2018-11-09T15:14:47-06:00 2017-12-31 042442519 EDELSTEIN AND COMPANY LLP 160 FEDERAL STREET 9TH FLOOR BOSTON MA 02110 990PF 2017-01-01 711051630 THE RISC FOUNDATION INC RISC 4135281199 6 SEEKONK CROSS ROAD GREAT BARRINGTON MA 01230 L LINFIELD SIMON PRESIDENT 4135281199 2018-11-08 1 SCOTT KAPLOWITCH P00002440 6172276161 2018-11-08 38.111.9.114 2018-11-08 20:30:57 ES P BF7B59384A5F0335E7334C3E3948748C245A0205 C1284B650163F101757B7047818B4EE77766F5D2 2017 2019-02-21 02:37:17Z X 122729907 X X 7 7 347965 347965 2765067 9320951 2880472 -18060 -18060 3094979 3210384 265000 26500 238500 7285 3642 3643 371917 371917 0 485943 0 485943 107932 74432 0 8 0 8 3680 563 3117 1241765 477054 731211 1318230 1318230 2559995 477054 2049441 534984 2733330 921128 651565 651565 276947 1384008 1384008 86518422 106059271 106059271 2968328 3191023 3191023 5938040 11444040 11444040 96622865 122729907 122729907 14502723 22385896 14502723 22385896 X 0 0 0 0 82120142 100344011 82120142 100344011 96622865 122729907 82120142 534984 17688885 100344011 0 100344011 K-1 PASSTHROUGH FROM TRIGRAN INVESTMENTS L.P. II 257791 257791 SALE OF PUBLICLY TRADED SECURITIES 9320951 6813675 2507276 2507276 DISALLOWED LOSSES FROM WASH SALES 115405 115405 2880472 0 3225006 84381337 0.038219 5052998 89537481 0.056434 3116377 83476631 0.037332 3716835 64822373 0.057339 1533499 47489706 0.032291 0.221615 0.044323 99470566 4408834 27333 4436167 7670441 X 27333 0 27333 0 27333 44087 11000 0 55087 X 0 27754 27754 0 0 0 0 0 0 0 0 0 0 0 1 1 MA 1 0 0 1 0 1 N/A L LINFIELD SIMON 4135281199 6 SEEKONK CROSS ROAD GREAT BARRINGTON MA 01230 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 1 0 0 0 L LINFIELD SIMON 6 SEEKONK CROSS ROAD GREAT BARRINGTON MA 01230 PRESIDENT/DIRECTOR 30.00 160000 0 0 SUSAN R SIMON 6 SEEKONK CROSS ROAD GREAT BARRINGTON MA 01230 V.P./CLERK/DIRECTOR 8.00 35000 0 0 CAITLIN J SIMON 20 EDGEHILL ROAD NEW HAVEN CT 06511 TREASURER/DIRECTOR 8.00 35000 0 0 GREGORY A HUBER 20 EDGEHILL ROAD NEW HAVEN CT 06511 DIRECTOR 8.00 35000 0 0 NONE 0 LAGODA INVESTMENT MANAGEMENT LP 3 COLUMBUS CIRCLE STE 2215 NEW YORK NY 10019 INVESTMENT MGMT. SERVICES 293869 US TRUST 114 WEST 47TH STREET NEW YORK NY 10036 INVESTMENT MGMT. SERVICES 77440 0 INVESTMENT IN ELM CITY COMMUNITY MARKET, INC. TO PROVIDE THE MARKET WITH AN OPPORTUNITY TO ACHIEVE SUSTAINABILITY IN THE FORM OF A 4%, 10 YEAR TERM LOAN. THE PURPOSE OF THIS INVESTMENT IS TO ENABLE ELM CITY COMMUNITY MARKET, INC. TO PRESERVE JOBS FOR MINORITY AND LOW INCOME NEW HAVEN, CONNECTICUT RESIDENTS, INCLUDING A SUBSTANTIAL NUMBER OF PRISON REENTRY EMPLOYEES IN FURTHERANCE OF THE RISC FOUNDATION'S MISSION OF PROMOTING ECONOMIC DEVELOPMENT, RELIEVING POVERTY AND COMBATING COMMUNITY AND ENVIRONMENTAL DETERIORATION IN ECONOMICALLY DEPRESSED NEW HAVEN, CONNECTICUT. 2110000 INVESTMENT IN 169 HENRY STREET, LLC, IS TO RENOVATE A LARGE ENVIRONMENTALLY CONTAMINATED BUILDING IN NEW HAVEN, CONNECTICUT AND TO UTILIZE IT FOR AFFORDABLE ARTISTS'STUDIOS. THIS FUNDING IS IN THE FORM OF A SHORT-TERM INTEREST FREE NOTE WHILE AWAITING PUBLIC FUNDING. 1085000 2426000 5621000 99368522 1616824 0 100985346 0 0 100985346 1514780 99470566 4973528 4973528 27333 27333 4946195 115000 5061195 0 5061195 2049441 5621000 7670441 27333 7643108 5061195 4889560 0 0 7670441 4889560 0 0 2780881 0 0 0 0 0 0 0 0 2280314 0 0 0 X ALL OUR KIN 414A CHAPEL STREET SUITE 100 NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 206230 BOSTON SYMPHONY ORCHESTRA INC 301 MASSACHUSETTS AVENUE BOSTON MA 02115 N/A PC PROGRAM SUPPORT 10000 CALVIN HILL DAY CARE CENTER 150 HIGHLAND STREET NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 10000 CONNECTICUT VOICES FOR CHILDREN 33 WHITNEY AVENUE NEW HAVEN CT 06510 N/A PC PROGRAM SUPPORT 2500 EDGERTON PARK CONSERVANCY PO BOX 6163 HAMDEN CT 06517 N/A PC PROGRAM SUPPORT 500 FOOTE SCHOOL INC - HORIZONS AT FOOTE 50 LOOMIS PLACE NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 10000 FRIENDS CENTER FOR CHILDREN 225 E GRAND AVENUE NEW HAVEN CT 06513 N/A PC PROGRAM SUPPORT 5000 GROWERS INC 86 ANDERSON ROAD WALLINGFORD CT 06492 N/A PC PROGRAM SUPPORT 1000 IRIS 1200 NEW YORK AVENUE NW SUITE 400 WASHINGTON DC 20005 N/A PC PROGRAM SUPPORT 1000 JACOB'S PILLOW DANCE FESTIVAL INC 358 GEORGE CARTER ROAD BECKET MA 01223 N/A PC PROGRAM SUPPORT 50000 MUSIC HAVEN 117 WHALLEY AVENUE NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 2500 NEIGHBORHOOD HOUSING SERVICES OF NEW HAVEN 333 SHERMAN AVENUE NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 2500 NEW HAVEN LEGAL ASSISTANCE ASSOCIATION 426 STATE STREET NEW HAVEN CT 06510 N/A PC PROGRAM SUPPORT 1000 PLANNED PARENTHOOD OF SOUTHERN NEW ENGLAND 345 WHITNEY AVENUE NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 1000 THE NEW HAVEN READS COMMUNITY BOOK BANK 45 BRISTOL STREET NEW HAVEN CT 06511 N/A PC PROGRAM SUPPORT 12000 UNITED WAY OF GREATER NEW HAVEN 370 JAMES STREET STE 403 NEW HAVEN CT 06513 N/A PC PROGRAM SUPPORT 1000 ON LINE JOURNALISM PROJECT 493 CENTRAL AVENUE NEW HAVEN CT 06515 N/A PC PROGRAM SUPPORT 1000 THE COMMUNITY FOUNDATION FOR GREATER NEW HAVEN INC 70 AUDUBON STREET NEW HAVEN CT 06510 N/A PC PROGRAM SUPPORT 1000000 LEAP INC 313 FARMINGTON FALLS ROAD FARMINGTON ME 04938 N/A PC PROGRAM SUPPORT 1000 1318230 0 14 7 14 347965 18 2765067 K-1 PASSTHROUGH FROM TRIGRAN INVESTMENTS, L.P. II 14 -18096 INVESTMENTS CLASS ACTION SETTLEMENTS 14 36 0 3094979 0 3094979 0 0 0 0 0 0 0 0 0 0 ACCOUNTING & TAX PREPARATION 7285 3642 3643 INVESTMENT IN THE CONNECTICUT CENTER FOR ARTS AND TECHNOLOGY, A 501(C)(3) ORGANIZATION, TO PROCEED WITH THE CREATION OF A CULINARY ARTS PROGRAM, WHICH, AMONG OTHER THINGS, WAS INTENDED TO PROVIDE JOB TRAINING FOR NEW HAVEN'S MINORITY REENTRY POPULATION. IT'S A 5 YEAR TERM LOAN AT 1.7% 1451000 INVESTMENT IN NC NEW HAVEN, LLC, A NEW YORK LIMITED LIABLILTY COMPANY, TO UNDERTAKE A NEWS PROGRAM TO BE BASED IN NEW HAVEN, CONNECTICUT. THE FUNDING IS IN THE FORM OF A SHORT-TERM INTEREST FREE NOTE WHILE AWAITING FUNDING FROM A VENTURE FUND. 975000 THE ELM CITY COMMUNITY MARKET INC 777 CHAPEL STREET NEW HAVEN CT 06510 2017-03-06 2110000 INVESTMENT IN ELM CITY COMMUNITY MARKET, INC. TO PROVIDE THE MARKET WITH AN OPPORTUNITY TO ACHIEVE SUSTAINABILITY IN THE FORM OF A 4%, 10 YEAR TERM LOAN. THE PURPOSE OF THIS INVESTMENT IS TO ENABLE ELM CITY COMMUNITY MARKET, INC. TO PRESERVE JOBS FOR MINORITY AND LOW INCOME NEW HAVEN, CONNECTICUT RESIDENTS, INCLUDING A SUBSTANTIAL NUMBER OF PRISON REENTRY EMPLOYEES IN FURTHERANCE OF THE RISC FOUNDATION'S MISSION OF PROMOTING ECONOMIC DEVELOPMENT, RELIEVING POVERTY AND COMBATING COMMUNITY AND ENVIRONMENTAL DETERIORATION IN ECONOMICALLY DEPRESSED NEW HAVEN, CONNECTICUT. 2110000 TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED 03/23/2018 THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OR RELIABILITY OF THE REPORT FROM THE GRANTEE; THEREFORE, NO INDEPENDENT VERIFICATION OF THE REPORT WAS MADE. 169 HENRY STREET LLC 169 HENRY STREET NEW HAVEN CT 06511 2017-05-05 1085000 INVESTMENT IN 169 HENRY STREET, LLC, IS TO RENOVATE A LARGE ENVIRONMENTALLY CONTAMINATED BUILDING IN NEW HAVEN, CONNECTICUT AND TO UTILIZE IT FOR AFFORDABLE ARTISTS'STUDIOS. THIS FUNDING IS IN THE FORM OF A SHORT-TERM INTEREST FREE NOTE WHILE AWAITING PUBLIC FUNDING. 1085000 TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED 04/03/2018 THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OR RELIABILITY OF THE REPORT FROM THE GRANTEE; THEREFORE, NO INDEPENDENT VERIFICATION OF THE REPORT WAS MADE. NC NEW HAVEN LLC 175 HUNT ROAD HILLSDALE NY 12529 2017-10-23 975000 INVESTMENT IN NC NEW HAVEN, LLC, A NEW YORK LIMITED LIABLILTY COMPANY, TO UNDERTAKE A NEWS PROGRAM TO BE BASED IN NEW HAVEN, CONNECTICUT. THE FUNDING IS IN THE FORM OF A SHORT-TERM INTEREST FREE NOTE WHILE AWAITING FUNDING FROM A VENTURE FUND. 975000 TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED 03/27/2018 THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OR RELIABILITY OF THE REPORT FROM THE GRANTEE; THEREFORE, NO INDEPENDENT VERIFICATION OF THE REPORT WAS MADE. CONTROLLED ENTITY FORM 990PF, PART VII-A LINE 11 NAME OF CONTROLLED ENTITY: THE NEW HAVEN INVESTMENT FUND LLC (DISREGARDED ENTITY)ADDRESS: 140 OGDEN STREET, NEW HAVEN, CT 06511EIN: 71-1051630IT IS NOT AN EXCESSIVE BUSINESS HOLDING.THERE WERE NO TRANSFERS TO OR FROM THE CONTROLLED ORGANIZATION DURING 2017. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. 63090932 63090932 U.S. TRUST 2537 2537 KEYBANK 42965802 42965802 TRIGRAN INVESTMENTS, L.P. II FMV 3191023 3191023 22385896 BANK OF AMERICA - LINE OF CREDIT 22385896 PROGRAM-RELATED INVESTMENTS - VARIOUS LOANS 5938040 11444040 11444040 DUES & SUBSCRIPTIONS 1286 0 1286 INSURANCE 2250 563 1687 STATE FILING FEES 144 0 144 K-1 PASSTHROUGH FROM TRIGRAN INVESTMENTS, L.P. II -18096 -18096 -18096 INVESTMENTS CLASS ACTION SETTLEMENTS 36 36 36 UNREALIZED GAIN ON INVESTMENTS 17688885 INVESTMENT MANAGEMENT FEES 371609 371609 0 U.S. TRUST INVESTMENT EXPENSES 308 308 0 FOREIGN TAX WITHHELD ON DIVIDENDS 74432 74432 0 FEDERAL EXCISE TAX 33500 0 0