2016-01-01 850457010 Thornburg Foundation THOR 5054677853 2300 N Ridgetop Rd Santa Fe NM 87506 Garrett Thornburg President/Chairman 5054677853 2017-11-15 1 Brenda J Elliott P01208382 3076342151 2017-11-14 69.144.123.34 2017-11-15 11:23:15 MS P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 14E56A337541C142A2FA9C800FD2666FF0D5DDA6 2016 2018-03-14 21:41:22Z X 107745626 X 0 X 2331504 2331504 2513101 23273325 2575622 220574 4844605 5127700 181250 0 145000 342023 0 309210 88415 0 76021 915 0 0 26608 0 3328 100556 0 100556 33000 0 0 3109 0 1960 0 1764 23443 0 20145 138918 43238 79380 940197 43238 735404 4129844 4129844 5070041 43238 4865248 -225436 5084462 496209 772823 772823 56764 58884 58884 102318242 101809137 106897658 15757 9765 9101 5992 5992 2311 10269 10269 102882627 102657105 107745626 886 800 886 800 X 0 0 0 0 102881741 102656305 102881741 102656305 102882627 102657105 102881741 -225436 0 102656305 0 102656305 THORNBURG INT'L GROWTH 2013-11-07 2016-07-19 927000 905600 21400 21400 THORNBURG LTD TERM INC 2016-07-19 2016-08-31 500000 498854 1146 1146 THORNBURG LTD TERM INC 2016-07-19 2016-10-25 1000000 999185 815 815 THORNBURG LTD TERM INC 2016-07-19 2016-12-12 500000 505964 -5964 -5964 THORNBURG VALUE FUND 2013-12-31 2016-07-19 2701000 2201645 499355 499355 THORNBURG GLOBAL OPPS FUND 2012-12-31 2016-07-19 3470000 2658332 811668 811668 THORNBURG CORE GROWTH FUND 2013-12-31 2016-07-19 3692000 3152390 539610 539610 CHARLES SCHWAB & CO INC 2010-11-01 2016-12-27 519849 399637 120212 120212 LIBERTY SPECIAL STRATEGY 2013-04-26 2016-08-05 9779320 9376096 403224 403224 Capital Gains Dividends P 184156 184156 184156 2575622 0 6012486 107893121 0.055726 4340225 105547564 0.041121 1881908 89636712 0.020995 1688245 37193794 0.045391 1129220 24736726 0.045650 0.208883 0.041777 105475135 4406435 50845 4457280 4865248 X 50845 0 50845 0 50845 69679 69679 18834 18834 0 0 0 0 0 0 0 0 0 0 0 1 1 NM 1 0 0 0 0 1 WWW.THORNBURGFOUNDATION.ORG Kevin Hansen 5054677044 2300 N Ridgetop Rd Santa Fe NM 87506 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Garrett Thornburg 2300 N RIDGETOP RD Santa Fe NM 87506 President 1.00 0 0 0 Lloyd J Thornburg 2300 N RIDGETOP RD Santa Fe NM 87506 Director 1.00 0 0 0 SHAWN LEE 2300 N RIDGETOP RD Santa Fe NM 87506 SECRETARY 1.00 0 0 0 KEVIN HANSEN 2300 N RIDGETOP RD Santa Fe NM 87506 TREASURER 3.00 0 0 0 Catherine Oppenheimer 2300 N RIDGETOP RD Santa Fe NM 87506 Vice President 1.00 0 0 0 Alon Kasha 2300 N RIDGETOP RD Santa Fe NM 87506 Director 1.00 0 0 0 Allan Oliver 2300 N RIDGETOP RD Santa Fe NM 87506 Executive Director 40.00 181250 10189 0 STEVEN M WEINBERG II 2300 N RIDGETOP RD SANTA FE NM 87506 POLICY OFFICER 40.00 107454 11638 0 CARMEN J LOPEZ 2300 N RIDGETOP RD SANTA FE NM 87506 POLICY OFFICER 40.00 84867 14962 0 MICAELA M FISCHER 2300 N RIDGETOP RD SANTA FE NM 87506 POLICY OFFICER 40.00 84075 5941 0 LESLIE GARCIA 2300 N RIDGETOP RD SANTA FE NM 87506 ADMIN DIRECTOR 40.00 65628 12069 0 0 MARTIN CONSULTING GROUP INC 7337 MANCHACA RD AUSTIN TX 78745 CONSULTING 54575 0 0 92482400 832153 13766802 107081355 0 0 107081355 1606220 105475135 5273757 5273757 50845 50845 5222912 0 5222912 0 5222912 4865248 0 4865248 50845 4814403 5222912 2201579 0 0 4865248 2201579 0 0 2663669 0 0 0 0 0 0 0 0 2559243 0 0 0 Garrett Thornburg X ABA FUND FOR JUSTICE AND EDUCATION 222 E VAN BUREN AVE STE 300 HARLINGEN TX 78550 None PC OPERATING SUPPORT 25000 Adaptive Sports Program 1595 Camino La Canada Santa Fe NM 87501 None PC OPERATING SUPPORT 2500 American Civil Liberties Union of New Mexico Foundation PO Box 566 Albuquerque NM 87103 None PC OPERATING SUPPORT 25000 AUDUBON NEW MEXICO PO BOX 9314 SAnta Fe NM 87504 None PC RESEARCH WATER LEASING 40000 BERNALILLO COUNTY 111 UNION SQUARE ST SE 204 Albuquerque NM 87102 NONE PC PROJECT GROW THE GROWERS 37100 Big Brothers Big Sisters of Northern NM 1229 S St Francis Dr Ste C Santa Fe NM 87505 None PC OPERATING SUPPORT 5000 CAMPAIGN LEGAL CENTER 215 E ST NE WAshington DC 20002 None PC RESEARCH BEST GOOD GOVERNMENT POLICY PRACTICES 50000 Central New Mexico Community College Foundation Inc 525 Buena Vista Drive SE Albuquerque NM 87106 None PC BUILD A MENTOR NETWORK TO IMPROVE PRACTICUM EXPERIENCES FOR EARLY CHILDHOOD EDUCATION STUDENTS 177110 CHILDREN'S GRIEF CENTER 3001 TRELLIS DR NW ALBUquerque NM 87107 NONE PC OPERATING SUPPORT 2500 COMMITTEE FOR ECONOMIC DEVELOPMENT 2000 L ST NW STE 700 Washington DC 20036 NONE PC PUBLIC EDUCATION: BUSINESS CASE FOR GOOD GOVERNMENT REFORM 85000 Common Cause Education Fund 1133 19th Street NW 9th Floor Washington DC 200361722 None PC RESEARCH & PUBLIC AWARENESS OF THE IMPACT OF MONEY IN POLITICS IN NEW MEXICO 265000 COMMUNITIES IN SCHOOLS OF NM AT SANTA FE PO BOX 367 SANTA FE NM 87504 None PC OPERATING SUPPORT 2500 COMMUNITY PARTNERSHIP FOR CHILDREN PO BOX 1543 SILVER CITY NM 88062 NONE PC SHARED SERVICES SUBSTITUTE POOL 30000 CREATIVE SANTA FE PO BOX 2388 SANta Fe NM 87504 NONE PC OPERATING SUPPORT 15000 Creativity For Peace Inc 369 Montezuma Avenue 566 Santa Fe NM 87501 None PC OPERATING SUPPORT 2000 ESPERANZA SHELTER FOR BATTERED FAMILIES 618 B PASEO DE PERALTA SANTA Fe NM 87501 None PC OPERATING SUPPORT 5000 Food Depot 1222 Siler RD Santa Fe NM 87507 None PC OPERATING SUPPORT 10000 FRIENDS OF FONDATION DE FRANCE 275 MADISON AVE FL 6 NEw York NY 10016 None PC PROJECT SUPPORT 25000 Gerard's House PO Box 28693 Santa Fe NM 87592 None PC OPERATING SUPPORT 2500 GOOD JOBS FIRST 1616 P ST NW STE 210 WAshington DC 20036 None PC TAX EXPENDITURE RESEARCH 50000 HEALTH ACTION NEW MEXICO 3700 OSUAN RE NE STE 504 Albuquerque NM 87109 NONE PC HEALTHY FOOD EDUCATIONAL EVENT 2500 HEALTH LEADERSHIP HIGH SCHOOL 1900 RANDOLPH RD SE Albuquerque NM 87106 None PC EARLY CHILDHOOD EDUCATION PROJECT 50000 HOLISTIC MANAGEMENT INTERNATIONAL 5941 JEFFERSON ST NE STE B Albuquerque NM 87109 None PC HOLD PUBLIC EDUCATION/TRAINING EVENTS 52023 INSTITUTE OF AMERICAN ACUPUNCTURE & LIFE MEDICINE 443 N New Ballas Rd Suite 224 St Louis MO 63141 None PC OPERATING SUPPORT 5000 Interfaith Community Shelter PO Box 22653 Santa Fe NM 87502 None PC OPERATING SUPPORT 15000 KBFUSAMERICAN FRIENDS OF INSTITUTE CURIE 10 ROCKERFELLER PLAZA 16TH FL NEw York NY 10020 None PC OPERATING SUPPORT 50000 Kitchen Angels 1222 Siler RD Santa Fe NM 87507 None PC OPERATING SUPPORT 10000 KUNM MSC06 3520 1 University of New Mexi Albuquerque NM 871310001 None PC OPERATING SUPPORT 5000 La Familia Medical Center PO Box 5395 Santa Fe NM 87502 None PC OPERATING SUPPORT 10000 LITERACY VOLUNTEERS OF SANTA FE 6401 RICHARDS AVE ROOM 514A SAnta Fe NM 87508 None PC OPERATING SUPPORT 10000 Maria Mitchell Association 4 Vestal St Nantucket MA 02554 None PC OPERATING SUPPORT 1000 MAY CENTER FOR LEARNING 2019 GALISTEO BLDG B SANta Fe NM 87505 None PC OPERATING SUPPORT 5000 Medecins Sans Frontieres 333 Seventh Avenue 2nd Floor New York NY 10001 None PC OPERATING SUPPORT 5000 MID REGION COUNCIL OF GOVERNMENT 809 COPPER AVE NW ALBUquerque NM 87102 None PC LANDLINK PROGRAM SUPPORT 75400 Military Religious Freedom 13170-B Central Avenue SE Albuquerque NM 87123 None PC OPERATING SUPPORT 15000 Nantucket Historical Association PO Box 1016 Nantucket MA 02554 None PC OPERATING SUPPORT 5000 National Dance Institute 1140 Alto Street Santa Fe NM 87501 None PC OPERATING SUPPORT 150000 NAT'L INSTITUTE ON MONEY IN STATE POLITICS 833 N LAST CHANCE GULTCH HELENA MT 59601 None PC GOOD GOV'T REFORM PUBLIC EDUCATION 40650 NEW MEXICO BUSINESS ROUNTABLE 12231 ACADEMY RD NE STE 301 BOX 147 ALbuquerque NM 87111 none PC PUBLIC EDUCATION EVENT SPONSOR 2500 NEW MEXICO COMMUNITY FOUNDATION 135 W PALACE AVE 301 SAnta Fe NM 87501 none pc TRANSPARENCY IN GOV'T ETHICS; PUBLIC EDUCATION 257402 NEW MEXICO ENVIRONMENTAL LAW CENTER 1405 LUISA ST STE 5 SAnta Fe NM 87505 NONE PC OPERATING SUPPORT 10000 NEW MEXICO FARMERS MARKETING 1219 LUISA ST STE 1 SANTA Fe NM 87505 None PC PUBLIC EDUCATION: DOUBLE UP BUCKS PROGRAM 160000 NEW MEXICO FIRST PO BOX 56549 ALBuquerque NM 87187 None PC STAKEHOLDER ENGAGEMENT ON STATE AGRICULTURE PLAN 163000 NEW MEXICO IN DEPTH 6937 MERLOT DR NE RIO RANCHO NM 87144 None PC PROJECT SUPPORT FOR TRANSPARENCY PORTAL 145000 NEW MEXICO SCHOOL FOR THE ARTS - AI 275 E ALAMEDA SANTA FE NM 87501 NONE PC OPERATING SUPPORT 200000 NEW MEXICO STATE UNIVERSITY PO BOX 30002 LAS CRUCES NM 88003 None PC RESEARCH PROJECTS: EARLY CHILDHOOD EDUCATION, FOOD & AGRICULTURE STATE PLAN 240638 NEW VENTURE FUND 1201 CONNECTICUT AVE NW ST 300 WASHington DC 20036 None PC GOOD GOVERNMENT REFORM PUBLIC EDUCATION 7668 New World Symphony 500 17 Street Miami Beach FL 33139 None PC OPERATING SUPPORT 5000 NHCC FOUNDATION 1701 4TH ST SW Albuquerque NM 87102 None PC EVENT SPONSORSHIP 5000 NM ASSOC FOR THE EDUCATION OF YOUNG CHILDREN 2201 BUENA VISTA SE STE 424 Albuquerque NM 87106 None PC EVALUATION OF PAY INCENTIVE FOR CHILDCARE WORKERS 2915 NM FARM & LIVESTOCK BUREAU FOUNDATION 2220 N TELSHOR BLVD LAS CRUCES NM 88011 NONE PC EVENT SPONSORSHIP 5000 NM FOUNDATION FOR OPEN GOVERNMENT 115 GOLD AVE SW Albuquerque NM 87102 None PC OPERATING AND PROGRAM SUPPORT 30000 NM SOCIETY OF PROFESSIONAL JOURNALISTS 729 VALVERDE DR SE ALbuquerque NM 87108 None PC EVENT SPONSORSHIP 2500 Oceana Inc 1350 Connecticut Ave NW 5th Floor Washington DC 200361722 None PC OPERATING SUPPORT 5000 OLE EDUCATION FUND 411 BELLAMAH AVE NW Albuquerque NM 87102 None PC PUBLIC EDUCATION ON PUBLIC FINANCING 25000 PARTNERSHIP FOR COMMUNITY ACTION 722 ISLETA BLVD SW Albuquerque NM 87105 None PC COMMUNITY BASED RESEARCH ON HOME BASED EARLY CHILDHOOD EDUCATION PROVIDERS 25000 PARTNERSHIP FOR RESPONSIBLE BUSINESS PO BOX 1821 Santa Fe NM 87504 None PC PUBLIC EDUCATION: GOOD GOVERNMENT REFORM 17500 PB&J FAMILY SERVICES 1101 LOPEZ RD SW Albuquerque NM 87105 None PC EVENT SPONSOR 600 Planned Parenthood Federation of America Inc 434 West 33rd St New York NY 10001 None PC OPERATING SUPPORT - INTERNATIONAL 25000 Proteus Fund 15 Research Drive Suite B Amherst MA 01002 None PC PUBLIC EDUCATION: GOOD GOVERNMENT REFORM 25000 REEL FATHERS 6 TORNEO CT SANTa Fe NM 87508 None PC OPERATING SUPPORT 2500 RETHINK MEDIA 2039 SHATTUCK AVE STE 401 BERKELEY CA 94704 None PC PUBLIC EDUCATION: GOOD GOVERNMENT REFORM 1806 SANTA FE COMMUNITY COLLEGE FOUNDATION 6401 RICHARDS AVE 111 SAnta Fe NM 87508 None PC PROJECT SUPPORT:EARLY CHILDHOOD EDUCATION 125000 SANTA FE COMMUNITY FOUNDATION PO BOX 1827 SAnta Fe NM 87504 None PC PROJECT SUPPORT: EARLY CHILDHOOD EDUCATION 80800 Santa Fe Preparatory School 1101 Camino de La Cruz Blanca Santa Fe NM 87505 None PC OPERATING SUPPORT 26300 School Year Abroad 439 South Union Street Lawrence MA 01843 None PC OPERATING SUPPORT 5000 Shattuck - St Mary's School PO Box 218 Faribault MN 55021 None PC OPERATING SUPPORT 25000 Solace Crisis Treatment Center 6601 Valentine Way Santa Fe NM 87507 None PC OPERATING SUPPORT 5000 ST ELIZABETH'S SHELTER 804 ALARID Santa Fe NM 87505 None PC OPERATING SUPPORT 5000 St John's College 1101 Camino de La Cruz Blanca Santa Fe NM 87505 None PC OPERATING SUPPORT 20000 TEAM RUBICON INC 6171 CENTURY BLVD 310 LOS ANGELES CA 90045 None PC OPERATING SUPPORT 10000 THE BIODYNAMIC ASSOCIATION 1661 N WATER ST STE 307 MILWAUKEE WI 53202 None PC EVENT SPONSORSHIP 5000 THE HEADSTRONG PROJECT 655 MADISON AVE FL 18 NEW York NY 10065 None PC OPERATING SUPPORT 10000 THE PRAIRIE ENTHUSIASTS PO BOX 824 / 110 S MAIN ST VIROQUA WI 54665 None PC OPERATING SUPPORT 25000 THE QUIVIRA COALITION 1413 2ND ST STE 1 SANta Fe NM 87505 None PC EVENT SPONSORSHIP 10000 The Roadrunner Food Bank 5840 Office Blvd NE Albuquerque NM 87109 None PC OPERATING SUPPORT 10000 The University of Texas FoundationMD Anderson Cancer Center 111 Congress Avenue Suite 40 Austin TX 78701 None PC RESEARCH ON CAUSES, TREATMENTS AND PREVENTION OF CANCER 200000 Think New Mexico 1227 Paseo De Peralta Santa Fe NM 875012758 None PC OPERATING SUPPORT 25000 United Way of Santa Fe CountyNM Early Childhood Development Partnership 440 Cerrillos Rd Suite A Santa Fe NM 87501 None PC SUPPORT PUBLIC EDUCATION AND RESEARCH REGARDING EARLY CHILDHOOD EDUCATION IN NEW MEXICO 198051 UNIVERSITY OF NEW MEXICO 1 UNIVERSITY OF NEW MEXICO Albuquerque NM 87131 None PC RESEARCH PROJECTS: EARLY CHILDHOOD EDUCATION, GOOD GOVERNMENT REFORM AND FOOD & AGRICULTURE 219031 WE ARE PEOPLE HERE PO BOX 421 SANta Fe NM 87504 None PC OPERATING SUPPORT 1000 WESTERN LANDOWNERS ALLIANCE 3 CALIENTE ROAD 5 SANta Fe NM 87505 None PC ADVANCE RESEARCH PRACTICES THAT SUSTAIN WORKING LANDS 251900 WESTERN NEW MEXICO UNIVERSITY PO BOX 680 SILVER CITY NM 88062 None PC SUPPORT EARLY CHILDHOOD PROGRAMS 75000 Williams College 75 Park Street Williamstown MA 01267 None PC OPERATING SUPPORT 25000 YOUTH DEVELOPMENT INC 6301 CENTRAL NW Albuquerque NM 87105 NONE PC RESEARCH REGULATORY BARRIERS TO BRAIDING FEDERAL AND STATE FUNDS 40950 Youth Shelter and Family Services PO Box 28279 Santa Fe NM 87592 None PC OPERATING SUPPORT 5000 4129844 0 14 2331504 18 2513101 0 4844605 0 4844605 0 0 0 0 0 0 0 0 0 0 Accounting 26608 0 3328 Organizational Costs 1998-09-01 510 510 SL 160.000000000000 0 0 Computer Equipment 2013-05-20 1771 915 SL 5.000000000000 354 0 Computer Equipment 2013-05-21 2409 1245 SL 5.000000000000 482 0 Computer Software 2013-05-20 233 208 SL 3.000000000000 25 0 Computer Software 2013-05-21 231 205 SL 3.000000000000 26 0 COMputer Equipment 2014-03-26 10077 3527 SL 5.000000000000 2015 0 Computer Equipment 2014-07-09 1036 311 SL 5.000000000000 207 0 Carlyle GMS Finance Inc. AT COST 658727 638176 Glenmede Fund Inc-Govt Cash AT COST 547241 547241 Glenmede Fund Inc Secured Options AT COST 3606094 3755377 GLENMEDE PRIVATE INVESTMENT FD VIII AT COST 1980000 2166088 GLENMEDE SMALL CAP EQUITY AT COST 3180815 3677163 Liberty Special Strategies Offshore AT COST 654651 654651 Riverside Capital Appreciation VI AT COST 710983 751953 Schwab Fixed Income Fund AT COST 2391506 2766199 SL CAPITAL SOF I LP AT COST 1261256 1460562 THORNBURG BETTER WORLD INT'L AT COST 5290850 5582350 Thornburg Core Growth Fund AT COST 4287596 5126630 Thornburg Developing World Fund AT COST 4093061 3992984 Thornburg Global Opportunities Fund AT COST 3838629 5429598 Thornburg Income Builder Fund AT COST 18441407 19507434 Thornburg International Growth Fund AT COST 4946976 5020787 Thornburg International Value Fund AT COST 5828165 4902349 Thornburg Limited Term Income Fund AT COST 22661281 22410347 Thornburg Strategic Income Fund AT COST 4603960 4350900 Thornburg Value Fund AT COST 4075939 5162775 GlENMEDE PRIVATE INVESTMENT FD IX AT COST 250000 246161 RENAISSANCE INSTUTIONAL AT COST 3500000 3456338 VANGUARD MARKET NEUTRAL FUND AT COST 5000000 5291595 Organizational Costs 510 510 0 Computer Equipment 1771 1269 502 Computer Equipment 2409 1727 682 Computer Software 233 233 0 Computer Software 231 231 0 COMputer Equipment 10077 5542 4535 Computer Equipment 1036 518 518 LEGAL FEES 915 0 0 DEPOSITS 2311 10269 10269 Event Expenses- Harner Award 51969 0 51969 Postage and Shipping 232 0 7 Supplies 2011 0 275 Other Expenses 553 0 172 Telephone 1571 0 1371 Insurance 9990 0 2752 Dues & Subscriptions 8732 0 4789 Meals & Entertainment 6882 0 5911 INVESTMENT CUSTODY&MGMT FEE 43238 43238 0 COMPUTER/SOFTWARE EXPENSES 1614 0 129 CONFERENCE COSTS 4760 0 4760 MEETING EXPENSES 7366 0 7245 EMPLOYEE FSA WITHHOLDING 886 800 Consulting Fees 100556 0 100556 Federal Excise Tax on Investment Income 33000 0 0