2011-07-15T16:51:21-05:00 2010-09-30 RSM MCGLADREY INC 1185 AVENUE OF THE AMERICAS NEW YORK NY 100362602 990PF 2009-10-01 131628151 CARNEGIE CORPORATION OF NEW YORK CARN 2123713200 437 MADISON AVENUE NEW YORK NY 10022 ROBERT J SEMAN 2123713200 2011-07-19 1 MARTIN GREIF 2123721000 2009 2016-02-24 21:20:13Z X 2534623009 X X 363311 370952 5720487 6172276 47604154 785301321 5441429 14821922 -8554754 68509874 3429903 2989696 1059526 1930170 7271305 1530103 5741834 4139781 437483 3688489 610930 458727 152865 240587 82827 126471 3018614 3016337 0 57384 0 57384 369469 0 0 132353 0 2157561 158280 2001071 885367 96928 800729 351718 0 412414 1690711 224443 1574929 23915476 7064654 16486356 96749316 126171879 120664792 7064654 142658235 -52154918 0 4520 4150 4150 131830 158592 158592 2371012 2341010 2341010 0 7452786 7452786 239590518 240241706 240241706 158054656 105567922 105567922 2031476341 2178066356 2178066356 8262562 7747991 593170 514571 514571 360489 275916 275916 2432582536 2534623009 2534623009 1868009 1595697 146500961 117486522 2552141 6589938 150921111 125672157 X 2146324557 0 2273613984 135336868 135336868 2281661425 2408950852 2432582536 2534623009 2281661425 -52154918 179444345 2408950852 0 2408950852 SEE CAPITAL GAIN SCHEDULE 785301321 779859892 5441429 5441429 5441429 0 117963168 2259373068 0.052211 118403171 2978879087 0.039748 96306541 2795347855 0.034452 83791990 2347785222 0.035690 103404932 2057875839 0.050248 0.212349 0.042470 2388718428 101448872 0 101448872 142711989 X 0 0 0 0 0 500000 500000 500000 0 500000 0 0 0 0 0 0 0 1 1 1 0 1 1 NY 1 0 0 0 0 1 WWW.CARNEGIE.ORG ROBERT J SEMAN 2123713200 437 MADISON AVENUE NEW YORK NY 10022 0 0 0 1 0 0 0 0 0 0 0 0 0 0 1 1 0 0 1 0 0 0 VARTAN GREGORIAN SEE STMT 18 19 437 MADISON AVENUE NEW YORK NY 10022 60.00 553595 134317 50000 D ELLEN SHUMAN SEE STMT 18 19 437 MADISON AVENUE NEW YORK NY 10022 50.00 1059526 92948 0 SUSAN KING JOURNALISM INITIATIVE SPECIAL INITIATIVES STRATEGY 437 MADISON AV NEW YORK NY 10022 50.00 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119816072 0 119816072 142658235 0 53754 142711989 0 142711989 119816072 70208092 0 0 142711989 70208092 0 0 72503897 0 0 0 0 0 0 0 0 47312175 0 0 0 SEE STATEMENT 22 23 C/O CARNEGIE CORPORATION OF NY 437 MADISON AVENUE NEW YORK NY 10022 2123713200 SEE STATEMENT 22 & 23 NONE SEE STATEMENT 22 & 23 SEE SCHEDULE OF APPROPRIATIONS AND PAYMENTS 437 MADISON AVE NEW YORK NY 10022 SEE SCHEDULE OF APPROPRIATIONS AND PAYMENTS SEE SCHEDULE SEE SCHEDULE OF APPROPRIATIONS AND PAYMENTS 126171879 126171879 SEE SCHEDULE OF APPROPRIATIONS AND PAYMENTS 437 MADISON AVE NEW YORK NY 10022 SEE SCHEDULE OF APPROPRIATIONS AND PAYMENTS SEE SCHEDULE SEE SCHEDULE OF APPROPRIATIONS AND PAYMENTS 117486522 117486522 14 363311 14 5720487 18 47604154 INCOME FROM LIMITED PARTNERSHIPS 525990 -3564710 14 17157912 INTEREST RECEIVED ON TAX REFUNDS 14 614 MISCELLANEOUS 14 1802 FEDERAL UBIT 01 1196133 STATE UBIT 01 30171 -3564710 72074584 0 68509874 0 0 0 0 0 0 0 0 0 0 ACCOUNTING FEES 240587 82827 126471 LEASEHOLD IMPROVEMENTS 4195460 4060913 0.000000000000 30942 0 FURNITURE AND EQUIPMENT 4067102 3554725 0.000000000000 101411 0 CIVITAS ASSOCIATES 10845 OLIVE STREET ST LOUIS MO 63141 2009-03-26 50000 TOWARD INTERNATIONAL REPORTING ON STATES AT RISK. 50000 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. FINANCIAL & PROGRESS REPORTS RECEIVED 4/20/10 & 4/9/10. GRANT CLOSED 4/20/10 2010-04-20 TOYNBEE PRIZE FOUNDATION INC 706 BEACON STREET NEWTON CENTER MA 02459 2008-08-20 25000 TOWARD A CONFERENCE ON GLOBAL ENERGY TRANSITIONS. 0 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. FINANCIAL AND PROGRESS REPORTS RECEIVED 12/22/10. AFRICAN MEDIA INITATIVE 7TH FLOOR PURSHOTTAM PLACE CHIROMO NAIROBI KE 2010-08-26 50000 TOWARD THE 2010 AFRICIAN MEDIA LEADERS FORUM, A CONFERENCE TO STRENGTHEN THE CONTINENT'S MEDIA SECTOR. 0 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. NO REPORTS DUE AS OF 9/30/10. AFRICAN NETWORK OF SCIENTIFIC AND TECHNOLOGICAL INSTITUTIONS PO BOX 30592 NAIROBI KE 2009-05-11 25000 FOR THE PARTICIPATION OF REPRESENTATIVES OF UNIVERSITIES SUPPORTED BY THE CORPORATION AT A REGIONAL CONFERENCE ON SCIENCE AND TECHNOLOGY IN AFRICA. 25000 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. FINANCIAL AND PROGRESS REPORTS RECEIVED 2/22/10. GRANT CLOSED 2/22/10. 2010-02-22 AFRICAN NETWORK OPERATORS GROUP (FORMERLY TERTIARY EDUCATION NETWORK) 46 ROUWKOOP ROAD RONDEBOSCH SF 2005-06-09 156100 TOWARD TRAINING IN BANWIDTH MANAGEMENT FOR SELECTED AFRICAN UNIVERSITIES.PROGRESS REPORTS RECEIVED 2/13/06, 2/5/07, 12/11/07, 3/6/09 AND 6/18/10. FINANCIAL REPORTS RECEIVED 2/13/06, 2/5/07, 5/19/08, 3/6/09 AND 11/19/10. GRANT CLOSED 11/19/10. 156100 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. SEE PURPOSE OF GRANT LINE. 2010-11-19 AMERICAN ACADEMY IN BERLIN AM SANDWERDER 17-19 BERLIN GM 2010-08-26 25000 TOWARD A SERIES OF NUCLEAR NONPROLIFERATION ROUNDTABLES. 0 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. NO REPORTS DUE AS OF 9/30/10. ASSOCIATION OF COMMONWEALTH UNIVERSITIES JOHN FOSTER HOUSE 36 GORDON SQUARE LONDON WCH OPF UK 2008-04-28 50000 TOWARD AFRICAN PARTICIPATION IN CONFERENCES FOR VICE-CHANCELLORS AND PUBLIC AFFAIRS OFFICERS. 41858 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. FINANCIAL AND PROGRESS REPORTS RECEIVED 9/9/09. 2009-09-09 ASSOCIATION OF COMMONWEALTH UNIVERSITIES JOHN FOSTER HOUSE 36 GORDON SQUARE LONDON WCH OPF UK 2008-09-11 540900 FOR STRENGTHENING RESEARCH MANAGEMENT CAPACITY IN SELECTED AFRICAN UNIVERSITIES, IN COLLABORATION WITH SOCIETY RESEARCH ADMINISTRATORS INTERNATIONAL. 165696 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. FINANCIAL AND PROGRESS REPORTS RECEIVED 2/1/10 AND 1/29/10. 2010-02-01 UNIVERSITY OF CAMBRIDGE TRUMPINGTON STREET CAMBRIDGE CBAG UK 2007-09-27 356900 FOR RESEARCH ON STABILIZING STATES AT RISK THROUGH ASYMMETRICAL CONSTITUTIONAL DESIGNS.PROGRESS REPORT RECEIVED 12/9/08 AND 7/20/10. FINANCIAL REPORT RECEIVED 12/18/08. FINANCIAL REPORT REQUESTED 7/1/10 AND 11/29/10. 167793 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. SEE PURPOSE OF GRANT LINE. 2010-11-29 UNIVERSITY OF CAMBRIDGE TRUMPINGTON STREET CAMBRIDGE CBAG UK 2009-09-10 378000 AS A FINAL GRANT FOR RESEARCH ON STABILIZING STATES AT RISK THROUGH ASYMMETRICAL CONSTITUTIONAL DESIGNS. 0 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. REPORTS REQUESTED 12/22/10. CENTRAL EUROPEAN UNIVERSITY NADOR U 9 BUDAPEST HU 2008-08-25 50000 TOWARD A CONFERENCE ON EASTERN CHRISTIANITY. 28716 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. FINANCIAL REPORTS 10/9/09 & 7/31/10. PROGRESS REPORTS 6/4/10 & 10/20/10. 2010-10-20 CENTRE FOR HIGHER EDUCATION TRANSFORMATION TRUST THE CHET TRUST PO BOX 29204 SUNNYSIDE PRETORIA SF 2008-12-04 250000 TOWARD NATIONAL AND REGIONAL POLICY DIALOGUES FOR HIGHER EDUCATION EXPERTS AND POLICYMAKERS IN SOUTH AFRICA. 71716 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. FINANCIAL AND PROGRESS REPORTS RECEIVED 3/26/10. CENTRE FOR HIGHER EDUCATION TRANSFORMATION TRUST HSE VINCENT 10 BRODIE ROAD WYNBERG WYNBERG CAPE TOWN SF 2007-09-27 500000 TOWARD THE ESTABLISHMENT OF A HIGHER EDUCATION RESEARCH AND ADVOCACY EXPERTISE NETWORK IN AFRICA. 487888 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. FINANCIAL REPORTS 11/13/08 & 9/21/09. PROGRESS REPORTS 11/13/08 & 2/4/10. 2010-02-04 THE CLIMATE RESEARCH FUND (TRANSFERRED FROM GLOBAL CENTER) HVASSALEITI 111 REYKJAVIK IC 2008-09-11 500000 ONE-TIME GRANT TOWARD RESEARCH, ANALYSIS AND TRAINING ON WATER-RELATED SECURITY AND HUMANITARIAN CHALLENGES TO SOUTH ASIA POSED BY MELTING HIMALAYA GLACIERS. 0 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. NO REPORTS DUE AS OF 9/30/10. CONSTITUTIONAL COURT TRUST PRIVATE BAG X1 BRAAMFONTEIN SF 2007-09-27 200000 ONE-TIME FUNDING TOWARD THE SOUTHERN AFICAN LEGAL INFORMATION INSTITUTE. 177506 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. FINANCIAL AND PROGRESS REPORTS RECEIVED 10/31/08 AND 11/11/09. 2009-11-11 UNIVERSITY OF EDUCATION WINNEBA PO BOX 25 WINNEBA GH 2006-09-28 2000000 TOWARD DISTANCE EDUCATION, STUDENT INTERNSHIPS AND GRADUATE STUDIES.PROGRESS REPORTS RECEIVED 11/6/07, 11/7/08 AND 4/26/10. FINANCIAL REPORTS RECEIVED 11/7/08, 2/18/09, 3/19/09 AND 4/26/10. 1193935 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. SEE PURPOSE OF GRANT LINE. 2010-04-26 UNIVERSITY OF EDUCATION WINNEBA PO BOX 25 WINNEBA GH 2009-09-10 1500000 AS A FINAL GRANT TOWARD DISTANCE EDUCATION, LIBRARY AUTOMATION AND GENDER EQUITY. 0 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. NO REPORTS DUE AS OF 9/30/10. EVALUATION RESEARCH AGENCY 20 BUITEKRING STELLENBOSCH SF 2006-09-28 796000 FOR BUILDING EVALUATION AND RESEARCH CAPACITY AT EAST AND WEST AFRICAN UNIVERSITIES.PROGRESS REPORTS RECIVED 1/8/08 AND 6/29/09. FINANCIAL REPORTS RECEIVED 1/8/08 AND 6/26/09. GRANT CLOSED 1/3/11. 796000 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. SEE PURPOSE OF GRANT LINE. 2011-01-03 EVALUATION RESEARCH AGENCY 20 BUITEKRING STELLENBOSCH SF 2009-06-11 660000 FOR A PROJECT A MONITOR AND EVALUATE UNIVERSITY LEADERSHIP PROGRAMS. 126366 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. PROGRESS AND FINANCIAL REPORTS RECEIVED 10/14/10. 2010-10-14 FOUNDATION FOR LIBRARY AND INFORMATION SERVICE DEVELOPMENT (PTY) LTD NATIONAL LIBRARY OF SOUTH AFRICA PR PRETORIA SF 2005-06-09 2000000 FOR A MODEL NATIONAL LIBRARY IN SOUTH AFRICA.PROGRESS REPORTS RECEIVED 11/17/06, 12/17/07 AND 9/23/08. FINANCIAL REPORTS RECEIVED 10/31/06, 10/31/07 AND 9/23/08. REPORTS REQUESTED 2/3/10 AND 1/3/11.NOTE: PROHIBITED FROM FUTURE FUNDING UNTIL OVERDUE REPORTS ARE RECEIVED. 645474 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. SEE PURPOSE OF GRANT LINE. 2008-09-23 FOUNDATION FOR LIBRARY AND INFORMATION SERVICE DEVELOPMENT (PTY) LTD NATIONAL LIBRARY OF SOUTH AFRICA PR PRETORIA SF 2006-08-31 15000 FOR EXPANSION AND ENRICHMENT OF COLLECTIONS OF AFRICAN LITERATURE.PROGRESS AND FINANCIAL REPORTS RECEIVED 5/14/07. REFUND OF UNEXPENDED BALANCE OF $141.71 REQUESTED 5/14/07, 1/26/09, 2/3/10 AND 1/3/11.NOTE: PROHIBITED FROM FUTURE FUNDING UNTIL REFUND IS RECEIVED. 14858 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. SEE PURPOSE OF GRANT LINE. 2007-05-14 GENEVA CENTRE FOR SECURITY POLICY AVENUE DE LA PAIX 7BIS PO BOX 1295 GENEVA CH SZ 2008-07-23 45200 TOWARD A MEETING ON GLOBAL SECURITY CONCERNS. 45200 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. FINANCIAL & PROGRESS REPORTS RECEIVED 1/29/09, 4/30/10. GRANT CLOSED 4/30/10 2010-04-30 HUMAN SCIENCES RESEARCH COUNCIL 134 PRETORIUS STREET PRIVATE BAG X4 PRETORIA SF 2008-08-20 25000 FOR ATTENDANCE OF AFRICAN SCHOLARS AT A NOVEMBER 2008 SYMPOSIUM ON SOCIAL SCIENCES AND HUMANITIES. 25000 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. FINANCIAL REPORT 11/16/09. PROGRESS REPORT 4/15/10. GRANT CLOSED 4/15/10. 2010-04-15 INTERNATIONAL FEDERATION OF LIBRARY ASSOCIATIONS AND INSTITUTIONS PO BOX 95312 CH THE HAGUE NL 2009-06-04 49385 TOWARD A CONFERENCE ON AFRICAN DIGITAL LIBRARIES AND ARCHIVES. 49385 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. PROGRESS & FINANCIAL REPORTS RECEIVED 1/11/10 & 8/2/10. GRANT CLOSED 8/5/10. 2010-08-02 THE INTERNATIONAL INSTITUTE FOR STRATEGIC STUDIES ARUNDEL HOUSE 13-15 ARUNDEL STREET LONDON WCR DX UK 2008-03-06 425000 TOWARD A MULTILATERAL DIALOGUE ON IRAN'S NUCLEAR PROGRAM. 425000 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. FINANCIAL & PROGRESS REPORTS RECEIVED 4/30/09, 7/27/10. GRANT CLOSED 7/27/10 2010-07-27 JORDAN MEDIA INSTITUTE PO BOX 3387 AMMAN JO 2009-04-06 50000 FOR SUPPORT TO BRING AMERICAN CURRICULUM STANDARDS TO JOURNALISM TRAINING IN JORDAN. 0 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. REPORTS REQUESTED 1/3/11. UNIVERSITY OF KWAZULU NATAL WESTVILLE CAMPUS PRIVATE BAG X54001 DURBAN SF 2005-03-03 1996100 TOWARD A LEADERSHIP AND EQUITY ADVANCEMENT PROGRAM.PROGRESS REPORTS RECEIVED 9/6/06, 8/28/07, 9/25/08, 1/29/10 AND 9/1/10. FINANCIAL REPORTS RECEIVED 9/6/06, 8/28/07, 9/25/08, 8/31/09 AND 11/18/10. 1281492 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. SEE PURPOSE OF GRANT LINE. 2010-11-18 UNIVERSITY OF KWAZULU NATAL WESTVILLE CAMPUS PRIVATE BAG X54001 DURBAN SF 2005-09-29 499500 TOWARD AN UNDERGRADUATE SCHOLARSHIP PROGRAM TO PROMOTE WOMEN IN ENGINEERING AND AGRICULTURE.PROGRESS REPORTS RECEIVED 11/9/06, 12/14/07, 12/12/08, 9/15/09 AND 11/18/10. FINANCIAL REPORTS RECEIVED 11/9/06, 12/12/08 AND 12/22/09. 273812 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. SEE PURPOSE OF GRANT LINE. 2010-11-18 UNIVERSITY OF KWAZULU NATAL WESTVILLE CAMPUS PRIVATE BAG X54001 DURBAN SF 2008-09-11 1984643 FINAL GRANT TOWARD A LEADERSHIP AND EQUITY ADVANCEMENT PROGRAM. 1457000 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. PROGRESS AND FINANCIAL REPORTS RECEIVED 2/8/10 AND 7/20/10. 2010-07-20 LIBRARY AND INFORMATION ASSOCIATION OF SOUTH AFRICA PO BOX 1598 PRETORIA SF 2004-02-05 499500 FOR THE ESTABLISHMENT OF A DATABASE AND TRAINING UNIT.PROGRESS REPORTS RECEIVED 4/4/05, 3/31/06, 2/2/07, 6/25/08 AND 4/28/09. FINANCIAL REPORTS RECEIVED 4/4/05, 3/31/06, 2/5/07, 5/15/09, 2/12/10 AND 6/8/10. PROGRESS REPORT REQUESTED 6/14/10. 353000 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. SEE PURPOSE OF GRANT LINE. 2010-06-08 LONDON SCHOOL OF ECONOMICS AND POLITICAL SCIENCE HOUGHTON STREET LONDON WCA AE UK 2010-05-18 25000 TOWARD AN INTERNATIONAL CONFERENCE ON CHANGES IN THE NEWS MEDIA. 0 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. NO REPORTS DUE AS OF 9/30/10. MOSCOW SCHOOL OF POLITICAL STUDIES BOLSHOI KOZIHINSKY PEREULOK 7 BLD 2 MOSCOW RS 2009-03-05 230000 FINAL GRANT TOWARD A PROJECT TO STRENGTHEN DEMOCRATIC INSTITUTIONS AND CIVIL SOCIETY IN RUSSIA. 0 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. NO REPORTS DUE AS OF 9/30/10. NIGERIA ICT FORUM OF PARTNERSHIP INSTITUTIONS AHMADU BELLO UNIVERSITY PMB 1045 ZARIA KADUNA STATE NI 2007-09-27 400000 TOWARD TECHNICAL TRAINING, POLICY RESEARCH AND PLANNING OF A NATIONAL RESEARCH AND EDUCATION NETWORK. 339400 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. FINANCIAL REPORTS 12/23/08 & 12/16/09. PROGRESS REPORTS 11/1/08 & 12/16/09. 2009-12-16 NIGERIA ICT FORUM OF PARTNERSHIP INSTITUTIONS AHMADU BELLO UNIVERSITY PMB 1045 ZARIA KADUNA STATE NI 2010-09-16 400000 AS A FINAL GRANT TOWARD TECHNICAL TRAINING AND PLANNING OF A NATIONAL RESEARCH AND EDUCATION NETWORK. 0 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. NO REPORTS DUE AS OF 9/30/10. NIGERIA ICT FORUM OF PARTNERSHIP INSTITUTIONS AHMADU BELLO UNIVERSITY PMB 1045 ZARIA KADUNA STATE NI 2008-09-11 1000000 TOWARD A SATELLITE BANDWIDTH PURCHASING CONSORTIUM SERVING AFRICAN EDUCATION AND RESEARCH INSTITUTIONS. 989000 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. FINANCIAL AND PROGRESS REPORTS RECEIVED 12/15/09 AND 11/9/10. 2010-11-09 NORWEGIAN INSTITUTE OF INTERNATIONAL AFFAIRS CJ HAMBROS PL 2D PO BOX 8159 OSLO N NO 2010-02-24 10000 TOWARD A SEMINAR ON PEACEBUILDING. 0 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. PROGRESS REPORT RECEIVED 12/17/10. FINANCIAL REPORT REQUESTED 1/11/11. 2010-12-17 ONTARIO CONFEDERATION OF UNIVERSITY FACULTY ASSOCIATIONS 83 YONGE STREET SUITE 300 TORONTO MC S CA 2010-08-26 20000 TOWARD A CONFERENCE ON MEDIA COVERAGE OF HIGHER EDUCATION IN THE 21ST CENTURY. 0 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. NO REPORTS DUE AS OF 9/30/10. OXFORD CENTRE FOR ISLAMIC STUDIES GEORGE STREET OXFORD OX AR UK 2009-12-03 300000 AS A CHALLENGE GRANT TOWARD AN HISTORICAL ATLAS PROJECT. 0 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. NO REPORTS DUE AS OF 9/30/10. UNIVERSITY OF READING READING RGG6AA UK 2008-12-04 390600 FOR A JOINT PROJECT WITH KING'S COLLEGE LONDON ON THE POLITICAL ECONOMY OF STATEBUILDING. 14958 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. PROGRESS AND FINANCIAL REPORTS RECEIVED 2/1/10. 2010-02-01 SABINET GATEWAY NO3 CENTURION OFFICE PARK 1021 BANK CENTURION SF 2008-06-12 1800000 TOWARD THE RETROSPECTIVE DIGITIZATION OF AFRICAN JOURNALS. 879828 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. FINANCIAL AND PROGRESS REPORTS RECEIVED 7/30/09 AND 8/6/10. 2010-08-06 SOUTH AFRICAN INSTITUTE FOR ADVANCEMENT PO BOX 43276 WOODSTOCK CAPE TOWN SF 2007-05-23 49308 FOR ANNUAL DEVELOPMENT AND FUNDRAISING WORKSHOP FOR WOMEN FROM AFRICAN UNIVERSITIES.PROGRESS REPORTS RECEIVED 5/14/08, 5/13/09 AND 7/30/10. FINANCIAL REPORTS RECEIVED 5/14/08, 5/13/09 AND 8/4/10. GRANT CLOSED 11/4/10. 49308 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. SEE PURPOSE OF GRANT LINE. 2010-11-04 SOUTH AFRICAN INSTITUTE FOR ADVANCEMENT PO BOX 43276 WOODSTOCK CAPE TOWN SF 2008-08-20 49874 TOWARD PLANNING A RESEARCH PROJECT ON AFRICAN HIGHER EDUCATION ADVANCEMENT AND DEVELOPMENT. 49874 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. PROGRESS REPORT 4/30/10. FINANCIAL REPORT 5/7/10. GRANT CLOSED 5/11/10. 2010-05-11 STOCKHOLM INTERNATIONAL PEACE RESEARCH INSTITUTE (SIPRI) PIPERS VAG 28 SOLNA S SW 2008-12-04 400000 TOWARD PROJECTS OF THE ORGANIZATION THAT WILL ADVANCE DISARMAMENT AND NONPROLIFERATION; AND CONDUCT DIALOGUES AMONG AMERICAN, EUROPEAN AND IRANIAN ACADEMICS AND OFFICALS. 216764 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. PROGRESS REPORT RECEIVED 3/3/10. FINANCIAL REPORT RECEIVED 3/29/10. 2010-03-29 STOCKHOLM INTERNATIONAL PEACE RESEARCH INSTITUTE (SIPRI) PIPERS VAG 28 SOLNA S SW 2010-09-16 250000 TOWARD ANALYSIS ON THE TRANS-ATLANTIC DIMENSION OF THE NEXT ROUND OF ARMS REDUCTION NEGOTIATIONS WITH RUSSIA. 0 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. NO REPORTS DUE AS OF 9/30/10. UNIVERSITY OF SUSSEX BRIGNTON BN1 9RF UK 2007-09-27 365000 AS A FINAL GRANT FOR A PROJECT TO DEVELOP AN INTERNATIONAL AGREEMENT TO CRIMINALIZE THE DEVELOPMENT, PRODUCTION OR USE OF BIOLOGICAL WEAPONS. 293816 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. FINANCIAL REPORTS 7/29/09 & 6/17/10. PROGRESS REPORTS 7/29/09 & 7/29/10. 2010-07-29 SUTTON TRUST 111 UPPER RICHMOND ROAD PUTNEY LONDON SW TJ UK 2007-12-06 206500 TOWARD A SUMMIT ON SOCIAL MOBILITY. 175300 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. FINANCIAL AND PROGRESS REPORTS RECEIVED 2/16/10. 2010-02-16 VERIFICATION RESEARCH TRAINING AND INFORMATION CENTRE 15-17 ST CROSS STREET LONDON ECN SUW UK 2010-02-19 48600 TOWARD AN INDEPENDENT ASSESSMENT OF THE UK-NORWAY WARHEAD DISMANTLEMENT INITIATIVE. 0 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. NO REPORTS DUE AS OF 9/30/10. UNIVERSITY OF THE WESTERN CAPE PRIVATE BAG X17 BELLVILLE SF 2002-06-13 1000000 FOR A PARTNERSHIP WITH UNIVERSITIES AND TECHNICAL COLLEGES TO RESEARCH AND DISSEMINATE THE APPLICATION OF INFORMATION AND COMMUNICATION TECHNOLOGIES TO ACHIEVE QUALITY AND EQUITY IN HIGHER EDUCATION IN SOUTH AFRICA.PROGRESS REPORTS WERE RECEIVED 8/4/03, 8/3/04, 8/22/05, 3/20/07 AND 6/9/08. FINANCIAL REPORTS RECEIVED 8/4/03, 8/3/04, 9/14/04, 5/4/05, 8/22/05, 3/20/07 AND 6/7/10. GRANT CLOSED 6/10/10. 1000000 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. SEE PURPOSE OF GRANT LINE. 2010-06-10 UNIVERSITY OF THE WESTERN CAPE PRIVATE BAG X17 BELLVILLE SF 2004-12-07 46000 TOWARD A STUDY OF THE RECONFIGURATION OF SOUTH AFRICA'S HIGHER EDUCATION INSTITUTIONS.PROGRESS REPORTS RECEIVED 4/7/06, 10/10/06 AND 10/15/09. FINANCIAL REPORTS RECEIVED 4/13/06, 10/10/06 AND 3/31/10. REFUND REQUESTED 1/12/10, 3/31/10 AND 1/4/11.NOTE: PROHIBITED FROM FUTURE FUNDING UNTIL REFUND IS RECEIVED. 34688 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. SEE PURPOSE OF GRANT LINE. 2010-03-31 UNIVERSITY OF THE WESTERN CAPE PRIVATE BAG X17 BELLVILLE SF 2005-02-01 50000 TOWARD AN ORAL HISTORY OF SOUTH AFRICA.PROGRESS REPORT RECEIVED 11/30/09. FINANCIAL REPORT RECEIVED 11/7/09. REFUND OF $50,000 RECEIVED 11/17/09. GRANT CLOSED 11/30/09. 0 NO PART OF THE GRANT WAS USED FOR OTHER THAN CHARITABLE PURPOSES. SEE PURPOSE OF GRANT LINE. 2009-11-30 FOUNDATION MANAGERS AND THEIR COMPENSATION INFORMATION FORM 990PF, PART VIII, LINE 1 VARTAN GREGORIAN, PRESIDENT/TRUSTEE- COMPENSATION $553,595 INCLUDES $10,095 REPRESENTING INCOME DISTRIBUTED FROM EARNINGS ON ACCOUNT HOLDINGS UNDER THE CORPORATION'S FLEX-OP PLAN.- RECEIVED $50,000 HOUSING ALLOWANCE.D. ELLEN SHUMAN, VICE PRESIDENT & CHIEF INVESTMENT OFFICER- COMPENSATION $1,059,526 INCLUDES $1,776 REPRESENTING INCOME DISTRIBUTED FROM EARNINGS ON ACCOUNT HOLDINGS UNDER THE CORPORATION'S FLEX-OP PLAN. SUMMARY OF DIRECT CHARITABLE ACTIVITIES FORM 990PF, PART IX-A CARNEGIE CORPORATION OF NEW YORK (CC) WAS FOUNDED IN 1911 FOR THE ADVANCEMENT AND DIFFUSION OF KNOWLEDGE AND UNDERSTANDING. CC FULFILLS ITS CHARTER PRIMARILY BY GIVING GRANTS TO ORGANIZATIONS IN THE PROGRAM AREAS SELECTED BY ITS PRESIDENT AND BOARD OF TRUSTEES. (SEE SCHEDULE 12 FOR IDENTIFICATION OF THE CURRENT AREAS OF CONCENTRATION.) IN ADDITION TO MAKING GRANTS, CC ENCOURAGES STAFF MEMBERS TO GIVE FREELY OF THEIR TIME TO ASSIST OTHER NON PROFIT ORGANIZATIONS AND GOVERNMENTAL AGENCIES INVOLVED IN PUBLIC SERVICE. THIS IS ACCOMPLISHED THROUGH SERVICE ON BOARDS AND ADVISORY COMMITTEES OF OTHER INSTITUTIONS, TECHNICAL ASSISTANCE, RESEARCH, PUBLICATION AND DISSEMINATION OF EDUCATIONAL MATERIALS AND THE CONDUCT OF EDUCATIONAL CONFERENCES, MEETINGS AND SEMINARS.A) TECHNICAL ASSISTANCE TO GRANTEES AND OTHER CHARITABLE ORGANIZATIONS: $469,324THIS AMOUNT REPRESENTS SALARY AND OVERHEAD ALLOCATIONS OF PROGRAM STAFF FOR TIME SPENT ADVISING GRANTEES AND OTHER CHARITABLE ORGANIZATIONS ON A VARIETY OF SUBJECTS INCLUDING, BUT NOT LIMITED TO, OBTAINING ADDITIONAL FUNDING FROM OTHER SOURCES, REDUCING OPERATING EXPENSES, COMPLYING WITH GOVERNMENT REGULATION, AND MAINTAINING ACCURATE FINANCIAL RECORDS.B) CONDUCTING CONFERENCES AND MEETINGS: $44,450CC CONDUCTS SEVERAL MEETINGS PER YEAR IN EACH OF ITS PROGRAM AREAS THAT BRING TOGETHER PARTICIPANTS FROM VARIOUS ACADEMIC DISCIPLINES, AND THE PUBLIC AND PRIVATE SECTORS, TO EXCHANGE IDEAS AND FORMULATE SOLUTIONS OR METHODS OF ARRIVING AT SOLUTIONS TO PROBLEMS IN THEIR AREA OF EXPERTISE. THE MEETINGS BENEFIT THESE INDIVIDUALS AND ULTIMATELY THE COMMUNITIES THEY SERVE.C) PUBLICATION AND DISSEMINATION OF EDUCATIONAL MATERIALS: $2,136,024ARTICLES, BOOKS AND OTHER READING MATERIAL, GENERATED FROM THE MEETINGS MENTIONED ABOVE, FROM CARNEGIE-SUPPORTED GRANTEES AND CARNEGIE STAFF, ARE REGULARLY PRODUCED AND DISTRIBUTED BY CC TO THE GENERAL PUBLIC AND TO THOSE INDIVIDUALS MOST DIRECTLY INTERESTED IN THEIR CONTENTS. THE CORPORATION MAINTAINS A FILE OF NAMES AND ADDRESSES TO FACILITATE THE DISSEMINATION PROGRAM.D) OTHER: $156,339THE MAJORITY OF THIS CATEGORY REPRESENTS THE ALLOCATION OF DIRECT SALARIES, BENEFITS, AND OVERHEAD FOR STAFF INVOLVED ON A FULL TIME BASIS, AND FOR STAFF CONTRIBUTING PORTIONS OF THEIR TIME TO THE ADMINISTRATION OF TWO CORPORATION-SPONSORED ACTIVITIES: THE CARNEGIE ADVISORY COUNCIL ON ADVANCING ADOLESCENT LITERACY AND ADVANCING THE RECOMMENDATIONS OF THE OPPORTUNITY EQUATION: TRANSFORMING MATHEMATICS AND SCIENCE EDUCATION FOR CITIZENSHIP AND THE GLOBAL ECONOMY.E) SERVICE ON BOARDS OR ADVISORY COMMITTEES: $259,339THE AMOUNT REPRESENTS THE COST TO SUPPORT THE SERVICE OF THE CORPORATION'S STAFF ON BOARDS OR ADVISORY COMMITTEES OF OTHER CHARITABLE ORGANIZATIONS. SUPPLEMENTARY INFORMATION, LINES 2A, B, D FORM 990PF, PART XV THE CHARTER OF THE CORPORATION PROVIDES THAT ALL FUNDS ARE TO BE USED TO PROMOTE "THE ADVANCEMENT AND DIFFUSION OF KNOWLEDGE AND UNDERSTANDING." GRANTS MUST BE BROADLY EDUCATIONAL IN NATURE, BUT THEY NEED NOT BE LIMITED TO THE FORMAL EDUCATIONAL SYSTEM OR TO EDUCATIONAL INSTITUTIONS. THE FOUNDATION MAKES IT A POLICY TO SELECT A FEW AREAS IN WHICH TO CONCENTRATE ITS GRANTS OVER A PERIOD OF YEARS. THE CORPORATION CURRENTLY OPERATES GRANT PROGRAMS IN FOUR BROAD AREAS. THE FOUR AREAS ARE EDUCATION, INTERNATIONAL PEACE AND SECURITY, INTERNATIONAL DEVELOPMENT, AND STRENGTHENING U.S. DEMOCRACY. THE CORPORATION ACCEPTS REQUESTS FOR FUNDING AT ALL TIMES OF THE YEAR. THERE ARE NO APPLICATION DEADLINES.GRANT DECISIONS ARE BASED PRIMARILY ON THE INFORMATION PROVIDED BY GRANTSEEKERS IN THE CORPORATION'S OWN DETAILED PROPOSALS FORMATS. ONLY PROPOSALS PRESENTED IN THE CORPORATION'S FORMAT WILL BE CONSIDERED FOR FUNDING. GRANTSEEKERS WHO WOULD LIKE TO APPROACH THE FOUNDATION WITH A PRELIMINARY REQUEST FOR FUNDING ARE ENCOURAGED TO SUBMIT A LETTER OF INQUIRY. IF THE PROJECT DESCRIBED IN THE LETTER FITS THE FOUNDATION'S GUIDELINES, THE SENDER WILL BE CONTACTED AND ASKED TO SUBMIT A PROPOSAL IN THE CORPORATION'S FORMAT. A REQUEST TO SUBMIT A PROPOSAL IS NOT AN INDICATION OF THE CORPORATION'S INTENTION OR COMMITMENT TO AWARD A GRANT.A LETTER OF INQUIRY, NOT TO EXCEED FIVE PAGES, SHOULD CONCISELY DESCRIBE THE PROJECT, ITS AIMS, ITS SIGNIFICANCE, ITS DURATION AND THE AMOUNTS OF FUNDS REQUIRED. THE INQUIRY SHOULD BE SENT TO ELLEN BLOOM, CORPORATE SECRETARY, CARNEGIE CORPORATION OF NEW YORK, 437 MADISON AVENUE, NEW YORK, NY 10022. HER TELEPHONE NUMBER IS (212) 371-3200.THE CORPORATION DOES NOT MAKE GRANTS FOR CONSTRUCTION OR MAINTENANCE OF FACILITIES OR ENDOWMENTS. IT DOES NOT MAKE PROGRAM-RELATED INVESTMENTS.THE CORPORATION DOES NOT GENERALLY MAKE GRANTS TO INDIVIDUALS EXCEPT THROUGH ITS SCHOLARS PROGRAM, WHICH SUPPORTS THE WORK OF SELECT SCHOLARS AND EXPERTS CONDUCTING RESEARCH IN THE FOUNDATION'S FIELD OF INTEREST. THE CORPORATION USUALLY CONSIDERS ONLY THOSE PROJECTS THAT HAVE THE POTENTIAL FOR WIDE-SPREAD NATIONAL OR INTERNATIONAL IMPACT. IT DOES NOT GENERALLY MAKE GRANTS TO LOCAL OR REGIONAL COMMUNITY SERVICE ORGANIZATIONS. CORPORATE BOND OBLIGATIONS 105567922 105567922 6203599.556 EMERGING MARKETS GROWTH FUND 59244374 59244374 43482 AKER ASA A SHARES 861294 861294 38149 ALARKO GAYRIMENKUL 466824 466824 1224148 AMERISUR RESOURCES PLC 255594 255594 13973 BIP INVESTMENT PARTNERS SA 968104 968104 251595.182 CF MORANT WRIGHT JAPAN FUND 738652 738652 1971 CIE DU BOIS SAUVAGE 472210 472210 554210 CIR SPA 1131885 1131885 391000 COFIDE SPA 354973 354973 66921 COLONIA REAL ESTATE AG 383715 383715 79352 DAIBIRU CORP 587019 587019 83968 DAIDOH LTD 711627 711627 48165 DETOUR GOLD CORP 1395393 1395393 277765 DEUTSCHE WOHNEN AG BR 3309322 3309322 13861 DOOSAN CORP 1853806 1853806 43809 ELECTRA PRIVATE EQUITY PLC 944389 944389 120295 EXOR SPA PRF 2410850 2410850 32204 FORTH PORTS PLC 699802 699802 1732 GROUPE BRUX LAMBERT STR VVPR 21 21 39570 GROUPE BRUXELLES LAMBERT SA 3301763 3301763 565686 GSD HOLDING 434105 434105 203253 HACI OMER SABANCI HOLDING 1053889 1053889 6079 HENEX 341921 341921 305933 IMPAX ENVIRONMENTAL MARKETS PL 561152 561152 480000 INDIA CAPITAL GROWTH FUND LTD 518123 518123 153346 INVESTOR AB A SHS 2998319 2998319 95132 JARDINE MATHESON HLDGS LTD 4294258 4294258 180260 JARDINE STRATEGIC HLDGS LTD 4830968 4830968 30042 JP MORGAN STRUCTURED PROD WTS 552472 552472 42842 JPMORGAN FLEMING JAPANESE SMAL 20253 20253 214214 JPMORGAN FLEMING JAPANESE SMAL 452329 452329 206926 JPMORGAN JAPANESE INVESTMENT T 521719 521719 34198 KATAKURA INDUSTRIES CO LTD 350822 350822 74918 KINROSS GOLD CORP US 1409482 1409482 13870 LE FOYER COMPAGNIE LUX 752680 752680 20698 LUNDBERGS AB B SHS 1236551 1236551 155005 MITRA ENERGY LTD 627770 627770 236829 ORKLA ASA 2191888 2191888 549928 ORTAK 657731 657731 61981 PANTHEON INTL PART 568926 568926 7944 PARGESA HOLDING SA BR 583430 583430 56812 PARIS ORLEANS 1420120 1420120 54000 RESACA EXPLOITATION DI 94500 94500 61220 SHOWA AIRCRAFT INDUSTRY 439694 439694 156643 SOCO INTERNATIONAL PLC 1061404 1061404 30879 SOFINA 2741407 2741407 617361 SWIRE PACIFIC LTD B 1590481 1590481 200800 TREASURY CHINA TRUST 230515 230515 345005 VIETNAM PROPERTY FUND LTD 234603 234603 179205 VIVENDI SA 4905249 4905249 112140 YAMANA GOLD INC 1282256 1282256 16522 ACCELRYS INC 114993 114993 45034 WORKSTREAM INC 946 946 199583 AMERICAN DENTAL PARTNERS INC 2406971 2406971 356030 BIDZ.COM INC 587450 587450 83255 DOLAN CO/THE 946609 946609 149011 FEMALE HEALTH COMPANY 767407 767407 533721 HALLMARK FINL SERVICES INC 4664722 4664722 564397 INTERACTIVE INTELLIGENCE INC 9933387 9933387 498551 INTL ASSETS HOLDING CORP 9023773 9023773 77213 OMEGA FLEX INC 1102602 1102602 235950 STAMPS.COM INC 3067350 3067350 190950 STRATASYS INC 5293134 5293134 394759 TANDY LEATHER FACTORY INC 1780363 1780363 76495 TRAVELZOO INC 1970511 1970511 79074 UTAH MEDICAL PRODUCTS INC 2316868 2316868 210358 WINMARK CORP 7034372 7034372 103179 ACCOR SA 3772936 3772936 110000 ACS ACTIVIDADES CONS Y SERV 5500053 5500053 64000 CARREFOUR SA 3443801 3443801 355846 CEMEX SAB SPONS ADR PART CER 3024691 3024691 155000 CHESAPEAKE ENERGY CORP 3510750 3510750 302000 CHEUNG KONG HOLDINGS LTD 4574815 4574815 322000 DELL INC 4173120 4173120 151000 DIRECTV CLASS A 6286130 6286130 103179 EDENRED 2046697 2046697 15000 FAIRFAX FINANCIAL HLDGS LTD 6106691 6106691 1760000 LEVEL 3 COMMUNICATIONS INC 1649648 1649648 159000 LIBERTY MEDIA CORP INTER A 2179890 2179890 1052000 NKSJ HOLDINGS INC 6598611 6598611 108000 OLYMPUS CORP 2826047 2826047 63000 PIONEER NATURAL RESOURCES CO 4096890 4096890 120000 WALT DISNEY CO/THE 3973200 3973200 76000 YUM BRANDS INC 3500560 3500560 TIAA CREF MUTUAL FUNDS 448022 448022 DUE FROM BROKERS FOR SALES OF SECURITIES 2467062 2467062 7452786 7452786 0 0 BRAHMAN PARTNERS IV OFFSHORE LTD FMV 43420160 43420160 CONVEXITY CAPITAL (S&P) FMV 111847798 111847798 LONE CASCADE FMV 89369250 89369250 STEEL PARTNERS II FMV 6048260 6048260 BLAKENEY-(CC Development Partners) FMV 64816122 64816122 CEDAR ROCK CAPITAL FMV 70366712 70366712 CHILDREN'S INVESTMENT FUND, THE FMV 11517034 11517034 GMO EMERGING MARKETS FUND FMV 15196166 15196166 GMO EMERGING MARKETS ILLIQUID FUND FMV 11483648 11483648 ICHIGO JAPAN FUND B FMV 30289314 30289314 KEYWISE GREATER CHINA OPPORTUNITIES FMV 38157505 38157505 LONE DRAGON PINE FMV 24134218 24134218 NEW VERNON INDIA FUND II FMV 8814283 8814283 PARVUS EUROPEAN OPPS FUND FMV 52310430 52310430 SILCHESTER INTL VALUE EQUITY TRUST FMV 66841370 66841370 STEEL PARTNERS JAPAN FUND FMV 5489691 5489691 SQM FRONTIER AFRICA FUND LTD FMV 21086043 21086043 TARPON ALL EQUITIES FUND FMV 61477366 61477366 ACCEL X FMV 2356665 2356665 ATA VENTURES I FMV 4139351 4139351 ATA VENTURES II FMV 4132795 4132795 AUGUST CAPITAL III FMV 3499669 3499669 AUGUST CAPITAL IV FMV 6923353 6923353 AUGUST CAPITAL V FMV 1289043 1289043 BAIN CAPITAL VENTURE FUND 2001 FMV 2415288 2415288 BAIN CAPITAL VENTURE FUND 2005 FMV 4522620 4522620 BAIN CAPITAL VENTURE FUND 2007 FMV 11858925 11858925 BAIN CAPITAL VENTURE FUND 2009 FMV 2315200 2315200 CATHAY CAPITAL HOLDINGS FMV 875490 875490 CDH VENTURE PARTNERS FMV 4194998 4194998 CDH VENTURE PARTNERS II FMV 4239432 4239432 CHARLES RIVER XI FMV 204419 204419 CHARLES RIVER XI ANNEX FMV 54485 54485 CHARLES RIVER XII FMV 4445394 4445394 CHARLES RIVER XII ANNEX FMV 334310 334310 CHARLES RIVER XIII FMV 6088254 6088254 EMERGENCE CAPITAL PARTNERS II FMV 2320938 2320938 GENERAL CATALYST GROUP III FMV 4751096 4751096 GENERAL CATALYST GROUP IV FMV 4435151 4435151 HELION VENTURE PARTNERS FMV 8008268 8008268 HELION VENTURE PARTNERS II FMV 2641406 2641406 IDG-ACCEL CHINA CAPITAL FMV 2417723 2417723 IDG-ACCEL CHINA GROWTH FUND II FMV 6374346 6374346 KEYTONE VENTURES FMV 6040101 6040101 MATRIX PARTNERS CHINA I FMV 2970453 2970453 MAVERON EQUITY PARTNERS III FMV 2871110 2871110 MAVERON EQUITY PARTNERS IV FMV 1568955 1568955 MOHR DAVIDOW VENTURES (MDV) IX FMV 2832598 2832598 NEXUS INDIA CAPITAL II FMV 2181348 2181348 SB ASIA FUND II FMV 10357289 10357289 SCF-V PARTNERS FMV 3808068 3808068 SCF-VI PARTNERS FMV 8425304 8425304 SCF-VII PARTNERS FMV 2419096 2419096 SEQUOIA CAPITAL 2010 FMV 877641 877641 SEQUOIA CAPITAL XII FMV 2428191 2428191 SEQUOIA CAPITAL CHINA I FMV 1322529 1322529 SEQUOIA CAPITAL CHINA II FMV 1173123 1173123 SEQUOIA CAPITAL CHINA GROWTH I FMV 1804653 1804653 SEQUOIA CAPITAL GROWTH FUND III FMV 5580174 5580174 SEQUOIA CAPITAL INDIA II FMV 6008244 6008244 SEQUOIA CAPITAL INDIA III FMV 949094 949094 SEQUOIA CAPITAL INDIA GROWTH FUND I FMV 1901131 1901131 SEQUOIA CAPITAL INDIA GROWTH FUND II FMV 2058001 2058001 SEQUOIA CAPITAL US GROWTH FUND IV FMV 3616956 3616956 VERSANT VENTURES I FMV 6170235 6170235 VERSANT VENTURES II FMV 7192031 7192031 VERSANT VENTURES III FMV 8254041 8254041 VERSANT VENTURES IV FMV 1880093 1880093 VOYAGER CAPITAL FUND II-A FMV 1426532 1426532 VOYAGER CAPITAL FUND III FMV 2680319 2680319 W I HARPER INC FUND VI LTD FMV 7447989 7447989 AEA SCAND-DUNI AB FMV 178000 178000 ABRY PARTNERS IV FMV 6416270 6416270 ABRY PARTNERS V FMV 6595211 6595211 ABRY PARTNERS VI FMV 18116859 18116859 ALPINE INVESTORS II FMV 4053208 4053208 ALPINE INVESTOR III FMV 2549234 2549234 AMERICAN SECURITIES PARTNERS III FMV 4061379 4061379 AMERICAN SECURITIES PARTNERS IV FMV 7445532 7445532 AMERICAN SECURITIES PARTNERS V FMV 6579120 6579120 BAIN CAPITAL VII FMV 2089938 2089938 BAIN CAPITAL FUND VII-E FMV 1061498 1061498 BAIN CAPITAL VIII FMV 14507379 14507379 BAIN VIII-E (EURO) FMV 11861872 11861872 BAIN CAPITAL FUND IX FMV 11417701 11417701 BAIN CAPITAL FUND X FMV 4587630 4587630 BAIN CAPITAL ASIA FUND FMV 1596009 1596009 BAIN CAPITAL EUROPE FUND III FMV 7062405 7062405 BERKSHIRE FUND VI FMV 7033521 7033521 BERKSHIRE FUND VII FMV 6418675 6418675 CCG INVESTMENT FUND FMV 7863845 7863845 CDH CHINA FUND III (incl supplementary) FMV 8295954 8295954 CDH CHINA FUND IV FMV 681597 681597 CITIC CAPITAL CHINA FMV 7925649 7925649 CITIC CAPITAL CHINA II FMV 598883 598883 CS CAPITAL PARTNERS II FMV 2991424 2991424 CS CAPITAL PARTNERS III FMV 3750399 3750399 DRAWBRIDGE LONG DATED VALUE FUND FMV 5621500 5621500 DRAWBRIDGE LONG DATED VALUE FUND II (B) FMV 2853050 2853050 ENERGY CAPITAL PARTNERS IIA FMV 2829713 2829713 FLEXPOINT FUND FMV 4200089 4200089 FLEXPOINT FORD FUND II FMV 404408 404408 FORD FINANCIAL FUND FMV 8940101 8940101 FORTRESS FUND III FMV 7482519 7482519 FORTRESS INVESTMENT FUND IV FMV 10884627 10884627 FORTRESS RESIDENTIAL DEUTSCHLAND FMV 3023597 3023597 GOLDEN GATE CAPITAL II FMV 22584721 22584721 GGC INVESTMENT ANNEX FUND II FMV 5896001 5896001 GOLDEN GATE OPPORTUNITY FUND FMV 30709604 30709604 INDUSTRIAL GROWTH PARTNERS II FMV 1302060 1302060 INDUSTRIAL GROWTH PARTNERS III FMV 7409062 7409062 LIME ROCK PARTNERS II FMV 359434 359434 LIME ROCK PARTNERS III FMV 8272200 8272200 LIME ROCK PARTNERS IV FMV 10565179 10565179 LIME ROCK PARTNERS V FMV 5684869 5684869 PACIFIC EQUITY PARTNERS IV FMV 3439310 3439310 PACIFIC EQUITY PARTNERS SUPPLEMENTARY IV FMV 850534 850534 RESOURCE CAPITAL FUND IV FMV 24401392 24401392 ROARK CAPITAL PARTNERS FMV 4683102 4683102 TIFF SECONDARY PARTNERS I FMV 2504613 2504613 TIGER GLOBAL PARTNERS V FMV 10784750 10784750 ACADIA STRATEGIC OPP FUND I FMV 3182222 3182222 ACADIA STRATEGIC OPP FUND II FMV 13202195 13202195 ACADIA STRATEGIC OPP FUND III FMV 5751414 5751414 AVANTI INVESTORS III FMV 2900475 2900475 AVANTI INVESTORS IV FMV 5732197 5732197 AVANTI INVESTORS V FMV 8215854 8215854 AVANTI INVESTORS VI FMV 6046900 6046900 ASLAN REALTY II (TRANSWESTERN) FMV 2197000 2197000 BROOKDALE INVESTORS V FMV 4491090 4491090 BROOKDALE INVESTORS VI FMV 199454 199454 CEDAR BRIDGE REALTY FMV 17370565 17370565 CP INVESTMENT FUND (CARMEL) FMV 5691616 5691616 CP INVESTMENT FUND II (CARMEL) FMV 6932033 6932033 CARMEL PARTNERS FUND III FMV 922622 922622 DENHAM COMMODITY FUND IV FMV 5991757 5991757 DENHAM COMMODITY FUND V FMV 8471352 8471352 GREEN COURTE REAL ESTATE PARTNERS FMV 9257110 9257110 GREEN COURTE FUND II REIT FMV 15004523 15004523 HAMPSHIRE PARTNERS REIT VI FMV 4335341 4335341 HAMPSHIRE PARTNERS REIT VII FMV 15558625 15558625 HAMPSHIRE PARTNERS REIT VIII FMV 207136 207136 HIGH CROSS REGIONAL UK II FMV 1814288 1814288 HIGH CROSS REGIONAL UK III FMV 1911073 1911073 JBG INVESTMEENT FUND VII FMV 3402310 3402310 LBA INDUSTRIAL FUND I FMV 2004663 2004663 LBA REALTY FUND FMV 3352405 3352405 LBA REALTY FUND II FMV 14723593 14723593 LBA REALTY FUND III FMV 10071996 10071996 LBA REALTY FUND IV FMV 3197634 3197634 M&H (DB) SWAP FMV 3247498 3247498 MADISON INTL RE LIQUIDITY FUND FMV 8098269 8098269 MERLONE GEIER PARTNERS FMV 6531677 6531677 MERLONE GEIER PARTNERS IX FMV 1199881 1199881 MERIT ENERGY PARTNERS CANADA FMV 7729839 7729839 MERIT ENERGY CANADA II FMV 2309726 2309726 MERIT ENERGY PARTNERS E-1 FMV 4268484 4268484 MERIT ENERGY PARTNERS F-1 FMV 776216 776216 MERIT ENERGY PARTNERS G FMV 4397989 4397989 NORTHWOOD R. E. CO-INVESTORS FMV 1182362 1182362 NORTHWOOD R. E. PARTNERS FMV 1351307 1351307 OAKTREE - OCM REAL ESTATE OPP FUND LP FMV 1046308 1046308 REALTY FINANCIAL PARTNERS II FMV 1436684 1436684 REALTY FINANCIAL PARTNERS IV FMV 2637853 2637853 SRI REIT INC (FUND SIX) FMV 3652798 3652798 SRI SEVEN REIT FMV 16240118 16240118 SRI EIGHT REIT FMV 3499095 3499095 TALCOTT REALTY III FMV 4657000 4657000 BAUPOST VALUE PARTNERS FMV 84349554 84349554 BLUE RIDGE OFFSHORE FUND FMV 98174472 98174472 BROOKSIDE FMV 82512355 82512355 FIR TREE INTERNATIONAL VALUE FUND FMV 30536628 30536628 HIGHFIELDS CAPITAL IV LP FMV 4662698 4662698 HOPLITE OFFSHORE FUND FMV 29610919 29610919 LANSDOWNE UK EQUITY FUND FMV 51763488 51763488 LONE PINON FUND (LONE KAURI) FMV 12369761 12369761 PERMIT CAPITAL FMV 7183644 7183644 PERMIT CAPITAL - SERIES B FMV 6835212 6835212 PERMIT CAPITAL - SERIES C FMV 6012550 6012550 PERMIT CAPITAL - SERIES D FMV 5009055 5009055 REALTY FINANCIAL PARTNERS V FMV 4622950 4622950 SANKATY CREDIT OPPORTUNITIES FUND FMV 5914951 5914951 SWIFTCURRENT OFFSHORE LTD FMV 1877491 1877491 TIGER GLOBAL LTD FMV 32339676 32339676 TYNDALL FMV 90641739 90641739 VARDE FUND IV FMV 54676622 54676622 VARDE FUND VIII FMV 14263335 14263335 VARDE IX FMV 21315092 21315092 WATERSHED CAPITAL FMV 1816702 1816702 LEASEHOLD IMPROVEMENTS 4195460 4091855 103605 0 FURNITURE AND EQUIPMENT 4067102 3656136 410966 0 LEGAL FEES 610930 458727 152865 ACCRUED INCOME RECEIVABLE 360489 275916 275916 TRUSTEES EXPENSES 69403 5438 75315 CONSULTANTS 724963 137547 675294 POSTAGE, TELEPHONE & MESSENGER 122832 13596 112169 OFFICE EQUIPMENT, SERVICES AND SUPPLIES 197185 12397 195598 COMPUTER EQUIPMENT AND SERVICE 332200 40055 348777 COPYING & DUPLICATING 59890 6523 53323 BOOKS & PERIODICALS 76993 2730 69889 INSURANCE 63867 0 59744 MEMBERSHIP FEES 14908 3059 13229 MISCELLANEOUS 28470 3098 25345 FIXED ASSETS CAPITALIZED 0 0 -53754 INCOME FROM LIMITED PARTNERSHIPS -25715082 INCOME FROM LIMITED PARTNERSHIPS 13593202 17157912 13593202 INTEREST RECEIVED ON TAX REFUNDS 614 614 614 MISCELLANEOUS 1802 1802 1802 FEDERAL UBIT 1196133 1196133 STATE UBIT 30171 30171 INCREASE IN UNREALIZED APPRECIATION (NET OF RELATED TAX) 179444345 DEFERRED TAXES PAYABLE 2552141 6589938 INVESTMENT MANAGEMENT AND CUSTODY 3018614 3016337 0 DEFERRED FEDERAL EXCISE TAXES 369469 0 0