BETA

MARJORIE & CLARENCE E UNTERBERG FOUNDATION INC: Form 990PF, tax year 2016

View the entire original 990 at ProPublica ↗

Organization
MARJORIE & CLARENCE E UNTERBERG FOUNDATION INC (EIN 13-3792809)
Tax period
2016-01-01 to 2016-12-31
Filed
2017-11-07
IRS object ID
201743119349100429
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 ReturnHeader

FieldValueIRS element (for citing)
Return2017-11-07T12:54:28-06:00ReturnTs
Tax Period End2016-12-31TaxPeriodEndDt

Preparer Firm PreparerFirmGrp

Preparer Firm Name PreparerFirmName

FieldValueIRS element (for citing)
Business Name Line1EISNERAMPER LLPBusinessNameLine1Txt

Preparer US Address PreparerUSAddress

FieldValueIRS element (for citing)
Address Line1750 THIRD AVENUEAddressLine1Txt
CityNEW YORKCityNm
State AbbreviationNYStateAbbreviationCd
ZIP100172703ZIPCd
FieldValueIRS element (for citing)
Return Type990PFReturnTypeCd
Tax Period Begin2016-01-01TaxPeriodBeginDt

Filer Filer

FieldValueIRS element (for citing)
EIN133792809EIN

Business Name BusinessName

FieldValueIRS element (for citing)
Business Name Line1MARJORIE & CLARENCE E UNTERBERG FDNINCBusinessNameLine1Txt
Business Name Line2C/O UNTERBERG CAPTAL LLCBusinessNameLine2Txt
FieldValueIRS element (for citing)
In Care Of% THOMAS I UNTERBERGInCareOfNm
Business Name ControlMARJBusinessNameControlTxt
Phone2127451141PhoneNum

US Address USAddress

FieldValueIRS element (for citing)
Address Line1445 PARK AVENUE Suite 921AddressLine1Txt
CityNEW YORKCityNm
State AbbreviationNYStateAbbreviationCd
ZIP10022ZIPCd

Business Officer BusinessOfficerGrp

FieldValueIRS element (for citing)
PersonTHOMAS I UNTERBERGPersonNm
Person TitlePRESIDENTPersonTitleTxt
Phone2127451141PhoneNum
Signature2017-11-01SignatureDt
Discuss With Paid PreparerYes (true)DiscussWithPaidPreparerInd

Preparer Person PreparerPersonGrp

FieldValueIRS element (for citing)
Preparer PersonROBERT LEVINPreparerPersonNm
PTINP00363891PTIN
Phone2129498700PhoneNum
Preparation2017-11-01PreparationDt

Filing Security Information FilingSecurityInformation

IP Address IPAddress

FieldValueIRS element (for citing)
I Pv4 Address64.238.150.10IPv4AddressTxt
FieldValueIRS element (for citing)
Federal Original Submission Id26368720173115000009FederalOriginalSubmissionId
Federal Original Submission Id2017-11-07FederalOriginalSubmissionIdDt
Filing License TypePFilingLicenseTypeCd
At Submission Creation Device Id76C414DD8C75D81DFB845A45B89798552528C86EAtSubmissionCreationDeviceId
At Submission Filing Device Id76C414DD8C75D81DFB845A45B89798552528C86EAtSubmissionFilingDeviceId
FieldValueIRS element (for citing)
Tax2016TaxYr
Build TS2021-01-29 14:40:06ZBuildTS

Form 990-PF IRS990PF

FieldValueIRS element (for citing)
Organization501c3 Exempt PFYes (X)Organization501c3ExemptPFInd
FMV Assets EOY$3,362,689FMVAssetsEOYAmt
Method Of Accounting CashYes (X)MethodOfAccountingCashInd

Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses

FieldValueIRS element (for citing)
Contri Rcvd Rev And Expnss$0ContriRcvdRevAndExpnssAmt
Interest On Sav Rev And Expnss$611InterestOnSavRevAndExpnssAmt
Interest On Sav Net Invst Incm$611InterestOnSavNetInvstIncmAmt
Dividends Rev And Expnss$5,109DividendsRevAndExpnssAmt
Dividends Net Invst Incm$5,109DividendsNetInvstIncmAmt
Net Gain Sale Ast Rev And Expnss-$142,042NetGainSaleAstRevAndExpnssAmt
Gross Sales Price$1,466,061GrossSalesPriceAmt
Cap Gain Net Incm Net Invst Incm$0CapGainNetIncmNetInvstIncmAmt
Other Income Rev And Expnss$125OtherIncomeRevAndExpnssAmt
Other Income Net Invst Incm$125OtherIncomeNetInvstIncmAmt
Total Rev And Expnss-$136,197TotalRevAndExpnssAmt
Total Net Invst Incm$5,845TotalNetInvstIncmAmt
Comp Ofcr Dir Trst Rev And Expnss$0CompOfcrDirTrstRevAndExpnssAmt
Interest Rev And Expnss$945InterestRevAndExpnssAmt
Interest Net Invst Incm$945InterestNetInvstIncmAmt
Taxes Rev And Expnss$325TaxesRevAndExpnssAmt
Taxes Net Invst Incm$325TaxesNetInvstIncmAmt
Other Expenses Rev And Expnss$9,881OtherExpensesRevAndExpnssAmt
Other Expenses Net Invst Incm$9,631OtherExpensesNetInvstIncmAmt
Other Expenses Dsbrs Chrtbl$250OtherExpensesDsbrsChrtblAmt
Tot Opr Expenses Rev And Expnss$11,151TotOprExpensesRevAndExpnssAmt
Tot Opr Expenses Net Invst Incm$10,901TotOprExpensesNetInvstIncmAmt
Tot Opr Expenses Dsbrs Chrtbl$250TotOprExpensesDsbrsChrtblAmt
Contri Paid Rev And Expnss$794,900ContriPaidRevAndExpnssAmt
Contri Paid Dsbrs Chrtbl$794,900ContriPaidDsbrsChrtblAmt
Total Expenses Rev And Expnss$806,051TotalExpensesRevAndExpnssAmt
Total Expenses Net Invst Incm$10,901TotalExpensesNetInvstIncmAmt
Total Expenses Dsbrs Chrtbl$795,150TotalExpensesDsbrsChrtblAmt
Excess Revenue Over Expenses-$942,248ExcessRevenueOverExpensesAmt
Net Investment Income$0NetInvestmentIncomeAmt

Form990 PF Balance Sheets Form990PFBalanceSheetsGrp

FieldValueIRS element (for citing)
Sav And Temp Cash Invst BOY$1,483,490SavAndTempCashInvstBOYAmt
Sav And Temp Cash Invst EOY$385,083SavAndTempCashInvstEOYAmt
Sav And Temp Cash Invst EOYFMV$385,083SavAndTempCashInvstEOYFMVAmt
Acct Rcvbl$1,932AcctRcvblAmt
Acct Rcvbl EOY$1,932AcctRcvblEOYAmt
Acct Rcvbl EOYFMV$1,932AcctRcvblEOYFMVAmt
Corporate Stock BOY$893,935CorporateStockBOYAmt
Corporate Stock EOY$2,262,404CorporateStockEOYAmt
Corporate Stock EOYFMV$2,368,959CorporateStockEOYFMVAmt
Corporate Bonds BOY$0CorporateBondsBOYAmt
Corporate Bonds EOY$250,460CorporateBondsEOYAmt
Corporate Bonds EOYFMV$247,840CorporateBondsEOYFMVAmt
Other Investments BOY$1,891,451OtherInvestmentsBOYAmt
Other Investments EOY$355,487OtherInvestmentsEOYAmt
Other Investments EOYFMV$358,875OtherInvestmentsEOYFMVAmt
Total Assets BOY$4,268,876TotalAssetsBOYAmt
Total Assets EOY$3,255,366TotalAssetsEOYAmt
Total Assets EOYFMV$3,362,689TotalAssetsEOYFMVAmt
Total Liabilities BOY$0TotalLiabilitiesBOYAmt
Total Liabilities EOY$0TotalLiabilitiesEOYAmt
Org Does Not Follow SFAS117Yes (X)OrgDoesNotFollowSFAS117Ind
Additional Paid In Capital BOY$4,268,876AdditionalPaidInCapitalBOYAmt
Additional Paid In Capital EOY$3,255,366AdditionalPaidInCapitalEOYAmt
Tot Net Ast Or Fund Balances BOY$4,268,876TotNetAstOrFundBalancesBOYAmt
Tot Net Ast Or Fund Balances EOY$3,255,366TotNetAstOrFundBalancesEOYAmt
Total Liabilities Net Ast BOY$4,268,876TotalLiabilitiesNetAstBOYAmt
Total Liabilities Net Ast EOY$3,255,366TotalLiabilitiesNetAstEOYAmt

Chg In Net Assets Fund Balances ChgInNetAssetsFundBalancesGrp

FieldValueIRS element (for citing)
Tot Net Ast Or Fund Balances BOY$4,268,876TotNetAstOrFundBalancesBOYAmt
Excess Revenue Over Expenses-$942,248ExcessRevenueOverExpensesAmt
Subtotal$3,326,628SubtotalAmt
Other Decreases$71,262OtherDecreasesAmt
Tot Net Ast Or Fund Balances EOY$3,255,366TotNetAstOrFundBalancesEOYAmt

Cap Gains Loss Tx Invst Incm Detail CapGainsLossTxInvstIncmDetail

Cap Gains Loss Tx Invst Incm CapGainsLossTxInvstIncmGrp (6 entries)

PropertyPropertyDescHow AcquiredHowAcquiredCdCost Or Other BasisCostOrOtherBasisAmtGain Or LossGainOrLossAmtGains Minus Excess Or LossesGainsMinusExcessOrLossesAmtAcquiredAcquiredDtSoldSoldDtGross Sales PriceGrossSalesPriceAmt
THRU UNTERBERG KOLLER CAPITAL FUND LPP$11,148-$11,148-$11,148
THRU UNTERBERG KOLLER CAPITAL FUND LPP$8,215-$8,215-$8,215
18,000 SHS PDLDP$151,200-$120,180-$120,1802002-01-222017-04-06$31,020
HAMLIN HIGH DIVIDEND EQUITYP$674,534-$56,684-$56,684$617,850
SOUTHPAW CREDIT OPP PARTNERSP$500,000$63,482$63,482$563,482
MCVEAN TRADING AND INVESTMENTSP$263,006-$9,297-$9,297$253,709
FieldValueIRS element (for citing)
Capital Gain Net Income-$142,042CapitalGainNetIncomeAmt

Qlfy Und Sect4940e Reduced Tax QlfyUndSect4940eReducedTaxGrp

FieldValueIRS element (for citing)
Liable Section4942 TaxfalseLiableSection4942TaxInd
Adjusted Qlfy Distri Yr1$834,900AdjustedQlfyDistriYr1Amt
Net Vl Noncharitable Assets Yr1$4,547,838NetVlNoncharitableAssetsYr1Amt
Distribution Yr10.183582DistributionYr1Rt
Adjusted Qlfy Distri Yr2$88,200AdjustedQlfyDistriYr2Amt
Net Vl Noncharitable Assets Yr2$5,743,402NetVlNoncharitableAssetsYr2Amt
Distribution Yr20.015357DistributionYr2Rt
Adjusted Qlfy Distri Yr3$1,906,370AdjustedQlfyDistriYr3Amt
Net Vl Noncharitable Assets Yr3$4,868,528NetVlNoncharitableAssetsYr3Amt
Distribution Yr30.39157DistributionYr3Rt
Adjusted Qlfy Distri Yr4$1,706,960AdjustedQlfyDistriYr4Amt
Net Vl Noncharitable Assets Yr4$6,172,541NetVlNoncharitableAssetsYr4Amt
Distribution Yr40.276541DistributionYr4Rt
Adjusted Qlfy Distri Yr5$1,271,430AdjustedQlfyDistriYr5Amt
Net Vl Noncharitable Assets Yr5$5,332,448NetVlNoncharitableAssetsYr5Amt
Distribution Yr50.238433DistributionYr5Rt
Total Distribution1.105483TotalDistributionRt
Average Distribution0.221097AverageDistributionRt
Net Vl Noncharitable Assets$3,745,702NetVlNoncharitableAssetsAmt
Adj Net Vl Noncharitable Assets$828,163AdjNetVlNoncharitableAssetsAmt
Net Investment Income Pct$0NetInvestmentIncomePctAmt
Adj Nonchrtbl Net Invst Incm Pct$828,163AdjNonchrtblNetInvstIncmPctAmt
Qualifying Distributions$795,150QualifyingDistributionsAmt

Excise Tax Based On Invst Incm ExciseTaxBasedOnInvstIncmGrp

FieldValueIRS element (for citing)
Investment Income Excise Tax$0InvestmentIncomeExciseTaxAmt
Subtotal$0SubtotalAmt
Tax Based On Investment Income$0TaxBasedOnInvestmentIncomeAmt
Estimated Plus Ovpmt Incm Tx$12,936EstimatedPlusOvpmtIncmTxAmt
Total Payments And Credits$12,936TotalPaymentsAndCreditsAmt
Overpayment$12,936OverpaymentAmt
Applied To ES Tax$12,936AppliedToESTaxAmt

Statements Regarding Acty StatementsRegardingActyGrp

FieldValueIRS element (for citing)
Legislative Political ActyfalseLegislativePoliticalActyInd
More Than100 SpentfalseMoreThan100SpentInd
Form1120 POL FiledfalseForm1120POLFiledInd
Activities Not Previously RptfalseActivitiesNotPreviouslyRptInd
Changes To Articles Or BylawsfalseChangesToArticlesOrBylawsInd
Unrelated Bus Incm Over LimitfalseUnrelatedBusIncmOverLimitInd
Organization Dissolved EtcfalseOrganizationDissolvedEtcInd
Section508e Rqr SatisfiedYes (true)Section508eRqrSatisfiedInd
At Least5000 In AssetsYes (true)AtLeast5000InAssetsInd
Org Report Or Register StateNYOrgReportOrRegisterStateCd
Form990 PF Filed With Atty GenYes (true)Form990PFFiledWithAttyGenInd
Private Operating FoundationfalsePrivateOperatingFoundationInd
New Substantial ContributorsfalseNewSubstantialContributorsInd
Own Controlled EntityfalseOwnControlledEntityInd
Donor Advised FundfalseDonorAdvisedFundInd
Comply With Public Insp RqrYes (true)ComplyWithPublicInspRqrInd

Persons With Books Name PersonsWithBooksName

FieldValueIRS element (for citing)
Business Name Line1THOMAS I UNTERBERGBusinessNameLine1Txt
FieldValueIRS element (for citing)
Phone2127451141PhoneNum

Location Of Books US Address LocationOfBooksUSAddress

FieldValueIRS element (for citing)
Address Line1C/O UNTERBERG CAPITAL LLC445 PARKAddressLine1Txt
CityNEW YORKCityNm
State AbbreviationNYStateAbbreviationCd
ZIP10022ZIPCd
FieldValueIRS element (for citing)
Foreign Accounts QuestionfalseForeignAccountsQuestionInd

Statements Regarding Acty4720 StatementsRegardingActy4720Grp

FieldValueIRS element (for citing)
Sale Or Exch Disqualified PrsnfalseSaleOrExchDisqualifiedPrsnInd
Brrw Or Lend Disqualified PrsnfalseBrrwOrLendDisqualifiedPrsnInd
Furn Goods Disqualified PrsnfalseFurnGoodsDisqualifiedPrsnInd
Pay Comp Disqualified PrsnfalsePayCompDisqualifiedPrsnInd
Transfer Ast Disqualified PrsnfalseTransferAstDisqualifiedPrsnInd
Payment To Government OfficialfalsePaymentToGovernmentOfficialInd
Uncorrected Prior ActsfalseUncorrectedPriorActsInd
Business HoldingsfalseBusinessHoldingsInd
Jeopardy InvestmentsfalseJeopardyInvestmentsInd
Uncorrected PY Jeopardy InvstfalseUncorrectedPYJeopardyInvstInd
Influence LegislationfalseInfluenceLegislationInd
Influence ElectionfalseInfluenceElectionInd
Grants To IndividualsfalseGrantsToIndividualsInd
Grants To OrganizationsfalseGrantsToOrganizationsInd
Noncharitable PurposefalseNoncharitablePurposeInd
Rcv Fnds To Pay Prsnl Bnft CntrctfalseRcvFndsToPayPrsnlBnftCntrctInd
Pay Premiums Prsnl Bnft CntrctfalsePayPremiumsPrsnlBnftCntrctInd
Prohibited Tax Shelter TransfalseProhibitedTaxShelterTransInd

Officer Dir Trst Key Empl Info OfficerDirTrstKeyEmplInfoGrp

Officer Dir Trst Key Empl OfficerDirTrstKeyEmplGrp (3 entries)

Address Line1USAddress/AddressLine1TxtCityUSAddress/CityNmState AbbreviationUSAddress/StateAbbreviationCdZIPUSAddress/ZIPCdTitleTitleTxtAverage Hrs Per Wk Devoted To PosAverageHrsPerWkDevotedToPosRtCompensationCompensationAmtEmployee Benefit ProgramEmployeeBenefitProgramAmtExpense Account Other AllwncExpenseAccountOtherAllwncAmt
THOMAS I UNTERBERG
730 FIFTH AVENUENEW YORKNY10019PRESIDENT0.25$0$0$0
MARY DEBARE
730 FIFTH AVENUENEW YORKNY10019VICE PRES/SECY0.25$0$0$0
ANDREW ARNO
730 FIFTH AVENUENEW YORKNY10019TREASURER0.25$0$0$0
FieldValueIRS element (for citing)
Summary Of Direct Chrtbl ActySummaryOfDirectChrtblActyGrp
Sum Of Program Related InvstSumOfProgramRelatedInvstGrp

Minimum Investment Return MinimumInvestmentReturnGrp

FieldValueIRS element (for citing)
Average Monthly FMV Of Sec$308,444AverageMonthlyFMVOfSecAmt
Average Monthly Cash Balances$2,147,112AverageMonthlyCashBalancesAmt
FMV All Other Noncharitable Ast$1,347,187FMVAllOtherNoncharitableAstAmt
Total FMV Of Unused Assets$3,802,743TotalFMVOfUnusedAssetsAmt
Acquisition Indebtedness$0AcquisitionIndebtednessAmt
Adjusted Total FMV Of Unused Ast$3,802,743AdjustedTotalFMVOfUnusedAstAmt
Cash Deemed Charitable$57,041CashDeemedCharitableAmt
Net Vl Noncharitable Assets$3,745,702NetVlNoncharitableAssetsAmt
Minimum Investment Return$187,285MinimumInvestmentReturnAmt

Distributable Amount DistributableAmountGrp

FieldValueIRS element (for citing)
Minimum Investment Return$187,285MinimumInvestmentReturnAmt
Tax Based On Investment Income$0TaxBasedOnInvestmentIncomeAmt
Total Tax$0TotalTaxAmt
Distributable Before Adj$187,285DistributableBeforeAdjAmt
Distributable Before Ded$187,285DistributableBeforeDedAmt
Distributable As Adjusted$187,285DistributableAsAdjustedAmt

Qualifying Distri Part XII QualifyingDistriPartXIIGrp

FieldValueIRS element (for citing)
Expenses And Contributions$795,150ExpensesAndContributionsAmt
Program Related Invst Total$0ProgramRelatedInvstTotalAmt
Charitable Assets Acquis Paid$0CharitableAssetsAcquisPaidAmt
Set Aside Suitability Test$0SetAsideSuitabilityTestAmt
Set Aside Cash Distri Test$0SetAsideCashDistriTestAmt
Qualifying Distributions$795,150QualifyingDistributionsAmt
Adjusted Qualifying Distri$795,150AdjustedQualifyingDistriAmt

Undistributed Income UndistributedIncomeGrp

FieldValueIRS element (for citing)
Distributable As Adjusted$187,285DistributableAsAdjustedAmt
Undistributed Income PY$0UndistributedIncomePYAmt
Prior Year12014PriorYear1Yr
Prior Year22013PriorYear2Yr
Prior Year32012PriorYear3Yr
Total For Prior Years$0TotalForPriorYearsAmt
Excess Distribution Cyov Yr5$1,039,308ExcessDistributionCyovYr5Amt
Excess Distribution Cyov Yr4$1,433,653ExcessDistributionCyovYr4Amt
Excess Distribution Cyov Yr3$1,662,944ExcessDistributionCyovYr3Amt
Excess Distribution Cyov Yr1$608,284ExcessDistributionCyovYr1Amt
Total Excess Distribution Cyov$4,744,189TotalExcessDistributionCyovAmt
Qualifying Distributions$795,150QualifyingDistributionsAmt
Applied To Year1$0AppliedToYear1Amt
Applied To Current Year$187,285AppliedToCurrentYearAmt
Remaining Distri From Corpus$607,865RemainingDistriFromCorpusAmt
Total Corpus$5,352,054TotalCorpusAmt
Prior Year Undistributed Incm$0PriorYearUndistributedIncmAmt
Taxable1$0Taxable1Amt
Taxable2$0Taxable2Amt
Undistributed Income CY$0UndistributedIncomeCYAmt
Excess Distri Cyov From Yr5$1,039,308ExcessDistriCyovFromYr5Amt
Excess Distri Cyov To Next Yr$4,312,746ExcessDistriCyovToNextYrAmt
Excess From Year4$1,433,653ExcessFromYear4Amt
Excess From Year3$1,662,944ExcessFromYear3Amt
Excess From Year1$608,284ExcessFromYear1Amt
Excess From Current Year$607,865ExcessFromCurrentYearAmt
FieldValueIRS element (for citing)
Private Operating FoundationsPrivateOperatingFoundationsGrp

Supplementary Information SupplementaryInformationGrp

FieldValueIRS element (for citing)
Contributing ManagerTHOMAS UNTERBERGContributingManagerNm
Contributing ManagerMARY DEBAREContributingManagerNm
Contributing ManagerANDREW ARNOContributingManagerNm
Shareholder ManagerNAShareholderManagerNm
Only Contri To PreselectedYes (X)OnlyContriToPreselectedInd

Grant Or Contribution Pd Dur Yr GrantOrContributionPdDurYrGrp

Recipient Business Name RecipientBusinessName

FieldValueIRS element (for citing)
Business Name Line1SEE STATEMENT ATTACHEDBusinessNameLine1Txt

Recipient US Address RecipientUSAddress

FieldValueIRS element (for citing)
Address Line1see statment attachedAddressLine1Txt
CityNEW YORKCityNm
State AbbreviationNYStateAbbreviationCd
ZIP10022ZIPCd
FieldValueIRS element (for citing)
Recipient RelationshipNONERecipientRelationshipTxt
Recipient Foundation StatusPCRecipientFoundationStatusTxt
Grant Or Contribution PurposeGENERAL CHARITABLE PURPOSEGrantOrContributionPurposeTxt
Amt$794,900Amt
FieldValueIRS element (for citing)
Total Grant Or Contri Pd Dur Yr$794,900TotalGrantOrContriPdDurYrAmt

Analysis Income Producing Acty AnalysisIncomeProducingActyGrp

FieldValueIRS element (for citing)
Fees Contracts From Govt AgFeesContractsFromGovtAgGrp
Membership Dues And AssmntMembershipDuesAndAssmntGrp
Int On Sav And Temp Cash InvstIntOnSavAndTempCashInvstGrp

Div And Int From Sec Part VII DivAndIntFromSecPartVIIGrp

FieldValueIRS element (for citing)
Exclusion14ExclusionCd
Exclusion$5,720ExclusionAmt
FieldValueIRS element (for citing)
Net Rntl Incm Re Debt Fincd PropNetRntlIncmReDebtFincdPropGrp
Net Rntl Incm Re Not Debt Fincd PropNetRntlIncmReNotDebtFincdProp
Net Rental Income Personal PropNetRentalIncomePersonalPropGrp

Other Investment Incm Part VII OtherInvestmentIncmPartVIIGrp

FieldValueIRS element (for citing)
Exclusion01ExclusionCd
Exclusion$125ExclusionAmt

Gain Sales Ast Oth Than Invntry GainSalesAstOthThanInvntryGrp

FieldValueIRS element (for citing)
Exclusion18ExclusionCd
Exclusion-$142,042ExclusionAmt
FieldValueIRS element (for citing)
Net Income Loss From Special EvtNetIncomeLossFromSpecialEvtGrp
Gross Profit Loss Sls Of InvntryGrossProfitLossSlsOfInvntryGrp

Subtotals Incm Producing Acty SubtotalsIncmProducingActyGrp

FieldValueIRS element (for citing)
Exclusion-$136,197ExclusionAmt
FieldValueIRS element (for citing)
Total Income Producing Acty-$136,197TotalIncomeProducingActyAmt

Trnsfr Trans Rln Nonchrtbl EO TrnsfrTransRlnNonchrtblEOGrp

FieldValueIRS element (for citing)
Trnsfr Of Cash To Nonchrtbl EOfalseTrnsfrOfCashToNonchrtblEOInd
Trnsfr Other Asset Nonchrtbl EOfalseTrnsfrOtherAssetNonchrtblEOInd
Sales Or Exchanges Of AssetsfalseSalesOrExchangesOfAssetsInd
Purchase Of Assets Nonchrtbl EOfalsePurchaseOfAssetsNonchrtblEOInd
Rental Of Facilities Oth AssetsfalseRentalOfFacilitiesOthAssetsInd
Reimbursement ArrangementsfalseReimbursementArrangementsInd
Loans Or Loan GuaranteesfalseLoansOrLoanGuaranteesInd
Performance Of Services EtcfalsePerformanceOfServicesEtcInd
Sharing Of Facilities EtcfalseSharingOfFacilitiesEtcInd
Relationships Nonchrtbl EOfalseRelationshipsNonchrtblEOInd

Depreciation Schedule DepreciationSchedule

Investments Corp Bonds Schedule InvestmentsCorpBondsSchedule

Investments Corporate Bonds InvestmentsCorporateBondsGrp

FieldValueIRS element (for citing)
BondLANCASTER CALIF REDEV AGYBondNm
EOY Book Value$250,460EOYBookValueAmt
EOYFMV$247,840EOYFMVAmt

Investments Corp Stock Schedule InvestmentsCorpStockSchedule

Investments Corporate Stock InvestmentsCorporateStockGrp (10 entries)

StockStockNmEOY Book ValueEOYBookValueAmtEOYFMVEOYFMVAmt
20 SHS. INFINITY ENERGY RESOUR$229$0
750 SHS. DIGITAL RIVER INC.$7,808$7,808
300 SHS. DIGITAL RIVER INC.$2,902$2,902
34,800 SHS. PREDICTIVE NETWORK$103,669$103,669
2,000 SHS. PD - LD INC$16,800$3,447
303,313 A-2 LOANLOGICS (NYLX)$242,371$363,557
14,286 SHS OBERON MEDIA INC$100,000$100,000
23,663 SHS OBERON MEDIA INC$243,956$243,956
34,168 CONNER TECH PUBLIC LTD$125,000$125,000
14,000 PIMCO ENHANCED SHORT$1,419,669$1,418,620

Investments Other Schedule2 InvestmentsOtherSchedule2

Investments Other InvestmentsOtherGrp (4 entries)

Category Or ItemCategoryOrItemTxtListed At Cost Or FMVListedAtCostOrFMVCdBook ValueBookValueAmtEOYFMVEOYFMVAmt
UNTERBERG KOLLER CAPITAL FUNDFMV$355,487$358,875
HAMLIN HIGH DIVIDEND EQUITYFMV$0$0
MCVEAN TRADING AND INVESTMENTSFMV$0$0
SOUTHPAW CREDIT OPP PRTNERS LTFMV$0$0

Other Decreases Schedule OtherDecreasesSchedule

Other Decreases Detail OtherDecreasesDetail (2 entries)

DescDescAmtAmt
UNREALIZED DEPRECIATION ON PARTNERSHIP$0
INVESTMENTS$71,262

Other Expenses Schedule OtherExpensesSchedule

Other Expenses Schedule OtherExpensesScheduleGrp (3 entries)

DescDescRevenue And Expenses Per BooksRevenueAndExpensesPerBooksAmtNet Investment IncomeNetInvestmentIncomeAmtDisbursements Charitable PrpsDisbursementsCharitablePrpsAmt
BANK FEES$313$313
PORTFOLIO DEDUCTIONS$9,318$9,318
FILING FEES$250$250

Other Income Schedule2 OtherIncomeSchedule2

Other Income Detail OtherIncomeDetail

FieldValueIRS element (for citing)
DescUNTERBERG KOLLER CAPITAL FUNDDesc
Revenue And Expenses Per Books$125RevenueAndExpensesPerBooksAmt
Net Investment Income$125NetInvestmentIncomeAmt

Taxes Schedule TaxesSchedule

Taxes Detail TaxesDetail

FieldValueIRS element (for citing)
CategoryFOREIGN TAX PAIDCategoryTxt
Amt$325Amt
Net Investment Income$325NetInvestmentIncomeAmt

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