MARJORIE & CLARENCE E UNTERBERG FOUNDATION INC: Form 990PF, tax year 2012
View the entire original 990 at ProPublica ↗
- Organization
- MARJORIE & CLARENCE E UNTERBERG FOUNDATION INC (EIN 13-3792809)
- Tax period
- 2012-01-01 to 2012-12-31
- Filed
- 2013-11-15
- IRS object ID
- 201343199349100229
- Schema version
- 2012v2.1
- 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
- Form 990-PF
- Schedule B
- Investments Corp Stock Schedule
- Investments Other Schedule2
- Other Increases Schedule
- Other Professional Fees Schedule
- Taxes Schedule
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Timestamp | 2013-11-15T09:05:29-06:00 | Timestamp |
| Tax Period End Date | 2012-12-31 | 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 | 2012-01-01 | 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 | C/O DIKER MANAGEMENT LLC730 FIFTH | AddressLine1 |
| Address Line2 | AVE | AddressLine2 |
| City | NEW YORK | City |
| State | NY | State |
| ZIP Code | 10019 | ZIPCode |
Officer Officer
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name | THOMAS I UNTERBERG | Name |
| Title | PRESIDENT | Title |
| Phone | 2125038800 | Phone |
| Date Signed | 2013-11-13 | 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 | 2012 | TaxYear |
| Build TS | 2016-02-25 16:41:14Z | BuildTS |
Form 990-PF IRS990PF
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Change | X | AddressChange |
| Exempt PF | X | ExemptPF |
| FMV Assets EOY | 7524941 | FMVAssetsEOY |
| Method Of Accounting Cash | X | MethodOfAccountingCash |
Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contri Received Rev And Expnss | 2158946 | ContriReceivedRevAndExpnss |
| Dividends Rev And Expnss | 44497 | DividendsRevAndExpnss |
| Dividends Net Invst Incm | 44497 | DividendsNetInvstIncm |
| Net Gain Sale Assets Rev And Expnss | 29888 | NetGainSaleAssetsRevAndExpnss |
| Gross Sales Price | 1883894 | GrossSalesPrice |
| Capital Gain Net Incm Net Invst Incm | 1804421 | CapitalGainNetIncmNetInvstIncm |
| Total Revenue And Expenses | 2233331 | TotalRevenueAndExpenses |
| Total Net Investment Income | 1848918 | 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 |
| Other Prof Fees Rev And Expnss | 82908 | OtherProfFeesRevAndExpnss |
| Other Prof Fees Net Invst Incm | 82908 | OtherProfFeesNetInvstIncm |
| Other Prof Fees Dsbrs Chrtbl Prps | 0 | OtherProfFeesDsbrsChrtblPrps |
| Interest Rev And Expnss | 10 | InterestRevAndExpnss |
| Interest Net Invst Incm | 10 | InterestNetInvstIncm |
| Interest Dsbrs Chrtbl Prps | 0 | InterestDsbrsChrtblPrps |
| Taxes Rev And Expnss | 8149 | TaxesRevAndExpnss |
| Taxes Net Invst Incm | 0 | TaxesNetInvstIncm |
| Taxes Dsbrs Chrtbl Prps | 0 | TaxesDsbrsChrtblPrps |
| Tot Opr Expenses Rev And Expnss | 91067 | TotOprExpensesRevAndExpnss |
| Tot Opr Expenses Net Invst Incm | 82918 | TotOprExpensesNetInvstIncm |
| Tot Opr Expenses Dsbrs Chrtbl Prps | 0 | TotOprExpensesDsbrsChrtblPrps |
| Contri Gifts Paid Rev And Expnss | 1724620 | ContriGiftsPaidRevAndExpnss |
| Contri Gifts Paid Dsbrs Chrtbl Prps | 1724620 | ContriGiftsPaidDsbrsChrtblPrps |
| Total Expenses Rev And Expnss | 1815687 | TotalExpensesRevAndExpnss |
| Total Expenses Net Invst Incm | 82918 | TotalExpensesNetInvstIncm |
| Total Expenses Dsbrs Chrtbl Prps | 1724620 | TotalExpensesDsbrsChrtblPrps |
| Excess Of Revenue Over Expenses | 417644 | ExcessOfRevenueOverExpenses |
| Net Investment Income | 1766000 | NetInvestmentIncome |
Balance Sheets BalanceSheets
| Field | Value | IRS element (for citing) |
|---|---|---|
| Savings And Temp Cash Invst BOY | 672250 | SavingsAndTempCashInvstBOY |
| Savings And Temp Cash Invst EOY | 726229 | SavingsAndTempCashInvstEOY |
| Savings And Temp Cash Invst EOYFMV | 726229 | SavingsAndTempCashInvstEOYFMV |
| Investments Corp Stock BOY | 2537883 | InvestmentsCorpStockBOY |
| Investments Corp Stock EOY | 2873811 | InvestmentsCorpStockEOY |
| Investments Corp Stock EOYFMV | 2835296 | InvestmentsCorpStockEOYFMV |
| Investments Other BOY | 3884694 | InvestmentsOtherBOY |
| Investments Other EOY | 3984182 | InvestmentsOtherEOY |
| Investments Other EOYFMV | 3963416 | InvestmentsOtherEOYFMV |
| Total Assets BOY | 7094827 | TotalAssetsBOY |
| Total Assets EOY | 7584222 | TotalAssetsEOY |
| Total Assets EOYFMV | 7524941 | 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 | 7094827 | PaidInOrCapitalSurplusBOY |
| Paid In Or Capital Surplus EOY | 7584222 | PaidInOrCapitalSurplusEOY |
| Retained Earnings BOY | 0 | RetainedEarningsBOY |
| Retained Earnings EOY | 0 | RetainedEarningsEOY |
| Total Net Assets BOY | 7094827 | TotalNetAssetsBOY |
| Total Net Assets EOY | 7584222 | TotalNetAssetsEOY |
| Total Liabilities Net Assets BOY | 7094827 | TotalLiabilitiesNetAssetsBOY |
| Total Liabilities Net Assets EOY | 7584222 | TotalLiabilitiesNetAssetsEOY |
Changes In Net Assets Fund Balances ChangesInNetAssetsFundBalances
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Net Assets Fund Balances BOY | 7094827 | TotalNetAssetsFundBalancesBOY |
| Excess Of Revenue Over Expenses | 417644 | ExcessOfRevenueOverExpenses |
| Other Increases | 71751 | OtherIncreases |
| Subtotal | 7584222 | Subtotal |
| Other Decreases | 0 | OtherDecreases |
| Total Net Assets Fund Balances EOY | 7584222 | TotalNetAssetsFundBalancesEOY |
Capital Gains And Losses CapitalGainsAndLosses
Capital Gains And Losses Info CapitalGainsAndLossesInfo (9 entries)
| Description Of AssetDescriptionOfAsset | How AcquiredHowAcquired | Date AcquiredDateAcquired | Date SoldDateSold | Gross Sales PriceGrossSalesPrice | Cost Or Other BasisCostOrOtherBasis | Gain Or LossGainOrLoss | Gains Minus Excess Or LossesGainsMinusExcessOrLosses |
|---|---|---|---|---|---|---|---|
| 221 SHARES AES CORP | P | 1992-10-19 | 2012-02-06 | 2861 | 4784 | -1923 | -1923 |
| 140,000 SHARES AES CORP | D | 1983-09-30 | 2012-12-31 | 1595456 | 12757 | 1582699 | 1582699 |
| 1,853 SHARES ALLOT COMMUNICATIONS LTD | D | 2007-07-05 | 2012-09-13 | 51036 | 5944 | 45092 | 45092 |
| 2,867 SHARES COMMVAULT SYSTEMS INC. | D | 2008-03-01 | 2012-09-18 | 155667 | 155667 | 155667 | |
| THRU TAMAR TECHNOLOGH INVESTOR (DELAWARE) LP | P | 2005-01-01 | 2012-12-31 | 55981 | -55981 | -55981 | |
| THRU UNTERBERG TECHNOLOGY PARTNERS LP | P | 2005-01-01 | 2012-12-31 | 12984 | 12984 | 12984 | |
| THRU UNTERBERG TECHNOLOGY PARTNERS LP | P | 2005-01-01 | 2012-12-31 | 60218 | 60218 | 60218 | |
| THRU UNTERBERG TECHNOLOGY PARTNERS LP- SEC. 988 LOSS | P | 2005-01-01 | 2012-12-31 | 7 | -7 | -7 | |
| CAPITAL GAINS DIVIDENDS | P | 5672 | 5672 | 5672 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Capital Gain Net Income | 1804421 | CapitalGainNetIncome |
Qlfy Und Sect4940e For Reduced Tax QlfyUndSect4940eForReducedTax
| Field | Value | IRS element (for citing) |
|---|---|---|
| Liable For4942 Tax | 0 | LiableFor4942Tax |
| Qualifying Distributions Year1 | 1271430 | QualifyingDistributionsYear1 |
| Noncharitable Assets Year1 | 5332448 | NoncharitableAssetsYear1 |
| Distribution Ratio Year1 | 0.238433 | DistributionRatioYear1 |
| Qualifying Distributions Year2 | 2352867 | QualifyingDistributionsYear2 |
| Noncharitable Assets Year2 | 7995132 | NoncharitableAssetsYear2 |
| Distribution Ratio Year2 | 0.294287 | DistributionRatioYear2 |
| Qualifying Distributions Year3 | 2699484 | QualifyingDistributionsYear3 |
| Noncharitable Assets Year3 | 8661475 | NoncharitableAssetsYear3 |
| Distribution Ratio Year3 | 0.311666 | DistributionRatioYear3 |
| Qualifying Distributions Year4 | 1241898 | QualifyingDistributionsYear4 |
| Noncharitable Assets Year4 | 9796300 | NoncharitableAssetsYear4 |
| Distribution Ratio Year4 | 0.126772 | DistributionRatioYear4 |
| Qualifying Distributions Year5 | 1954712 | QualifyingDistributionsYear5 |
| Noncharitable Assets Year5 | 9717739 | NoncharitableAssetsYear5 |
| Distribution Ratio Year5 | 0.201149 | DistributionRatioYear5 |
| Total Distribution Ratio | 1.172307 | TotalDistributionRatio |
| Average Distribution Ratio | 0.234461 | AverageDistributionRatio |
| Net Noncharitable Assets | 6172541 | NetNoncharitableAssets |
| Adjusted Noncharitable Assets | 1447220 | AdjustedNoncharitableAssets |
| One Percent Net Investment Income | 17660 | OnePercentNetInvestmentIncome |
| Adj Nonchrtbl Assets And One | 1464880 | AdjNonchrtblAssetsAndOnePct |
| Qualifying Distributions | 1724620 | QualifyingDistributions |
Excise Tax Based On Investment Incm ExciseTaxBasedOnInvestmentIncm
| Field | Value | IRS element (for citing) |
|---|---|---|
| Domestic Org Meeting Sect4940e | X | DomesticOrgMeetingSect4940e |
| Investment Income Excise Tax | 17660 | InvestmentIncomeExciseTax |
| Tax Under Section511 | 0 | TaxUnderSection511 |
| Subtotal | 17660 | Subtotal |
| Subtitle A Tax | 0 | SubtitleATax |
| Tax Based On Investment Income | 17660 | TaxBasedOnInvestmentIncome |
| Est Tax Payments And Overpayment | 2289 | EstTaxPaymentsAndOverpayment |
| Tax Paid With Extension | 45000 | TaxPaidWithExtension |
| Total Credits And Payments | 47289 | TotalCreditsAndPayments |
| Overpayment | 29629 | Overpayment |
| Amount Credited To Next Year | 29629 | 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 | C/O DIKER MANAGEMENT LLC 730 FIFTH | AddressLine1 |
| Address Line2 | AVE | AddressLine2 |
| City | NEW YORK | City |
| State | NY | State |
| ZIP Code | 10019 | 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 | ||||||||
| 730 FIFTH AVENUE | NEW YORK | NY | 10019 | PRESIDENT | 0.25 | 0 | 0 | 0 |
| MARY DEBARE | ||||||||
| 730 FIFTH AVENUE | NEW YORK | NY | 10019 | VICE PRES/SECY | 0.25 | 0 | 0 | 0 |
| ANDREW ARNO | ||||||||
| 730 FIFTH AVENUE | NEW YORK | NY | 10019 | 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 | 1703391 | AvgMonthlyFMVOfSecurities |
| Avg Monthly Cash Balances | 699239 | AvgMonthlyCashBalances |
| FMV All Other Noncharitable Assets | 3863909 | FMVAllOtherNoncharitableAssets |
| Total FMV Of Unused Assets | 6266539 | TotalFMVOfUnusedAssets |
| Reduction Claimed | 0 | ReductionClaimed |
| Acquisition Indebtedness | 0 | AcquisitionIndebtedness |
| Adj Total FMV Of Unused Assets | 6266539 | AdjTotalFMVOfUnusedAssets |
| Cash Deemed Charitable | 93998 | CashDeemedCharitable |
| Net Noncharitable Assets | 6172541 | NetNoncharitableAssets |
| Minimum Investment Return | 308627 | MinimumInvestmentReturn |
Distributable DistributableAmount
| Field | Value | IRS element (for citing) |
|---|---|---|
| Minimum Investment Return | 308627 | MinimumInvestmentReturn |
| Tax Based On Investment Income | 17660 | TaxBasedOnInvestmentIncome |
| Total Tax | 17660 | TotalTax |
| Distributable Amount Before Adj | 290967 | DistributableAmountBeforeAdj |
| Recoveries Qlfy Distributions | 0 | RecoveriesQlfyDistributions |
| Distributable Amount Before Ded | 290967 | DistributableAmountBeforeDed |
| Deduction Fr Distributable | $0 | DeductionFrDistributableAmount |
| Distributable Amount As Adjusted | 290967 | DistributableAmountAsAdjusted |
Qualifying Distributions QualifyingDistributions
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expenses And Contributions | 1724620 | ExpensesAndContributions |
| Program Related Investments Total | 0 | ProgramRelatedInvestmentsTotal |
| Qualifying Distributions | 1724620 | QualifyingDistributions |
| One Pct Sect4940e Org Net Invst Incm | 17660 | OnePctSect4940eOrgNetInvstIncm |
| Adj Qualifying Distributions | 1706960 | AdjQualifyingDistributions |
Undistributed Income UndistributedIncome
| Field | Value | IRS element (for citing) |
|---|---|---|
| Distributable Amount As Adjusted | 290967 | DistributableAmountAsAdjusted |
| Undistributed Income Prior Year | 0 | UndistributedIncomePriorYear |
| Total For Prior Years | 0 | TotalForPriorYears |
| Excess Distri Carryover Year5 | 1542803 | ExcessDistriCarryoverYear5 |
| Excess Distri Carryover Year4 | 754001 | ExcessDistriCarryoverYear4 |
| Excess Distri Carryover Year3 | 2275504 | ExcessDistriCarryoverYear3 |
| Excess Distri Carryover Year2 | 1989076 | ExcessDistriCarryoverYear2 |
| Excess Distri Carryover Year1 | 1039308 | ExcessDistriCarryoverYear1 |
| Total Excess Distri Carryover | 7600692 | TotalExcessDistriCarryover |
| Qualifying Distributions | 1724620 | QualifyingDistributions |
| Applied To Year1 | 0 | AppliedToYear1 |
| Applied To Prior Years | 0 | AppliedToPriorYears |
| Treated As Distri From Corpus | 0 | TreatedAsDistriFromCorpus |
| Applied To Current Year | 290967 | AppliedToCurrentYear |
| Remaining Distri From Corpus | 1433653 | RemainingDistriFromCorpus |
| Excess Distri Cyov App CY Corpus | 0 | ExcessDistriCyovAppCYCorpus |
| Excess Distri Cyov Applied CY | 0 | ExcessDistriCyovAppliedCY |
| Total Corpus | 9034345 | 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 | 1542803 | ExcessDistriCyovFromYear5 |
| Excess Distri Cyov To Next Year | 7491542 | ExcessDistriCyovToNextYear |
| Excess From Year4 | 754001 | ExcessFromYear4 |
| Excess From Year3 | 2275504 | ExcessFromYear3 |
| Excess From Year2 | 1989076 | ExcessFromYear2 |
| Excess From Year1 | 1039308 | ExcessFromYear1 |
| Excess From Current Year | 1433653 | 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 (44 entries)
| Address Line1RecipientUSAddress/AddressLine1 | CityRecipientUSAddress/City | StateRecipientUSAddress/State | ZIP CodeRecipientUSAddress/ZIPCode | Recipient RelationshipRecipientRelationship | Recipient Foundation StatusRecipientFoundationStatus | Purpose Of Grant Or ContributionPurposeOfGrantOrContribution | AmountAmount |
|---|---|---|---|---|---|---|---|
| AMERICAN JEWISH COMMITTEE | |||||||
| 165 E 56TH STREET | NEW YORK | NY | 10022 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $60,000 |
| ASPAC | |||||||
| 424 EAST 92ND STREET | NEW YORK | NY | 10128 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $5,000 |
| CENTRAL PARK CONSERVACY | |||||||
| 14 E 60TH STREET | NEW YORK | NY | 10022 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $2,600 |
| CHECKERBOARD FILM FOUNDATION | |||||||
| 1 EAST 53RD 14TH FLOOR | NEW YORK | NY | 10022 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $2,000 |
| CIVILIAN CONSERVATION CORP LEGACY(CCC) | |||||||
| PO BOX 341 | EDINBURG | VA | 22824 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $2,000 |
| CLASS OF 1952 PRINCETON UNIVERSITY | |||||||
| PO BOX 46 | PRINCETON | NJ | 08543 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $110 |
| COMMUNITY FUNDS INC | |||||||
| 17 SAFAMORE ROAD | BRONXVILLE | NY | 10708 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $101,250 |
| DEERFIELD ACADEMY | |||||||
| PO BOX 210 | DEERFIELD | MA | 01342 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $30,000 |
| GRAND STREET SETTLEMENT | |||||||
| 294 DELANCEY STREET | NEW YORK | NY | 10002 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $5,000 |
| HOLIDAY EXPRESS | |||||||
| 968 SHREWSBURY AVENUE | TINTON FALLS | NJ | 07724 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $500 |
| INTERNATIONAL WOMEN'S HEALTH | |||||||
| 333 SEVENTH AVENUE | NEW YORK | NY | 10001 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $63,000 |
| ISRAEL VENTURE NETWORK | |||||||
| 540 COWPER STREET SUITE 200 | PALO ALTO | CA | 94301 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $25,000 |
| JAZZ AT LINCOLN CENTER | |||||||
| 33 WEST 60TH STREET | NEW YORK | NY | 10023 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $2,400 |
| JCC OF MANHATTAN | |||||||
| 334 AMSTERDAM AVENUE | NEW YORK | NY | 10023 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $25,000 |
| LATINO COLLEGE PREPARATORY ACADEMY(LCPA) | |||||||
| 1966 FLINT AVENUE | SAN JOSE | CA | 95173 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $12,750 |
| LINCOLN CENTER INSTITUTE | |||||||
| 70 LINCOLN CENTER PLAZA | NEW YORK | NY | 10023 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $128,000 |
| LINCOLN CENTER PERFORM | |||||||
| 70 LINCOLN CENTER PLAZA | NEW YORK | NY | 10023 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $135,900 |
| LINCOLN CENTER THEATER | |||||||
| 70 LINCOLN CENTER PLAZA | NEW YORK | NY | 10023 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $1,400 |
| LITTLE SILVER ANIMAL HOSPITAL | |||||||
| 675 BRANCH AVENUE | LITTLE SILVER | NJ | 07739 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $1,000 |
| MANHATTAN THEATRE CLUB | |||||||
| 311 WEST 43RD ST | NEW YORK | NY | 10036 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $1,160 |
| MEMORIAL MEDICAL CENTER FOUNDATION (MMCF) | |||||||
| 2801 ATLANTIC AVENUE | LONG BEACH | CA | 90806 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $250 |
| MONMOUTH CONSERVATION FOUNDATION | |||||||
| 162 HOLLAND ROAD | MIDDLETOWN | NJ | 07748 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $11,000 |
| MONMOUTH MEDICAL CENTER | |||||||
| 300 SECOND AVENUE | LONG BEACH | NJ | 07740 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $115,000 |
| MONMOUTH UNIVERSITY | |||||||
| 400 CEDAR AVENUE | WEST LONG BRANCH | NJ | 07764 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $100,000 |
| MONROE COUNTY HUMANE ASSOCIATION (MCHA) | |||||||
| 3410 S WALNUT ST | BLOOMINGTON | IN | 47401 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $800 |
| NATIONAL AUDUBON SOCIETY | |||||||
| 379 THORNALL STSTE 7 | EDISON | NJ | 08837 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $500 |
| NATIONAL INSTITUTE FOR REPRODUCTIVE HEALTH | |||||||
| 470 PARK AVENUE | NEW YORK | NY | 10016 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $1,000 |
| NEW DRAMATISTS | |||||||
| 424 WEST 44TH STREET | NEW YORK | NY | 10036 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $1,000 |
| NEW YORK COMMUNITY TRUST | |||||||
| 909 THIRD AVENUE 22ND FLOOR | NEW YORK | NY | 10022 | NO INDIVIDUALS | 501(C)3 | CHARITABLECHARITABLE | $100,000 |
| NEW YORK JUNIOR TENNIS LEAGUE | |||||||
| 9850 50TH AVENUE | FLUSHING | NY | 11368 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $80,000 |
| NORTHSIDE CENTER FOR CHILDREN | |||||||
| 1301 FIFTH AVEUE | NEW YORK | NY | 10029 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $2,000 |
| NY SERVICE FOR THE HANDICAPPED | |||||||
| 1140 BROADWAY SUITE 903 | NEW YORK | NY | 10001 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $2,000 |
| ORPHEUS CHAMBER ORCHESTRA | |||||||
| 490 RIVERSIDE DRIVE 11 FL | NEW YORK | NY | 10027 | NO INDIVIDUALS | 501(C)3 | CHARITABLECHARITABLE | $7,500 |
| PARKER HEALTH CIVIC(PARKER FAMILY HEALTH CENTER) | |||||||
| 211 SHREWSBURY AVENUE | RED BANK | NJ | 07701 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $10,000 |
| PLANNED PARENTHOOD OF NYC | |||||||
| 434 WEST 33RD STREET | NEW YORK | NY | 10001 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $10,000 |
| PRINCETON ANNUAL GIVING NY | |||||||
| PO BOX 46 | PRINCETON | NJ | 08543 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $150,000 |
| PRINCETON UNIVERSITY | |||||||
| PO BOX 46 | PRINCETON | NJ | 08543 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $126,000 |
| SHORE HOUSE | |||||||
| PO BOX 8446 | RED BANK | NJ | 07701 | 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 | $100,000 |
| UNITED JEWISH APPEAL FOUNDATION | |||||||
| 130 EAST 59TH STREET | NEW YORK | NY | 10022 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $260,000 |
| VETERANS ONE-STOP CENTER(VOC) | |||||||
| 1280 MAIN STREET FLOOR 2 | BUFFALO | NY | 14209 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $2,500 |
| VNACARE NETWORK (VNACN) | |||||||
| 5 FEDERAL ST | DANVERS | MA | 01923 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $1,000 |
| WILDLIFE CONSERVATION SOCIETY | |||||||
| 2300 SOUTH BOULEVARD | BRONX | NY | 10460 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $25,000 |
| YMCA | |||||||
| 101 N WACKER DRIVE | CHICAGO | IL | 60606 | NO INDIVIDUALS | 501(C)3 | CHARITABLE | $5,000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tot Grant Or Contri Paid During Year | 1724620 | 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 | $44,497 | ExclusionAmount |
Gain Sales Assets Oth Than Invntry GainSalesAssetsOthThanInvntry
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion Code | 18 | ExclusionCode |
| Exclusion | $29,888 | ExclusionAmount |
Subtotals Part XVIA SubtotalsPartXVIA
| Field | Value | IRS element (for citing) |
|---|---|---|
| Unrelated Business Income | $0 | UnrelatedBusinessIncomeAmount |
| Exclusion | $74,385 | ExclusionAmount |
| Related Or Exempt Function Income | 0 | RelatedOrExemptFunctionIncome |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Part XVIA | 74385 | 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 (9 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 | 25000 | X | |
| 2 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 129400 | X | |
| 3 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 125500 | X | |
| 4 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 125050 | X | |
| 5 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 126950 | X | |
| 6 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 340800 | X | |
| 7 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 1083000 | X | |
| 8 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 152539 | X | |
| 9 | THOMAS I UNTERBERG | 49 EAST 67TH STREET | NEW YORK | NY | 10021 | 50707 | X |
Noncash Property NoncashProperty (8 entries)
| Contributor Number From Part IContributorNumberFromPartI | Noncash Property DescriptionNoncashPropertyDescription | Fair Market ValueFairMarketValue | Date ReceivedDateReceived |
|---|---|---|---|
| 2 | 10,000 SHARES AES CORP. | 129400 | 2012-02-01 |
| 3 | 10,000 SHARES AES CORP. | 125500 | 2012-05-29 |
| 4 | 10,000 SHARES AES CORP. | 125050 | 2012-06-09 |
| 5 | 10,000 SHARES AES CORP. | 126950 | 2012-07-10 |
| 6 | 30,000 SHARES AES CORP. | 340800 | 2012-09-13 |
| 7 | 100,000 SHARES AES CORP. | 1083000 | 2012-12-17 |
| 8 | 2,867 SHARES COMMVAULT SYSTEMS INC | 152539 | 2012-08-08 |
| 9 | 1,854 SHARES ALLOT COMMUNICATIONS LTD | 50707 | 2012-09-13 |
Investments Corp Stock Schedule InvestmentsCorpStockSchedule
Investments Corp Stock InvestmentsCorpStock (17 entries)
| Name Of StockNameOfStock | EOY Book ValueEOYBookValue | EOYFMVEOYFMV |
|---|---|---|
| 221 SHS. AES CORP. | 0 | 0 |
| 3,352 SHS. ELECTRONICS FOR IMAGING INC. | 82262 | 63654 |
| 20 SHS. INFINITY ENERGY RESOURCES INC. | 229 | 34 |
| 22,790 SHS. STORAGE ENGINE 6% PFD | 33276 | 33276 |
| 100 SHS. BLUE PUMPKIN ESCROW DUE 3/3/06 | 10066 | 10066 |
| 750 SHS. DIGITAL RIVER INC. | 7808 | 7808 |
| 300 SHS. DIGITAL RIVER INC. | 2902 | 2902 |
| 125,000 SHS. ECCS INC. CONV CUML SER A 6% PFD | 216722 | 216722 |
| 34,800 SHS. PREDICTIVE NETWORKS INC. | 103669 | 103669 |
| 23,372 SHS. SCENT DETECTION TECHNOLOGIES LTD | 150000 | 150000 |
| 217,842 SHS. CLUB ONE INC. PFD SER C | 1089209 | 1089209 |
| 20,000 SHS. PD-LD INC. | 168000 | 168000 |
| 4,000 SHS. NYLX INC. 8% SER. A PFD | 200000 | 200000 |
| 14,286 SHS. OBERON MEDIA INC. JUNIOR PFD | 100000 | 100000 |
| 23,663 SHS. OBERON MEDIA INC. JUNIOR PFD | 243956 | 243956 |
| 34,168 SHS. CONNER TECHNOLOGY PUBLIC LTD | 125000 | 125000 |
| 30,000 SHARES AES CORP | 340712 | 321000 |
Investments Other Schedule2 InvestmentsOtherSchedule2
Investments Other InvestmentsOther (6 entries)
| Category Or ItemCategoryOrItem | Listed At Cost Or FMVListedAtCostOrFMV | Book ValueBookValue | EOYFMVEOYFMV |
|---|---|---|---|
| UNTERBERG TECHNOLOGY PARTNERS LP | AT COST | 1776631 | 1776631 |
| JHANCOCK FLOATING RATE | FMV | 776693 | 776693 |
| JPMORGAN CORE BOND SLCT | FMV | 130858 | 130858 |
| GRAHAM GLOBAL INVESTMENT FUND II LTD | FMV | 300000 | 243355 |
| SOUTHPAW CREDIT OPP PRTNERS LTD | FMV | 500000 | 515520 |
| AMICI INTERNATIONAL LTD | FMV | 500000 | 520359 |
Other Increases Schedule OtherIncreasesSchedule
Other Increases OtherIncreases
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description | UNREALIZED GAIN (LOSS) FROM PARTNERSHIPS | Description |
| Amount | $71,751 | Amount |
Other Professional Fees Schedule OtherProfessionalFeesSchedule
Other Professional Fees OtherProfessionalFees (2 entries)
| CategoryCategory | AmountAmount | Net Investment IncomeNetInvestmentIncome | Disbursements Charitable PrpsDisbursementsCharitablePrps |
|---|---|---|---|
| ADVISORY FEES | $44,000 | 44000 | 0 |
| INVESTMENT FEES | $38,908 | 38908 | 0 |
Taxes Schedule TaxesSchedule
Taxes Taxes (2 entries)
| CategoryCategory | AmountAmount | Net Investment IncomeNetInvestmentIncome | Disbursements Charitable PrpsDisbursementsCharitablePrps |
|---|---|---|---|
| FEDERAL EXCISE TAX | $8,000 | 0 | 0 |
| FOREIGN TAX PAID | $149 | 0 | 0 |
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