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CONNECTICUT CHAPTER 200 EXECUTIVE BLVD STE 4B SOUTHINGTON CT 06489 N/A PC General & Unrestricted 1000 AMERICAN ENTERPRISE INSTITUTE FOR PUBLIC POLICY RE 1789 MASSACHUSETTS AVE NW WASHINGTON DC 20036 N/A PC General & Unrestricted 10000 AMERICAN QUILT STUDY GROUP 1610 L ST LINCOLN NE 68508 N/A PC General & Unrestricted 1000 AMERICAN QUILT STUDY GROUP 1610 L ST LINCOLN NE 68508 N/A PC To support the 2020 Seminar 2000 BOSTON FOUNDATION INC 75 ARLINGTON ST BOSTON MA 02116 N/A PC First installment to King Boston for the initiative to establish the King Center for Social Justice 50000 BUILDING ONE COMMUNITY CORP 75 SELLECK ST STAMFORD CT 06902 N/A PC General & Unrestricted 10000 CARLETON COLLEGE 1 N COLLEGE ST NORTHFIELD MN 55057 N/A PC General & Unrestricted 6125000 CARLETON COLLEGE 1 N COLLEGE ST NORTHFIELD MN 55057 N/A PC To support the Paglia Post-Bac Research Fellowship 180000 CARLETON COLLEGE 1 N COLLEGE ST NORTHFIELD MN 55057 N/A PC Parents Fund 20000 CARNEGIE ENDOWMENT FOR INTERNATIONAL PEACE 1779 MASSACHUSETTS AV NW WASHINGTON DC 20036 N/A PC General & Unrestricted 100000 CARNEGIE ENDOWMENT FOR INTERNATIONAL PEACE 1779 MASSACHUSETTS AV NW WASHINGTON DC 20036 N/A PC Strategic Impact Fund 25000 CARNEGIE ENDOWMENT FOR INTERNATIONAL PEACE 1779 MASSACHUSETTS AV NW WASHINGTON DC 20036 N/A PC First installment capital pledge 2000000 CATHOLIC CHARITIES OF FAIRFIELD COUNTY INC 90 FAIRFIELD AVE STAMFORD CT 06904 N/A PC Charitable Event 10000 CATHOLIC CHARITIES OF FAIRFIELD COUNTY INC 90 FAIRFIELD AVE STAMFORD CT 06904 N/A PC Final installment of capital pledge 50000 CATHOLIC CHARITIES OF FAIRFIELD COUNTY INC 90 FAIRFIELD AVE STAMFORD CT 06904 N/A PC General & Unrestricted 165000 CATO INSTITUTE 1000 MASSACHUSETTS AVE NW WASHINGTON DC 20001 N/A PC General & Unrestricted 50000 CHAPPAQUA SCHOOL FOUNDATION INC PO BOX 202 CHAPPAQUA NY 10514 N/A PC For construction of the climate controlled multizone greenhouse 1500000 CHILDRENS VILLAGE INC 1 ECHO HILLS DOBBS FERRY NY 10522 N/A PC General & Unrestricted 45000 COOKE SCHOOL AND INSTITUTE 1713 MADISON AVE NEW YORK NY 10029 N/A PC General & Unrestricted 325000 DOANE UNIVERSITY 1014 BOSWELL AVE CRETE NE 68333 N/A PC FIFTH INSTALLMENT OF CAPITAL PLEDGE 150000 DOANE UNIVERSITY 1014 BOSWELL AVE CRETE NE 68333 N/A PC General & Unrestricted 10000 DONORS TRUST INC 1800 DIAGONAL RD STE 280 ALEXANDRIA VA 22314 N/A PC VMTS 125000 EL PORVENIR 80 GARDEN CENTER STE 135 BROOMFIELD CO 80020 N/A PC Matching grant challenge 10000 ESSEX COUNTY COMMUNITY FOUNDATION INCORPORATED 175 ANDOVER ST STE 101 DANVERS MA 01923 N/A PC General & Unrestricted 25000 FRAXA RESEARCH FOUNDATION INC 10 PRINCE PL NEWBURYPORT MA 01950 N/A PC General & Unrestricted 25000 FRIENDS OF INTERNATIONAL QUILT STUDY CENTER & MUSE PO BOX 21936 LINCOLN NE 68542 N/A PC General & Unrestricted 10000 FRIENDS OF NGONG ROAD PO BOX 581308 MINNEAPOLIS MN 55458 N/A PC General & Unrestricted 20000 FRIENDS OF NGONG ROAD PO BOX 581308 MINNEAPOLIS MN 55458 N/A PC THIRD INSTALLMENT TO SUSTAINING PLEDGE PROGRAM 50000 GLOBAL LYME ALLIANCE INC 1290 E MAIN ST 3RD FL STAMFORD CT 06902 N/A PC General & Unrestricted 10000 HARVARD BUSINESS SCHOOL PO BOX 412275 BOSTON MA 02241 N/A PC Second installment of pledge 2000000 HARVARD BUSINESS SCHOOL PO BOX 412275 BOSTON MA 02241 N/A PC CATHERINE JAMES PAGLIA (MBA 1976) SEARCH FUND FELLOWSHIP 250000 HARVARD BUSINESS SCHOOL PO BOX 412275 BOSTON MA 02241 N/A PC Annual Gift FuND 100000 HARVARD BUSINESS SCHOOL PO BOX 412275 BOSTON MA 02241 N/A PC JAMES FAMILY SCHOLARSHIP FUND 25000 HARVARD BUSINESS SCHOOL PO BOX 412275 BOSTON MA 02241 N/A PC Robert G. James Annual Fund 25000 HARVARD MEDICAL SCHOOL 401 PARK DRIVE STE 22 WEST BOSTON MA 02215 N/A PC James Family ScholaRSHIP FUND 25000 HARVARD UNIV - RADCLIFFE INST FOR ADVANCED STUDY 10 GARDEN ST CAMBRIDGE MA 02138 N/A PC FIFTH INSTALLMENT OF CAPITAL PLEDGE TO ESTABLISH THE ARDIS BUTLER JAMES FUND FOR SCIENCE 100000 HARVARD UNIV - RADCLIFFE INST FOR ADVANCED STUDY 10 GARDEN ST CAMBRIDGE MA 02138 N/A PC General & Unrestricted 10000 HARVARD UNIV - RADCLIFFE INST FOR ADVANCED STUDY 10 GARDEN ST CAMBRIDGE MA 02138 N/A PC FIFTH INSTALLMENT OF PLEDGE TO ESTABLISH THE ARDIS BUTLER JAMES FUND FOR DIVERSITY AT THE SCHLESINGER LIBRARY 200000 HARVARD UNIV GRADUATE SCHOOL OF ARTS & SCIENCES 124 MOUNT AUBURN ST CAMBRIDGE MA 02138 N/A PC General & Unrestricted 25000 HARVARD UNIV GRADUATE SCHOOL OF ARTS & SCIENCES 124 MOUNT AUBURN ST CAMBRIDGE MA 02138 N/A PC Fifth installment of capital pledge for the James Family Dean's Fund for Professional Development 200000 HELEN KELLER INTERNATIONAL ONE DAG HAMMARSKJOLD PLZ FL 2 NEW YORK NY 10017 N/A PC General & Unrestricted 110000 HUMAN RIGHTS WATCH INC 350 FIFTH AVE 34TH FL NEW YORK NY 10118 N/A PC General & Unrestricted 25000 MAKING HEADWAY FOUNDATION INC 115 KING ST CHAPPAQUA NY 10514 N/A PC General & Unrestricted 250 MANHATTAN INSTITUTE FOR POLICY RESEARCH INC 52 VANDERBILT AVE NEW YORK NY 10017 N/A PC General & Unrestricted 200000 MASSACHUSETTS INSTITUTE OF TECHNOLOGY 600 MEMORIAL DR W98-200 CAMBRIDGE MA 02139 N/A PC FINAL INSTALLMENT TO ESTABLISH THE ENDOWED ROBERT G. JAMES CAREER DEVELOPMENT PROFESSORSHIP FOR JUNIOR FACULTY MEMBERS IN THE MIT SLOAN SCHOOL OF MANAGEMENT 600000 MASSACHUSETTS INSTITUTE OF TECHNOLOGY 600 MEMORIAL DR W98-200 CAMBRIDGE MA 02139 N/A PC General & Unrestricted 145000 MICHIGAN STATE UNIVERSITY 409 W CIR DR EAST LANSING MI 48824 N/A GOV First installment A PLEDGE TO SUPPORT THE QUILT INDEX 25000 NEBRASKA WESLEYAN UNIVERSITY 5000 SAINT PAUL AVE LINCOLN NE 68504 N/A PC General & Unrestricted 5000 NORTHEAST ARC INC 1 SOUTHSIDE RD DANVERS MA 01923 N/A PC first installment in a pledge PAYABLE 2020-2024 50000 NORWALK COMMUNITY COLLEGE FOUNDATION 188 RICHARDS AVE STE E 311 NORWALK CT 06854 N/A PC General & Unrestricted 60000 ORD TOWNSHIP LIBRARY FOUNDATION INC 1718 M ST ORD NE 68862 N/A PC General & Unrestricted 5000 P E F ISRAEL ENDOWMENT FUNDS INC 630 THIRD AVE 15TH FLOOR NEW YORK NY 10017 N/A PC For Sikkuy 200000 PARTNERS HEALTHCARE SYSTEM INC - SPAULDING REHAB H 1575 CAMBRIDGE ST CAMBRIDGE MA 02138 N/A PC General & Unrestricted 100000 PLATTE INSTITUTE FOR ECONOMIC RESEARCH INC 6910 PACIFIC ST STE 216 OMAHA NE 68106 N/A PC General & Unrestricted 65000 PLUMMER YOUTH PROMISE INC 37 WINTER ISLAND RD SALEM MA 01970 N/A PC General & Unrestricted 125000 PRESIDENT AND FELLOWS OF HARVARD COLLEGE PO BOX 419209 BOSTON MA 02241 N/A PC Harvard Divinity School 50000 PRESIDENT AND FELLOWS OF HARVARD COLLEGE PO BOX 419209 BOSTON MA 02241 N/A PC THIRD INSTALLMENT of a pledge to ANDOVER HALL RENEWAL FUND 2000000 PRESIDENT AND FELLOWS OF HARVARD COLLEGE PO BOX 419209 BOSTON MA 02241 N/A PC first installment of a pledge TO HARVARD DIVINITY SCHOOL IN SUPPORT OF RELIGION AND PUBLIC LIFE 125000 PRESIDENT AND FELLOWS OF HARVARD COLLEGE PO BOX 419209 BOSTON MA 02241 N/A PC Harvard Divinity School 25000 PRESIDENT AND FELLOWS OF HARVARD COLLEGE PO BOX 419209 BOSTON MA 02241 N/A PC Harvard Divinity School for the Moses Mesoamerican Archive and Research Project led by Professor David Carasco 25000 PRESIDENT AND FELLOWS OF HARVARD COLLEGE PO BOX 419209 BOSTON MA 02241 N/A PC FINAL INSTALLMENT OF PLEDGE TO SUPPORT DEAN'S VENTURE FUND AT THE HARVARD GRADUATE SCHOOL OF EDUCATION 200000 PRESIDENT AND FELLOWS OF HARVARD COLLEGE PO BOX 419209 BOSTON MA 02241 N/A PC General Support for Harvard Graduate School of Education 25000 RANGELEY LAKES HERITAGE TRUST INC 2424 MAIN ST RANGELEY ME 04970 N/A PC General & Unrestricted 50000 READWORKS INC PO BOX 24673 NEW YORK NY 11202 N/A PC General & Unrestricted 350000 READWORKS INC PO BOX 24673 NEW YORK NY 11202 N/A PC to support the partnership between ReadWorks and International Quilt Museum 40000 READWORKS INC PO BOX 24673 NEW YORK NY 11202 N/A PC pilot program partnering with the International Quilt Museum in Lincoln Nebraska 25872 RIVERVIEW SCHOOL INC 551 RTE 6A EAST SANDWICH MA 02537 N/A PC FINAL INSTALLMENT OF A PLEDGE 50000 RIVERVIEW SCHOOL INC 551 RTE 6A EAST SANDWICH MA 02537 N/A PC General & Unrestricted 220000 SAFE HORIZON INC 2 LAFAYETTE ST FL 3 NEW YORK NY 10007 N/A PC General & Unrestricted 15000 SAINT MICHAEL ROMAN CATHOLIC CHURCH CORPORATION 469 N ST GREENWICH CT 06830 N/A PC Final installment of a pledge for the "We Stand With Christ - Rebuilding Together" Capital Campaign 40000 STAMFORD HOSPITAL 1351 WASHINGTON BLVD SUITE 20 STAMFORD CT 06902 N/A PC Support Team Edgehill 1000 STAMFORD HOSPITAL 1351 WASHINGTON BLVD SUITE 20 STAMFORD CT 06902 N/A PC General & Unrestricted 75000 STUDIO ART QUILT ASSOC INC PO BOX 141 HEBRON CT 06248 N/A PC General & Unrestricted 25000 SUMMER SEARCH BOSTON 3840 WASHINGTON ST STE 2 JAMAICA PLAIN MA 02130 N/A PC General & Unrestricted 100000 TENACITY INC 38 EVERETT ST LOWER LEVEL BOSTON MA 02134 N/A PC General & Unrestricted 150000 THE INDEPENDENT INSTITUTE 100 SWAN WAY OAKLAND CA 94621 N/A PC General & Unrestricted 20000 THE PRESBYTERIAN CHURCH OF MT KISCO 605 MILLWOOD RD MT KISCO NY 10549 N/A PC General & Unrestricted 50000 THE YANKEE INSTITUTE FOR PUBLIC POLICY STUDIES INC 216 MAIN ST HARTFORD CT 06106 N/A PC General & Unrestricted 75000 THE YANKEE INSTITUTE FOR PUBLIC POLICY STUDIES INC 216 MAIN ST HARTFORD CT 06106 N/A PC Payment for challenge grant 2018-2020 90756 THEATER MASTERS PO BOX 899 ASPEN CO 81612 N/A PC General & Unrestricted 10000 TRUSTEES FOR HARVARD UNIVERSITY 1033 MASSACHUSETTS AVE STE 3 CAMBRIDGE MA 02138 N/A PC Harvard Kennedy School - Mossavar-Rahmani Center for Business and Government 100000 UMASS MEDICAL SCHOOL FOUNDATION INC 333 SOUTH ST SUITE 290 SHREWSBURY MA 01545 N/A PC to support UMass Medical School Covid-19 Pandemic Research Fund 100000 UNITED WAY OF GREENWICH INC 500 W PUTNAM AVE STE 415 GREENWICH CT 06830 N/A PC General & Unrestricted 10000 UNIVERSITY OF MASSACHUSETTS FOUNDATION INC ONE BEACON ST 31ST FLOOR BOSTON MA 02108 N/A PC General & Unrestricted 350000 UNIVERSITY OF NEBRASKA FOUNDATION 1010 LINCOLN MALL STE 300 LINCOLN NE 68508 N/A PC SIXTH INSTALLMENT OF A PLEDGE 425000 UNIVERSITY OF NEBRASKA FOUNDATION - INTERNATIONAL 1010 LINCOLN MALL STE 300 LINCOLN NE 68583 N/A PC To support the International Quilt Museum/Modern Quilt Guild project to create a Modern Quilt Guild collection 64500 UNIVERSITY OF NEBRASKA FOUNDATION - INTERNATIONAL 1010 LINCOLN MALL STE 300 LINCOLN NE 68583 N/A PC The Whitney Project 148500 US FRIENDS OF THE INTERNATIONAL INSTITUTE FOR STRA 2121 K ST NW STE 600 WASHINGTON DC 20037 N/A PC General & Unrestricted 20000 WALLIN EDUCATION PARTNERS 5200 WILLSON RD STE 209 MINNEAPOLIS MN 55424 N/A PC General & Unrestricted 100000 WILLA CATHER FOUNDATION 413 N WEBSTER ST RED CLOUD NE 68970 N/A PC General & Unrestricted 10000 WILLA CATHER FOUNDATION 413 N WEBSTER ST RED CLOUD NE 68970 N/A PC First installment of an endowment pledge 62500 21054461 14 76234 14 640959 525990 439625 18 7041135 K-1 Inc/Loss 525990 -66009 14 3823848 INTEREST/DIVIDENDS FROM ALTERNATIVE INVESTMENTS 14 2619 BANK CHARGE REFUNDS 01 220 373616 11585015 11958631 false false false false false false false false false false FORM 8865 FORM 8865 The foun the limited information provided to it by the investment on which the Foundation is reporting. Any missing or incomplete information is due to the Foundation's inability to obtain such information and is not a willful attempt to withhold such information. FORM 926 FORM 926 The Foundation has prepared this form to the best of its ability based on the limited information provided to it by the investment on which the Foundation is reporting. Any missing or incomplete information is due to the Foundation's inability to obtain such information and is not a willful attempt to withhold such information. PART VII-A, LINE 11 PART VII-A, LINE 11 (990-PF) - CONTROLLED ENTITIES Name of Controlled Entity: James Foundation Investments, Ltd. EIN: N/A Street Address: PO Box 309GT, Ugland House, Grand Cayman, Cayman Islands KY1-1104 No transfers were made during 2020 from the Foundation to this entity or from this entity to the Foundation. James Foundation Investments, Ltd. is not an excess business holding of the Foundation. Name of Controlled Entity: RCR James Associates, LLC EIN: 75-3194306 Street Address: 521 5th Ave, Ste 1804, New York, NY 10175 The only transfers made during 2020 were net cash contributions and distributions totaling $506,016 between the Foundation and RCR James Associates, LLC. RCR James Associates, LLC is not an excess business holding of the Foundation. Name of Controlled Entity: KF Paglia-James Associates, LLC EIN: 34-1998546 Street Address: 521 5th Ave, Ste 1804, New York, NY 10175 The only transfers made during 2020 were net cash contributions and distributions totaling $482,081 between the Foundation and KF Paglia-James Associates, LLC. KF Paglia-James Associates, LLC is not an excess business holding of the Foundation. Part I Line 6a Part I Line 6a RECONCILIATION OF NET GAIN/(LOSS) FROM SALES OF ASSETS NOT INCLUDED IN PART IV TOTAL INCLUDED IN PART IV: (DETAILS BELOW) NET GAIN/(LOSS): $7,041,135 TOTAL NOT INCLUDED IN PART IV: PASSTHROUGH K-1 CAPITAL GAIN/(LOSS) - UBI NET GAIN/(LOSS): $439,625 TOTAL PART I, LINE 6A: $7,480,760 DETAILS OF ASSETS INCLUDED IN PART IV: PUBLICLY-TRADED SECURITIES GROSS SALES PRICE: $9,387,153 BOOK BASIS: $9,459,840 NET GAIN/(LOSS): $(72,687) PASSTHROUGH K-1 CAPITAL GAIN/(LOSS) - NON UBI NET GAIN/(LOSS): $5,350,365 SALES OF OTHER ITEMIZED ASSETS GROSS SALES PRICE: $7,770,976 BOOK BASIS: $6,007,519 NET GAIN/(LOSS): $1,763,457 FORM 8858 Form 8858 The foundation has prepared this form to the best of its ability based on the information provided to it by the foreign branch on which the Foundation is reporting. Any missing or incomplete information is not a willful attempt to withhold such information. 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39132 K-1 Inc/Loss TENNENBAUM SPECIAL SITUATIONS FUND IX 176646 176396 K-1 Inc/Loss VISTA CREDIT PARTNERS FUND III-A LP 2954 2954 K-1 Inc/Loss ZAMA CAPITAL FUND LP 71335 84647 INTEREST/DIVIDENDS FROM ALTERNATIVE INV 2619 2619 BANK CHARGE REFUNDS 220 220 OFFICE MANAGEMENT SERVICES 270000 65000 205000 Investment Management Services 307092 307092 990-PF Estimated Tax for 2020 64900 990-PF Extension for 2019 563350 990-T Extension for 2019 61900 TAX WITHHELD BY PSHIPS 6491 6491 IRS Miscellaneous Fee (990PF) 473 STATE INCOME TAX 2019 24465