2014-11-12T08:35:50-06:00 2013-12-31 861065772 DELOITTE TAX LLP 1111 BAGBY STREET SUITE 4500 HOUSTON TX 77002 990PF 2013-01-01 760101380 VIVIAN L SMITH FOUNDATION VIVI 7139868030 1900 WEST LOOP SOUTH NO 1050 HOUSTON TX 770273207 H DEVON GRAHAM JR PRESIDENT 7139868030 2014-11-12 0 DOUGLAS D ROBB P00780826 7139822000 2013 2015-12-30 17:16:21Z X 89233777 X X 10 10 1884978 1884978 4750159 23663456 4750159 43188 43188 6678335 6678335 0 0 0 14238 7119 7119 530392 480392 50000 83319 23319 0 28354 26774 1580 656303 537604 58699 3888000 3888000 4544303 537604 3946699 2134032 6140731 5467 5339 5339 5395 5798 5798 112519 3803035 4889337 4747259 49102017 42561651 56898788 17994058 16627539 16248925 22272 8976599 11327668 71044763 73066263 89233777 0 0 X 0 0 0 0 71044763 73066263 71044763 73066263 71044763 73066263 71044763 2134032 0 73178795 112532 73066263 PUBLICLY TRADED SECURITIES P 22157022 18913297 3243725 3243725 PASSTHROUGH K-1 CAPITAL GAIN P 2013-12-31 696063 696063 696063 CAPITAL GAINS DISTRIBUTIONS P 806514 806514 806514 CAPITAL GAINS DIVIDENDS P 3857 3857 3857 4750159 0 3971247 80113173 0.049570 3734678 81291432 0.045942 3369172 76093496 0.044277 4165552 69415189 0.060009 4202869 82746444 0.050792 0.250590 0.050118 86137956 4317062 61407 4378469 3946699 122815 0 122815 0 122815 106362 60000 166362 X 354 43193 43193 0 0 0 0 0 0 0 0 0 0 0 1 1 TX 1 0 0 0 0 1 N/A R E SMITH INTERESTS INC 7139868030 1900 WEST LOOP SOUTH 1050 HOUSTON TX 770273207 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 RICHARD H SKINNER 1900 WEST LOOP SOUTH STE 1050 HOUSTON TX 77027 TRUSTEE 2.00 0 0 0 SUZANNE R BENSON 1900 WEST LOOP SOUTH STE 1050 HOUSTON TX 77027 PRESIDENT/TRUSTEE 2.00 0 0 0 SANDRA SMITH DOMPIER 1900 WEST LOOP SOUTH STE 1050 HOUSTON TX 77027 TRUSTEE 1.00 0 0 0 H DEVON GRAHAM JR 1900 WEST LOOP SOUTH STE 1050 HOUSTON TX 77027 VICE PRESIDENT 8.00 0 0 0 AMY M MECKEL 1900 WEST LOOP SOUTH STE 1050 HOUSTON TX 77027 SEC/TREA 10.00 0 0 0 CYNTHIA J ADKINS 1900 WEST LOOP SOUTH STE 1050 HOUSTON TX 77027 TRUSTEE 2.00 0 0 0 RANSOM C LUMMIS 1900 WEST LOOP SOUTH STE 1050 HOUSTON TX 77027 TRUSTEE 2.00 0 0 0 KIRBY COHN MCCOOL 1900 WEST LOOP SOUTH STE 1050 HOUSTON TX 77027 TRUSTEE 2.00 0 0 0 NONE 0 FAYEZ SAROFIM & CO PO BOX 973701 DALLAS TX 75397 INVESTMENT MANAGEMENT 77866 SILCHESTER INTERNATIONAL INVESTORS 780 THIRD AVE 42ND FLOOR NEW YORK NY 10017 INVESTMENT MANAGEMENT 71508 THE MITCHELL GROUP 1100 LOUISIANA SUITE 5000 HOUSTON TX 77002 INVESTMENT MANAGEMENT 65941 LOWERY ASSET CONSULTING LLC 20 NORTH WACKER DR STE 1475 CHICAGO IL 60606 INVESTMENT MANAGEMENT 52180 0 N/A 0 0 75273122 848912 11327668 87449702 0 0 87449702 1311746 86137956 4306898 4306898 122815 122815 4184083 0 4184083 0 4184083 3946699 0 3946699 0 3946699 4184083 3871882 0 0 3946699 3871882 0 0 74817 0 0 0 0 0 0 0 0 4109266 0 0 0 AMY MECKEL VIVIAN L SMITH FOUNDATIO 1900 WEST LOOP SOUTH SUITE 1050 HOUSTON TX 770273207 7139868030 NO SPECIFIC FORM REQUIRED. APPLICANTS MUST SPECIFY PURPOSE AND INCLUDE PROOF THAT THEY ARE QUALIFYING SEC 509(A)(1),(2) OR (3) ORGANIZATIONS. GRANTS MUST BE SUBMITTED BY FEB 15,MAY 15,AUG 15,AND OCT 25 PRECEDING THE QUARTERLY MEETINGS. THE FOUNDATION DOES NOT MAKE GRANTS TO INDIVIDUALS. ALL RECEIPIENTS MUST BE QUALIFYING SEC 509(A)(1),(2), OR (3) ORGANIZATIONS. THERE ARE NO RESTRICTIONS TO GEOGRAPHICAL AREAS OR CHARITABLE FIELDS. BLANTON MUSEUM OF ART 200 E MARTIN LUTHER KING JR BLVD AUSTIN TX 78701 PC GENERAL SUPPORT 5000 KINKAID SCHOOL 201 KINKAID SCHOOL DR HOUSTON TX 77024 PC GENERAL SUPPORT 15000 TEXAS EXES ALUMNI ASSOCIATION 2110 SAN JACINTO BLVD AUSTIN TX 78712 PC GENERAL SUPPORT 2000 AMERICAN CANCER SOCIETY 250 WILLIAMS STREET ATLANTA GA 30303 PC GENERAL SUPPORT 75000 BOYS AND GIRLS COUNTRY 18806 ROBERTS ROAD HOCKLEY TX 77447 PC GENERAL SUPPORT 10000 COMMUNITIES IN SCHOOLS INC 1235 N LOOP WEST STE 300 HOUSTON TX 77008 PC GENERAL SUPPORT 100000 DISCOVERY GREEN 1500 MCKINNEY ST HOUSTON TX 77010 PC GENERAL SUPPORT 50000 JOHN P MCGOVERN MUSEUM OF HEALTH 1515 HERMANN DRIVE HOUSTON TX 77004 PC GENERAL SUPPORT 50000 MAKE A WISH FOUNDATION 4741 M 24TH STREET SUITE 400 PHEONIX AZ 85016 PC GENERAL SUPPORT 15000 THE ROSE FOUNDATION 1970 BROADWAY SUITE 600 OAKLAND CA 94612 PC GENERAL SUPPORT 50000 SPAY NEUTER ASSISTANCE PROGRAM PO BOX 70286 HOUSTON TX 77270 PC GENERAL SUPPORT 15000 SUNSHINE KIDS FOUNDATION 2814 VIRGINIA ST HOUSTON TX 77098 PC GENERAL SUPPORT 25000 TREES FOR HOUSTON PO BOX 270477 HOUSTON TX 77277 PC GENERAL SUPPORT 5000 YES PREP PUBLIC SCHOOLS INC 6201 BONHOMME STE 168N HOUSTON TX 77036 PC GENERAL SUPPORT 100000 UNITY THEATRE COMPANY 300 CHURCH ST BRENHAM TX 77833 PC GENERAL SUPPORT 5000 THE BEACON 199 MAIN ST BEACON NY 12508 PC GENERAL SUPPORT 10000 HOUSTON ACHIEVEMENT PLACE 245 W 17TH STREET HOUSTON TX 77008 PC GENERAL SUPPORT 10000 MENNINGER CLINIC 12301 MAIN STREET HOUSTON TX 77035 PC GENERAL SUPPORT 100000 RISE SCHOOL OF HOUSTON 5618 H MARK CROSSWELL JR ST HOUSTON TX 77021 PC GENERAL SUPPORT 50000 WAY STATION PO BOX 3826 FREDERICK MD 21705 PC GENERAL SUPPORT 15000 BREAKTHROUGH HOUSTON 2401 CLAREMONT LANE HOUSTON TX 77019 PC GENERAL SUPPORT 25000 DEPRESSION BIPOLAR SUPPORT ALLIANCE PO BOX 27607 HOUSTON TX 77227 PC GENERAL SUPPORT 12000 HOUSTON CENTER FOR LITERACY 2401 PORTSMOUTH 230 HOUSTON TX 77098 PC GENERAL SUPPORT 10000 HOUSTON HOSPICE 1905 HOLCOMBE BLVD HOUSTON TX 77030 PC GENERAL SUPPORT 100000 SPECIAL OLYMPICS TEXAS 7715 CHEVY CHASE DR STE 120 AUSTIN TX 78752 PC GENERAL SUPPORT 25000 ARCHWAY ACADEMY 6221 MAIN ST HOUSTON TX 77030 PC GENERAL SUPPORT 10000 CHRISTUS STEHLIN FOUNDATION 10301 STELLA LINK SUITE A HOUSTON TX 77025 PC GENERAL SUPPORT 50000 MENIL FOUNDATION INC 1519 BRANARD ST HOUSTON TX 77006 PC GENERAL SUPPORT 38000 SMALL STEPS NURTURING CENTER 2902 JENSEN DRIVE HOUSTON TX 77026 PC GENERAL SUPPORT 30000 TEXAS CHILDRENS HOSPITAL 6621 FANNIN STREET HOUSTON TX 77030 PC GENERAL SUPPORT 100000 TIRR FOUNDATION 4605 POST OAK PLACE SUITE 222 HOUSTON TX 77027 PC GENERAL SUPPORT 100000 UNIVERSITY OF ST THOMAS 3800 MONTROSE BLVD HOUSTON TX 77006 PC GENERAL SUPPORT 50000 UT HEALTH SCIENCE CENTER 7000 FANNIN STREET HOUSTON TX 77030 PC GENERAL SUPPORT 105000 YMCA OF GREATER HOUSTON PO BOX 3007 HOUSTON TX 77253 PC GENERAL SUPPORT 50000 BAYLOR COLLEGE OF MEDICINE ONE BAYLOR PLAZA BCM160 HOUSTON TX 77030 PC GENERAL SUPPORT 135000 CASA DE ESPERANZA PO BOX 66581 HOUSTON TX 77266 PC GENERAL SUPPORT 10000 HERMANN PARK CONSERVANCY 6201 A HERMANN PARK DRIVE HOUSTON TX 77030 PC GENERAL SUPPORT 50000 MONARCH INSTITUTE FOR NEUROLOGICAL DIFFERENCES 2815 ROSEFIELD DR HOUSTON TX 77080 PC GENERAL SUPPORT 100000 NEIGHBORHOOD CENTERS INC PO BOX 271389 HOUSTON TX 77277 PC GENERAL SUPPORT 50000 UT HEALTH SCIENCE CENTER 7000 FANNIN STREET HOUSTON TX 77030 PC GENERAL SUPPORT 100000 BEREN ACADEMY 11333 CLIFFWOOD DR HOUSTON TX 77035 PC GENERAL SUPPORT 10000 JOHN H REAGAN HIGH SCHOOL DEVELOPMENT AND SCHOLARSHIP FOUNDATION INC 1200 SMITH ST STE 1111 HOUSTON TX 77002 PC GENERAL SUPPORT 25000 EPISCOPAL HIGH SCHOOL 4650 BISSONET ST BELLAIRE TX 77401 PC GENERAL SUPPORT 102000 GOODWILL INDUSTRIES OF HOUSTON 1140 WEST LOOP NORTH HOUSTON TX 77055 PC GENERAL SUPPORT 50000 ST FRANCIS EPISCOPAL DAY SCHOOL 335 PINEY POINT HOUSTON TX 77024 PC GENERAL SUPPORT 100000 REGIS SCHOOL OF THE SACRED HEART 7330 WESTVIEW DR HOUSTON TX 77055 PC GENERAL SUPPORT 30000 AMAZING PLACE INC 3735 DREXEL DR HOUSTON TX 77027 PC GENERAL SUPPORT 25000 CORNERSTONE RECOVERY 6699 PORTWEST DRIVE SUITE 140 HOUSTON TX 77024 PC GENERAL SUPPORT 25000 CAMP FOR ALL FOUNDATION 10500 NW FREEWAY HOUSTON TX 77092 PC GENERAL SUPPORT 50000 CHILDRENS ASSESSMENT CENTER FOUNDATION 2500 BOLSOVER HOUSTON TX 77005 PC GENERAL SUPPORT 50000 ST JOHNS SCHOOL 2401 CLAREMONT LANE HOUSTON TX 77019 PC GENERAL SUPPORT 120000 SHRINERS HOSPITALS FOR CHILDREN PO BOX 31356 TAMPA FL 33631 PC GENERAL SUPPORT 50000 CHILDREN'S MUSEUM OF HOUSTON 1500 BINZ ST HOUSTON TX 77004 PC GENERAL SUPPORT 25000 ST LUKES EPISCOPAL HOSPITAL 232 S WOODS MILL RD CHESTERFIELD MO 63017 PC GENERAL SUPPORT 100000 CHILD ADVOCATES INC 2401 PORTSMOUTH HOUSTON TX 77098 PC GENERAL SUPPORT 20000 ST JOHNS UNITED METHODIST CHURCH 2019 CRAWFORD ST HOUSTON TX 77002 PC GENERAL SUPPORT 25000 UNIVERSITY OF TEXAS 215 E 24TH ST AUSTIN TX 78712 PC GENERAL SUPPORT 210500 TEXAS HEART INSTITUTE 6770 BERTNER HOUSTON TX 77030 PC GENERAL SUPPORT 100000 ASIA SOCIETY TEXAS CENTER 1370 SOUTHMORE BLVD HOUSTON TX 77004 PC GENERAL SUPPORT 10000 BO'S PLACE 10050 BUFFALO SPEEDWAY HOUSTON TX 77054 PC GENERAL SUPPORT 10000 CANCARE INC PO BOX 79362 HOUSTON TX 77279 PC GENERAL SUPPORT 10000 CHRIST CHURCH CATHEDRAL 1117 TEXAS ST HOUSTON TX 77002 PC GENERAL SUPPORT 5000 CYSTIC FIBROSIS FOUNDATION 6931 ARLINGTON RD BETHESDA MD 20814 PC GENERAL SUPPORT 50000 DEPELCHIN CHILDRENS CENTER 4950 MEMORIAL DR HOUSTON TX 77007 PC GENERAL SUPPORT 15000 EPILEPSEY FOUNDATION 8301 PROFESSIONAL PLACE EAST LANDOVER MD 20785 PC GENERAL SUPPORT 15000 GATEWAY ACADENY 7310 BOWIE ST HOUSTON TX 77012 PC GENERAL SUPPORT 10000 GOOD SAMARITAN FOUNDATION 5615 KIRBY DR STE 610 HOUSTON TX 77005 PC GENERAL SUPPORT 50000 HEALTHCARE FOR THE HOMELESS-HOUSTON PO BOX 66690 HOUSTON TX 77266 PC GENERAL SUPPORT 5000 HERITAGE SOCIETY AT SAM HOUSTON 1100 BAGBY ST HOUSTON TX 77002 PC GENERAL SUPPORT 50000 HOUSTON FOOD BANK 535 PORTWALL ST HOUSTON TX 77029 PC GENERAL SUPPORT 30000 HOUSTON SYMPHONY 615 LOUISIANA SUITE 102 HOUSTON TX 77002 PC GENERAL SUPPORT 10000 HSPVA FRIENDS 4119 MONTROSE BLVD STE 210 HOUSTON TX 77006 PC GENERAL SUPPORT 10000 KARL YOUNG BASEBALL 9977 W SAM HOUSTON PKWY 150 HOUSTON TX 77064 PC GENERAL SUPPORT 10000 KELSEY RESEARCH FOUNDATION 5615 KIRBY DR STE 660 HOUSTON TX 77005 PC GENERAL SUPPORT 25000 MARBRIDGE FOUNDATION PO BOX 2250 MANCHACA TX 78652 PC GENERAL SUPPORT 2500 NEW HOPE HOUSING INC 1117 TEXAS AVE HOUSTON TX 77002 PC GENERAL SUPPORT 25000 PALMER DRUG ABUSE PROGRAM THREE MEMORIAL CITY PLAZA HOUSTON TX 77024 PC GENERAL SUPPORT 15000 PROJECT GRAD HOUSTON 3000 RICHMOND AVE HOUSTON TX 77098 PC GENERAL SUPPORT 50000 ST LUKES UNITED METHODIST CHURCH 3471 WESTHEIMER RD HOUSTON TX 77027 PC GENERAL SUPPORT 50000 RONALD MCDONALD HOUSE HOUSTON 1907 HOLCOMBE BLVD HOUSTON TX 77030 PC GENERAL SUPPORT 50000 UNIVERSITY OF TEXAS MEDICAL BRANCH 301 UNIVERSITY BOULEVARD GALVESTON TX 77555 PC GENERAL SUPPORT 10000 WOODS PROJECT 2700 SOUTHWEST FREEWAY SUITE B HOUSTON TX 77098 PC GENERAL SUPPORT 10000 CATHEDRAL HEALTH & OUTREACH MINISTRIES 1117 TEXAS AVE HOUSTON TX 77002 PC GENERAL SUPPORT 5000 CRIME STOPPERS OF HOUSTON INC PO BOX 541654 HOUSTON TX 77254 PC GENERAL SUPPORT 25000 JAMES A BAKER III INSTITUTE FOR PUBLIC POLICY 6100 MAIN ST HOUSTON TX 77005 PC GENERAL SUPPORT 5000 JULIE ROGERS GIFT OF LIFE PROGRAM 2390 DOWLEN RD BEAUMONT TX 77706 PC GENERAL SUPPORT 10000 MEMORIAL HERMANN FOUNDATION 929 GESSNER SUITE 2650 HOUSTON TX 77024 PC GENERAL SUPPORT 100000 YELLOWSTONE ACADEMY 3000 TRULLEY HOUSTON TX 77004 PC GENERAL SUPPORT 1000 HOUSTON ZOO INC 1513 CAMBRIDGE STREET HOUSTON TX 77030 PC GENERAL SUPPORT 100000 MUSEUM OF FINE ARTS HOUSTON PO BOX 6826 HOUSTON TX 77265 PC GENERAL SUPPORT 25000 NEUHAUS EDUCATION CENTER 4433 BISSONNET BELLAIRE TX 77401 PC GENERAL SUPPORT 30000 JONES GRADUATE SCHOOL AT RICE UNIVERSITY 6100 MAIN ST HOUSTON TX 77005 PC GENERAL SUPPORT 5000 HOUSTON JUNIOR FORUM INC PO BOX 7941 HOUSTON TX 77270 PC GENERAL SUPPORT 15000 STAR OF HOPE MISSION 6897 ARDMORE HOUSTON TX 77054 PC GENERAL SUPPORT 7500 CHILDREN'S DEFENSE FUND TEXAS 5410 BELLAIRE BLVD 203 BELLAIRE TX 77401 PC GENERAL SUPPORT 7500 UNIVERSITY OF HOUSTON SUGAR LAND 14000 UNIVERSITY BLVD SUGAR LAND TX 77479 PC GENERAL SUPPORT 50000 3888000 0 14 10 14 1884978 14 43188 18 4750159 0 6678335 0 6678335 0 0 0 0 0 0 0 0 0 0 TAX COMPLIANCE SERVICES 14238 7119 7119 FORM 990PF, PART VII-B, LINE 1A (2)(3)(4) AND LINE 1B THE FOUNDATION'S BOOKKEEPING, CASH AND PROPERTY MANAGEMENT FUNCTIONS ARE PERFORMED BY R.E. SMITH INTERESTS INC., A MANAGEMENT COMPANY OWNED BY THE R.E. SMITH TESTAMENTARY TRUST PARTNERSHIP, A DISQUALIFIED PERSON. IN THIS CAPACITY, THE MANAGEMENT COMPANY PAYS EXPENSES ON THE FOUNDATION'S BEHALF WHICH ARE LATER REIMBURSED FROM THE FOUNDATION'S FUNDS. IN EXCHANGE FOR THESE SERVICES, THE FOUNDATION REMITTED TO R.E. SMITH INTERESTS, INC. A MANAGEMENT FEE IN THE AMOUNT OF $100,000 WHICH REPRESENTS REASONABLE PAYMENT FOR SUCH SERVICES.THE FOUNDATION HAS ANSWERED "YES" TO QUESTIONS 1A (2), (3) AND (4) SINCE IT PAYS FOR SERVICES PROVIDED EITHER DIRECTLY OR INDIRECTLY BY A DISQUALIFIED PERSON AS DESCRIBED ABOVE. HOWEVER, THE PAYMENT FOR THESE SERVICES IS AN EXCEPTED ACT UNDER SEC. 4941(D)(2)(E) SINCE THE PAYMENTS ARE FOR "PERSONAL SERVICES" WHICH ARE NECESSARY TO CARRY OUT THE EXEMPT PURPOSES OF THE FOUNDATION AND ARE "REASONABLE" IN AMOUNT AS THOSE TERMS ARE USED IN THE REGULATIONS AND OTHER AUTHORITATIVE PRONOUNCEMENTS. FRANKLIN TEMPLETON BONDS 2914996 2773749 FX STRATEGY GLOBAL 2030415 1786963 INVESTMENT - EATON VANCE 3773564 3714660 PIMCO 7908564 7973553 DANA 4698443 6189568 DRIEHAUS ACTIVE INCOME 2438986 2226192 FORWARD TACTICAL GROWTH 2874538 2982683 INVESTMENT - FAYEZ SAROFIM 6048981 13036635 INVESTMENT - INVESTORS TREASURY 661672 661672 IVY ASSET STRATEGY 2422234 3515831 LEUTHOLD CORE INVESTMENT 2792325 3154201 MANNING OVERSEAS 5833520 5956318 MITCHELL 6735038 9292381 WCM 2046714 3204919 LUTHER KING 4009200 4392549 DENT GROWTH FUND 2000000 2285839 4889337 4747259 0 0 RANGER AT COST 2673816 3403128 SILCHESTER INTERNATIONAL AT COST 6302783 7924540 ADJUSTMENT FOR PRIOR PERIOD ACCRUAL 112532 DUES 725 0 725 DELIVERY SERVICE AND OTHER EXPENSES 855 0 855 OTHER INVESTMENT EXPENSES 2917 2917 0 BANK FEES 134 134 0 K-1 PASSTHROUGH OTHER DEDUCTIONS 23723 23723 0 K-1 PASSTHROUGH OTHER INCOME 42740 42740 42740 OTHER INVESTMENT INCOME 448 448 448 MANAGEMENT FEES 100000 50000 50000 INVESTMENT MANAGEMENT FEES 430392 430392 0 FOREIGN TAX 23319 23319 0 FEDERAL EXCISE TAX 60000 0 0