MARJORIE & CLARENCE E UNTERBERG FOUNDATION INC: Form 990PF, tax year 2011
View the entire original 990 at ProPublica ↗
- Organization
- MARJORIE & CLARENCE E UNTERBERG FOUNDATION INC (EIN 13-3792809)
- Tax period
- 2011-01-01 to 2011-12-31
- Filed
- 2013-02-02
- IRS object ID
- 201320339349100202
- Schema version
- 2011v1.2
- 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
- Form 990-PF
- Schedule B
- Accounting Fees Schedule
- Investments Corp Stock Schedule
- Investments Other Schedule2
- Other Decreases Schedule
- Other Expenses Schedule
- Other Professional Fees Schedule
- Taxes Schedule
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Timestamp | 2013-02-02T11:07:21-06:00 | Timestamp |
| Tax Period End Date | 2011-12-31 | TaxPeriodEndDate |
Preparer Firm PreparerFirm
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 113518842 | EIN |
Preparer Firm Business Name PreparerFirmBusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | MARKS PANETH & SHRON LLP | BusinessNameLine1 |
Preparer Firm US Address PreparerFirmUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 685 THIRD AVENUE | AddressLine1 |
| City | NEW YORK | City |
| State | NY | State |
| ZIP Code | 10017 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990PF | ReturnType |
| Tax Period Begin Date | 2011-01-01 | TaxPeriodBeginDate |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 133792809 | EIN |
Name Name
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | MARJORIE & CLARENCE E UNTERBERG FDNINC | BusinessNameLine1 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name Control | MARJ | NameControl |
| Phone | 2125038800 | Phone |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 126 EAST 56TH STREET 26TH FLOOR | AddressLine1 |
| City | NEW YORK | City |
| State | NY | State |
| ZIP Code | 10022 | ZIPCode |
Officer Officer
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name | THOMAS I UNTERBERG | Name |
| Title | PRESIDENT | Title |
| Phone | 2125038800 | Phone |
| Date Signed | 2013-01-30 | DateSigned |
| Authorize Third Party | 1 | AuthorizeThirdParty |
Preparer Preparer
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name | PATRICK COCCODRILLI | Name |
| PTIN | P00085467 | PTIN |
| Phone | 2125038800 | Phone |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax Year | 2011 | TaxYear |
| Build TS | 2016-02-25 16:41:14Z | BuildTS |
Form 990-PF IRS990PF
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exempt PF | X | ExemptPF |
| FMV Assets EOY | 5008137 | FMVAssetsEOY |
| Method Of Accounting Cash | X | MethodOfAccountingCash |
Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contri Received Rev And Expnss | 1629305 | ContriReceivedRevAndExpnss |
| Dividends Rev And Expnss | 56940 | DividendsRevAndExpnss |
| Dividends Net Invst Incm | 56940 | DividendsNetInvstIncm |
| Net Gain Sale Assets Rev And Expnss | 196744 | NetGainSaleAssetsRevAndExpnss |
| Gross Sales Price | 3126585 | GrossSalesPrice |
| Capital Gain Net Incm Net Invst Incm | 1763549 | CapitalGainNetIncmNetInvstIncm |
| Total Revenue And Expenses | 1882989 | TotalRevenueAndExpenses |
| Total Net Investment Income | 1820489 | TotalNetInvestmentIncome |
| Comp Ofcr Dir Trst Rev And Expnss | 0 | CompOfcrDirTrstRevAndExpnss |
| Comp Ofcr Dir Trst Net Invst Incm | 0 | CompOfcrDirTrstNetInvstIncm |
| Comp Ofcr Dir Trst Dsbrs Chrtbl Prps | 0 | CompOfcrDirTrstDsbrsChrtblPrps |
| Accounting Fees Rev And Expnss | 8500 | AccountingFeesRevAndExpnss |
| Accounting Fees Net Invst Incm | 4250 | AccountingFeesNetInvstIncm |
| Accounting Fees Dsbrs Chrtbl Prps | 4250 | AccountingFeesDsbrsChrtblPrps |
| Other Prof Fees Rev And Expnss | 44235 | OtherProfFeesRevAndExpnss |
| Other Prof Fees Net Invst Incm | 44235 | OtherProfFeesNetInvstIncm |
| Other Prof Fees Dsbrs Chrtbl Prps | 0 | OtherProfFeesDsbrsChrtblPrps |
| Interest Rev And Expnss | 21 | InterestRevAndExpnss |
| Interest Net Invst Incm | 21 | InterestNetInvstIncm |
| Interest Dsbrs Chrtbl Prps | 0 | InterestDsbrsChrtblPrps |
| Taxes Rev And Expnss | 30192 | TaxesRevAndExpnss |
| Taxes Net Invst Incm | 0 | TaxesNetInvstIncm |
| Taxes Dsbrs Chrtbl Prps | 0 | TaxesDsbrsChrtblPrps |
| Other Expenses Rev And Expnss | 46996 | OtherExpensesRevAndExpnss |
| Other Expenses Net Invst Incm | 46996 | OtherExpensesNetInvstIncm |
| Other Expenses Dsbrs Chrtbl Prps | 0 | OtherExpensesDsbrsChrtblPrps |
| Tot Opr Expenses Rev And Expnss | 129944 | TotOprExpensesRevAndExpnss |
| Tot Opr Expenses Net Invst Incm | 95502 | TotOprExpensesNetInvstIncm |
| Tot Opr Expenses Dsbrs Chrtbl Prps | 4250 | TotOprExpensesDsbrsChrtblPrps |
| Contri Gifts Paid Rev And Expnss | 1284430 | ContriGiftsPaidRevAndExpnss |
| Contri Gifts Paid Dsbrs Chrtbl Prps | 1284430 | ContriGiftsPaidDsbrsChrtblPrps |
| Total Expenses Rev And Expnss | 1414374 | TotalExpensesRevAndExpnss |
| Total Expenses Net Invst Incm | 95502 | TotalExpensesNetInvstIncm |
| Total Expenses Dsbrs Chrtbl Prps | 1288680 | TotalExpensesDsbrsChrtblPrps |
| Excess Of Revenue Over Expenses | 468615 | ExcessOfRevenueOverExpenses |
| Net Investment Income | 1724987 | NetInvestmentIncome |
Balance Sheets BalanceSheets
| Field | Value | IRS element (for citing) |
|---|---|---|
| Savings And Temp Cash Invst BOY | 2184174 | SavingsAndTempCashInvstBOY |
| Savings And Temp Cash Invst EOY | 672250 | SavingsAndTempCashInvstEOY |
| Savings And Temp Cash Invst EOYFMV | 672250 | SavingsAndTempCashInvstEOYFMV |
| Other Notes And Loans Rcvbl BOY | 64841 | OtherNotesAndLoansRcvblBOY |
| Other Notes And Loans Rcvbl EOY | 0 | OtherNotesAndLoansRcvblEOY |
| Other Notes And Loans Rcvbl EOYFMV | 0 | OtherNotesAndLoansRcvblEOYFMV |
| Investments Corp Stock BOY | 2988257 | InvestmentsCorpStockBOY |
| Investments Corp Stock EOY | 2537883 | InvestmentsCorpStockEOY |
| Investments Corp Stock EOYFMV | 571486 | InvestmentsCorpStockEOYFMV |
| Investments Other BOY | 1877899 | InvestmentsOtherBOY |
| Investments Other EOY | 3884694 | InvestmentsOtherEOY |
| Investments Other EOYFMV | 3764401 | InvestmentsOtherEOYFMV |
| Total Assets BOY | 7115171 | TotalAssetsBOY |
| Total Assets EOY | 7094827 | TotalAssetsEOY |
| Total Assets EOYFMV | 5008137 | TotalAssetsEOYFMV |
| Total Liabilities BOY | 0 | TotalLiabilitiesBOY |
| Total Liabilities EOY | 0 | TotalLiabilitiesEOY |
| Org That Do Not Follow SFAS117 | X | OrgThatDoNotFollowSFAS117 |
| Capital Stock BOY | 0 | CapitalStockBOY |
| Capital Stock EOY | 0 | CapitalStockEOY |
| Paid In Or Capital Surplus BOY | 7115171 | PaidInOrCapitalSurplusBOY |
| Paid In Or Capital Surplus EOY | 7094827 | PaidInOrCapitalSurplusEOY |
| Retained Earnings BOY | 0 | RetainedEarningsBOY |
| Retained Earnings EOY | 0 | RetainedEarningsEOY |
| Total Net Assets BOY | 7115171 | TotalNetAssetsBOY |
| Total Net Assets EOY | 7094827 | TotalNetAssetsEOY |
| Total Liabilities Net Assets BOY | 7115171 | TotalLiabilitiesNetAssetsBOY |
| Total Liabilities Net Assets EOY | 7094827 | TotalLiabilitiesNetAssetsEOY |
Changes In Net Assets Fund Balances ChangesInNetAssetsFundBalances
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Net Assets Fund Balances BOY | 7115171 | TotalNetAssetsFundBalancesBOY |
| Excess Of Revenue Over Expenses | 468615 | ExcessOfRevenueOverExpenses |
| Other Increases | 0 | OtherIncreases |
| Subtotal | 7583786 | Subtotal |
| Other Decreases | 488959 | OtherDecreases |
| Total Net Assets Fund Balances EOY | 7094827 | TotalNetAssetsFundBalancesEOY |
Capital Gains And Losses CapitalGainsAndLosses
Capital Gains And Losses Info CapitalGainsAndLossesInfo (13 entries)
| Description Of AssetDescriptionOfAsset | How AcquiredHowAcquired | Date AcquiredDateAcquired | Date SoldDateSold | Gross Sales PriceGrossSalesPrice | Gain Or LossGainOrLoss | Gains Minus Excess Or LossesGainsMinusExcessOrLosses | Cost Or Other BasisCostOrOtherBasis |
|---|---|---|---|---|---|---|---|
| 100,000 SHARES AES CORP COM | D | 1982-04-29 | 2011-01-20 | 1284079 | 1284079 | 1284079 | |
| 24,430 SHARES AES CORP COM | D | 1982-04-29 | 2011-12-22 | 280417 | 280417 | 280417 | |
| 16,483 SHARES ALLOT COOUNICATIONS LTD | P | 2007-07-05 | 2011-03-08 | 257309 | 201026 | 201026 | 56283 |
| 32,362.46 SHARES JHANCOCK FLOATING RATE | P | 2011-03-24 | 2011-10-01 | 299975 | -10389 | -10389 | 310364 |
| 33,726.813 SHARES JPMORGAN CORE BOND SEL | P | 2011-03-24 | 2011-06-15 | 399975 | 13109 | 13109 | 386866 |
| 9,807.697 SHARES PIMCO LOW DURATION FUND | P | 2011-03-24 | 2011-11-01 | 101583 | -730 | -730 | 102313 |
| THRU TAMAR TECHNOLOGH INVESTOR (DELAWARE) LP | P | 2005-01-01 | 2011-12-31 | -13745 | -13745 | 13745 | |
| THRU UNTERBERG TECHNOLOGY PARTNERS LP | P | 2005-01-01 | 2011-12-31 | 63287 | 63287 | 63287 | |
| THRU UNTERBERG TECHNOLOGY PARTNERS LP | P | 2005-01-01 | 2011-12-31 | 332784 | 332784 | 332784 | |
| 9,526.19 SHARES PIMCO LOW DURATION FUND | P | 2011-03-24 | 2011-06-15 | 100000 | 629 | 629 | 99371 |
| 300,000 SHS. LEADCOM INTEGRATED SOLUTIONS | P | 2007-07-24 | 2011-12-31 | -394091 | -394091 | 394091 | |
| THRU UNTERBERG TECHNOLOGY PARTNERS LP-SEC. 988 LOSS | P | 2005-01-01 | 2011-12-31 | -3 | -3 | 3 | |
| CAPITAL GAINS DIVIDENDS | P | 7176 | 7176 | 7176 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Capital Gain Net Income | 1763549 | CapitalGainNetIncome |
Qlfy Und Sect4940e For Reduced Tax QlfyUndSect4940eForReducedTax
| Field | Value | IRS element (for citing) |
|---|---|---|
| Liable For4942 Tax | 0 | LiableFor4942Tax |
| Qualifying Distributions Year1 | 2352867 | QualifyingDistributionsYear1 |
| Noncharitable Assets Year1 | 7995132 | NoncharitableAssetsYear1 |
| Distribution Ratio Year1 | 0.294287 | DistributionRatioYear1 |
| Qualifying Distributions Year2 | 2699484 | QualifyingDistributionsYear2 |
| Noncharitable Assets Year2 | 8661475 | NoncharitableAssetsYear2 |
| Distribution Ratio Year2 | 0.311666 | DistributionRatioYear2 |
| Qualifying Distributions Year3 | 1241898 | QualifyingDistributionsYear3 |
| Noncharitable Assets Year3 | 9796300 | NoncharitableAssetsYear3 |
| Distribution Ratio Year3 | 0.126772 | DistributionRatioYear3 |
| Qualifying Distributions Year4 | 1954712 | QualifyingDistributionsYear4 |
| Noncharitable Assets Year4 | 9717739 | NoncharitableAssetsYear4 |
| Distribution Ratio Year4 | 0.201149 | DistributionRatioYear4 |
| Qualifying Distributions Year5 | 1129879 | QualifyingDistributionsYear5 |
| Noncharitable Assets Year5 | 8568819 | NoncharitableAssetsYear5 |
| Distribution Ratio Year5 | 0.131859 | DistributionRatioYear5 |
| Total Distribution Ratio | 1.065733 | TotalDistributionRatio |
| Average Distribution Ratio | 0.213147 | AverageDistributionRatio |
| Net Noncharitable Assets | 5332448 | NetNoncharitableAssets |
| Adjusted Noncharitable Assets | 1136595 | AdjustedNoncharitableAssets |
| One Percent Net Investment Income | 17250 | OnePercentNetInvestmentIncome |
| Adj Nonchrtbl Assets And One | 1153845 | AdjNonchrtblAssetsAndOnePct |
| Qualifying Distributions | 1288680 | QualifyingDistributions |
Excise Tax Based On Investment Incm ExciseTaxBasedOnInvestmentIncm
| Field | Value | IRS element (for citing) |
|---|---|---|
| Domestic Org Meeting Sect4940e | X | DomesticOrgMeetingSect4940e |
| Investment Income Excise Tax | 17250 | InvestmentIncomeExciseTax |
| Tax Under Section511 | 0 | TaxUnderSection511 |
| Subtotal | 17250 | Subtotal |
| Subtitle A Tax | 0 | SubtitleATax |
| Tax Based On Investment Income | 17250 | TaxBasedOnInvestmentIncome |
| Est Tax Payments And Overpayment | 11539 | EstTaxPaymentsAndOverpayment |
| Tax Paid With Extension | 8000 | TaxPaidWithExtension |
| Total Credits And Payments | 19539 | TotalCreditsAndPayments |
| Overpayment | 2289 | Overpayment |
| Amount Credited To Next Year | 2289 | AmountCreditedToNextYear |
| Amount To Be Refunded | 0 | AmountToBeRefunded |
Statements Regarding Activities StatementsRegardingActivities
| Field | Value | IRS element (for citing) |
|---|---|---|
| Legislative Political Activities | 0 | LegislativePoliticalActivities |
| More Than100 Spent | 0 | MoreThan100Spent |
| Form1120 POL Filed | 0 | Form1120POLFiled |
| Sect4955 Tax On Organization | 0 | Sect4955TaxOnOrganization |
| Sect4955 Tax On Managers | 0 | Sect4955TaxOnManagers |
| Reimbursement Of Tax | 0 | ReimbursementOfTax |
| Activities Not Prev Reported | 0 | ActivitiesNotPrevReported |
| Changes To Articles Or Bylaws | 0 | ChangesToArticlesOrBylaws |
| Unrelated Bus Income Over1000 | 0 | UnrelatedBusIncomeOver1000 |
| Termination Etc | 0 | TerminationEtc |
| Requirements Of Sect508e | 1 | RequirementsOfSect508e |
| At Least5000 In Assets | 1 | AtLeast5000InAssets |
| States Filed With | NY | StatesFiledWith |
| Form990 PF Filed With AG | 1 | Form990PFFiledWithAG |
| Private Operating Foundation | 0 | PrivateOperatingFoundation |
| New Substantial Contributors | 0 | NewSubstantialContributors |
| Interest In Controlled Entity | 0 | InterestInControlledEntity |
| Applicable Insurance Contract | 0 | ApplicableInsuranceContract |
| Comply With Public Inspection Rqr | 1 | ComplyWithPublicInspectionRqr |
| Website Address | N/A | WebsiteAddress |
| Books In Care Of Person Name | THOMAS I UNTERBERG | BooksInCareOfPersonName |
| Books In Care Of Phone Number | 2125038800 | BooksInCareOfPhoneNumber |
Books In Care Of US Address BooksInCareOfUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 126 EAST 56TH STREET 26TH FLOOR | AddressLine1 |
| City | NEW YORK | City |
| State | NY | State |
| ZIP Code | 10022 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Foreign Bank | 0 | ForeignBank |
Statements Regarding Acty4720 StatementsRegardingActy4720
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sale Or Exchange With Dsqfly Person | 0 | SaleOrExchangeWithDsqflyPerson |
| Borrow Or Lend With Dsqfly Person | 0 | BorrowOrLendWithDsqflyPerson |
| Furnished Goods With Dsqfly Person | 0 | FurnishedGoodsWithDsqflyPerson |
| Pay Compensation To Dsqfly Person | 0 | PayCompensationToDsqflyPerson |
| Transfer Assets To Dsqfly Person | 0 | TransferAssetsToDsqflyPerson |
| Payment To Government Offical | 0 | PaymentToGovernmentOffical |
| Uncorrected Prior Acts | 0 | UncorrectedPriorActs |
| Undistributed Income Prior Years | 0 | UndistributedIncomePriorYears |
| Business Holdings | 0 | BusinessHoldings |
| Jeopardy Investments | 0 | JeopardyInvestments |
| Uncorrected Jeopardy Investments | 0 | UncorrectedJeopardyInvestments |
| Influence Legislation | 0 | InfluenceLegislation |
| Influence Election | 0 | InfluenceElection |
| Grants To Individuals | 0 | GrantsToIndividuals |
| Grants To Organizations | 0 | GrantsToOrganizations |
| Noncharitable Purpose | 0 | NoncharitablePurpose |
| Rcv Funds To Pay Prsnl Bnft Contract | 0 | RcvFundsToPayPrsnlBnftContract |
| Pay Premiums Prsnl Bnft Contract | 0 | PayPremiumsPrsnlBnftContract |
| Prohibited Tax Shelter Transactn | 0 | ProhibitedTaxShelterTransactn |
Ofcr Dir Trustees Key Employee Info OfcrDirTrusteesKeyEmployeeInfo
Ofcr Dir Trustees Or Key Employee OfcrDirTrusteesOrKeyEmployee (3 entries)
| Address Line1USAddress/AddressLine1 | CityUSAddress/City | StateUSAddress/State | ZIP CodeUSAddress/ZIPCode | TitleTitle | Avg Hours Per Wk Devoted To PositionAvgHoursPerWkDevotedToPosition | CompensationCompensation | Contri To Empl Benefit Plans EtcContriToEmplBenefitPlansEtc | Expense Account Other AllowancesExpenseAccountOtherAllowances |
|---|---|---|---|---|---|---|---|---|
| THOMAS I UNTERBERG | ||||||||
| 126 EAST 56TH STREET 26TH FLOOR | NEW YORK | NY | 10022 | PRESIDENT | 0.25 | 0 | 0 | 0 |
| MARY DEBARE | ||||||||
| 126 EAST 56TH STREET 26TH FLOOR | NEW YORK | NY | 10022 | VICE PRES/SECY | 0.25 | 0 | 0 | 0 |
| ANDREW ARNO | ||||||||
| 126 EAST 56TH STREET 26TH FLOOR | NEW YORK | NY | 10022 | TREASURER | 0.25 | 0 | 0 | 0 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Comp Of Highest Paid Empl NONE | NONE | CompOfHighestPaidEmplNONE |
| Tot Number Of Oth Empl Paid Over50k | 0 | TotNumberOfOthEmplPaidOver50k |
| Comp Of Hghst Paid Cntrct NONE | NONE | CompOfHghstPaidCntrctNONE |
| Tot Number Of Cntrct Paid Over50k | 0 | TotNumberOfCntrctPaidOver50k |
Sum Of Program Related Investments SumOfProgramRelatedInvestments
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | 0 | Total |
Minimum Investment Return MinimumInvestmentReturn
| Field | Value | IRS element (for citing) |
|---|---|---|
| Avg Monthly FMV Of Securities | 1071725 | AvgMonthlyFMVOfSecurities |
| Avg Monthly Cash Balances | 1428211 | AvgMonthlyCashBalances |
| FMV All Other Noncharitable Assets | 2913717 | FMVAllOtherNoncharitableAssets |
| Total FMV Of Unused Assets | 5413653 | TotalFMVOfUnusedAssets |
| Reduction Claimed | 0 | ReductionClaimed |
| Acquisition Indebtedness | 0 | AcquisitionIndebtedness |
| Adj Total FMV Of Unused Assets | 5413653 | AdjTotalFMVOfUnusedAssets |
| Cash Deemed Charitable | 81205 | CashDeemedCharitable |
| Net Noncharitable Assets | 5332448 | NetNoncharitableAssets |
| Minimum Investment Return | 266622 | MinimumInvestmentReturn |
Distributable DistributableAmount
| Field | Value | IRS element (for citing) |
|---|---|---|
| Minimum Investment Return | 266622 | MinimumInvestmentReturn |
| Tax Based On Investment Income | 17250 | TaxBasedOnInvestmentIncome |
| Total Tax | 17250 | TotalTax |
| Distributable Amount Before Adj | 249372 | DistributableAmountBeforeAdj |
| Recoveries Qlfy Distributions | 0 | RecoveriesQlfyDistributions |
| Distributable Amount Before Ded | 249372 | DistributableAmountBeforeDed |
| Deduction Fr Distributable | $0 | DeductionFrDistributableAmount |
| Distributable Amount As Adjusted | 249372 | DistributableAmountAsAdjusted |
Qualifying Distributions QualifyingDistributions
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expenses And Contributions | 1288680 | ExpensesAndContributions |
| Program Related Investments Total | 0 | ProgramRelatedInvestmentsTotal |
| Qualifying Distributions | 1288680 | QualifyingDistributions |
| One Pct Sect4940e Org Net Invst Incm | 17250 | OnePctSect4940eOrgNetInvstIncm |
| Adj Qualifying Distributions | 1271430 | AdjQualifyingDistributions |
Undistributed Income UndistributedIncome
| Field | Value | IRS element (for citing) |
|---|---|---|
| Distributable Amount As Adjusted | 249372 | DistributableAmountAsAdjusted |
| Undistributed Income Prior Year | 0 | UndistributedIncomePriorYear |
| Total For Prior Years | 0 | TotalForPriorYears |
| Excess Distri Carryover Year5 | 733982 | ExcessDistriCarryoverYear5 |
| Excess Distri Carryover Year4 | 1542803 | ExcessDistriCarryoverYear4 |
| Excess Distri Carryover Year3 | 754001 | ExcessDistriCarryoverYear3 |
| Excess Distri Carryover Year2 | 2275504 | ExcessDistriCarryoverYear2 |
| Excess Distri Carryover Year1 | 1989076 | ExcessDistriCarryoverYear1 |
| Total Excess Distri Carryover | 7295366 | TotalExcessDistriCarryover |
| Qualifying Distributions | 1288680 | QualifyingDistributions |
| Applied To Year1 | 0 | AppliedToYear1 |
| Applied To Prior Years | 0 | AppliedToPriorYears |
| Treated As Distri From Corpus | 0 | TreatedAsDistriFromCorpus |
| Applied To Current Year | 249372 | AppliedToCurrentYear |
| Remaining Distri From Corpus | 1039308 | RemainingDistriFromCorpus |
| Excess Distri Cyov App CY Corpus | 0 | ExcessDistriCyovAppCYCorpus |
| Excess Distri Cyov Applied CY | 0 | ExcessDistriCyovAppliedCY |
| Total Corpus | 8334674 | TotalCorpus |
| Prior Year Undistributed Income | 0 | PriorYearUndistributedIncome |
| Prior Year Deficiency Or Tax | 0 | PriorYearDeficiencyOrTax |
| Taxable Amount1 | 0 | TaxableAmount1 |
| Taxable Amount2 | 0 | TaxableAmount2 |
| Undistributed Income CY | 0 | UndistributedIncomeCY |
| Distri From Corpus170b1 E Or4942g3 | 0 | DistriFromCorpus170b1EOr4942g3 |
| Excess Distri Cyov From Year5 | 733982 | ExcessDistriCyovFromYear5 |
| Excess Distri Cyov To Next Year | 7600692 | ExcessDistriCyovToNextYear |
| Excess From Year4 | 1542803 | ExcessFromYear4 |
| Excess From Year3 | 754001 | ExcessFromYear3 |
| Excess From Year2 | 2275504 | ExcessFromYear2 |
| Excess From Year1 | 1989076 | ExcessFromYear1 |
| Excess From Current Year | 1039308 | ExcessFromCurrentYear |
Supplementary Information SupplementaryInformation
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contributing Manager | THOMAS I UNTERBERG | ContributingManager |
| Contributing Manager | MARY DEBARE | ContributingManager |
| Contributing Manager | ANDREW ARNO | ContributingManager |
| Only Contributes To Preselected | X | OnlyContributesToPreselected |
Grant Or Contri Paid During Year GrantOrContriPaidDuringYear (46 entries)
| Address Line1RecipientUSAddress/AddressLine1 | CityRecipientUSAddress/City | StateRecipientUSAddress/State | ZIP CodeRecipientUSAddress/ZIPCode | Recipient RelationshipRecipientRelationship | Recipient Foundation StatusRecipientFoundationStatus | Purpose Of Grant Or ContributionPurposeOfGrantOrContribution | AmountAmount |
|---|---|---|---|---|---|---|---|
| INTERNATIONAL WOMEN'S HEALTH | |||||||
| 333 SEVENTH AVENUE | NEW YORK | NY | 10001 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $2,450 |
| YMCA | |||||||
| 101 N WACKER DRIVE | CHICAGO | IL | 60606 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $5,000 |
| GRAND STREET SETTLEMENT | |||||||
| 294 DELANCEY STREET | NEW YORK | NY | 10002 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $152,500 |
| PLANNED PARENTHOOD OF NYC (PPNYC) | |||||||
| 434 WEST 33RD STREET | NEW YORK | NY | 10001 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $15,000 |
| CIVILIAN CONSERVATION CORP LEGACY(CCC) | |||||||
| PO BOX 341 | EDINBURG | VA | 22824 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $10,000 |
| TWO RIVER THEATER COMPANY | |||||||
| 21 BRIDGE AVENUE | RED BANK | NJ | 07701 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $125,400 |
| VNACARE NETWORK(VNACN) | |||||||
| 5 FEDERAL ST | DANVERS | MA | 01923 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $1,000 |
| LINCOLN CENTER THEATER | |||||||
| 70 LINCOLN CENTER PLAZA | NEW YORK | NY | 10023 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $11,120 |
| JCC OF MANHATTAN | |||||||
| 334 AMSTERDAM AVENUE | NEW YORK | NY | 10023 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $40,000 |
| TRICKLE UP | |||||||
| 104 W 27TH STREET 12FL | NEW YORK | NY | 10001 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $2,710 |
| MEMORIAL MEDICAL CENTER FOUNDATION (MMCF) | |||||||
| 2801 ATLANTIC AVENUE | LONG BEACH | CA | 90806 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $1,800 |
| NEW DRAMALISTS | |||||||
| 424 WEST 44TH STREET | NEW YORK | NY | 10036 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $1,000 |
| THE FOOD BANK OF MONMOUTH | |||||||
| 3300 ROUTE 66 | NEPTUNE | NJ | 07753 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $500 |
| INTERNATIONAL RESECUE COMMITTE(IRC) | |||||||
| 122 EAST 42NH ST | NEW YORK | NY | 10268 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $1,000 |
| LINCOLN CENTER OF THE PERFORMING ARTS | |||||||
| 70 LINCOLN CENTER PLAZA | NEW YORK | NY | 10023 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $18,000 |
| YOUNG JAINS OF AMERICA (YJA) | |||||||
| 43-11 ITHACA STREET | ELMHURST | NY | 11373 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $160,000 |
| ORPHEUS CHAMBER ORCHESTRA | |||||||
| 490 RIVERSIDE DRIVE 11 FL | NEW YORK | NY | 10027 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $2,500 |
| COUNT BOISE THEATER | |||||||
| 99 MONMOUTH STREET | RED BANK | NJ | 07701 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $1,000 |
| JUMPSTART INC | |||||||
| 737 BOLIVAR ROAD | CLEVELAND | OH | 44115 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $500 |
| WILDLIFE CONSERVATION SOCIETY | |||||||
| 2300 SOUTHERN BOULEVARD | BRONX | NY | 10460 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $10,000 |
| LIVINGSTON RIPLEY WATERFOWL CONSERVANCY | |||||||
| PO BOX 210 | LITCHIELD | CT | 06759 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $500 |
| BETH ISRAEL MEDICAL CENTER | |||||||
| 1ST AVENUE | NEW YORK | NY | 10003 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $1,000 |
| MONMOUTH MEDICAL CENTER FOUNDATION | |||||||
| 300 SECOND AVENUE | LONG BEACH | NJ | 07740 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $222,750 |
| THE THOMAS G LABREGUE FOUNDATION | |||||||
| 1414 PRINCE STREET SUITE 400 | ALEXANDRIA | VA | 22314 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $1,500 |
| LINCOLN CENTER INSTITUTE | |||||||
| 70 LINCOLN CENTER PLAZA | NEW YORK | NY | 10023 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $50,000 |
| NORTHSIDE CENTER FOR CHILDREN | |||||||
| 1301 FIFTH AVE | NEW YORK | NY | 10029 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $2,000 |
| LITTLE SILVER ANIMAL HOSPITAL | |||||||
| 675 BRANCH AVENUE | LITTLE SILVER | NJ | 07739 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $2,500 |
| WNET THIRTEEN | |||||||
| 825 EIGHTH AVENUE | NEW YORK | NY | 10019 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $35,000 |
| GEORGE WASHINGTON UNIVERSITY | |||||||
| 730 21ST STREET NORTHWEST | WASHINTON | DC | 20052 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $5,000 |
| MONMOUTH COUNTY HISORICAL | |||||||
| 70 COURT STREET | FREEHOLD | NJ | 07728 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $2,000 |
| MOUNT SINAI ADOLESCENT | |||||||
| 312 EAST 94TH STREET | NEW YORK | NY | 10128 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $500 |
| MONMOUTH CONSERVATION FOUNDATION | |||||||
| 162 HOLLAND ROAD | MIDDLETOWN | NJ | 07748 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $500 |
| THE ASPCA | |||||||
| 424 E 92ND ST | NEW YORK | NY | 10128 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $1,000 |
| UJA FEDERATION OF NEW YORK | |||||||
| 605 THIRD AVENUE | NEW YORK | NY | 10158 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $25,000 |
| NY SERVICE FOR THE HANDICAPPED | |||||||
| 1140 BROADWAY SUITE 903 | NEW YORK | NY | 10001 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $8,200 |
| NEW YORK JUNIOR TENNIS LEAGUE | |||||||
| 9850 50TH AVENUE | FLUSHING | NY | 11368 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $75,000 |
| SLE LUPUS FOUNDATION | |||||||
| 330 SEVENTH AVENUE SUITE 1701 | NEW YORK | NY | 10001 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $500 |
| NEW YORK PUBLIC RADIO | |||||||
| 350 5TH AVENUE | NEW YORK | NY | 10118 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $2,500 |
| MONMOUTH UNIVERSITY | |||||||
| 400 CEDAR AVENUE | WEST LONG BRANCH | NJ | 07764 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $200,000 |
| CONGREGATION SHEARITH ISRAEL | |||||||
| 8 WEST 70TH STREET | NEW YORK | NY | 10023 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $25,000 |
| MANHATTAN THEATRE CLUN | |||||||
| 311 WEST 43RD ST | NEW YORK | NY | 10036 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $5,000 |
| HYDE HALL INC | |||||||
| 1527 CO HWY 31 | COOPERSTOWN | NY | 13326 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $500 |
| RUMSON COMMUNITH APPEAL | |||||||
| PO BOX 11 | RUMSON | NJ | 07760 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $1,000 |
| IMAGINE DEERFIELD | |||||||
| 7 BOYDEN LN | DEERFIELD | MA | 01342 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $30,000 |
| ISRAEL VENTURE | |||||||
| 540 COWPER ST SUITE 200 | PALO ALTO | CA | 94301 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $25,000 |
| PRINCETON UNIVERSITY | |||||||
| PO BOX 46 | PRINCETON | NJ | 08543 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $1,000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tot Grant Or Contri Paid During Year | 1284430 | TotGrantOrContriPaidDuringYear |
| Tot Grant Or Contri Approved Future | 0 | TotGrantOrContriApprovedFuture |
Analysis Income Producing Acty AnalysisIncomeProducingActy
Dividends And Int From Sec Part VII DividendsAndIntFromSecPartVII
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion Code | 14 | ExclusionCode |
| Exclusion | $56,940 | ExclusionAmount |
Gain Sales Assets Oth Than Invntry GainSalesAssetsOthThanInvntry
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion Code | 18 | ExclusionCode |
| Exclusion | $196,744 | ExclusionAmount |
Subtotals Part XVIA SubtotalsPartXVIA
| Field | Value | IRS element (for citing) |
|---|---|---|
| Unrelated Business Income | $0 | UnrelatedBusinessIncomeAmount |
| Exclusion | $253,684 | ExclusionAmount |
| Related Or Exempt Function Income | 0 | RelatedOrExemptFunctionIncome |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Part XVIA | 253684 | TotalPartXVIA |
Trnsfr Tr Rln With Noncharitable EO TrnsfrTrRlnWithNoncharitableEO
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trnsfr Of Cash To Noncharitable EO | 0 | TrnsfrOfCashToNoncharitableEO |
| Trnsfr Oth Assets Noncharitable EO | 0 | TrnsfrOthAssetsNoncharitableEO |
| Sales Or Exchanges Of Assets | 0 | SalesOrExchangesOfAssets |
| Purchase Assets Noncharitable EO | 0 | PurchaseAssetsNoncharitableEO |
| Rental Of Facilities Etc | 0 | RentalOfFacilitiesEtc |
| Reimbursement Arrangements | 0 | ReimbursementArrangements |
| Loans Or Loan Guarantees | 0 | LoansOrLoanGuarantees |
| Performance Of Services Etc | 0 | PerformanceOfServicesEtc |
| Sharing Of Facilities Etc | 0 | SharingOfFacilitiesEtc |
| Relationships Noncharitable E Os | 0 | RelationshipsNoncharitableEOs |
Schedule B IRS990ScheduleB
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization501c3 Exempt PF | X | Organization501c3ExemptPF |
| General Rule | X | GeneralRule |
Contributor Info ContributorInfo (12 entries)
| Contributor NumberContributorNumber | Contributor Name IndividualContributorNameIndividual | Address Line1ContributorAddressUS/AddressLine1 | CityContributorAddressUS/City | StateContributorAddressUS/State | ZIP CodeContributorAddressUS/ZIPCode | Aggregate ContributionsAggregateContributions | Person Contribution TypePersonContributionType | Noncash Contribution TypeNoncashContributionType |
|---|---|---|---|---|---|---|---|---|
| 1 | ANDREW ARNO | 270 WEST END AVENUE | NEW YORK | NY | 10023 | 62500 | X | |
| 2 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 124550 | X | |
| 3 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 124950 | X | |
| 4 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 126550 | X | |
| 5 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 128150 | X | |
| 6 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 129900 | X | |
| 7 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 129050 | X | |
| 8 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 130950 | X | |
| 9 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 130650 | X | |
| 10 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 129600 | X | |
| 11 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 129800 | X | |
| 12 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 282655 | X |
Noncash Property NoncashProperty (11 entries)
| Contributor Number From Part IContributorNumberFromPartI | Noncash Property DescriptionNoncashPropertyDescription | Fair Market ValueFairMarketValue | Date ReceivedDateReceived |
|---|---|---|---|
| 2 | 10,000 SHARES AES CORP. | 124550 | 2011-01-03 |
| 3 | 10,000 SHARES AES CORP. | 124950 | 2011-01-04 |
| 4 | 10,000 SHARES AES CORP. | 126550 | 2011-01-05 |
| 5 | 10,000 SHARES AES CORP. | 128150 | 2011-01-06 |
| 6 | 10,000 SHARES AES CORP. | 129900 | 2011-01-07 |
| 7 | 10,000 SHARES AES CORP. | 129050 | 2011-01-10 |
| 8 | 10,000 SHARES AES CORP. | 130950 | 2011-01-11 |
| 9 | 10,000 SHARES AES CORP. | 130650 | 2011-01-12 |
| 10 | 10,000 SHARES AES CORP. | 129600 | 2011-01-13 |
| 11 | 10,000 SHARES AES CORP. | 129800 | 2011-01-14 |
| 12 | 24,430 SHARES AES CORP. | 282655 | 2011-12-19 |
Accounting Fees Schedule AccountingFeesSchedule
Accounting Fees AccountingFees
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | MARKS PANETH & SHRON LLP | Category |
| Amount | $8,500 | Amount |
| Net Investment Income | 4250 | NetInvestmentIncome |
| Disbursements Charitable Prps | 4250 | DisbursementsCharitablePrps |
Investments Corp Stock Schedule InvestmentsCorpStockSchedule
Investments Corp Stock InvestmentsCorpStock (17 entries)
| Name Of StockNameOfStock | EOY Book ValueEOYBookValue | EOYFMVEOYFMV |
|---|---|---|
| STOCKS(SEE SCHEDULE ATTACHED) | 0 | 0 |
| 221 SHS. AES CORP. | 4784 | 2617 |
| 3,352 SHS. ELECTRONICS FOR IMAGING INC. | 82262 | 47766 |
| 20 SHS. INFINITY ENERGY RESOURCES INC. | 229 | 32 |
| 22,790 SHS. STORAGE ENGINE 6% PFD | 33276 | 22790 |
| 100 SHS. BLUE PUMPKIN ESCROW DUE 3/3/06 | 10066 | 100 |
| 750 SHS. DIGITAL RIVER INC. | 7808 | 750 |
| 300 SHS. DIGITAL RIVER INC. | 2902 | 300 |
| 125,000 SHS. ECCS INC. CONV CUML SER A 6% PFD | 216722 | 125000 |
| 34,800 SHS. PREDICTIVE NETWORKS INC. | 103669 | 34800 |
| 23,372 SHS. SCENT DETECTION TECHNOLOGIES LTD | 150000 | 23372 |
| 217,842 SHS. CLUB ONE INC. PFD SER C | 1089209 | 217842 |
| 20,000 SHS. PD-LD INC. | 168000 | 20000 |
| 4,000 SHS. NYLX INC. 8% SER. A PFD | 200000 | 4000 |
| 14,286 SHS. OBERON MEDIA INC. JUNIOR PFD | 100000 | 14286 |
| 23,663 SHS. OBERON MEDIA INC. JUNIOR PFD | 243956 | 23663 |
| 34,168 SHS. CONNER TECHNOLOGY PUBLIC LTD | 125000 | 34168 |
Investments Other Schedule2 InvestmentsOtherSchedule2
Investments Other InvestmentsOther (7 entries)
| Category Or ItemCategoryOrItem | Listed At Cost Or FMVListedAtCostOrFMV | Book ValueBookValue | EOYFMVEOYFMV |
|---|---|---|---|
| TAMAR TECHNOLOGY INVESTORS LP | AT COST | 0 | 0 |
| UNTERBERG TECHNOLOGY PARTNERS LP | AT COST | 1724911 | 1724911 |
| 76,580.5920 SHARES JHANCOCK FLOATING RATE | FMV | 733003 | 699181 |
| 11,032.47 SHARES JPMORGAN CORE BOND SLCT | FMV | 126780 | 130514 |
| GRAHAM GLOBAL INVESTMENT FUND II LTD | FMV | 300000 | 243532 |
| SOUTHPAW CREDIT OPP PRTNERS LTD | FMV | 500000 | 487150 |
| AMICI INTERNATIONAL LTD | FMV | 500000 | 479113 |
Other Decreases Schedule OtherDecreasesSchedule
Other Decreases OtherDecreases
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description | UNREALIZED GAIN (LOSS) FROM PARTNERSHIPS | Description |
| Amount | $488,959 | Amount |
Other Expenses Schedule OtherExpensesSchedule
Other Expenses OtherExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description | INVESTMENT EXPENSES | Description |
| Revenue And Expenses Per Books | 46996 | RevenueAndExpensesPerBooks |
| Net Investment Income | 46996 | NetInvestmentIncome |
| Disbursements Charitable Prps | 0 | DisbursementsCharitablePrps |
Other Professional Fees Schedule OtherProfessionalFeesSchedule
Other Professional Fees OtherProfessionalFees
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | ADVISORY FEES | Category |
| Amount | $44,235 | Amount |
| Net Investment Income | 44235 | NetInvestmentIncome |
| Disbursements Charitable Prps | 0 | DisbursementsCharitablePrps |
Taxes Schedule TaxesSchedule
Taxes Taxes (2 entries)
| CategoryCategory | AmountAmount | Net Investment IncomeNetInvestmentIncome | Disbursements Charitable PrpsDisbursementsCharitablePrps |
|---|---|---|---|
| FEDERAL EXCISE TAX | $30,000 | 0 | 0 |
| FOREIGN TAX PAID | $192 | 0 | 0 |
Comments