2015-11-12T15:54:12-06:00 2014-12-31 990PF 2014-01-01 946064551 MIMI AND PETER HAAS FUND % ARGONAUT SECURITIES COMPANY MIMI 4152969249 201 FILBERT STREET FIFTH FLOOR SAN FRANCISCO CA 941333238 LYNN MERZ EXECUTIVE DIRECTOR 2015-11-05 2014 2016-03-07 17:11:31Z X 198435782 X 0 163 163 0 1173656 1173656 0 11220558 16800509 11220558 -5512016 1989342 0 6882361 14383719 0 283920 0 0 283920 370845 0 0 370845 204131 0 0 204131 4603 2301 0 2302 199229 251032 0 117312 2226145 2226145 0 0 390975 350 0 235 6796 240354 0 0 190676 6099 0 0 6099 1866 0 0 1866 66856 0 0 66856 4001819 2479828 0 1244242 7679635 7686835 11681454 2479828 0 8931077 -4799093 11903891 0 500 500 500 1035781 1915393 1915393 1153485 1309529 1153485 1153485 26420009 29057310 29057310 49868248 43039093 43039093 5550 5550 5550 5550 124823369 123248632 123248632 331650 315831 17595 15819 15819 203480581 198435782 198435782 515804 300105 7200 0 205865 183058 728869 483163 X 202751712 197952619 202751712 197952619 203480581 198435782 202751712 -4799093 197952619 197952619 BAUPOST VALUE PARTNERS IV 26-2208448 P 4028710 FARALLON CAPITAL INST 94-3106323 P 726661 FR XI ONSHORE AIV 71-1015969 P -448439 GEMINI ISRAEL IV 98-0428414 P -24890 GENERATION IM GLOBAL EQ. FUND (N/A) P 1172725 JC FLOWERS II 98-0494093 P 7 HCP WPPE X INVESTORS 26-1278318 P 195570 JW CHILDS EQUITY III 03-0387301 P 367337 HCP PRIVATE EQUITY 52-2335224 P 211792 HCP VF IX INVESTORS 26-1958282 P 343727 NATURAL GAS PARTNERS IX 26-0632609 P 677406 WARBURG PINCUS PRIV EQUITY VIII 13-4161869 P 29742 POUCHINE COOK CAPII 35-2249258 P 871213 HARRIS ASSOCIATES GLOBAL 26-0221909 P 981616 KHOSLA VENTURES III 26-4049910 P 67824 GS MOUNT KELLETT CAP PR (N/A) P -55081 KHOSLA VENTURES SEED 26-4754028 P 12497 BASELINE CORE FUND 45-3010611 P -2217 ETON PARK OVERSEAS FUND P 748882 STG III A 20-8952445 P 271479 TCV IV 77-0527868 P -275 VARDE FUND XI (B)(FEEDER) 46-2022036 P 15510 WATERSHED CAP INSTITUTIONAL 82-0547075 P -8326 CARMEL PARTNERS III P 9438 JW CHILDS EQUITY III BERMUDA P 665 HCP MEP H INVESTORS P 20446 KHOSLA VENTURE SEED B P 272 KHOSLA VENTURES IV P -2249 WGI EMERGING MARKETS FUND P -67156 NT-CAPITAL GUARDIAN 26-03958(STMT D-1) P 496703 0 496703 496703 NT-GENERAL ACCOUNT 26-74278(STMT D-2) P 3798101 3222655 575446 575446 SCHWAB/GURTIN 20905807(STMT D-3) P 12499966 12499830 136 136 WELLS FARGO 2009-5273(STMT D-4) P 5739 2352 3387 3387 11220558 false 12011497 194904327 0.061628 7913522 184041838 0.042998 11548569 191508650 0.060303 9179071 192422178 0.047703 9019915 165676118 0.054443 0.267075 0.053415 198674181 10612181 119039 10731220 8931077 238078 238078 238078 240279 67500 307779 X 909 68792 68792 false false false false false true true false true true CA true false false false false true ARGONAUT SECURITIES COMPANY 4155014885 1155 BATTERY ST LS7W SAN FRANCISCO CA 94111 false false false false true false false false false false false false false false false false true false false true false false false MIRIAM L HAAS C/O ARGONAUT SECURITIES CO SAN FRANCISCO CA 94111 TRUSTEE/PRESIDENT 10.0 0 0 0 ARI A LURIE C/O ARGONAUT SECURITIES CO SAN FRANCISCO CA 94111 TRUSTEE 1.0 0 0 0 DANIEL L LURIE C/O ARGONAUT SECURITIES CO SAN FRANCISCO CA 94111 TRUSTEE 1.0 0 0 0 LYNN MERZ C/O ARGONAUT SECURITIES CO SAN FRANCISCO CA 94111 EXECUTIVE DIRECTOR/SECRETARY 40.0 283920 57351 0 CATHERINE A JONES C/O ARGONAUT SECURITIES CO SAN FRANCISCO CA 94111 EXECUTIVE ASSISTANT 40.0 82023 29754 0 MARTIN D TILZER C/O ARGONAUT SECURITIES CO SAN FRANCISCO CA 94111 FINANCE MANAGER 40.0 103799 26837 0 SEPTEMBER JARRETT C/O ARGONAUT SECURITIES CO SAN FRANCISCO CA 94111 PROGRAM DIRECTOR 40.0 135187 20811 0 ARGONAUT SECURITIES COMPANY 1155 BATTERY STTREET LS7FL SAN FRANCISCO CA 94111 ACCOUNTING SERVICES 334300 FARALLON CAPITAL INST PARTNERS ONE MARITIME PLAZA SUITE 2100 SAN FRANCISCO CA 94111 INVESTMENT ADVISORY 135695 HALL CAPITAL PARTNERS LLC ONE MARITIME PLAZA FIFTH FLOOR SAN FRANCISCO CA 94111 INVESTMENT ADVISORY 712873 BAUPOST VALUE PARTNERS IV 10 ST JAMES AVE STE 1700 BOSTON MA 02116 INVESTMENT ADVISORY 621781 WATERSHED CAP INSTITUTIONAL PARTNERS ONE MARITIME PLAZA SUITE 1525 SAN FRANCISCO CA 94111 INVESTMENT ADVISORY 135387 3 HOSTING MEETINGS OF NONPROFIT LEADERS AND GRANTMAKERS; SERVICE OF FOUNDATION STAFF ON NONPROFIT BOARDS AND ADVISORY COUNCILS; TECHNICAL ASSISTANCE TO ENCOURAGE PHILANTHROPY. 9647 NONE 76114813 1548862 124036001 201699676 0 201699676 3025495 198674181 9933709 9933709 238078 234195 472273 9461436 9461436 9461436 8931077 0 0 0 0 8931077 8931077 9461436 0 2012 2011 2010 0 796351 0 2098568 0 2618637 5513556 8931077 0 8931077 0 530359 530359 4983197 0 0 0 0 265992 4717205 0 2098568 0 2618637 NONE NONE EXECUTIVE DIRECTOR 201 FILBERT STREET 5TH FLOOR SAN FRANCISCO CA 94133 4152969249 NO PRESCRIBED FORM NONE NONE GRANTS PAID DURING YEAR PDF GRANTS PAID DURING YEAR SAN FRANCISCO CA 94133 PDF GRANTS PAID DURING YEAR 7686835 7686835 14 163 14 1173656 525990 754808 14 1989342 18 11220558 UNREALIZED APPRECIATION (DEPRECIATION) 18 -8256166 754808 6127553 6882361 false false false false false false false false false false ARGONAUT SECURITIES COMPANY 165185 234010 0 100290 OUTSIDE ACCOUNTING SERVICE 34044 17022 0 17022 NONE LEASEHOLD IMPR 94 1994-07-01 30736 30736 40.0 30736 LEASEHOLD IMPR 95 1995-01-01 31396 31396 40.0 31396 LEASEHOLD IMPR 03 2003-05-12 1530 1530 7.0 1530 FURNITURE 92 1992-01-01 7691 7691 SL 10 OFFICE FURN 94 1994-01-01 98864 98864 SL 10 ARTWORK 94 1994-01-01 5550 L SIDETABLE 95 1995-09-15 1606 1606 SL 10 WORKSTATION 95 1995-08-24 552 552 SL 10 CONF TABLE 95 1995-11-15 924 924 SL 10 OFFICE CHAIR 98 1998-03-15 459 459 SL 7 2 STORAGE CABN 98 1998-04-30 2220 2220 SL 7 4 MERIDIAN FILE 98 1998-04-30 2681 2681 SL 7 2 TABLE DESK 98 1998-08-28 4200 4200 SL 7 BOOKCASE 98 1998-08-28 930 930 SL 7 FILE TOP 98 1998-08-18 350 350 SL 7 DISHWASHER 01 2001-01-17 427 427 SL 7 VIDEO CONF SYS 03 2003-02-14 27740 27740 SL 5 OFFICE CHAIRS 03 2003-09-02 1548 1548 SL 7 POWER PNT PROJ 04 2004-10-19 927 927 SL 5 OFFICE FURN 93 1993-01-01 68137 68137 SL 10 PHONE SYS 03 2003-02-14 21196 21196 SL 5 DOOR PLAQUE 06 2006-04-26 799 799 SL 7 BIZHUB COPIER 08 2008-02-05 17924 17924 SL 5 FURNITURE 10 2010-07-19 1093 546 M7 7 156 LM CHAIR 10 2010-10-15 601 301 M7 7 86 POWEREDGE SERVER11 2011-01-25 7586 4425 SL 5 1517 FIREWALL 11 2011-04-11 2186 1202 SL 5 437 SERVER MIG.PROJ.11 2011-04-11 5400 2970 SL 5 1080 NEW COMPUTER 12 2012-05-23 1145 363 SL 5 229 6 NEW COMPUTERS 12 2012-05-23 6851 2169 SL 5 1370 WINDOWS SERVER 12 2012-06-21 1120 336 SL 5 224 NEW COMPUTER 12 2012-06-21 2648 795 SL 5 530 SERVER MGMT 12 2012-07-10 503 151 SL 5 101 COMPUTER INST. 12 2012-08-01 2400 680 SL 5 480 LENOVO THINKPAD 14 2014-01-13 1347 SL 5 269 CISCO AIRONET 14 2014-01-23 396 SL 5 73 LOGITECH CAMERA 14 2014-07-02 1134 SL 5 113 LT VIDEO CONFER.14 2014-08-25 760 SL 5 51 CAMERA SET UP 14 2014-08-26 786 SL 5 52 OFFICE CHAIR 14 2014-09-11 597 SL 7 28 EAGLE-EYE SANCTUARY FOUNDATION 580 DE HARO STREET SAN FRANCISCO CA 941072306 2013-12-09 50000 PROVIDE FOR THE SUPPORT OF THE GENERAL OPERATING EXPENSES OF THE FOUNDATION. 4272 NO OCTOBER 29, 2015 SEE PDF PART VII-B LINE 5C EAGLE-EYE SANCTUARY FOUNDATION FOR EXPENDITURE RESPONSIBILITY REPORTS REQUIRED UNDER REG. SEC. 53.4945-5(C) TO BE PROVIDED BY THE MIMI AND PETER HAAS FUND (THE FUND) REGARDING THE EXERCISE BY THE FUND OF ITS EXPENDITURE RESPONSIBILITIES UNDER SEC. 4945 FOR THE ABOVE GRANT MADE BY THE FUND TO EAGLE-EYE SANCTUARY FOUNDATION, A PRIVATE OPERATING FOUNDATION. MVYOUTH PO BOX 65 CHILMARK MA 02535 2014-10-22 25000 ANNUAL SUPPORT 0 NO 06/13/2015 SEE PDF PART VII-B LINE 5C MVYOUTH FOR EXPENDITURE RESPONSIBILITY REPORTS REQUIRED UNDER REG. SEC. 53.4945-5(C) TO BE PROVIDED BY THE MIMI AND PETER HAAS FUND (THE FUND) REGARDING THE EXERCISE BY THE FUND OF ITS EXPENDITURE RESPONSIBILITIES UNDER SEC. 4945 FOR THE ABOVE GRANT MADE BY THE FUND TO MVYOUTH, A PRIVATE NON-OPERATING FOUNDATION. NORTHERN TRUST COMPANY GENERAL ACCOUNT 26-74278 15487252 15487252 (PDF NT GENERAL ) CAPITAL GUARDIAN 26-03958 27551841 27551841 (PDF NT CAP GUARDIAN) 29057310 29057310 ARTWORK 94 5550 5550 5AM VENTURES IV 46-3926873 FMV 75675 75675 BASELINE CORE FUND 45-3010611 FMV 246167 246167 FARALLON CAPTL INST 94-3106323 FMV 14133522 14133522 FIRST RESERVE XI ALT C-1 FMV 3355 3355 FR XI ONSHORE AIV 71-1015969 FMV 497472 497472 FR XI OFFSHORE AIV 94-6064551 FMV GEMINI ISRAEL IV 98-0428414 FMV 503544 503544 GEMINI ISRAEL V 98-0548428 FMV 1097668 1097668 GENERATION IM GLOBAL EQ FUND FMV 12000467 12000467 27-0114160 FMV HCP WPPE X INVEST 26-1278318 FMV 1562258 1562258 JC FLOWERS II 98-0494093 FMV 319918 319918 HCP CDH V INVESTORS 80-0884122 FMV 256862 256862 HSH CAYMAN 98-0521559 FMV 96 96 VARDE FUNDXIB FEEDER46-2022036 FMV 983052 983052 JCF II SPECIAL AIV K FMV 25851 25851 JW CHILDS EQ III 03-0387301 FMV 2637 2637 JW CHLDS BERM AIV 2 98-0405583 FMV 0 0 LBA REALTY FUND III 20-5498217 FMV 1413919 1413919 OFFIT HALL PRVT EQ 52-2335224 FMV 591821 591821 WGI EMER-G MARKET FD20-3377269 FMV 5078120 5078120 NATURAL GAS PARTR IX26-0632609 FMV 955846 955846 POUCHINE COOK CAPII 35-2249258 FMV 240933 240933 KHOSLA VENTURE SEEDB45-5043024 FMV 286220 286220 ROSEWOOD CAP III 94-3274638 FMV 55826 55826 ROSEWOOD CAP V 14-1948848 FMV 314694 314694 STG III A 20-8952445 FMV 2812555 2812555 TCV III(Q) 77-0494890 FMV 0 0 TCV IV 77-0527868 FMV 5756 5756 WARBURG EQ VIII 13-4161869 FMV 779356 779356 ASIA ENVIRONMENTAL PARTNER(NA) FMV 2284965 2284965 CARMEL PARTNERS INV FUND III FMV 1118850 1118850 33-1177003 FMV HCP VF IX INVESTORS 26-1958282 FMV 434463 434463 JUPITER JCF AIV II SPECIAL FMV 206418 206418 98-0569851 FMV FR XI-B OFFSHORE AIV (N/A) FMV GENERATION IM CLIMATE SOL(N/A) FMV 1178593 1178593 GS MOUNT KELLETT CAP (N/A) FMV 1125781 1125781 WATERSHED CAP INST PARTNERS FMV 7840779 7840779 82-0547075 FMV ROSEWOOD CAP V COBALT (N/A) FMV 11018 11018 SRI NINE REIT 77-0677478 FMV 474944 474944 FR HORIZON AIV (N/A) FMV 178411 178411 BAUPOST VALUE PARTNERS IV FMV 42382048 42382048 26-2208448 FMV KHOSLA VENTURES III 26-4049910 FMV 1076031 1076031 KHOSLA VENTURES SEED FMV 297465 297465 26-4754028 FMV ROSEWOOD CAPITAL IV 22-3707169 FMV 507162 507162 ETON PARK OVERSEES FUND (N/A) FMV 1017693 1017693 FR XI-E ONSHORE AIV (N/A) FMV HCP CHINA PE2009 FEEDER-CAYMAN FMV 971232 971232 BASELINE INCREASED EXPOSURE FD FMV 331878 331878 45-3010715 FMV MOUNT KELLETT CAP PR(CAYMAN)II FMV 1049001 1049001 98-0677267 HCP MEP H INVESTORS 27-4319591 FMV 1404361 1404361 KHOSLA VENTURES IV 90-0720388 FMV 709793 709793 HARRIS ASSOCIATES GLOBAL FMV 13866472 13866472 26-0221909 FMV QIMING VENTURE PARTNERS IV FMV 410882 410882 N/A FMV TCV III(Q) LIQUIDATING TRUST FMV 85917 85917 N/A FMV HCP BF 2014 INVESTORS FMV 40885 40885 N/A FMV FURNITURE 92 7691 7691 OFFICE FURN 94 98864 98864 LEASEHOLD IMPR 94 30736 30736 SIDETABLE 95 1606 1606 WORKSTATION 95 552 552 CONF TABLE 95 924 924 LEASEHOLD IMPR 95 31396 31396 OFFICE CHAIR 98 459 459 2 STORAGE CABN 98 2220 2220 4 MERIDIAN FILE 98 2681 2681 2 TABLE DESK 98 4200 4200 BOOKCASE 98 930 930 FILE TOP 98 350 350 DISHWASHER 01 427 427 LEASEHOLD IMPR 03 1530 1530 VIDEO CONF SYS 03 OFFICE CHAIRS 03 1548 1548 POWER PNT PROJ 04 927 927 OFFICE FURN 93 68137 68137 PHONE SYS 03 21196 21196 DOOR PLAQUE 06 799 799 BIZHUB COPIER 08 17924 17924 FURNITURE 10 1093 702 391 LM CHAIR 10 601 387 214 POWEREDGE SERVER11 7586 5942 1644 FIREWALL 11 2186 1639 547 SERVER MIG.PROJ.11 5400 4050 1350 NEW COMPUTER 12 1145 592 553 6 NEW COMPUTERS 12 6851 3539 3312 WINDOWS SERVER 12 1120 560 560 NEW COMPUTER 12 2648 1325 1323 SERVER MGMT 12 503 252 251 COMPUTER INST. 12 2400 1160 1240 LENOVO THINKPAD 14 1347 269 1078 CISCO AIRONET 14 396 73 323 LOGITECH CAMERA 14 1134 113 1021 LT VIDEO CONFER.14 760 51 709 CAMERA SET UP 14 786 52 734 OFFICE CHAIR 14 597 28 569 LEGAL FEES 4603 2301 0 2302 ADMINISTRATIVE CONSULTANTS 16190 0 0 16190 GENERAL LIABILITY INSURANCE 1314 0 0 1314 TELEPHONE 9734 0 0 9734 SUPPLIES 2862 0 0 2862 POSTAGE & FREIGHT 426 0 0 426 MEMBERSHIP FEES 1500 0 0 1500 SERVICE CONTRACT & EQ REPAIR 20359 0 0 20359 EQUIPMENT RENTAL 1063 0 0 1063 MISC ADMIN-RELATED EXPENSES 2058 0 0 2058 MISC GRANT-RELATED EXPENSES 1645 0 0 1645 DIRECT CHARITABLE ACTIVITIES 9647 0 0 9647 PROFESSIONAL DEVELOPMENT 58 0 0 58 ORDINARY INCOME FROM PARTNERSHIPS- FARALLON CAPITAL INST 94-3106323 483815 483815 0 FIRST RESERVE XI ONSHORE AIV 71-1015969 2420 2420 0 BASELINE INCREASED EXP. 45-3010715 -184 -184 0 GEMINI ISRAEL IV 98-0428414 -471 -471 0 GEMINI ISRAEL V 98-0548428 -605 -605 0 JC FLOWERS II 94-6064551 -9520 -9520 0 BASELINE CORE FUND 45-3010611 -333 -333 0 HCP MEP H INVESTORS 27-4319591 59774 59774 0 KHOSLA VENTURE IV 90-0720388 -538 -538 0 GS MOUNT KELLETT CAP PART (N/A) 212079 212079 0 HCP WPPE X INVESTORS 26-1278318 -7580 -7580 0 JW CHILDS EQUITY III 03-0387301 -2252 -2252 0 KHOSLA VENTURES SEED B 45-5043024 -504 -504 0 HCP PRIVATE EQUITY 52-2335224 9541 9541 0 NATURAL GAS PARTNERS IX 26-0632609 -33394 -33394 0 5AM VENTURES IV 46-3926873 -917 -917 0 POUCHINE COOK CAPITAL II 35-2249258 -2063 -2063 0 HARRIS ASSOCIATES GLOBAL 26-0221909 433909 433909 0 ROSEWOOD CAPITAL III 94-3274638 -1456 -1456 0 CARMEL PARTNERS INV FUND III 33-1177003 408 408 0 ROSEWOOD CAPITAL V 14-1948848 -1166 -1166 0 STG III A 20-8952445 15990 15990 0 TCV III (Q) 77-0494890 -540 -540 0 TCV IV 77-0527868 -331 -331 0 WARBURG PINCUS PRIVATE EQUITY VIII 34955 34955 0 13-4161869 HCP CDH V INVESTORS 80-0884122 -612 -612 0 JW CHILDS EQUITY III BERMUDA 518 518 0 VARDE FUND XI(B)(FEEDER)46-2022036 72438 72438 0 WGI EM FUND 20-3377269 84176 84176 0 GENERATION IM GLOBAL (N/A) 59052 59052 0 HCP BF 2014 INVESTORS -1423 -1423 0 QIMING VENTURE PARTNERS IV -1316 -1316 0 JUPITER JCF AIV II SPECIAL 98-0569851 -29 -29 0 HCP VF IX INVESTORS 26-1958282 62129 62129 0 WATERSHED CAPITAL INST 82-0547075 693633 693633 0 BAUPOST VALUE PARTNERS IV 26-2208448 586827 586827 0 KHOSLA VENTURES III 26-4049910 1110 1110 0 KHOSLA VENTURES SEED 26-4754028 -27 -27 0 ROSEWOOD CAPITAL IV 22-3707169 -961 -961 0 OTHER INCOME- SECURITIES LITIGATION SETTLEMENTS -2402 -2402 0 CHANGES IN UNREALZED APPRECIATION -8256166 0 0 LESS: INVESTMENT PARTNERSHIP NET UBTI 0 -754808 0 DEFERRED TAX PAYABLE 205865 123303 DEFERRED RENT 59755 INVESTMENT ADVISOR & CUSTODIAL FEES- CAPITAL GUARDIAN 26-03958 79982 79982 0 0 GENERAL ACCOUNT 26-74278 6361 6361 0 0 KHOSLA VENTURE IV 90-0720388 2528 2528 0 0 SCHWAB/GURTIN 20905807 25801 25801 0 0 CARMEL PARTNERS III33-1177003 11665 11665 0 0 HALL CAPITAL PARTNERS LLC 712873 712873 0 0 FARALLON CAPITAL 94-3106323 135695 135695 0 0 FR XI ONSHORE AIV 71-1015969 11031 11031 0 0 JC FLOWERS II 94-6064551 GEMINI ISRAEL IV 98-0428414 16888 16888 0 0 GEMINI ISRAEL V 98-0548428 24099 24099 0 0 JW CHILDS EQ III 03-0387301 2159 2159 0 0 GS MOUNT KELLETT CAP PAR.(N/A) 30589 30589 0 0 BASELINE INCR EXP.45-3010715 6150 6150 0 0 5AM VENTURES IV 46-3926873 25001 25001 0 0 NATURAL GAS IX 26-0632609 16972 16972 0 0 JW CHILDS EQUITY III BERMUDA 415 415 0 0 POUCHINE COOK CAPITAL II 25109 25109 0 0 35-2249258 GENERATION IM GLOBAL (N/A) 90959 90959 0 0 HARRIS ASSTS GL.26-0221909 108828 108828 0 0 BASELINE CORE FD 45-3010611 11235 11235 0 0 ROSEWOOD CAP V 14-1948848 6848 6848 0 0 BAUPOST VALUE PRIV 26-2208448 621781 621781 0 0 WATERSHED CAP INST 82-0547075 135387 135387 0 0 QIMING VENTURE PARTNERS IV 17534 17534 0 0 STG III A 20-8952445 32025 32025 0 0 VARDEFUNDXIB(FEEDER)46-2022036 15881 15881 0 0 WGI EM FUND 20-3377269 36846 36846 0 0 KHOSLA VENTURES III26-4049910 7083 7083 0 0 KHOSLA VENTURES SEED 5014 5014 0 0 26-4754028 INVESTMENT-RELATED EXPENSES- BANK SERVICE CHARGES 3406 3406 0 0 FEDERAL EXCISE TAX NET DEFER 137438 0 0 0 FEDERAL DEFERRED TAXES 0 0 0 0 STATE TAX AND FILING FEES 235 0 0 235 FEDERAL UBTI TAXES 195000 0 0 0 CALIFORNIA UBTI TAXES 50000 0 0 0 FOREIGN TAX WITHHOLDINGS 350 350 0 0 UBTI TR TAX FILING PENALITIES 7952 0 0 0