2017-05-04T15:19:58-05:00 2016-12-31 042442519 EDELSTEIN AND COMPANY LLP 160 FEDERAL STREET 9TH FLOOR BOSTON MA 02110 990PF 2016-01-01 711051630 THE RISC FOUNDATION INC RISC 4135281199 6 SEEKONK CROSS ROAD GREAT BARRINGTON MA 01230 L LINFIELD SIMON PRESIDENT 4135281199 2017-05-01 1 ALFONSO PERILLO P00950491 6172276161 2017-05-01 38.111.9.114 2017-05-01 07:16:12 ED P 1E51DEB8025EDE220F0D57DC940EF88C4F838B22 0D76887A21FF303987ADF0E4D0B068FF6EB2BB99 2016 2021-01-29 14:40:06Z X 96622865 X X 24 24 343720 343720 1235012 11826386 2122679 6264 6264 1585020 2472687 265000 26500 238500 13043 0 13043 7185 3592 3593 433771 433771 0 293928 0 293928 91875 71875 0 8 0 8 4052 563 3489 1108862 536301 552561 330445 330445 1439307 536301 883006 145713 1936386 5864 921128 921128 336269 276947 276947 78074533 86518422 86518422 2231172 2968328 2968328 8687270 5938040 5938040 89335108 96622865 96622865 11282439 14502723 11282439 14502723 X 0 0 0 0 78052669 82120142 78052669 82120142 89335108 96622865 78052669 145713 7170760 85369142 3249000 82120142 SALE OF PUBLICLY TRADED SECURITIES 11826385 10842407 983978 983978 DISALLOWED LOSSES FROM WASH SALES 887667 887667 K-1 PASSTHROUGH FROM TRIGRAM INVESTMRNTS L.P. II 251033 251033 CAPITAL GAINS DIVIDENDS P 1 1 1 2122679 0 5052998 89537481 0.056434 3116377 83476631 0.037332 3716835 64822373 0.057339 1533499 47489706 0.032291 592960 42342065 0.014004 0.197400 0.039480 84381337 3331375 19364 3350739 3225006 38728 0 38728 0 38728 49315 49315 X 10587 10587 0 0 0 0 0 0 0 0 0 0 0 1 1 MA 1 0 0 1 0 1 N/A L LINFIELD SIMON 4135281199 6 SEEKONK CROSS ROAD GREAT BARRINGTON MA 01230 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 1 0 0 0 L LINFIELD SIMON 6 SEEKONK CROSS ROAD GREAT BARRINGTON MA 01230 PRESIDENT/DIRECTOR 30.00 160000 0 0 SUSAN R SIMON 6 SEEKONK CROSS ROAD GREAT BARRINGTON MA 01230 V.P./CLERK/DIRECTOR 8.00 35000 0 0 CAITLIN J SIMON 20 EDGEHILL ROAD NEW HAVEN CT 06511 TREASURER/DIRECTOR 8.00 35000 0 0 GREGORY A HUBER 20 EDGEHILL ROAD NEW HAVEN CT 06511 DIRECTOR 8.00 35000 0 0 NONE 0 LAGODA INVESTMENT MANAGEMENT LP 3 COLUMBUS CIRCLE STE 2215 NEW YORK NY 10019 INVESTMENT MGMT. SERVICES 354859 US TRUST 114 WEST 47TH STREET NEW YORK NY 10036 INVESTMENT MGMT. SERVICES 78373 0 INVESTMENT IN THE CONNECTICUT CENTER FOR ARTS AND TECHNOLOGY, A 501(C)(3) ORGANIZATION, TO PROCEED WITH THE CREATION OF A CULINARY ARTS PROGRAM, WHICH, AMONG OTHER THINGS, WAS INTENDED TO PROVIDE JOB TRAINING FOR NEW HAVEN'S MINORITY REENTRY POPULATION. THE INVESTMENT IS IN THE FORM OF A FIVE YEAR TERM LOAN WITH AN INTEREST RATE OF 1.7% 242000 INVESTMENT IN ELM CITY COMMUNITY MARKET, INC. TO PROVIDE THE MARKET WITH AN OPPORTUNITY TO ACHIEVE SUSTAINABILITY IN THE FORM OF A 4%, 10 YEAR TERM LOAN. THE PURPOSE OF THIS INVESTMENT IS TO ENABLE ELM CITY COMMUNITY MARKET, INC. TO PRESERVE JOBS FOR MINORITY AND LOW INCOME NEW HAVEN, CONNECTICUT RESIDENTS, INCLUDING A SUBSTANTIAL NUMBER OF PRISON REENTRY EMPLOYEES IN FURTHERANCE OF THE RISC FOUNDATION'S MISSION OF PROMOTING ECONOMIC DEVELOPMENT, RELIEVING POVERTY AND COMBATING COMMUNITY AND ENVIRONMENTAL DETERIORATION IN ECONOMICALLY DEPRESSED NEW HAVEN, CONNECTICUT. 2000000 100000 2342000 84896228 770104 0 85666332 0 0 85666332 1284995 84381337 4219067 4219067 38728 38728 4180339 1842230 6022569 0 6022569 883006 2342000 3225006 0 3225006 6022569 2091997 0 0 3225006 2091997 0 0 1133009 0 0 0 0 0 0 0 0 4889560 0 0 0 X ALL OUR KIN 414A CHAPEL STREET SUITE 100 NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 161945 BOSTON SYMPHONY ORCHESTRA INC 301 MASSACHUSETTS AVENUE BOSTON MA 02115 N/A PC PROGRAM SUPPORT 10000 CALVIN HILL DAY CARE CENTER 150 HIGHLAND STREET NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 10000 CONNECTICUT VOICES FOR CHILDREN 33 WHITNEY AVENUE NEW HAVEN CT 06510 N/A PC PROGRAM SUPPORT 2500 EDGERTON PARK CONSERVANCY PO BOX 6163 HAMDEN CT 06517 N/A PC PROGRAM SUPPORT 500 FOOTE SCHOOL INC - HORIZONS AT FOOTE 50 LOOMIS PLACE NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 10000 GROWERS INC 86 ANDERSON ROAD WALLINGFORD CT 06492 N/A PC PROGRAM SUPPORT 1000 JACOB'S PILLOW DANCE FESTIVAL INC 358 GEORGE CARTER ROAD BECKET MA 01223 N/A PC PROGRAM SUPPORT 50000 MUSIC HAVEN 117 WHALLEY AVENUE NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 2500 NEIGHBORHOOD HOUSING SERVICES OF NEW HAVEN 333 SHERMAN AVENUE NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 2500 NEW HAVEN LEGAL ASSISTANCE ASSOCIATION 426 STATE STREET NEW HAVEN CT 06510 N/A PC PROGRAM SUPPORT 1000 THE NEW HAVEN READS COMMUNITY BOOK BANK 45 BRISTOL STREET NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 10000 UNITED WAY OF GREATER NEW HAVEN 370 JAMES STREET STE 403 NEW HAVEN CT 06513 N/A PC PROGRAM SUPPORT 1000 CONNCAT- CONNECTICUT CENTER FOR ARTS AND TECHNOLOGY 4 SCIENCE PARK NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 60000 YALE NEW HAVEN HOSPITAL 20 YORK STREET NEW HAVEN CT 06510 N/A PC PROGRAM SUPPORT 1000 PLANNED PARENTHOOD OF SOUTHERN NEW ENGLAND 345 WHITNEY AVENUE NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 1000 IRIS 1200 NEW YORK AVENUE NW SUITE 400 WASHINGTON DC 20005 N/A PC PROGRAM SUPPORT 500 FRIENDS CENTER FOR CHILDREN 225 E GRAND AVENUE NEW HAVEN CT 06513 N/A PC PROGRAM SUPPORT 5000 330445 0 14 24 14 343720 14 5950 18 1235012 K-1 PASSTHROUGH FROM TRIGRAN INVESTMENTS, L.P. II 14 -10473 INVESTMENTS CLASS ACTION SETTLEMENTS 14 10787 0 1585020 0 1585020 0 0 0 0 0 0 0 0 0 0 ACCOUNTING & TAX PREPARATION 7185 3592 3593 INVESTMENT IN LEADERSHIP, EDUCATION AND ATHLETICS PARTNERSHIP, A 501(C)(3) ORGANIZATION, TO COMPLETE A CONSTRUCTION PROJECT WHILE AWAITING PROMISED PUBLIC FUNDING IN THE FORM OF A SHORT-TERM INTEREST FREE NOTE. 100000 THE ELM CITY COMMUNITY MARKET INC 777 CHAPEL STREET NEW HAVEN CT 06510 2016-02-19 2000000 INVESTMENT IN ELM CITY COMMUNITY MARKET, INC. TO PROVIDE THE MARKET WITH AN OPPORTUNITY TO ACHIEVE SUSTAINABILITY IN THE FORM OF A 4%, 10 YEAR TERM LOAN. THE PURPOSE OF THIS INVESTMENT IS TO ENABLE ELM CITY COMMUNITY MARKET, INC. TO PRESERVE JOBS FOR MINORITY AND LOW INCOME NEW HAVEN, CONNECTICUT RESIDENTS, INCLUDING A SUBSTANTIAL NUMBER OF PRISON REENTRY EMPLOYEES IN FURTHERANCE OF THE RISC FOUNDATION'S MISSION OF PROMOTING ECONOMIC DEVELOPMENT, RELIEVING POVERTY AND COMBATING COMMUNITY AND ENVIRONMENTAL DETERIORATION IN ECONOMICALLY DEPRESSED NEW HAVEN, CONNECTICUT. 2000000 TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED 09/20/16 & 4/03/17 THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OR RELIABILITY OF THE REPORT FROM THE GRANTEE; THEREFORE, NO INDEPENDENT VERIFICATION OF THE REPORT WAS MADE. CONTROLLED ENTITY FORM 990PF, PART VII-A LINE 11 NAME OF CONTROLLED ENTITY: THE NEW HAVEN INVESTMENT FUND LLC (DISREGARDED ENTITY)ADDRESS: 140 OGDEN STREET, NEW HAVEN, CT 06511EIN: 71-1051630IT IS NOT AN EXCESSIVE BUSINESS HOLDING.THERE WERE NO TRANSFERS TO OR FROM THE CONTROLLED ORGANIZATION DURING 2016. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. 51754001 51754001 U.S. TRUST 34764421 34764421 TRIGRAN INVESTMENTS, L.P. II FMV 2968328 2968328 LEGAL SERVICES 13043 0 13043 14502723 BANK OF AMERICA - LINE OF CREDIT 14502723 PROGRAM-RELATED INVESTMENTS - VARIOUS LOANS 8687270 5938040 5938040 WRITE OFF OF PRIOR YEAR PRI LOANS 3249000 ASSOCIATION AND OTHER DUES 750 0 750 INSURANCE 2250 563 1687 STATE FILING FEES 1052 0 1052 PROGRAM-RELATED INVESTMENTS LOAN INTEREST 5950 5950 5950 K-1 PASSTHROUGH FROM TRIGRAN INVESTMENTS, L.P. II -10473 -10473 -10473 INVESTMENTS CLASS ACTION SETTLEMENTS 10787 10787 10787 UNREALIZED GAIN ON INVESTMENTS 7170760 INVESTMENT MANAGEMENT FEES 433532 433532 0 U.S. TRUST INVESTMENT EXPENSES 239 239 0 FOREIGN TAX WITHHELD ON DIVIDENDS 71875 71875 0 FEDERAL EXCISE TAX 20000 0 0