2014-07-18T11:51:16-05:00 2013-12-31 042442519 EDELSTEIN AND COMPANY LLP 160 FEDERAL STREET 9TH FLOOR BOSTON MA 02110 990PF 2013-01-01 711051630 THE RISC FOUNDATION INC RISC 4135281199 6 SEEKONK CROSS ROAD GREAT BARRINGTON MA 01230 L LINFIELD SIMON PRESIDENT 4135281199 2014-07-15 1 SCOTT KAPLOWITCH P00002440 6172276161 2014-07-15 2013 2015-12-30 17:16:21Z X 77028813 X 3467520 1 1 346084 337670 2149176 16345574 2256657 -2215 -2215 5960566 2592113 265000 26500 238500 50851 0 50851 154 77 77 162723 162723 0 60424 0 60424 30565 30565 0 1162 0 1162 4969 648 4321 575848 220513 355335 112500 112500 688348 220513 467835 5272218 2371600 47690 42705 42705 261590 246838 246838 51490518 72562024 72562024 177197 238246 238246 690000 3939000 3939000 52666995 77028813 77028813 1266250 4747622 1266250 4747622 X 0 0 0 0 51400745 72281191 51400745 72281191 52666995 77028813 51400745 5272218 15608228 72281191 0 72281191 SALE OF PUBLICLY TRADED SECURITIES 16345574 14219134 2126440 2126440 DISALLOWED LOSSES 107481 107481 PASSTHROUGH FROM TRIGRAN INVESTMENTS, L.P. II 22736 22736 2256657 0 1533499 47489706 0.032291 592960 42342065 0.014004 62633 588394 0.106447 60150 588097 0.102279 64572 274044 0.235626 0.490647 0.098129 64822373 6360955 23716 6384671 3716835 47432 0 47432 0 47432 7933 40250 48183 751 751 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 US TRUST 114 WEST 47TH STREET NEW YORK NY 10036 INVESTMENT MGMT. SERVICES 162119 0 INVESTMENT IN NEXT STEP LIVING, INC., $3,000,000 IN THE FORM OF A CONVERTIBLE SUBORDINATED NOTE WHICH HAS BEEN CONVERTED INTO PREFERRED STOCK UPON MEETING INVESTMENT CRITERIA AND A $249,000 FIVE YEAR INTEREST FREE TERM LOAN ALSO USED FOR AGREED UPON PURPOSES. THE PURPOSES OF THESE INVESTMENTS WERE TO ENABLE NEXT STEP LIVING, INC. TO ESTABLISH A JOB CREATION AND ENERGY EFFICIENCY PROGRAM 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. 3249000 3249000 65428501 381015 0 65809516 0 0 65809516 987143 64822373 3241119 3241119 47432 47432 3193687 0 3193687 0 3193687 467835 3249000 3716835 0 3716835 3193687 2188894 0 0 3716835 2188894 0 0 1527941 0 0 0 0 0 0 0 0 1665746 0 0 0 X 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 1000 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 3000 THE NEW HAVEN READS COMMUNITY BOOK BANK 45 BRISTOL STREET NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 3000 UNITED WAY OF GREATER NEW HAVEN 370 JAMES STREET STE 403 NEW HAVEN CT 06513 N/A PC PROGRAM SUPPORT 1000 ALL OUR KIN 414A CHAPEL STREET SUITE 100 NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 28000 MUSIC HAVEN 117 WHALLEY AVENUE NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 2000 YALE-NEW HAVEN HOSPITAL 20 YORK STREET NEW HAVEN CT 06510 N/A PC PROGRAM SUPPORT 250 112500 0 14 1 14 346084 18 2149176 K-1 PASSTHROUGH FROM TRIGRAN INVESTMENTS, L.P. II 14 -2215 0 2493046 0 2493046 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 71520 X 2 ALBERT SIMON JR REVOCABLE TRUST 6 SEEKONK CROSS ROAD GREAT BARRINGTON MA 01230 3146000 X 3 ALBERT SIMON JR REVOCABLE TRUST 6 SEEKONK CROSS ROAD GREAT BARRINGTON MA 01230 250000 X 1 750 SHARES OF BERKSHIRE HATHAWAY, INC. CLASS B NEW STOCK 71520 2013-01-14 2 22 SHARES OF BERKSHIRE HATHAWAY, INC. CLASS A STOCK 3146000 2013-01-14 ACCOUNTING & TAX PREPARATION 154 77 77 NEXT STEP LIVING INC 21 DRYDOCK AVE 2ND FLOOR BOSTON MA 02210 2013-06-13 3249000 SEE STATEMENT 16 OF THIS RETURN. 3249000 TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED 01/07/14 & 02/20/14 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. 37714740 37714740 U.S. TRUST 34847284 34847284 TRIGRAN INVESTMENTS, L.P. II FMV 238246 238246 LEGAL SERVICES 50851 0 50851 4747622 BANK OF AMERICA - LINE OF CREDIT 4747622 PROGRAM-RELATED INVESTMENTS - VARIOUS LOANS 690000 3939000 3939000 STATE FILING FEES 750 0 750 IRS FORM 8802 RESIDENCY CERTIFICATION FEES 85 85 0 ASSOCIATION DUES 725 0 725 INSURANCE 2250 563 1687 OFFICE EXPENSES 52 0 52 OTHER CHARITABLE PURPOSE RELATED EXPENSES 1107 0 1107 K-1 PASSTHROUGH FROM TRIGRAN INVESTMENTS, L.P. II -2215 -2215 -2215 UNREALIZED GAIN ON INVESTMENTS 15608228 INVESTMENT MANAGEMENT FEES 162723 162723 0 FOREIGN TAX WITHHELD ON DIVIDENDS 30565 30565 0 THE NEW HAVEN INVESTMENT FUND LLC (DISREGARDED ENTITY) 140 OGDEN STREET NEW HAVEN CT 06511 711051630 THE LLC (A DISREGARDED ENTITY) REIMBURSED THE FOUNDATION FOR VARIOUS EXPENSES. 7767 7767