Form 990-PF 2018
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OMB No. 1545-0052 Form 990-PF Return of Private Foundation or Section 4947(a)(1) Trust Treated as Private Foundation 2018 G Do not enter social security numbers on this form as it may be made public. Department of the Treasury G Internal Revenue Service Go to www.irs.gov/Form990PF for instructions and the latest information. Open to Public Inspection For calendar year 2018 or tax year beginning , 2018, and ending , A Employer identification number Rockefeller Brothers Fund, Inc. 13-1760106 475 Riverside Drive #900 B Telephone number (see instructions) New York, NY 10115 (212) 812-4200 C If exemption application is pending, check here. G G Check all that apply: Initial return Initial return of a former public charity D 1 . G Final return Amended return Foreign organizations, check here Address change Name change 2 Foreign organizations meeting the 85% test, check . G H Check type of organization: Section 501(c)(3) exempt private foundation here and attach computation X Section 4947(a)(1) nonexempt charitable trust Other taxable private foundation E If private foundation status was terminated G I J Accounting method: Cash Accrual under section 507(b)(1)(A), check here. Fair market value of all assets at end of year X (from Part II, column (c), line 16) Other (specify) F If the foundation is in a 60-month termination G G $ 1146793281. (Part I, column (d) must be on cash basis.) under section 507(b)(1)(B), check here. Part I Analysis of Revenue and (d) Disbursements Expenses (The total of amounts in (a) Revenue and (b) Net investment (c) Adjusted net for charitable columns (b), (c), and (d) may not expenses per books income income purposes necessarily equal the amounts in (cash basis only) column (a) (see instructions).) 1 . Contributions, gifts, grants, etc., received (attach schedule) 3,927,862. 2 Check G if the foundation is not required to attach Sch. B 3 . Interest on savings and temporary cash investments 502,540. 502,540. See Statement 1A 4 Dividends and interest from securities . 5 a Gross rents . 2,902,699. 14,705,692. b Net rental income or (loss). 6 a Net gain or (loss) from sale of assets not on line 10. b Gross sales price for all 5,307,114. assets on line 6a . $889,995,113 7 Capital gain net income (from Part IV, line 2) See. Stmt 1B 35,377,878. 8 Net short-term capital gain. 9 Income modifications . 10 a Gross sales less returns and allowances. b Less: Cost of goods sold. c Gross profit or (loss) (attach schedule). 11 Other income (attach schedule) . See Statement 1C 725,973. -187,708. 12 Total. Add lines 1 through 11. 13,366,188. 50,398,402. 13 Compensation of officers, directors, trustees, etc.. 1,873,182. 127,968. 1,781,053. 14 Other employee salaries and wages . 4,293,505. 128,116. 4,149,902. 15 Pension plans, employee benefits. 3,100,003. 126,442. 2,479,274. 16 a Legal fees (attach schedule). .See . .St . 2. 397,952. 134,928. 386,405. b Accounting fees (attach sch) . .See . .St . 3. 228,529. 74,244. 143,759. c (attach sch). Other professional fees See St 4 7,024,657. 3,437,241. 3,504,863. 17 Interest. 319,508. 18 Taxes (attach schedule)(see instrs). See. Stm. 5. 918,688. 465,184. 164,998. 19 Depreciation (attach schedule) and depletion. See. .Stmt . .5A . 839,243. 20 Occupancy. 1,011,926. 25,762. 930,294. 21 Travel, conferences, and meetings. 1,086,199. 19,818. 1,053,886. 22 Printing and publications. 23 Other expenses (attach schedule) 45,902. 55,511. See Statement 6 1,240,328. 7,239,460. 1,414,819. 24 Total operating and administrative expenses. Add lines 13 through 23. 22,060,114. 12,098,671. 16,064,764. 25 . Contributions, gifts, grants paid 33,822,849. 32,426,446. 26 Total expenses and disbursements. Add lines 24 and 25 . 55,882,963. 12,098,671. 48,491,210. 27 Subtract line 26 from line 12: a Excess of revenue over expenses and disbursements . -42,516,775. b Net investment income (if negative, enter -0-). 38,299,731. c Adjusted net income (if negative, enter -0-) . BAA For Paperwork Reduction Act Notice, see instructions. TEEA0301L 12/12/18 Form 990-PF (2018) Page 1 of 141 Form 8868 Application for Automatic Extension of Time To File an (Rev. January 2019) Exempt Organization Return OMB No. 1545+1709 | File a separate application for each return. Department of the Treasury Internal Revenue Service | Go to www.irs.gov/Form8868 for the latest information. Electronic filing (e+file). You can electronically file Form 8868 to request a 6+month automatic extension of time to file any of the forms listed below with the exception of Form 8870, Information Return for Transfers Associated With Certain Personal Benefit Contracts, for which an extension request must be sent to the IRS in paper format (see instructions). For more details on the electronic filing of this form, visit www.irs.gov/e-file-providers/e-file-for-charities-and-non-profits. Automatic 6+Month Extension of Time. Only submit original (no copies needed). All corporations required to file an income tax return other than Form 990+T (including 1120+C filers), partnerships, REMICs, and trusts must use Form 7004 to request an extension of time to file income tax returns. Enter filer's identifying number Type or Name of exempt organization or other filer, see instructions. Employer identification number (EIN) or print ROCKEFELLER BROTHERS FUND, INC. 13+1760106 File by the due date for Number, street, and room or suite no. If a P.O. box, see instructions. Social security number (SSN) filing your 475 RIVERSIDE DRIVE, NO. 900 return. See instructions. City, town or post office, state, and ZIP code. For a foreign address, see instructions. NEW YORK, NY 10115 Enter the Return Code for the return that this application is for (file a separate application for each return) }}}}}}}}}}}}}}}}} 04 Application Return Application Return Is For Code Is For Code Form 990 or Form 990+EZ 01 Form 990+T (corporation) 07 Form 990+BL 02 Form 1041+A 08 Form 4720 (individual) 03 Form 4720 (other than individual) 09 Form 990+PF 04 Form 5227 10 Form 990+T (sec. 401(a) or 408(a) trust) 05 Form 6069 11 Form 990+T (trust other than above) 06 Form 8870 12 GERALDINE F. WATSON ¥ The books are in the care of | 475 RIVERSIDE DRIVE + NEW YORK, NY 10115 Telephone No. | 212+812+4200 Fax No. | ¥ If the organization does not have an office or place of business in the United States, check this box ~~~~~~~~~~~~~~~~~ | ¥ If this is for a Group Return, enter the organization's four digit Group Exemption Number (GEN) . If this is for the whole group, check this box|| . If it is for part of the group, check this box and attach a list with the names and EINs of all members the extension is for. 1 I request an automatic 6+month extension of time until NOVEMBER 15, 2019 , to file the exempt organization return for the organization named above. The extension is for the organization's return for: |X calendar year2018 or | tax year beginning , and ending . 2 If the tax year entered in line 1 is for less than 12 months, check reason: Initial return Final return Change in accounting period 3a If this application is for Forms 990+BL, 990+PF, 990+T, 4720, or 6069, enter the tentative tax, less any nonrefundable credits. See instructions. 3a $ 461,000. b If this application is for Forms 990+PF, 990+T, 4720, or 6069, enter any refundable credits and estimated tax payments made. Include any prior year overpayment allowed as a credit. 3b $ 717,000. c Balance due. Subtract line 3b from line 3a. Include your payment with this form, if required, by using EFTPS (Electronic Federal Tax Payment System). See instructions. 3c $ 0. Caution: If you are going to make an electronic funds withdrawal (direct debit) with this Form 8868, see Form 8453+EO and Form 8879+EO for payment instructions. LHA For Privacy Act and Paperwork Reduction Act Notice, see instructions.Form 8868 (Rev. 1+2019) MAIL TO: DEPARTMENT OF THE TREASURY INTERNAL REVENUE SERVICE CENTER OGDEN, UT 84201+0045 823841 12+19+18 19 12020426 756359 1710909.001 2018.03030 ROCKEFELLER BROTHERS FUND 17109091 Page 2 of 141 Form 990-PF (2018) Rockefeller Brothers Fund, Inc. 13-1760106 Page 2 Attached schedules and amounts in the description Beginning of year End of year Part II Balance Sheets column should be for end-of-year amounts only. (See instructions.) (a) Book Value (b) Book Value (c) Fair Market Value Cash ' non-interest-bearing 1 . 3,733,937. 1,933,601. 1,933,601. Savings and temporary cash investments 2 . 30,667,149. 58,906,919. 58,906,919. Accounts receivable G 3 . 1,766,615. Less: allowance for doubtful accounts G 1,732,871. 1,766,615. 1,766,995. Pledges receivable G 4 . 2,400,000. Less: allowance for doubtful accounts G 262,751,705. 2,400,000. 2,400,000. 5 Grants receivable. 6 Receivables due from officers, directors, trustees, and other disqualified persons (attach schedule) (see instructions). 7 Other notes and loans receivable (attach sch). G Less: allowance for doubtful accounts G 8 Inventories for sale or use . Prepaid expenses and deferred charges 9 . 13,710. 738,098. 737,718. 10 a Investments ' U.S. and state government obligations (attach schedule) .