THOMAS L KEMPNER JR FOUNDATION INC: Form 990PF, tax year 2011

View the entire original 990 at ProPublica ↗

Organization: THOMAS L KEMPNER JR FOUNDATION INC (EIN 13-3407819)
Tax period: 2011-01-01 to 2011-12-31
Filed: 2012-11-09
IRS object ID: 201203149349100700
Schema version: 2011v1.2
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
Taxes Schedule

Return header ReturnHeader

Field	Value	IRS element (for citing)
Timestamp	2012-11-09T08:59:56-06:00	Timestamp
Tax Period End Date	2011-12-31	TaxPeriodEndDate

Preparer Firm PreparerFirm

Field	Value	IRS element (for citing)
EIN	221478099	EIN

Preparer Firm Business Name PreparerFirmBusinessName

Field	Value	IRS element (for citing)
Business Name Line1	COHNREZNICK LLP	BusinessNameLine1

Preparer Firm US Address PreparerFirmUSAddress

Field	Value	IRS element (for citing)
Address Line1	1212 6TH AVENUE	AddressLine1
City	NEW YORK	City
State	NY	State
ZIP Code	10036	ZIPCode

Field	Value	IRS element (for citing)
Return Type	990PF	ReturnType
Tax Period Begin Date	2011-01-01	TaxPeriodBeginDate

Filer Filer

Field	Value	IRS element (for citing)
EIN	133407819	EIN

Name Name

Field	Value	IRS element (for citing)
Business Name Line1	THOMAS L KEMPNER JR FOUNDATION	BusinessNameLine1

Field	Value	IRS element (for citing)
Name Control	THOM	NameControl
Phone	2124464000	Phone

US Address USAddress

Field	Value	IRS element (for citing)
Address Line1	65 EAST 55TH STREET 19TH FLOOR	AddressLine1
City	NEW YORK	City
State	NY	State
ZIP Code	10022	ZIPCode

Officer Officer

Field	Value	IRS element (for citing)
Name	THOMAS L KEMPNER	Name
Title	PRESIDENT	Title
Phone	2124464000	Phone
Date Signed	2012-11-05	DateSigned
Authorize Third Party	1	AuthorizeThirdParty

Preparer Preparer

Field	Value	IRS element (for citing)
Name	STEVE KREINIK CPA	Name
PTIN	P00839914	PTIN
Phone	2122970400	Phone

Field	Value	IRS element (for citing)
Tax Year	2011	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	45040109	FMVAssetsEOY
Method Of Accounting Accrual	X	MethodOfAccountingAccrual

Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses

Field	Value	IRS element (for citing)
Contri Received Rev And Expnss	6052592	ContriReceivedRevAndExpnss
Dividends Rev And Expnss	33534	DividendsRevAndExpnss
Dividends Net Invst Incm	33534	DividendsNetInvstIncm
Net Gain Sale Assets Rev And Expnss	2427129	NetGainSaleAssetsRevAndExpnss
Gross Sales Price	1355363	GrossSalesPrice
Capital Gain Net Incm Net Invst Incm	2400231	CapitalGainNetIncmNetInvstIncm
Other Income Rev And Expnss	756191	OtherIncomeRevAndExpnss
Other Income Net Invst Incm	589736	OtherIncomeNetInvstIncm
Other Income Adj Net Incm	0	OtherIncomeAdjNetIncm
Total Revenue And Expenses	9269446	TotalRevenueAndExpenses
Total Net Investment Income	3023501	TotalNetInvestmentIncome
Total Adjusted Net Income	0	TotalAdjustedNetIncome
Comp Ofcr Dir Trst Rev And Expnss	0	CompOfcrDirTrstRevAndExpnss
Comp Ofcr Dir Trst Net Invst Incm	0	CompOfcrDirTrstNetInvstIncm
Comp Ofcr Dir Trst Adj Net Incm	0	CompOfcrDirTrstAdjNetIncm
Comp Ofcr Dir Trst Dsbrs Chrtbl Prps	0	CompOfcrDirTrstDsbrsChrtblPrps
Accounting Fees Rev And Expnss	12500	AccountingFeesRevAndExpnss
Accounting Fees Net Invst Incm	6250	AccountingFeesNetInvstIncm
Accounting Fees Adj Net Incm	0	AccountingFeesAdjNetIncm
Accounting Fees Dsbrs Chrtbl Prps	6250	AccountingFeesDsbrsChrtblPrps
Taxes Rev And Expnss	25000	TaxesRevAndExpnss
Taxes Net Invst Incm	0	TaxesNetInvstIncm
Taxes Adj Net Incm	0	TaxesAdjNetIncm
Taxes Dsbrs Chrtbl Prps	0	TaxesDsbrsChrtblPrps
Other Expenses Rev And Expnss	29098	OtherExpensesRevAndExpnss
Other Expenses Net Invst Incm	28188	OtherExpensesNetInvstIncm
Other Expenses Adj Net Incm	0	OtherExpensesAdjNetIncm
Other Expenses Dsbrs Chrtbl Prps	750	OtherExpensesDsbrsChrtblPrps
Tot Opr Expenses Rev And Expnss	66598	TotOprExpensesRevAndExpnss
Tot Opr Expenses Net Invst Incm	34438	TotOprExpensesNetInvstIncm
Tot Opr Expenses Adj Net Incm	0	TotOprExpensesAdjNetIncm
Tot Opr Expenses Dsbrs Chrtbl Prps	7000	TotOprExpensesDsbrsChrtblPrps
Contri Gifts Paid Rev And Expnss	1885000	ContriGiftsPaidRevAndExpnss
Contri Gifts Paid Dsbrs Chrtbl Prps	1885000	ContriGiftsPaidDsbrsChrtblPrps
Total Expenses Rev And Expnss	1951598	TotalExpensesRevAndExpnss
Total Expenses Net Invst Incm	34438	TotalExpensesNetInvstIncm
Total Expenses Adj Net Incm	0	TotalExpensesAdjNetIncm
Total Expenses Dsbrs Chrtbl Prps	1892000	TotalExpensesDsbrsChrtblPrps
Excess Of Revenue Over Expenses	7317848	ExcessOfRevenueOverExpenses
Net Investment Income	2989063	NetInvestmentIncome
Adjusted Net Income	0	AdjustedNetIncome

Balance Sheets BalanceSheets

Field	Value	IRS element (for citing)
Cash BOY	511021	CashBOY
Cash EOY	3640062	CashEOY
Cash EOYFMV	3640062	CashEOYFMV
Investments Corp Stock BOY	1316286	InvestmentsCorpStockBOY
Investments Corp Stock EOY	1516395	InvestmentsCorpStockEOY
Investments Corp Stock EOYFMV	1680533	InvestmentsCorpStockEOYFMV
Investments Corp Bonds BOY	134005	InvestmentsCorpBondsBOY
Investments Corp Bonds EOY	51274	InvestmentsCorpBondsEOY
Investments Corp Bonds EOYFMV	2	InvestmentsCorpBondsEOYFMV
Investments Other BOY	36522679	InvestmentsOtherBOY
Investments Other EOY	38057655	InvestmentsOtherEOY
Investments Other EOYFMV	39160719	InvestmentsOtherEOYFMV
Other Assets BOY	0	OtherAssetsBOY
Other Assets EOY	558793	OtherAssetsEOY
Other Assets EOYFMV	558793	OtherAssetsEOYFMV
Total Assets BOY	38483991	TotalAssetsBOY
Total Assets EOY	43824179	TotalAssetsEOY
Total Assets EOYFMV	45040109	TotalAssetsEOYFMV
Other Liabilities BOY	475305	OtherLiabilitiesBOY
Other Liabilities EOY	7690	OtherLiabilitiesEOY
Total Liabilities BOY	475305	TotalLiabilitiesBOY
Total Liabilities EOY	7690	TotalLiabilitiesEOY
Org That Do Not Follow SFAS117	X	OrgThatDoNotFollowSFAS117
Capital Stock BOY	0	CapitalStockBOY
Capital Stock EOY	0	CapitalStockEOY
Paid In Or Capital Surplus BOY	0	PaidInOrCapitalSurplusBOY
Paid In Or Capital Surplus EOY	0	PaidInOrCapitalSurplusEOY
Retained Earnings BOY	38008686	RetainedEarningsBOY
Retained Earnings EOY	43816489	RetainedEarningsEOY
Total Net Assets BOY	38008686	TotalNetAssetsBOY
Total Net Assets EOY	43816489	TotalNetAssetsEOY
Total Liabilities Net Assets BOY	38483991	TotalLiabilitiesNetAssetsBOY
Total Liabilities Net Assets EOY	43824179	TotalLiabilitiesNetAssetsEOY

Changes In Net Assets Fund Balances ChangesInNetAssetsFundBalances

Field	Value	IRS element (for citing)
Total Net Assets Fund Balances BOY	38008686	TotalNetAssetsFundBalancesBOY
Excess Of Revenue Over Expenses	7317848	ExcessOfRevenueOverExpenses
Other Increases	0	OtherIncreases
Subtotal	45326534	Subtotal
Other Decreases	1510045	OtherDecreases
Total Net Assets Fund Balances EOY	43816489	TotalNetAssetsFundBalancesEOY

Capital Gains And Losses CapitalGainsAndLosses

Capital Gains And Losses Info CapitalGainsAndLossesInfo (9 entries)

Description Of AssetDescriptionOfAsset	How AcquiredHowAcquired	Date AcquiredDateAcquired	Date SoldDateSold	Gain Or LossGainOrLoss	Gains Minus Excess Or LossesGainsMinusExcessOrLosses	Cost Or Other BasisCostOrOtherBasis	Gross Sales PriceGrossSalesPrice
STCG - THROUGH K-1S	P	2011-01-01	2011-12-31	1040231	1040231
LTCG - THROUGH K-1S	P	2011-01-01	2011-12-31	1243310	1243310
SECTION 1231 - THROUGH K-1S	P	2011-01-01	2011-12-31	-569	-569
SECTION 1256 - THROUGH K-1S	P	2011-01-01	2011-12-31	28029	28029
GAIN/LOSS PICKED UP ON 990T	P	2011-01-01	2011-12-31	-26898	-26898	26898
PUBLICLY TRADED SECURITIES - THRU JP MORGAN	P	2011-01-01	2011-12-31	-17143	-17143	299391	282248
PUBLICLY TRADED SECURITIES - THRU BRAVE WARRIOR	P	2011-01-01	2011-12-31	-1951	-1951	453648	451697
PUBLICLY TRADED SECURITIES - THRU BRAVE WARRIOR	P	2011-01-01	2011-12-31	3727	3727
PUBLICLY TRADED SECURITIES - THRU BRAVE WARRIOR	P	2011-01-01	2011-12-31	131495	131495	489923	621418

Field	Value	IRS element (for citing)
Capital Gain Net Income	2400231	CapitalGainNetIncome

Qlfy Und Sect4940e For Reduced Tax QlfyUndSect4940eForReducedTax

Field	Value	IRS element (for citing)
Liable For4942 Tax	0	LiableFor4942Tax
Qualifying Distributions Year1	1275324	QualifyingDistributionsYear1
Noncharitable Assets Year1	34387200	NoncharitableAssetsYear1
Distribution Ratio Year1	0.037087	DistributionRatioYear1
Qualifying Distributions Year2	1139516	QualifyingDistributionsYear2
Noncharitable Assets Year2	24211327	NoncharitableAssetsYear2
Distribution Ratio Year2	0.047065	DistributionRatioYear2
Qualifying Distributions Year3	921221	QualifyingDistributionsYear3
Noncharitable Assets Year3	24989071	NoncharitableAssetsYear3
Distribution Ratio Year3	0.036865	DistributionRatioYear3
Qualifying Distributions Year4	1108179	QualifyingDistributionsYear4
Noncharitable Assets Year4	25724456	NoncharitableAssetsYear4
Distribution Ratio Year4	0.043079	DistributionRatioYear4
Qualifying Distributions Year5	44735	QualifyingDistributionsYear5
Noncharitable Assets Year5	21062925	NoncharitableAssetsYear5
Distribution Ratio Year5	0.002124	DistributionRatioYear5
Total Distribution Ratio	0.166220	TotalDistributionRatio
Average Distribution Ratio	0.033244	AverageDistributionRatio
Net Noncharitable Assets	40582654	NetNoncharitableAssets
Adjusted Noncharitable Assets	1349130	AdjustedNoncharitableAssets
One Percent Net Investment Income	29891	OnePercentNetInvestmentIncome
Adj Nonchrtbl Assets And One	1379021	AdjNonchrtblAssetsAndOnePct
Qualifying Distributions	1892000	QualifyingDistributions

Excise Tax Based On Investment Incm ExciseTaxBasedOnInvestmentIncm

Field	Value	IRS element (for citing)
Domestic Org Meeting Sect4940e	X	DomesticOrgMeetingSect4940e
Investment Income Excise Tax	29891	InvestmentIncomeExciseTax
Tax Under Section511	0	TaxUnderSection511
Subtotal	29891	Subtotal
Subtitle A Tax	0	SubtitleATax
Tax Based On Investment Income	29891	TaxBasedOnInvestmentIncome
Est Tax Payments And Overpayment	35792	EstTaxPaymentsAndOverpayment
Tax Paid With Extension	35000	TaxPaidWithExtension
Total Credits And Payments	70792	TotalCreditsAndPayments
Overpayment	40901	Overpayment
Amount Credited To Next Year	40901	AmountCreditedToNextYear
Amount To Be Refunded	0	AmountToBeRefunded

Statements Regarding Activities StatementsRegardingActivities

Field	Value	IRS element (for citing)
Legislative Political Activities	0	LegislativePoliticalActivities
More Than100 Spent	0	MoreThan100Spent
Form1120 POL Filed	0	Form1120POLFiled
Sect4955 Tax On Organization	0	Sect4955TaxOnOrganization
Sect4955 Tax On Managers	0	Sect4955TaxOnManagers
Reimbursement Of Tax	0	ReimbursementOfTax
Activities Not Prev Reported	0	ActivitiesNotPrevReported
Changes To Articles Or Bylaws	0	ChangesToArticlesOrBylaws
Unrelated Bus Income Over1000	0	UnrelatedBusIncomeOver1000
Termination Etc	0	TerminationEtc
Requirements Of Sect508e	1	RequirementsOfSect508e
At Least5000 In Assets	1	AtLeast5000InAssets
States Filed With	NY	StatesFiledWith
Form990 PF Filed With AG	1	Form990PFFiledWithAG
Private Operating Foundation	0	PrivateOperatingFoundation
New Substantial Contributors	0	NewSubstantialContributors
Interest In Controlled Entity	0	InterestInControlledEntity
Applicable Insurance Contract	0	ApplicableInsuranceContract
Comply With Public Inspection Rqr	1	ComplyWithPublicInspectionRqr
Website Address	WWW.GUIDESTAR.ORG	WebsiteAddress
Books In Care Of Person Name	THOMAS KEMPNER JR	BooksInCareOfPersonName
Books In Care Of Phone Number	2124464000	BooksInCareOfPhoneNumber

Books In Care Of US Address BooksInCareOfUSAddress

Field	Value	IRS element (for citing)
Address Line1	65 EAST 55TH STREET 19TH FLOOR	AddressLine1
City	NEW YORK	City
State	NY	State
ZIP Code	10022	ZIPCode

Field	Value	IRS element (for citing)
Foreign Bank	1	ForeignBank
Name Of Foreign Country	OC	NameOfForeignCountry

Statements Regarding Acty4720 StatementsRegardingActy4720

Field	Value	IRS element (for citing)
Sale Or Exchange With Dsqfly Person	0	SaleOrExchangeWithDsqflyPerson
Borrow Or Lend With Dsqfly Person	0	BorrowOrLendWithDsqflyPerson
Furnished Goods With Dsqfly Person	0	FurnishedGoodsWithDsqflyPerson
Pay Compensation To Dsqfly Person	0	PayCompensationToDsqflyPerson
Transfer Assets To Dsqfly Person	0	TransferAssetsToDsqflyPerson
Payment To Government Offical	0	PaymentToGovernmentOffical
Uncorrected Prior Acts	0	UncorrectedPriorActs
Undistributed Income Prior Years	0	UndistributedIncomePriorYears
Business Holdings	0	BusinessHoldings
Jeopardy Investments	0	JeopardyInvestments
Uncorrected Jeopardy Investments	0	UncorrectedJeopardyInvestments
Influence Legislation	0	InfluenceLegislation
Influence Election	0	InfluenceElection
Grants To Individuals	0	GrantsToIndividuals
Grants To Organizations	0	GrantsToOrganizations
Noncharitable Purpose	0	NoncharitablePurpose
Rcv Funds To Pay Prsnl Bnft Contract	0	RcvFundsToPayPrsnlBnftContract
Pay Premiums Prsnl Bnft Contract	0	PayPremiumsPrsnlBnftContract
Prohibited Tax Shelter Transactn	0	ProhibitedTaxShelterTransactn

Ofcr Dir Trustees Key Employee Info OfcrDirTrusteesKeyEmployeeInfo

Ofcr Dir Trustees Or Key Employee OfcrDirTrusteesOrKeyEmployee (4 entries)

Address Line1USAddress/AddressLine1	CityUSAddress/City	StateUSAddress/State	ZIP CodeUSAddress/ZIPCode	TitleTitle	Avg Hours Per Wk Devoted To PositionAvgHoursPerWkDevotedToPosition	CompensationCompensation	Contri To Empl Benefit Plans EtcContriToEmplBenefitPlansEtc	Expense Account Other AllowancesExpenseAccountOtherAllowances
THOMAS KEMPNER JR
65 EAST 55TH STREET 19TH FLOOR	NEW YORK	NY	10022	PRESIDENT	2.00	0	0	0
KATHERYN C PATTERSON
65 EAST 55TH STREET 19TH FLOOR	NEW YORK	NY	10022	SECRETARY	0.50	0	0	0
TREVOR KEMPNER
65 EAST 55TH STREET 19TH FLOOR	NEW YORK	NY	10022	DIRECTOR	0.50	0	0	0
THOMAS N KEMPNER
65 EAST 55TH STREET 19TH FLOOR	NEW YORK	NY	10022	DIRECTOR	0.50	0	0	0

Field	Value	IRS element (for citing)
Comp Of Highest Paid Empl NONE	NONE	CompOfHighestPaidEmplNONE
Tot Number Of Oth Empl Paid Over50k	0	TotNumberOfOthEmplPaidOver50k
Comp Of Hghst Paid Cntrct NONE	NONE	CompOfHghstPaidCntrctNONE
Tot Number Of Cntrct Paid Over50k	0	TotNumberOfCntrctPaidOver50k

Summary Of Direct Charitable Acty SummaryOfDirectCharitableActy

Field	Value	IRS element (for citing)
Description1	NOT APPLICABLE	Description1
Expenses1	0	Expenses1

Sum Of Program Related Investments SumOfProgramRelatedInvestments

Field	Value	IRS element (for citing)
Description1	NOT APPLICABLE	Description1
Amount1	0	Amount1
Total	0	Total

Minimum Investment Return MinimumInvestmentReturn

Field	Value	IRS element (for citing)
Avg Monthly FMV Of Securities	649912	AvgMonthlyFMVOfSecurities
Avg Monthly Cash Balances	1680732	AvgMonthlyCashBalances
FMV All Other Noncharitable Assets	38870020	FMVAllOtherNoncharitableAssets
Total FMV Of Unused Assets	41200664	TotalFMVOfUnusedAssets
Reduction Claimed	0	ReductionClaimed
Acquisition Indebtedness	0	AcquisitionIndebtedness
Adj Total FMV Of Unused Assets	41200664	AdjTotalFMVOfUnusedAssets
Cash Deemed Charitable	618010	CashDeemedCharitable
Net Noncharitable Assets	40582654	NetNoncharitableAssets
Minimum Investment Return	2029133	MinimumInvestmentReturn

Distributable DistributableAmount

Field	Value	IRS element (for citing)
Minimum Investment Return	2029133	MinimumInvestmentReturn
Tax Based On Investment Income	29891	TaxBasedOnInvestmentIncome
Total Tax	29891	TotalTax
Distributable Amount Before Adj	1999242	DistributableAmountBeforeAdj
Recoveries Qlfy Distributions	0	RecoveriesQlfyDistributions
Distributable Amount Before Ded	1999242	DistributableAmountBeforeDed
Deduction Fr Distributable	$0	DeductionFrDistributableAmount
Distributable Amount As Adjusted	1999242	DistributableAmountAsAdjusted

Qualifying Distributions QualifyingDistributions

Field	Value	IRS element (for citing)
Expenses And Contributions	1892000	ExpensesAndContributions
Program Related Investments Total	0	ProgramRelatedInvestmentsTotal
Qualifying Distributions	1892000	QualifyingDistributions
One Pct Sect4940e Org Net Invst Incm	29891	OnePctSect4940eOrgNetInvstIncm
Adj Qualifying Distributions	1862109	AdjQualifyingDistributions

Undistributed Income UndistributedIncome

Field	Value	IRS element (for citing)
Distributable Amount As Adjusted	1999242	DistributableAmountAsAdjusted
Undistributed Income Prior Year	1546655	UndistributedIncomePriorYear
Total For Prior Years	0	TotalForPriorYears
Total Excess Distri Carryover	0	TotalExcessDistriCarryover
Qualifying Distributions	1892000	QualifyingDistributions
Applied To Year1	1546655	AppliedToYear1
Applied To Prior Years	0	AppliedToPriorYears
Treated As Distri From Corpus	0	TreatedAsDistriFromCorpus
Applied To Current Year	345345	AppliedToCurrentYear
Remaining Distri From Corpus	0	RemainingDistriFromCorpus
Excess Distri Cyov App CY Corpus	0	ExcessDistriCyovAppCYCorpus
Excess Distri Cyov Applied CY	0	ExcessDistriCyovAppliedCY
Total Corpus	0	TotalCorpus
Prior Year Undistributed Income	0	PriorYearUndistributedIncome
Prior Year Deficiency Or Tax	0	PriorYearDeficiencyOrTax
Taxable Amount1	0	TaxableAmount1
Taxable Amount2	0	TaxableAmount2
Undistributed Income CY	1653897	UndistributedIncomeCY
Distri From Corpus170b1 E Or4942g3	0	DistriFromCorpus170b1EOr4942g3
Excess Distri Cyov From Year5	0	ExcessDistriCyovFromYear5
Excess Distri Cyov To Next Year	0	ExcessDistriCyovToNextYear

Supplementary Information SupplementaryInformation

Field	Value	IRS element (for citing)
Contributing Manager	THOMAS KEMPNER JR	ContributingManager
Only Contributes To Preselected	X	OnlyContributesToPreselected

Grant Or Contri Paid During Year GrantOrContriPaidDuringYear (9 entries)

Address Line1RecipientUSAddress/AddressLine1	CityRecipientUSAddress/City	StateRecipientUSAddress/State	ZIP CodeRecipientUSAddress/ZIPCode	Recipient RelationshipRecipientRelationship	Recipient Foundation StatusRecipientFoundationStatus	Purpose Of Grant Or ContributionPurposeOfGrantOrContribution	AmountAmount
GARDENS FOR HEALTH
71 JOY ST APT 3	BOSTON	MA	02114	NONE	501(C)(3)	UNRESTRICTED GRANT FOR EXEMPT PURPOSES	$10,000
CPC FOR THE EAST MEADOW
14 E 60TH ST	NEW YORK	NY	10022	NONE	501(C)(3)	UNRESTRICTED GRANT FOR EXEMPT PURPOSES	$100,000
GRAMEEN AMERICA
135 POST AVENUE	NEW YORK	NY	10034	NONE	501(C)(3)	UNRESTRICTED GRANT FOR EXEMPT PURPOSES	$50,000
CPC FOR TLK PLAYGROUND
14 E 60TH ST	NEW YORK	NY	10022	NONE	501(C)(3)	UNRESTRICTED GRANT FOR EXEMPT PURPOSES	$500,000
YALE UNIVERSITY
38 HILLHOUSE AVENUE	NEW HAVEN	CT	06511	NONE	501(C)(3)	UNRESTRICTED GRANT FOR EXEMPT PURPOSES	$500,000
STANFORD UNIVERSITY
295 GALVEZ STREET	STANFORD	CA	94305	NONE	501(C)(3)	UNRESTRICTED GRANT FOR EXEMPT PURPOSES	$250,000
WILDLIFE CONSERVATION
602 SURF AVENUE	NEW YORK	NY	11224	NONE	501(C)(3)	UNRESTRICTED GRANT FOR EXEMPT PURPOSES	$25,000
PHE
1460 BROADWAY SUITE 5-24	NEW YORK	NY	10036	NONE	501(C)(3)	UNRESTRICTED GRANT FOR EXEMPT PURPOSES	$250,000
COLUMBIA UNIVERSITY
630 WEST 168TH STREET	NEW YORK	NY	10032	NONE	501(C)(3)	UNRESTRICTED GRANT FOR EXEMPT PURPOSES	$200,000

Field	Value	IRS element (for citing)
Tot Grant Or Contri Paid During Year	1885000	TotGrantOrContriPaidDuringYear
Tot Grant Or Contri Approved Future	0	TotGrantOrContriApprovedFuture

Analysis Income Producing Acty AnalysisIncomeProducingActy

Dividends And Int From Sec Part VII DividendsAndIntFromSecPartVII

Field	Value	IRS element (for citing)
Business Code	900000	BusinessCode
Exclusion Code	14	ExclusionCode
Exclusion	$33,534	ExclusionAmount

Other Investment Income Part VII OtherInvestmentIncomePartVII

Field	Value	IRS element (for citing)
Business Code	900000	BusinessCode
Exclusion Code	14	ExclusionCode
Exclusion	$589,736	ExclusionAmount

Gain Sales Assets Oth Than Invntry GainSalesAssetsOthThanInvntry

Field	Value	IRS element (for citing)
Business Code	900000	BusinessCode
Unrelated Business Income	$26,898	UnrelatedBusinessIncomeAmount
Exclusion Code	18	ExclusionCode
Exclusion	$2,400,231	ExclusionAmount

Subtotals Part XVIA SubtotalsPartXVIA

Field	Value	IRS element (for citing)
Unrelated Business Income	$26,898	UnrelatedBusinessIncomeAmount
Exclusion	$3,023,501	ExclusionAmount
Related Or Exempt Function Income	0	RelatedOrExemptFunctionIncome

Field	Value	IRS element (for citing)
Total Part XVIA	3050399	TotalPartXVIA

Trnsfr Tr Rln With Noncharitable EO TrnsfrTrRlnWithNoncharitableEO

Field	Value	IRS element (for citing)
Trnsfr Of Cash To Noncharitable EO	0	TrnsfrOfCashToNoncharitableEO
Trnsfr Oth Assets Noncharitable EO	0	TrnsfrOthAssetsNoncharitableEO
Sales Or Exchanges Of Assets	0	SalesOrExchangesOfAssets
Purchase Assets Noncharitable EO	0	PurchaseAssetsNoncharitableEO
Rental Of Facilities Etc	0	RentalOfFacilitiesEtc
Reimbursement Arrangements	0	ReimbursementArrangements
Loans Or Loan Guarantees	0	LoansOrLoanGuarantees
Performance Of Services Etc	0	PerformanceOfServicesEtc
Sharing Of Facilities Etc	0	SharingOfFacilitiesEtc
Relationships Noncharitable E Os	0	RelationshipsNoncharitableEOs

Schedule B IRS990ScheduleB

Field	Value	IRS element (for citing)
Organization501c3 Exempt PF	X	Organization501c3ExemptPF
General Rule	X	GeneralRule

Contributor Info ContributorInfo (5 entries)

Contributor NumberContributorNumber	Contributor Name IndividualContributorNameIndividual	Address Line1ContributorAddressUS/AddressLine1	CityContributorAddressUS/City	StateContributorAddressUS/State	ZIP CodeContributorAddressUS/ZIPCode	Aggregate ContributionsAggregateContributions	Person Contribution TypePersonContributionType	Noncash Contribution TypeNoncashContributionType
1	THOMAS L KEMPNER	65 EAST 55TH STREET 19TH FLOOR	NEW YORK	NY	10022	5800000	X
2	THOMAS L KEMPNER	65 EAST 55TH STREET 19TH FLOOR	NEW YORK	NY	10022	36776		X
3	THOMAS L KEMPNER	65 EAST 55TH STREET 19TH FLOOR	NEW YORK	NY	10022	64186		X
4	THOMAS L KEMPNER	65 EAST 55TH STREET 19TH FLOOR	NEW YORK	NY	10022	141185		X
5	THOMAS L KEMPNER	65 EAST 55TH STREET 19TH FLOOR	NEW YORK	NY	10022	10445		X

Noncash Property NoncashProperty (4 entries)

Contributor Number From Part IContributorNumberFromPartI	Noncash Property DescriptionNoncashPropertyDescription	Fair Market ValueFairMarketValue	Date ReceivedDateReceived
2	3,714 SHARES OF AMERICAN CAPITAL EQUITY	36776	2011-04-08
3	1,026 SHARES OF VISTEON CORP	64186	2011-04-12
4	20,828 SHARES OF GABRIEL RESOURCES INC.	141185	2011-06-15
5	670 SHARES OF MAPP PHARMACEUTICALS	10445	2011-03-15

Accounting Fees Schedule AccountingFeesSchedule

Accounting Fees AccountingFees

Field	Value	IRS element (for citing)
Category	PROFESSIONAL FEES	Category
Amount	$12,500	Amount
Net Investment Income	6250	NetInvestmentIncome
Adjusted Net Income	0	AdjustedNetIncome
Disbursements Charitable Prps	6250	DisbursementsCharitablePrps

Investments Corp Bonds Schedule InvestmentsCorpBondsSchedule

Investments Corp Bonds InvestmentsCorpBonds

Field	Value	IRS element (for citing)
Name Of Bond	VARIOUS BONDS - JPM	NameOfBond
EOY Book Value	51274	EOYBookValue
EOYFMV	2	EOYFMV

Investments Corp Stock Schedule InvestmentsCorpStockSchedule

Investments Corp Stock InvestmentsCorpStock (2 entries)

Name Of StockNameOfStock	EOY Book ValueEOYBookValue	EOYFMVEOYFMV
VARIOUS COMMON STOCK - JPM	320365	258433
VARIOUS STOCKS - BRAVE WARRIOR	1196030	1422100

Investments Other Schedule2 InvestmentsOtherSchedule2

Investments Other InvestmentsOther (39 entries)

Category Or ItemCategoryOrItem	Listed At Cost Or FMVListedAtCostOrFMV	Book ValueBookValue	EOYFMVEOYFMV
MHD MANAGEMENT COMPANY	AT COST	5994782	5994782
M H DAVIDSON & CO.	AT COST	13692821	13692821
AMERICAN REAL ESTATE PART(PREF	AT COST	49243	49243
SKYLINE VENTURE PARTNERS	AT COST	18155	18153
SKYLINE VENTURE PARTNERS II	AT COST	16187	16187
DAVIDSON KEMPNER CAP MGMT LLC	AT COST	0	0
ARBITER PARTNERS	AT COST	3537758	3537758
SKYLINE VENTURE FUND III - PFD	AT COST	11064	8627
DRAWBRIDGE SPECIAL FUND	AT COST	82753	82753
SKYLINE VENTURE FUND III	AT COST	73289	57145
HEARTLAND PARTNERS LP	AT COST	72370	72370
FOREIGN CORP.-VAR. HEDGE FUNDS	AT COST	2053914	2988932
SKYLINE VENTURE FUND IV	AT COST	211622	135716
AQUILINE FINANCIAL	AT COST	861495	861495
NEW CENTURY HOLDINGS XI	AT COST	58022	375508
DK PRESIDIO	AT COST	316	316
FOREIGN CURRENCY CONTRACTS	AT COST	63692	55915
AQUILINE DRAGON FUND OFFSHORE	AT COST	151489	151706
AQUILINE REAL ESTATE FUND LP	AT COST	983075	983077
ABRAMS CAPITAL PARTNERS II	AT COST	1068334	1068334
SKYLINE VENTURE PARTNERS V LP	AT COST	192617	207174
MKW	AT COST	386915	223207
AMERICAN SECURITIES PARTNERS	AT COST	1668913	1668913
NCH AGRIBUSINESS PARTNERS	AT COST	395257	414964
JCF III AIV I LP	AT COST	189366	189366
ASP V ALTERNATE INVESTMENTS LP	AT COST	323897	323897
HAWKEYE CAPITAL INSTITUTIONAL LP	AT COST	1076148	1076148
JCF III AIV SRV	AT COST	4857	4857
ASP FML CO-INVEST I	AT COST	226429	226429
JCF III AIV II LP	AT COST	334268	334268
MKW VENTURES LIMITED	AT COST	44001	152696
DK GROUP	AT COST	2178604	2178604
FINE CAPITAL	AT COST	883800	883800
ROBOTTI GLOBAL FUND	AT COST	377922	377923
AMERICAN SECURITIES PARTNERS VI	AT COST	270049	270049
CROSSHARBOR INSTITUTIONAL PARTNERS II	AT COST	61786	58787
HIGHBROOK INCOME PROPERTY FUND	AT COST	202555	201869
HOLT DISTRESSED PROPERTY FUND 2010	AT COST	192654	174215
HOLT DISTRESSED PROPERTY FUND (PARALLEL 1) 2010	AT COST	47236	42715

Other Assets Schedule OtherAssetsSchedule

Other Assets OtherAssets

Field	Value	IRS element (for citing)
Description	DUE FROM PARTNERSHIPS	Description
BOY Book Value	0	BOYBookValue
EOY Book Value	558793	EOYBookValue
EOYFMV	558793	EOYFMV

Other Decreases Schedule OtherDecreasesSchedule

Other Decreases OtherDecreases (2 entries)

DescriptionDescription	AmountAmount
UNREALIZED GAIN/LOSS & BOOK ADJ FROM K-1S	$1,400,883
UNREALIZED APPRECIATION OF CONTRIBUTED SECURITIES	$109,162

Other Expenses Schedule OtherExpensesSchedule

Other Expenses OtherExpenses (6 entries)

DescriptionDescription	Revenue And Expenses Per BooksRevenueAndExpensesPerBooks	Net Investment IncomeNetInvestmentIncome	Disbursements Charitable PrpsDisbursementsCharitablePrps
BANK CHARGES	160	0	0
MARGIN INTEREST	61	61	0
NY DEPT OF LAW	750	0	750
ADR FEES	44	44	0
INVESTMENT MANAGEMENT FEES	27539	27539	0
CURRENCY LOSSES	544	544	0

Other Income Schedule2 OtherIncomeSchedule2

Other Income OtherIncome (3 entries)

DescriptionDescription	Revenue And Expenses Per BooksRevenueAndExpensesPerBooks	Net Investment IncomeNetInvestmentIncome
OTHER INCOME THROUGH K-1'S	618946	618946
UBTI TAXES ON 990T	-29210	-29210
TAX REFUNDS	166455	0

Other Liabilities Schedule OtherLiabilitiesSchedule

Other Liabilities OtherLiabilities (2 entries)

DescriptionDescription	BOY Book ValueBOYBookValue	EOY Book ValueEOYBookValue
JC FLOWERS - NEGATIVE BASIS	3067	7690
DUE TO PARTNERSHIPS	472238	0

Taxes Schedule TaxesSchedule

Taxes Taxes

Field	Value	IRS element (for citing)
Category	EXCISE TAXES - 2010 EXTENSION PAYMENT	Category
Amount	$25,000	Amount
Net Investment Income	0	NetInvestmentIncome
Adjusted Net Income	0	AdjustedNetIncome
Disbursements Charitable Prps	0	DisbursementsCharitablePrps