Return of Private Foundation OMB No 1545-0052 F... eeo-PF or Section 4947(a)( 1) Trust Treated as Private Foundation > Do not enter social security numbers on this form as it may be made public. . 2014 DApartment 01 the Treasury Internal Revenue Serwce > Information about Form 990-PF and its separate Instructions is 3W W For calendar year 2014 or tax year beginning , and ending
Name 01 foundation A Employer identification number
THE HARRY FRANK GUGGENHEIM FOUNDATION 13-6043471
Number and street (or P 0 box number it mail is not delivered to street address) Room/suns B Telephone number 25 WEST 53RD STREET 16TH FLOOR 646-428-0971
City or town, state or province, country. and ZIP or torelgn postal code c it exemption application is pending, check here _ ,EJ NEW YORK, NY 10019 6 Check all that apply; El Initial return El Initial return 01a former public charity D 1. Foreign organizations, check here .>E] [II Final return [3 Amended return 2. Foreign organizations meeting the 85% test. E1 Address change '3 Name change check here and attach computation >121 H Check type of organization; Lj Section 501(c)(3) exempt private foundation E It private foundation status was terminated [3 Section 4947(a)(1) nonexempt charitable trust [X] Other taxable private foundation under section 507(b)(1)(A), check here _ HZ]
I Fair market value of all assets at end of year J Accounting method; 1;] Cash LJ Accrual F It the foundation is in a 60-month termination (from Part II, col. (c), line 16) [Z] Other (speCIfy) MODIFIED CASH under section 507(b)(1)(B), check here D ,$ 6 1 I 7 4 3 , 0 0 8 . (Part I, column (d) must be on cash baSlS.)
m92.122.13.291;massesmaw"0* Analysis of Revenue and Expenses 4182351111 (")"ii'ciiniitmem (719.153.th "at .1 54.24.445811 Disbursements
1 Contributions, gifts, grants, etc., received
2 Check>m lithe ioundationis notrequned to attach Sch B 3 31.512.32.231? 3" mm'm'? 4 DIVidends and interest from securitles 9 9 7 , 0 0 8 . 9 9 2 , 8 0 3 . 9 9 7 , 0 0 8 . STATEMENT 1
5a Gross rents
b Net rental income or (loss)
0 63 Net gain or (Ioss)from sale of asses not on line 10 . 4 I 6 1 5 I 8 3 6 o E b 323.345.337.2'3'0'8" 12 . 189 . 895 -
EL? 3 7 Capital gain net income (from Part IV. line 2) 4 , 6 1 5 , 8 3 6 0 Si 1 8 Netshort-term capital gain 0 .
G; 9 Income modttications m 1.. .88..
> 0 Less Cost of goods sold
5) c Gross profit or (loss) E; 11 Otherincome 254,989. 246,068. 254,989.STATEMENT 2 Lu 12 Total.AddlInes1thrbugh11 5,867,833. 5,854,707. 1,251,997.
2; 13 Compensationciomcers,directors.trustees,etc 766,682. 81,379. 82,201. 684,481. 3 14 Otheremployee salaries and wages 218 , 503 . 0 . 0 . 218 , 503 . C 15 Pensmnplans,employeebenefits 255,039- 17.902. 18,083. 236,956. 015g tsaLegm%SMT 3" 129,511. 32,055. 32,378. 97,133. g. oincoummliteesCactV-Jisms 4 33,211. 8,220. 8,303. 24,908. 111 colther otessmnanees STMTB. 311,631. 233,861. 236,223. 75,408. 317 "1565* ",ngrpngl; 191 39,368. 38,974. 39,368. 0. E13 Tafeg NUV U U 8978131th 6 77,024. 15,392. 15,547. 61,477.
.2 19 Digprecianamend-Gapletiprt'7'fjf'a _' Ti 2 6 I 875 - 3 I 9 91 . 4 I 0 31 - 'E 20 OgcupancijGDENLBin,__-' 349,129. 51,846. 52,370. 296,759. 2 21 Tramumeeiaesjaaaaeenngs 301,729. 20,154. 20,358. 281,371.
E 22 Printing and publications . gas Otherexpenses STMT 7 580,728. 416,649. 420,857. 159,872.
'73 24 Total operating and administrative i," expenses.Addlines13through23 3,089,431. 920,423. 929,719. 2,136,868. 0 25 Contributions, gifts, grants paid 1 , 3 56 , 00 3 . 1 , 3 6 6 , 0 0 3 .
26 Total expenses and disbursements. Addline524and25 4,455,434. 920,423. 929,719. 3,502,871. 27 Subtract line 26 from line 12; a Excess of revenue over expenses and disbursements _ _ 1 I 4 1 2 I 3 9 9 0
b Net investment income ninegative, enter -o-) 4 , 9 3 4 , 28 4 . c Adiusted net income or negative. enter .0-) 3 2 2 , 2 7 8 . 1 11-24-14 LHA For Paperwork Reduction Act Notice, see Instructions. Form-PF (2014) V
. A ' , I
Form ego-Pr 12014) THE HARRY FRANK GUGGENHEIM FOUNDATION 1 3 - 6 0 4 3 4 7 1 Page 2
Balance Sheets Attached schedules and amountsm the description Beginning of year End of year
column should befor end-of-yeai amounts only (a) Book Value (b) Book Value (c) Fair Market Value
Cash - non-interest-bearing 126,419. 1,888,377. 1,888,377.
2 Savmgs and temporary cash Investments 3,284,583. 4,154,957. 4,154,957.
3 Accounts receivable b
Less. allowance for doubtful accounts D
4 Pledges receivable b
Less; allowance for doubtful accounts D
5 Grants receivable
6 Receivables due from officers, directors, trustees, and other disqualified persons
7 Othernotes and loans recewable > Less; allowance for doubtful accounts P
8 Inventories for sale or use
9 Prepaid expenses and deferred charges 56,242. 55,959. 55,959.
Assets 103 Investments - US. and state government obligations STMT 1 0 3,256,557. 3,587,603. 3,587,603.
b Investments - corporate stock
c Investments - corporate bonds STMT 1 1 3,133,474. 3,308,018. 3,308,018.
11 Investments -Iand, burldings,and equipment bass >
Less accumulated depreciation b
12 Investments - mortgage loans
13 Investments - other STMT 12 52,001,962. 48,734,037. 48,734,037.
14 Land, bmldings, and equment; ba5is P 502,569. Less accumulated depreciation STMT 9 > 488,512. 38,576. 14,057. 14,057.
15 Other assets (describe b
16 Total assets (to be completed by all filers - see the instructions Also, see page 1, item I) 61,897,813. 61,743,008. 61,743,008.
17 Accounts payable and accrued expenses
18 Grants payable
19 Deferred revenue
20 Loans from officers, directors, trustees, and other disqualified persons
21 Mortgages and other notes payable
Liabilities 22 Other liabilities (describe b
23 Total liabilities(add lines 17through 22) 0. 0.
Foundations that follow SFAS 117, check here D IE and complete lines 24 through 26 and lines 30 and 31. 24 Unrestricted 61,872,813. 61,743,008.
25 Temporarilyrestricted 25,000. 0.
Balances 26 Permanently restricted
Foundations that do not follow SFAS 117, check here >IZI
Fund and complete lines 27 through 31.
or 27 Capital stock, trust prinCipal, or current funds
28 Paid-in or capital surplus, or land, bldg., and eqmpment fund
Assets 29 Retained earnings, accumulated income, endowment, or other funds
30 Total net assets or fund balances 61,897,813. 61,743,008.
Net 31 Total liabilities and net assets/fund balances 61,897,813. 61,743,008.
Analysis of Changes in Net Assets or Fund Balances
1 Total net assets or fund balances at beginning of year - Part II, column (a), line 30 (must agree With end-of-year figure reported on prior year's return) 61,897,813.
Enter amount from Part I, line 27a 1,412, 399.
Other increases not included in line 2 (itemize) D 0.
Add lines 1, 2, and 3 63, 310,212. Decreases not included in line 2 (itemize) b SEE STATEMENT 8 1,567,204. 61,743,008. Total net assets or fund balances at end of year (line 4 minus line 5) - Part II, column (b), line 30 aim-kWh)... GUI-563M Form990-PF(2014) 423511 11-24-14
4 I I '
Form BSD-PF (2014) THE HARRY FRANK GUGGENHEIM FOUNDATION 1 3 - 6 0 4 3 4 7 1 Page 3 [ Part M Capital Gains and Losses for Tax on Investment Income 1 (3) mt and descnbe the kInd(s) of property sold (e.g , real estate, (214110271 racchqaugged (c) Date acqurred (d) Date sold 2-story brrck warehouse; or common stock, 200 shs. MLC Co.) D - DonatIon (mo., day, yr.) (010-, day, yr)
ta
b SEE ATTACHED STATEMENT
c
d
e
(e) Gross sales prIce (t) DepreCIatIon allowed (9) Cost or other basrs (h) GaIn or (loss) (or allowable) plus expense of sale (e) plus (I) minus (9)
a
b
c
d e 12,189,896. 7,574,060. 4,615,836. Complete only for assets showmg own In column (h) and owned by the foundatIon on 12/31/69 (I) GaIns (Col. (h) gam mInus . (nAdmsmdMas (nExmssmcm(n Cmikhbmnm'wsman010' (I) F.M V. as of 12/31/69 as of 12/31/59 over col. (1), I, any Losses (from col. (h))
a
b
c
d 9 4,615,836.
ll gaIn, also enter "1 Part I, Me 7 2 CapItal gaIn net Income or (net capItaI loss) It (loss), enter -0- In Part I, Me 7 2 4 , 6 l 5 , 8 3 6 .
3 Net short-term capItaI mm or (loss) as defIned In sectIons 1222(5) and (6); If gaIn, also enter In Part I, We 8, column (0). ll (loss), enter -0- In Part I, Me 8 3 0 . I Part U Quallfication Under Section 4940(e) for Reduced Tax on Net Investment Income
(For optlonal use by domestIc pnvate foundatIons subject to the sectlon 4940(a) tax on net Investment Income.)
If sectIon 4940(d)(2) applles, leave thIs part blank
Was the foundatlon lIable lor the sectlon 4942 tax on the dlstnbutable amount of any year In the base perIod'? [I] Yes [XI No If "Yes," the foundatlon does not qualIty under sectlon 4940(e). Do not complete thIs part 1 Enter the approprlate amount In each column for each year; see the InstructIons before makIng any entnes.
Calendar year Base (or pemd tax year years begInnmg In) Adjusted qualIfyIng (b) dIstrIbutIons Net value of noncharItable-use (c) assets (col. (0)DlStrlbnggn dIVIded by ratIo col. (0)) 2013 3,445,913. 58,681,015. .058723 2012 3,107,814. 56,739,539. .054773 2011 2,741,760. 58,231,510. .047084 2010 2,609,201. 57,482,072. .045392 2009 2,630,411. 53,411,421. .049248
2 Total of Me 1,c0lumn(d) . 255220 3 Average dIstrIbutIon who for the 5-year base penod - dIvrde the total on Me 2 by 5, or by the number of years the foundation has been In eXIstence If less than 5 years . 0 5 l 0 4 4
4 Enter the net value of nonchantable-use assets for 2014 from Part X, We 5 60,929,617.
5 MultIply Me 4 by We 3 3,110,091.
6 Enter 1% of net Investment Income (1% of Part I, Me 270) 49,343.
7 Add lInes 5 and 6 3,159,434.
8 Enter qualIfyIng dIstrIbutIons from Part XII, Me 4 3,502,871. If Me 8 Is equal to or greater than Me 7, check the box In Part VI, Me 10, and complete that part usrng a 1% tax rate. See the Part VI InstructIons. 423521 11-24-14 Form 990-PF (2014)
Form eeo- PF (2014) THE HARRY FRANK GUGGENHEIM FOUNDATION l 3- 6 0 4 34 7 l Page 4 LPart VI I Excise Tax Based on Investment Income Section 4940(a), 4940(b), 4940(e), or 4948- see instructions)
1a Exempt operating foundations described In section 4940(d)(2), check here D l_] and enter "WA" on line 1. Date of ruling or determination letter; (attach copy of letter it necessary-see instructions) I b Domestic foundations that meet the section 4940(e) reqUIrements In Part V, check here b [1' and enter 1% 1 4 9 , 3 4 3 .
I otPanl,hne27b c All other domestic foundations enter 2% of line 27b. Exempt foreign organizations enter 4% of Part I, line 12, col. (b). 2 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) 2 0 . 3 AddlineSIandZ _ 3 49,343.
4 Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) 4 0 . 5 Tax based on investment income. Subtract line 4 from line 3. l1 zero or less, enter -0- 5 4 9 , 3 4 3 .
6 Credits/Payments; a 2014 estimated tax payments and 2013 overpayment credited to 2014 6a 7 0 , 8 6 4 .
bEmmpHommnomammhmw-wammddMSomce 6b
c Tax paid With application for exten3ion of time to file (Form 8868) Be
d Backup Withholding erroneously Withheld 6d
7 Total credits and payments. Add lines Ga through 6d 7 7 0 , 8 6 4 .
Enter any penaltytor underpayment of estimated tax. Check here D It Form 2220 is attached 8
9 Tax due. ltthe total of lines 5 and 8 is more than line 7, enter amount owed p 9
10 Overpayment. It line 7 is more than the total of lines 5 and 8, enter the amount overpaid b 10 2 1 , 5 2 l . Enter the amount of line 10 to be. Credited to 2015 estimated tax b 2 l , 5 2 1 .I Retundedb 11 O . [Fart Vll- A [ Statements Regarding Activities
1aDmmgmeMmeymdmeMUManmwmmtommwmemwnMmeHMeonmwm$anmdmnpmhmmmormmwmem Yes NO any political campaign? 1a X
b Did it spend more than $100 during the year (either directly or indirectly) for political purposes (see instructions for the definition)? 1b X If the answer IS "Yes" to to or 1b- attach a detailed description of the actiwties and copies of any materials published or distributed by the foundation In connection With the act/Vities. c Did the foundation file Form 1120-POL forthis year? 1c X
d Enter the amount (it any) of tax on political expenditures (section 4955) Imposed during the year. (1) 0n the foundation. b $ 0 . (2) On foundation managers. b $ 0 . e Enterthe reimbursement (it any) paid by the foundation during the year for political expenditure tax Imposed on foundation managers. b $ 0 . 2 Has the foundation engaged In any activmes that have not preVIously been reported to the IRS? 2 X If "Yes," attach a detailed description of the actiVItIes 3 Has the foundation made any changes, not preVIously reported to the IRS, In Its governing Instrument, articles of incorporation, or bylaws, or other Slmllal' instruments? If "Yes," attach a conformed copy of the changes 3 X
4a Did the foundation have unrelated business gross income of $1,000 or more during the year? 4a X b II"Yes," has it tiled a tax return on Form 990-Tfor this year? 4b X
5 Was there a liqUIdation, termination, dissolution, or substantial contraction during the year? 5 X If "Yes," attach the statement reqwred by General Instruction T. 6 Are the requuements of section 508(e) (relating to sections 4941 through 4945) satisfied either 0 By language In the governing instrument, or 0 By state legislation that effectively amends the governing instrument so that no mandatory directions that conflict With the state law rmmmmmemwmmgmmmmmw 6 X 7 Did the foundation have at least $5,000 In assets at any time during the year? If "Yes," complete Part II, col. (c), and Part XV 7 X
8aBMHMgameMhmemmmnmeWWMMmhmummewmeWMM)b
NY
bIHMaMWHmW5HOMeZMsmHmmmmnmmSMdamwowmm9%?meeNmeGmmmwrM$wmm of each state as reqmred by General Instruction G9 If "No, " attach explanation 8b X 9 Is the foundation claiming status as a private operating foundation Within the meaning of section 4942(I)(3) or 4942(I)(5) for calendar year 2014 or the taxable year beginning in 2014 (see instructions for Part XIV)? If "Yes," complete Part XIV 9 X 10 Did any persons become substantial contributors during the tax year? ii "Yes," attach a schedule listing their names and addresses to X Form 990-PF (2014)
423531 11-24-14
Form tam-$2014) THE HARRY FRANK GUGGENHEIM FOUNDATION l 3 - 6 0 4 3 4 7 l Page 5 LPart VII-M Statements Regarding Activities (continued)
11 At any time during the year, did the foundation, directly or indirectly, own a controlled entity Within the meaning of section 512(b)(13)9 If "Yes," attach schedule (see instructions) 11
12 Did the foundation make a distribution to a donor adwsed fund over which the foundation or a disqualified person had adVIsory priVileges'? If "Yes," attach statement (see instructions) 12
13 Did the foundation comply With the public inspection requnements for its annual returns and exemption application? 13 X
Web5ite address D W . HFG . ORG
14 The books are in care of b DEIRDRE HAMILL Telephone no.>646-428-0971 Locatedat>25 W 53RD STREET - 16TH FLOOR, NEW YORK, NY ZIP+4 >10019
15 Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041 - Check here > and enter the amount of tax-exempt interest received or accrued during the year bl 15 j N / A
16 At any time during calendar year 2014, did the foundation have an interest in or 3 Signature or other authority over a bank, Yes securities, or other finanCIal account in a foreign country? 16
See the instructions for exceptions and filing reqwrements for FinCEN Form 114, (formerly TD F 90-22 1) If "Yes," enter the name of the foreign country b I Part V-I'l-B I Statements Regarding Activities for W_hich Form 4720 May Be Required
File Form 4720 if any item is checked in the "Yes" column. unless an exception applies. Yes No
13 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? D Yes No (2) Borrow money from, lend money to, or othenNise extend credit to (or accept it from) adisquallfied person? II] Yes No (3) Furnish goods, serwces, orfaCilities to (or accept them from)a disqualified person? II] Yes No (4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person? Yes CI No (5) Transfer any income or assets to a disqualified person (or make any of either available for the benefit or use of a disqualified person)? '2] Yes No (6) Agree to pay money or property to a government offICIal'? (Exception Check "No" if the foundation agreed to make a grant to or to employ the offi0ial for a period after termination of government serVice, if terminating Within 90 days.) [3 Yes No b If any answer is "Yes" to 1a(1)-(6), did any of the acts fail to qualify under the exceptions described in Regulations section 53 4941(d)-3 or in a current notice regarding disaster aSSIStance (see instructions)? 1b Organizations relying on a current notice regarding disaster a55istance check here D [j c Did the foundation engage in a prior year in any of the acts described in 1a, other than excepted acts, that were not corrected before the first day of the tax year beginning in 20149 1c 2 Taxes on failure to distribute income (section 4942) (does not apply for years the foundation was a private operating foundation defined in section 4942(])(3) or 4942(i)(5)); a At the end of tax year 2014, did the foundation have any undistributed income (lines 6d and 6e, Part XIII) for tax year(s) beginning before 20147 D Yes LXI No If "Yes," list the years b , , ,
b Are there any years listed in 2a for which the foundation is notapplying the prowsrons of section 4942(a)(2) (relating to incorrect valuation of assets) to the year's undistributed income? (If applying section 4942(a)(2) to all years listed, answer "No" and attach statement - see instructions) N / A 2b c If the provrsmns of section 4942(a)(2) are being applied to any of the years listed in 2a, list the years here. D . , , 3a Did the foundation hold more than a 2% direct or indirect interest in any busmess enterprise at any time during the year? E] Yes No b If "Yes," did it have excess busmess holdings in 2014 as a result of (1)any purchase by the foundation or disqualified persons after May 26, 1969; (2)the lapse of the 5-year period (or longer period approved by the Commissmner under section 4943(c)(7)) to dispose of holdings acqmred by gift or bequest, or (3) the lapse of the 10-, 15-, or 20-year first phase holding period? (Use Schedule C, Form 4720, to determine if the foundation had excess busmess holdings in 2014 ) N/ A 3b 4a Did the foundation invest during the year any amount in a manner that would Jeopardize its charitable purposes? 4a X b Did the foundation make any investment in a prior year (but after December 31, 1969) that could jeopardize its charitable purpose that had not been removed from ieopardy before the first day of the tax year beginning in 20149 4b X Form 990-PF (2014)
423541 11-24-14
Form 990-PF (2014) THE HARRY FRANK GUGGENHEIM FOUNDATION 1 3 - 6 0 4 3 4 7 1 Page 6 [PartVW-B I Statements Regarding Activities for which Form 4720 May Be Required (continued)
5a During the year did the foundation pay or incur any amount tot 0 (1) Carry on propaganda, or otherWIse attempt to Influence legislation (section 4945(e))7 E] Yes No (2) Influence the outcome of any speCIfic public election (see section 4955), or to carry on, directly or indirectly, any voter registration drive? '2] Yes IX] No (3) Provrde a grant to an indiwdual for travel, study, or other Similar purposes? Yes D No (4) Provrde a grant to an organization other than a charitable, etc., organization described in section 4945(d)(4)(A)9 (see instructions) Yes CI No (5) Provrde for any purpose other than religious, charitable, seientific, literary, or educational purposes, or for the prevention of cruelty to children or animals? [3 Yes No b If any answer is "Yes" to 5a(1)-(5), did any of the transactions tail to qualify under the exceptions described in Regulations section 53.4945 or in a current notice regarding disaster assrstance (see instructions)? 5b X
Organizations relying on a current notice regarding disaster assrstance check here > E] c If the answer is "Yes" to question 5a(4), does the foundation claim exemption from the tax because it maintained expenditure responsrbility for the grant? Yes El No If "Yes, " attach the statement required by Regulations section 53 4945-5(d). 6a Did the foundation, during the year, receive any funds, directly or indirectly, to pay premiums on a personal benefit contract7 E] Yes No b Did the foundation, during the year, pay premiums, directly or indirectly, on a personal benefit contract? so X
If "Yes" to 6b, file Form 8870 7a At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction? [I] Yes No
b If "Yes," did the foundation receive any proceeds or have any net income attributable to the transaction? N/A 7b I Part VI" I Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees, and Contractors
1 List all officers, directors, trustees, foundation managers and their compensation.
(b) Title, and avera e c Contnbunonsio (e) benefit plans accou (a) Name and address hours per week devo ed It not aid, deferred to p05ition (enterEO- allowances
766,682. 18,571. 0.
of five h included on line 1 none, enter (b) Title, and average Contributions to (e) Ex ense benelil plans accoun , other (a) Name and address of each employee paid more than $50,000 hours er week (c) Compensation deterred devoted o posmon allowances JEL - ENHEIM . PR ICER
T ET- TH , NEW 40.00 180, 917 . 64,493. 0o
T number of other em Form 990-PF (2014)
423551 11-24-14
Form 99b-PF3014) THE HARRY FRANK GUGGENHEIM FOUNDATION 1 3 - 6 0 4 3 4 7 1 Page 7 l Part W" I Information About Officers, Directors, Trustees, Foundation Managers, Highly . Paid Employees, and Contractors (continued)
3 Five highest-paid independent contractors for professional services. If none, enter "NONE."
(a) ct person more (b) Type of same (C) ENHE IM ADVI RY E . ERVICES 225,434. EGAL SERVICES 87 , 288 .
Total number of others OVGI' for serVIces
LIst the foundatIon's four largest dIrect charitable actIVItIes durIng the tax year. Include relevant statIstIcal Information such as the number of organIzatIons and other benefIcIarIes served, conferences convened, research papers produced, etc. Expenses 1 3,326,790.
Sum of -Related Investments
DescrIbe the two largest program-related Investments made by the durIng the tax year on lInes 1 and 2. Amount
1
All other program-related Investments. See Instructions. 3
Form 990-PF (2014)
423561 11-24-14
Form990-PF(2014) THE HARRY FRANK GUGGENHEIM FOUNDATION 13-6043471 Pages Part X . . I-t-_] MIDImum Investment Return (All domestic foundations must complete this part Foreign foundations, see Instructions )
1 Fair market value of assets not used (or held for use) directly In carrying out charitable, etc., purposes it Average monthly fair market value of securities 1a 5 9 , 2 4 2 , l 9 2 . b Average of monthly cash balances 1b 2 , 6 l 5 , 2 8 7 .
c Fair market value of all other assets 1c 0 . d Total(addlines 1a,b,andc) 1d 61 ,857,479.
e Reduction claimed for blockage or other factors reported on lines 1a and to (attach detailed explanation) I 1e I 0 .
2 Acqmsmon indebtedness applicable to line 1 assets 2 0 . 3 Subtractlinerromlinefd 3 61 , 857 , 479 . 4 Cash deemed held for charitable actiVities. Enter 1 1/2% of line 3 (for greater amount, see instructions) STMT l 5 4 9 2 7 , 8 6 2 . 5 Net value of noncharitable-use assets Subtract line 4 from line 3. Enter here and on Part V, line 4 5 6 0 , 9 2 9 , 6 1 7 . 6 Minimum investment return. Enter 5% of line 5 6 3 , 0 4 6 , 4 8 l . I Part XI I Distributable Amount (see instructions) (Section 4942(i)(3) and (0(5) private operating foundations and certain foreign organizafions check here > and do not complete this part.)
1 Minimum investment return from Part X, line 6 1
2a Tax on investment income for 2014 from Part VI, line 5 2a
b Income tax for 2014. (This does not include the tax from Part VI ) 2b
c Add lines 23 and 2b 2c
3 Distributable amount before adjustments. Subtract line 20 from line 1 3
4 Recoveries of amounts treated as qualifying distributions 4
5 Add lines 3 and 4 5
6 Deduction from distributable amount (see instructions) 6
7 Distributable amountas adjusted. Subtract line 6 from line 5 Enter here and on Part XIII, line 1 7
UM] Qualifying Distributions (see instructions)
1 Amounts paid (including administrative expenses) to accomplish charitable, etc., purposes; a Expenses, contributions, gifts, etc. - total from Part I, column ((1), line 26 1a 3 , 5 0 2 , 8 7 l .
b Program-related investments - total from Part lX-B 1b 0 .
2 Amounts paid to acqmre assets used (or held for use) directly in carrying out charitable, etc , purposes 2
3 Amounts set aSIde for speCific charitable proiects that satisfy the; a SUItability test (prior IRS approval requned) 3a
b Cash distribution test (attach the reqmred schedule) 3b
4 Qualifying distributions Add lines 1a through 3b. Enter here and on Part V, line 8, and Part XIII, line 4 4 3 , 5 0 2 , 8 7 1 .
5 Foundations that qualify under section 4940(e) for the reduced rate of tax on net investment income. Enter 1% of Part I, line 27b 5 4 9 , 3 4 3 . 6 Adjusted qualifying distributions. Subtract line 5 from line 4 6 3 , 4 5 3 , 5 2 8 .
Note. The amount on line 6 Will be used in Part V, column (b), in subsequent years when calculating whether the foundation qualifies for the section 4940(e) reduction of tax In those years. Form 990-PF (2014)
423571 11-24-14 10
Form QgO-PF (2014) Page 9
Undistributed Income (see instructions) . N/A
(6) (b) (c) (d) Corpus Years prior to 2013 2013 2014
1 Distributable amount for 2014 from Part Xi, line 7
2 Undistributed income, it any, as of the and 012014 a Enter amount for 2013 only
b Total for pnor years;
3 Emmribmrryom, to 20141 aFrom 2009
bFrom 2010 c From 2011 dFrom 2012 eFrom 2013
1 Total of lines 3a through e
4 Qualifying distributions for 2014 from Part XII, line 4; > $ aAppIied to 2013, but not more than line 2a
bApplied to undistributed income 01 prior years (Electron requrred - see instructions)
c Treated as distributions out of corpus (Election requrred - see instructions)
dApplied to 2014 distributable amount
e Remaining amount distributed out of corpus
5 Excess distributions carryover applied to 2014 (If an amount appears in column (d). the same amount must be shown In column (a)) 6 Enter the net total 01 each column as indicated below;
8Corpus Add lines 3f, 4c, and 43 Subtract line 5
bPrior years' undistributed income. Subtract line 4b from line 2b
c Enter the amount of prior years' undistributed income for which a notice of deficrency has been issued, or on which the section 4942(a) tax has been preVIously assessed dSubtract line Sc from line 60. Taxable amount - see instructions
e Undistributed income for 2013. Subtract line 4a from line 2a. Taxable amount - see instr.
t Undistributed income for 2014. Subtract lines 4d and 5trom Iine1 This amount must be distributed in 2015
7 Amounts treated as distributions out of corpus to satisfy requrrements imposed by section 170(b)(1)(F) or 4942(g)(3) (Election may be requued - see instructions)
8 Excess distributions carryover lrom 2009 not applied on line 5 or line 7
9 Excess distributions carryover to 2015. Subtract lines 7 and 8 from line 6a 10 Analysrs of line 9; a Excess from 2010 b Excess from 2011 c Excess from 2012 d Excess from 2013
6 Excess from 2014
m Form 990-PF (2014) l l
Form BSD-@2014) THE HARRY FRANK GUGGENHEIM FOUNDATION l 3 - 6 0 4 3 4 7 1 Page 10 mart XIV I Private Operating Foundations (see InstructIons and Part VII-A, questIon 9)
I a If the toundatIon has recered a ruIIng or determInatIon letter that It Is a prIvate operatIng foundatIon, and the ruIIng Is effectIve (or 2014, enter the date of the rulIng p 0 7 / 0 1 / 8 9
b Check box to IndIcate whether the foundatIon Is a prIvate operatIng foundatIon descrIbed In sectIon IXI 4942(I)(3) or 13 4942())(5) 2 3 Enter the lesser of the adjusted net Tax year War 3 years Income from Part I or the mInImum (a) 2014 @2013 (c) 2012 ((1)2011 (e) T0131
Investment return from Part X for eachyearlrsted 322,278. 160,055. 59,195. 0. 541,528. b85%oflIneZa 273,936. 136,047. 50,316. 0. 460,299.
0 OualItyIng dIstrIbutIons from Part XII, lIne4toreachyearIIsted 3,502,871. 3,487,019. 3,124,624. 2,741,760.12,856,274.
d Amounts Included In Me 2c not used dIrectly for actIve conduct of exempt actIVItIes 0 . 0 . 0 . O . O .
e OualrfyIng dIstrIbutIons made dIrectly tor actIve conduct of exempt actIVItIes. Subtractl1ne2dtromlme2c 3 , 502,871 . 3 , 487 , 019 . 3 , 124 , 624 . 2 , 741 , 760 . 12 , 856 , 274. 3 Complete 3a, b, or c for the alternatIve test relIed upon; a "Assets" alternatIve test - enter; (1) Value of all assets 0 .
(2) Value of assets qualIfyIng under sectIon 4942())(3)(B)(l) 0 .
b "Endowment" alternatIve test - enter 2/3 of mInImum Investment return shown In Part X, Me 6 for each year listed 2,030,987. 1,956,034. 1,891,318. 1,941,051. 7,819,390.
c "Support" alternatIve test - enter; (1) Total support other than gross Investment Income (Interest, dIVIdends, rents, payments on securItIes loans (sectIon 512(a)(5)), or royaltIes) 0 .
(2) Support from general publIc and 5 or more exempt organIzatIons as prowded In sectlon 4942(I)(3)(B)(m) 0 .
(3) Largest amount 01 support from an exempt organIzatIon 0 . (4) Gross Investment Income 0 .
I Part XV Supplementary Information (Complete this part only f 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 contrIbuted more than 2% of the total contrIbutIons wowed by the toundatron before the close of any tax year (but only If they have contnbuted more than $5,000) (See sectIon 507(d)(2).) NONE
b 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) 01 mm the foundatIon has a 10% or greater Interest. NONE 2 Information Regarding Contrrbution, Grant, Gift, Loan, Scholarship, etc., Programs; Check here D If the foundatron only makes contrIbutIons to preselected charItable organIzatIons and does not accept unsoIICIted requests for funds. If the foundatIon makes gItts, grants, etc. (see InstructIons) to IndIVIduals or organIzatIons under other condItIons, complete Items 2a, b, c, and d.
a The name, address, and telephone number or e-maII address of the person to whom applIcatIons should be addressed; KAREN COLVARD, 646-428-0971 HFG 25 W 53RD STREET , 16TH FLOOR , NEW YORK , NY 10019 b The form In thch applIcatIons should be submrtted and InformatIon and matenals they should Include; SEE ATTACHMENT B c Any sumeSSIon deadlInes; FEBRUARY 1 ST AND AUGUST lsT It Any restrIctIons or lImItatIons on awards, such as by geographIcal areas, charItable erlds, kInds 0t InstItutIons, or other factors; SEE ATTACHMENT B
423601 11-24-14 Form 990-PF (2014) 12
I Form990-PF(2014) THE HARRY FRANK GUGGENHEIM FOUNDATION 13-6043471 Page11 I Part XVI Supplementary Information (continued) 3 Grants and Contributions Paid Duringthe Year or Approved for Future Payment
i Recipient If reelpient is an indIvtdual, show any relationship to Foundatlofn Purposterg 'rant or Amount
Name and address (home or busmess) - or any substantial foundation contnbutor manager 5I'BCI ans plant 0 con n u Ion
a Pald during the year
SEE STATEMENT A NONE 1 , 3 6 SJ 0 o 3 .
Total P 3a 1,366,003,
b Approved for future payment
SEE STATEMENT c NONE 614,428.
Total P 3!) 6144428. Form 990-PF (2014) 423611 11-24-1 4
Form 990-PF (2014) THE HARRY FRANK GUGGENHEIM FOUNDATION 13-6043471 Page 12 Part XVI-A Analysis of Income-Producing Activities
Unrelated busuness Income Excluded by section 512. 513. or 514
Enter gross amounts unless otherwrse Indicated. (8) B R) (M Eigeu- (0) Related or exempt ucsggeess Amount suon Amount function Income 1 Program servrce revenue; code
a
b
c
d
e
l
9 Fees and contracts from government agenCIes
2 Membership dues and assessments
3 Interest on savmgs and temporary cash Investments
4 DlVIdendS and Interest from securities 14 997,008.
5 Net rental mom or (loss) from real estate;
a Debt-financed property
b Not debt-financed property
6 Net rental Income or (loss) from personal DFODGITV
7 Other Investment Income 900000 252 , 309.
8 GaIn or (loss) from sales of assets other than inventory 18 4,615,836.
9 Net mom or (loss) from specnal events
10 Gross profit or (loss) from sales of Inventory
11 Other revenuez a GRANT REFUNDS / b UNEXPENDED AMOUNTS 01 2,680.
c
d
e
12 Subtotal. Add columns (b), (d), and (e) 252,309. 5,615,524. 0.
13 Total. Add lme 12, columns (b), (d), and (e) 13 5,867,833. (See worksheet In lIne 13 Instructions to verIty calculations.) Part XVI-B Relationship of Activities to the Accomplishment of Exempt Purposes
Line No. Explaln below how each actIVIty for whlch Income rs reported In column (6) of Part XVI-A contributed Importantly to the accomplishment of V the foundation's exempt purposes (other than by prowdlng funds for such purposes).
11-24-14 Form 990-PF (2014) 14
. .
Form 990-P5(2014) THE HARRY FRANK GUGGENHEIM FOUNDATION 1 3 - 6 0 4 3 4 7 l Page 13 I Part XVII ) Information Regarding Transfers To and Transactions and Relationships With Noncharitable " Exempt Organizations
1 Did the organization directly or indirectly engage In any of the lollowmg With any other organization described In section 501(c) of Yes No
the Code (other than section 501(c)(3) organizations) or In section 527, relating to political organizations? a Transfers from the reporting foundation to a noncharitable exempt organization of; (1) Cash 1a(1) X
(2) Other assets 1a(2) X
b Other transactions; (1) Sales of assets to a noncharitable exempt organization 1b(1) X
(2) Purchases of assets from a noncharitable exempt organization 1b(2) X
(3) Rental of lacrlities, equrpment, or other assets 1b(3) X
(4) Reimbursement arrangements 1b(4) X
(5) Loans or loan guarantees 1b(5) X
(6) Pertormance of serVIces or membership or fundraismg solicdations 1b(6) X
c Sharing of facrlities, equrpment, mailing lists, other assets, or paid employees 1c X
d If the answer to any of the above is "Yes," complete the lollowmg schedule. Column (b) should always show the fair market value of the goods, other assets, or serVIces given by the reporting foundation. lf 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.
no nt 0 or exempt organization Description of transfers. transactions, and sharing arrangements N
2a Is the foundation directly or Indirectly affiliated With, or related to, one or more tax-exempt organizations described In section 501(c) of the Code (other than section 501(c)(3)) or In section 527? E] Yes IE No b If "Yes," complete the lollowmg schedule. (a) Name of organization (b)Type of organization (0) Description of relationship N/A
A
Under penaltie of army, I declare that l have emu 1m this return, Including accompanying schedules and statements, and to the best of my knowledge Y Sign and beliel, It Is u correct, an mplete Dec at @ l preparer (other than t yer) is has d on all Information of which preparer has any knowledge return With the preparer shown below (see Instr )? Here ) [I [((0 In > TREASURER Yes El No I u v Signature of officer or trustee Date Title Print/Type preparer's name Pre arer's Signature Date Check )_] If PTIN sell- employed Paid ROBERT R LYONS CPA m wM/na l/Ae/g P00227472 Preparer FIrm's name DMARKS PANETH LLP y I I Firm's EIN P 11-3518842 Use Only FIrm's address > 68 5 THIRD AVENUE NEW YORK, NY 10017 Phoneno. 212-503-8800 Form 990-PF (2014)
423622 11-24-14 15
, 7_ 7.7 _____is
CONTINUATION FOR 990'-PF, PART IV THE HARRY FRANK GUGGENHEIM FOUNDATION 13-6043471 PAGE 1 OF 1 a Capital Gains and Losses tor Tax on Investment Income (a) Lust and describe the krnd(s) of property sold, e.g , real estate, _ P rchase (c) Date acqurred (d) Date sold 2-story brrck warehouse; or common stock, 200 shs. MLC Co. 0 - Dlonatron (mou day, yr) (m0-, day, yr.) F A , LTD - ALL FI P AL FUND P IN
(t)Deprec1atron allowed (9) Cost or other basrs (h) Galn or (loss) (e) Gross sales price (or allowable) plus expense of sale (e) plus (1) mInus (g)
I
only for assets showrng garn In column (h) and owned by the toundatron on 12/31/69 (I) Losses (from col. (h)) (i)Ad)usted basrs (k)Excess of col (I) Garns (excess of col. (h) gain over col. (k), (i) F.M.V. as of 12/31/69 as of 12/31/59 over col (1), If any but not less than "-0-")
I
(ligaln,also enterln Part l,lrne7 ) 4 I 615 I 835 . 2 Capltal gain net Income or (net capital loss) if (loss), enter L0." In part I, lrne 7
3 Net short-term capital galn or (loss) as defined m sectrons 1222(5) and (6); It galn, also enter m Part I, We 8, column (c). If (loss), enter "--"0 In Part I, Irne 8 3 0. 423591 05-01-14 16
THE HARRY FRANK GUGGENHEIM FOUNDATION 13-6043471
FORM 990-PF DIVIDENDS AND INTEREST FROM SECURITIES STATEMENT l
CAPITAL (A) (B) (C) GROSS GAINS REVENUE NET INVEST- ADJUSTED SOURCE AMOUNT DIVIDENDS PER BOOKS MENT INCOME NET INCOME
BROWN (SILVERLAKE) 0. 0. 0. 0. 0. DREYFUS G/I FUND DIVIDEND 461,743. 0. 461,743. 461,743. 461,743. INVESTMENT PER K-l'S 370,009. 0. 370,009. 365,804. 370,009. JP MORGAN ASSET ACCOUNT 29. 0. 29. 29. 29. MCDONNEL FIXED INCOME 165,221. 0. 165,221. 165,221. 165,221. UBS FINANCIAL SERVICES 6. 0. 6. 6. 6.
TO PART I, LINE 4 997,008. 0. 997,008. 992,803. 997,008.
FORM 990-PF OTHER INCOME STATEMENT 2
(A) (B) (C) REVENUE NET INVEST- ADJUSTED DESCRIPTION PER BOOKS MENT INCOME NET INCOME
OTHER INCOME 29,434. 29,434. 29,434. OTHER PORTFOLIO INCOME PER K-l'S 222,875. 216,634. 222,875. GRANT REFUNDS / UNEXPENDED AMOUNTS 2,680. 0. 2,680.
TOTAL TO FORM 990-PF, PART I, LINE 11 254,989. 246,068. 254,989.
FORM 990-PF LEGAL FEES STATEMENT 3
(A) (B) (C) (D) EXPENSES NET INVEST- ADJUSTED CHARITABLE DESCRIPTION PER BOOKS MENT INCOME NET INCOME PURPOSES
GENERAL COUNSEL 129,511. 32,055. 32,378. 97,133.
TO FM 990-PF, PG 1, LN 16A 129,511. 32,055. 32,378. 97,133.
17 STATEMENT(S) 1, 2, 3
THE HARRY FRANK GUGGENHEIM FOUNDATION 13-6043471
FORM 990-PF ACCOUNTING FEES STATEMENT 4
(A) (B) (C) (D) EXPENSES NET INVEST- ADJUSTED CHARITABLE DESCRIPTION PER BOOKS MENT INCOME NET INCOME PURPOSES
AUDIT AND TAX WORK 33,211. 8,220. 8,303. 24,908.
TO FORM 990-PF, PG 1, LN 16B 33,211. 8,220. 8,303. 24,908.
FORM 990-PF OTHER PROFESSIONAL FEES STATEMENT 5
(A) (B) (C) (D) EXPENSES NET INVEST- ADJUSTED CHARITABLE DESCRIPTION PER BOOKS MENT INCOME NET INCOME PURPOSES
COMPUTER CONSULTING 526. 0. 53. 473. PANEL MEMBER FEES 35,300. 0. 0. 35,300. OTHER PROFESSIONAL FEES 39,635. 0. 0. 39,635. INVESTMENT MANAGEMENT FEE 236,170. 233,861. 236,170. 0.
TO FORM 990-PF, PG 1, LN 16C 311,631. 233,861. 236,223. 75,408.
FORM 990-PF TAXES STATEMENT 6
(A) (B) (C) (D) EXPENSES NET INVEST- ADJUSTED CHARITABLE DESCRIPTION PER BOOKS MENT INCOME NET INCOME PURPOSES
NYS UNRELATED BUSINESS TAX 1,163. 0. 0. 1,163. FEDERAL TAX 49,354. 0. 0. 49,354. 1042 TAX EXPENSE 860. 0. 0. 860. FOREIGN TAX EXPENSE PER K-1'S 15,547. 15,392. 15,547. 0. NYCF ANNUAL FILING FEE 1,500. 0. 0. 1,500. 1042 PENALTY 8,600. 0. 0. 8,600.
TO FORM 990-PF, PG 1, LN 18 77,024. 15,392. 15,547. 61,477.
18 STATEMENT(S) 4, 5, 6
THE HARRY FRANK GUGGENHEIM FOUNDATION 13-6043471
FORM 990-PF OTHER EXPENSES STATEMENT 7
(A) (B) (C) (D) EXPENSES NET INVEST- ADJUSTED CHARITABLE DESCRIPTION PER BOOKS MENT INCOME NET INCOME PURPOSES
INSURANCE 3,436. 0. 0. 3,437. REPAIRS & MAINTENANCE 809. 121. 121. 688. HONORARIA 68,000. 0. 0. 68,000. PUBLIC RELATIONS/MAILINGS 30,000. 0. 0. 30,000. TELEPHONE 7,504. 375. 375. 7,129. SERVICE CONTRACTS 5,504. 826. 826. 4,678. OTHER DEDUCTIONS RELATED TO PORTFOLIO K-1'S 415,239. 415,239. 415,239. 0. OFFICE EXPENSE 21,669. 88. 1,231. 20,438. DUES AND SUBSCRIPTIONS 21,036. 0. 1,840. 19,196. MISCELLANEOUS 7,531. 0. 1,225. 6,306.
TO FORM 990-PF, PG 1, LN 23 580,728. 416,649. 420,857. 159,872.
FORM 990-PF OTHER DECREASES IN NET ASSETS OR FUND BALANCES STATEMENT 8
DESCRIPTION AMOUNT
UNREALIZED DEPRECIATION IN MARKET VALUE OF INVESTMENTS 1,567,204.
TOTAL TO FORM 990-PF, PART III, LINE 5 1,567,204.
FORM 990-PF DEPRECIATION OF ASSETS NOT HELD FOR INVESTMENT STATEMENT 9
COST OR ACCUMULATED FAIR MARKET DESCRIPTION OTHER BASIS DEPRECIATION BOOK VALUE VALUE
OFFICE EQUIPMENT 8,005. 8,005. 0. 0. OFFICE FURNITURE 4,736. 4,736. 0. 0. OFFICE EQUIPMENT 1,350. 1,350. 0. 0. OFFICE EQUIPMENT 43,912. 43,912. 0. 0. OFFICE FURNITURE 162,561. 162,561. 0. 0. LEASEHOLD IMPROVEMENTS 223,735. 212,549. 11,186. 11,186. OFFICE EQUIPMENT 3,156. 3,156. 0. 0. LEASEHOLD IMPROVEMENTS 14,450. 13,648. 802. 802. OFFICE FURNITURE 14,663. 14,663. 0. 0. OFFICE EQUIPMENT 8,822. 8,822. 0. 0. OFFICE FURNITURE 1,020. 918. 102. 102. OFFICE EQUIPMENT 13,802. 13,802. 0. 0. OFFICE EQUIPMENT 1,166. 170. 996. 996.
19 STATEMENT(S) 7, 8, 9
THE HARRY FRANK GUGGENHEIM FOUNDATION 13-6043471
OFFICE EQUIPMENT 1,191. 220. 971. 971.
TO 990-PF, PART II, LN 14 502,569. 488,512. 14,057. 14,057.
FORM 990-PF U.S. AND STATE/CITY GOVERNMENT OBLIGATIONS STATEMENT 10
U.S. OTHER FAIR MARKET DESCRIPTION GOV'T GOV'T BOOK VALUE VALUE
GUGGENHEIM PARTNERS- GOVERNMENT & X AGENCY BONDS . 3,149,226. 3,149,226. GUGGENHEIM PARTNERS- MUNICIPAL X BONDS 438,377. 438,377.
TOTAL U.S. GOVERNMENT OBLIGATIONS 3,149,226. 3,149,226.
TOTAL STATE AND MUNICIPAL GOVERNMENT OBLIGATIONS 438,377. 438,377.
TOTAL TO FORM 990-PF, PART II, LINE 10A 3,587,603. 3,587,603.
FORM 990-PF CORPORATE BONDS STATEMENT 11
FAIR MARKET DESCRIPTION BOOK VALUE VALUE
GUGGENHEIM PARTNERS- CORPORATE BONDS 3,308,018. 3,308,018.
TOTAL TO FORM 990-PF, PART II, LINE 10C 3,308,018. 3,308,018.
FORM 990-PF OTHER INVESTMENTS STATEMENT 12
VALUATION FAIR MARKET DESCRIPTION METHOD BOOK VALUE VALUE
HEDGE FUNDS FMV 26,573,939. 26,573,939. PRIVATE EQUITY FUNDS FMV 14,855,359. 14,855,359. MUTUAL FUNDS FMV 7,304,739. 7,304,739.
TOTAL TO FORM 990-PF, PART II, LINE 13 48,734,037. 48,734,037.
20 STATEMENT(S) 9, 10, ll, 12
THE HARRY FRANK GUGGENHEIM FOUNDATION 13-6043471
FORM 990-PF PART VIII - LIST OF OFFICERS, DIRECTORS STATEMENT 13 TRUSTEES AND FOUNDATION MANAGERS
EMPLOYEE TITLE AND COMPEN- BEN PLAN EXPENSE NAME AND ADDRESS AVRG HRS/WK SATION CONTRIB ACCOUNT
PETER LAWSON-JOHNSTON CHAIRMAN HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 NEW YORK, NY 10019
JOSIAH BUNTING III PRESIDENT HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 27.00 395,334. NEW YORK, NY 10019
WILLIAM G. BARDEL DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 NEW YORK, NY 10019
TINA BENNETT DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 NEW YORK, NY 10019
DANA DRAPER DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 NEW YORK, NY 10019
JAMES B. EDWARDS LIFETIME DIRECTOR (FORMER) HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 0. NEW YORK, NY 10019
VICTOR DAVIS HANSON DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 NEW YORK, NY 10019
MATTHEW DUVENECK DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD
STREET - 16TH FLOOR 1.00 0. NEW YORK, NY 10019
JAMES M. HESTER LIFETIME DIRECTOR (FORMER) HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 0. 7,511. NEW YORK, NY 10019
21 STATEMENT(S) 13
THE HARRY FRANK GUGGENHEIM FOUNDATION 13-6043471
DONALD C. HOOD DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 O. 0. NEW YORK, NY 10019
W. PATRICK LANG DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 0. 0. NEW YORK, NY 10019
CAROL LANGSTAFF DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET * 16TH FLOOR 1.00 0 0. NEW YORK, NY 10019
LEWIS H. LAPHAM DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 0. 0. NEW YORK, NY 10019
PETER LAWSON*JOHNSTON II DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 0 0. NEW YORK, NY 10019
REEVE LINDBERGH DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 0. 0 NEW YORK, NY 10019
GILLIAN LINDT LIFETIME DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 0. 0. NEW YORK, NY 10019
THEODORE D. LOCKWOOD LIFETIME DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 0 0. NEW YORK, NY 10019
TANIA MCCLEERY DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 0. 0. NEW YORK, NY 10019
JEREMIAH MILBANK III DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 0. O. NEW YORK, NY 10019
22 STATEMENT(S) 13
THE HARRY FRANK GUGGENHEIM FOUNDATION 13-6043471
THOMAS PIPER III DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 0. O. 0. NEW YORK, NY 10019
LOIS DICKSON RICE LIFETIME DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD
STREET - 16TH FLOOR 1.00 0. o. O. NEW YORK, NY 10019
ANDREW ROBERTS DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 0. 0. 0. NEW YORK, NY 10019
PATRICIA L. ROSENFIELD DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD
STREET - 16TH FLOOR 1.00 0. 0. 0. NEW YORK, NY 10019
BROGANN SANDERSON DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 0. 0. 0. NEW YORK, NY 10019
H. KIRK UNRUH, JR DIRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 1.00 0. 0. 0. NEW YORK, NY 10019
KAREN COLVARD PROGRAM D IRECTOR HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 40.00 200,679. 49,721. 0. NEW YORK, NY 10019
DEIRDRE HAMILL TREASURER HF GUGGENHEIM FDTN 25 WEST 53RD STREET - 16TH FLOOR 40.00 170,669. 61,339. 0. NEW YORK, NY 10019
TOTALS INCLUDED ON 990-PF, PAGE 6, PART VIII 766,682. 118,571. 0.
23 STATEMENT(S) 13
THE HARRY FRANK GUGGENHEIM FOUNDATION 13-6043471
FORM 990-PF SUMMARY OF DIRECT CHARITABLE ACTIVITIES STATEMENT l4
ACTIVITY ONE
THE FOUNDATION IS A PRIVATE OPERATING FOUNDATION THAT HAS DEVELOPED A SIGNIFICANT INVOLVEMENT RESEARCH PROGRAM IN THE SOCIAL AND NATURAL SCIENCES RELATING TO THE STUDY OF DOMINANCE, AGGRESSION, AND VIOLENCE.
EXPENSES
TO FORM 990-PF, PART IX-A, LINE 1 3,326,790.
24 STATEMENT(S) 14
THE HARRY FRANK GUGGENHEIM FOUNDATION 13-6043471
FORM 990-PF CASH DEEMED CHARITABLE EXPLANATION STATEMENT STATEMENT 15 PART X, LINE 4
N/A
25 STATEMENT(S) 15
. .
-
Zone
918. 170. 220.
3,156. 8,822.
4,736. 1,350. 8,005, GO
13,802.
43,912. 13,648. 14,663. Ending
162,561. 212,549. 488,512.
Deprematlon Accumulated
0. 0. 0. 0. 0. 0. 0. 0. 0.
204.
292. 199.
Year
Deduction.
24,675.
Deduction Current
179
Revntallzatlon
Current
Sec Expense
21. CommerCIal 714.
3,156. 1,350. 8,822.
8,005. 4,736. <122.>
12,042. 14,663. 43,912. 13,802. Beginning
162,561. 190,175. 463,837. DepreCIatIon
Accumulated Bonus,
For
3,156. 1,350. 8,822. 1,020. 1,166. 1,191.
8,005. 4,736. Salvage.
14,450. 14,663. 13,802. 43,912.
223,735.
162,561. 502,569.
BaSIS
Depreciation ITC,
'
% Bus Excl 990-PF
disposed
Basns
Or 3,156. 8,822. 1,020. 8,005. 4,736. 1,350. 1,166. 1,191.
14,450. 14,663. 43,912. 13,802. -Asset
162,561. 223,735. 502,569.
Unadjusted Cost (D)
Lme
16
16 16 16 16 15 16 16 16 16 16 16 16 16
00c>
Life
3.00 10.00 9.00
26
SL
SL
SL
SL
SL
SL
SL
SL
SL SL SL
SL
SL SL Method
Date
Acqutred
07/01/08 07/01/06
04/07/19
07/01/11
07/01/10
07/01/09
07/01/06
07/01/05
07/01/05 07/01/05
07/01/08 06/23/14!
07/01/04
07/01/0a REPORT
DEPR
1
PG
AMORTIZATION
AND
IMPROVEMENTS IMPROVEMENTS
1
Description
990-PF
EQUIPMENT EQUIPMENT EQUIPMENT FURNITURE EQUIPMENT FURNITURE EQUIPMENT FURNITURE EQUIPMENT EQUIPMENT EQUIPMENT
FURNITURE
PAGE
TOTAL
'
OFFICE OFFICE OFFICE OFFICE LEASEHOLD OFFICE LEASEHOLD OFFICE OFFICE
OFFICE OFFICE OFFICE OFFICE OFFICE
990-PF DEPRECIATION
11 12 13 14 26 25 No
Awm
428111
05-01-14 2014
FORM
THE HARRY FRANK GUGGENHEIM FOUNDATION FORM 990PF, PART XV DECEMBER 31, 2014 STATEMENT A
STATUS OF RECIPIENT NAME & ADDRESS RECIPIENT PURPOSE OF AMOUNT
Rebecca Gould l Haunted by Violence Forced migration and nakh cultural memory along $40,000 6 College Avenue East, #05-05 Caucasus borderlands 7th floor Singapore, Singapore 138614
Viridiana Rios I An unexpected peace Understanding reSilient order and Violence in 39,400 Av MeXIco 147-14 multi-gang enwronments Col Condesa MeXico City, DF, MeXIco 6100
Mila DragoieVic I Collective crimes in times of war Explaining local variation in Violence 11,000 1520 16th Ave S against ClVlIlanS NashVilIe, TN 37212
Peace Medie I "There is still no Justice herel" Theorizing women's movements' influence 19,092 Legon Center for International Affairs on post-war African states' enforcement of gender-based Violence law" and Diplomacy P O Box 25 Accra, Ghana
Nuno Monteiro l Political Violence during the German occupation of France 1940-44 A 38,200 P O Box 208301 micro-level analy5is New Haven, CT 06520-8301
Godwm Onuoha I Political economy of memory The making, unmaking and remaking of the 14,800 198 Pine Street Nigeria-Biafra war Arcadia, Pretoria, South Africa 83
Chowra Makaremi Contested narratives A genesis of state Violence in post-revolutionary 37,775 Institut de Recherche Interdismplinaire Iran (1979-1988) sure les enjeux Seeiaux (IRIS) EHESS, 190 avenue de France, Bureau 573 Paris, France 75013
STATEMENTA PAGE 1 OF 11 THE HARRY FRANK GUGGENHEIM FOUNDATION FORM 990PF, PART XV DECEMBER 31, 2014 STATEMENT A
STATUS OF RECIPIENT NAME & ADDRESS RECIPIENT PURPOSE OF AMOUNT
Danielle Harris De3istance from sexual offending over the life course A multi-method 41,298 1 Washington Square approach San Jose, CA 95192-0256
Elaine Doherty Exploring Violent careers over the life course A study of urban African 13,916 Criminology and Criminal Justice American males and females 324 Lucas Hall, One Univer5ity Boulevard St Louis, MO 63121-4400
Federico Lorenz Malvmas/ Falklands war Argentine experiences of the 1982 conflict 39,130 Arenales 214 through letters, war diaries and amateur photographs by soldiers and GP 1704 cmlians mobilized during the war Ramos Mejia, Poia Buenos Aires Argentina
Isabelle Ouellet-Morin SubmiSSion for Continuation of funding Stress reactiwty to provocation 40,000 Ecole de criminologie and aggressmn in early adulthood Do early Victimization and regulation Universne de Montreal C P 6128 processes matter? succursale Centre-Ville Montreal, Quebec, Canada H30 3J7
Jeffrey Rossman Stalin's great terror A documentary history of SOVIet perpetrators 39,772 PO Box 400180 Charlottesvrlle, VA 22904-4180
Max Bergholz "None of us dared say anything "Mass killing in a Bosnian community 16,475 Concordia University, Dept of History during World War II and the postwar culture of silence 1455 de Maisonneuve Blvd W , LB 1001 01 Montreal, Quebec, Canada H3G 1MB Paul Staniland Governing coerCion States and Violence in ASla 14,550 Pick Hall 528 5828 South UniverSity Avenue Chicago, IL 60637
STATEMENT A PAGE 2 OF 11
THE HARRY FRANK GUGGENHEIM FOUNDATION FORM 990PF, PART XV DECEMBER 31, 2014 STATEMENT A
STATUS OF RECIPIENT NAME & ADDRESS RECIPIENT PURPOSE OF AMOUNT
Harry Verhoeven I When comrades go to war Post-liberation moments. elite politics and the 18,700 Dept of Politics & IR, Manor Road BUIIdIng internal dynamics of Africa's Great War Manor Road Oxford, Oxfordshire, UK OX1 3UQ
Chris Kyle I Spatial analy5is of criminal Violence in Guerrero, MeXlCO 40,000 Department of Anthropology UniverSIty of Alabama at Birmingham Birmingham, AL 35294
Ana Villarreal l The Logistics of Fear Drug Violence and Everyday Life in the MeXIcan 20,000 410 Barrows Hall Metropolis UniverSIty of California, Berkeley Berkeley, CA 94720
Adnan ZuIt'iqar I If Some Obey, None Shall Sin The Development of Communal 20,000 8708 Eggert Drive Obligations and their Relationship to Violence in Islamic Legal Theory Bethesda, MD 20817
Rebecca Neilsen I "CiVil War, Networks, and Women in Politics Female Secret SOCIeties in 20,000 Department of Political SCience, West Africa" Yale UniverSIty P O Box 208301 New Haven, CT 65200
Jean-Pierre Misago I Migration, Governance and Violent ExcluSion Exploring the Politics of 20,000 46 Magalies Montpark Drive Xenophobic Violence in Post-Apartheid South Africa Montgomerry Park Johannesburg, Gauteng, South Africa 2195
Teofilo Ballve I Territorial Masquerades Violence, Paramilitaries, and Frontier State 20,000 438 12th St Apt 48 Formation in Colombia Brooklyn, NY 11215
STATEMENT A PAGE 3 OF 11
THE HARRY FRANK GUGGENHEIM FOUNDATION FORM 990PF, PART XV DECEMBER 31, 2014 STATEMENT A
STATUS OF RECIPIENT NAME & ADDRESS RECIPIENT PURPOSE OF AMOUNT
Christian Sahner I Christian Martyrdom in the Early Islamic Period 20.000 Princeton UniverSIty Department of History 129 Dickinson Hall Princeton, NJ 85440
Casey Ehrlich I Grassroots Peace Post-Connict Reconstruction in Rural Colombia 20,000 110 North Hall 1050 Bascom Mall Madison, WI 53706
Daniel Krcmaric l The Justice Dilemma International Criminal Law, Mass Atrocnies, and 20,000 18 Scottish Lane CiVil Conflict Durham, NC 27707
Mihaly Kalman l Hero Shtetls JeWIsh Armed Self-Defense from the Pale to Palestine. 20,000 74 Oxford Street 1871-1929 Cambridge, MA 21380
Michael McConnell l Home to the Reich The NaZI Occupation of Europe's Influence on Life 20,000 1201 Smoky Crossmgs Way InSide Germany, 1941-1945 Seymour, TN 37865
Katherine Saunders-Hastings I Order and Insecurity under the Mara Violence, Coping, and Community in 20,000 52 Cowley Road Guatemala City Oxford, Oxfordshire, UK 0X4 1HZ Kathleen Klaus l Claiming Land Institutions, Narratives, and Political Violence in Kenya 20,000 640 W Wilson Apt 313 Madison, WI 53703
STATEMENTA PAGE 4 OF 11
THE HARRY FRANK GUGGENHEIM FOUNDATION FORM 990PF, PART XV DECEMBER 31, 2014 STATEMENT A
STATUS OF RECIPIENT NAME & ADDRESS RECIPIENT PURPOSE OF AMOUNT John Straussberger I The "Particular Situation" in the Futa Jallon Ethnic Conflict, Political 20,000 170 Scholes St Apt SB Community, and Belonging in twentieth-century Gumea Brooklyn, NY 11206
Jared McBride A sea of blood and tears EthniCIty, identity, and survwal in NaZl occupied 20,000 1134 Rodman St Apt SB Volhynia, Ukraine 1941-1944 Philadelphia, PA 19147
Matthew Hulbert Guerrilla Memory Irregular Recollections from the CIVII War Borderlands 20,000 780 Games School Road #91 Athens, GA 30605
John Jay College of Criminal Justice PC Crime In America Conference 90,401 899 Tenth Avenue New York, NY 10019
Philanthropy New York PC Dues 1,950 New York, NY
Exponent Philanthropy PC General Support 500 1720 N Street, NW, Washington. DC 20036
CounCIl on Foundations PC Dues 8,420 2121 Crystal Drive, SUIte 700 Arlington,VA 22202
The Solomon R Guggenheim Museum PC General Support/Membership 15,000 1071 Fifth Avenue New York, NY 10128-0173 United Hospital Fund PC General Support 1,000 1411 Broadway, 12th Floor New York, NY 10018-3496
STATEMENTA PAGE 5 OF 11
THE HARRY FRANK GUGGENHEIM FOUNDATION FORM 990PF, PART XV DECEMBER 31, 2014 STATEMENT A
STATUS OF RECIPIENT NAME 8. ADDRESS RECIPIENT PURPOSE OF AMOUNT UJA-Federatlon of NY PC General Support 5,000 130 East 59th Street New York, NY 10022
The Foundation Center PC General Support 2,000 79 Fifth Avenue New York, NY 10003
Boulder Crest Retreat General Support 5,000 18370 Bluemont Village Lane PC Bluemont, VA 20135
American Agora Foundation PC General Support 2,000 (Lapham's Quarterly) 33 lrvnng Place, 8th Floor New York, Ny 10003
Student Conservation Assoctatlon PC General Support 1,000 4245 North Fairfax Drive, SUIte 825 Arlington, VA 22203
Muller Center PC Grant 50,000 UnlverSIty of Va P O Box 400406 Charlottesvrlle, VA 22904
American Anthropological Assocratlon General Support 10,000 2300 Claredon Blvd , Surte 1301 PC Arlington, VA 22201
St George's School Matching Gift Program 1,000 PO Box 1910 PC Newport, RI 02840-0190 erllam F Buckley, Jr Program Matching Glft Program 1,000 PO Box 204539 PC Yale Station New Haven, CT 06520-4539
STATEMENT A PAGE 6 OF 11
THE HARRY FRANK GUGGENHEIM FOUNDATION FORM 990PF, PART XV DECEMBER 31, 2014 STATEMENT A
STATUS OF RECIPIENT NAME & ADDRESS RECIPIENT PURPOSE OF AMOUNT National ReVIew Institute PC Matching Gift Program 2,000 215 Lexrngton Avenue PC 1,000 11th Floor New York, NY 10016
Blue Sky Fund PC Matching Gift Program 1,000 PO Box 8108 Richmond, VA
Intercollegiate Studies Institute Matching Gift Program 2,000 PO Box 4431 PC WilmingtonDE 19807
Church of the Ascen5ion and St Agnes PC Matching Gift Program 4,000 1217 Massachussetts Avenue NW Washington, DC 20005
Columbia UniverSIty PC Matching Gift Program 2,000 (Graduate School of Arts and SCIences) PO Box 1383 New York, NY 10277-1836
Columbia UniverSIty PC Matching Gift Program 2,000 PO Box 1383 New York, NY 10277-1836
Grace Church PC Matching Gift Program 8,000 802 Broadway New York, NY 10003
New York Community Trust PC Matching Gift Program 10,000 909 Third Avenue, 22nd Floor New York, NY 10022
St Paul's School PC Matching Gift Program 4,000 11152 Falls Road BrooklandVIlle, MD 21022
US Lacrosse Foundation PC Matching Gift Program 5,300 113 W UniverSIty Parkway Baltimore, MD 21210
STATEMENT A PAGE 7 0F11
THE HARRY FRANK GUGGENHEIM FOUNDATION FORM 990PF, PART XV DECEMBER 31, 2014 STATEMENT A
STATUS OF RECIPIENT NAME & ADDRESS RECIPIENT PURPOSE OF AMOUNT
Martha's Vineyard Preservatlon Trust PC Matching Glf't Program 2,000 PO Box 5277 Edgartown, MA 02539
Trlmty College PC Matching Glft Program 1,500 300 Summit Street Hartford, CT 06106
Kleve-Wavus Education, Inc PC Matchlng Glft Program 4,495 PO Box 169 Nobleboro, ME 04555
Mlllbrook School PC Matching Gift Program 2,000 131 Mlllbrook School Road Mlllbrook, NY 12545
Future Generations PC Matching GIft Program 1,000 81 Price way CIrcleVIlle, WV 26804
MLT PC Matching Glft Program 9,483 (Management Leadership for Tomorrow) 5335 Wisconsm Avenue, Surte 805 Washington, DC 20015
Fairbanks Museum and Planetarium PC Matching Gift Program 10,000 1302 Main Street St Johnsbury, VT 05819-2224
MUSC PC Matching Glft Program 10,000 18 Bee Street PO Box 250450 Charleston, SC 29425
Pembroke College Foundation NC Matching Gift Program 10,000 Trumplngton Street Cambrldge C82 1RF
STATEMENT A PAGE 8 OF 11
THE HARRY FRANK GUGGENHEIM FOUNDATION FORM 990PF, PART XV DECEMBER 31, 2014 STATEMENT A
STATUS OF RECIPIENT NAME 8. ADDRESS RECIPIENT PURPOSE OF AMOUNT Hopewell Valley YMCA PC Matching Gift Program 2,400 62 South Main Street Pennington, NJ 08534 L I F E PC Matching Gift Program 1,000 PO Box 64088 1,000 Tuscon, AZ 85728-4088
Binghamton UniverSity Foundation PC Matching Gift Program 3,000 PO Box 6005 Binghamton, NY 13902-6005
Brown UniverSIty PC Matching Gift Program 4,000 PO Box 1877 Prowdence, RI 02912
Columbia Community SerVice PC Matching Gift Program 6,500 Columbia Universny 2980 Broadway Room 304 Earl Hall, MC 2025 New York, NY 10027
Boys and Girls Clubs of America PC Matching Gift Program 10,000 1275 Peachtree St NE Atlanta, GA 30309
The Buck Hill Conservation Foundation PC Matching Gift Program 10,000 Po Box 350 Buck Hill Falls, PA 18323
Garrison Forest School PC Matching Gift Program 2,400 300 Garrison Forest Road Owungs Mills, MD 21117
HiTops PC Matching Gift Program 1,000 21 Wiggins Street Princeton, NJ 08540
STATEMENT A PAGE 9 OF 11
THE HARRY FRANK GUGGENHEIM FOUNDATION FORM 990PF, PART XV DECEMBER 31, 2014 STATEMENT A
STATUS OF RECIPIENT NAME & ADDRESS RECIPIENT PURPOSE OF AMOUNT
PPAMA PC Matching Glft Program 2,500 437 East State Street Trenton, NJ 08608
Suffreld Academy PC Matchlng Grft Program 2,000 . Suff'leld, CT 06078
Emmanuel College PC Matching Glft Program 2,000 . 400 The Fenway Boston, Massachusetts 02115
VMl Foundation PC Matching GlfI Program 2,000 Nelklrk Hall PO Box 932 Lexrngton, VA
Checkerboard FIIm Foundation PC Matching Gift Program 5,000 1 East 53rd Street, 14th floor New York, NY 10022
Marcus Garvey Pan-African lnstrtute NC OII Research 75,000 PO Box 961 25,000 Mbale, Uganda
Makerere Unrversrty NC MISR Grant- Student Fellowships 80,000 Kampala, Uganda
Fahamu Refugee Refugee Studies 33,000 51 Cornmarket Street NC Oxford OX1 3HA
CEMAT NC Young African Scholars Program 30,000 Impasse Menabrea 19 bus, rue d'Angleterre Tums, Tumsre
Vanous PC Matching GII'I Program 18,046
$1,366,003
STATEMENTA PAGE 10 0F 11
THE HARRY FRANK GUGGENHEIM FOUNDATION FORM 990PF, PART XV DECEMBER 31, 2014 STATEMENT A
STATUS OF RECIPIENT NAME & ADDRESS RECIPIENT PURPOSE OF AMOUNT Notes; Status of Recei ient Column
NC Non-Charity PC PUbIIC Charity I Indlwdual
Please note No IndIVldual recuplent Ilsted above has any relationship to any Foundation manager or substatlal contributor
STATEMENT A PAGE 11 OF 11
The Harry Frank Guggenheim Foundation Form 990PF December 31, 2014 Form 990PF. Pan XV, Lines 2b and 2d The Harry Frank Guggenheim Foundation Guidelines for Submitting Applications for Research Grants
The foundation welcomes proposals from any of the natural and social sc1ences and the humanities that promise to increase understanding of the causes, manifestations, and control of violence and aggression. Highest priority is given to research that can increase understanding and amelioration of urgent problems of violence and aggress10n in the modern world. Questions that interest the foundation concern Violence and aggression in relation to social change, intergroup conflict, war, terrorism, crime, and family relationships, among other subjects. Research With no relevance to understanding human problems Wlll not be supported, nor will proposals to invesngate urgent social problems where the foundation cannot be assured that useful, sound research can be done. Priority will also be given to areas and methodologies not receiving adequate attention and support from other funding sources.
The Research Grant Most awards fall within the range of $15,000 to $40,000 per year for periods of one or two years. Applications for larger amounts and longer duranons must be very strongly justified. The foundation awards research grants to indiViduals (or a few prinCipal investigators at most) for indiVIdual projects and does not award grants to institutions for institunonal programs. As discussed below, individuals who receive research grants may be subject to taxation on the funds awarded.
Timing New applications must be submitted by August 1 (midnight, EST) for a dec151on in December. Final decrsrons are made by the Board of Directors at its meeting in December. Applicants will be informed promptly by email as well as letter of the Board's deCision. Grants ordinarily commence on January 1 but later starting dates may be requested if the nature of the research makes this appropriate.
Taxation HFG awards research grants to indiViduals for indIVidual prOjects. However, a grantee may choose to have these funds administered through her institution for reasons of convenience and/ or neceSSity. If the grantee so directs, the grant Will be administered and accounted for by the institution on behalf of the grantee in accordance With the budget prepared by the grantee and included with the applicauon (subject to revisions approved by the foundation). Please see the section below entitled fflndividual vs. Institutional Applicanonsii for detailed instructions. Regardless of whether the grant funds are paid to the grantee directly or paid to an institution on behalf of the grantee, the grantee may be liable for taxes on funds awarded, depending on locality, tax status, timing, nature of the award, etc. Applicants should consult their own tax adVisors to determine the tax consequences to them of receiving a research grant.
Education and Citizenship Applicants for a research grant may be Cinzens of any country. While almost all reCipients of our research grant possess a Ph.D., M.D., or equivalent degree, there are no formal degree requirements for the grant. The grant, however, may not be used to support research undertaken as part of the requirements for a graduate or doctoral program. Applicants need not be affiliated with an institution of higher learning, although most are college or university professors.
STATEMENT B. PAGE 1 OF 5
j r v
The Harry Frank Guggenheim Foundation Form 990PF December 31, 2014 Form 990PF, Part XV. Lines 2b and 2d
Budget Guidelines Proposals should be accompanied by a preCise budget. Please refer to the budget worksheet at hftLorQ/tQ/hfg budgetpdf. This should be 1) downloaded, 2) completed and saved, and 3) then uploaded in the Budget section of the application. Your budget should cover only one year; applicants who are applying for two years of support will submit a detailed second-year budget if an award was granted for the first year. In addition to the budget worksheet, you will need to submit a budget explanation that justifies each item in the worksheet. Requests Will be considered for salaries, employee benefits, fieldwork, research assistantships, supplies and equipment, essential secretarial and technical help, and other items necessary to the completion of a project. The foundation does not supply funds for overhead costs of institutions, travel to profeSSional meetings, self-education, elaborate fixed equipment, dissemination of research findings, or_to repeat_graduate-degree research (except for salary for research assistants or funds awarded through our Dissertation Fellowship, described later). The foundation will not consider applications for the support of meetings or conferences. As noted above, the majority of grants from the Harry Frank Guggenheim Foundation range between $15,000 and $40,000 per year, for one or two years, depending on the nature of the research. The Size of our grants says something about the research we support. We aim to attract applications for projects that can be done within that range, and we expect budget requests to match the specific needs of the project. We Will not contribute a portion of costs to a prOject With other funding unless an independent "Guggenheim component" of the research can be identified and shown to make a difference to what can be accomplished by the larger project, which must be fully funded otherWise. Be aware that many solid pieces of research are proposed to us each year that can be carried out well within these budget limitations; projects that require Significantly more money are simply not appropriate for funding by this foundation.
Salaries In general, a salary is only justified if paid work will be given up to free up time for the specific research project proposed to us. In these cases, we need to know the applicants base salary, the duties she is expected to fulfill, what she Will give up in duties and salary to conduct the research proposed, and how that relates to the salary requested from us. Here are some general guidelines to follow when asking for salary support 0 We generally do not fund projects that require an investigators full-time effort, except in cases of extended fieldwork, archival research, sustained writing prOjects, or other intensive work. 0 We Will cons1der requests for supplementation to a sabbatical half-salary, up to what we allow. 0 Requests for 2%, 5%, or even 10% of a researcheris time appear to add nothing to the active scholarly engagement available for a project, especially when these requests come from university professors whose salaries already cover time for research. 0 As most university professors are expected to conduct research during the time they do not teach, summer salaries are not a priority for the foundation and Will be conSidered only with an adequate explanation for why the project cannot be conducted Without such compensation. 0 Request either salary or a per diem allowance during fieldwork, but not both. 0 Applicants Without a salaried job should request a salary commensurate with local rates for someone Wlth comparable qualifications.
STATEMENT B, PAGE 2 OF 5
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The Harry Frank Gu'ggenhelrii Foundation Form 990PF December 31, 2014 Form 990PF, Part XV. Lines 2b and 2d Fieldwork Since the foundation prefers to make contributions exclusively to the direct costs of research, we commonly fund the costs of fieldwork, including travel, living expenses, local research assistance, insurance, transcription costs, necessary software/ equipment, visa fees, gifts/ remuneration for informants or survey participants, and other relevant expenditures. As With any other requests, these items should be thoughtfully justified; 0 Requests for airfare/ travel expenses should be accompanied, if pOSSible, by documentation of the average price for economy class tickets. 0 XY/hen requesting funds for vehicle rental/ local transportation, please give an approximation of how much these services Will cost per day. 0 Per cliem liv1ng expenses should represent an honest estimate of the costs of the research proposed. If an applicant is not familiar With the average livmg expenses where she will be working, she might consult With regional experts. The U.S. Department of State web Site provides per diem rates by country, and the web site of the U.S. General SerVices Administration (GSA) prOVides per diem rates by U.S. City. (These figures should be taken as guiding rather than binding.)
Research Assistance and Secretarial Help XVe support research projects conducted by individuals, or a few prinCipal investigators at most, with student aSSistance or fieldwork help when necessary, for specific tasks appropriate to assistants. If students are substantial collaborators on the prOject, we expect to review each one's c.v. and list of publications, as with other profes510nal collaborators. Student assistants must be paid only for the work they do, and at reasonable rates for junior researchers. XVe do not contribute to tuition or other univerSity fees related to their status as students. Please do not try to hide tuition costs under the category of "benefits." Fees for "consultants" are generally not allowed. If the prinCipal investigator cannot do the work Without substantial expert advice, then we conSIder that she may not be the right person for the prOject. It is appropriate to ask for secretarial help if a research prOject entails clerical tasks that are speCific to that prOject. If so, describe that work and include a c.v. for the person to be employed. General office support, calculated as a percentage of a secretary's regular salary, is not an allowable budget item.
Equipment and Supplies Ask only for eqmpment and supplies needed for this research project. While not all requests are as clearly fictional as the recent application With a budget line of $1,000 for "pens, pencrls, etc.," we do not consider general office supplies to be essential to a research project. Nor do we want to supply funds for a personal computer or any other equipment unless it is necessary to the prOject and unavailable otherwise. Note that the resale value of any equipment that initially costs more than $1,000 must be returned to the foundation at the end of the grant period.
In conclu510n, please remember that these restrictions exist in order to maximize the number of prOjects that can be supported. When a researcher strips his request of $1,000 in unnecessary supplies, that $1,000 can be offered to someone else for expenses essential to their research. If a researcher is not working at least 40 hours a week, nine months of the year on a project, it is unfair of him to request a full salary. If proposed research assistants are to be paid a large salary for a small amount of work to help them with livmg expenses while in school, that charitable contribution to their welfare is a loss to a student eligible for our Dissertation Fellowship. And if a budget is submitted that contradicts any of these carefully described guidelines, this Will adversely influence our assessment of the proposal. STATEMENT B. PAGE 3 OF 5
The Harry Frank Gu'ggenhelrh Foundation Form 990PF December 31, 2014 Form 990PF. Part XV, Lines 2b and 2d Application Procedure Applications are submitted online. The application link can be found on our web Site, hfg.org. The direct address is httpszj/www.grantinterface.com/hfg/Common/LogOnasjg. (Applications usrng our older form, a printable PDF and its accompanying guidelines, will still be accepted if they arrive at the foundations office by the deadline.) Applicants first create a login account and then may access the online application. The deadline for submission is August 1 (midnight, EST). Late applications Will not be considered. '
A. Project Title Complete all questions in this section that are applicable to your proposed project. Some questions are required; these are marked with an asterisk (*). If your prOject has more than one Principal Investigator, you will enter information about the Co-PIs in Section C of the application. Please see "Additional Notes," at the end of these guidelines. B. Abrtract and Survey)! Enter an abstract by typing or pasting text. (Note the length limit.) The abstract should be an informative but succinct description of the project, including its relevance to aggression and/ or violence. The survey questions--about the topics, time period, and geographic region of your project--are for statistical purposes only; this information does not affect our evaluation of the application. C. Co-leajba/ Investigator; If there more than one PrinCipal Investigators, enter the Co-PIs here. D. Budget Please consult "Budget Guidelines," above. E. Bzrdgeffllrhjftahon Upload a document explaining the need for and planned use of the funds requested for each item in each category of the worksheet completed in D. F. memel Upload a Single file containing the curricula Vitae and lists of relevant publications for the principal investigator(s) and all professional personnel. Do not exceed two pages for each person. G. Reward] Plan Upload a document presenting the spec1fic aims of the prOject and discuss the background and Significance of the proposed work. Describe the methods and procedures of the research and the means by which the results will be analyzed and interpreted. Indicate your familiarity with the relevant scholarly literature and explain how your project will complement or improve upon it. Research plans are typically about 15 double-spaced pages (not including references listed in a bibliography or footnotes). H. Of/JerSz/pporr Describe facilities and resources already available for the proposed research. Also list the title, source, dollar amount, period of time for funding expected or being sought for this project from other sources during the period of the grant requested, and the expected notification dates, including actual or probable publisher's advances. If no other applications have been or will be submitted, please so state. I. Proteclzan offubjem Explain what steps will be taken to protect the rights and welfare of any human subjects who might be involved in the research. If non-human animals are to be used in the prOject, discuss how the animals Will be cared for so that they Will not suffer unnecessary discomfort, pain, and injury. If this concern is not applicable to the prOject, please so state.
STATEMENT B. PAGE 4 OF 5
The Harry Frank Gu'ggenhelr'n Foundation Form 990PF December 31, 2014 Form 990PF, Part XV, LInes 2b and 2d ]. Referee Comments Enter contact information for each of two referees chosen by the applicants based on the referees' relevant expertise and to each of whom a copy of the application has been sent by the applicant. Referees should give us their opinion of the merit of the proposal, the procedures involved, and the applicanBs ability to complete the project successfully. The referees may not be directly involved in the current project. Referees' assessments should be emailed directly from the referee to the foundation at [email protected], With the subject line gHFG Referee Letter; [Applicanfs Full Name(s)].ll They are due August 15. K E/ertmmc Szglzatz/re Completing this section is equivalent to hand Signing your application.
Additional Notes Here we provide some guidance on those items that tend to cause the most confusion. Of course, you should feel free to contact the foundation before submitting a proposal if you have a concern not addressed in these guidelines.
Multiple Principal Investigators If the proposal involves collaboration of two or more principal investigators, a Single member of the research team, the one filling out the application, becomes the primary contact. He or she will serve as the chief correspondent regarding the applications completeness and notification of the foundations deCision on the proposal. When completing Section A, the primary contact should list his/her contact information. Additional PIS should include their contact information in their CVs. Only the primary contact completes Section K. Electronic Signature.
Individual vs. Institutional Applications We prov1de a place in Section A to indicate whether you are applying as an individual or through an institution. The foundation has no preference as to whether the applicant submits the proposal as an individual or has the host institution submit it and administer it on the applicant's behalf through an office of sponsored research or equivalent. . If applying as an indiv1dual, do no! complete the Institutional Contact information within Section A. If applying as an institutional applicant, please do prOVide that information. The contact person usually will be a department head, research coordinator, or representative of a uanCtSlty,S office of sponsored research. We will cc the contact on matters of the applicationis completeness and to notify of the foundations decisron on the proposal. If the grant is approved, this person will serve as the administrator of the awarded funds, ensuring that budgets are kept up-to-date and changes in the status of the project are made known to the foundation.
Further Information Requests for further information should be directed to the Harry Frank Guggenheim Foundation, 25 West 53rd Street, New York, N.Y. 10019, by telephone to (646) 428-0971, by fax to (646) 428-0981, or by email to [email protected]. To discuss an application in detail, call or write our program officers. More information is also available on our web Site, hfg.org.
STATEMENT B. PAGE 5 OF 5 THE HARRY FRANK GUGGENHEIM FOUNDATION FORM 990PF, PART XV DECEMBER 31, 2014 STATEMENT C
RECIPIENT NAME & ADDRESS PURPOSE OF STATUS OF AMOUNT
Dr .ludlrh Smetana Aggresyon and morallty lInks In early chIldhooc $37,368 Deparlment of ClInIcal and Socral Psychology UanBfSIty of Rochester
Dr Henar Cnado Legacres of the past and support for Ierronsm In the Basque Country $17,503 Facultad de ClenCIas Pollucas y Soclologl'a UnlverSIty Complutense
Dr NadIa Abu EI-Ha] The ethIcs of trauma Combay, moral Injury and the war on terror $40,000 Department ol Anthropology Columbla UnIversu'y
Dr RosalInd Shaw DIsarmxng JustIce, demoblllzmg history, producmg 'postconflrcl' Me In SIerra Leom $40,000 Department of Anthropology Tuhs UnIversIty
Dr DaVId Anderson The neural crrculrry of aggresswn, sex, and sexual aggressron $40,000 BIology and BIologIcal Engrneermg CalIfornIa lnsmute of Technology
Dr Harel ShapIra An educauon In Violence Teachlng and learnIngxo kIll In central Texa- $38,997 Depanment of SocIology UnlverSIty of Texas al AuslIn
Dr Sarah Cameron The Hungry Steppe Famine, wolence, and the makmg of Some! Kazakstan $25,000 Depanmen! of Hrsrory Unlversrty of Maryland College Park
Dr Belh Lew-erllams The Chlnese must go The VIolent blrth of Amerlcan border contro $53,760 Departmem of HIslory Princeton UniverSIty
Godwm Onuoha Polmcal economy of memory The maklng, unmaklng and remaklng olthe NrgerIa-Blalra waI $14,800 Human ScIences Research COUnClI
PhIle Cook Crime Gun Theft $27,000 Sanford School of PublIc PolIcy Duke UnlverSIty
Marcus Garvey Pan AfrIkan Unwersny Consolrdatlng Communlty Resloralwe Approaches to OII Land DIspules NC 550.000 PO Box 961 Mbale, Uganda
Makerere Unlversnty Student Fellowships NC $80,000 Makerere lnsmute of SocIal Research Kampala, Uganda
Salzburg Seminar 1730 Pennsylvanla Avenue, NW Youth, Economics and Violence Conference PC $150,000 Sulte 250 Washlngton, DC 20006 $614,428
THE HARRY FRANK GUGGENHEIM FOUNDATION Form 990 PF, Part VII-B, Linc 5c Statement D
Expenditure Responsibility Statement for the year 2014 The Harry Frank Guggenheim Foundation 2014 Form 990PF Part Vll-B, Question 50 EIN #. 13-6043471
(i) Granteez Makarere Institute of Social Research Kampala, Uganda
(ii) Amount of Grant; $80,000
(iii) Date ofGrant 7/7/14
(iv) Purpose of Grant University Education Workshop
(v) Diversions; To the knowledge ofthc grantor, no funds have Been diverted to any activity other than the activity for which the grant was originally made.
(vi) Verification; The grantor has no reason to doubt the accuracy or reliability of the report from the grantee; therefore. no independent verilication of the report was made.
TELEPHONE (646)428e097t FAX (646)428-098I
THE HARRY FRANK GUGGENHEIM FOUNDATION Form 990 PF, Part VII-B, Linc 50 Statement D
Expenditure Responsibility Statement for the year 2014 The Harry Frank Guggenheim Foundation 2014 Form 990PF Pan VII-B, Question 5c ElN #2 13-6043471
(i) Granteez Marcus Garvey Pan-African Institute Upper Mooni= Mbale Municipality PO Box 961 Mbale, Uganda
(ii) Amount ofGrantz $75,000
(iii) Date of Grant 1/15/14
(iv) Purpose ofGrant Oil Research Project
(v) Diversions; To the knowledge of the grantor, no funds have Been diverted to any activity other than the activity for which the grant was originally made.
(vi) Verification; The grantor has no reason to doubt the accuracy or reliability of the report from the grantee; therefore. no independent verilication ofthe report was made.
TELEPHONE' (646) 426-0971 FAX' (646) 428-098I
0c, , 2
THE HARRY FRANK GUGGENHEIM FOUNDATION Form 990 PF, Part VII-B, Linc 50 Statement D
Expenditure Responsibility Statement for the year 2014 The Harry Frank Guggenheim Foundation 2014 Form 990PF Part VII-B, Question 5c EIN #' 13-6043471
(i) Grantee; Marcus Garvey Pan-African Institute Upper Mooni. Mbale Municipality PO Box 961 Mbale. Uganda
(i1) Amount ofGrantz $25,000
(iii) Date of Grant 1/15/14
(iv) Purpose of Grant Cross Cultural Knowledge Project
(v) Diversions; To the knowledge ofthe grantor, no funds have Been diverted to any activity other than the activity for which the grant was originally made.
(vi) Verification; The grantor has no reason to doubt the accuracy or reliability of the report from the grantee; therefore, no independent verification of the report was made.
TELEPHONE (646) 428e097l FAX (646) 428e0981
THE HARRY FRANK GUGGENHEIM FOUNDATION Form 990 PF, Part VII-B, Linc Sc Statement D
Expenditure Responsibility Statement for the year 2014 The Harry Frank Guggenheim Foundation 20l4 Form 990PF Part VII-B, Question Se ElN #2 13-6043471
(i) Grantee; Fahamu Refugee 51 Cornmarket Street Oxford OX1 3HA (ii) Amount of Grant; $33,000
(iii) Date of Grant 8/12/14
(iv) Purpose of Grant Fahamu Refugee Study Program
(v) Diversionsz To the knowledge of the grantor= no funds have Been diverted to any activity other than the activity for which the grant was originally made.
(vi) Verification; The grantor has no reason to doubt the accuracy or reliability of the report from the grantee; therefore, no independent verification of the report was made.
TELEPHONE (646) 428.097! FAX (646) 423-0981
THE HARRY FRANK GUGGENHEIM FOUNDATION Form 990 PF, Part VII-B, Linc 5c Statement D
Expenditure Responsibility Statement for the year 2014 The Harry Frank Guggenheim Foundation 2014 Form 990PF Part VII-B, Question Sc EIN #2 13-6043471
I
(i) Granteei CEMAT Impasse Menabrea [9 bis, rue d'Angleterre Tunis, Tunisie (ii) Amount ofGrants $30,000
(in) Date of Grant 8/12/14
(iv) Purpose of Grant Young African Scholars Program
(v) Diversions. To the knowledge ofthe grantor, no funds have Been diverted to any activity other than the activity for which the grant was originally made.
(vi) Verit'rcationr The grantor has no reason to doubt the accuracy or reliability of the report from the grantee; therefore, no independent verification of the report was made.
TELEPHONE? (646) 428-0971 FAX (646) 428v093l