PRATIMA N SHAH FAMILY FOUNDATION: Form 990PF, tax year 2018
View the entire original 990 at ProPublica ↗
- Organization
- PRATIMA N SHAH FAMILY FOUNDATION (EIN 31-1809141)
- Tax period
- 2018-01-01 to 2018-12-31
- Filed
- 2019-11-15
- IRS object ID
- 201933199349104933
- Schema version
- 2018v3.1
- 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
- Accounting Fees Schedule
- Investments Corp Bonds Schedule
- Investments Corp Stock Schedule
- Other Expenses Schedule
- Other Income Schedule2
- Taxes Schedule
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return | 2019-11-15T17:03:34-06:00 | ReturnTs |
| Tax Period End | 2018-12-31 | TaxPeriodEndDt |
Preparer Firm PreparerFirmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Firm EIN | 362518261 | PreparerFirmEIN |
Preparer Firm Name PreparerFirmName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | CALLERO & CALLEROLLP | BusinessNameLine1Txt |
Preparer US Address PreparerUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 7800 N MILWAUKEE AVE | AddressLine1Txt |
| City | NILES | CityNm |
| State Abbreviation | IL | StateAbbreviationCd |
| ZIP | 607143124 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990PF | ReturnTypeCd |
| Tax Period Begin | 2018-01-01 | TaxPeriodBeginDt |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 311809141 | EIN |
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | PRATIMA N SHAH FAMILY FOUNDATION | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Control | PRAT | BusinessNameControlTxt |
| Phone | 3129226400 | PhoneNum |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 300 S WACKER DR RM/STE 200 | AddressLine1Txt |
| City | CHICAGO | CityNm |
| State Abbreviation | IL | StateAbbreviationCd |
| ZIP | 60606 | ZIPCd |
Business Officer BusinessOfficerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | SMITA SHAH | PersonNm |
| Person Title | TREASURER | PersonTitleTxt |
| Phone | 3129226400 | PhoneNum |
| Signature | 2019-11-13 | SignatureDt |
| Discuss With Paid Preparer | Yes (true) | DiscussWithPaidPreparerInd |
Preparer Person PreparerPersonGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Person | MICHAEL J RYAN | PreparerPersonNm |
| PTIN | P00025318 | PTIN |
| Phone | 8479662040 | PhoneNum |
| Preparation | 2019-11-13 | PreparationDt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax | 2018 | TaxYr |
| Build TS | 2022-09-23 18:48:47Z | BuildTS |
Form 990-PF IRS990PF
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization501c3 Exempt PF | Yes (X) | Organization501c3ExemptPFInd |
| FMV Assets EOY | $2,598,648 | FMVAssetsEOYAmt |
| Method Of Accounting Cash | Yes (X) | MethodOfAccountingCashInd |
Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contri Rcvd Rev And Expnss | $300,000 | ContriRcvdRevAndExpnssAmt |
| Interest On Sav Rev And Expnss | $12,497 | InterestOnSavRevAndExpnssAmt |
| Interest On Sav Net Invst Incm | $12,497 | InterestOnSavNetInvstIncmAmt |
| Dividends Rev And Expnss | $46,913 | DividendsRevAndExpnssAmt |
| Dividends Net Invst Incm | $46,913 | DividendsNetInvstIncmAmt |
| Net Gain Sale Ast Rev And Expnss | $33,407 | NetGainSaleAstRevAndExpnssAmt |
| Gross Sales Price | $2,370,839 | GrossSalesPriceAmt |
| Cap Gain Net Incm Net Invst Incm | $33,407 | CapGainNetIncmNetInvstIncmAmt |
| Other Income Rev And Expnss | $27 | OtherIncomeRevAndExpnssAmt |
| Other Income Net Invst Incm | $27 | OtherIncomeNetInvstIncmAmt |
| Total Rev And Expnss | $392,844 | TotalRevAndExpnssAmt |
| Total Net Invst Incm | $92,844 | TotalNetInvstIncmAmt |
| Accounting Fees Rev And Expnss | $2,800 | AccountingFeesRevAndExpnssAmt |
| Taxes Rev And Expnss | $2,478 | TaxesRevAndExpnssAmt |
| Other Expenses Rev And Expnss | $2,829 | OtherExpensesRevAndExpnssAmt |
| Other Expenses Net Invst Incm | $2,829 | OtherExpensesNetInvstIncmAmt |
| Tot Opr Expenses Rev And Expnss | $8,107 | TotOprExpensesRevAndExpnssAmt |
| Tot Opr Expenses Net Invst Incm | $2,829 | TotOprExpensesNetInvstIncmAmt |
| Tot Opr Expenses Dsbrs Chrtbl | $0 | TotOprExpensesDsbrsChrtblAmt |
| Contri Paid Rev And Expnss | $195,000 | ContriPaidRevAndExpnssAmt |
| Contri Paid Dsbrs Chrtbl | $195,000 | ContriPaidDsbrsChrtblAmt |
| Total Expenses Rev And Expnss | $203,107 | TotalExpensesRevAndExpnssAmt |
| Total Expenses Net Invst Incm | $2,829 | TotalExpensesNetInvstIncmAmt |
| Total Expenses Dsbrs Chrtbl | $195,000 | TotalExpensesDsbrsChrtblAmt |
| Excess Revenue Over Expenses | $189,737 | ExcessRevenueOverExpensesAmt |
| Net Investment Income | $90,015 | NetInvestmentIncomeAmt |
Form990 PF Balance Sheets Form990PFBalanceSheetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Cash BOY | $327,229 | CashBOYAmt |
| Cash EOY | $144,914 | CashEOYAmt |
| Cash EOYFMV | $144,914 | CashEOYFMVAmt |
| Corporate Stock BOY | $1,617,001 | CorporateStockBOYAmt |
| Corporate Stock EOY | $1,962,344 | CorporateStockEOYAmt |
| Corporate Stock EOYFMV | $1,995,439 | CorporateStockEOYFMVAmt |
| Corporate Bonds BOY | $455,050 | CorporateBondsBOYAmt |
| Corporate Bonds EOY | $481,759 | CorporateBondsEOYAmt |
| Corporate Bonds EOYFMV | $458,295 | CorporateBondsEOYFMVAmt |
| Total Assets BOY | $2,399,280 | TotalAssetsBOYAmt |
| Total Assets EOY | $2,589,017 | TotalAssetsEOYAmt |
| Total Assets EOYFMV | $2,598,648 | TotalAssetsEOYFMVAmt |
| Total Liabilities EOY | $0 | TotalLiabilitiesEOYAmt |
| Org Does Not Follow SFAS117 | Yes (X) | OrgDoesNotFollowSFAS117Ind |
| Retained Earning BOY | $2,399,280 | RetainedEarningBOYAmt |
| Retained Earning EOY | $2,589,017 | RetainedEarningEOYAmt |
| Tot Net Ast Or Fund Balances BOY | $2,399,280 | TotNetAstOrFundBalancesBOYAmt |
| Tot Net Ast Or Fund Balances EOY | $2,589,017 | TotNetAstOrFundBalancesEOYAmt |
| Total Liabilities Net Ast BOY | $2,399,280 | TotalLiabilitiesNetAstBOYAmt |
| Total Liabilities Net Ast EOY | $2,589,017 | TotalLiabilitiesNetAstEOYAmt |
Chg In Net Assets Fund Balances ChgInNetAssetsFundBalancesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tot Net Ast Or Fund Balances BOY | $2,399,280 | TotNetAstOrFundBalancesBOYAmt |
| Excess Revenue Over Expenses | $189,737 | ExcessRevenueOverExpensesAmt |
| Subtotal | $2,589,017 | SubtotalAmt |
| Tot Net Ast Or Fund Balances EOY | $2,589,017 | TotNetAstOrFundBalancesEOYAmt |
Cap Gains Loss Tx Invst Incm Detail CapGainsLossTxInvstIncmDetail
Cap Gains Loss Tx Invst Incm CapGainsLossTxInvstIncmGrp (292 entries)
| PropertyPropertyDesc | How AcquiredHowAcquiredCd | AcquiredAcquiredDt | SoldSoldDt | Gross Sales PriceGrossSalesPriceAmt | Cost Or Other BasisCostOrOtherBasisAmt | Gain Or LossGainOrLossAmt | Gains Minus Excess Or LossesGainsMinusExcessOrLossesAmt |
|---|---|---|---|---|---|---|---|
| UNITED RENTALS INC | P | 2018-10-08 | 2018-12-11 | $21,095 | $21,095 | ||
| WELLS FARGO CO NEW COM | P | 2018-08-30 | 2018-10-04 | $276 | $276 | ||
| CVS HEALTH CORP COM | P | 2018-11-30 | 2018-11-30 | $66 | $67 | -$1 | -$1 |
| AMAZON.COM INC | P | 2016-11-18 | 2018-01-31 | $4,354 | $2,294 | $2,060 | $2,060 |
| GARRETT MOTION INC COM | P | 2017-04-12 | 2018-10-03 | $3 | $3 | ||
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2014-08-29 | 2018-03-07 | $91 | $95 | -$4 | -$4 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2015-10-30 | 2018-03-07 | $40 | $41 | -$1 | -$1 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2016-12-30 | 2018-03-07 | $101 | $102 | -$1 | -$1 |
| AON PLC COM | P | 2018-08-10 | 2018-08-28 | $14,505 | $14,150 | $355 | $355 |
| BANK NEW YORK MELLON CORP | P | 2018-08-05 | 2018-10-04 | $20,980 | $20,761 | $219 | $219 |
| CITIGROUP INC COM | P | 2018-06-14 | 2018-07-20 | $27,786 | $26,542 | $1,244 | $1,244 |
| EMERA INC COM | P | 2017-12-29 | 2018-03-16 | $3,083 | $3,737 | -$654 | -$654 |
| GENERAL ELECTRIC CO | P | 2017-11-27 | 2018-05-11 | $7,306 | $9,204 | -$1,898 | -$1,898 |
| KRAFT HEINZ CO COM | P | 2018-09-10 | 2018-09-20 | $15,027 | $14,911 | $116 | $116 |
| LOWES COS INC COM | P | 2017-08-21 | 2018-05-23 | $5,933 | $4,646 | $1,287 | $1,287 |
| PHILLIPS 66 COM | P | 2018-09-20 | 2018-09-26 | $11,380 | $11,062 | $318 | $318 |
| TATA MOTORS LIMITED | P | 2017-12-01 | 2018-01-03 | $27,141 | $24,665 | $2,476 | $2,476 |
| WALMART INC COM | P | 2018-05-09 | 2018-07-10 | $12,006 | $11,350 | $656 | $656 |
| BANK OF NOVA SCOTIA COM | P | 2016-07-28 | 2018-09-05 | $329 | $291 | $38 | $38 |
| FRANKLIN RES INC COM | P | 2017-07-11 | 2018-12-12 | $22,395 | $31,573 | -$9,178 | -$9,178 |
| UNITED RENTALS INC | P | 2018-10-08 | 2018-12-11 | $15,822 | $15,822 | ||
| FRANKLIN RES INC COM | P | 2017-07-11 | 2018-08-07 | $5,725 | $7,780 | -$2,055 | -$2,055 |
| VIRTUS SEIX FLOATING RATE HIGH INC | P | 2017-03-31 | 2018-03-07 | $100 | $101 | -$1 | -$1 |
| BLACKROCK INC | P | 2016-06-17 | 2018-01-26 | $2,927 | $1,715 | $1,212 | $1,212 |
| GARRETT MOTION INC COM | P | 2017-06-21 | 2018-10-03 | $3 | $3 | ||
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2014-09-30 | 2018-03-07 | $85 | $87 | -$2 | -$2 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2015-11-30 | 2018-03-07 | $99 | $96 | $3 | $3 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2017-01-31 | 2018-03-07 | $93 | $93 | ||
| AON PLC COM | P | 2018-08-10 | 2018-08-30 | $7,216 | $7,075 | $141 | $141 |
| BANK NEW YORK MELLON CORP | P | 2018-08-05 | 2018-10-04 | $5,244 | $5,190 | $54 | $54 |
| CITIGROUP INC COM | P | 2018-06-14 | 2018-07-20 | $6,946 | $6,635 | $311 | $311 |
| EMERA INC COM | P | 2017-12-29 | 2018-03-16 | $15,432 | $18,687 | -$3,255 | -$3,255 |
| GENPACT LIMITED COM | P | 2018-01-05 | 2018-02-20 | $31,579 | $33,244 | -$1,665 | -$1,665 |
| KRAFT HEINZ CO COM | P | 2018-09-18 | 2018-09-20 | $8,091 | $7,956 | $135 | $135 |
| LOWES COS INC COM | P | 2017-11-06 | 2018-09-17 | $421 | $287 | $134 | $134 |
| PHILLIPS 66 COM | P | 2018-09-20 | 2018-10-01 | $5,710 | $5,531 | $179 | $179 |
| TATA MOTORS LIMITED | P | 2018-01-30 | 2018-12-31 | $11,973 | $30,984 | -$19,011 | -$19,011 |
| WALMART INC COM | P | 2018-05-09 | 2018-11-16 | $10,738 | $9,051 | $1,687 | $1,687 |
| BANK OF NOVA SCOTIA COM | P | 2016-10-28 | 2018-09-05 | $314 | $298 | $16 | $16 |
| GENERAL ELECTRIC CO | P | 2017-11-27 | 2018-12-31 | $3,705 | $9,204 | -$5,499 | -$5,499 |
| BRITISH AMERICAN TOBACCO | P | 2017-08-03 | 2018-05-11 | $31,400 | $34,371 | -$2,971 | -$2,971 |
| COMPUTER MODELLING GROUP | P | 2018-07-16 | 2018-08-07 | $3,061 | $3,079 | -$18 | -$18 |
| VIRTUS SEIX FLOATING RATE HIGH INC | P | 2017-04-28 | 2018-03-07 | $100 | $101 | -$1 | -$1 |
| CIGNA CORP NEW COM | P | 2009-08-10 | 2018-12-26 | $56 | $43 | $13 | $13 |
| OMNICOM CAP INC | P | 2014-05-23 | 2018-01-24 | $5,723 | $4,888 | $835 | $835 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2014-10-31 | 2018-03-07 | $92 | $94 | -$2 | -$2 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2015-12-31 | 2018-03-07 | $102 | $97 | $5 | $5 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2017-02-28 | 2018-03-07 | $89 | $89 | ||
| AON PLC COM | P | 2018-08-10 | 2018-08-30 | $21,643 | $21,226 | $417 | $417 |
| BANK NEW YORK MELLON CORP | P | 2018-08-14 | 2018-11-21 | $10,151 | $10,294 | -$143 | -$143 |
| COMPUTER MODELLING GROUP | P | 2018-07-16 | 2018-08-07 | $3,074 | $3,098 | -$24 | -$24 |
| EMERA INC COM | P | 2017-12-29 | 2018-03-16 | $15,432 | $18,692 | -$3,260 | -$3,260 |
| IRON MOUNTAIN INC COM | P | 2018-06-11 | 2018-08-03 | $36,058 | $34,636 | $1,422 | $1,422 |
| KRAFT HEINZ CO COM | P | 2018-09-18 | 2018-09-20 | $5,779 | $5,683 | $96 | $96 |
| LOWES COS INC COM | P | 2018-02-05 | 2018-09-17 | $323 | $289 | $34 | $34 |
| PINNACLE WEST CAP CP | P | 2018-01-16 | 2018-03-05 | $15,565 | $15,747 | -$182 | -$182 |
| TRIUMPH GROUP INC NEW | P | 2018-02-05 | 2018-02-21 | $27 | $25 | $2 | $2 |
| WELLS FARGO CO NEW COM | P | 2018-03-26 | 2018-10-04 | $10,683 | $10,441 | $242 | $242 |
| BANK OF NOVA SCOTIA COM | P | 2017-01-30 | 2018-09-05 | $292 | $306 | -$14 | -$14 |
| GENERAL ELECTRIC CO | P | 2017-12-13 | 2018-12-31 | $10,894 | $26,210 | -$15,316 | -$15,316 |
| JOHNSON OUTDOORS INCCL A | P | 2018-09-18 | 2018-10-16 | $15,395 | $15,395 | ||
| LITHIA MOTORS INC CLA | P | 2018-03-14 | 2018-09-10 | $136 | $147 | -$11 | -$11 |
| VIRTUS SEIX FLOATING RATE HIGH INC | P | 2017-05-31 | 2018-03-07 | $103 | $104 | -$1 | -$1 |
| CIGNA CORP NEW COM | P | 2011-09-20 | 2018-12-26 | $20 | $20 | ||
| PRAXAIR INC | P | 2006-09-06 | 2018-10-31 | $5,721 | $2,008 | $3,713 | $3,713 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2014-11-28 | 2018-03-07 | $89 | $91 | -$2 | -$2 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2016-01-29 | 2018-03-07 | $102 | $96 | $6 | $6 |
| ABM INDS INC COM | P | 2018-07-16 | 2018-08-02 | $31,087 | $30,704 | $383 | $383 |
| AON PLC COM | P | 2018-08-14 | 2018-08-30 | $21,643 | $21,011 | $632 | $632 |
| BANK OF NOVA SCOTIA COM | P | 2017-10-30 | 2018-09-05 | $299 | $340 | -$41 | -$41 |
| COMPUTER MODELLING GROUP | P | 2018-07-16 | 2018-08-07 | $1,537 | $1,568 | -$31 | -$31 |
| EMERA INC COM | P | 2017-12-29 | 2018-03-16 | $12,343 | $14,957 | -$2,614 | -$2,614 |
| IRON MOUNTAIN INC COM | P | 2018-06-18 | 2018-08-03 | $7,212 | $6,621 | $591 | $591 |
| L BRANDS INC COM | P | 2017-03-31 | 2018-01-05 | $1,512 | $1,425 | $87 | $87 |
| LOWES COS INC COM | P | 2018-05-07 | 2018-09-17 | $394 | $290 | $104 | $104 |
| PINNACLE WEST CAP CP | P | 2018-01-16 | 2018-03-05 | $7,783 | $7,872 | -$89 | -$89 |
| TRIUMPH GROUP INC NEW | P | 2018-02-05 | 2018-02-21 | $27,453 | $25,229 | $2,224 | $2,224 |
| WELLS FARGO CO NEW COM | P | 2018-03-26 | 2018-10-04 | $26,707 | $26,104 | $603 | $603 |
| BANK OF NOVA SCOTIA COM | P | 2017-04-27 | 2018-09-05 | $315 | $306 | $9 | $9 |
| LOWES COS INC COM | P | 2017-08-21 | 2017-08-21 | $22,779 | $14,748 | $8,031 | $8,031 |
| UNITED RENTALS INC | P | 2018-10-12 | 2018-12-28 | $20,260 | $24,162 | -$3,902 | -$3,902 |
| BIG LOTS INC COM | P | 2018-03-16 | 2018-06-07 | $21,266 | $23,486 | -$2,220 | -$2,220 |
| VIRTUS SEIX FLOATING RATE HIGH INC | P | 2017-06-30 | 2018-03-07 | $100 | $101 | -$1 | -$1 |
| CIGNA CORP NEW COM | P | 2011-10-06 | 2018-12-26 | $56 | $50 | $6 | $6 |
| PRAXAIR INC | P | 2008-12-12 | 2018-10-31 | $3,269 | $1,114 | $2,155 | $2,155 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2014-12-18 | 2018-03-07 | $9 | $10 | -$1 | -$1 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2016-02-29 | 2018-03-07 | $106 | $98 | $8 | $8 |
| ABM INDS INC COM | P | 2018-07-17 | 2018-08-02 | $15,544 | $14,741 | $803 | $803 |
| AON PLC COM | P | 2018-08-16 | 2018-09-04 | $122 | $120 | $2 | $2 |
| BANK OF NOVA SCOTIA COM | P | 2018-01-30 | 2018-09-05 | $308 | $357 | -$49 | -$49 |
| CRACKER BARREL OLD CTRY | P | 2018-08-23 | 2018-09-04 | $45,608 | $45,410 | $198 | $198 |
| FLUOR CORP NEW | P | 2017-03-30 | 2018-01-29 | $172 | $147 | $25 | $25 |
| IRON MOUNTAIN INC COM | P | 2018-06-18 | 2018-08-07 | $11,400 | $10,495 | $905 | $905 |
| L BRANDS INC COM | P | 2017-04-04 | 2018-01-05 | $3,509 | $3,072 | $437 | $437 |
| LOWES COS INC COM | P | 2018-08-06 | 2018-09-17 | $117 | $101 | $16 | $16 |
| PINNACLE WEST CAP CP | P | 2018-01-16 | 2018-09-11 | $7,969 | $7,872 | $97 | $97 |
| UNILEVER PLC SPON ADR NEW | P | 2018-02-14 | 2018-03-28 | $11,088 | $10,553 | $535 | $535 |
| WELLS FARGO CO NEW COM | P | 2018-10-02 | 2018-10-04 | $15,479 | $15,115 | $364 | $364 |
| BANK OF NOVA SCOTIA COM | P | 2017-07-28 | 2018-09-05 | $306 | $334 | -$28 | -$28 |
| WALMART INC COM | P | 2017-01-30 | 2018-07-10 | $4,353 | $3,299 | $1,054 | $1,054 |
| BANK NEW YORK MELLON CORP | P | 2018-08-08 | 2018-11-21 | $40,201 | $40,758 | -$557 | -$557 |
| L BRANDS INC COM | P | 2017-04-04 | 2018-03-09 | $8,331 | $8,782 | -$451 | -$451 |
| VIRTUS SEIX FLOATING RATE HIGH INC | P | 2017-07-31 | 2018-03-07 | $103 | $104 | -$1 | -$1 |
| COMCAST CORP | P | 2016-06-17 | 2018-01-26 | $3,551 | $2,261 | $1,290 | $1,290 |
| PRAXAIR INC | P | 2010-01-27 | 2018-10-31 | $817 | $381 | $436 | $436 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2014-12-31 | 2018-03-07 | $92 | $93 | -$1 | -$1 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2016-03-31 | 2018-03-07 | $109 | $104 | $5 | $5 |
| AIR FRANCE-KLM SPONSADR EACH REP 1 C | P | 2018-08-28 | 2018-11-06 | $9,684 | $9,762 | -$78 | -$78 |
| APPLE INC | P | 2017-11-14 | 2018-11-05 | $7 | $6 | $1 | $1 |
| BANK OF NOVA SCOTIA COM | P | 2018-04-27 | 2018-09-05 | $331 | $358 | -$27 | -$27 |
| CRACKER BARREL OLD CTRY | P | 2018-08-27 | 2018-09-04 | $22,804 | $22,485 | $319 | $319 |
| FLUOR CORP NEW | P | 2017-07-17 | 2018-01-29 | $202 | $149 | $53 | $53 |
| IRON MOUNTAIN INC COM | P | 2018-06-18 | 2018-08-07 | $2,986 | $2,748 | $238 | $238 |
| L BRANDS INC COM | P | 2017-04-04 | 2018-01-05 | $15,075 | $13,185 | $1,890 | $1,890 |
| LOWES COS INC COM | P | 2018-08-28 | 2018-09-17 | $11,390 | $10,735 | $655 | $655 |
| PINNACLE WEST CAP CP | P | 2018-01-16 | 2018-09-11 | $349 | $351 | -$2 | -$2 |
| UNILEVER PLC SPON ADR NEW | P | 2018-01-05 | 2018-07-02 | $454 | $441 | $13 | $13 |
| APPLE INC | P | 2016-03-09 | 2018-11-05 | $692 | $349 | $343 | $343 |
| FLUOR CORP NEW | P | 2017-01-18 | 2018-01-29 | $30,902 | $26,337 | $4,565 | $4,565 |
| WALMART INC COM | P | 2017-03-29 | 2018-07-10 | $502 | $408 | $94 | $94 |
| JOHNSON OUTDOORS INCCL A | P | 2018-09-18 | 2018-10-16 | $3,849 | $3,849 | ||
| MULTICOLOR CORP | P | 2018-07-16 | 2018-12-13 | $8,769 | $15,350 | -$6,581 | -$6,581 |
| VIRTUS SEIX FLOATING RATE HIGH INC | P | 2017-08-31 | 2018-03-07 | $106 | $107 | -$1 | -$1 |
| CVS HEALTH CORP COM | P | 2006-02-09 | 2018-01-04 | $3,010 | $1,136 | $1,874 | $1,874 |
| PRUDENTIAL FINL INC | P | 2014-06-20 | 2018-09-13 | $6,212 | $5,815 | $397 | $397 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2015-01-30 | 2018-03-07 | $94 | $95 | -$1 | -$1 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2016-04-29 | 2018-03-07 | $113 | $110 | $3 | $3 |
| AIR FRANCE-KLM SPONSADR EACH REP 1 C | P | 2018-08-28 | 2018-11-06 | $3,228 | $3,405 | -$177 | -$177 |
| APPLE INC | P | 2018-02-13 | 2018-11-05 | $7 | $6 | $1 | $1 |
| BANK OF NOVA SCOTIA COM | P | 2018-07-30 | 2018-09-05 | $325 | $337 | -$12 | -$12 |
| CRACKER BARREL OLD CTRY | P | 2018-08-29 | 2018-09-04 | $1,520 | $1,493 | $27 | $27 |
| FLUOR CORP NEW | P | 2017-07-17 | 2018-01-29 | $11,986 | $8,832 | $3,154 | $3,154 |
| IRON MOUNTAIN INC COM | P | 2018-06-28 | 2018-08-07 | $612 | $585 | $27 | $27 |
| LITHIA MOTORS INC CLA | P | 2018-03-15 | 2018-09-10 | $4,128 | $5,363 | -$1,235 | -$1,235 |
| LOWES COS INC COM | P | 2018-08-31 | 2018-09-17 | $4,898 | $4,669 | $229 | $229 |
| PINNACLE WEST CAP CP | P | 2018-05-30 | 2018-09-11 | $73 | $73 | ||
| UNILEVER PLC SPON ADR NEW | P | 2018-02-14 | 2018-07-02 | $10,891 | $10,553 | $338 | $338 |
| APPLE INC | P | 2016-05-12 | 2018-11-05 | $496 | $230 | $266 | $266 |
| FLUOR CORP NEW | P | 2017-01-18 | 2018-01-29 | $202 | $171 | $31 | $31 |
| WALMART INC COM | P | 2017-05-31 | 2018-07-10 | $456 | $411 | $45 | $45 |
| AIR FRANCE-KLM SPONSADR EACH REP 1 C | P | 2018-08-28 | 2018-08-31 | $5,713 | $5,713 | ||
| FLUOR CORP NEW | P | 2018-03-29 | 2018-10-31 | $29 | $29 | ||
| VIRTUS SEIX FLOATING RATE HIGH INC | P | 2017-09-29 | 2018-03-07 | $96 | $97 | -$1 | -$1 |
| CVS HEALTH CORP COM | P | 2012-07-20 | 2018-01-04 | $1,129 | $677 | $452 | $452 |
| PRUDENTIAL FINL INC | P | 2014-10-07 | 2018-09-13 | $1,456 | $1,300 | $156 | $156 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2015-02-27 | 2018-03-07 | $88 | $89 | -$1 | -$1 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2016-05-31 | 2018-03-07 | $117 | $115 | $2 | $2 |
| AIR FRANCE-KLM SPONSADR EACH REP 1 C | P | 2018-08-28 | 2018-11-06 | $3,228 | $3,393 | -$165 | -$165 |
| APPLE INC | P | 2018-05-15 | 2018-11-05 | $7 | $7 | ||
| BANK OF NOVA SCOTIA COM | P | 2018-07-30 | 2018-09-07 | $18 | $18 | ||
| CRACKER BARREL OLD CTRY | P | 2018-08-29 | 2018-09-06 | $13,728 | $13,439 | $289 | $289 |
| FLUOR CORP NEW | P | 2017-07-17 | 2018-02-15 | $346 | $276 | $70 | $70 |
| IRON MOUNTAIN INC COM | P | 2018-06-28 | 2018-08-09 | $3 | $2 | $1 | $1 |
| LITHIA MOTORS INC CLA | P | 2018-03-15 | 2018-09-10 | $8,120 | $10,536 | -$2,416 | -$2,416 |
| LOWES COS INC COM | P | 2018-08-31 | 2018-09-17 | $17,879 | $17,050 | $829 | $829 |
| PINNACLE WEST CAP CP | P | 2018-08-30 | 2018-09-11 | $57 | $56 | $1 | $1 |
| UNILEVER PLC SPON ADR NEW | P | 2018-06-07 | 2018-07-02 | $90 | $91 | -$1 | -$1 |
| APPLE INC | P | 2016-08-09 | 2018-11-05 | $428 | $231 | $197 | $197 |
| FLUOR CORP NEW | P | 2017-01-18 | 2018-01-29 | $12,159 | $10,375 | $1,784 | $1,784 |
| FRANKLIN RES INC COM | P | 2017-07-10 | 2018-07-02 | $15,782 | $22,437 | -$6,655 | -$6,655 |
| LITHIA MOTORS INC CLA | P | 2018-03-14 | 2018-06-19 | $26,270 | $27,091 | -$821 | -$821 |
| VIRTUS SEIX FLOATING RATE HIGH INC | P | 2017-10-31 | 2018-03-07 | $100 | $101 | -$1 | -$1 |
| EXPRESS SCRIPTS HLDGCO COM | P | 2009-08-10 | 2018-12-24 | $2,402 | $2,402 | $2,402 | |
| PRUDENTIAL FINL INC | P | 2015-01-26 | 2018-09-13 | $2,427 | $2,017 | $410 | $410 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2015-03-31 | 2018-03-07 | $99 | $100 | -$1 | -$1 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2016-06-30 | 2018-03-07 | $110 | $107 | $3 | $3 |
| AIR FRANCE-KLM SPONSADR EACH REP 1 C | P | 2018-08-30 | 2018-11-06 | $4,304 | $3,994 | $310 | $310 |
| APPLE INC | P | 2018-08-14 | 2018-11-05 | $7 | $7 | ||
| BIG LOTS INC COM | P | 2018-03-16 | 2018-07-19 | $17,696 | $18,802 | -$1,106 | -$1,106 |
| CROWN HLDGS INC COM | P | 2018-09-18 | 2018-12-07 | $48 | $46 | $2 | $2 |
| FLUOR CORP NEW | P | 2017-08-07 | 2018-02-15 | $36,809 | $25,703 | $11,106 | $11,106 |
| JACOBS ENGR GROUP INC | P | 2018-06-22 | 2018-07-05 | $22,415 | $22,682 | -$267 | -$267 |
| LITHIA MOTORS INC CLA | P | 2018-03-15 | 2018-11-07 | $140 | $176 | -$36 | -$36 |
| LOWES COS INC COM | P | 2018-08-31 | 2018-09-19 | $2 | $2 | ||
| PINNACLE WEST CAP CP | P | 2018-01-16 | 2018-09-13 | $17 | $17 | ||
| UNILEVER PLC SPON ADR NEW | P | 2018-06-07 | 2018-07-05 | $8 | $9 | -$1 | -$1 |
| APPLE INC | P | 2016-11-08 | 2018-11-05 | $215 | $119 | $96 | $96 |
| FLUOR CORP NEW | P | 2017-09-29 | 2018-10-31 | $208 | $192 | $16 | $16 |
| GENERAL ELECTRIC CO | P | 2017-11-09 | 2018-05-11 | $14,611 | $19,810 | -$5,199 | -$5,199 |
| PINNACLE WEST CAP CP | P | 2018-01-16 | 2018-03-05 | $7,784 | $7,869 | -$85 | -$85 |
| VIRTUS SEIX FLOATING RATE HIGH INC | P | 2017-11-30 | 2018-03-07 | $102 | $103 | -$1 | -$1 |
| EXPRESS SCRIPTS HLDGCO COM | P | 2009-08-10 | 2018-12-24 | $36 | $13 | $23 | $23 |
| RESIDEO TECHNOLOGIESINC COM | P | 2017-03-22 | 2018-10-31 | $5 | $6 | -$1 | -$1 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2015-04-30 | 2018-03-07 | $95 | $97 | -$2 | -$2 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2016-07-29 | 2018-03-07 | $118 | $117 | $1 | $1 |
| ALLIANCE DATA SYS CORP | P | 2018-03-02 | 2018-03-12 | $47,923 | $46,452 | $1,471 | $1,471 |
| APPLE INC | P | 2018-09-19 | 2018-11-05 | $16,173 | $17,519 | -$1,346 | -$1,346 |
| BOSTON SCIENTIFIC CORP | P | 2017-12-20 | 2018-02-22 | $40,165 | $38,290 | $1,875 | $1,875 |
| CROWN HLDGS INC COM | P | 2018-09-18 | 2018-12-07 | $38,312 | $37,017 | $1,295 | $1,295 |
| FLUOR CORP NEW | P | 2017-08-07 | 2018-08-03 | $8,614 | $6,229 | $2,385 | $2,385 |
| JOHNSON OUTDOORS INCCL A | P | 2018-09-18 | 2018-11-01 | $7,290 | $9,749 | -$2,459 | -$2,459 |
| LITHIA MOTORS INC CLA | P | 2018-03-15 | 2018-11-07 | $11,722 | $14,542 | -$2,820 | -$2,820 |
| NEXEO SOLUTIONS INC COM | P | 2018-07-23 | 2018-08-08 | $8,776 | $8,517 | $259 | $259 |
| PROVIDENCE SVC CORP | P | 2018-08-02 | 2018-08-06 | $36,562 | $35,926 | $636 | $636 |
| WALMART INC COM | P | 2017-08-30 | 2018-07-10 | $34 | $31 | $3 | $3 |
| APPLE INC | P | 2017-02-14 | 2018-11-05 | $8 | $5 | $3 | $3 |
| FORD MTR CO DEL COM | P | 2017-03-23 | 2018-04-10 | $2,307 | $2,341 | -$34 | -$34 |
| BANK NEW YORK MELLON CORP | P | 2018-08-08 | 2018-10-04 | $10,489 | $10,489 | ||
| FLUOR CORP NEW | P | 2018-06-29 | 2018-10-31 | $33 | $33 | ||
| VIRTUS SEIX FLOATING RATE HIGH INC | P | 2017-12-29 | 2018-03-07 | $107 | $108 | -$1 | -$1 |
| EXPRESS SCRIPTS HLDGCO COM | P | 2011-09-20 | 2018-12-24 | $865 | $865 | $865 | |
| RESIDEO TECHNOLOGIESINC COM | P | 2017-04-12 | 2018-10-31 | $3 | $4 | -$1 | -$1 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2015-05-29 | 2018-03-07 | $99 | $101 | -$2 | -$2 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2016-08-31 | 2018-03-07 | $118 | $117 | $1 | $1 |
| ALLIANCE DATA SYS CORP | P | 2018-03-16 | 2018-06-14 | $33,594 | $34,285 | -$691 | -$691 |
| ARRIS INTERNATIONAL LTD ORD | P | 2017-12-20 | 2018-04-20 | $41,373 | $39,036 | $2,337 | $2,337 |
| BRITISH AMERICAN TOBACCO | P | 2017-10-04 | 2018-05-11 | $374 | $449 | -$75 | -$75 |
| CROWN HLDGS INC COM | P | 2018-09-24 | 2018-12-07 | $9,590 | $9,622 | -$32 | -$32 |
| FLUOR CORP NEW | P | 2017-09-29 | 2018-08-03 | $218 | $166 | $52 | $52 |
| JOHNSON OUTDOORS INCCL A | P | 2018-09-18 | 2018-11-01 | $7,290 | $11,990 | -$4,700 | -$4,700 |
| LOEWS CORP | P | 2018-02-15 | 2018-08-31 | $25,013 | $24,728 | $285 | $285 |
| NEXEO SOLUTIONS INC COM | P | 2018-07-23 | 2018-08-08 | $5,851 | $5,675 | $176 | $176 |
| PUBLIC STORAGE COM | P | 2017-12-21 | 2018-03-05 | $29,568 | $30,566 | -$998 | -$998 |
| WALMART INC COM | P | 2017-12-28 | 2018-07-10 | $27 | $31 | -$4 | -$4 |
| APPLE INC | P | 2017-05-16 | 2018-11-05 | $7 | $6 | $1 | $1 |
| FORD MTR CO DEL COM | P | 2017-03-23 | 2018-04-10 | $1,154 | $1,171 | -$17 | -$17 |
| JOHNSON OUTDOORS INCCL A | P | 2018-09-18 | 2018-11-01 | $10,935 | $18,195 | -$7,260 | -$7,260 |
| WELLS FARGO CO NEW COM | P | 2018-05-30 | 2018-10-04 | $270 | $270 | ||
| VIRTUS SEIX FLOATING RATE HIGH INC | P | 2018-01-31 | 2018-03-07 | $105 | $106 | -$1 | -$1 |
| EXPRESS SCRIPTS HLDGCO COM | P | 2011-09-20 | 2018-12-24 | $13 | $6 | $7 | $7 |
| RESIDEO TECHNOLOGIESINC COM | P | 2017-06-21 | 2018-10-31 | $3 | $4 | -$1 | -$1 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2015-06-30 | 2018-03-07 | $98 | $99 | -$1 | -$1 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2016-09-30 | 2018-03-07 | $113 | $112 | $1 | $1 |
| AMERICAN INTL GROUP INC COM | P | 2018-08-07 | 2018-08-20 | $15,831 | $16,087 | -$256 | -$256 |
| AT&T INC COM | P | 2018-07-17 | 2018-09-19 | $26,716 | $25,394 | $1,322 | $1,322 |
| BRITISH AMERICAN TOBACCO | P | 2018-02-14 | 2018-05-11 | $308 | $365 | -$57 | -$57 |
| CVR ENERGY INC COM | P | 2018-10-12 | 2018-10-25 | $11,781 | $11,410 | $371 | $371 |
| FLUOR CORP NEW | P | 2018-10-25 | 2018-10-31 | $13,064 | $12,453 | $611 | $611 |
| JOHNSON OUTDOORS INCCL A | P | 2018-09-20 | 2018-11-01 | $10,935 | $14,316 | -$3,381 | -$3,381 |
| LOEWS CORP | P | 2018-02-15 | 2018-08-31 | $5,003 | $4,949 | $54 | $54 |
| PHILIP MORRIS INTL INC COM | P | 2018-06-14 | 2018-10-25 | $9,054 | $8,078 | $976 | $976 |
| PUBLIC STORAGE COM | P | 2018-01-11 | 2018-03-07 | $19,793 | $19,539 | $254 | $254 |
| WALMART INC COM | P | 2018-03-28 | 2018-07-10 | $32 | $32 | ||
| APPLE INC | P | 2017-08-15 | 2018-11-05 | $7 | $6 | $1 | $1 |
| FORD MTR CO DEL COM | P | 2017-03-23 | 2018-04-10 | $1,154 | $1,171 | -$17 | -$17 |
| FLUOR CORP NEW | P | 2017-12-29 | 2018-10-31 | $317 | $317 | ||
| FLUOR CORP NEW | P | 2018-09-28 | 2018-10-31 | $2 | $2 | ||
| VIRTUS SEIX FLOATING RATE HIGH INC | P | 2018-02-28 | 2018-03-07 | $99 | $100 | -$1 | -$1 |
| EXPRESS SCRIPTS HLDGCO COM | P | 2011-10-06 | 2018-12-24 | $2,402 | $2,402 | $2,402 | |
| RESIDEO TECHNOLOGIESINC COM | P | 2017-10-24 | 2018-10-31 | $2 | $3 | -$1 | -$1 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2015-07-31 | 2018-03-07 | $98 | $99 | -$1 | -$1 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2016-10-31 | 2018-03-07 | $99 | $100 | -$1 | -$1 |
| AON PLC COM | P | 2018-07-31 | 2018-08-28 | $14,505 | $14,253 | $252 | $252 |
| AT&T INC COM | P | 2018-07-17 | 2018-09-19 | $6,680 | $6,349 | $331 | $331 |
| BRITISH AMERICAN TOBACCO | P | 2018-02-22 | 2018-05-11 | $7,850 | $9,027 | -$1,177 | -$1,177 |
| CVR ENERGY INC COM | P | 2018-10-12 | 2018-10-25 | $3,927 | $3,802 | $125 | $125 |
| FORD MTR CO DEL COM | P | 2017-05-26 | 2018-04-16 | $316 | $300 | $16 | $16 |
| KAR AUCTION SERVICESINC COM | P | 2018-06-12 | 2018-07-12 | $17,880 | $16,577 | $1,303 | $1,303 |
| LOEWS CORP | P | 2018-02-21 | 2018-08-31 | $20,010 | $20,065 | -$55 | -$55 |
| PHILIP MORRIS INTL INC COM | P | 2018-06-14 | 2018-10-25 | $9,054 | $8,074 | $980 | $980 |
| PUBLIC STORAGE COM | P | 2018-01-11 | 2018-03-07 | $19,793 | $19,535 | $258 | $258 |
| WALMART INC COM | P | 2018-04-12 | 2018-07-10 | $12,009 | $11,898 | $111 | $111 |
| BANK OF NOVA SCOTIA COM | P | 2015-11-24 | 2018-09-05 | $39,807 | $31,859 | $7,948 | $7,948 |
| FORD MTR CO DEL COM | P | 2017-03-23 | 2018-04-10 | $5,761 | $5,853 | -$92 | -$92 |
| BANK NEW YORK MELLON CORP | P | 2018-07-30 | 2018-09-20 | $53,278 | $53,278 | ||
| LITHIA MOTORS INC CLA | P | 2018-03-14 | 2018-11-07 | $85 | $104 | -$19 | -$19 |
| AETNA INC NEW COM | P | 2008-10-02 | 2018-11-29 | $5,306 | $917 | $4,389 | $4,389 |
| EXPRESS SCRIPTS HLDGCO COM | P | 2011-10-06 | 2018-12-24 | $36 | $15 | $21 | $21 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2014-07-18 | 2018-03-07 | $24,036 | $25,030 | -$994 | -$994 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2015-08-31 | 2018-03-07 | $102 | $103 | -$1 | -$1 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2016-11-30 | 2018-03-07 | $99 | $99 | ||
| AON PLC COM | P | 2018-08-02 | 2018-08-28 | $14,505 | $14,144 | $361 | $361 |
| BANCO MARCO SA ADR | P | 2018-09-12 | 2018-09-20 | $6,492 | $6,085 | $407 | $407 |
| BRITISH AMERICAN TOBACCO | P | 2018-03-02 | 2018-05-11 | $15,700 | $17,560 | -$1,860 | -$1,860 |
| CVR ENERGY INC COM | P | 2018-10-12 | 2018-10-25 | $3,927 | $3,803 | $124 | $124 |
| FORD MTR CO DEL COM | P | 2017-08-29 | 2018-04-16 | $73 | $69 | $4 | $4 |
| KAR AUCTION SERVICESINC COM | P | 2018-06-12 | 2018-07-12 | $11,923 | $11,049 | $874 | $874 |
| LOWES COS INC COM | P | 2017-08-21 | 2018-05-23 | $8,760 | $6,858 | $1,902 | $1,902 |
| PHILIP MORRIS INTL INC COM | P | 2018-06-14 | 2018-10-25 | $9,054 | $8,073 | $981 | $981 |
| PUBLIC STORAGE COM | P | 2018-01-11 | 2018-03-28 | $10,109 | $9,768 | $341 | $341 |
| WALMART INC COM | P | 2018-04-12 | 2018-07-10 | $17,412 | $17,252 | $160 | $160 |
| BANK OF NOVA SCOTIA COM | P | 2016-01-27 | 2018-09-05 | $375 | $261 | $114 | $114 |
| FORD MTR CO DEL COM | P | 2017-03-23 | 2018-04-10 | $1,154 | $1,171 | -$17 | -$17 |
| GENERAL ELECTRIC CO | P | 2017-11-09 | 2018-12-31 | $221 | $564 | -$343 | -$343 |
| UNILEVER PLC SPON ADR NEW | P | 2018-01-05 | 2018-03-28 | $33,264 | $33,306 | -$42 | -$42 |
| AETNA INC NEW COM | P | 2008-12-16 | 2018-11-29 | $10,613 | $1,215 | $9,398 | $9,398 |
| GARRETT MOTION INC COM | P | 2017-03-22 | 2018-10-03 | $5 | $5 | ||
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2014-07-31 | 2018-03-07 | $32 | $33 | -$1 | -$1 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2015-09-30 | 2018-03-07 | $93 | $91 | $2 | $2 |
| VIRTUS SEIX FLOATINGRATE HIGH INCOME | P | 2016-12-15 | 2018-03-07 | $14 | $15 | -$1 | -$1 |
| AON PLC COM | P | 2018-08-03 | 2018-08-28 | $14,505 | $14,178 | $327 | $327 |
| BANCO MARCO SA ADR | P | 2018-09-12 | 2018-09-20 | $4,328 | $4,051 | $277 | $277 |
| BRITISH AMERICAN TOBACCO | P | 2018-04-18 | 2018-05-11 | $7,168 | $7,490 | -$322 | -$322 |
| CVR ENERGY INC COM | P | 2018-10-17 | 2018-10-25 | $19,635 | $19,156 | $479 | $479 |
| FRANKLIN RES INC COM | P | 2017-07-11 | 2018-07-02 | $3,156 | $4,510 | -$1,354 | -$1,354 |
| KRAFT HEINZ CO COM | P | 2018-09-10 | 2018-09-20 | $25,425 | $25,234 | $191 | $191 |
| LOWES COS INC COM | P | 2017-08-21 | 2018-05-23 | $32,397 | $25,367 | $7,030 | $7,030 |
| PHILLIPS 66 COM | P | 2018-09-12 | 2018-09-26 | $28,449 | $28,129 | $320 | $320 |
| TATA MOTORS LIMITED | P | 2017-11-30 | 2018-01-03 | $23,749 | $21,802 | $1,947 | $1,947 |
| WALMART INC COM | P | 2018-04-12 | 2018-07-10 | $5,403 | $5,354 | $49 | $49 |
| BANK OF NOVA SCOTIA COM | P | 2016-04-27 | 2018-09-05 | $331 | $302 | $29 | $29 |
| FORD MTR CO DEL COM | P | 2017-03-23 | 2018-04-16 | $11,430 | $11,707 | -$277 | -$277 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Capital Gain Net Income | $33,407 | CapitalGainNetIncomeAmt |
| Net Short Term Capital Gain Loss | -$16,204 | NetShortTermCapitalGainLossAmt |
Qlfy Und Sect4940e Reduced Tax QlfyUndSect4940eReducedTaxGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Liable Section4942 Tax | Yes (true) | LiableSection4942TaxInd |
Excise Tax Based On Invst Incm ExciseTaxBasedOnInvstIncmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Investment Income Excise Tax | $1,800 | InvestmentIncomeExciseTaxAmt |
| Subtotal | $1,800 | SubtotalAmt |
| Tax Based On Investment Income | $1,800 | TaxBasedOnInvestmentIncomeAmt |
| Estimated Plus Ovpmt Incm Tx | $1,200 | EstimatedPlusOvpmtIncmTxAmt |
| Extsn Request Income Tax Paid | $1,200 | ExtsnRequestIncomeTaxPaidAmt |
| Total Payments And Credits | $2,400 | TotalPaymentsAndCreditsAmt |
| Overpayment | $600 | OverpaymentAmt |
| Applied To ES Tax | $600 | AppliedToESTaxAmt |
Statements Regarding Acty StatementsRegardingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Legislative Political Acty | false | LegislativePoliticalActyInd |
| More Than100 Spent | false | MoreThan100SpentInd |
| Form1120 POL Filed | false | Form1120POLFiledInd |
| Activities Not Previously Rpt | false | ActivitiesNotPreviouslyRptInd |
| Changes To Articles Or Bylaws | false | ChangesToArticlesOrBylawsInd |
| Unrelated Bus Incm Over Limit | false | UnrelatedBusIncmOverLimitInd |
| Organization Dissolved Etc | false | OrganizationDissolvedEtcInd |
| Section508e Rqr Satisfied | Yes (true) | Section508eRqrSatisfiedInd |
| At Least5000 In Assets | Yes (true) | AtLeast5000InAssetsInd |
| Org Report Or Register State | IL | OrgReportOrRegisterStateCd |
| Form990 PF Filed With Atty Gen | Yes (true) | Form990PFFiledWithAttyGenInd |
| Private Operating Foundation | false | PrivateOperatingFoundationInd |
| New Substantial Contributors | false | NewSubstantialContributorsInd |
| Own Controlled Entity | false | OwnControlledEntityInd |
| Donor Advised Fund | false | DonorAdvisedFundInd |
| Comply With Public Insp Rqr | Yes (true) | ComplyWithPublicInspRqrInd |
| Website Address | N/A | WebsiteAddressTxt |
| Individual With Books | SMITA SHAH | IndividualWithBooksNm |
| Phone | 3129226400 | PhoneNum |
Location Of Books US Address LocationOfBooksUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 300 S WACKER | AddressLine1Txt |
| City | CHICAGO | CityNm |
| State Abbreviation | IL | StateAbbreviationCd |
| ZIP | 60606 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Foreign Accounts Question | false | ForeignAccountsQuestionInd |
Statements Regarding Acty4720 StatementsRegardingActy4720Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sale Or Exch Disqualified Prsn | false | SaleOrExchDisqualifiedPrsnInd |
| Brrw Or Lend Disqualified Prsn | false | BrrwOrLendDisqualifiedPrsnInd |
| Furn Goods Disqualified Prsn | false | FurnGoodsDisqualifiedPrsnInd |
| Pay Comp Disqualified Prsn | false | PayCompDisqualifiedPrsnInd |
| Transfer Ast Disqualified Prsn | false | TransferAstDisqualifiedPrsnInd |
| Payment To Government Official | false | PaymentToGovernmentOfficialInd |
| Undistributed Income PY | false | UndistributedIncomePYInd |
| Business Holdings | false | BusinessHoldingsInd |
| Jeopardy Investments | false | JeopardyInvestmentsInd |
| Uncorrected PY Jeopardy Invst | false | UncorrectedPYJeopardyInvstInd |
| Influence Legislation | false | InfluenceLegislationInd |
| Influence Election | false | InfluenceElectionInd |
| Grants To Individuals | false | GrantsToIndividualsInd |
| Grants To Organizations | Yes (true) | GrantsToOrganizationsInd |
| Noncharitable Purpose | false | NoncharitablePurposeInd |
| Transactions Fail To Qlfy As Exc | false | TransactionsFailToQlfyAsExcInd |
| Maintained Expenditure Rspns | Yes (true) | MaintainedExpenditureRspnsInd |
| Rcv Fnds To Pay Prsnl Bnft Cntrct | false | RcvFndsToPayPrsnlBnftCntrctInd |
| Pay Premiums Prsnl Bnft Cntrct | false | PayPremiumsPrsnlBnftCntrctInd |
| Prohibited Tax Shelter Trans | false | ProhibitedTaxShelterTransInd |
| Subj To Tax Rmnrtn Ex Prcht Pymt | false | SubjToTaxRmnrtnExPrchtPymtInd |
Officer Dir Trst Key Empl Info OfficerDirTrstKeyEmplInfoGrp
Officer Dir Trst Key Empl OfficerDirTrstKeyEmplGrp (3 entries)
| Address Line1USAddress/AddressLine1Txt | CityUSAddress/CityNm | State AbbreviationUSAddress/StateAbbreviationCd | ZIPUSAddress/ZIPCd | TitleTitleTxt | Average Hrs Per Wk Devoted To PosAverageHrsPerWkDevotedToPosRt | CompensationCompensationAmt | Employee Benefit ProgramEmployeeBenefitProgramAmt | Expense Account Other AllwncExpenseAccountOtherAllwncAmt |
|---|---|---|---|---|---|---|---|---|
| NIRANJAN SHAH | ||||||||
| 300 S WACKER | CHICAGO | IL | 60606 | PRESIDENT | 000.00 | $0 | $0 | $0 |
| PRATIMA N SHAH | ||||||||
| 300 S WACKER | CHICAGO | IL | 60606 | VICE PRESIDE | 000.00 | $0 | $0 | $0 |
| SMITA SHAH | ||||||||
| 300 S WACKER | CHICAGO | IL | 60606 | TREASURER | 000.00 | $0 | $0 | $0 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Comp Of Hghst Pd Empl Or NONE | NONE | CompOfHghstPdEmplOrNONETxt |
| Comp Of Hghst Pd Cntrct Or NONE | NONE | CompOfHghstPdCntrctOrNONETxt |
Sum Of Program Related Invst SumOfProgramRelatedInvstGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description1 | N/A | Description1Txt |
Minimum Investment Return MinimumInvestmentReturnGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Average Monthly FMV Of Sec | $2,419,835 | AverageMonthlyFMVOfSecAmt |
| Average Monthly Cash Balances | $236,071 | AverageMonthlyCashBalancesAmt |
| FMV All Other Noncharitable Ast | $0 | FMVAllOtherNoncharitableAstAmt |
| Total FMV Of Unused Assets | $2,655,906 | TotalFMVOfUnusedAssetsAmt |
| Adjusted Total FMV Of Unused Ast | $2,655,906 | AdjustedTotalFMVOfUnusedAstAmt |
| Cash Deemed Charitable | $39,839 | CashDeemedCharitableAmt |
| Net Vl Noncharitable Assets | $2,616,067 | NetVlNoncharitableAssetsAmt |
| Minimum Investment Return | $130,803 | MinimumInvestmentReturnAmt |
Distributable Amount DistributableAmountGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Minimum Investment Return | $130,803 | MinimumInvestmentReturnAmt |
| Tax Based On Investment Income | $1,800 | TaxBasedOnInvestmentIncomeAmt |
| Total Tax | $1,800 | TotalTaxAmt |
| Distributable Before Adj | $129,003 | DistributableBeforeAdjAmt |
| Distributable Before Ded | $129,003 | DistributableBeforeDedAmt |
| Distributable As Adjusted | $129,003 | DistributableAsAdjustedAmt |
Qualifying Distri Part XII QualifyingDistriPartXIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expenses And Contributions | $195,000 | ExpensesAndContributionsAmt |
| Qualifying Distributions | $195,000 | QualifyingDistributionsAmt |
| Adjusted Qualifying Distri | $195,000 | AdjustedQualifyingDistriAmt |
Undistributed Income UndistributedIncomeGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Distributable As Adjusted | $129,003 | DistributableAsAdjustedAmt |
| Undistributed Income PY | $34,116 | UndistributedIncomePYAmt |
| Qualifying Distributions | $195,000 | QualifyingDistributionsAmt |
| Applied To Year1 | $34,116 | AppliedToYear1Amt |
| Applied To Current Year | $129,003 | AppliedToCurrentYearAmt |
| Remaining Distri From Corpus | $31,881 | RemainingDistriFromCorpusAmt |
| Total Corpus | $31,881 | TotalCorpusAmt |
| Undistributed Income CY | $0 | UndistributedIncomeCYAmt |
| Excess Distri Cyov To Next Yr | $31,881 | ExcessDistriCyovToNextYrAmt |
| Excess From Current Year | $31,881 | ExcessFromCurrentYearAmt |
Supplementary Information SupplementaryInformationGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Only Contri To Preselected | Yes (X) | OnlyContriToPreselectedInd |
Grant Or Contribution Pd Dur Yr GrantOrContributionPdDurYrGrp (5 entries)
| Address Line1RecipientUSAddress/AddressLine1Txt | CityRecipientUSAddress/CityNm | State AbbreviationRecipientUSAddress/StateAbbreviationCd | ZIPRecipientUSAddress/ZIPCd | Recipient Foundation StatusRecipientFoundationStatusTxt | Grant Or Contribution PurposeGrantOrContributionPurposeTxt | AmtAmt | Address Line1RecipientForeignAddress/AddressLine1Txt | CityRecipientForeignAddress/CityNm | Province Or StateRecipientForeignAddress/ProvinceOrStateNm | CountryRecipientForeignAddress/CountryCd | Foreign PostalRecipientForeignAddress/ForeignPostalCd |
|---|---|---|---|---|---|---|---|---|---|---|---|
| CATHOLIC EXTENSION | |||||||||||
| 150 S WACKER DR | CHICAGO | IL | 60606 | PC | SUPPORT FOR PARISH | $15,000 | |||||
| VIVEKANANDA VEDANTA SOCIETY OF CHI | |||||||||||
| 14630 LEMONT ROAD | HOMER GLEN | IL | 60491 | PC | SUPPORT FOR RELIGIOUS TEACHINGS | $120,000 | |||||
| ENVIRONMENTAL LAW & POLICY CENTER | |||||||||||
| 35 EAST WACKER DRIVE | CHICAGO | IL | 60601 | PC | SUPPORT FOR ENVIRONMENTAL POLICIES | $5,000 | |||||
| ABRAHAM LINCOLN PRES LIBRARY FDN | |||||||||||
| 500 EAST MADISON | SPRINGFIELD | IL | 62701 | PC | SUPPORT FOR EDUCATION AND LEADERSHIP | $5,000 | |||||
| RASHTRIYA ANTYODAYA SANGH | |||||||||||
| NC | SUPPORT FOR EDUCATION | $50,000 | D-191 OKHLA PHASE-1 | NEW DELHI | NEW DELHI | IN | 110020 | ||||
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Grant Or Contri Pd Dur Yr | $195,000 | TotalGrantOrContriPdDurYrAmt |
Analysis Income Producing Acty AnalysisIncomeProducingActyGrp
Int On Sav And Temp Cash Invst IntOnSavAndTempCashInvstGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $12,497 | ExclusionAmt |
Div And Int From Sec Part VII DivAndIntFromSecPartVIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $46,913 | ExclusionAmt |
Other Investment Incm Part VII OtherInvestmentIncmPartVIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $27 | ExclusionAmt |
Gain Sales Ast Oth Than Invntry GainSalesAstOthThanInvntryGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $32,317 | ExclusionAmt |
| Related Or Exempt Function Incm | $1,090 | RelatedOrExemptFunctionIncmAmt |
Subtotals Incm Producing Acty SubtotalsIncmProducingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | $91,754 | ExclusionAmt |
| Related Or Exempt Function Incm | $1,090 | RelatedOrExemptFunctionIncmAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Income Producing Acty | $92,844 | TotalIncomeProducingActyAmt |
Trnsfr Trans Rln Nonchrtbl EO TrnsfrTransRlnNonchrtblEOGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trnsfr Of Cash To Nonchrtbl EO | false | TrnsfrOfCashToNonchrtblEOInd |
| Trnsfr Other Asset Nonchrtbl EO | false | TrnsfrOtherAssetNonchrtblEOInd |
| Sales Or Exchanges Of Assets | false | SalesOrExchangesOfAssetsInd |
| Purchase Of Assets Nonchrtbl EO | false | PurchaseOfAssetsNonchrtblEOInd |
| Rental Of Facilities Oth Assets | false | RentalOfFacilitiesOthAssetsInd |
| Reimbursement Arrangements | false | ReimbursementArrangementsInd |
| Loans Or Loan Guarantees | false | LoansOrLoanGuaranteesInd |
| Performance Of Services Etc | false | PerformanceOfServicesEtcInd |
| Sharing Of Facilities Etc | false | SharingOfFacilitiesEtcInd |
| Relationships Nonchrtbl EO | Yes (true) | RelationshipsNonchrtblEOInd |
Relationship Schedule Detail RelationshipScheduleDetail
Organization Business Name OrganizationBusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | NIRANJAN SHAH EDU FUND | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization Type | FOREIGN PRIVATE | OrganizationTypeDesc |
| Relationship Description | SAME DIRECTORS | RelationshipDescriptionTxt |
Schedule B IRS990ScheduleB
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization501c3 Exempt PF | Yes (X) | Organization501c3ExemptPFInd |
| General Rule | Yes (X) | GeneralRuleInd |
Contributor Information ContributorInformationGrp (3 entries)
| ContributorContributorNum | Address Line1ContributorUSAddress/AddressLine1Txt | CityContributorUSAddress/CityNm | State AbbreviationContributorUSAddress/StateAbbreviationCd | ZIPContributorUSAddress/ZIPCd | Total ContributionsTotalContributionsAmt | Person ContributionPersonContributionInd |
|---|---|---|---|---|---|---|
| FACILITY MANAGEMENT GROUP | ||||||
| 1 | 21W547 NORTH AVE | LOMBARD | IL | 60148 | $100,000 | Yes (X) |
| NIRANJAN SHAH | ||||||
| 2 | PO BOX 3755 | OAK BROOK | IL | 60521 | $100,000 | Yes (X) |
| PNS MANAGEMENT LLC | ||||||
| 3 | 720 BENEDETTI DR | NAPERVILLE | IL | 60563 | $100,000 | Yes (X) |
Accounting Fees Schedule AccountingFeesSchedule
Accounting Fees Detail AccountingFeesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | INDIRECT ACCOUNTING FEES | CategoryTxt |
| Amt | $2,800 | Amt |
Investments Corp Bonds Schedule InvestmentsCorpBondsSchedule
Investments Corporate Bonds InvestmentsCorporateBondsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Bond | VARIOUS BONDS | BondNm |
| EOY Book Value | $481,759 | EOYBookValueAmt |
| EOYFMV | $458,295 | EOYFMVAmt |
Investments Corp Stock Schedule InvestmentsCorpStockSchedule
Investments Corporate Stock InvestmentsCorporateStockGrp (2 entries)
| StockStockNm | EOY Book ValueEOYBookValueAmt | EOYFMVEOYFMVAmt |
|---|---|---|
| VARIOUS STOCKS | $1,547,854 | $1,663,225 |
| VARIOUS MUTUAL FUNDS | $414,490 | $332,214 |
Other Expenses Schedule OtherExpensesSchedule
Other Expenses Schedule OtherExpensesScheduleGrp (2 entries)
| DescDesc | Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt | Net Investment IncomeNetInvestmentIncomeAmt |
|---|---|---|
| EXPENSES | ||
| INVESTMENT FEES | $2,829 | $2,829 |
Other Income Schedule2 OtherIncomeSchedule2
Other Income Detail OtherIncomeDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Desc | SECURITY SETTLEMENT | Desc |
| Revenue And Expenses Per Books | $27 | RevenueAndExpensesPerBooksAmt |
| Net Investment Income | $27 | NetInvestmentIncomeAmt |
Taxes Schedule TaxesSchedule
Taxes Detail TaxesDetail (3 entries)
| CategoryCategoryTxt | AmtAmt |
|---|---|
| SEC OF STATE | $40 |
| FEDERAL TAXES | $1,792 |
| FOREIGN TAXES PAID ON DIVIDENDS | $646 |