THOMAS L KEMPNER JR FOUNDATION INC: Form 990PF, tax year 2014
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- Organization
- THOMAS L KEMPNER JR FOUNDATION INC (EIN 13-3407819)
- Tax period
- 2014-01-01 to 2014-12-31
- Filed
- 2015-11-12
- IRS object ID
- 201523169349101757
- Schema version
- 2014v5.0
- 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
- Investments Other Schedule2
- Other Assets Schedule
- Other Decreases Schedule
- Other Expenses Schedule
- Other Income Schedule2
- Other Liabilities Schedule
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return | 2015-11-12T15:42:59-06:00 | ReturnTs |
| Tax Period End | 2014-12-31 | TaxPeriodEndDt |
Preparer Firm PreparerFirmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Firm EIN | 221478099 | PreparerFirmEIN |
Preparer Firm Name PreparerFirmName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | COHNREZNICK LLP | BusinessNameLine1Txt |
Preparer US Address PreparerUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1212 AVENUE OF THE AMERICAS | AddressLine1Txt |
| City | NEW YORK | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 10036 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990PF | ReturnTypeCd |
| Tax Period Begin | 2014-01-01 | TaxPeriodBeginDt |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 133407819 | EIN |
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | THOMAS L KEMPNER JR FOUNDATION | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Control | THOM | BusinessNameControlTxt |
| Phone | 2124464000 | PhoneNum |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 520 MADISON AVE 30TH FL | AddressLine1Txt |
| City | NEW YORK | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 10022 | ZIPCd |
Business Officer BusinessOfficerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | THOMAS L KEMPNER | PersonNm |
| Person Title | PRESIDENT | PersonTitleTxt |
| Phone | 2124464000 | PhoneNum |
| Signature | 2015-11-12 | SignatureDt |
| Discuss With Paid Preparer | Yes (1) | DiscussWithPaidPreparerInd |
Preparer Person PreparerPersonGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Person | STEVE KREINIK | PreparerPersonNm |
| PTIN | P00839914 | PTIN |
| Phone | 2122970400 | PhoneNum |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax | 2014 | TaxYr |
| Build TS | 2016-02-25 16:41:14Z | BuildTS |
Form 990-PF IRS990PF
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Change | Yes (X) | AddressChangeInd |
| Organization501c3 Exempt PF | Yes (X) | Organization501c3ExemptPFInd |
| FMV Assets EOY | $77,400,002 | FMVAssetsEOYAmt |
| Method Of Accounting Accrual | Yes (X) | MethodOfAccountingAccrualInd |
Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contri Rcvd Rev And Expnss | $16,473,923 | ContriRcvdRevAndExpnssAmt |
| Dividends Rev And Expnss | $185,330 | DividendsRevAndExpnssAmt |
| Dividends Net Invst Incm | $185,330 | DividendsNetInvstIncmAmt |
| Net Gain Sale Ast Rev And Expnss | $5,209,029 | NetGainSaleAstRevAndExpnssAmt |
| Gross Sales Price | $8,184,661 | GrossSalesPriceAmt |
| Cap Gain Net Incm Net Invst Incm | $5,186,395 | CapGainNetIncmNetInvstIncmAmt |
| Other Income Rev And Expnss | $2,806,888 | OtherIncomeRevAndExpnssAmt |
| Other Income Net Invst Incm | $2,733,356 | OtherIncomeNetInvstIncmAmt |
| Other Income Adj Net Incm | $0 | OtherIncomeAdjNetIncmAmt |
| Total Rev And Expnss | $24,675,170 | TotalRevAndExpnssAmt |
| Total Net Invst Incm | $8,105,081 | TotalNetInvstIncmAmt |
| Total Adj Net Incm | $0 | TotalAdjNetIncmAmt |
| Comp Ofcr Dir Trst Rev And Expnss | $0 | CompOfcrDirTrstRevAndExpnssAmt |
| Comp Ofcr Dir Trst Net Invst Incm | $0 | CompOfcrDirTrstNetInvstIncmAmt |
| Comp Ofcr Dir Trst Adj Net Incm | $0 | CompOfcrDirTrstAdjNetIncmAmt |
| Comp Ofcr Dir Trst Dsbrs Chrtbl | $0 | CompOfcrDirTrstDsbrsChrtblAmt |
| Accounting Fees Rev And Expnss | $15,250 | AccountingFeesRevAndExpnssAmt |
| Accounting Fees Net Invst Incm | $7,625 | AccountingFeesNetInvstIncmAmt |
| Accounting Fees Adj Net Incm | $0 | AccountingFeesAdjNetIncmAmt |
| Accounting Fees Chrtbl Prps | $7,625 | AccountingFeesChrtblPrpsAmt |
| Other Expenses Rev And Expnss | $77,173 | OtherExpensesRevAndExpnssAmt |
| Other Expenses Net Invst Incm | $75,673 | OtherExpensesNetInvstIncmAmt |
| Other Expenses Adj Net Incm | $0 | OtherExpensesAdjNetIncmAmt |
| Other Expenses Dsbrs Chrtbl | $1,500 | OtherExpensesDsbrsChrtblAmt |
| Tot Opr Expenses Rev And Expnss | $92,423 | TotOprExpensesRevAndExpnssAmt |
| Tot Opr Expenses Net Invst Incm | $83,298 | TotOprExpensesNetInvstIncmAmt |
| Tot Opr Expenses Adj Net Incm | $0 | TotOprExpensesAdjNetIncmAmt |
| Tot Opr Expenses Dsbrs Chrtbl | $9,125 | TotOprExpensesDsbrsChrtblAmt |
| Contri Paid Rev And Expnss | $3,990,960 | ContriPaidRevAndExpnssAmt |
| Contri Paid Dsbrs Chrtbl | $3,990,960 | ContriPaidDsbrsChrtblAmt |
| Total Expenses Rev And Expnss | $4,083,383 | TotalExpensesRevAndExpnssAmt |
| Total Expenses Net Invst Incm | $83,298 | TotalExpensesNetInvstIncmAmt |
| Total Expenses Adj Net Incm | $0 | TotalExpensesAdjNetIncmAmt |
| Total Expenses Dsbrs Chrtbl | $4,000,085 | TotalExpensesDsbrsChrtblAmt |
| Excess Revenue Over Expenses | $20,591,787 | ExcessRevenueOverExpensesAmt |
| Net Investment Income | $8,021,783 | NetInvestmentIncomeAmt |
| Adjusted Net Income | $0 | AdjustedNetIncomeAmt |
Form990 PF Balance Sheets Form990PFBalanceSheetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Cash BOY | $392,598 | CashBOYAmt |
| Corporate Stock BOY | $2,002,779 | CorporateStockBOYAmt |
| Corporate Stock EOY | $5,030,596 | CorporateStockEOYAmt |
| Corporate Stock EOYFMV | $5,976,293 | CorporateStockEOYFMVAmt |
| Corporate Bonds BOY | $51,274 | CorporateBondsBOYAmt |
| Corporate Bonds EOY | $51,274 | CorporateBondsEOYAmt |
| Corporate Bonds EOYFMV | $0 | CorporateBondsEOYFMVAmt |
| Other Investments BOY | $52,293,144 | OtherInvestmentsBOYAmt |
| Other Investments EOY | $66,187,979 | OtherInvestmentsEOYAmt |
| Other Investments EOYFMV | $67,923,709 | OtherInvestmentsEOYFMVAmt |
| Other Assets BOY | $3,646,303 | OtherAssetsBOYAmt |
| Other Assets EOY | $3,281,601 | OtherAssetsEOYAmt |
| Other Assets EOYFMV | $3,500,000 | OtherAssetsEOYFMVAmt |
| Total Assets BOY | $58,386,098 | TotalAssetsBOYAmt |
| Total Assets EOY | $74,551,450 | TotalAssetsEOYAmt |
| Total Assets EOYFMV | $77,400,002 | TotalAssetsEOYFMVAmt |
| Other Liabilities BOY | $7,050 | OtherLiabilitiesBOYAmt |
| Other Liabilities EOY | $64,037 | OtherLiabilitiesEOYAmt |
| Total Liabilities BOY | $7,050 | TotalLiabilitiesBOYAmt |
| Total Liabilities EOY | $64,037 | TotalLiabilitiesEOYAmt |
| Org Does Not Follow SFAS117 | Yes (X) | OrgDoesNotFollowSFAS117Ind |
| Capital Stock BOY | $0 | CapitalStockBOYAmt |
| Capital Stock EOY | $0 | CapitalStockEOYAmt |
| Additional Paid In Capital BOY | $0 | AdditionalPaidInCapitalBOYAmt |
| Additional Paid In Capital EOY | $0 | AdditionalPaidInCapitalEOYAmt |
| Retained Earning BOY | $58,379,048 | RetainedEarningBOYAmt |
| Retained Earning EOY | $74,487,413 | RetainedEarningEOYAmt |
| Tot Net Ast Or Fund Balances BOY | $58,379,048 | TotNetAstOrFundBalancesBOYAmt |
| Tot Net Ast Or Fund Balances EOY | $74,487,413 | TotNetAstOrFundBalancesEOYAmt |
| Total Liabilities Net Ast BOY | $58,386,098 | TotalLiabilitiesNetAstBOYAmt |
| Total Liabilities Net Ast EOY | $74,551,450 | TotalLiabilitiesNetAstEOYAmt |
Chg In Net Assets Fund Balances ChgInNetAssetsFundBalancesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tot Net Ast Or Fund Balances BOY | $58,379,048 | TotNetAstOrFundBalancesBOYAmt |
| Excess Revenue Over Expenses | $20,591,787 | ExcessRevenueOverExpensesAmt |
| Other Increases | $0 | OtherIncreasesAmt |
| Subtotal | $78,970,835 | SubtotalAmt |
| Other Decreases | $4,483,422 | OtherDecreasesAmt |
| Tot Net Ast Or Fund Balances EOY | $74,487,413 | TotNetAstOrFundBalancesEOYAmt |
Cap Gains Loss Tx Invst Incm Detail CapGainsLossTxInvstIncmDetail
Cap Gains Loss Tx Invst Incm CapGainsLossTxInvstIncmGrp (11 entries)
| PropertyPropertyDesc | How AcquiredHowAcquiredCd | AcquiredAcquiredDt | SoldSoldDt | Gross Sales PriceGrossSalesPriceAmt | Gain Or LossGainOrLossAmt | Gains Minus Excess Or LossesGainsMinusExcessOrLossesAmt | Cost Or Other BasisCostOrOtherBasisAmt |
|---|---|---|---|---|---|---|---|
| STCG(L) - THROUGH K-1'S | P | 2014-01-01 | 2014-12-31 | $500,194 | $500,194 | $500,194 | |
| LTCG(L) - THROUGH K-1'S | P | 2013-01-01 | 2014-12-31 | $4,064,677 | $4,064,677 | $4,064,677 | |
| SECTION 1231 - THROUGH K-1'S | P | 2013-01-01 | 2014-12-31 | $936 | $936 | $936 | |
| SECTION 1256 - THROUGH K-1'S | P | 2013-01-01 | 2014-12-31 | -$787 | -$787 | $787 | |
| GAIN/LOSS ON 990T | P | 2013-01-01 | 2014-12-31 | $22,634 | $0 | $0 | $22,634 |
| PUBLICLY TRADED SECURITIES - BRAVE WARRIOR | P | 2014-01-01 | 2014-12-31 | $292,554 | $23,807 | $23,807 | $268,747 |
| PUBLICLY TRADED SECURITIES - BRAVE WARRIOR | P | 2013-01-01 | 2014-12-31 | $1,092,652 | $414,103 | $414,103 | $678,549 |
| 3,246 SHS ACELRX PHARMA | P | 2013-01-01 | 2014-12-31 | $37,843 | $20,477 | $20,477 | $17,366 |
| 749 SHS TETRAPHASE PHARMA | P | 2013-01-01 | 2014-12-31 | $7,729 | $1,235 | $1,235 | $6,494 |
| 2832 SHS MELCO CROWN | P | 2013-01-01 | 2014-12-31 | $80,825 | $34,329 | $34,329 | $46,496 |
| PUBLICLY TRADED SECURITIES - JP MORGAN | P | 2014-01-01 | 2014-12-31 | $2,084,617 | $127,424 | $127,424 | $1,957,193 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Capital Gain Net Income | $5,186,395 | CapitalGainNetIncomeAmt |
Qlfy Und Sect4940e Reduced Tax QlfyUndSect4940eReducedTaxGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Liable Section4942 Tax | 0 | LiableSection4942TaxInd |
| Adjusted Qlfy Distri Yr1 | $2,733,588 | AdjustedQlfyDistriYr1Amt |
| Net Vl Noncharitable Assets Yr1 | $53,933,236 | NetVlNoncharitableAssetsYr1Amt |
| Distribution Yr1 | 0.050685 | DistributionYr1Rt |
| Adjusted Qlfy Distri Yr2 | $1,977,548 | AdjustedQlfyDistriYr2Amt |
| Net Vl Noncharitable Assets Yr2 | $46,826,583 | NetVlNoncharitableAssetsYr2Amt |
| Distribution Yr2 | 0.042231 | DistributionYr2Rt |
| Adjusted Qlfy Distri Yr3 | $1,862,109 | AdjustedQlfyDistriYr3Amt |
| Net Vl Noncharitable Assets Yr3 | $40,582,654 | NetVlNoncharitableAssetsYr3Amt |
| Distribution Yr3 | 0.045884 | DistributionYr3Rt |
| Adjusted Qlfy Distri Yr4 | $1,275,324 | AdjustedQlfyDistriYr4Amt |
| Net Vl Noncharitable Assets Yr4 | $34,387,200 | NetVlNoncharitableAssetsYr4Amt |
| Distribution Yr4 | 0.037087 | DistributionYr4Rt |
| Adjusted Qlfy Distri Yr5 | $1,139,516 | AdjustedQlfyDistriYr5Amt |
| Net Vl Noncharitable Assets Yr5 | $24,211,327 | NetVlNoncharitableAssetsYr5Amt |
| Distribution Yr5 | 0.047065 | DistributionYr5Rt |
| Total Distribution | 0.222952 | TotalDistributionRt |
| Average Distribution | 0.044590 | AverageDistributionRt |
| Net Vl Noncharitable Assets | $68,627,967 | NetVlNoncharitableAssetsAmt |
| Adj Net Vl Noncharitable Assets | $3,060,121 | AdjNetVlNoncharitableAssetsAmt |
| Net Investment Income Pct | $80,218 | NetInvestmentIncomePctAmt |
| Adj Nonchrtbl Net Invst Incm Pct | $3,140,339 | AdjNonchrtblNetInvstIncmPctAmt |
| Qualifying Distributions | $4,000,085 | QualifyingDistributionsAmt |
Excise Tax Based On Invst Incm ExciseTaxBasedOnInvstIncmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Domestic Org Meeting Sect4940e | Yes (X) | DomesticOrgMeetingSect4940eInd |
| Investment Income Excise Tax | $80,218 | InvestmentIncomeExciseTaxAmt |
| Tax Under Section511 | $0 | TaxUnderSection511Amt |
| Subtotal | $80,218 | SubtotalAmt |
| Subtitle A Tax | $0 | SubtitleATaxAmt |
| Tax Based On Investment Income | $80,218 | TaxBasedOnInvestmentIncomeAmt |
| Estimated Plus Ovpmt Incm Tx | $53,842 | EstimatedPlusOvpmtIncmTxAmt |
| Applied To Es Tax | $60,000 | AppliedToEsTaxAmt |
| Total Payments And Credits | $113,842 | TotalPaymentsAndCreditsAmt |
| Form2220 Attached | Yes (X) | Form2220AttachedInd |
| Es Penalty | $374 | EsPenaltyAmt |
| Overpayment | $33,250 | OverpaymentAmt |
| Applied To ES Tax | $33,250 | AppliedToESTaxAmt |
| Refund | $0 | RefundAmt |
Statements Regarding Acty StatementsRegardingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Legislative Political Acty | 0 | LegislativePoliticalActyInd |
| More Than100 Spent | 0 | MoreThan100SpentInd |
| Form1120 POL Filed | 0 | Form1120POLFiledInd |
| Section4955 Organization Tax | $0 | Section4955OrganizationTaxAmt |
| Section4955 Managers Tax | $0 | Section4955ManagersTaxAmt |
| Tax Reimbursed | $0 | TaxReimbursedAmt |
| Activities Not Previously Rpt | 0 | ActivitiesNotPreviouslyRptInd |
| Changes To Articles Or Bylaws | 0 | ChangesToArticlesOrBylawsInd |
| Unrelated Bus Incm Over Limit | Yes (1) | UnrelatedBusIncmOverLimitInd |
| Form990 T Filed | Yes (1) | Form990TFiledInd |
| Organization Dissolved Etc | 0 | OrganizationDissolvedEtcInd |
| Section508e Rqr Satisfied | Yes (1) | Section508eRqrSatisfiedInd |
| At Least5000 In Assets | Yes (1) | AtLeast5000InAssetsInd |
| Org Report Or Register State | NY | OrgReportOrRegisterStateCd |
| Form990 PF Filed With Atty Gen | Yes (1) | Form990PFFiledWithAttyGenInd |
| Private Operating Foundation | 0 | PrivateOperatingFoundationInd |
| New Substantial Contributors | 0 | NewSubstantialContributorsInd |
| Own Controlled Entity | 0 | OwnControlledEntityInd |
| Donor Advised Fund | 0 | DonorAdvisedFundInd |
| Comply With Public Insp Rqr | Yes (1) | ComplyWithPublicInspRqrInd |
| Website Address | WWW.GUIDESTAR.ORG | WebsiteAddressTxt |
| Individual With Books | THOMAS KEMPNER JR | IndividualWithBooksNm |
| Phone | 2124464000 | PhoneNum |
Location Of Books US Address LocationOfBooksUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 520 MADISON AVE 30TH FL | AddressLine1Txt |
| City | NEW YORK | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 10022 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Foreign Accounts Question | 0 | ForeignAccountsQuestionInd |
Statements Regarding Acty4720 StatementsRegardingActy4720Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sale Or Exch Disqualified Prsn | 0 | SaleOrExchDisqualifiedPrsnInd |
| Brrw Or Lend Disqualified Prsn | 0 | BrrwOrLendDisqualifiedPrsnInd |
| Furn Goods Disqualified Prsn | 0 | FurnGoodsDisqualifiedPrsnInd |
| Pay Comp Disqualified Prsn | 0 | PayCompDisqualifiedPrsnInd |
| Transfer Ast Disqualified Prsn | 0 | TransferAstDisqualifiedPrsnInd |
| Payment To Government Official | 0 | PaymentToGovernmentOfficialInd |
| Uncorrected Prior Acts | 0 | UncorrectedPriorActsInd |
| Undistributed Income PY | 0 | UndistributedIncomePYInd |
| Business Holdings | 0 | BusinessHoldingsInd |
| Jeopardy Investments | 0 | JeopardyInvestmentsInd |
| Uncorrected PY Jeopardy Invst | 0 | UncorrectedPYJeopardyInvstInd |
| Influence Legislation | 0 | InfluenceLegislationInd |
| Influence Election | 0 | InfluenceElectionInd |
| Grants To Individuals | 0 | GrantsToIndividualsInd |
| Grants To Organizations | 0 | GrantsToOrganizationsInd |
| Noncharitable Purpose | 0 | NoncharitablePurposeInd |
| Rcv Fnds To Pay Prsnl Bnft Cntrct | 0 | RcvFndsToPayPrsnlBnftCntrctInd |
| Pay Premiums Prsnl Bnft Cntrct | 0 | PayPremiumsPrsnlBnftCntrctInd |
| Prohibited Tax Shelter Trans | 0 | ProhibitedTaxShelterTransInd |
Officer Dir Trst Key Empl Info OfficerDirTrstKeyEmplInfoGrp
Officer Dir Trst Key Empl OfficerDirTrstKeyEmplGrp (4 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 |
|---|---|---|---|---|---|---|---|---|
| THOMAS KEMPNER JR | ||||||||
| 520 MADISON AVE 30TH FL | NEW YORK | NY | 10022 | PRESIDENT | 2.00 | $0 | $0 | $0 |
| KATHERYN C PATTERSON | ||||||||
| 520 MADISON AVE 30TH FL | NEW YORK | NY | 10022 | SECRETARY | 0.50 | $0 | $0 | $0 |
| TREVOR KEMPNER | ||||||||
| 520 MADISON AVE 30TH FL | NEW YORK | NY | 10022 | DIRECTOR | 0.50 | $0 | $0 | $0 |
| THOMAS N KEMPNER | ||||||||
| 520 MADISON AVE 30TH FL | NEW YORK | NY | 10022 | DIRECTOR | 0.50 | $0 | $0 | $0 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Comp Of Hghst Pd Empl Or NONE | NONE | CompOfHghstPdEmplOrNONETxt |
| Other Employee Paid Over50k | 0 | OtherEmployeePaidOver50kCnt |
| Comp Of Hghst Pd Cntrct Or NONE | NONE | CompOfHghstPdCntrctOrNONETxt |
| Contractor Paid Over50k | 0 | ContractorPaidOver50kCnt |
Summary Of Direct Chrtbl Acty SummaryOfDirectChrtblActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description1 | NOT APPLICABLE | Description1Txt |
| Expenses1 | $0 | Expenses1Amt |
Sum Of Program Related Invst SumOfProgramRelatedInvstGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description1 | NOT APPLICABLE | Description1Txt |
| Expenses1 | $0 | Expenses1Amt |
| Total | $0 | TotalAmt |
Minimum Investment Return MinimumInvestmentReturnGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Average Monthly FMV Of Sec | $5,136,560 | AverageMonthlyFMVOfSecAmt |
| Average Monthly Cash Balances | $187,149 | AverageMonthlyCashBalancesAmt |
| FMV All Other Noncharitable Ast | $64,349,354 | FMVAllOtherNoncharitableAstAmt |
| Total FMV Of Unused Assets | $69,673,063 | TotalFMVOfUnusedAssetsAmt |
| Reduction Claimed | $0 | ReductionClaimedAmt |
| Acquisition Indebtedness | $0 | AcquisitionIndebtednessAmt |
| Adjusted Total FMV Of Unused Ast | $69,673,063 | AdjustedTotalFMVOfUnusedAstAmt |
| Cash Deemed Charitable | $1,045,096 | CashDeemedCharitableAmt |
| Net Vl Noncharitable Assets | $68,627,967 | NetVlNoncharitableAssetsAmt |
| Minimum Investment Return | $3,431,398 | MinimumInvestmentReturnAmt |
Distributable Amount DistributableAmountGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Minimum Investment Return | $3,431,398 | MinimumInvestmentReturnAmt |
| Tax Based On Investment Income | $80,218 | TaxBasedOnInvestmentIncomeAmt |
| Income Tax | $7,652 | IncomeTaxAmt |
| Total Tax | $87,870 | TotalTaxAmt |
| Distributable Before Adj | $3,343,528 | DistributableBeforeAdjAmt |
| Recoveries Qualfied Distri | $0 | RecoveriesQualfiedDistriAmt |
| Distributable Before Ded | $3,343,528 | DistributableBeforeDedAmt |
| Deduction From Distributable | $0 | DeductionFromDistributableAmt |
| Distributable As Adjusted | $3,343,528 | DistributableAsAdjustedAmt |
Qualifying Distri Part XII QualifyingDistriPartXIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expenses And Contributions | $4,000,085 | ExpensesAndContributionsAmt |
| Program Related Invst Total | $0 | ProgramRelatedInvstTotalAmt |
| Qualifying Distributions | $4,000,085 | QualifyingDistributionsAmt |
| Pct Sect4940e Org Net Invst Incm | $80,218 | PctSect4940eOrgNetInvstIncmAmt |
| Adjusted Qualifying Distri | $3,919,867 | AdjustedQualifyingDistriAmt |
Undistributed Income UndistributedIncomeGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Distributable As Adjusted | $3,343,528 | DistributableAsAdjustedAmt |
| Undistributed Income PY | $1,846,634 | UndistributedIncomePYAmt |
| Total For Prior Years | $0 | TotalForPriorYearsAmt |
| Total Excess Distribution Cyov | $0 | TotalExcessDistributionCyovAmt |
| Qualifying Distributions | $4,000,085 | QualifyingDistributionsAmt |
| Applied To Year1 | $1,846,634 | AppliedToYear1Amt |
| Applied To Prior Years | $0 | AppliedToPriorYearsAmt |
| Treated As Distri From Corpus | $0 | TreatedAsDistriFromCorpusAmt |
| Applied To Current Year | $2,153,451 | AppliedToCurrentYearAmt |
| Remaining Distri From Corpus | $0 | RemainingDistriFromCorpusAmt |
| Excess Distri Cyov App CY Corpus | $0 | ExcessDistriCyovAppCYCorpusAmt |
| Excess Distribution Cyov App CY | $0 | ExcessDistributionCyovAppCYAmt |
| Total Corpus | $0 | TotalCorpusAmt |
| Prior Year Undistributed Incm | $0 | PriorYearUndistributedIncmAmt |
| Prior Year Deficiency Or Tax | $0 | PriorYearDeficiencyOrTaxAmt |
| Taxable1 | $0 | Taxable1Amt |
| Taxable2 | $0 | Taxable2Amt |
| Undistributed Income CY | $1,190,077 | UndistributedIncomeCYAmt |
| Corpus Distri170b1 E Or4942g3 | $0 | CorpusDistri170b1EOr4942g3Amt |
| Excess Distri Cyov From Yr5 | $0 | ExcessDistriCyovFromYr5Amt |
| Excess Distri Cyov To Next Yr | $0 | ExcessDistriCyovToNextYrAmt |
Supplementary Information SupplementaryInformationGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contributing Manager | THOMAS KEMPNER JR | ContributingManagerNm |
| Only Contri To Preselected | Yes (X) | OnlyContriToPreselectedInd |
Grant Or Contribution Pd Dur Yr GrantOrContributionPdDurYrGrp (11 entries)
| Address Line1RecipientUSAddress/AddressLine1Txt | CityRecipientUSAddress/CityNm | State AbbreviationRecipientUSAddress/StateAbbreviationCd | ZIPRecipientUSAddress/ZIPCd | Recipient RelationshipRecipientRelationshipTxt | Recipient Foundation StatusRecipientFoundationStatusTxt | Grant Or Contribution PurposeGrantOrContributionPurposeTxt | AmtAmt |
|---|---|---|---|---|---|---|---|
| CENTRAL PARK CONSERVANCY | |||||||
| 14 E 60TH ST | NEW YORK | NY | 10022 | NONE | 501(C)(3) | UNRESTRICTED GRANT FOR EXEMPT PURPOSES | $600,000 |
| COLUMBIA UNIVERSITY | |||||||
| 630 WEST 168TH STREET | NEW YORK | NY | 10032 | NONE | 501(C)(3) | UNRESTRICTED GRANT FOR EXEMPT PURPOSES | $1,050,000 |
| GRAMEEN AMERICA | |||||||
| 135 POST AVENUE | NEW YORK | NY | 10034 | NONE | 501(C)(3) | UNRESTRICTED GRANT FOR EXEMPT PURPOSES | $50,000 |
| HARLEM VILLAGE ACADEMIES | |||||||
| 74 WEST 124TH STREET | NEW YORK | NY | 10027 | NONE | 501(C)(3) | UNRESTRICTED GRANT FOR EXEMPT PURPOSES | $500,000 |
| HARVARD BUSINESS SCHOOL | |||||||
| SOLDIERS FIELD | BOSTON | MA | 02163 | NONE | 501(C)(3) | UNRESTRICTED GRANT FOR EXEMPT PURPOSES | $500,000 |
| PHE - NY CHAPTER | |||||||
| 1460 BROADWAY SUITE 5-24 | NEW YORK | NY | 10036 | NONE | 501(C)(3) | UNRESTRICTED GRANT FOR EXEMPT PURPOSES | $55,000 |
| PHE - PLEDGE | |||||||
| 1460 BROADWAY SUITE 5-24 | NEW YORK | NY | 10036 | NONE | 501(C)(3) | UNRESTRICTED GRANT FOR EXEMPT PURPOSES | $200,000 |
| STANFORD UNIVERSITY | |||||||
| 295 GALVEZ STREET | STANFORD | CA | 94305 | NONE | 501(C)(3) | UNRESTRICTED GRANT FOR EXEMPT PURPOSES | $500,000 |
| WILDLIFE CONSERVATION | |||||||
| 602 SURF AVENUE | NEW YORK | NY | 11224 | NONE | 501(C)(3) | UNRESTRICTED GRANT FOR EXEMPT PURPOSES | $60,960 |
| YALE UNIVERSITY | |||||||
| 38 HILLHOUSE AVENUE | NEW HAVEN | CT | 06511 | NONE | 501(C)(3) | UNRESTRICTED GRANT FOR EXEMPT PURPOSES | $100,000 |
| ROUNDABOUT THEATRE | |||||||
| 231 WEST 39TH STREET | NEW YORK | NY | 10018 | NONE | 501(C)(3) | UNRESTRICTED GRANT FOR EXEMPT PURPOSES | $375,000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Grant Or Contri Pd Dur Yr | $3,990,960 | TotalGrantOrContriPdDurYrAmt |
| Total Grant Or Contri Apprv Fut | $0 | TotalGrantOrContriApprvFutAmt |
Analysis Income Producing Acty AnalysisIncomeProducingActyGrp
Div And Int From Sec Part VII DivAndIntFromSecPartVIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business | 900000 | BusinessCd |
| Exclusion | 14 | ExclusionCd |
| Exclusion | $185,330 | ExclusionAmt |
Other Investment Incm Part VII OtherInvestmentIncmPartVIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business | 900000 | BusinessCd |
| Unrelated Business Taxbl Incm | $73,533 | UnrelatedBusinessTaxblIncmAmt |
| Exclusion | 14 | ExclusionCd |
| Exclusion | $2,733,356 | ExclusionAmt |
Gain Sales Ast Oth Than Invntry GainSalesAstOthThanInvntryGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business | 900000 | BusinessCd |
| Unrelated Business Taxbl Incm | $22,634 | UnrelatedBusinessTaxblIncmAmt |
| Exclusion | 18 | ExclusionCd |
| Exclusion | $5,186,394 | ExclusionAmt |
Subtotals Incm Producing Acty SubtotalsIncmProducingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Unrelated Business Taxbl Incm | $96,167 | UnrelatedBusinessTaxblIncmAmt |
| Exclusion | $8,105,080 | ExclusionAmt |
| Related Or Exempt Function Incm | $0 | RelatedOrExemptFunctionIncmAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Income Producing Acty | $8,201,247 | TotalIncomeProducingActyAmt |
Trnsfr Trans Rln Nonchrtbl EO TrnsfrTransRlnNonchrtblEOGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trnsfr Of Cash To Nonchrtbl EO | 0 | TrnsfrOfCashToNonchrtblEOInd |
| Trnsfr Other Asset Nonchrtbl EO | 0 | TrnsfrOtherAssetNonchrtblEOInd |
| Sales Or Exchanges Of Assets | 0 | SalesOrExchangesOfAssetsInd |
| Purchase Of Assets Nonchrtbl EO | 0 | PurchaseOfAssetsNonchrtblEOInd |
| Rental Of Facilities Oth Assets | 0 | RentalOfFacilitiesOthAssetsInd |
| Reimbursement Arrangements | 0 | ReimbursementArrangementsInd |
| Loans Or Loan Guarantees | 0 | LoansOrLoanGuaranteesInd |
| Performance Of Services Etc | 0 | PerformanceOfServicesEtcInd |
| Sharing Of Facilities Etc | 0 | SharingOfFacilitiesEtcInd |
| Relationships Nonchrtbl EO | 0 | RelationshipsNonchrtblEOInd |
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 | Noncash ContributionNoncashContributionInd |
|---|---|---|---|---|---|---|---|
| THOMAS L KEMPNER | |||||||
| 1 | 65 EAST 55TH STREET 19TH FLOOR | NEW YORK | NY | 10022 | $15,750,000 | Yes (X) | |
| THOMAS L KEMPNER | |||||||
| 2 | 65 EAST 55TH STREET 19TH FLOOR | NEW YORK | NY | 10022 | $96,260 | Yes (X) | |
| THOMAS L KEMPNER | |||||||
| 3 | 65 EAST 55TH STREET 19TH FLOOR | NEW YORK | NY | 10022 | $627,663 | Yes (X) | |
Non Cash Property Contribution NonCashPropertyContributionGrp (2 entries)
| ContributorContributorNum | Noncash PropertyNoncashPropertyDesc | Fair Market ValueFairMarketValueAmt | ReceivedReceivedDt |
|---|---|---|---|
| 2 | 2,832 SHS MELCO CROWN ENTERTAINMENT | $96,260 | 2014-05-22 |
| 3 | 6,000 SHS POWERSHARES QQQ TRUST | $627,663 | 2014-12-22 |
Accounting Fees Schedule AccountingFeesSchedule
Accounting Fees Detail AccountingFeesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | PROFESSIONAL FEES | CategoryTxt |
| Amt | $15,250 | Amt |
| Net Investment Income | $7,625 | NetInvestmentIncomeAmt |
| Adjusted Net Income | $0 | AdjustedNetIncomeAmt |
| Disbursements Charitable Prps | $7,625 | DisbursementsCharitablePrpsAmt |
Investments Corp Bonds Schedule InvestmentsCorpBondsSchedule
Investments Corporate Bonds InvestmentsCorporateBondsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Bond | VARIOUS BONDS - JPM | BondNm |
| EOY Book Value | $51,274 | EOYBookValueAmt |
| EOYFMV | $0 | EOYFMVAmt |
Investments Corp Stock Schedule InvestmentsCorpStockSchedule
Investments Corporate Stock InvestmentsCorporateStockGrp (2 entries)
| StockStockNm | EOY Book ValueEOYBookValueAmt | EOYFMVEOYFMVAmt |
|---|---|---|
| VARIOUS COMMON STOCK - JPM | $3,242,353 | $3,175,061 |
| VARIOUS STOCKS - BRAVE WARRIOR | $1,788,243 | $2,801,232 |
Investments Other Schedule2 InvestmentsOtherSchedule2
Investments Other InvestmentsOtherGrp (51 entries)
| Category Or ItemCategoryOrItemTxt | Listed At Cost Or FMVListedAtCostOrFMVCd | Book ValueBookValueAmt | EOYFMVEOYFMVAmt |
|---|---|---|---|
| MHD MANAGEMENT COMPANY | AT COST | $7,129,844 | $7,129,844 |
| M H DAVIDSON & CO. | AT COST | $30,016,925 | $30,016,925 |
| SKYLINE VENTURE PARTNERS | AT COST | $0 | $0 |
| SKYLINE VENTURE PARTNERS II | AT COST | $0 | $0 |
| ARBITER PARTNERS | AT COST | $5,682,963 | $5,682,963 |
| DRAWBRIDGE SPECIAL FUND | AT COST | $75,255 | $75,255 |
| SKYLINE VENTURE FUND III | AT COST | $41,262 | $9,585 |
| HEARTLAND PARTNERS LP | AT COST | $72,277 | $72,277 |
| FOREIGN CORP.-VAR. HEDGE FUNDS | AT COST | $183,575 | $363,325 |
| SKYLINE VENTURE FUND IV | AT COST | $155,593 | $201,346 |
| AQUILINE FINANCIAL | AT COST | $605,268 | $634,508 |
| NEW CENTURY HOLDINGS XI | AT COST | $49,270 | $38,290 |
| FOREIGN CURRENCY CONTRACTS | AT COST | $63,692 | $55,055 |
| AQUILINE DRAGON FUND OFFSHORE | AT COST | $37,839 | $39,667 |
| AQUILINE REAL ESTATE FUND LP | AT COST | $805,272 | $805,273 |
| ABRAMS CAPITAL PARTNERS II | AT COST | $1,476,062 | $1,476,062 |
| SKYLINE VENTURE PARTNERS V LP | AT COST | $162,930 | $198,075 |
| MKW | AT COST | $359,650 | $134,889 |
| AMERICAN SECURITIES PARTNERS | AT COST | $1,116,266 | $1,116,266 |
| NCH AGRIBUSINESS PARTNERS | AT COST | $467,651 | $467,651 |
| JCF III AIV I LP | AT COST | $129,420 | $129,420 |
| ASP V ALTERNATE INVESTMENTS LP | AT COST | $14,017 | $14,017 |
| HAWKEYE CAPITAL INSTITUTIONAL LP | AT COST | $1,408,331 | $1,408,331 |
| JCF III AIV SRV | AT COST | $179 | $103 |
| ASP FML CO-INVEST I | AT COST | $96,262 | $96,262 |
| JCF III AIV II LP | AT COST | $931,305 | $931,305 |
| MKW VENTURES LIMITED | AT COST | $6,513 | $45,748 |
| DK GROUP | AT COST | $2,278,415 | $2,278,415 |
| FINE CAPITAL | AT COST | $733,199 | $1,099,798 |
| ROBOTTI GLOBAL FUND | AT COST | $1,033,443 | $1,033,443 |
| AMERICAN SECURITIES PARTNERS VI | AT COST | $1,092,346 | $1,092,346 |
| CROSSHARBOR INSTITUTIONAL PARTNERS II | AT COST | $815,708 | $1,102,836 |
| HIGHBROOK INCOME PROPERTY FUND | AT COST | $1,200,938 | $1,311,065 |
| HOLT DISTRESSED PROPERTY FUND 2010 | AT COST | $781,905 | $781,905 |
| HOLT DISTRESSED PROPERTY FUND (PARALLEL 1) 2010 | AT COST | $210,202 | $210,202 |
| CIP II OHIO HOTELS | AT COST | $2,868 | $2,868 |
| HARBOR LITIGATION TRUST | AT COST | $332,270 | $306,401 |
| PENNYBACKER REAL ESTATE FUND | AT COST | $489,965 | $902,516 |
| HOLT OPPORTUNITY FUND 2013 | AT COST | $286,528 | $286,528 |
| HOLT OPPORTUNITY FUND (PARALLEL 1) 2013 | AT COST | $410,617 | $410,617 |
| AMPLIFY PARTNERS | AT COST | $439,721 | $935,223 |
| NAVITAS FUND | AT COST | $1,148,646 | $1,148,646 |
| WHITE DEER ENERGY LP | AT COST | $335,668 | $335,668 |
| JC FLOWERS | AT COST | $0 | $1,146 |
| DAVIDSON KEMPNER ADVISORS | AT COST | $208,285 | $208,285 |
| DKOI GP LLC | AT COST | $252,649 | $252,649 |
| DKIL GP LLC | AT COST | $680,276 | $680,276 |
| PENNYBACKER III | AT COST | $555,500 | $488,340 |
| SNOW LAKE CHINA OFFSHORE FUND | AT COST | $1,500,000 | $1,628,089 |
| HIGHBROOK INCOME PROPERTY FUND II | AT COST | $252,838 | $225,634 |
| PERRY CREEK CAPITAL FUND | AT COST | $58,371 | $58,371 |
Other Assets Schedule OtherAssetsSchedule
Other Assets Schedule OtherAssetsScheduleGrp (2 entries)
| DescDesc | BOY Book ValueBOYBookValueAmt | EOY Book ValueEOYBookValueAmt | EOYFMVEOYFMVAmt |
|---|---|---|---|
| DUE FROM PARTNERSHIPS | -$353,697 | -$218,399 | |
| LOAN TO HVA | $4,000,000 | $3,500,000 | $3,500,000 |
Other Decreases Schedule OtherDecreasesSchedule
Other Decreases Detail OtherDecreasesDetail (2 entries)
| DescDesc | AmtAmt |
|---|---|
| UNREALIZED GAIN/LOSS & BOOK ADJ FROM K-1S | $4,072,573 |
| UNREALIZED APPRECIATION OF CONTRIBUTED SECURITIES | $410,849 |
Other Expenses Schedule OtherExpensesSchedule
Other Expenses Schedule OtherExpensesScheduleGrp (3 entries)
| DescDesc | Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt | Net Investment IncomeNetInvestmentIncomeAmt | Adjusted Net IncomeAdjustedNetIncomeAmt | Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt |
|---|---|---|---|---|
| MARGIN INTEREST | $20,510 | $20,510 | $0 | $0 |
| NY DEPT OF LAW | $1,500 | $0 | $0 | $1,500 |
| INVESTMENT MANAGEMENT FEE | $55,163 | $55,163 | $0 | $0 |
Other Income Schedule2 OtherIncomeSchedule2
Other Income Detail OtherIncomeDetail (2 entries)
| DescDesc | Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt | Net Investment IncomeNetInvestmentIncomeAmt |
|---|---|---|
| UBTI TAXES ON 990T | $73,532 | $0 |
| OTHER INCOME THROUGH K-1'S | $2,733,356 | $2,733,356 |
Other Liabilities Schedule OtherLiabilitiesSchedule
Other Liabilities Detail OtherLiabilitiesDetail (4 entries)
| DescDesc | BOY Book ValueBOYBookValueAmt | EOY Book ValueEOYBookValueAmt |
|---|---|---|
| DK PRESIDIO | $434 | $434 |
| SKYLINE VENTURES PARTNERS III | $6,616 | $16,308 |
| CASH (OVERDRAFT) | $0 | $46,140 |
| JC FLOWERS | $0 | $1,155 |