CLARE ROSE FOUNDATION INC: Form 990PF, tax year 2011
View the entire original 990 at ProPublica ↗
- Organization
- CLARE ROSE FOUNDATION INC (EIN 06-1480029)
- Tax period
- 2011-01-01 to 2011-12-31
- Filed
- 2012-05-03
- IRS object ID
- 201211309349101761
- 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
- General Explanation Attachment
- Investments Corp Bonds Schedule
- Investments Corp Stock Schedule
- Investments Govt Obligations Sch
- Other Expenses Schedule
- Other Liabilities Schedule
- Other Professional Fees Schedule
- Taxes Schedule
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Timestamp | 2012-05-03T15:05:33-00:00 | Timestamp |
| Tax Period End Date | 2011-12-31 | TaxPeriodEndDate |
Preparer Firm PreparerFirm
Preparer Firm Business Name PreparerFirmBusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | Foundation Source | BusinessNameLine1 |
Preparer Firm US Address PreparerFirmUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 55 Walls Drive | AddressLine1 |
| City | Fairfield | City |
| State | CT | State |
| ZIP Code | 06824 | 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 | 061480029 | EIN |
Name Name
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | Clare Rose Foundation | BusinessNameLine1 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name Control | CLAR | NameControl |
| Phone | 8008391754 | Phone |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | Foundation Source 501 Silverside Rd | AddressLine1 |
| City | Wilmington | City |
| State | DE | State |
| ZIP Code | 198091377 | ZIPCode |
Officer Officer
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name | Anne B Vincent | Name |
| Title | President | Title |
| Date Signed | 2012-05-03 | DateSigned |
| Authorize Third Party | true | AuthorizeThirdParty |
Preparer Preparer
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name | Jeffrey D Haskell | Name |
| Phone | 8008391754 | Phone |
| Date Prepared | 2012-05-03 | DatePrepared |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax Year | 2011 | TaxYear |
| Build TS | 2016-02-24 21:20:13Z | BuildTS |
Form 990-PF IRS990PF
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exempt PF | X | ExemptPF |
| FMV Assets EOY | 10123732 | FMVAssetsEOY |
| Method Of Accounting Cash | X | MethodOfAccountingCash |
Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Not Required To Attach Schedule B | X | NotRequiredToAttachScheduleB |
| Interest On Savings Rev And Expnss | 213 | InterestOnSavingsRevAndExpnss |
| Interest On Savings Net Invst Incm | 213 | InterestOnSavingsNetInvstIncm |
| Dividends Rev And Expnss | 437432 | DividendsRevAndExpnss |
| Dividends Net Invst Incm | 412072 | DividendsNetInvstIncm |
| Net Gain Sale Assets Rev And Expnss | 14960 | NetGainSaleAssetsRevAndExpnss |
| Gross Sales Price | 3136634 | GrossSalesPrice |
| Capital Gain Net Incm Net Invst Incm | 14960 | CapitalGainNetIncmNetInvstIncm |
| Total Revenue And Expenses | 452605 | TotalRevenueAndExpenses |
| Total Net Investment Income | 427245 | TotalNetInvestmentIncome |
| Other Prof Fees Rev And Expnss | 84967 | OtherProfFeesRevAndExpnss |
| Other Prof Fees Net Invst Incm | 84967 | OtherProfFeesNetInvstIncm |
| Taxes Rev And Expnss | 6714 | TaxesRevAndExpnss |
| Taxes Net Invst Incm | 1114 | TaxesNetInvstIncm |
| Trav Conf Meeting Rev And Expnss | 107 | TravConfMeetingRevAndExpnss |
| Trav Conf Meeting Dsbrs Chrtbl Prps | 107 | TravConfMeetingDsbrsChrtblPrps |
| Other Expenses Rev And Expnss | 41579 | OtherExpensesRevAndExpnss |
| Other Expenses Net Invst Incm | 100 | OtherExpensesNetInvstIncm |
| Other Expenses Dsbrs Chrtbl Prps | 41479 | OtherExpensesDsbrsChrtblPrps |
| Tot Opr Expenses Rev And Expnss | 133367 | TotOprExpensesRevAndExpnss |
| Tot Opr Expenses Net Invst Incm | 86181 | TotOprExpensesNetInvstIncm |
| Tot Opr Expenses Dsbrs Chrtbl Prps | 41586 | TotOprExpensesDsbrsChrtblPrps |
| Contri Gifts Paid Rev And Expnss | 328000 | ContriGiftsPaidRevAndExpnss |
| Contri Gifts Paid Dsbrs Chrtbl Prps | 328000 | ContriGiftsPaidDsbrsChrtblPrps |
| Total Expenses Rev And Expnss | 461367 | TotalExpensesRevAndExpnss |
| Total Expenses Net Invst Incm | 86181 | TotalExpensesNetInvstIncm |
| Total Expenses Dsbrs Chrtbl Prps | 369586 | TotalExpensesDsbrsChrtblPrps |
| Excess Of Revenue Over Expenses | -8762 | ExcessOfRevenueOverExpenses |
| Net Investment Income | 341064 | NetInvestmentIncome |
Balance Sheets BalanceSheets
| Field | Value | IRS element (for citing) |
|---|---|---|
| Savings And Temp Cash Invst BOY | 306909 | SavingsAndTempCashInvstBOY |
| Savings And Temp Cash Invst EOY | 442583 | SavingsAndTempCashInvstEOY |
| Savings And Temp Cash Invst EOYFMV | 442583 | SavingsAndTempCashInvstEOYFMV |
| Investments Govt Oblig BOY | 1354633 | InvestmentsGovtObligBOY |
| Investments Govt Oblig EOY | 1348978 | InvestmentsGovtObligEOY |
| Investments Govt Oblig EOYFMV | 1478635 | InvestmentsGovtObligEOYFMV |
| Investments Corp Stock BOY | 6536573 | InvestmentsCorpStockBOY |
| Investments Corp Stock EOY | 7082758 | InvestmentsCorpStockEOY |
| Investments Corp Stock EOYFMV | 6781417 | InvestmentsCorpStockEOYFMV |
| Investments Corp Bonds BOY | 2095127 | InvestmentsCorpBondsBOY |
| Investments Corp Bonds EOY | 1412161 | InvestmentsCorpBondsEOY |
| Investments Corp Bonds EOYFMV | 1421097 | InvestmentsCorpBondsEOYFMV |
| Total Assets BOY | 10293242 | TotalAssetsBOY |
| Total Assets EOY | 10286480 | TotalAssetsEOY |
| Total Assets EOYFMV | 10123732 | TotalAssetsEOYFMV |
| Other Liabilities EOY | 2000 | OtherLiabilitiesEOY |
| Total Liabilities EOY | 2000 | TotalLiabilitiesEOY |
| Org That Do Not Follow SFAS117 | X | OrgThatDoNotFollowSFAS117 |
| Retained Earnings BOY | 10293242 | RetainedEarningsBOY |
| Retained Earnings EOY | 10284480 | RetainedEarningsEOY |
| Total Net Assets BOY | 10293242 | TotalNetAssetsBOY |
| Total Net Assets EOY | 10284480 | TotalNetAssetsEOY |
| Total Liabilities Net Assets BOY | 10293242 | TotalLiabilitiesNetAssetsBOY |
| Total Liabilities Net Assets EOY | 10286480 | TotalLiabilitiesNetAssetsEOY |
Changes In Net Assets Fund Balances ChangesInNetAssetsFundBalances
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Net Assets Fund Balances BOY | 10293242 | TotalNetAssetsFundBalancesBOY |
| Excess Of Revenue Over Expenses | -8762 | ExcessOfRevenueOverExpenses |
| Subtotal | 10284480 | Subtotal |
| Total Net Assets Fund Balances EOY | 10284480 | TotalNetAssetsFundBalancesEOY |
Capital Gains And Losses CapitalGainsAndLosses
Capital Gains And Losses Info CapitalGainsAndLossesInfo
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description Of Asset | Publicly-traded Securities | DescriptionOfAsset |
| Gross Sales Price | 3136634 | GrossSalesPrice |
| Cost Or Other Basis | 3121674 | CostOrOtherBasis |
| Gain Or Loss | 14960 | GainOrLoss |
| Gains Minus Excess Or Losses | 14960 | GainsMinusExcessOrLosses |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Capital Gain Net Income | 14960 | CapitalGainNetIncome |
Qlfy Und Sect4940e For Reduced Tax QlfyUndSect4940eForReducedTax
| Field | Value | IRS element (for citing) |
|---|---|---|
| Liable For4942 Tax | false | LiableFor4942Tax |
| Qualifying Distributions Year1 | 227627 | QualifyingDistributionsYear1 |
| Noncharitable Assets Year1 | 10032635 | NoncharitableAssetsYear1 |
| Distribution Ratio Year1 | 000.022689 | DistributionRatioYear1 |
| Qualifying Distributions Year2 | 79933 | QualifyingDistributionsYear2 |
| Noncharitable Assets Year2 | 9112456 | NoncharitableAssetsYear2 |
| Distribution Ratio Year2 | 000.008772 | DistributionRatioYear2 |
| Qualifying Distributions Year3 | 166080 | QualifyingDistributionsYear3 |
| Noncharitable Assets Year3 | 9535883 | NoncharitableAssetsYear3 |
| Distribution Ratio Year3 | 000.017416 | DistributionRatioYear3 |
| Qualifying Distributions Year4 | 653949 | QualifyingDistributionsYear4 |
| Noncharitable Assets Year4 | 10049096 | NoncharitableAssetsYear4 |
| Distribution Ratio Year4 | 000.065075 | DistributionRatioYear4 |
| Qualifying Distributions Year5 | 420000 | QualifyingDistributionsYear5 |
| Noncharitable Assets Year5 | 9171137 | NoncharitableAssetsYear5 |
| Distribution Ratio Year5 | 000.045796 | DistributionRatioYear5 |
| Total Distribution Ratio | 000.159748 | TotalDistributionRatio |
| Average Distribution Ratio | 000.031950 | AverageDistributionRatio |
| Net Noncharitable Assets | 10513288 | NetNoncharitableAssets |
| Adjusted Noncharitable Assets | 335900 | AdjustedNoncharitableAssets |
| One Percent Net Investment Income | 3411 | OnePercentNetInvestmentIncome |
| Adj Nonchrtbl Assets And One | 339311 | AdjNonchrtblAssetsAndOnePct |
| Qualifying Distributions | 369586 | QualifyingDistributions |
Excise Tax Based On Investment Incm ExciseTaxBasedOnInvestmentIncm
| Field | Value | IRS element (for citing) |
|---|---|---|
| Domestic Org Meeting Sect4940e | X | DomesticOrgMeetingSect4940e |
| Investment Income Excise Tax | 3411 | InvestmentIncomeExciseTax |
| Subtotal | 3411 | Subtotal |
| Tax Based On Investment Income | 3411 | TaxBasedOnInvestmentIncome |
| Est Tax Payments And Overpayment | 11090 | EstTaxPaymentsAndOverpayment |
| Total Credits And Payments | 11090 | TotalCreditsAndPayments |
| Tax Paid Original Return | 11090 | TaxPaidOriginalReturn |
| Form2220 Attached | X | Form2220Attached |
| Overpayment | 7679 | Overpayment |
| Amount Credited To Next Year | 3500 | AmountCreditedToNextYear |
| Amount To Be Refunded | 4179 | AmountToBeRefunded |
Statements Regarding Activities StatementsRegardingActivities
| Field | Value | IRS element (for citing) |
|---|---|---|
| Legislative Political Activities | false | LegislativePoliticalActivities |
| More Than100 Spent | false | MoreThan100Spent |
| Form1120 POL Filed | false | Form1120POLFiled |
| Activities Not Prev Reported | false | ActivitiesNotPrevReported |
| Changes To Articles Or Bylaws | false | ChangesToArticlesOrBylaws |
| Unrelated Bus Income Over1000 | false | UnrelatedBusIncomeOver1000 |
| Termination Etc | false | TerminationEtc |
| Requirements Of Sect508e | true | RequirementsOfSect508e |
| At Least5000 In Assets | true | AtLeast5000InAssets |
| Form990 PF Filed With AG | true | Form990PFFiledWithAG |
| Private Operating Foundation | false | PrivateOperatingFoundation |
| New Substantial Contributors | false | NewSubstantialContributors |
| Interest In Controlled Entity | false | InterestInControlledEntity |
| Applicable Insurance Contract | false | ApplicableInsuranceContract |
| Comply With Public Inspection Rqr | true | ComplyWithPublicInspectionRqr |
Books In Care Of Business Name BooksInCareOfBusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | Foundation Source | BusinessNameLine1 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Books In Care Of Phone Number | 8008391754 | BooksInCareOfPhoneNumber |
Books In Care Of US Address BooksInCareOfUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 501 Silverside Road Suite 123 | AddressLine1 |
| City | Wilmington | City |
| State | DE | State |
| ZIP Code | 198091377 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Foreign Bank | false | ForeignBank |
Statements Regarding Acty4720 StatementsRegardingActy4720
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sale Or Exchange With Dsqfly Person | false | SaleOrExchangeWithDsqflyPerson |
| Borrow Or Lend With Dsqfly Person | false | BorrowOrLendWithDsqflyPerson |
| Furnished Goods With Dsqfly Person | false | FurnishedGoodsWithDsqflyPerson |
| Pay Compensation To Dsqfly Person | false | PayCompensationToDsqflyPerson |
| Transfer Assets To Dsqfly Person | false | TransferAssetsToDsqflyPerson |
| Payment To Government Offical | false | PaymentToGovernmentOffical |
| Uncorrected Prior Acts | false | UncorrectedPriorActs |
| Undistributed Income Prior Years | false | UndistributedIncomePriorYears |
| Business Holdings | false | BusinessHoldings |
| Jeopardy Investments | false | JeopardyInvestments |
| Uncorrected Jeopardy Investments | false | UncorrectedJeopardyInvestments |
| Influence Legislation | false | InfluenceLegislation |
| Influence Election | false | InfluenceElection |
| Grants To Individuals | false | GrantsToIndividuals |
| Grants To Organizations | false | GrantsToOrganizations |
| Noncharitable Purpose | false | NoncharitablePurpose |
| Pay Premiums Prsnl Bnft Contract | false | PayPremiumsPrsnlBnftContract |
| Prohibited Tax Shelter Transactn | false | ProhibitedTaxShelterTransactn |
| Proceeds Or Net Income | true | ProceedsOrNetIncome |
Ofcr Dir Trustees Key Employee Info OfcrDirTrusteesKeyEmployeeInfo
Ofcr Dir Trustees Or Key Employee OfcrDirTrusteesOrKeyEmployee (4 entries)
| Address Line1USAddress/AddressLine1 | CityUSAddress/City | StateUSAddress/State | ZIP CodeUSAddress/ZIPCode | TitleTitle | Avg Hours Per Wk Devoted To PositionAvgHoursPerWkDevotedToPosition | CompensationCompensation |
|---|---|---|---|---|---|---|
| Elise Furer | ||||||
| Foundation Source 501 Silverside Rd | Wilmington | DE | 19809 | Director / Secretary | 001.00 | 0 |
| Anne Vincent | ||||||
| Foundation Source 501 Silverside Rd | Wilmington | DE | 19809 | President | 001.00 | 0 |
| Edward Vincent | ||||||
| Foundation Source 501 Silverside Rd | Wilmington | DE | 19809 | Director | 001.00 | 0 |
| William Vincent | ||||||
| Foundation Source 501 Silverside Rd | Wilmington | DE | 19809 | Director | 001.00 | 0 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Comp Of Highest Paid Empl NONE | NONE | CompOfHighestPaidEmplNONE |
Compensation Of Hghst Paid Cntrct CompensationOfHghstPaidCntrct
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | LPL Financial | BusinessNameLine1 |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 9785 Towne Centre Drive | AddressLine1 |
| City | San Diego | City |
| State | CA | State |
| ZIP Code | 92121 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Type Of Service | Investment Management | TypeOfService |
| Compensation | 85067 | Compensation |
Minimum Investment Return MinimumInvestmentReturn
| Field | Value | IRS element (for citing) |
|---|---|---|
| Avg Monthly FMV Of Securities | 10279088 | AvgMonthlyFMVOfSecurities |
| Avg Monthly Cash Balances | 394301 | AvgMonthlyCashBalances |
| FMV All Other Noncharitable Assets | 0 | FMVAllOtherNoncharitableAssets |
| Total FMV Of Unused Assets | 10673389 | TotalFMVOfUnusedAssets |
| Adj Total FMV Of Unused Assets | 10673389 | AdjTotalFMVOfUnusedAssets |
| Cash Deemed Charitable | 160101 | CashDeemedCharitable |
| Net Noncharitable Assets | 10513288 | NetNoncharitableAssets |
| Minimum Investment Return | 525664 | MinimumInvestmentReturn |
Distributable DistributableAmount
| Field | Value | IRS element (for citing) |
|---|---|---|
| Minimum Investment Return | 525664 | MinimumInvestmentReturn |
| Tax Based On Investment Income | 3411 | TaxBasedOnInvestmentIncome |
| Total Tax | 3411 | TotalTax |
| Distributable Amount Before Adj | 522253 | DistributableAmountBeforeAdj |
| Distributable Amount Before Ded | 522253 | DistributableAmountBeforeDed |
| Distributable Amount As Adjusted | 522253 | DistributableAmountAsAdjusted |
Qualifying Distributions QualifyingDistributions
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expenses And Contributions | 369586 | ExpensesAndContributions |
| Qualifying Distributions | 369586 | QualifyingDistributions |
| One Pct Sect4940e Org Net Invst Incm | 3411 | OnePctSect4940eOrgNetInvstIncm |
| Adj Qualifying Distributions | 366175 | AdjQualifyingDistributions |
Undistributed Income UndistributedIncome
| Field | Value | IRS element (for citing) |
|---|---|---|
| Distributable Amount As Adjusted | 522253 | DistributableAmountAsAdjusted |
| Undistributed Income Prior Year | 364839 | UndistributedIncomePriorYear |
| Qualifying Distributions | 369586 | QualifyingDistributions |
| Applied To Year1 | 364839 | AppliedToYear1 |
| Applied To Current Year | 4747 | AppliedToCurrentYear |
| Undistributed Income CY | 517506 | UndistributedIncomeCY |
Supplementary Information SupplementaryInformation
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contributing Manager | NONE | ContributingManager |
| Only Contributes To Preselected | X | OnlyContributesToPreselected |
Grant Or Contri Paid During Year GrantOrContriPaidDuringYear (16 entries)
| Address Line1RecipientUSAddress/AddressLine1 | CityRecipientUSAddress/City | StateRecipientUSAddress/State | ZIP CodeRecipientUSAddress/ZIPCode | Recipient RelationshipRecipientRelationship | Recipient Foundation StatusRecipientFoundationStatus | Purpose Of Grant Or ContributionPurposeOfGrantOrContribution | AmountAmount |
|---|---|---|---|---|---|---|---|
| CHILDRENS CANCER CENTER INC | |||||||
| 4901 W CYPRESS ST | TAMPA | FL | 33607 | N/A | 509(a)(1) | General Unrestricted | $25,000 |
| CHILDRENS DAY SCHOOL INC | |||||||
| 8 RIVERSIDE AVE | RIVERSIDE | CT | 06878 | N/A | 509(a)(1) | General Unrestricted | $5,000 |
| CRISTO REY NEW YORK HIGH SCHOOL | |||||||
| 112 E 106TH ST | NEW YORK | NY | 10029 | N/A | 509(a)(1) | General Unrestricted | $20,000 |
| HORIZONS AT GREENS FARMS ACADEMY | |||||||
| 35 BEACHSIDE AVE | GREEN FARMS | CT | 06436 | N/A | 509(a)(1) | General Unrestricted | $25,000 |
| HOSPICE OF THE NORTH COAST | |||||||
| 5441 AVENIDA ENCINAS STE A | CARLSBAD | CA | 92008 | N/A | 509(a)(2) | General Unrestricted | $25,000 |
| JUST IN TIME FOR FOSTER YOUTH | |||||||
| PO BOX 81292 | SAN DIEGO | CA | 92138 | N/A | 509(a)(1) | General Unrestricted | $10,000 |
| KIDS TURN SAN DIEGO | |||||||
| PO BOX 235269 | ENCINITAS | CA | 92023 | N/A | 509(a)(1) | General Unrestricted | $10,000 |
| KURE IT INC | |||||||
| 2424 SE BRISTOL ST STE 250 | NEWPORT BEACH | CA | 92660 | N/A | 509(a)(1) | General Unrestricted | $25,000 |
| LOWCOUNTRY ORPHAN RELIEF | |||||||
| PO BOX 70185 | N CHARLESTON | SC | 29415 | N/A | 509(a)(1) | Valerie Vincent Childrens Clothes Closet Project | $10,000 |
| MARC LUSTGARTEN PANCREATIC CANCER F | |||||||
| 1111 STEWART AVE | BETHPAGE | NY | 11714 | N/A | 509(a)(1) | General Unrestricted | $50,000 |
| MERCY LEARNING CTR OF BRIDGEPORT IN | |||||||
| 637 PARK AVE | BRIDGEPORT | CT | 06604 | N/A | 509(a)(2) | General Unrestricted | $10,000 |
| MONARCH SCHOOL PROJECT | |||||||
| 808 W CEDAR ST | SAN DIEGO | CA | 92101 | N/A | 509(a)(1) | General Unrestricted | $10,000 |
| OUR SISTERS SCHOOL INC | |||||||
| 145 BROWNELL AVE | NEW BEDFORD | MA | 02740 | N/A | 509(a)(1) | General Unrestricted | $8,000 |
| PANCREATIC CANCER ACTION NETWORK IN | |||||||
| 1500 ROSECRANS AVE STE 200 | MANHATTAN BCH | CA | 90266 | N/A | 509(a)(1) | General Unrestricted | $50,000 |
| WATERSIDE SCHOOL INC | |||||||
| 770 PACIFIC ST | STAMFORD | CT | 06902 | N/A | 509(a)(1) | General Unrestricted | $25,000 |
| ZERO THE PROJECT TO END PROSTATE CA | |||||||
| 10 G ST NE STE 601 | WASHINGTON | DC | 20002 | N/A | 509(a)(1) | General Unrestricted | $20,000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tot Grant Or Contri Paid During Year | 328000 | TotGrantOrContriPaidDuringYear |
Analysis Income Producing Acty AnalysisIncomeProducingActy
Int On Savings And Temp Cash Invst IntOnSavingsAndTempCashInvst
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion Code | 14 | ExclusionCode |
| Exclusion | $213 | ExclusionAmount |
Dividends And Int From Sec Part VII DividendsAndIntFromSecPartVII
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion Code | 14 | ExclusionCode |
| Exclusion | $437,432 | ExclusionAmount |
Gain Sales Assets Oth Than Invntry GainSalesAssetsOthThanInvntry
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion Code | 18 | ExclusionCode |
| Exclusion | $14,960 | ExclusionAmount |
Subtotals Part XVIA SubtotalsPartXVIA
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | $452,605 | ExclusionAmount |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Part XVIA | 452605 | TotalPartXVIA |
Trnsfr Tr Rln With Noncharitable EO TrnsfrTrRlnWithNoncharitableEO
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trnsfr Of Cash To Noncharitable EO | false | TrnsfrOfCashToNoncharitableEO |
| Trnsfr Oth Assets Noncharitable EO | false | TrnsfrOthAssetsNoncharitableEO |
| Sales Or Exchanges Of Assets | false | SalesOrExchangesOfAssets |
| Purchase Assets Noncharitable EO | false | PurchaseAssetsNoncharitableEO |
| Rental Of Facilities Etc | false | RentalOfFacilitiesEtc |
| Reimbursement Arrangements | false | ReimbursementArrangements |
| Loans Or Loan Guarantees | false | LoansOrLoanGuarantees |
| Performance Of Services Etc | false | PerformanceOfServicesEtc |
| Sharing Of Facilities Etc | false | SharingOfFacilitiesEtc |
| Relationships Noncharitable E Os | false | RelationshipsNoncharitableEOs |
General Explanation Attachment GeneralExplanationAttachment
Investments Corp Bonds Schedule InvestmentsCorpBondsSchedule
Investments Corp Bonds InvestmentsCorpBonds (15 entries)
| Name Of BondNameOfBond | EOY Book ValueEOYBookValue | EOYFMVEOYFMV |
|---|---|---|
| AMERICAN EXPRESS CO - 7.000 - 03/19/2018 025816AY5 12500000.00% | 101901 | 151052 |
| BARCLAYS BANK - 0.000 - 03/30/2012 06738KWA5 7500000.00% | 75000 | 75533 |
| CONOCOPHILLIPS - 5.750 - 02/01/2019 20825CAR5 10000000.00% | 103014 | 121000 |
| CREDIT SUISSE - 0.000 - 06/30/2017 22546TAM3 5000000.00% | 50000 | 35000 |
| CREDIT SUISSE 0.00 07/06/2016 22546TAA9 20000000.00% | 199999 | 172559 |
| CREDIT SUISSE MED TERM - 0.000 - 03/19/2012 22546E2H6 10500000.00% | 105000 | 97829 |
| CREDIT SUISSE MED TERM - 0.000 - 05/31/2012 22546E5H3 10000000.00% | 100000 | 67850 |
| CVS CORP - 6.125 - 08/15/2016 126650BE9 5000000.00% | 44717 | 58450 |
| GE CAP CORP - 5.875 - 02/15/2012 36962GXS8 12500000.00% | 132125 | 125753 |
| GENERAL ELEC CAP CORP - 5.000 - 03/30/2024 36962GH23 2500000.00% | 25000 | 24997 |
| JPMORGAN CHASE CO - 0.000 - 05/31/2012 48125XPC4 10000000.00% | 100000 | 84670 |
| JPMORGAN CHASE CO - 10.000 - 08/31/2012 48125XM60 10000000.00% | 100000 | 99550 |
| PFIZER INC - 4.500 - 02/15/2014 717081AR4 12500000.00% | 123438 | 134643 |
| SBC COMMUNICATIONS - 5.100 - 9/15/2014 78387GAP8 11000000.00% | 99029 | 121210 |
| XTO ENERGY INC - 7.500 - 04/15/2012 98385XAA4 5000000.00% | 52938 | 51001 |
Investments Corp Stock Schedule InvestmentsCorpStockSchedule
Investments Corp Stock InvestmentsCorpStock (53 entries)
| Name Of StockNameOfStock | EOY Book ValueEOYBookValue | EOYFMVEOYFMV |
|---|---|---|
| 3155 shares of ALMOST FAMILY INC AFAM | 104205 | 52310 |
| 500 shares of APPLE INC. AAPL | 184794 | 202500 |
| 4000 shares of ARCH COAL INC. ACI | 105080 | 58040 |
| 4000 shares of BANK ONE CAP VI 7.2 ONE-PW | 100000 | 102000 |
| 6423 shares of CALAMOS CONVERTIBLE CLASS A CCVIX | 117775 | 109896 |
| 22506 shares of CATALYST/SMH TOTAL RETURN INCOME FUND CLASS A TRIFX | 154887 | 123556 |
| 3000 shares of CENTURY TEL INC CTL | 99298 | 111600 |
| 3100 shares of COCA-COLA CO KO | 87177 | 216907 |
| 19891 shares of COLUMBIA LIMITED DURATION CREDIT A ALDAX | 200000 | 197116 |
| 11525 shares of EARTHLINK NETWORK, INC. ELNK | 102951 | 74221 |
| 3000 shares of EXELIS, INC XLS | 36041 | 27150 |
| 19593 shares of FIRST EAGLE FUNDS INC. SGOVX | 400218 | 398914 |
| 4000 shares of FUEL TECH, INC. FTEK | 47110 | 26320 |
| 1000 shares of GENERAL ELECTRIC CO GE | 33105 | 17910 |
| 11100 shares of GT ADVANCED TECHNOLOGIES INC GTAT | 100050 | 80364 |
| 5785 shares of IMPAX LABS INC IPXL | 104590 | 116683 |
| 2965 shares of INTERDIGITAL COMMUNICATIONS CORP IDCC | 100205 | 129185 |
| 2200 shares of INTERNATIONAL BUSINESS MACHINES IBM | 311391 | 404536 |
| 1500 shares of ITT CORP. ITT | 29698 | 28995 |
| 6839 shares of J P MORGAN MID CAP VALUE FD JAMCX | 151919 | 160111 |
| 29922 shares of JOHN HANCOCK TR FLOATING RATE INCOME FUND CLASS I JFIIX | 286056 | 273185 |
| 3378 shares of JP MORGAN EMERGING MARKETS EQUITY FUND A JFAMX | 75195 | 67252 |
| 100000 shares of LB 100 PPN-CSDAN 30Y-2Y SWAP SPRD LBPPN | 100000 | 21500 |
| 1111 shares of LEHMAN BROTHERS HOLDINGS INC. LEHMQ | 40118 | 22 |
| 275 shares of LEVEL 3 COMMUNICATIONS, INC LVLT | 698 | 4672 |
| 3870 shares of MEDICIS PHARMA CP MRX | 104490 | 128678 |
| 3000 shares of MEMC ELECTRONICS MATERIALS INC WFR | 45450 | 11820 |
| 4000 shares of MICROSOFT CORPORATION MSFT | 103080 | 103840 |
| 13606 shares of NEW ENERGY SYSTEMS GROUP NEWN | 105443 | 8164 |
| 17135 shares of PDL BIOPHARMA INC PDLI | 111575 | 106237 |
| 10495 shares of PIMCO EQS PATHFINDER WORLD FD P PTHPX | 102163 | 101694 |
| 17123 shares of PIMCO FUNDS EM FUNDAMENTAL INDEXPLUS PEFPX | 150000 | 150000 |
| 2172 shares of PIMCO FUNDS LOW DURATION FUND CLASS A PTLAX | 20903 | 22352 |
| 36718 shares of PIMCO FUNDS PACIFIC INVESTMENT MANAGEMENT PAUAX | 387380 | 366080 |
| 18020 shares of PIMCO INCOME FUND P CLASS PONPX | 201227 | 195515 |
| 4000 shares of PIMCO INCOME OPPORTUNITY FDCOM PKO | 88206 | 100720 |
| 29467 shares of PIMCO SMALL CAP STOCKS PLUS TR PCKPX | 205000 | 199491 |
| 70791 shares of PIMCO UNCONSTRAINED BOND FUND CLASS A PUBAX | 759820 | 770915 |
| 5000 shares of POWER ONE INC. PWER | 52240 | 19550 |
| 4000 shares of PROCTER GAMBLE CO PG | 247618 | 266840 |
| 3346 shares of ROYCE INTERNATIONAL VALUE FUND SERVICE CL RIVFX | 50236 | 39385 |
| 2135 shares of SANDISK CORP SNDK | 104124 | 105063 |
| 5826 shares of SELIGMAN COMMUNICATIONS INFO FD INC CL A SLMCX | 209770 | 237707 |
| 15740 shares of SINO CLEAN ENERGY INC. SCEI | 107136 | 15740 |
| 800 shares of TRANSOCEAN LTD. RIG | 82194 | 30712 |
| 17527 shares of TV US LARGE CAP MARKET FUND CL A TVMAX | 191438 | 190172 |
| 7800 shares of UNITED ONLINE INC UNTD | 59202 | 42432 |
| 4000 shares of UNITIL CP UTL | 86875 | 113520 |
| 3880 shares of USA MOBILITY INC USMO | 50424 | 53816 |
| 2420 shares of VEECO INSTRUMENTS INC. VECO | 100176 | 50336 |
| 5700 shares of VIROPHARMA INCORPORATED VPHM | 100240 | 156123 |
| 3000 shares of WALT DISNEY HOLDINGS CO. DIS | 94445 | 112500 |
| 3000 shares of XYLEM INC XYL | 89342 | 77070 |
Investments Govt Obligations Sch InvestmentsGovtObligationsSch
| Field | Value | IRS element (for citing) |
|---|---|---|
| US Govt Securities EOY Book Value | 941069 | USGovtSecuritiesEOYBookValue |
| US Govt Securities EOYFMV | 1017881 | USGovtSecuritiesEOYFMV |
| State Local Securities EOY Book Val | 407909 | StateLocalSecuritiesEOYBookVal |
| State Local Securities EOYFMV | 460754 | StateLocalSecuritiesEOYFMV |
Other Expenses Schedule OtherExpensesSchedule
Other Expenses OtherExpenses (2 entries)
| DescriptionDescription | Revenue And Expenses Per BooksRevenueAndExpensesPerBooks | Disbursements Charitable PrpsDisbursementsCharitablePrps | Net Investment IncomeNetInvestmentIncome |
|---|---|---|---|
| Administrative Fees | 41479 | 41479 | |
| Bank Charges | 100 | 100 |
Other Liabilities Schedule OtherLiabilitiesSchedule
Other Liabilities OtherLiabilities
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description | Outstanding Options | Description |
| EOY Book Value | 2000 | EOYBookValue |
Other Professional Fees Schedule OtherProfessionalFeesSchedule
Other Professional Fees OtherProfessionalFees
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | Investment Management Services | Category |
| Amount | $84,967 | Amount |
| Net Investment Income | 84967 | NetInvestmentIncome |
Taxes Schedule TaxesSchedule
Taxes Taxes (2 entries)
| CategoryCategory | AmountAmount | Net Investment IncomeNetInvestmentIncome | Adjusted Net IncomeAdjustedNetIncome | Disbursements Charitable PrpsDisbursementsCharitablePrps |
|---|---|---|---|---|
| Estimated Tax for 2011 | $5,600 | 0 | 0 | 0 |
| Foreign Tax Paid | $1,114 | 1114 | 0 | 0 |
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