2015-11-11T08:33:47-06:00 2014-12-31 042442519 EDELSTEIN AND COMPANY LLP 160 FEDERAL STREET 9TH FLOOR BOSTON MA 02110 990PF 2014-01-01 711051630 THE RISC FOUNDATION INC RISC 4135281199 6 SEEKONK CROSS ROAD GREAT BARRINGTON MA 01230 L LINFIELD SIMON PRESIDENT 4135281199 2015-11-10 1 ALFONSO PERILLO P00950491 6172276161 2015-11-10 2014 2016-02-25 16:41:14Z X 92466884 X 2178703 219 219 423988 423988 1570643 17452780 1586548 -13550 -13550 4160003 1997205 265000 26500 238500 5000 0 5000 7274 3637 3637 311105 311105 0 96032 0 96032 113417 41039 0 3560 648 2912 801388 382929 346081 112250 112250 913638 382929 458331 3246365 1614276 42705 111521 111521 246838 660612 660612 72562024 83454535 83454535 238246 2355176 2355176 3939000 5885040 5885040 77028813 92466884 92466884 4747622 7369957 4747622 7369957 X 0 0 0 0 72281191 85096927 72281191 85096927 77028813 92466884 72281191 3246365 9877417 85404973 308046 85096927 SALE OF PUBLICLY TRADED SECURITIES 17452780 15957397 1495383 1495383 DISALLOWED LOSSES 15905 15905 PASSTHROUGH FROM TRIGRAN INVESTMENTS, L.P. II 75260 75260 1586548 0 3716835 64822373 0.057339 1533499 47489706 0.032291 592960 42342065 0.014004 62633 588394 0.106447 60150 588097 0.102279 0.312360 0.062472 83476631 5214952 16143 5231095 3116377 32286 0 32286 0 32286 32000 15000 47000 X 2 14712 14712 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 1 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 185458 US TRUST 114 WEST 47TH STREET NEW YORK NY 10036 INVESTMENT MGMT. SERVICES 124777 0 INVESTMENT IN NEW HAVEN ECOLOGY PROJECT INC., $1,750,000 IN THE FORM OF A 35 MONTH INTEREST ONLY AT .36% TERM LOAN TO BE REPAID AT THE END OF THE TERM OR UPON RECEIPT OF PERMANENT FINANCING, WHICHEVER COMES FIRST, TO BE USED FOR AGREED UPON PURPOSES. THE PURPOSES OF THIS INVESTMENT IS TO ENABLE NEW HAVEN ECOLOGY PROJECT, INC. TO PROVIDE CONSTRUCTION FINANCING FOR A NEW BUILDING IN NEW HAVEN, CONNECTICUT 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. 1750000 INVESTMENT IN ELM CITY COMMUNITY MARKET, INC. TO CAPITALIZE SUCCESSOR EMPLOYEE OWNED MARKET TO ELM CITY FOOD COOPERATIVE, INC.IN THE FORM OF A 4%, 10 YEAR TERM LOAN INTEREST ONLY PAYABLE MONTHLY IN ARREARS COMMENCING ON DECEMBER 1,2014 AND CONTINUING ON THE SAME DAY OF EACH MONTH THEREAFTER UNTIL NOVEMBER 30, 2017, PRINCIPAL AND INTEREST ON THE OUTSTANDING BALANCE SHALL BE PAYABLE MONTHLY IN ARREARS ON THE FIRST DAY OF DECEMBER 1, 2017 AND CONTINUE ON THE SAME DAY OF EACH MONTH THEREAFTER UNTIL NOVEMBER 30,2024. THIS LOAN IS TO BE USED FOR AGREED UPON PURPOSES. 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. 750000 158046 2658046 79304991 530838 4912020 84747849 0 0 84747849 1271218 83476631 4173832 4173832 32286 32286 4141546 0 4141546 0 4141546 458331 2658046 3116377 0 3116377 4141546 1665746 0 0 3116377 1665746 0 0 1450631 0 0 0 0 0 0 0 0 2690915 0 0 0 X ALL OUR KIN 414A CHAPEL STREET SUITE 100 NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 5000 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 CENTER FOR ARTS AND TECHNOLOGY 4 SCIENCE PARK NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 5000 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 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 NEW HAVEN LEGAL ASSISTANCE ASSOCIATION 426 STATE STREET NEW HAVEN CT 06510 N/A PC PROGRAM SUPPORT 250 THE FOOTE SCHOOL ASSOCIATION INC 50 LOOMIS PLACE NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 13000 THE NEW HAVEN READS COMMUNITY BOOK BANK 45 BRISTOL STREET NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 5000 UNITED WAY OF GREATER NEW HAVEN 370 JAMES STREET STE 403 NEW HAVEN CT 06513 N/A PC PROGRAM SUPPORT 1000 NEIGHBORHOOD HOUSING SERVICES OF NEW HAVEN 333 SHERMAN AVENUE NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 5000 STUDENT PARENTING AND FAMILY SERVICES INC 181 MITCHELL DRIVE NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 4000 112250 0 14 219 14 423988 14 2400 18 1570643 K-1 PASSTHROUGH FROM TRIGRAN INVESTMENTS, L.P. II 14 -15950 0 1981300 0 1981300 0 0 0 0 0 0 0 0 0 0 X X 1 ALBERT SIMON JR REVOCABLE TRUST 6 SEEKONK CROSS ROAD GREAT BARRINGTON MA 01230 2178703 X ACCOUNTING & TAX PREPARATION 7274 3637 3637 PAYMENT TO WEBSTER BANK TO HONOR PRI LOAN GUARANTEE MADE TO PRESERVE JOBS AT ELM CITY MARKET FOOD COOPERATIVE, INC, PENDING RECAPITALIZATION 126119 PRI ADVANCE TO ELM CITY COMMUNITY MARKET, INC 31927 ELM CITY COMMUNITY MARKET INC 777 CHAPEL STREET NEW HAVEN CT 06510 2014-09-26 750000 SEE STATEMENT 18 OF THIS RETURN. 750000 TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED REPORT IS PENDING 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. ELM CITY COMMUNITY MARKET INC 777 CHAPEL STREET NEW HAVEN CT 06510 2014-09-26 31927 SEE STATEMENT 19 OF THE RETURN 31927 REPORT IS PENDING 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. ELM CITY MARKET FOOD COOPERATIVE INC 777 CHAPEL STREET NEW HAVEN CT 06510 2014-10-10 126120 SEE STATEMENT 19 OF THE RETURN 126120 REPORT IS PENDING 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. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. 47911225 47911225 U.S. TRUST 35543310 35543310 TRIGRAN INVESTMENTS, L.P. II FMV 2355176 2355176 LEGAL SERVICES 5000 0 5000 7369957 BANK OF AMERICA - LINE OF CREDIT 7369957 PROGRAM-RELATED INVESTMENTS - VARIOUS LOANS 3939000 5885040 5885040 WRITE OFF OF 2012 PRI LOAN TO ELM CITY FOOD COOPERATIVE, INC. 150000 PAYMENTS ON LOAN GUARANTEES DESCRIBED IN PART IX-B, LINE 3 158046 STATE FILING FEES 500 0 500 IRS FORM 8802 RESIDENCY CERTIFICATION FEES 85 85 0 ASSOCIATION DUES 725 0 725 INSURANCE 2250 563 1687 PROGRAM-RELATED INVESTMENTS LOAN INTEREST 2400 2400 2400 K-1 PASSTHROUGH FROM TRIGRAN INVESTMENTS, L.P. II -15950 -15950 -15950 UNREALIZED GAIN ON INVESTMENTS 9877417 INVESTMENT MANAGEMENT FEES 311105 311105 0 FOREIGN TAX WITHHELD ON DIVIDENDS 41039 41039 0 FEDERAL EXCISE TAX 72378 0 0 THE NEW HAVEN INVESTMENT FUND LLC (DISREGARDED ENTITY) 140 OGDEN STREET NEW HAVEN CT 06511 711051630 THERE WERE NO TRANSFERS TO OR FROM THE CONTROLLED ORGANIZATION DURING 2014 0 0