CURTIS W MCGRAW FOUNDATION: Form 990PF, tax year 2012

View the entire original 990 at ProPublica ↗

Organization: CURTIS W MCGRAW FOUNDATION (EIN 22-1761678)
Tax period: 2012-01-01 to 2012-12-31
Filed: 2013-05-13
IRS object ID: 201301339349100805
Schema version: 2012v2.1
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
Accounting Fees Schedule
All Oth Prog Rltd Investments Sch
Depreciation Schedule
Investments Corp Bonds Schedule
Investments Corp Stock Schedule
Investments Govt Obligations Sch
Investments Other Schedule2
Land Etc Schedule2
Legal Fees Schedule
Other Expenses Schedule
Other Increases Schedule
Other Professional Fees Schedule
Taxes Schedule

Return header ReturnHeader

Field	Value	IRS element (for citing)
Timestamp	2013-05-13T07:47:17-05:00	Timestamp
Tax Period End Date	2012-12-31	TaxPeriodEndDate

Preparer Firm PreparerFirm

Preparer Firm Business Name PreparerFirmBusinessName

Field	Value	IRS element (for citing)
Business Name Line1	Rockefeller & Co Inc	BusinessNameLine1

Preparer Firm US Address PreparerFirmUSAddress

Field	Value	IRS element (for citing)
Address Line1	30 Rockefeller Pl - Rm 5600	AddressLine1
City	New York	City
State	NY	State
ZIP Code	10112	ZIPCode

Field	Value	IRS element (for citing)
Return Type	990PF	ReturnType
Tax Period Begin Date	2012-01-01	TaxPeriodBeginDate

Filer Filer

Field	Value	IRS element (for citing)
EIN	221761678	EIN

Name Name

Field	Value	IRS element (for citing)
Business Name Line1	THE CURTIS W MCGRAW FOUNDATION	BusinessNameLine1

Field	Value	IRS element (for citing)
In Care Of Name	% ROCKEFELLER & CO	InCareOfName
Name Control	CURT	NameControl

US Address USAddress

Field	Value	IRS element (for citing)
Address Line1	C/O ROCKEFELLER CO	AddressLine1
Address Line2	30 ROCKEFELLER PLAZA Suite 5600	AddressLine2
City	NEW YORK	City
State	NY	State
ZIP Code	10112	ZIPCode

Officer Officer

Field	Value	IRS element (for citing)
Name	SAMUEL W LAMBERT III	Name
Title	SECRETARY-TREASURER	Title
Phone	2125495360	Phone
Date Signed	2013-05-09	DateSigned
Authorize Third Party	true	AuthorizeThirdParty

Preparer Preparer

Field	Value	IRS element (for citing)
Phone	2125495100	Phone

Field	Value	IRS element (for citing)
Tax Year	2012	TaxYear
Build TS	2016-02-24 21:20:13Z	BuildTS

Form 990-PF IRS990PF

Field	Value	IRS element (for citing)
Exempt PF	X	ExemptPF
FMV Assets EOY	21878759	FMVAssetsEOY
Method Of Accounting Cash	X	MethodOfAccountingCash

Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses

Field	Value	IRS element (for citing)
Contri Received Rev And Expnss	0	ContriReceivedRevAndExpnss
Not Required To Attach Schedule B	X	NotRequiredToAttachScheduleB
Interest On Savings Rev And Expnss	119756	InterestOnSavingsRevAndExpnss
Interest On Savings Net Invst Incm	119756	InterestOnSavingsNetInvstIncm
Dividends Rev And Expnss	340716	DividendsRevAndExpnss
Dividends Net Invst Incm	340716	DividendsNetInvstIncm
Net Gain Sale Assets Rev And Expnss	1258164	NetGainSaleAssetsRevAndExpnss
Gross Sales Price	8901499	GrossSalesPrice
Capital Gain Net Incm Net Invst Incm	1258164	CapitalGainNetIncmNetInvstIncm
Total Revenue And Expenses	1718636	TotalRevenueAndExpenses
Total Net Investment Income	1718636	TotalNetInvestmentIncome
Legal Fees Rev And Expnss	22829	LegalFeesRevAndExpnss
Legal Fees Net Invst Incm	15219	LegalFeesNetInvstIncm
Legal Fees Adj Net Incm	0	LegalFeesAdjNetIncm
Legal Fees Dsbrs Chrtbl Prps	7610	LegalFeesDsbrsChrtblPrps
Accounting Fees Rev And Expnss	12300	AccountingFeesRevAndExpnss
Accounting Fees Net Invst Incm	8200	AccountingFeesNetInvstIncm
Accounting Fees Adj Net Incm	0	AccountingFeesAdjNetIncm
Accounting Fees Dsbrs Chrtbl Prps	4100	AccountingFeesDsbrsChrtblPrps
Other Prof Fees Rev And Expnss	119271	OtherProfFeesRevAndExpnss
Other Prof Fees Net Invst Incm	119271	OtherProfFeesNetInvstIncm
Taxes Rev And Expnss	34545	TaxesRevAndExpnss
Taxes Net Invst Incm	17945	TaxesNetInvstIncm
Other Expenses Rev And Expnss	35071	OtherExpensesRevAndExpnss
Other Expenses Net Invst Incm	32141	OtherExpensesNetInvstIncm
Other Expenses Dsbrs Chrtbl Prps	2930	OtherExpensesDsbrsChrtblPrps
Tot Opr Expenses Rev And Expnss	224016	TotOprExpensesRevAndExpnss
Tot Opr Expenses Net Invst Incm	192776	TotOprExpensesNetInvstIncm
Tot Opr Expenses Adj Net Incm	0	TotOprExpensesAdjNetIncm
Tot Opr Expenses Dsbrs Chrtbl Prps	14640	TotOprExpensesDsbrsChrtblPrps
Contri Gifts Paid Rev And Expnss	1125330	ContriGiftsPaidRevAndExpnss
Contri Gifts Paid Dsbrs Chrtbl Prps	1125330	ContriGiftsPaidDsbrsChrtblPrps
Total Expenses Rev And Expnss	1349346	TotalExpensesRevAndExpnss
Total Expenses Net Invst Incm	192776	TotalExpensesNetInvstIncm
Total Expenses Adj Net Incm	0	TotalExpensesAdjNetIncm
Total Expenses Dsbrs Chrtbl Prps	1139970	TotalExpensesDsbrsChrtblPrps
Excess Of Revenue Over Expenses	369290	ExcessOfRevenueOverExpenses
Net Investment Income	1525860	NetInvestmentIncome

Balance Sheets BalanceSheets

Field	Value	IRS element (for citing)
Cash BOY	220024	CashBOY
Cash EOY	209346	CashEOY
Cash EOYFMV	209346	CashEOYFMV
Accounts Receivable	0	AccountsReceivable
Accounts Receivable BOY	31381	AccountsReceivableBOY
Accounts Receivable EOY	0	AccountsReceivableEOY
Accounts Receivable EOYFMV	0	AccountsReceivableEOYFMV
Investments Govt Oblig BOY	2437291	InvestmentsGovtObligBOY
Investments Govt Oblig EOY	2473847	InvestmentsGovtObligEOY
Investments Govt Oblig EOYFMV	2519260	InvestmentsGovtObligEOYFMV
Investments Corp Stock BOY	9888695	InvestmentsCorpStockBOY
Investments Corp Stock EOY	10407977	InvestmentsCorpStockEOY
Investments Corp Stock EOYFMV	13360575	InvestmentsCorpStockEOYFMV
Investments Corp Bonds BOY	3419362	InvestmentsCorpBondsBOY
Investments Corp Bonds EOY	3139042	InvestmentsCorpBondsEOY
Investments Corp Bonds EOYFMV	3281001	InvestmentsCorpBondsEOYFMV
Investments Other BOY	897224	InvestmentsOtherBOY
Investments Other EOY	1155783	InvestmentsOtherEOY
Investments Other EOYFMV	2508577	InvestmentsOtherEOYFMV
Total Assets BOY	16893977	TotalAssetsBOY
Total Assets EOY	17385995	TotalAssetsEOY
Total Assets EOYFMV	21878759	TotalAssetsEOYFMV
Accounts Payable BOY	0	AccountsPayableBOY
Accounts Payable EOY	38881	AccountsPayableEOY
Total Liabilities BOY	0	TotalLiabilitiesBOY
Total Liabilities EOY	38881	TotalLiabilitiesEOY
Org That Do Not Follow SFAS117	X	OrgThatDoNotFollowSFAS117
Capital Stock BOY	16893977	CapitalStockBOY
Capital Stock EOY	17347114	CapitalStockEOY
Retained Earnings BOY	0	RetainedEarningsBOY
Retained Earnings EOY	0	RetainedEarningsEOY
Total Net Assets BOY	16893977	TotalNetAssetsBOY
Total Net Assets EOY	17347114	TotalNetAssetsEOY
Total Liabilities Net Assets BOY	16893977	TotalLiabilitiesNetAssetsBOY
Total Liabilities Net Assets EOY	17385995	TotalLiabilitiesNetAssetsEOY

Changes In Net Assets Fund Balances ChangesInNetAssetsFundBalances

Field	Value	IRS element (for citing)
Total Net Assets Fund Balances BOY	16893977	TotalNetAssetsFundBalancesBOY
Excess Of Revenue Over Expenses	369290	ExcessOfRevenueOverExpenses
Other Increases	83847	OtherIncreases
Subtotal	17347114	Subtotal
Total Net Assets Fund Balances EOY	17347114	TotalNetAssetsFundBalancesEOY

Capital Gains And Losses CapitalGainsAndLosses

Capital Gains And Losses Info CapitalGainsAndLossesInfo (310 entries)

Description Of AssetDescriptionOfAsset	How AcquiredHowAcquired	Date AcquiredDateAcquired	Date SoldDateSold	Gross Sales PriceGrossSalesPrice	Cost Or Other BasisCostOrOtherBasis	Gain Or LossGainOrLoss	Gains Minus Excess Or LossesGainsMinusExcessOrLosses
100000 SH. 3M COMPANY 4.375% 08/15/13	P	2011-09-12	2012-01-05	106218	106388	-170	-170
60000 SH. 3M COMPANY1.375% 09/29/16	P	2012-01-05	2012-08-09	61178	60578	600	600
240 SH. ADVANCE AUTO PARTS, INC.	P	2012-08-28	2012-12-04	17335	17321	14	14
360 SH. ADVANCE AUTO PARTS, INC.	P	2012-08-28	2012-12-21	25317	25981	-664	-664
250 SH. ADVANCE AUTO PARTS, INC.	P	2012-08-29	2012-12-21	17581	18001	-420	-420
390 SH. AFLAC, INC.	P	2012-08-21	2012-12-04	20488	18217	2271	2271
100000 SH. AMERICAN EXPRESS 7% 03/19/2018	P	2012-01-06	2012-08-22	126304	119178	7126	7126
370 SH. AMERICAN EXPRESS CO.	P	2012-02-07	2012-07-25	20768	19329	1439	1439
430 SH. AMERICAN EXPRESS CO.	P	2012-02-07	2012-07-26	24653	22464	2189	2189
260 SH. AMERICAN EXPRESS CO.	P	2012-02-06	2012-07-27	15054	13445	1609	1609
230 SH. AMERICAN EXPRESS CO.	P	2012-02-07	2012-07-27	13317	12016	1301	1301
1190 SH. AMERICAN EXPRESS CO.	P	2012-02-06	2012-07-30	69469	61536	7933	7933
60000 SH. BANK OF AMER 5.3% 03/15/17	P	2012-08-09	2012-12-13	66908	64605	2303	2303
2810 SH. BEST BUY CO., INC.	P	2012-04-18	2012-08-09	55051	62093	-7042	-7042
430 SH. BEST BUY CO., INC.	P	2012-04-18	2012-08-09	8207	9502	-1295	-1295
4020 SH. BEST BUY CO., INC.	P	2012-04-19	2012-08-09	76722	88880	-12158	-12158
250 SH. BEST BUY CO., INC.	P	2012-04-18	2012-08-10	4809	5524	-715	-715
50000 SH. CAMPBELL SOUP 4.25% 04/15/21	P	2011-09-26	2012-07-12	57158	54992	2166	2166
310 SH. CHINA MOBILE (HONG KONG) LTD	P	2012-08-21	2012-12-04	17669	16524	1145	1145
560 SH. CHINA MOBILE (HONG KONG) LTD	P	2012-08-21	2012-12-21	32378	29850	2528	2528
410 SH. CISCO SYSTEMS, INC.	P	2011-07-01	2012-01-24	8061	6449	1612	1612
50 SH. CREE, INC.	P	2011-07-01	2012-05-25	1299	1720	-421	-421
390 SH. DELPHI AUTOMOTIVE PLC	P	2012-11-02	2012-12-04	13149	13060	89	89
160 SH. DOVER CORP.	P	2012-11-19	2012-12-04	10092	10021	71	71
240 SH. FEDEX CORPORATION	P	2012-09-21	2012-12-04	21219	20280	939	939
50000 SH. FFCB 4.875% 01/17/17	P	2011-10-12	2012-03-15	58297	57685	612	612
75000 SH. FFCB 4.875% 01/17/17	P	2011-10-12	2012-03-21	87570	86489	1081	1081
75000 SH. FNMA 5.375 % 06/12/17	P	2011-11-07	2012-01-05	90720	90626	94	94
50000 SH. GENERAL DYNAMICS 5.25% 2/01/14	P	2011-08-01	2012-03-15	54266	54200	66	66
80 SH. GOLDMAN SACHS GROUP	P	2012-10-16	2012-12-04	9319	9869	-550	-550
11480 SH. INTESA SANPAOLO	P	2011-12-06	2012-04-24	16149	20570	-4421	-4421
13540 SH. INTESA SANPAOLO	P	2011-12-07	2012-04-24	19047	25087	-6040	-6040
21120 SH. INTESA SANPAOLO	P	2011-12-06	2012-04-26	31571	37843	-6272	-6272
2680 SH. INTESA SANPAOLO	P	2011-12-08	2012-04-26	4006	4718	-712	-712
3760 SH. INTESA SANPAOLO	P	2011-12-08	2012-04-27	5662	6619	-957	-957
6440 SH. INTESA SANPAOLO	P	2011-12-09	2012-04-27	9698	10792	-1094	-1094
6170 SH. INTESA SANPAOLO	P	2011-12-12	2012-04-27	9292	10116	-824	-824
580 SH. J.P. MORGAN CHASE & CO.	P	2012-08-21	2012-12-04	23351	22394	957	957
670 SH. JOHNSON MATTHEY PLC	P	2011-11-14	2012-07-17	22001	20373	1628	1628
30 SH. JOHNSON MATTHEY PLC	P	2011-11-14	2012-07-18	1008	912	96	96
50000 SH. JPM CHASE 3.7% 01/20/2015	P	2011-07-08	2012-05-24	51772	51866	-94	-94
100000 SH. MCDONALD'S CORP 5.8% 10/15/17	P	2011-08-09	2012-03-06	122620	119779	2841	2841
310 SH. MERCK & CO. INC.	P	2012-01-05	2012-12-04	13776	12008	1768	1768
400 SH. MICROSOFT CORP.	P	2012-11-06	2012-12-04	10546	11929	-1383	-1383
400 SH. MICROSOFT CORP.	P	2012-11-07	2012-12-04	10546	11887	-1341	-1341
620 SH. MORGAN STANLEY	P	2011-08-09	2012-04-10	11028	10657	371	371
1140 SH. MORGAN STANLEY	P	2011-08-22	2012-04-10	20277	18371	1906	1906
170 SH. OPHIR ENERGY PLC	P	2012-05-03	2012-12-05	1405	1579	-174	-174
360 SH. ORACLE CORPORATION	P	2012-01-24	2012-12-04	11572	10289	1283	1283
100000 SH. PEPSICO INC., 5.15% 05/15/2012	P	2011-08-09	2012-01-05	101660	101715	-55	-55
60000 SH. PEPSICO INC.3% DUE 8/25/21	P	2012-01-05	2012-08-09	63156	61518	1638	1638
40 SH. PHARMACYCLICS INC.	P	2012-06-19	2012-12-04	2184	1706	478	478
7210 SH. PICC PROP & CASUALTY CO. LTD.	P	2012-11-05	2012-12-05	9095	9818	-723	-723
790 SH. QUEST DIAGNOSTICS INCORPORATED	P	2011-07-21	2012-06-08	43641	45271	-1630	-1630
110 SH. REINSURANCE GROUP OF AMERICA,	P	2012-07-26	2012-12-04	5625	6237	-612	-612
80 SH. ROCHE HOLDINGS AG	P	2012-04-12	2012-12-05	15683	13774	1909	1909
440 SH. ROYAL CARIBBEAN CRUISES LTD.	P	2012-02-17	2012-12-04	15165	13603	1562	1562
20 SH. SAMSUNG ELECTRONICS CO., PFD	P	2012-06-13	2012-12-05	15436	12860	2576	2576
10 SH. SAMSUNG ELECTRONICS CO., PFD	P	2012-06-15	2012-12-05	7718	6359	1359	1359
320 SH. SBERBANK - SPONSORED ADR	P	2012-04-25	2012-12-05	3866	4128	-262	-262
290 SH. SBERBANK - SPONSORED ADR	P	2012-04-27	2012-12-05	3504	3733	-229	-229
4000 SH. SINGAPORE TELECOM LTD	P	2012-05-11	2012-12-05	10811	10407	404	404
1000 SH. SINGAPORE TELECOM LTD	P	2012-05-14	2012-12-05	2703	2589	114	114
360 SH. SVENSKA HANDELSBANKEN AB - A S	P	2011-12-08	2012-12-05	13006	9861	3145	3145
80 SH. TIFFANY & CO.	P	2012-07-26	2012-12-04	4677	4461	216	216
40000 SH. U.S. TREASURY INFL INDEX NOTES	P	2011-08-25	2012-01-06	51005	50859	146	146
10000 SH. U.S. TREASURY INFL INDEX NOTES	P	2011-08-25	2012-01-15	12747	12715	32	32
240 SH. UNITEDHEALTH GROUP INC.	P	2012-07-18	2012-12-04	12891	13497	-606	-606
100000 SH. US TREAS INF IX 1.625% 1/15/15	P	2011-08-25	2012-04-25	129292	138759	-9467	-9467
15000 SH. US TREAS INF IX 1.625% 1/15/15	P	2012-09-17	2012-12-13	19312	19295	17	17
105000 SH. US TREAS INF IX 1.875% 7/15/13	P	2012-08-09	2012-12-04	134690	133748	942	942
25000 SH. US TREAS INF IX 1.875% 7/15/13	P	2012-08-09	2012-12-13	32040	31820	220	220
25000 SH. US TREAS INFL 0.625% 04/15/13	P	2012-01-05	2012-03-22	27558	27245	313	313
275000 SH. US TREAS INFL 0.625% 04/15/13	P	2012-01-05	2012-04-25	301792	299234	2558	2558
100000 SH. US TREAS INFL 2.125% 01/15/19	P	2011-05-18	2012-04-25	127880	115742	12138	12138
325000 SH. US TREAS N/B 0.625% 04/30/13	P	2012-04-25	2012-08-09	326054	326002	52	52
25000 SH. US TREAS N/B 1.75% 04/15/13	P	2011-08-23	2012-01-05	25496	25492	4	4
275000 SH. US TREAS N/B 1.75% 04/15/13	P	2011-08-25	2012-01-05	280457	280404	53	53
300000 SH. US TREAS N/B 1.75% 04/15/13	P	2011-08-25	2012-08-09	303199	303159	40	40
25000 SH. US TREAS N/B 2.625% 11/15/20	P	2011-08-25	2012-03-22	26162	25886	276	276
125000 SH. US TREASURY 2.25% 01/31/15	P	2012-04-25	2012-09-17	130747	130455	292	292
100000 SH. US TREASURY N/B 2.75% 2/15/19	P	2012-04-25	2012-09-17	110535	108747	1788	1788
15000 SH. US TREASURY TIPS 1.25% 4/15/14	P	2012-12-06	2012-12-13	16900	16896	4	4
50000 SH. WALGREEN CO 5.25% 01/15/19	P	2011-08-01	2012-06-22	57136	56941	195	195
50000 SH. WALGREEN CO 5.25% 01/15/19	P	2011-08-01	2012-06-25	57066	56938	128	128
50 SH. ALEXION PHARMACEUTICALS, INC.	P	2009-10-15	2012-12-04	4765	1144	3621	3621
2250 SH. ALLSTATE CORPORATION	P	2010-04-28	2012-02-06	68779	76513	-7734	-7734
1800 SH. ALLSTATE CORPORATION	P	2010-04-27	2012-02-07	54979	60463	-5484	-5484
70 SH. ALLSTATE CORPORATION	P	2010-04-28	2012-02-07	2138	2380	-242	-242
140 SH. ANADARKO PETROLEUM CORPORATION	P	2009-10-15	2012-12-04	10277	9279	998	998
80 SH. APACHE CORPORATION	P	2010-06-23	2012-12-04	6060	7367	-1307	-1307
360 SH. APPLE INC.	P	2010-04-27	2012-09-11	239641	94516	145125	145125
30 SH. APPLE INC.	P	2010-04-27	2012-12-04	17227	7876	9351	9351
190 SH. APPLE INC.	P	2010-04-27	2012-12-26	97723	49883	47840	47840
60 SH. APPLE INC.	P	2010-04-27	2012-12-27	30625	15753	14872	14872
135 SH. APPLE INC.	P	2010-05-07	2012-12-27	68906	31915	36991	36991
120 SH. BAKER HUGHES INCORPORATED	P	2010-06-14	2012-12-04	5105	5142	-37	-37
10 SH. BIOMARIN PHARMACEUTICAL INC.	P	2008-09-30	2012-07-17	416	266	150	150
650 SH. BIOMARIN PHARMACEUTICAL INC.	P	2008-10-03	2012-07-17	27044	16718	10326	10326
90 SH. BIOMARIN PHARMACEUTICAL INC.	P	2008-10-08	2012-07-17	3745	2191	1554	1554
160 SH. BIOMARIN PHARMACEUTICAL INC.	P	2011-07-01	2012-07-17	6657	4364	2293	2293
160 SH. BIOMARIN PHARMACEUTICAL INC.	P	2008-10-08	2012-12-04	7647	3895	3752	3752
50000 SH. BOEING, 6.00% 3/15/2019	P	2011-07-14	2012-10-25	62882	57725	5157	5157
90 SH. BOSKALIS WESTMINSTER - CVA	P	2007-05-16	2012-12-05	3851	3183	668	668
30 SH. BOSKALIS WESTMINSTER - CVA	P	2007-05-25	2012-12-05	1284	1063	221	221
300 SH. CAREFUSION CORPORATION	P	2010-11-04	2012-12-04	8281	7313	968	968
2240 SH. CENTRICA PLC	P	2011-05-10	2012-12-05	11987	11339	648	648
100 SH. CHEVRON CORPORATION	P	2003-03-28	2012-12-04	10408	3270	7138	7138
900 SH. CHINA AGRI-INDUSTRIES HOLD RTS	P	2010-05-14	2012-12-10	64		64	64
1500 SH. CHINA AGRI-INDUSTRIES HOLD RTS	P	2010-05-17	2012-12-10	106		106	106
2700 SH. CHINA AGRI-INDUSTRIES HOLD RTS	P	2010-11-24	2012-12-10	191		191	191
3900 SH. CHINA AGRI-INDUSTRIES HOLD RTS	P	2010-11-26	2012-12-10	276		276	276
600 SH. CHINA AGRI-INDUSTRIES HOLD RTS	P	2010-11-29	2012-12-10	43		43	43
300 SH. CHINA AGRI-INDUSTRIES HOLD RTS	P	2010-05-18	2012-12-10	21		21	21
2700 SH. CHINA AGRI-INDUSTRIES HOLD RTS	P	2010-05-04	2012-12-10	191		191	191
2100 SH. CHINA AGRI-INDUSTRIES HOLD RTS	P	2010-05-05	2012-12-10	149		149	149
3600 SH. CHINA AGRI-INDUSTRIES HOLD RTS	P	2010-05-06	2012-12-10	255		255	255
900 SH. CHINA AGRI-INDUSTRIES HOLD RTS	P	2010-05-12	2012-12-10	64		64	64
1800 SH. CHINA AGRI-INDUSTRIES HOLD RTS	P	2010-05-13	2012-12-10	128		128	128
300 SH. CHINA AGRI-INDUSTRIES HOLD RTS	P	2011-07-05	2012-12-10	21		21	21
4000 SH. CHINA AGRI-INDUSTRIES HOLDINGS	P	2010-05-04	2012-12-05	2121	5334	-3213	-3213
60 SH. CHUNGHWA TELECOM LTD ADR	P	2010-04-23	2012-05-02	1848	1480	368	368
70 SH. CHUNGHWA TELECOM LTD ADR	P	2010-07-01	2012-05-02	2156	1733	423	423
320 SH. CHUNGHWA TELECOM LTD ADR	P	2010-04-23	2012-05-03	9901	7893	2008	2008
320 SH. CHUNGHWA TELECOM LTD ADR	P	2010-04-23	2012-05-04	9921	7893	2028	2028
236 SH. CHUNGHWA TELECOM LTD ADR	P	2010-04-23	2012-05-07	7252	5821	1431	1431
24 SH. CHUNGHWA TELECOM LTD ADR	P	2010-04-26	2012-05-07	737	591	146	146
226 SH. CHUNGHWA TELECOM LTD ADR	P	2010-04-22	2012-05-08	6942	5540	1402	1402
424 SH. CHUNGHWA TELECOM LTD ADR	P	2010-04-26	2012-05-08	13024	10449	2575	2575
710 SH. CHUNGHWA TELECOM LTD ADR	P	2010-04-22	2012-05-09	21583	17404	4179	4179
224 SH. CHUNGHWA TELECOM LTD ADR	P	2010-04-20	2012-05-10	6765	5488	1277	1277
96 SH. CHUNGHWA TELECOM LTD ADR	P	2010-04-22	2012-05-10	2899	2353	546	546
368 SH. CHUNGHWA TELECOM LTD ADR	P	2010-04-20	2012-05-11	11138	9017	2121	2121
212 SH. CHUNGHWA TELECOM LTD ADR	P	2010-04-21	2012-05-11	6417	5151	1266	1266
572 SH. CHUNGHWA TELECOM LTD ADR	P	2010-04-21	2012-05-14	17256	13897	3359	3359
9320 SH. CISCO SYSTEMS, INC.	P	2005-11-22	2012-01-24	183231	160860	22371	22371
340 SH. COMCAST CORPORATION - CL A	P	2007-12-10	2012-12-04	12611	6269	6342	6342
2750 SH. COMCAST CORPORATION - CL A	P	2007-12-10	2012-12-13	102020	50704	51316	51316
130 SH. COMCAST CORPORATION - CL A	P	2008-10-28	2012-12-13	4823	1820	3003	3003
1400 SH. COMCAST CORPORATION - CL A	P	2008-10-28	2012-12-21	52068	19599	32469	32469
400 SH. COMCAST CORPORATION - CL A	P	2009-03-16	2012-12-21	14877	5225	9652	9652
110 SH. COMERICA INCORPORATED	P	2010-03-16	2012-12-04	3148	4172	-1024	-1024
120 SH. CONTINENTAL RESOURCES, INC.	P	2009-07-08	2012-12-04	8651	2829	5822	5822
130 SH. COVIDIEN PLC	P	2008-11-25	2012-12-04	7509	4815	2694	2694
1340 SH. CREE, INC.	P	2011-04-04	2012-05-25	34820	61276	-26456	-26456
50000 SH. DIAGEO CAP PLC 5.750% 10/23/17	P	2011-07-21	2012-12-11	60523	56517	4006	4006
100000 SH. DOW CHEMICAL CO 4.25% 11/15/20	P	2011-07-18	2012-10-04	110546	100706	9840	9840
25000 SH. FED HOME LOAN BANK 5% 11/17/17	P	2011-06-22	2012-12-04	30151	28245	1906	1906
25000 SH. FFCB 4.875% 01/17/17	P	2011-06-01	2012-12-04	29368	27769	1599	1599
25000 SH. FNMA 5.375 % 06/12/17	P	2011-11-07	2012-12-04	30199	29360	839	839
17400 SH. GALAXY ENTERTAINMENT GROUP LTD	P	2010-10-13	2012-11-05	64620	15676	48944	48944
4290 SH. GALAXY ENTERTAINMENT GROUP LTD	P	2010-10-11	2012-11-05	15932	3772	12160	12160
7210 SH. GALAXY ENTERTAINMENT GROUP LTD	P	2010-10-11	2012-11-06	26293	6339	19954	19954
8800 SH. GALAXY ENTERTAINMENT GROUP LTD	P	2010-10-11	2012-11-07	32405	7737	24668	24668
1200 SH. GALAXY ENTERTAINMENT GROUP LTD	P	2010-10-12	2012-12-05	4177	1045	3132	3132
800 SH. GALAXY ENTERTAINMENT GROUP LTD	P	2010-10-11	2012-12-05	2785	703	2082	2082
8100 SH. GALAXY ENTERTAINMENT GROUP LTD	P	2010-10-12	2012-12-21	31756	7056	24700	24700
5600 SH. GALAXY ENTERTAINMENT GROUP LTD	P	2010-10-08	2012-12-21	21955	4756	17199	17199
4830 SH. GALAXY ENTERTAINMENT GROUP LTD	P	2010-10-08	2012-12-24	18630	4102	14528	14528
7470 SH. GALAXY ENTERTAINMENT GROUP LTD	P	2010-10-08	2012-12-27	28452	6344	22108	22108
35 SH. GOOGLE INC - CLASS A	P	2007-11-05	2012-12-04	24111	25107	-996	-996
440 SH. HERTZ GLOBAL HOLDINGS INC.	P	2010-04-13	2012-02-17	6076	5251	825	825
1770 SH. HERTZ GLOBAL HOLDINGS INC.	P	2010-04-14	2012-02-17	24440	21542	2898	2898
940 SH. HERTZ GLOBAL HOLDINGS INC.	P	2010-04-15	2012-02-17	12980	11621	1359	1359
2770 SH. HERTZ GLOBAL HOLDINGS INC.	P	2010-04-12	2012-02-21	37802	32797	5005	5005
3700 SH. HERTZ GLOBAL HOLDINGS INC.	P	2010-04-13	2012-02-21	50494	44155	6339	6339
310 SH. HEWLETT-PACKARD COMPANY	P	2011-02-24	2012-12-04	4087	13344	-9257	-9257
180 SH. HONEYWELL INC.	P	2005-12-20	2012-12-04	10847	6891	3956	3956
10 SH. HYUNDAI MOTOR CO., LTD. - 2ND	P	2011-04-29	2012-12-05	731	796	-65	-65
130 SH. HYUNDAI MOTOR CO., LTD. - 2ND	P	2011-05-02	2012-12-05	9500	10452	-952	-952
100000 SH. IBM CORP. SR UNSEC NTS, 4.75%	P	2011-07-26	2012-11-29	100000	100000
390 SH. INTERCONTINENTAL HOTELS GROUP	P	2009-05-08	2012-04-26	9166	3963	5203	5203
150 SH. INTERCONTINENTAL HOTELS GROUP	P	2009-05-12	2012-04-26	3525	1575	1950	1950
2340 SH. INTERCONTINENTAL HOTELS GROUP	P	2009-05-08	2012-04-27	56101	23778	32323	32323
2180 SH. INTERCONTINENTAL HOTELS GROUP	P	2009-05-08	2012-04-30	52136	22152	29984	29984
1030 SH. INTERCONTINENTAL HOTELS GROUP	P	2009-05-08	2012-05-01	24593	10466	14127	14127
230 SH. INTERCONTINENTAL HOTELS GROUP	P	2009-05-11	2012-05-01	5492	2258	3234	3234
1390 SH. INTERCONTINENTAL HOTELS GROUP	P	2009-05-11	2012-05-02	33636	13648	19988	19988
130 SH. INTERTEK GROUP PLC	P	2009-12-16	2012-05-23	5143	2600	2543	2543
270 SH. INTERTEK GROUP PLC	P	2009-12-16	2012-05-24	10739	5400	5339	5339
100 SH. INTERTEK GROUP PLC	P	2009-12-11	2012-05-25	4001	1986	2015	2015
140 SH. INTERTEK GROUP PLC	P	2009-12-15	2012-05-25	5601	2796	2805	2805
50 SH. INTERTEK GROUP PLC	P	2009-12-16	2012-05-25	2001	1000	1001	1001
100 SH. INTERTEK GROUP PLC	P	2009-12-24	2012-05-25	4001	1992	2009	2009
110 SH. INTERTEK GROUP PLC	P	2009-12-29	2012-05-25	4401	2193	2208	2208
240 SH. INTERTEK GROUP PLC	P	2009-12-11	2012-05-29	9919	4767	5152	5152
170 SH. INTERTEK GROUP PLC	P	2009-12-11	2012-05-30	6933	3376	3557	3557
230 SH. INTERTEK GROUP PLC	P	2009-12-23	2012-05-30	9380	4522	4858	4858
60 SH. INTERTEK GROUP PLC	P	2009-12-22	2012-05-31	2436	1175	1261	1261
210 SH. INTERTEK GROUP PLC	P	2009-12-23	2012-05-31	8525	4129	4396	4396
320 SH. INTERTEK GROUP PLC	P	2009-12-22	2012-06-06	12901	6265	6636	6636
280 SH. INTERTEK GROUP PLC	P	2009-12-17	2012-11-08	12775	5439	7336	7336
120 SH. INTERTEK GROUP PLC	P	2009-12-22	2012-11-08	5475	2349	3126	3126
400 SH. INTERTEK GROUP PLC	P	2009-12-17	2012-11-09	18122	7770	10352	10352
290 SH. INTERTEK GROUP PLC	P	2009-12-17	2012-11-12	13139	5633	7506	7506
100 SH. INTERTEK GROUP PLC	P	2009-12-21	2012-11-12	4531	1934	2597	2597
50 SH. INTERTEK GROUP PLC	P	2009-12-18	2012-11-13	2270	957	1313	1313
570 SH. INTERTEK GROUP PLC	P	2009-12-21	2012-11-13	25881	11027	14854	14854
760 SH. INTERTEK GROUP PLC	P	2009-12-18	2012-11-14	34239	14544	19695	19695
390 SH. INTERTEK GROUP PLC	P	2009-12-18	2012-11-15	17417	7463	9954	9954
140 SH. INTERTEK GROUP PLC	P	2009-12-18	2012-11-16	6268	2679	3589	3589
150000 SH. J&J 5.15% DUE 07/15/2018	P	2009-09-22	2012-12-11	182931	158513	24418	24418
60 SH. JOHNSON MATTHEY PLC	P	2006-11-02	2012-07-18	2016	1650	366	366
410 SH. JOHNSON MATTHEY PLC	P	2006-11-03	2012-07-18	13776	11265	2511	2511
300 SH. JOHNSON MATTHEY PLC	P	2006-11-03	2012-07-19	10322	8242	2080	2080
50 SH. JOHNSON MATTHEY PLC	P	2006-10-31	2012-07-20	1723	1373	350	350
120 SH. JOHNSON MATTHEY PLC	P	2006-11-03	2012-07-20	4135	3297	838	838
270 SH. JOHNSON MATTHEY PLC	P	2006-10-31	2012-07-23	8826	7412	1414	1414
130 SH. JOHNSON MATTHEY PLC	P	2006-10-31	2012-07-24	4257	3569	688	688
260 SH. JOHNSON MATTHEY PLC	P	2006-10-31	2012-07-25	8223	7138	1085	1085
231.8182 SH. JOHNSON MATTHEY PLC	P	2006-10-30	2012-12-05	8801	6583	2218	2218
38.1818 SH. JOHNSON MATTHEY PLC	P	2006-10-31	2012-12-05	1450	1098	352	352
350 SH. KOREA ELECTRIC POWER CORP.	P	2011-06-24	2012-12-05	8616	9282	-666	-666
110 SH. LG ELECTRONICS INC. - PFD	P	2011-03-09	2012-12-05	2111	4130	-2019	-2019
10 SH. MASTERCARD INC - CLASS A	P	2008-09-30	2012-12-04	4813	1790	3023	3023
280 SH. MICROSOFT CORP.	P	2007-08-07	2012-12-04	7382	8252	-870	-870
5400 SH. MITSUI & CO., LTD.	P	2011-03-16	2012-04-19	84786	90977	-6191	-6191
2500 SH. MITSUI & CO., LTD.	P	2011-03-17	2012-04-19	39253	40845	-1592	-1592
1910 SH. MORGAN STANLEY	P	2009-08-07	2012-04-05	35136	60150	-25014	-25014
1510 SH. MORGAN STANLEY	P	2009-08-07	2012-04-09	26975	47554	-20579	-20579
630 SH. MORGAN STANLEY	P	2009-08-07	2012-04-10	11206	19840	-8634	-8634
370 SH. MSCI INC.	P	2010-12-08	2012-12-04	10743	13718	-2975	-2975
290 SH. NETAPP, INC.	P	2011-09-08	2012-12-04	9368	10567	-1199	-1199
2200 SH. NGK INSULATORS LTD.	P	2011-03-17	2012-11-02	23915	34019	-10104	-10104
1580 SH. NGK INSULATORS LTD.	P	2011-03-16	2012-11-05	16751	23684	-6933	-6933
800 SH. NGK INSULATORS LTD.	P	2011-03-17	2012-11-05	8481	12371	-3890	-3890
2440 SH. NGK INSULATORS LTD.	P	2011-03-16	2012-11-07	25437	36576	-11139	-11139
1270 SH. NGK INSULATORS LTD.	P	2011-03-16	2012-11-14	12721	19037	-6316	-6316
710 SH. NGK INSULATORS LTD.	P	2011-03-16	2012-11-16	7354	10643	-3289	-3289
200 SH. NOVARTIS AG - ADR	P	2011-07-01	2012-12-04	12490	12147	343	343
160 SH. NYSE EURONEXT	P	2009-12-23	2012-12-04	3684	4125	-441	-441
910 SH. NYSE EURONEXT	P	2009-12-18	2012-12-13	21032	23006	-1974	-1974
1660 SH. NYSE EURONEXT	P	2009-12-22	2012-12-13	38366	42401	-4035	-4035
1400 SH. NYSE EURONEXT	P	2009-12-23	2012-12-13	32357	36098	-3741	-3741
70 SH. OCEANEERING INTERNATIONAL, INC	P	2010-05-18	2012-12-04	3708	1991	1717	1717
1000 SH. OGX PETROLEO E GAS PARTICIPAOE	P	2009-10-16	2012-06-18	4771	9207	-4436	-4436
800 SH. OGX PETROLEO E GAS PARTICIPAOE	P	2009-12-29	2012-06-18	3816	7950	-4134	-4134
2100 SH. OGX PETROLEO E GAS PARTICIPAOE	P	2009-12-30	2012-06-18	10018	20407	-10389	-10389
4500 SH. OGX PETROLEO E GAS PARTICIPAOE	P	2009-10-16	2012-06-19	22302	41431	-19129	-19129
140 SH. PEPSICO, INC	P	2008-12-17	2012-12-04	9763	7631	2132	2132
6900 SH. PFIZER INC.	P	2010-10-29	2012-01-05	147981	120868	27113	27113
390 SH. PFIZER INC.	P	2010-11-01	2012-01-05	8364	6927	1437	1437
2680 SH. PFIZER INC.	P	2010-11-02	2012-01-05	57477	46822	10655	10655
80 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-20	2012-08-23	5142	4624	518	518
30 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-21	2012-08-23	1928	1757	171	171
10 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-20	2012-09-10	658	578	80	80
50 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-16	2012-09-11	3325	2856	469	469
40 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-16	2012-09-13	2676	2285	391	391
10 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-17	2012-09-13	669	568	101	101
50 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-17	2012-09-14	3453	2842	611	611
20 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-14	2012-09-17	1377	1128	249	249
80 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-17	2012-09-17	5507	4547	960	960
40 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-14	2012-09-19	2709	2256	453	453
50 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-13	2012-09-20	3359	2803	556	556
10 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-09	2012-09-21	672	554	118	118
60 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-10	2012-09-21	4029	3357	672	672
10 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-13	2012-09-21	672	561	111	111
40 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-09	2012-09-25	2659	2218	441	441
80 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-09	2012-09-27	5280	4435	845	845
10 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-09	2012-09-28	662	554	108	108
100 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-03	2012-10-01	6592	5485	1107	1107
30 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-03	2012-10-04	1981	1646	335	335
20 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-03	2012-10-05	1321	1097	224	224
20 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-03	2012-10-26	1276	1097	179	179
60 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-07	2012-10-31	3814	3268	546	546
90 SH. PHILIPPINE LONG DIST TELE CO	P	2010-09-08	2012-10-31	5720	4934	786	786
450 SH. PRUDENTIAL PLC	P	2011-11-08	2012-12-05	6549	4678	1871	1871
160 SH. QUALCOMM INC.	P	2010-02-09	2012-12-04	10105	6069	4036	4036
360 SH. QUEST DIAGNOSTICS INCORPORATED	P	2011-03-09	2012-06-08	19887	20702	-815	-815
150 SH. QUEST DIAGNOSTICS INCORPORATED	P	2011-07-21	2012-12-04	8651	8596	55	55
30 SH. REGENERON PHARMACEUTICALS	P	2010-12-02	2012-04-12	3671	889	2782	2782
370 SH. REGENERON PHARMACEUTICALS	P	2010-12-03	2012-04-12	45273	11048	34225	34225
120 SH. REGENERON PHARMACEUTICALS	P	2010-12-02	2012-04-13	14703	3556	11147	11147
80 SH. REGENERON PHARMACEUTICALS	P	2010-12-02	2012-12-04	14328	2371	11957	11957
270 SH. REGENERON PHARMACEUTICALS	P	2010-12-02	2012-12-13	48095	8002	40093	40093
10 SH. ROYAL DUTCH SHELL PLC-ADR A	P	2011-07-01	2012-12-04	669	709	-40	-40
130 SH. ROYAL DUTCH SHELL PLC-ADR A	P	2011-11-11	2012-12-04	8699	9226	-527	-527
340 SH. SAFRAN SA	P	2011-11-30	2012-12-05	14061	9891	4170	4170
340 SH. SANTOS LIMITED	P	2011-03-09	2012-12-05	3899	5093	-1194	-1194
500 SH. SEMEN GRESIK (PERSERO) TBK	P	2011-03-24	2012-12-05	779	530	249	249
2000 SH. SEMEN GRESIK (PERSERO) TBK	P	2011-03-31	2012-12-05	3116	2126	990	990
330 SH. SWEDBANK AB	P	2009-12-03	2012-12-05	6248	3495	2753	2753
330 SH. THE MCGRAW-HILL COMPANIES, INC	P	2001-01-01	2012-12-04	17523		17523	17523
110 SH. THERMO FISHER SCIENTIFIC INC.	P	2010-08-26	2012-12-04	6935	4782	2153	2153
80 SH. TORONTO-DOMINION BANK	P	2009-12-02	2012-12-04	6640	5159	1481	1481
110 SH. TULLOW OIL PLC	P	2009-10-16	2012-12-05	2269	2251	18	18
75000 SH. TX BUILD AMERICA 4.611% 3/1/21	P	2011-05-18	2012-12-04	88253	78355	9898	9898
100000 SH. US TREAS N/B 2.625% 11/15/20	P	2011-08-25	2012-08-29	110051	103379	6672	6672
20000 SH. US TREAS N/B 2.625% 11/15/20	P	2011-08-25	2012-12-20	21841	20652	1189	1189
75000 SH. US TREASURY N/B 4.25% 11/15/17	P	2010-08-12	2012-03-21	86810	83776	3034	3034
8000 SH. US TREASURY N/B 4.25% 11/15/17	P	2010-05-11	2012-03-22	9281	8508	773	773
17000 SH. US TREASURY N/B 4.25% 11/15/17	P	2010-08-12	2012-03-22	19721	18988	733	733
150000 SH. US TREASURY N/B 4.25% 11/15/17	P	2010-05-11	2012-09-17	176455	158767	17688	17688
70 SH. VEDANTA RESOURCES PLC	P	2011-03-31	2012-12-05	1218	2665	-1447	-1447
140 SH. VEDANTA RESOURCES PLC	P	2011-04-01	2012-12-05	2436	5423	-2987	-2987
380 SH. VODAFONE GROUP PLC - SP ADR	P	2011-07-01	2012-12-04	9739	10062	-323	-323
90 SH. VODAFONE GROUP PLC - SP ADR	P	2011-11-11	2012-12-04	2307	2615	-308	-308
70 SH. WAL-MART STORES, INC.	P	2005-04-21	2012-12-04	5072	3339	1733	1733
90 SH. WAL-MART STORES, INC.	P	2011-07-01	2012-12-04	6521	4787	1734	1734
1300 SH. WELLPOINT INC.	P	2009-07-20	2012-07-18	82159	64737	17422	17422
790 SH. WELLPOINT INC.	P	2009-10-22	2012-07-18	49927	36357	13570	13570
530 SH. WELLPOINT INC.	P	2010-11-04	2012-07-18	33495	29642	3853	3853
300 SH. WELLS FARGO COMPANY	P	2011-08-09	2012-12-04	9727	7247	2480	2480
50000 SH. WELLS FARGO, 5.625% 12/11/17	P	2011-08-11	2012-12-20	59672	55393	4279	4279
1200 SH. WYNN MACAU, LIMITED	P	2010-10-11	2012-12-05	3127	2469	658	658
1355 SH. YUM! BRANDS, INC.	P	2006-02-13	2012-06-18	88405	33888	54517	54517
140 SH. YUM! BRANDS, INC.	P	2006-02-13	2012-12-04	9222	3501	5721	5721
SECURITIES LITIGATION - JUNIPER NETWORKS	P	2000-01-01	2012-03-02	2024	0	2024	2024
SECURITIES LITIGATION - DORAL FINANCIAL CORP.	P	2000-01-01	2012-12-31	27	0	27	27
FOREIGN CURRENCY EXCHANGE				62		62	62

Field	Value	IRS element (for citing)
Capital Gain Net Income	1258164	CapitalGainNetIncome

Qlfy Und Sect4940e For Reduced Tax QlfyUndSect4940eForReducedTax

Field	Value	IRS element (for citing)
Liable For4942 Tax	false	LiableFor4942Tax
Qualifying Distributions Year1	1133241	QualifyingDistributionsYear1
Noncharitable Assets Year1	21394416	NoncharitableAssetsYear1
Distribution Ratio Year1	0.052969	DistributionRatioYear1
Qualifying Distributions Year2	1110999	QualifyingDistributionsYear2
Noncharitable Assets Year2	20284506	NoncharitableAssetsYear2
Distribution Ratio Year2	0.054771	DistributionRatioYear2
Qualifying Distributions Year3	1030564	QualifyingDistributionsYear3
Noncharitable Assets Year3	18092944	NoncharitableAssetsYear3
Distribution Ratio Year3	0.056959	DistributionRatioYear3
Qualifying Distributions Year4	1137556	QualifyingDistributionsYear4
Noncharitable Assets Year4	22197166	NoncharitableAssetsYear4
Distribution Ratio Year4	0.051248	DistributionRatioYear4
Qualifying Distributions Year5	1218151	QualifyingDistributionsYear5
Noncharitable Assets Year5	25422653	NoncharitableAssetsYear5
Distribution Ratio Year5	0.047916	DistributionRatioYear5
Total Distribution Ratio	0.263863	TotalDistributionRatio
Average Distribution Ratio	0.052773	AverageDistributionRatio
Net Noncharitable Assets	21545323	NetNoncharitableAssets
Adjusted Noncharitable Assets	1137011	AdjustedNoncharitableAssets
One Percent Net Investment Income	15259	OnePercentNetInvestmentIncome
Adj Nonchrtbl Assets And One	1152270	AdjNonchrtblAssetsAndOnePct
Qualifying Distributions	1139970	QualifyingDistributions

Excise Tax Based On Investment Incm ExciseTaxBasedOnInvestmentIncm

Field	Value	IRS element (for citing)
Investment Income Excise Tax	30517	InvestmentIncomeExciseTax
Subtotal	30517	Subtotal
Tax Based On Investment Income	30517	TaxBasedOnInvestmentIncome
Est Tax Payments And Overpayment	18624	EstTaxPaymentsAndOverpayment
Total Credits And Payments	18624	TotalCreditsAndPayments
Penalty For Underpayment	74	PenaltyForUnderpayment
Tax Due	11967	TaxDue

Statements Regarding Activities StatementsRegardingActivities

Field	Value	IRS element (for citing)
Legislative Political Activities	false	LegislativePoliticalActivities
More Than100 Spent	false	MoreThan100Spent
Form1120 POL Filed	false	Form1120POLFiled
Activities Not Prev Reported	false	ActivitiesNotPrevReported
Changes To Articles Or Bylaws	false	ChangesToArticlesOrBylaws
Unrelated Bus Income Over1000	false	UnrelatedBusIncomeOver1000
Termination Etc	false	TerminationEtc
Requirements Of Sect508e	true	RequirementsOfSect508e
At Least5000 In Assets	true	AtLeast5000InAssets
States Filed With	NJ	StatesFiledWith
Form990 PF Filed With AG	true	Form990PFFiledWithAG
Private Operating Foundation	false	PrivateOperatingFoundation
New Substantial Contributors	false	NewSubstantialContributors
Interest In Controlled Entity	false	InterestInControlledEntity
Applicable Insurance Contract	false	ApplicableInsuranceContract
Comply With Public Inspection Rqr	true	ComplyWithPublicInspectionRqr
Website Address	NA	WebsiteAddress

Books In Care Of Business Name BooksInCareOfBusinessName

Field	Value	IRS element (for citing)
Business Name Line1	ROCKEFELLER & CO	BusinessNameLine1

Field	Value	IRS element (for citing)
Books In Care Of Phone Number	2125495100	BooksInCareOfPhoneNumber

Books In Care Of US Address BooksInCareOfUSAddress

Field	Value	IRS element (for citing)
Address Line1	30 ROCKEFELLER PLAZA ROOM 5600	AddressLine1
City	NEW YORK	City
State	NY	State
ZIP Code	10112	ZIPCode

Field	Value	IRS element (for citing)
Foreign Bank	false	ForeignBank

Statements Regarding Acty4720 StatementsRegardingActy4720

Field	Value	IRS element (for citing)
Sale Or Exchange With Dsqfly Person	false	SaleOrExchangeWithDsqflyPerson
Borrow Or Lend With Dsqfly Person	false	BorrowOrLendWithDsqflyPerson
Furnished Goods With Dsqfly Person	false	FurnishedGoodsWithDsqflyPerson
Pay Compensation To Dsqfly Person	false	PayCompensationToDsqflyPerson
Transfer Assets To Dsqfly Person	false	TransferAssetsToDsqflyPerson
Payment To Government Offical	false	PaymentToGovernmentOffical
Uncorrected Prior Acts	false	UncorrectedPriorActs
Undistributed Income Prior Years	false	UndistributedIncomePriorYears
Undistr Income4942a2 Not Applied	false	UndistrIncome4942a2NotApplied
Business Holdings	false	BusinessHoldings
Jeopardy Investments	false	JeopardyInvestments
Uncorrected Jeopardy Investments	false	UncorrectedJeopardyInvestments
Influence Legislation	false	InfluenceLegislation
Influence Election	false	InfluenceElection
Grants To Individuals	false	GrantsToIndividuals
Grants To Organizations	false	GrantsToOrganizations
Noncharitable Purpose	false	NoncharitablePurpose
Rcv Funds To Pay Prsnl Bnft Contract	false	RcvFundsToPayPrsnlBnftContract
Pay Premiums Prsnl Bnft Contract	false	PayPremiumsPrsnlBnftContract
Prohibited Tax Shelter Transactn	false	ProhibitedTaxShelterTransactn

Ofcr Dir Trustees Key Employee Info OfcrDirTrusteesKeyEmployeeInfo

Ofcr Dir Trustees Or Key Employee OfcrDirTrusteesOrKeyEmployee (6 entries)

Address Line1USAddress/AddressLine1	CityUSAddress/City	StateUSAddress/State	ZIP CodeUSAddress/ZIPCode	TitleTitle	Avg Hours Per Wk Devoted To PositionAvgHoursPerWkDevotedToPosition	CompensationCompensation
ELIZABETH McGRAW WEBSTER
C/O ROCKEFELLER CO	NEW YORK	NY	10112	TRUSTEE & CHAIRMAN	0	0
CURTIS M WEBSTER
2 CORNELIA STREET	NEW YORK	NY	10014	TRUSTEE & PRESIDENT	0	0
LISETTE M EDMUND
5784 VIA LAS NOBES	RIVERSIDE	CA	92507	TRUSTEE & VP	0	0
MARIANNA PAEN
117 N HIAWATHA	HAILEY	ID	83333	TRUSTEE & VP	0	0
SAMUEL W LAMBERT III
115 NORTH ROAD	PRINCETON	NJ	08540	SECRETARY-TREASURER	0	0
THEO M WEBSTER
62 STONE STREET	NEW BRUNSWICK	NJ	08901	VICE PRESIDENT	0	0

Compensation Of Hghst Paid Cntrct CompensationOfHghstPaidCntrct

Business Name BusinessName

Field	Value	IRS element (for citing)
Business Name Line1	ROCKEFELLER & CO	BusinessNameLine1

US Address USAddress

Field	Value	IRS element (for citing)
Address Line1	30 ROCKEFELLER PLAZA ROOM 5600	AddressLine1
City	NEW YORK	City
State	NY	State
ZIP Code	10112	ZIPCode

Field	Value	IRS element (for citing)
Type Of Service	INVESTMENT MGMT/ACTG	TypeOfService
Compensation	0	Compensation

Summary Of Direct Charitable Acty SummaryOfDirectCharitableActy

Field	Value	IRS element (for citing)
Description1	NONE	Description1

Sum Of Program Related Investments SumOfProgramRelatedInvestments

Field	Value	IRS element (for citing)
Description1	NONE	Description1

Minimum Investment Return MinimumInvestmentReturn

Field	Value	IRS element (for citing)
Avg Monthly FMV Of Securities	19211459	AvgMonthlyFMVOfSecurities
Avg Monthly Cash Balances	314640	AvgMonthlyCashBalances
FMV All Other Noncharitable Assets	2347325	FMVAllOtherNoncharitableAssets
Total FMV Of Unused Assets	21873424	TotalFMVOfUnusedAssets
Acquisition Indebtedness	0	AcquisitionIndebtedness
Adj Total FMV Of Unused Assets	21873424	AdjTotalFMVOfUnusedAssets
Cash Deemed Charitable	328101	CashDeemedCharitable
Net Noncharitable Assets	21545323	NetNoncharitableAssets
Minimum Investment Return	1077266	MinimumInvestmentReturn

Distributable DistributableAmount

Field	Value	IRS element (for citing)
Minimum Investment Return	1077266	MinimumInvestmentReturn
Tax Based On Investment Income	30517	TaxBasedOnInvestmentIncome
Total Tax	30517	TotalTax
Distributable Amount Before Adj	1046749	DistributableAmountBeforeAdj
Distributable Amount Before Ded	1046749	DistributableAmountBeforeDed
Distributable Amount As Adjusted	1046749	DistributableAmountAsAdjusted

Qualifying Distributions QualifyingDistributions

Field	Value	IRS element (for citing)
Expenses And Contributions	1139970	ExpensesAndContributions
Program Related Investments Total	0	ProgramRelatedInvestmentsTotal
Amounts Paid Acq Charitable Assets	0	AmountsPaidAcqCharitableAssets
Amounts Set Aside Suitability Test	0	AmountsSetAsideSuitabilityTest
Amounts Set Aside Cash Distri Test	0	AmountsSetAsideCashDistriTest
Qualifying Distributions	1139970	QualifyingDistributions
Adj Qualifying Distributions	1139970	AdjQualifyingDistributions

Undistributed Income UndistributedIncome

Field	Value	IRS element (for citing)
Distributable Amount As Adjusted	1046749	DistributableAmountAsAdjusted
Undistributed Income Prior Year	0	UndistributedIncomePriorYear
Prior Year1	2010	PriorYear1
Prior Year2	2009	PriorYear2
Prior Year3	2008	PriorYear3
Total For Prior Years	0	TotalForPriorYears
Excess Distri Carryover Year4	37310	ExcessDistriCarryoverYear4
Excess Distri Carryover Year3	129821	ExcessDistriCarryoverYear3
Excess Distri Carryover Year2	118436	ExcessDistriCarryoverYear2
Excess Distri Carryover Year1	84866	ExcessDistriCarryoverYear1
Total Excess Distri Carryover	370433	TotalExcessDistriCarryover
Qualifying Distributions	1139970	QualifyingDistributions
Applied To Year1	0	AppliedToYear1
Applied To Current Year	1046749	AppliedToCurrentYear
Remaining Distri From Corpus	93221	RemainingDistriFromCorpus
Total Corpus	463654	TotalCorpus
Prior Year Undistributed Income	0	PriorYearUndistributedIncome
Taxable Amount1	0	TaxableAmount1
Taxable Amount2	0	TaxableAmount2
Undistributed Income CY	0	UndistributedIncomeCY
Excess Distri Cyov To Next Year	463654	ExcessDistriCyovToNextYear
Excess From Year4	37310	ExcessFromYear4
Excess From Year3	129821	ExcessFromYear3
Excess From Year2	118436	ExcessFromYear2
Excess From Year1	84866	ExcessFromYear1
Excess From Current Year	93221	ExcessFromCurrentYear

Field	Value	IRS element (for citing)
Private Operating Foundations		PrivateOperatingFoundations

Supplementary Information SupplementaryInformation

Field	Value	IRS element (for citing)
Contributing Manager	ELIZABETH M WEBSTER	ContributingManager
Shareholder Manager	NONE	ShareholderManager
Only Contributes To Preselected	X	OnlyContributesToPreselected

Grant Or Contri Paid During Year GrantOrContriPaidDuringYear (138 entries)

Address Line1RecipientUSAddress/AddressLine1	CityRecipientUSAddress/City	StateRecipientUSAddress/State	ZIP CodeRecipientUSAddress/ZIPCode	Purpose Of Grant Or ContributionPurposeOfGrantOrContribution	AmountAmount
101
151 Moore Street	Princeton	NJ	08540	General Fund	$5,000
A Better Chance
240 West 35th Street 9th floor	New York	NY	10001	General Fund	$5,000
Aids Resource Foundation for Children
182 Roseville Avenue	Newark	NJ	07107	General Fund	$5,000
Alzheimer's Association
225 North Michigan Avenue	Chicago	IL	60601	General Fund	$3,000
American Cancer Society
POB 22718	Oklahoma City	OK	73123	General Fund	$10,000
American Red Cross
2025 E Street NW	Washington	DC	20006	General Fund	$2,500
American Repertory Ballet
80 Albany Street	New Brunswick	NJ	08901	General Fund	$10,000
Amnesty International of the USA Inc
5 Penn Plaza	New York	NY	10001	General Fund	$5,000
Assisting Children in Need
2 Cornelia Street Apt 402	New York	NY	10014	General Fund	$40,000
Blaine County Community Drug Coalition
1650 Aviation Drive	Hailey	ID	83333	General Fund	$7,000
Blaine County Education Foundation
P O Box 253	Hailey	ID	83333	General Fund	$20,000
Blue Curtain
115 Harris Road	Princeton	NJ	08540	General Fund	$20,000
Brooklyn Ballet
145 Hicks Street Suite A-45	Brooklyn	NY	11201	General Fund	$7,500
Cal Poly Pomona Foundation
3801 W Temple Ave	Pomona	CA	91768	General Fund	$5,000
Calpulli Mexican Dance Company
9110 34th Avenue Apt 5B	Jackson Heights	NY	11372	General Fund	$2,500
Cancer Hope Network
Two North Road Suite A	Chester	NJ	07930	General Fund	$5,000
CARE
151 Ellis Street NE	Atlanta	GA	30303	General Fund	$2,500
Carolyn E Wylie Center for Children Youth and Fa
7177 Potomac Street	Riverside	CA	92504	General Fund	$5,000
Cause Effective
505 Eighth Avenue Suite 1212	New York	NY	10018	General Fund	$2,500
Centurion Ministries
221 Witherspoon Street	Princeton	NJ	08542	General Fund	$5,000
City Parks Foundation
830 Fifth Avenue Room 280	New York	NY	10021	General Fund	$5,000
Citymeals-on-Wheels
355 Lexington Avenue	New York	NY	10017	General Fund	$2,500
Company of Fools
P O Box 329	Hailey	ID	83333	General Fund	$1,000
Corner House
369 Witherspoon Street	Princeton	NJ	08540	General Fund	$10,000
Council of NJ Grantmakers
101 West State Street	Trenton	NJ	08608	General Fund	$100
Council on Foundations
PO Box 0021	Washington	DC	20055	General Fund	$1,730
Crawford House Inc
362 Sunset Road	Skillman	NJ	08558	General Fund	$10,000
Creative Heartwork Inc
5 Drake Court	Boonton Township	NJ	07005	General Fund	$10,000
Croy Canyon Ranch
P O Box 640	Hailey	ID	83333	General Fund	$2,000
Drug Policy Alliance
925 Ninth Avenue	New York	NY	10019	General Fund	$5,000
El Puente de Williamsburg Inc
211 South 4th Street	Brooklyn	NY	11211	General Fund	$2,500
Environmental Defense Fund Inc
257 Park Avenue South	New York	NY	10010	General Fund	$2,500
FL Nimick Nature Center
HC 64 Box 453	Rector	PA	15677	General Fund	$10,000
First Baptist Church of Princeton
PO Box 501	Princeton	NJ	08540	General Fund	$5,000
Foxcroft School
PO Box 5555	Middleburg	VA	20118	General Fund	$25,000
Friends of NYC Lab School
333 West 17th Street	New York	NY	10011	General Fund	$2,500
Friends of Mothers Programmes
1622 N Curson Avenue	Los Angeles	CA	90046	General Fund	$10,000
Green Faith
46 Bayard Street Suite 401	New Brunswick	NJ	08901	General Fund	$1,000
Hailey Rotary Foundation Inc
P O Box 2190	Hailey	ID	83333	General Fund	$5,000
Hip-Hop Theater Festival Inc
57 Thames Street Suite 4B	Brooklyn	NY	11237	General Fund	$2,500
Historic Morven
55 Stockton Street	Princeton	NJ	08540	General Fund	$10,000
Hitops
21 Wiggins Street	Princeton	NJ	08540	General Fund	$10,000
Home Front
1880 Princeton Avenue	Lawrenceville	NJ	08648	General Fund	$10,000
Housing Initiatives of Princeton
11 Mercer Street	Princeton	NJ	08540	General Fund	$2,500
Interfaith Caregivers TrentonFaith In Action
229 Lawrence Road	Lawrenceville	NJ	08648	General Fund	$5,000
ISLES
10 Wood Street	Trenton	NJ	08618	General Fund	$10,000
Jewish Renaissance Foundation
PO Box 2506 149 Kearny Avenue	Perth Amboy	NJ	08862	General Fund	$1,000
La Mama
74A East 4th Street	New York	NY	10003	General Fund	$2,500
Latino International Theater Festival Of NY Inc
142 East 27th Street Suite 1A	New York	NY	10016	General Fund	$2,500
Lebanese American University
475 Riverside Drive	New York	NY	10115	General Fund	$25,000
Lighthouse International
111 East 59th Street	New York	NY	10022	General Fund	$2,500
Mariachi Academy of New York
1775 Third Avenue	New York	NY	10014	General Fund	$2,500
Mary Jacobs Memorial Library
64 Washington Street	Rocky Hill	NJ	08553	General Fund	$1,000
McCarter Theater
91 University Place	Princeton	NJ	08540	General Fund	$25,000
Mercer Street Friends
151 Mercer Street	Trenton	NJ	08611	General Fund	$10,000
Metropolitan Opera
Lincoln Center	New York	NY	10023	General Fund	$10,000
Montgomery Township Emergency Medical Services In
P O Box 105	Belle Mead	NJ	08502	General Fund	$2,500
Montgomery Township Fire Department #2
P O Box 267	Blawenberg	NJ	08504	General Fund	$2,500
NAMI Mercer NJ
88 Lakedale Drive	Lawrenceville	NJ	08648	General Fund	$5,000
Nassau Presbyterian Church
61 Nassau Street	Princeton	NJ	08542	General Fund	$15,000
National Sports Academy
12 Lake Placid Club Drive	Lake Placid	NY	12946	General Fund	$7,500
New Jersey Aids Partnership
15 Princess Road	Lawrenceville	NJ	08648	General Fund	$2,500
New Jersey Conservation Foundation
Bamboo Brook	Far Hills	NJ	07931	General Fund	$5,000
New Jersey SEEDS Center
303-309 Washington Street 4th floo	Newark	NJ	07102	General Fund	$1,000
New Yorkers for Parks
355 Lexington Avenue	New York	NY	10017	General Fund	$2,500
North Country SPCA
23 Lakeshore Road	Westport	NY	12993	General Fund	$5,000
North High School
1550 3rd Street	Riverside	CA	92503	General Fund	$15,000
Opera New Jersey
P O Box 3151	Princeton	NJ	08543	General Fund	$10,000
Partnership for the Delaware Estuary Inc
1009 Philadelphia Pike	Wilmington	DE	19809	General Fund	$2,500
Passage Theatre Company
P O Box 967	Trenton	NJ	08605	General Fund	$1,000
Pepperdine University
24255 Pacific Coast Highway	Malibu	CA	90263	General Fund	$50,000
Perris High School
175 East Nuevo Road	Perris	CA	92571	General Fund	$4,000
Philabundance
P O Box 37555	Philadelphia	PA	19148	General Fund	$2,500
Planned Parenthood of Mercer County
437 East State Street	Trenton	NJ	08608	General Fund	$20,000
Playgroup Cooperative
32 Carmine Street	New York	NY	10014	General Fund	$2,500
Presbyterian Church of the Big Wood
P O Box 660	Ketchum	ID	83340	General Fund	$5,000
Princeton Adult School
P O Box 701	Princeton	NJ	08542	General Fund	$1,000
Princeton Chamber Symphony
P O Box 250	Princeton	NJ	08540	General Fund	$5,000
Princeton Child Development Institute
300 Cold Soil Road	Princeton	NJ	08540	General Fund	$3,000
Princeton Day School
P O Box 75	Princeton	NJ	08542	General Fund	$25,000
Princeton Friends School
470 Quaker Road	Princeton	NJ	08540	General Fund	$10,000
Princeton Public Library
65 Witherspoon Street	Princeton	NJ	08542	General Fund	$5,000
Princeton Senior Resource Center
Spruce Circle	Princeton	NJ	08540	General Fund	$10,000
Princeton University
P O Box 46	Princeton	NJ	08544	General Fund	$5,000
Princeton YMCA
Paul Robeson Place	Princeton	NJ	08540	General Fund	$5,000
Princeton-Blairstown Center
158 Millbrook Road	Blairstown	NJ	07825	General Fund	$5,000
Princeton-YWCA
Paul Robeson Place	Princeton	NJ	08540	General Fund	$5,000
Ramona High School
7675 Magnolia Avenue	Riverside	CA	92504	General Fund	$2,000
Riverside Art Museum
3425 Mission Inn Avenue	Riverside	CA	92501	General Fund	$3,000
Rutgers University Foundation
7 College Avenue	New Brunswick	NJ	08901	General Fund	$10,000
Sagebrush Equine Training Center for the Handicapp
P O Box 2918	Sun Valley	ID	83353	General Fund	$2,500
Sarah Lawrence College
1 Mead Way	Bronxville	NY	10708	General Fund	$2,500
Second Wind
759 State Road	Princeton	NJ	08540	General Fund	$7,500
Sheenway School and Culture
10101-25 South Broadway	Los Angeles	CA	90003	General Fund	$15,000
Sheridan College Foundation
P O Box 6328	Sheridan	WY	82801	General Fund	$5,000
Small Animal Rescue League
900 Herrontown Road	Princeton	NJ	08540	General Fund	$20,000
Somerset Home for Temporarily Displaced Children
49 Brahma Avenue	Bridgewater	NJ	08807	General Fund	$2,500
South Brunswick Board of Education
PO Box 181 4 Executive Drive	Monmouth Junction	NJ	08852	General Fund	$5,000
Special Operations Warrior Foundation
P O Box 14385	Tampa	FL	33690	General Fund	$15,000
St Luke Center for Community Health
1450 Aviation Drive	Hailey	ID	83333	General Fund	$1,000
St Luke's WOOD RIVER FOUNDATION
P O Box 7005	KETCHUM	ID	83340	General Fund	$35,000
Stony Brook-Millstone Watersheds Assoc
31 Titus Mill Road	Pennington	NJ	08534	General Fund	$5,000
Synergos Institue Inc
51 Madison Avenue 21st Floor	New York	NY	10110	General Fund	$5,000
TASIS Foundation Inc
1640 Wisconsin Avenue NW	Washington	DC	20007	General Fund	$25,000
The American Boychoir School
19 Lambert Drive	Princeton	NJ	08540	General Fund	$10,000
The Blaine County Police Activities League
1650 Aviation Drive	Hailey	ID	83333	General Fund	$3,000
The Builders Association
453 Broome Street 4C	New York	NY	10013	General Fund	$7,500
The Career Wardrobe
1211 Chesnut Street- Suite 205	Philadelphia	PA	19107	General Fund	$2,000
The Community Library Association Inc
P O Box 2168	Boise	ID	83340	General Fund	$1,000
The Crisis Ministry of Princeton and Trenton
61 Nassau Street	Princeton	NJ	08542	General Fund	$10,000
The Drumthwacket Foundation Inc
354 Stockton Street	Princeton	NJ	08540	General Fund	$5,000
The Foundation Fighting Blindness
14 Nassau Street	Princeton	NJ	08542	General Fund	$1,000
The Frick Collection
1 East 70th Street	New York	NY	10021	General Fund	$10,000
The Joy of Athletics Foundation
P O Box 216	Richmond	MA	01254	General Fund	$5,000
The Lawrenceville School
P O Box 6125	Lawrenceville	NJ	08648	General Fund	$20,000
The New Grange School
526 South Olden Avenue	Hamilton	NJ	08629	General Fund	$2,000
The Patriots Theater Foundation Inc
P O Box 232	Trenton	NJ	08625	General Fund	$5,000
The Princeton Hub Inc
70 Jefferson Road	Princeton	NJ	08540	General Fund	$1,000
The Smile Train
245 Fifth Avenue Suite 2201	New York	NY	10016	General Fund	$5,000
The Trenton Area Soup Kitchen
P O Box 872	Trenton	NJ	08605	General Fund	$10,000
TIGHAR
2812 Fawkes Drive	Wilmington	DE	19808	General Fund	$30,000
Trinity Counseling Service
22 Stockton Street	Princeton	NJ	08540	General Fund	$15,000
VOLUNTEERCONNECT INC
120 JOHN STREET SUITE 7	PRINCETON	NJ	08542	General Fund	$2,500
VOICES
P O Box 404	Princeton	NJ	08534	General Fund	$1,000
Womanspace Inc
1212 Stuyvesant Avenue	Trenton	NJ	08618	General Fund	$5,000
Women Helping Women
224 Main Street	Metuchen	NJ	08840	General Fund	$2,500
Women's Entrepreneurial Foundation
127 US Highway 206 Suite 28	Hamilton	NJ	08610	General Fund	$2,500
Women's Health and Counseling Center
95 Veterans Memorial Drive East	Somerville	NJ	08876	General Fund	$2,500
Young Scholars Institute
399 W State Street	Trenton	NJ	08618	General Fund	$2,500
SOMEONE CARES SOUP KITCHEN & TUTORING
720 WEST 19 STREET	COSTA MESA	CA	92627	GENERAL FUND	$3,000
ST FRANCIS FOOD PANTIRES & SHELTERS
450 SEVENTH AVENUE	NEW YORK	NY	10123	GENERAL FUND	$5,000
THE CHALLIS JOINT SCHOOL DISTRICT 181
POB 304	CHALLIS	ID	83226	GENERAL FUND	$10,000
THE SENIOR CONNECTION
721 3RD AVENUE SOUTH	HAILEY	ID	83333	GENERAL FUND	$10,000
UIH FAMILY PARTNERS
764 BELLEVUE AVENUE	TRENTON	NJ	08618	GENERAL FUND	$2,500
LEARNING ALLY
20 ROSZEL ROAD	PRINCETON	NJ	08540	GENERAL FUND	$2,500
PRINCETON HEALTHCARE SYSTEM FOUNDATION
253 WITHERSPOON STREET	PRINCETON	NJ	08540	GENERAL FUND	$100,000
Special Operations Survivor Foundation
POB 181097	CORONADO	CA	92178	GENERAL FUND	$15,000
THE AMANDA FOUNDATION
351 NORTH FOOTHILL ROAD	BEVERLY HILLS	CA	90210	GENERAL FUND	$5,000

Field	Value	IRS element (for citing)
Tot Grant Or Contri Paid During Year	1125330	TotGrantOrContriPaidDuringYear

Analysis Income Producing Acty AnalysisIncomeProducingActy

Field	Value	IRS element (for citing)
Fees Contracts From Govt Agencies		FeesContractsFromGovtAgencies
Membership Dues And Assessments		MembershipDuesAndAssessments

Int On Savings And Temp Cash Invst IntOnSavingsAndTempCashInvst

Field	Value	IRS element (for citing)
Exclusion Code	14	ExclusionCode
Exclusion	$119,756	ExclusionAmount

Dividends And Int From Sec Part VII DividendsAndIntFromSecPartVII

Field	Value	IRS element (for citing)
Exclusion Code	14	ExclusionCode
Exclusion	$340,716	ExclusionAmount

Field	Value	IRS element (for citing)
Net Rental Incm Re Debt Fincd Prop		NetRentalIncmReDebtFincdProp
Net Rntl Incm Re Not Debt Fincd Prop		NetRntlIncmReNotDebtFincdProp
Net Rental Incm Personal Property		NetRentalIncmPersonalProperty
Other Investment Income Part VII		OtherInvestmentIncomePartVII

Gain Sales Assets Oth Than Invntry GainSalesAssetsOthThanInvntry

Field	Value	IRS element (for citing)
Exclusion Code	18	ExclusionCode
Exclusion	$1,258,164	ExclusionAmount

Field	Value	IRS element (for citing)
Net Income Loss From Special Events		NetIncomeLossFromSpecialEvents
Gross Profit Loss Sales Of Invntry		GrossProfitLossSalesOfInvntry

Subtotals Part XVIA SubtotalsPartXVIA

Field	Value	IRS element (for citing)
Exclusion	$1,718,636	ExclusionAmount

Field	Value	IRS element (for citing)
Total Part XVIA	1718636	TotalPartXVIA

Trnsfr Tr Rln With Noncharitable EO TrnsfrTrRlnWithNoncharitableEO

Field	Value	IRS element (for citing)
Trnsfr Of Cash To Noncharitable EO	false	TrnsfrOfCashToNoncharitableEO
Trnsfr Oth Assets Noncharitable EO	false	TrnsfrOthAssetsNoncharitableEO
Sales Or Exchanges Of Assets	false	SalesOrExchangesOfAssets
Purchase Assets Noncharitable EO	false	PurchaseAssetsNoncharitableEO
Rental Of Facilities Etc	false	RentalOfFacilitiesEtc
Reimbursement Arrangements	false	ReimbursementArrangements
Loans Or Loan Guarantees	false	LoansOrLoanGuarantees
Performance Of Services Etc	false	PerformanceOfServicesEtc
Sharing Of Facilities Etc	false	SharingOfFacilitiesEtc
Relationships Noncharitable E Os	false	RelationshipsNoncharitableEOs

Accounting Fees Schedule AccountingFeesSchedule

Accounting Fees AccountingFees

Field	Value	IRS element (for citing)
Category	ROCKEFELLER&CO ACCOUNTING FEES	Category
Amount	$12,300	Amount
Net Investment Income	8200	NetInvestmentIncome
Disbursements Charitable Prps	4100	DisbursementsCharitablePrps

All Oth Prog Rltd Investments Sch AllOthProgRltdInvestmentsSch

All Oth Prog Rltd Investments AllOthProgRltdInvestments

Field	Value	IRS element (for citing)
Description	NONE	Description

Depreciation Schedule DepreciationSchedule

Investments Corp Bonds Schedule InvestmentsCorpBondsSchedule

Investments Corp Bonds InvestmentsCorpBonds (45 entries)

Name Of BondNameOfBond	EOY Book ValueEOYBookValue	EOYFMVEOYFMV
64000 BANK OF AMERICA CORP	60162	59319
100000 3M COMPANY 4.375% DUE 0	0	0
100000 BB&T CORPORATION 3.95%	105321	109045
50000 CATERPILLAR INC 5.7%	56141	58005
100000 CSX CORP DEBENTURES 6.2	99976	111976
50000 COMCAST CORP NOTES 5.3%	52121	52459
100000 DOW CHEMICAL COMPANY 4.	0	0
100000 GENERAL ELECTRIC CAP	117204	118753
100000 GOLDMAN SACHS GROUP	112963	117477
125000 KEYCORP 5.1% DUE 2021	136382	145626
100000 GENERAL MILLS INC 5.70%	111928	117510
100000 IBM CORP. SR. UNSEC NOT	0	0
100000 MCDONALD'S CORP 5.80% D	0	0
100000 PEPSICO INC. NOTES, 5.1	0	0
125000 MORGAN STANLEY 6% 2015	129980	136151
100000 UNITED PARCEL SERVICE 5	117545	121622
100000 WALGREEN CO. 5.25% DUE	0	0
100000 WAL-MART STORES INC. 5.	114237	122505
125000 NVR INC CORP. 3.95%	129050	129532
120000 TORONTO DOMINION BANK 2	121422	126100
100000 PNC FUNDING CORP. 5.125	111490	118933
150000 JOHNSON & JOHNSON 5.15%	0	0
125000 US BANCORP 2.2% 2016	126958	130238
63000 WACHOVIA BANK NA 6%	75663	75548
100000 YUM! BRANDS INC. 6.25%	118115	121571
225000 FEDERAL HOME LOAN BANK	0	0
250000 FANNIE MAE FNMA 5.375%	0	0
150000 FANNIE MAE FNMA 5.375%	175208	180371
200000 FHLB 5% DUE 11/17/2017	225585	239770
75000 FEDEX CORP NOTES, 8%	95401	98775
300000 FEDERAL FARM CREDIT BAN	0	0
150000 FEDERAL FARM CREDIT BAN	166326	175691
300000 FREDDIE MAC FHLMC 1.375	302336	304032
40000 FEDEX CORP NOTES, 8.0% D	0	0
50000 BOEING, 6.00% DUE ON 03/	0	0
50000 CAMPBELL SOUP CO 4.25% D	0	0
50000 DIAGEO CAP PLC 5.750% DU	0	0
50000 E.I. DU PONT DE NEMOURS,	48114	61707
50000 GENERAL DYNAMICS CORP NO	0	0
50000 HONEYWELL INTERNATIONAL	55174	59463
50000 JP MORGAN CHASE 3.70%	0	0
50000 JP MORGAN CHASE 6%	55238	59192
50000 VERIZON COMMUNICATIONS 6	57916	63189
50000 WELLS FARGO & COMPANY, 5	0	0
60000 DUKE ENERGY INDIANA INC.	61086	66441

Investments Corp Stock Schedule InvestmentsCorpStockSchedule

Investments Corp Stock InvestmentsCorpStock (94 entries)

Name Of StockNameOfStock	EOY Book ValueEOYBookValue	EOYFMVEOYFMV
ADVANCE AUTO PARTS, INC.	105578	175811
ARCOS DORADOS HOLDINGS, INC.	39245	39468
AFLAC, INC.	325964	406899
ALEXION PHARMACEUTICALS, INC.	27980	116238
ALLSTATE CORPORATION	0	0
DELPHI AUTOMOTIVE PLC	165007	194310
ANADARKO PETROLEUM CORPORATION	173156	223673
DOVER CORP.	128690	137991
APACHE CORPORATION	135694	129525
APPLE INC.	0	0
ING GROEP NV	170694	167565
BAKER HUGHES INCORPORATED	131991	128670
J.P. MORGAN CHASE & CO.	258551	335484
BIOMARIN PHARMACEUTICAL INC.	46526	100860
MERCK & CO., INC.	171983	181774
BOSKALIS WESTMINSTER - CVA	93397	132100
CAREFUSION CORPORATION	147208	208634
CENTRICA PLC	220521	303179
CHEVRON CORPORATION	74239	245478
CHINA AGRI-INDUSTRIES HOLDINGS	84488	37516
PHARMACYCLICS INC.	29392	40446
CHINA MOBILE (HONG KONG) LIMIT	270362	355256
CHUNGHWA TELECOM LTD ADR	0	0
CISCO SYSTEMS, INC.	0	0
MURATA MANUFACTURING CO LTD	166645	169375
COMCAST CORPORATION - CL A	46516	133749
COMERICA INCORPORATED	108681	87986
OPHIR ENERGY PLC	21032	18861
CONTINENTAL RESOURCES, INC.	54936	171232
COVIDIEN PLC	115003	186500
ORACLE CORPORATION	145471	169599
CREE, INC.	0	0
FEDEX CORPORATION	216782	279749
GALAXY ENTERTAINMENT GROUP LIM	0	0
GOLDMAN SACHS GROUP, INC.	108333	131387
GOOGLE INC - CLASS A	398589	481018
HERTZ GLOBAL HOLDINGS INC.	0	0
HEWLETT-PACKARD COMPANY	275937	110723
HONEYWELL INC.	159956	267843
HYUNDAI MOTOR CO., LTD. - PFD	33449	35602
HYUNDAI MOTOR CO., LTD. - 2ND	150213	139114
PICC PROPERTY & CASUALTY CO	125898	135994
INTERCONTINENTAL HOTELS GROUP	0	0
INTERTEK GROUP PLC	0	0
INTESA SANPAOLO	0	0
JOHNSON MATTHEY PLC	96278	132627
KOREA ELECTRIC POWER CORPORATI	217964	244891
LG ELECTRONICS INC. - PFD	56523	29345
MASTERCARD INC - CLASS A	65851	189143
MICROSOFT CORP.	334614	350431
MITSUI & CO., LTD.	0	0
MORGAN STANLEY	0	0
MSCI INC. - A	148915	149992
NETAPP, INC.	135090	133865
REINSURANCE GROUP OF AMERICA	88770	84561
NGK INSULATORS LTD.	66087	65923
NOVARTIS AG - ADR	287424	321564
NYSE EURONEXT	0	0
OCEANEERING INTERNATIONAL, INC	50338	95208
OGX PETROLEO E GAS PARTICIPACO	0	0
PEPSICO, INC	190612	249085
PFIZER INC.	0	0
PHILIPPINE LONG DISTANCE TELEP	0	0
PRUDENTIAL PLC	113184	158834
QUALCOMM INC.	144977	237541
QUEST DIAGNOSTICS INCORPORATED	117810	120036
REGENERON PHARMACEUTICALS	21635	124881
ROCHE HOLDINGS AG	185282	217097
ROYAL DUTCH SHELL PLC-ADR A	182552	230431
SAFRAN SA	159534	240219
SAMSUNG ELECTRONICS CO., LTD P	177019	237158
SANTOS LIMITED	123676	96340
ROYAL CARIBBEAN CRUISES LTD	208167	237320
SEMEN GRESIK (PERSERO) TBK	59453	94565
SBERBANK-SPONSORED ADR	99928	103935
SMITHS GROUP PLC	148199	166492
SINGAPORE TELECOMMUNICATIONS	188318	199918
SMC CORPORATION	146134	143966
SVENSKA HANDELSBANKEN AB - A S	139214	182549
SWEDBANK AB	83676	156762
THE MCGRAW-HILL COMPANIES, INC		342781
TIFFANY & CO.	61095	64794
THERMO FISHER SCIENTIFIC INC.	122078	179860
TORONTO-DOMINION BANK	130624	171190
TULLOW OIL PLC	50633	51243
VEDANTA RESOURCES PLC	167568	95539
VODAFONE GROUP PLC - SP ADR	228749	288173
WAL-MART STORES, INC.	183118	272238
WELLPOINT INC.	0	0
WELLS FARGO COMPANY	120703	257375
WYNN MACAU, LIMITED	58537	78655
YUM! BRANDS, INC.	39342	107236
UNITEDHEALTH GROUP INC.	179956	173568
VIRGIN MEDIA INC.	100243	103635

Investments Govt Obligations Sch InvestmentsGovtObligationsSch

Field	Value	IRS element (for citing)
US Govt Securities EOY Book Value	1373410	USGovtSecuritiesEOYBookValue
US Govt Securities EOYFMV	1388833	USGovtSecuritiesEOYFMV
State Local Securities EOY Book Val	1100437	StateLocalSecuritiesEOYBookVal
State Local Securities EOYFMV	1130427	StateLocalSecuritiesEOYFMV

Investments Other Schedule2 InvestmentsOtherSchedule2

Investments Other InvestmentsOther

Field	Value	IRS element (for citing)
Category Or Item	5500 FUND LP	CategoryOrItem
Listed At Cost Or FMV	AT COST	ListedAtCostOrFMV
Book Value	1155783	BookValue
EOYFMV	2508577	EOYFMV

Land Etc Schedule2 LandEtcSchedule2

Legal Fees Schedule LegalFeesSchedule

Legal Fees LegalFees

Field	Value	IRS element (for citing)
Category	DRINKER BIDDLE & REATH LLP	Category
Amount	$22,829	Amount
Net Investment Income	15219	NetInvestmentIncome
Disbursements Charitable Prps	7610	DisbursementsCharitablePrps

Other Expenses Schedule OtherExpensesSchedule

Other Expenses OtherExpenses (5 entries)

DescriptionDescription	Revenue And Expenses Per BooksRevenueAndExpensesPerBooks	Disbursements Charitable PrpsDisbursementsCharitablePrps	Net Investment IncomeNetInvestmentIncome
MEMBERSHIP DUES	2500	2500
FEES	30	30
PORTFOLIO DEDUCTIONS THRU K-1	32141		32141
BANK CHARGES	400	400
MISCELLANEOUS EXPENSE

Other Increases Schedule OtherIncreasesSchedule

Other Increases OtherIncreases

Field	Value	IRS element (for citing)
Description	PRIOR YEAR INCREASE FOR 5500 FUND	Description
Amount	$83,847	Amount

Other Professional Fees Schedule OtherProfessionalFeesSchedule

Other Professional Fees OtherProfessionalFees (2 entries)

CategoryCategory	AmountAmount	Net Investment IncomeNetInvestmentIncome
ROCKEFELLER & CO - INVESTMENT	$111,396	111396
MERRILL LYNCH - CONSULTING FEE	$7,875	7875

Taxes Schedule TaxesSchedule

Taxes Taxes (2 entries)

CategoryCategory	AmountAmount	Net Investment IncomeNetInvestmentIncome
US EXCISE TAX-EST PYMTS	$16,600
FOREIGN TAX ON DIVIDENDS RECD	$17,945	17945