Return of Private Foundation

Transcription

1 Form or Section 447(a)(1) Trust Treated as rivate Foundation Department of the Treasury Do not enter social security numers on this form as it may e made pulic. Internal Revenue Service Information aout Form 0-F and its separate instructions is at For calendar year 016 or tax year eginning, and ending Name of foundation Net rental income or (loss) 6a Net gain or (loss) from sale of assets not on line 10 ~~ Gross sales price for all assets on line 6a ~~ 67,68,08. 7 Capital gain net income (from art IV, line ) ~~~~~ 8 Net short-term capital gain ~~~~~~~~~ Income modifications~~~~~~~~~~~~ Gross sales less returns 10a and allowances ~~~~ Less: Cost of goods sold ~ Compensation of officers, directors, trustees, etc. ~~~ A Employer identification numer OMB No Open to ulic Inspection Numer and street (or.o. ox numer if mail is not delivered to street address) Room/suite B Telephone numer 5 EAST MARKHAM STREET 00 (501) City or town, state or province, country, and ZI or foreign postal code C If exemption application is pending, check here~ LITTLE ROCK, AR 701 G Check all that apply: Initial return Initial return of a former pulic charity D 1. Foreign organizations, check here ~~ Final return Amended return. Foreign organizations meeting the 85% test, Address change Name change check here and attach computation ~~~~ H Check type of organization: Section 501(c)() exempt private foundation E If private foundation status was terminated Section 447(a)(1) nonexempt charitale trust Other taxale private foundation under section 507()(1)(A), check here ~ I Fair market value of all assets at end of year J Accounting method: Cash Accrual F If the foundation is in a 60-month termination (from art II, col. (c), line 16) Other (specify) under section 507()(1)(B), check here ~ 1,71,558. (art I, column (d) must e on cash asis.) art I Analysis of Revenue and Expenses (a) Revenue and () Net investment (c) Adjusted net (d) Disursements (The total of amounts in columns (), (c), and (d) may not for charitale purposes necessarily equal the amounts in column (a).) expenses per ooks income income (cash asis only) 1 Contriutions, gifts, grants, etc., received ~~~ 8,00 Check if the foundation is not required to attach Sch. B Interest on savings and temporary cash investments ~~~~~~~~~~~~~~ 48,16 48,16 STATEMENT 1 4 Dividends and interest from securities~~~~~ 1,74,04. 1,74,04. STATEMENT Revenue Operating and Administrative Expenses ETENDED TO NOVEMBER 15, F Return of rivate Foundation 016 THE WINTHRO ROCKEFELLER FOUNDATION a Gross rents ~~~~~~~~~~~~~~~~ 11 c Gross profit or (loss) ~~~~~~~~~~~~ 1 Total. Add lines 1 through ension plans, employee enefits ~~~~~~ 16a Legal fees~~~~~~~~~~~~~~~~~ STMT 4 Accounting fees ~~~~~~~~~~~~~~ STMT 5 c Other professional fees ~~~~~~~~~~~ STMT Other income ~~~~~~~~~~~~~~~ Other employee salaries and wages~~~~~~ Interest ~~~~~~~~~~~~~~~~~~ Taxes~~~~~~~~~~~~~~~~~~~ STMT 7 Depreciation and depletion ~~~~~~~~~ Occupancy ~~~~~~~~~~~~~~~~ Travel, conferences, and meetings ~~~~~~ rinting and pulications ~~~~~~~~~~ Other expenses ~~~~~~~~~~~~~~ STMT 8 Total operating and administrative expenses. Add lines 1 through ~~~~~ Contriutions, gifts, grants paid ~~~~~~~ Total expenses and disursements. Add lines 4 and 5 6,111. 6, ,44. 14,44. STATEMENT,771,618.,68, , , , 6,67. 6,67. 11,158. 1,718. 8,44 16, , ,075. 1,00 4, , , ,08. 8,74. 8, ,77 5,54. 56,71 1,5 1,5,08 4,011. 5,06. 86,5. 86,5. 1,17,0. 5,05. 1,17,87. 4,0, ,817.,167,57.,575,68 4,454,545. 7,57, ,817. 7,6,07. 7 Sutract line 6 from line 1: a Excess of revenue over expenses and disursements ~ -4,86,8. Net investment income (if negative, enter -0-) ~~~ 1,16,801. c Adjusted net income (if negative, enter -0-) LHA For aperwork Reduction Act Notice, see instructions. Form 0-F (016) THE WINTHRO ROCKEFELLER FO 06101

2 Form 0-F (016) Assets Liailities Net Assets or Fund Balances art II Other notes and loans receivale ~~~~~~~~ Attached schedules and amounts in the description column should e for end-of-year amounts only. repaid expenses and deferred charges ~~~~~~~~~~~~~ 10a Investments - U.S. and state government oligations ~~~~~~~ Investments - corporate stock ~~~~~~~~~~~~~~~~~ STMT 11 c Investments - corporate onds ~~~~~~~~~~~~~~~~~ STMT 1 11 Investments - land, uildings, and equipment: asis ~~ Less: accumulated depreciation ~~~~~~~~ Investments - mortgage loans ~~~~~~~~~~~~~~~~~ Total assets (to e completed y all filers - see the Loans from officers, directors, trustees, and other disqualified persons Total liailities (add lines 17 through ) Foundations that follow SFAS 117, check here ~~~~ and complete lines 4 through 6 and lines 0 and art III Balance Sheets Cash - non-interest-earing Savings and temporary cash investments Accounts receivale Less: allowance for doutful accounts ledges receivale Less: allowance for doutful accounts ~~~~~~~~~~~~~~~~~~ ~~~~~~~~~~~~,155. Grants receivale ~~~~~~~~~~~~~~~~~~~~~~~ Receivales due from officers, directors, trustees, and other disqualified persons ~~~~~~~~~~~~~~~~~~~~~~ Less: allowance for doutful accounts Inventories for sale or use ~~~~~~~~~~~~~~~~~~~ Total net assets or fund alances~~~~~~~~~~~~~~~~ Total liailities and net assets/fund alances Beginning of year End of year (a) Book Value () Book Value (c) Fair Market Value Investments - other ~~~~~~~~~~~~~~~~~~~~~~ Land, uildings, and equipment: asis 484,01. Less: accumulated depreciation ~~~~~~~~ Other assets (descrie 6, ,44 11,65. 11,65. STATEMENT 1 ) 6,445,5. 6,6,7. 6,6,7. instructions. Also, see page 1, item I) Accounts payale and accrued expenses ~~~~~~~~~~~~~ Grants payale ~~~~~~~~~~~~~~~~~~~~~~~~ Deferred revenue ~~~~~~~~~~~~~~~~~~~~~~~ ~~~~ Mortgages and other notes payale ~~~~~~~~~~~~~~~ Other liailities (descrie Unrestricted THE WINTHRO ROCKEFELLER FOUNDATION ~~~~~~~~~~~~~~~~~~~~~~~~~ Temporarily restricted ~~~~~~~~~~~~~~~~~~~~~ ermanently restricted~~~~~~~~~~~~~~~~~~~~~ Foundations that do not follow SFAS 117, check here ~ and complete lines 7 through 1. Capital stock, trust principal, or current funds ~~~~~~~~~~~ aid-in or capital surplus, or land, ldg., and equipment fund ~~~~ Retained earnings, accumulated income, endowment, or other funds~ Analysis of Changes in Net Assets or Fund Balances ) 1 Total net assets or fund alances at eginning of year - art II, column (a), line 0 (must agree with end-of-year figure reported on prior year's return) ~~~~~~~~~~~~~~~~~~~~~~~~~~~ 1 10,4,. Enter amount from art I, line 7a ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ -4,86,8. Other increases not included in line (itemize) SEE STATEMENT 1,65, Add lines 1,, and ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 4 16,871,85 5 Decreases not included in line (itemize) SEE STATEMENT , Total net assets or fund alances at end of year (line 4 minus line 5) - art II, column (), line ,801,06. Form 0-F (016) age 1,66,0. 0,81,868. 0,81,868.,76.,155., ,646, ,488, ,488,871. 7,707,754. 1,586,06 1,586,06 14,1,4. 1,71,558. 1,71, ,1. 5,74.,48,08,605,15.,78,001.,0,48. 10,4,. 16,801,06. 10,4,. 16,801,06. 14,1,4. 1,71, THE WINTHRO ROCKEFELLER FO 06101

3 Form 0-F (016) THE WINTHRO ROCKEFELLER FOUNDATION age art IV Capital Gains and Losses for Tax on Investment Income (a) List and descrie the kind(s) of property sold (e.g., real estate, () How acquired (c) Date acquired (d) Date sold - urchase -story rick warehouse; or common stock, 00 shs. MLC Co.) D - Donation (mo., day, yr.) (mo., day, yr.) 1a c d e a c d e a c d e SEE ATTACHED STATEMENTS (e) Gross sales price (f) Depreciation allowed (g) Cost or other asis (h) Gain or (loss) (or allowale) plus expense of sale (e) plus (f) minus (g) 67,68,08. 67,641,7. 6,111. Complete only for assets showing gain in column (h) and owned y the foundation on 1/1/6 (l) Gains (Col. (h) gain minus (j) Adjusted asis (k) Excess of col. (i) col. (k), ut not less than -0-) or (i) F.M.V. as of 1/1/6 Losses (from col. (h)) as of 1/1/6 over col. (j), if any If gain, also enter in art I, line 7 Capital gain net income or (net capital loss) If (loss), enter -0- in art I, line 7 ~~~~~~ Net short-term capital gain or (loss) as defined in sections 1(5) and (6): If gain, also enter in art I, line 8, column (c). If (loss), enter -0- in art I, line 8 art V Qualification Under Section 440(e) for Reduced Tax on Net Investment Income (For optional use y domestic private foundations suject to the section 440(a) tax on net investment income.) If section 440(d)() applies, leave this part lank. rqs Was the foundation liale for the section 44 tax on the distriutale amount of any year in the ase period? ~~~~~~~~~~~~~~~~ Yes No If "Yes," the foundation does not qualify under section 440(e). Do not complete this part. 1 Enter the appropriate amount in each column for each year; see the instructions efore making any entries. (a) () (c) (d) Base period years Distriution ratio Calendar year (or tax year eginning in) Adjusted qualifying distriutions Net value of noncharitale-use assets (col. () divided y col. (c)) 015 8,451, ,5, ,50, ,1, ,47,176. 1,74, ,614,16. 14,458, ,658, ,708, pmo pmo N/A 6,111. 6,111. Total of line 1, column (d) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Average distriution ratio for the 5-year ase period - divide the total on line y 5, or y the numer of years the foundation has een in existence if less than 5 years~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Enter the net value of noncharitale-use assets for 016 from art, line 5 ~~~~~~~~~~~~~~~~~~~~~ 4 1,86,60. 5 Multiply line 4 y line ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 5 6,516,1. 6 Enter 1% of net investment income (1% of art I, line 7) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 6 1, Add lines 5 and 6 ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 7 6,55, Enter qualifying distriutions from art II, line 4~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 8 7,871,85. If line 8 is equal to or greater than line 7, check the ox in art VI, line 1, and complete that part using a 1% tax rate. See the art VI instructions Form 0-F (016) THE WINTHRO ROCKEFELLER FO 06101

4 Form 0-F (016) THE WINTHRO ROCKEFELLER FOUNDATION age 4 art VI Excise Tax Based on Investment Income (Section 440(a), 440(), 440(e), or see instructions) 1a Exempt operating foundations descried in section 440(d)(), check here and enter "N/A" on line 1. Date of ruling or determination letter: (attach copy of letter if necessary-see instructions) Domestic foundations that meet the section 440(e) requirements in art V, check here and enter 1% 1 1,168. of art I, line 7~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ c All other domestic foundations enter % of line 7. Exempt foreign organizations enter 4% of art I, line 1, col. (). Tax ased on investment income. Sutract line 4 from line. If zero or less, enter -0- ~~~~~~~~~~~~~~~~~ a 016 estimated tax payments and 015 overpayment credited to 016 ~~~~~~~~ Exempt foreign organizations - tax withheld at source ~~~~~~~~~~~~~~~~ d Backup withholding erroneously withheld ~~~~~~~~~~~~~~~~~~~~~ 6d 7 8 Total credits and payments. Add lines 6a through 6d ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Enter any penalty for underpayment of estimated tax. Check here if Form 0 is attached ~~~~~~~~~~~~~ ,0 Tax due. If the total of lines 5 and 8 is more than line 7, enter amount owed ~~~~~~~~~~~~~~~~~~~~ 10 Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid 10 86,7. 11 Enter the amount of line 10 to e: Credited to 017 estimated tax 86,7. Refunded 11 art VII-A Statements Regarding Activities 1a During the tax year, did the foundation attempt to influence any national, state, or local legislation or did it participate or intervene in Yes No any political campaign? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 1a Did it spend more than 100 during the year (either directly or indirectly) for political purposes (see instructions for the definition)? ~~~~ 1 If the answer is "Yes" to 1a or 1, attach a detailed description of the activities and copies of any materials pulished or distriuted y the foundation in connection with the activities. c Did the foundation file Form 110-OL for this year? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 1c d Enter the amount (if any) of tax on political expenditures (section 455) imposed during the year: (1) On the foundation. () On foundation managers. e Enter the reimursement (if any) paid y the foundation during the year for political expenditure tax imposed on foundation managers. 4a Did the foundation have unrelated usiness gross income of 1,000 or more during the year? ~~~~~~~~~~~~~~~~~~~~~ Tax under section 511 (domestic section 447(a)(1) trusts and taxale foundations only. Others enter -0-) ~~~~~~~~~ Add lines 1 and ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Sutitle A (income) tax (domestic section 447(a)(1) trusts and taxale foundations only. Others enter -0-) ~~~~~~~~ Credits/ayments: c Tax paid with application for extension of time to file (Form 8868) ~~~~~~~~~~ Has the foundation engaged in any activities that have not previously een reported to the IRS? ~~~~~~~~~~~~~~~~~~~~ If "Yes," attach a detailed description of the activities. Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles of incorporation, or ylaws, or other similar instruments? If "Yes," attach a conformed copy of the changes ~~~~~~~~~~~~~~~~~~~~~ If "Yes," has it filed a tax return on Form 0-T for this year? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Was there a liquidation, termination, dissolution, or sustantial contraction during the year? ~~~~~~~~~~~~~~~~~~~~~~ If "Yes," attach the statement required y General Instruction T. Are the requirements of section 508(e) (relating to sections 441 through 445) satisfied either: By language in the governing instrument, or By state legislation that effectively amends the governing instrument so that no mandatory directions that conflict with the state law remain in the governing instrument? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Did the foundation have at least 5,000 in assets at any time during the year? If "Yes," complete art II, col. (c), and art V ~~~~~ 8a Enter the states to which the foundation reports or with which it is registered (see instructions) AR If the answer is "Yes" to line 7, has the foundation furnished a copy of Form 0-F to the Attorney General (or designate) of each state as required y General Instruction G? If "No," attach explanation ~~~~~~~~~~~~~~~~~~~~~~~~~ Is the foundation claiming status as a private operating foundation within the meaning of section 44(j)() or 44(j)(5) for calendar year 016 or the taxale year eginning in 016 (see instructions for art IV)? If "Yes," complete art IV~~~~~~~~~~~~~~ 10 Did any persons ecome sustantial contriutors during the tax year? If "Yes," attach a schedule listing their names and addresses 10 Form 0-F (016) 6a 6 6c pnmno 105, a ,168. 1, THE WINTHRO ROCKEFELLER FO 06101

5 Form 0-F (016) THE WINTHRO ROCKEFELLER FOUNDATION age 5 art VII-A Statements Regarding Activities (continued) Yes No 11 At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the meaning of section 51()(1)? If "Yes," attach schedule (see instructions)~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Did the foundation make a distriution to a donor advised fund over which the foundation or a disqualified person had advisory privileges? If "Yes," attach statement (see instructions) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 1 Did the foundation comply with the pulic inspection requirements for its annual returns and exemption application? ~~~~~~~~~~~ 1 Wesite address The ooks are in care of ANDREA M. DOBSON Telephone no. (501) Located at 5 EAST MARKHAM STREET, STE 00, LITTLE ROCK, AR ZI Section 447(a)(1) nonexempt charitale trusts filing Form 0-F in lieu of Form Check here ~~~~~~~~~~~~~~~~~~~~~~~ and enter the amount of tax-exempt interest received or accrued during the year ~~~~~~~~~~~~~~~~~~~ 15 N/A At any time during calendar year 016, did the foundation have an interest in or a signature or other authority over a ank, Yes No securities, or other financial account in a foreign country? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 16 File Form 470 if any item is checked in the "Yes" column, unless an exception applies. 1a During the year did the foundation (either directly or indirectly): (1) Engage in the sale or exchange, or leasing of property with a disqualified person? ~~~~~~~~~~~~~~ Yes No () Borrow money from, lend money to, or otherwise extend credit to (or accept it from) a disqualified person? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No () Furnish goods, services, or facilities to (or accept them from) a disqualified person? ~~~~~~~~~~~~~ Yes No (4) ay compensation to, or pay or reimurse the expenses of, a disqualified person? ~~~~~~~~~~~~~~ Yes No (5) Transfer any income or assets to a disqualified person (or make any of either availale for the enefit or use of a disqualified person)?~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No (6) Agree to pay money or property to a government official? ( Exception. Check "No" See the instructions for exceptions and filing requirements for FinCEN Form 114. If "Yes," enter the name of the foreign country art VII-B Statements Regarding Activities for Which Form 470 May Be Required if the foundation agreed to make a grant to or to employ the official for a period after termination of government service, if terminating within 0 days.) ~~~~~~~~~~~~~~~~~~~~~ Yes No If any answer is "Yes" to 1a(1)-(6), did any of the acts fail to qualify under the exceptions descried in Regulations section 5.441(d)- or in a current notice regarding disaster assistance (see instructions)? ~~~~~~~~~~~~~~~~~~~~~ Organizations relying on a current notice regarding disaster assistance check here ~~~~~~~~~~~~~~~~~~~~~ c Did the foundation engage in a prior year in any of the acts descried in 1a, other than excepted acts, that were not corrected efore the first day of the tax year eginning in 016?~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Taxes on failure to distriute income (section 44) (does not apply for years the foundation was a private operating foundation defined in section 44(j)() or 44(j)(5)): a At the end of tax year 016, did the foundation have any undistriuted income (lines 6d and 6e, art III) for tax year(s) eginning efore 016? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No If "Yes," list the years,,, Are there any years listed in a for which the foundation is not applying the provisions of section 44(a)() (relating to incorrect valuation of assets) to the year's undistriuted income? (If applying section 44(a)() to all years listed, answer "No" and attach statement - see instructions.) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ N/A c If the provisions of section 44(a)() are eing applied to any of the years listed in a, list the years here.,,, a Did the foundation hold more than a % direct or indirect interest in any usiness enterprise at any time during the year? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No If "Yes," did it have excess usiness holdings in 016 as a result of (1) any purchase y the foundation or disqualified persons after May 6, 16; () the lapse of the 5-year period (or longer period approved y the Commissioner under section 44(c)(7)) to dispose of holdings acquired y gift or equest; or () the lapse of the 10-, 15-, or 0-year first phase holding period? (Use Schedule C, Form 470, to determine if the foundation had excess usiness holdings in 016.) ~~~~~~~~~~~~~~~~~~~~~~ 4a Did the foundation invest during the year any amount in a manner that would jeopardize its charitale purposes? ~~~~~~~~~~~~~ Did the foundation make any investment in a prior year (ut after Decemer 1, 16) that could jeopardize its charitale purpose that had not een removed from jeopardy efore the first day of the tax year eginning in 016? 4 Form 0-F (016) 1 1c 4a Yes No THE WINTHRO ROCKEFELLER FO 06101

6 Form 0-F (016) THE WINTHRO ROCKEFELLER FOUNDATION art VII-B Statements Regarding Activities for Which Form 470 May Be Required (continued) 5a During the year did the foundation pay or incur any amount to: (1) () Carry on propaganda, or otherwise attempt to influence legislation (section 445(e))? ~~~~~~~~~~~~~ Yes No Influence the outcome of any specific pulic election (see section 455); or to carry on, directly or indirectly, any voter registration drive? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No () rovide a grant to an individual for travel, study, or other similar purposes? ~~~~~~~~~~~~~~~~~ Yes No (4) rovide a grant to an organization other than a charitale, etc., organization descried in section 445(d)(4)(A)? (see instructions) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No (5) rovide for any purpose other than religious, charitale, scientific, literary, or educational purposes, or for the prevention of cruelty to children or animals? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No If any answer is "Yes" to 5a(1)-(5), did any of the transactions fail to qualify under the exceptions descried in Regulations section or in a current notice regarding disaster assistance (see instructions)? ~~~~~~~~~~~~~~~~~~~~~~~~ Organizations relying on a current notice regarding disaster assistance check here ~~~~~~~~~~~~~~~~~~~~~ c If the answer is "Yes" to question 5a(4), does the foundation claim exemption from the tax ecause it maintained expenditure responsiility for the grant?~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ SEE STATEMENT 15 Yes No If "Yes," attach the statement required y Regulations section (d). 6a Did the foundation, during the year, receive any funds, directly or indirectly, to pay premiums on a personal enefit contract? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No Did the foundation, during the year, pay premiums, directly or indirectly, on a personal enefit contract? ~~~~~~~~~~~~~~~~ 6 If "Yes" to 6, file Form 887 7a At any time during the tax year, was the foundation a party to a prohiited tax shelter transaction? ~~~~~~~~~ Yes No If "Yes," did the foundation receive any proceeds or have any net income attriutale to the transaction? N/A 7 art VIII Information Aout Officers, Directors, Trustees, Foundation Managers, Highly aid Employees, and Contractors 1 List all officers, directors, trustees, foundation managers and their compensation. (a) Name and address () Title, and average (c) Compensation (d) Contriutions to (e) Expense hours per week devoted employee enefit plans (If not paid, and deferred account, other to position enter -0-) compensation allowances 5 age 6 SEE STATEMENT ,50.11,80. Compensation of five highest-paid employees (other than those included on line 1). If none, enter "NONE." (a) Name and address of each employee paid more than 50,000 () Title, and average (d) Contriutions to (e) Expense employee enefit plans Compensation hours per week (c) devoted to position and deferred compensation account, other allowances CORY ANDERSON - 5 EAST MARKHAM VICE-RESIDENT STREET, STE. 00, LITTLE ROCK, AR ,041. 4,5 ANDREW FORD - 5 EAST MARKHAM INTERIM SENIOR ASSOCIATE, EDUCATION STREET, STE. 00, LITTLE ROCK, AR 400 1,71. 1,708. MICHAEL CASTENS - 5 EAST MARKHAM GRANT AND OERATIONS MANAGER STREET, STE. 00, LITTLE ROCK, AR ,66. 1,50. LISA DION - 5 EAST MARKHAM ROGRAM ASSOCIATE STREET, STE. 00, LITTLE ROCK, AR 400 5,1. 18,07. RUSSELL CAREY - 5 EAST MARKHAM ROGRAM ASSOCIATE STREET, STE. 00, LITTLE ROCK, AR 400 5,64. 11,64. Total numer of other employees paid over 50,000 0 Form 0-F (016) THE WINTHRO ROCKEFELLER FO 06101

7 Form 0-F (016) THE WINTHRO ROCKEFELLER FOUNDATION art VIII Information Aout Officers, Directors, Trustees, Foundation Managers, Highly aid Employees, and Contractors (continued) Five highest-paid independent contractors for professional services. If none, enter "NONE." (a) Name and address of each person paid more than 50,000 () Type of service (c) Compensation CAMBRIDGE ASSOCIATES INVESTMENT ADVISORY 15 HIGH STREET, BOSTON, MA SERVICES,76. THE NORTHERN TRUST COMANY INVESTMENT CUSTODY/ 50 SOUTH LASALLE ST., CHICAGO, IL 6060 MANAGEMENT SERVICES 11,16. SUSAN HARRIMAN EECUTIVE MANAGEMENT BELLA VIEW DRIVE, LITTLE ROCK, AR 71 CONSULTING 4,50 DOA TOTAL DESIGN STRATEGY, INC - 11 DICKSON STREET, SUITE 0, FAYETTEVILLE, AR ANNUAL REORT DESIGN 8,15. ROER SOUTHERN STRATEGIES CONSULTANT 47 CRESTWOOD DRIVE, LITTLE ROCK, AR 707 SUORTING ASSET DEV 51,67. Total numer of others receiving over 50,000 for professional services art I-A Summary of Direct Charitale Activities List the foundation's four largest direct charitale activities during the tax year. Include relevant statistical information such as the numer of organizations and other eneficiaries served, conferences convened, research papers produced, etc. 1 SEE STATEMENT 18 Expenses age 7 1 SEE STATEMENT 18 SEE STATEMENT 18 4 SEE STATEMENT 18 art I-B Summary of rogram-related Investments Descrie the two largest program-related investments made y the foundation during the tax year on lines 1 and. 1 INCREASED INVESTMENT IN SOUTHERN BANCOR 74,04. 06,4. 11,48. 14,784. Amount 4,1. All other program-related investments. See instructions. Total. Add lines 1 through J 4,1. Form 0-F (016) THE WINTHRO ROCKEFELLER FO 06101

8 Form 0-F (016) THE WINTHRO ROCKEFELLER FOUNDATION art Minimum Investment Return (All domestic foundations must complete this part. Foreign foundations, see instructions.) age 8 1 Fair market value of assets not used (or held for use) directly in carrying out charitale, etc., purposes: a Average monthly fair market value of securities ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 1a Average of monthly cash alances ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 1 c d e Fair market value of all other assets ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Total (add lines 1a,, and c) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Reduction claimed for lockage or other factors reported on lines 1a and 1c 1d 1c (attach detailed explanation) ~~~~~~~~~~~~~~~~~~~~~~ 1e Acquisition indetedness applicale to line 1 assets ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Sutract line from line 1d~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 4 Cash deemed held for charitale activities. Enter 1 1/% of line (for greater amount, see instructions) ~~~~~~~~ 4 5 Net value of noncharitale-use assets. Sutract line 4 from line. Enter here and on art V, line 4 ~~~~~~~~~~ 5 6 Minimum investment return. Enter 5% of line 5 6 art I Distriutale Amount (see instructions) (Section 44(j)() and (j)(5) private operating foundations and certain foreign organizations check here and do not complete this part.) 1 Minimum investment return from art, line 6 1 a Tax on investment income for 016 from art VI, line 5 ~~~~~~~~~~~ a 1,168. Income tax for 016. (This does not include the tax from art VI.) ~~~~~~~ c Add lines a and ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ c Distriutale amount efore adjustments. Sutract line c from line 1 ~~~~~~~~~~~~~~~~~~~~~~~ 4 5 Recoveries of amounts treated as qualifying distriutions~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Add lines and 4 ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Deduction from distriutale amount (see instructions) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 6 7 Distriutale amount as adjusted. Sutract line 6 from line 5. Enter here and on art III, line 1 7 art II Qualifying Distriutions (see instructions) 116,017,67.,146,1. 15,164,06. 15,164,06. 1,877,461. 1,86,60. 6,164, 6,164, 1,168. 6,145,16. 8,1. 6,17,74. 6,17,74. 1 a a Amounts paid (including administrative expenses) to accomplish charitale, etc., purposes: Expenses, contriutions, gifts, etc. - total from art I, column (d), line 6 ~~~~~~~~~~~~~~~~~~~~~~ rogram-related investments - total from art I-B ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Amounts paid to acquire assets used (or held for use) directly in carrying out charitale, etc., purposes~~~~~~~~~ Amounts set aside for specific charitale projects that satisfy the: Suitaility test (prior IRS approval required) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Cash distriution test (attach the required schedule) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Qualifying distriutions. Add lines 1a through. Enter here and on art V, line 8, and art III, line 4~~~~~~~~~ Foundations that qualify under section 440(e) for the reduced rate of tax on net investment income. Enter 1% of art I, line 7 ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Adjusted qualifying distriutions. Sutract line 5 from line 4 ~~~~~~~~~~~~~~~~~~~~~~~~~~~ Note: The amount on line 6 will e used in art V, column (), in susequent years when calculating whether the foundation qualifies for the section 440(e) reduction of tax in those years. Form 0-F (016) 1a 1 a ,6,07. 4,1. 7,871,85. 1,168. 7,85, THE WINTHRO ROCKEFELLER FO 06101

9 Form 0-F (016) THE WINTHRO ROCKEFELLER FOUNDATION art III Undistriuted Income (see instructions) age 1 Undistriuted income, if any, as of the end of 016: 4 a Enter amount for 015 only ~~~~~~~ Total for prior years: afrom 011 From 01 c From 01 dfrom 014 efrom 015 f Total of lines a through e ~~~~~~~~ aapplied to 015, ut not more than line a ~ Applied to undistriuted income of prior c Treated as distriutions out of corpus e Remaining amount distriuted out of corpus 5 Excess distriutions carryover applied to 016 ~~ (If an amount appears in column (d), the same amount must e shown in column (a).) 6 Enter the net total of each column as indicated elow: Distriutale amount for 016 from art I, line 7 ~~~~~~~~~~~~~~~~~,, Excess distriutions carryover, if any, to 016: ~~~ ~~~ ~~~ ~~~ ~~~ Qualifying distriutions for 016 from art II, line 4: 7,871,85. years (Election required - see instructions) ~ (Election required - see instructions) a Corpus. Add lines f, 4c, and 4e. Sutract line 5~~ rior years' undistriuted income. Sutract c Enter the amount of prior years' undistriuted income for which a notice of deficiency has een issued, or on which the section 44(a) tax has een previously assessed ~~~~~~~~~~~~~~~ dsutract line 6c from line 6. Taxale eundistriuted income for 015. Sutract line f Undistriuted income for 016. Sutract Excess distriutions carryover to 017. aexcess from 01~ Excess from 01~ c Excess from 014~ dexcess from 015~ ~~~ dapplied to 016 distriutale amount ~~~ line 4 from line ~~~~~~~~~~~ amount - see instructions ~~~~~~~~ 4a from line a. Taxale amount - see instr.~ lines 4d and 5 from line 1. This amount must e distriuted in 017 ~~~~~~~~~~ Amounts treated as distriutions out of corpus to satisfy requirements imposed y section 170()(1)(F) or 44(g)() (Election may e required - see instructions) ~~~~ Excess distriutions carryover from 011 not applied on line 5 or line 7 ~~~~~~~ Sutract lines 7 and 8 from line 6a ~~~~ Analysis of line : 1,1,1. 40,06. 1,847,7. 40,06. 1,847,7. 1,68,611. (a) () (c) (d) Corpus Years prior to ,658,6. 6,17,74. 6,17,74. 1,68,611. 5,57,57. 8,00 1,0,1.,66,44 eexcess from Form 0-F (016) THE WINTHRO ROCKEFELLER FO 06101

10 Form 0-F (016) THE WINTHRO ROCKEFELLER FOUNDATION art IV rivate Operating Foundations (see instructions and art VII-A, question ) N/A 1 a If the foundation has received a ruling or determination letter that it is a private operating foundation, and the ruling is effective for 016, enter the date of the ruling ~~~~~~~~~~~ Check ox to indicate whether the foundation is a private operating foundation descried in section ~~~ 44(j)() or 44(j)(5) a Enter the lesser of the adjusted net Tax year rior years income from art I or the minimum (a) 016 () 015 (c) 014 (d) 01 (e) Total 85% of line a ~~~~~~~~~~ c Qualifying distriutions from art II, d Amounts included in line c not e Qualifying distriutions made directly Sutract line d from line c~~~~ Complete a,, or c for the alternative test relied upon: a "Assets" alternative test - enter: (1) Value of all assets ~~~~~~ c "Support" alternative test - enter: (1) () () Largest amount of support from (4) Gross investment income art V Supplementary Information (Complete this part only if the foundation had 5,000 or more in assets at any time during the year-see instructions.) 1 Information Regarding Foundation Managers: a List any managers of the foundation who have contriuted more than % of the total contriutions received y the foundation efore the close of any tax year (ut only if they have contriuted more than 5,000). (See section 507(d)().) NONE investment return from art for each year listed ~~~~~~~~~ line 4 for each year listed ~~~~~ used directly for active conduct of exempt activities ~~~~~~~~~ for active conduct of exempt activities. () Value of assets qualifying under section 44(j)()(B)(i) ~ "Endowment" alternative test - enter / of minimum investment return shown in art, line 6 for each year listed ~~~~~~~~~~~~~~ Total support other than gross investment income (interest, dividends, rents, payments on securities loans (section 51(a)(5)), or royalties)~~~~ Support from general pulic and 5 or more exempt organizations as provided in section 44(j)()(B)(iii) ~~~ an exempt organization ~~~~ List any managers of the foundation who own 10% or more of the stock of a corporation (or an equally large portion of the ownership of a partnership or other entity) of which the foundation has a 10% or greater interest. NONE Information Regarding Contriution, Grant, Gift, Loan, Scholarship, etc., rograms: Check here if the foundation only makes contriutions to preselected charitale organizations and does not accept unsolicited requests for funds. If the foundation makes gifts, grants, etc. (see instructions) to individuals or organizations under other conditions, complete items a,, c, and d. a The name, address, and telephone numer or address of the person to whom applications should e addressed: ONLINE AT (501) EAST MARKHAM STREET, SUITE 00, LITTLE ROCK, AR 701 The form in which applications should e sumitted and information and materials they should include: SEE STATEMENT 1 c Any sumission deadlines: SEE STATEMENT 1 d Any restrictions or limitations on awards, such as y geographical areas, charitale fields, kinds of institutions, or other factors: SEE STATEMENT 1 age Form 0-F (016) THE WINTHRO ROCKEFELLER FO 06101

11 Form 0-F (016) THE WINTHRO ROCKEFELLER FOUNDATION art V Supplementary Information (continued) a Grants and Contriutions aid During the Year or Approved for Future ayment Recipient If recipient is an individual, show any relationship to Foundation any foundation manager status of Name and address (home or usiness) or sustantial contriutor recipient aid during the year urpose of grant or contriution Amount age 11 SEE STATEMENT 0 SEE STATEMENT 0 VARIOUS LITTLE ROCK, AR 701 4,454,545. Total Approved for future payment a 4,454,545. SEE STATEMENT 0 SEE STATEMENT 0 VARIOUS LITTLE ROCK, AR 701 1,64,64. Total ,64,64. Form 0-F (016) THE WINTHRO ROCKEFELLER FO 06101

12 Form 0-F (016) art VI-A Enter gross amounts unless otherwise indicated. 1 rogram service revenue: a c d e f g Interest on savings and temporary cash 4 Dividends and interest from securities 5 Net rental income or (loss) from real estate: a 6 Net rental income or (loss) from personal 7 Other investment income ~~~~~~~~~~~~~~ 8 Gain or (loss) from sales of assets other 10 Gross profit or (loss) from sales of inventory 11 Other revenue: a c d Fees and contracts from government agencies ~~~ Memership dues and assessments ~~~~~~~~~ investments ~~~~~~~~~~~~~~~~~~~~ Det-financed property ~~~~~~~~ ~~~~~~~~~~~~~ Not det-financed property ~~~~~~~~~~~~ property ~~~~~~~~~~~~~~~~~~~~~ than inventory ~~~~~~~~~~~~~~~~~~~ Net income or (loss) from special events ~~~~~~~ ~~~~~ (See worksheet in line 1 instructions to verify calculations.) art VI-B THE WINTHRO ROCKEFELLER FOUNDATION Analysis of Income-roducing Activities Unrelated usiness income Excluded y section 51, 51, or 514 (a) (c) () Exclusion (d) Business code Amount code Amount 14 48, ,74, , ,111. Relationship of Activities to the Accomplishment of Exempt urposes (e) Related or exempt function income age 1 e 1 Sutotal. Add columns (), (d), and (e) ~~~~~~~~,68, Total. Add line 1, columns (), (d), and (e) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 1,68,618. Line No. < Explain elow how each activity for which income is reported in column (e) of art VI-A contriuted importantly to the accomplishment of the foundation's exempt purposes (other than y providing funds for such purposes) Form 0-F (016) THE WINTHRO ROCKEFELLER FO 06101

13 Form 0-F (016) THE WINTHRO ROCKEFELLER FOUNDATION age 1 art VII Information Regarding Transfers To and Transactions and Relationships With Noncharitale Exempt Organizations 1 Did the organization directly or indirectly engage in any of the following with any other organization descried in section 501(c) of Yes No the Code (other than section 501(c)() organizations) or in section 57, relating to political organizations? a c Transfers from the reporting foundation to a noncharitale exempt organization of: (1) Cash ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ () Other assets~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Other transactions: (1) Sales of assets to a noncharitale exempt organization ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ () urchases of assets from a noncharitale exempt organization ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ () Rental of facilities, equipment, or other assets ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ (4) Reimursement arrangements ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ (5) Loans or loan guarantees ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ (6) erformance of services or memership or fundraising solicitations ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Sharing of facilities, equipment, mailing lists, other assets, or paid employees ~~~~~~~~~~~~~~~~~~~~~~~~~~~~ d If the answer to any of the aove is "Yes," complete the following schedule. Column () should always show the fair market value of the goods, other assets, or services given y the reporting foundation. If the foundation received less than fair market value in any transaction or sharing arrangement, show in column (d) the value of the goods, other assets, or services received. (a) Line no. () Amount involved (c) Name of noncharitale exempt organization (d) Description of transfers, transactions, and sharing arrangements N/A 1a(1) 1a() 1(1) 1() 1() 1(4) 1(5) 1(6) 1c a Is the foundation directly or indirectly affiliated with, or related to, one or more tax-exempt organizations descried in section 501(c) of the Code (other than section 501(c)()) or in section 57? ~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes No If "Yes," complete the following schedule. (a) Name of organization () Type of organization (c) Description of relationship N/A Sign Here aid reparer Use Only Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the est of my knowledge and elief, it is true, correct, and complete. Declaration of preparer (other than taxpayer) is ased on all information of which preparer has any knowledge. May the IRS discuss this return with the preparer shown elow (see instr.)? COFO = = Yes No Signature of officer or trustee Date Title rint/type preparer's name reparer's signature Date Check if TIN self- employed MICHELLE MANN 0/1/ Firm's name JMS CO, LLC Firm's EIN Firm's address 1100 CANTRELL ROAD, SUITE 01 LITTLE ROCK, AR 71 hone no Form 0-F (016) THE WINTHRO ROCKEFELLER FO 06101

14 CONTINUATION FOR 0-F, ART IV THE WINTHRO ROCKEFELLER FOUNDATION AGE 1 OF art IV Capital Gains and Losses for Tax on Investment Income (a) List and descrie the kind(s) of property sold, e.g., real estate, () How acquired (c) Date acquired (d) Date sold - urchase -story rick warehouse; or common stock, 00 shs. MLC Co. D - Donation (mo., day, yr.) (mo., day, yr.) 1a ADVISORY-SHORT TERM (SEE STMT 15D) ADVISORY-LONG TERM (SEE STMT 15D) c BLACKROCK-SHORT TERM (SEE STMT 15I) d BLACKROCK-SHORT TERM (SEE STMT 15I) e RANGER-SHORT TERM (SEE STMT 15H) f RANGER-LONG TERM (SEE STMT 15H) g MFB NTGI-QM COM DAILY (SEE STMT 15E) h MFB NTGI-QM COM DAILY (SEE STMT 15E) i MFB NTGI-QM COM DAILY (SEE STMT 15E) j MFB NTGI COMMON DAILY (SEE STMT 15E) k MFB NTGI-QM COM DAILY (SEE STMT 15E) l MFB NTGI-QM COM DAILY (SEE STMT 15E) m MFB NTGI COMMON DAILY (SEE STMT 15E) n MFB NTGI COMMON DAILIY (SEE STMT 15E) o MFB NTGI-QM COM DAILY (SEE STMT 15E) a c d e f g h i j k l m n o a c d e f g h i j k l m n o (e) Gross sales price (f) Depreciation allowed (g) Cost or other asis (h) Gain or (loss) (or allowale) plus expense of sale (e) plus (f) minus (g) 51,7. 611,5. -8,588. 1,8,8. 1,088, ,68. 6,15. 7, ,08.,07, ,087,16. -1,04,55. 1,656,7. 1,578, ,88.,48,617. 1,511,81 76, ,56. 60, ,700,00 1,65, ,6. 4,54. 4, ,. 54, ,47. 1,147. 5, 1,157, ,80. 58,64. 1,45,678. 1,4,1 10,768. 1,4. 1,4. 45,05. 45,05. (i) F.M.V. as of 1/1/6 (j) Adjusted asis as of 1/1/6 (k) Excess of col. (i) over col. (j), if any If gain, also enter in art I, line 7 Capital gain net income or (net capital loss) ~~ ~~~~~~ If (loss), enter "-0-" in art I, line 7 Complete only for assets showing gain in column (h) and owned y the foundation on 1/1/6 Net short-term capital gain or (loss) as defined in sections 1(5) and (6): If gain, also enter in art I, line 8, column (c). If (loss), enter "-0-" in art I, line 8 i j p m o (l) Losses (from col. (h)) Gains (excess of col. (h) gain over col. (k), ut not less than "-0-") -8, , ,08. -1,04,55. 77,88. 76, , , 58,64. 10,768. 1,4. 45, THE WINTHRO ROCKEFELLER FO 06101

15 CONTINUATION FOR 0-F, ART IV THE WINTHRO ROCKEFELLER FOUNDATION AGE OF art IV Capital Gains and Losses for Tax on Investment Income (a) List and descrie the kind(s) of property sold, e.g., real estate, () How acquired (c) Date acquired (d) Date sold - urchase -story rick warehouse; or common stock, 00 shs. MLC Co. D - Donation (mo., day, yr.) (mo., day, yr.) 1a MFB NTGI-QM COM DAILY (SEE STMT 15E) MFB NTGI COMMON DAILIY (SEE STMT 15E) c MFB NTGI-QM COM DAILY (SEE STMT 15E) d MFB NTGI-QM COM DAILY (SEE STMT 15E) e ARTISAN- LONG TERM (SEE STMT 15K) f GMO- SHORT TERM (SEE STMT 15J) g GMO- LONG TERM (SEE STMT 15J) h CBRE- SHORT TERM (SEE STMT 15B) i CBRE- LONG TERM (SEE STMT 15B) j IMCO- SHORT TERM (SEE STMT 15C) k IMCO- LONG TERM (SEE STMT 15C) l HERNDON- SHORT TERM (SEE STMT 15F) m HERNDON- LONG TERM (SEE STMT 15F) n COMMUNITY- SHORT TERM (SEE STMT 15M) o COMMUNITY- LONG TERM (SEE STMT 15M) a c d e f g h i j k l m n o a c d e f g h i j k l m n o (e) Gross sales price (f) Depreciation allowed (g) Cost or other asis (h) Gain or (loss) (or allowale) plus expense of sale (e) plus (f) minus (g) 7, ,461. 1, , ,76. 10,76. 87,87. 87,87. 00,00 18, , ,75. 55,46. 1,47. 1,701,86. 1,774,57. -1,07,74.,7,58.,5,5. 1,06,068,886. 1,58, ,7.,05,1.,06, ,716. 5,8,071. 6,06, ,07.,0,04.,074, ,74. 4,57,447.,10,464. 1,61,8. 87, , ,41,8. 4,8,40.,87. (i) F.M.V. as of 1/1/6 (j) Adjusted asis as of 1/1/6 (k) Excess of col. (i) over col. (j), if any If gain, also enter in art I, line 7 Capital gain net income or (net capital loss) ~~ ~~~~~~ If (loss), enter "-0-" in art I, line 7 Complete only for assets showing gain in column (h) and owned y the foundation on 1/1/6 Net short-term capital gain or (loss) as defined in sections 1(5) and (6): If gain, also enter in art I, line 8, column (c). If (loss), enter "-0-" in art I, line 8 i j p m o (l) Losses (from col. (h)) Gains (excess of col. (h) gain over col. (k), ut not less than "-0-") -7, , ,76. 87, ,81. 1,47. -1,07,74. 1,06 540, , , ,74. 1,61, , THE WINTHRO ROCKEFELLER FO 06101

16 CONTINUATION FOR 0-F, ART IV THE WINTHRO ROCKEFELLER FOUNDATION AGE OF art IV Capital Gains and Losses for Tax on Investment Income (a) List and descrie the kind(s) of property sold, e.g., real estate, () How acquired (c) Date acquired (d) Date sold - urchase -story rick warehouse; or common stock, 00 shs. MLC Co. D - Donation (mo., day, yr.) (mo., day, yr.) 1a MESIROW- LONG TERM (SEE STMT 15L) BRECKINRIDGE- SHORT TERM (SEE STMT 15A c OAKVIEW- SHORT TERM (SEE STMT 15G) d RAVENEUR- SHORT TERM (SEE STMT 15N e /T: MONDRIAN- ST (SEE STMT 16A) f /T: MONDRIAN- LT (SEE STMT 16A) g /T: DIAMOND STATE VENTURES II LT (SEE STMT 16B) h /T: RENAISSANCE ST (SEE STMT 16H) i /T: RENAISSANCE LT (SEE STMT 16H) j /T: NEWTYN ST (SEE STMT 16I) k /T: NEWTYN LT (SEE STMT 16I) l CAITAL GAINS DIVIDENDS a c d e f g h i j k l m n o a c d e f g h i j k l m n o (e) Gross sales price (f) Depreciation allowed (g) Cost or other asis (h) Gain or (loss) (or allowale) plus expense of sale (e) plus (f) minus (g) 6,87,77. 6,700,00 17,77. 6,70. 6, , ,8. -7, ,74. 41,1 -,167. 5,41. -5,41.,74. -,74.,81.,81.,441.,441. 1,785. 1,785.,08,08 5, , , ,451. (i) F.M.V. as of 1/1/6 (j) Adjusted asis as of 1/1/6 (k) Excess of col. (i) over col. (j), if any If gain, also enter in art I, line 7 Capital gain net income or (net capital loss) ~~ ~~~~~~ If (loss), enter "-0-" in art I, line 7 m n o Complete only for assets showing gain in column (h) and owned y the foundation on 1/1/6 Net short-term capital gain or (loss) as defined in sections 1(5) and (6): If gain, also enter in art I, line 8, column (c). If (loss), enter "-0-" in art I, line 8 i j p m o (l) Losses (from col. (h)) Gains (excess of col. (h) gain over col. (k), ut not less than "-0-") N/A 17, ,711. -, ,41. -,74.,81.,441. 1,785.,08-5, ,451. 6, THE WINTHRO ROCKEFELLER FO 06101

17 Schedule B (Form 0, 0-EZ, or 0-F) Department of the Treasury Internal Revenue Service Name of the organization Schedule of Contriutors Attach to Form 0, Form 0-EZ, or Form 0-F. Information aout Schedule B (Form 0, 0-EZ, or 0-F) and its instructions is at OMB No Employer identification numer Organization type(check one): THE WINTHRO ROCKEFELLER FOUNDATION Filers of: Section: Form 0 or 0-EZ 501(c)( ) (enter numer) organization Form 0-F 447(a)(1) nonexempt charitale trust not treated as a private foundation 57 political organization 501(c)() exempt private foundation 447(a)(1) nonexempt charitale trust treated as a private foundation 501(c)() taxale private foundation Check if your organization is covered y the General Rule or a Special Rule. Note: Only a section 501(c)(7), (8), or (10) organization can check oxes for oth the General Rule and a Special Rule. See instructions. General Rule For an organization filing Form 0, 0-EZ, or 0-F that received, during the year, contriutions totaling 5,000 or more (in money or property) from any one contriutor. Complete arts I and II. See instructions for determining a contriutor's total contriutions. Special Rules For an organization descried in section 501(c)() filing Form 0 or 0-EZ that met the 1/% support test of the regulations under sections 50(a)(1) and 170()(1)(A)(vi), that checked Schedule A (Form 0 or 0-EZ), art II, line 1, 16a, or 16, and that received from any one contriutor, during the year, total contriutions of the greater of (1) 5,000 or () % of the amount on (i) Form 0, art VIII, line 1h, or (ii) Form 0-EZ, line 1. Complete arts I and II. For an organization descried in section 501(c)(7), (8), or (10) filing Form 0 or 0-EZ that received from any one contriutor, during the year, total contriutions of more than 1,000 exclusively for religious, charitale, scientific, literary, or educational purposes, or for the prevention of cruelty to children or animals. Complete arts I, II, and III. For an organization descried in section 501(c)(7), (8), or (10) filing Form 0 or 0-EZ that received from any one contriutor, during the year, contriutions exclusively for religious, charitale, etc., purposes, ut no such contriutions totaled more than 1,00 If this ox is checked, enter here the total contriutions that were received during the year for an exclusively religious, charitale, etc., purpose. Don't complete any of the parts unless the General Rule applies to this organization ecause it received nonexclusively religious, charitale, etc., contriutions totaling 5,000 or more during the year ~~~~~~~~~~~~~~~ Caution: An organization that isn't covered y the General Rule and/or the Special Rules doesn't file Schedule B (Form 0, 0-EZ, or 0-F), ut it must answer "No" on art IV, line, of its Form 0; or check the ox on line H of its Form 0-EZ or on its Form 0-F, art I, line, to certify that it doesn't meet the filing requirements of Schedule B (Form 0, 0-EZ, or 0-F). LHA For aperwork Reduction Act Notice, see the Instructions for Form 0, 0-EZ, or 0-F. Schedule B (Form 0, 0-EZ, or 0-F) (016)