Return of Private Foundation OMB No 1545-0052 Form 990 -PF Or Section 4947 ( A)(1) Nonexempt Charitable Trust ` Treated As a Private Foundation 2012 Note
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l efile GRAPHIC p rint - DO NOT PROCESS As Filed Data - DLN: 93491316010213 Return of Private Foundation OMB No 1545-0052 Form 990 -PF or Section 4947 ( a)(1) Nonexempt Charitable Trust ` Treated as a Private Foundation 2012 Note . The foundation may be able to use a copy of this return to satisfy state reporting requirements Department of the Treasury • . - Internal Revenue Service , - M.- For calendar year 2012 , or tax year beginning 01 - 01-2012 , and ending 12-31-2012 Name of foundation A Employer identification number THE ROCKEFELLER FOUNDATION 13-1659629 Number and street (or P 0 box number if mail is not delivered to street address ) Room/ suite U ieiepnone number ( see instructions) 420 FIFTH AVENUE (212) 852-8361 City or town, state, and ZIP code C If exemption application is pending, check here F NEW YORK, NY 100182702 G Check all that apply r'Initial return r'Initial return of a former public charity D 1. Foreign organizations , check here F r-Final return r'Amended return 2. Foreign organizations meeting the 85% test, r Address change r'Name change check here and attach computation H Check type of organization FSection 501( c)(3) exempt private foundation r'Section 4947( a)(1) nonexempt charitable trust r'Other taxable private foundation J Accounting method F Cash F Accrual E If private foundation status was terminated I Fair market value of all assets at end und er section 507 ( b )( 1 )( A ), c hec k here F of y e a r (from Part 77, col. (c), F Other (specify) _ F If the foundation is in a 60 - month termination line 16 3,695,617,868 (Part I, column (d) must be on cash basis.) under section 507 b 1 B, check here 0- F ( d) Disbursements Analysis of Revenue and Expenses (The (a) Revenue and (b) Net investment ( c) Adjusted net for charitable tota l of amounts in columns (b), (c), and (d) may not expenses per income income purposes necessanly equal the amounts in column (a) (see books instructions) ) (cash basis only) 1 Contributions, gifts, grants , etc , received ( attach schedule) 2 Check F if the foundation is not required to attach Sch B 3 Interest on savings and temporary cash investments 33,761 33,761 4 Dividends and interest from securities . 43,025,922 89,922,487 5a Gross rents . b Net rental income or (loss) C, 6a Net gain or (loss ) from sale of assets not on line 10 255,042,702 b Gross sales price for all assets on line 6a 229,396,229 co 7 Capital gain net income (from Part IV , line 2) 185,720,627 8 Net short- term capital gain . 9 Income modifications . 10a Gross sales less returns and allowances b Less Cost of goods sold . c Gross profit or (loss ) ( attach schedule) . 11 Other income ( attach schedule ) . 775,822 1,650,564 12 Total . Add lines 1 through 11 . 298,878,207 277,327,439 13 Compensation of officers, directors , trustees , etc 4,539,855 1,450,343 3,089,512 14 Other employee salaries and wages 17,655,284 4,247,344 13,193,074 15 Pension plans , employee benefits . 9,571,431 652,916 6,067,617 16a Legal fees ( attach schedule) . 499,694 280 ,054 222,469 b Accounting fees ( attach schedule ) . 382,137 196 ,738 138,399 W co c Other professional fees ( attach schedule ) . 95 17,165,314 6,557,302 10,656,291 17 Interest . 709,615 3,972,402 671,337 C5 18 Taxes ( attach schedule) (see instructions ) 5,990,475 628,404 0 19 Depreciation ( attach schedule ) and depletion . 1,960,716 321,731 +1 20 Occupancy . 1,989,759 209,591 1,839,233 21 Travel, conferences , and meetings . 3,707,388 308,963 3,336,520 22 Printing and publications . 327,888 36,072 189,593 23 Other expenses ( attach schedule ) . 3,612,846 31,382,459 3,446,198 s 24 Total operating and administrative expenses. Add lines 13 through 23 . 68,112,402 50,244,319 42,850,243 25 Contributions , gifts, grants paid . 131,244,908 135,082,747 26 Total expenses and disbursements . Add lines 24 and 25 199,357,310 50,244,319 177,932,990 27 Subtract line 26 from line 12 a Excess of revenue over expenses and disbursements 99,520,897 b Net investment income ( if negative , enter -0- ) 227,083,120 c Adjusted net income (if negative , enter -0-) . For Paperwork Reduction Act Notice, see instructions . Cat No 11289X Form 990-PF (2012) Form 990-PF (2012) Panes 2 Attached schedules and amounts in the description column Beginning of year End of year Balance Sheets should be for end-of- y ear amounts onl y (See instructions ( a) Boo k Va l ue ( b ) Boo k Va l ue ( c) Fair M ark et Va l ue 1 Cash-non - interest-bearing . 10,324,311 12,191,041 12,191,041 2 Savings and temporary cash investments . 57,039,630 147,559,000 147,559,000 3 Accounts receivable ► Less allowance for doubtful accounts Oil 4 Pledges receivable ► Less allowance for doubtful accounts Oil 5 Grants receivable . 6 Receivables due from officers , directors , trustees , and other disqualified persons ( attach schedule) (see page 15 of the instructions ) . 7 Other notes and loans receivable ( attach schedule) Ilk, Less allowance for doubtful accounts Oil 8 Inventories for sale or use . 9 Prepaid expenses and deferred charges . 522,109 205,296 205,296 10a Investments - U S and state government obligations ( attach schedule ) 877,997 499,685 499,685 b Investments - corporate stock ( attach schedule ) . 233,012,22 3 214,740,728 214,740,728 c Investments - corporate bonds ( attach schedule ). 11 Investments - land, buildings , and equipment basis Oil Less accumulated depreciation ( attach schedule) ► 12 Investments - mortgage loans . 13 Investments - other ( attach schedule ) . 3,158,416,155 3,273,279,357 3,273,279,357 14 Land, buildings , and equipment basis Oil 38,119,752 Less accumulated depreciation ( attach schedule ) Ilk, 17,672,582 20,764,394 20,447,170 20,447,170 ) 26,188,052 26,695,591 26,695,591 15 Other assets ( describe ► 16 Total assets ( to be completed by all filers-see the instructions Also, see page 1, item I) 3,507,144,871 3,695,617,868 3,695,617,868 17 Accounts payable and accrued expenses . 7,354,185 8,611,650 18 Grants payable . 55,197,645 51,359,984 19 Deferred revenue . 20 Loans from officers, directors, trustees , and other disqualified persons C5 21 Mortgages and other notes payable ( attach schedule) ) 46,848,613 46,295,915 22 Other liabilities ( describe ► 23 Total liabilities ( add lines 17 through 22) 109,400,443 106,267,549 Foundations that follow SFAS 117, check here ' F and complete lines 24 through 26 and lines 30 and 31. w1 4) 24 U nrestricted . 3,397,744,428 3,589,350,319 25 Temporarily restricted 26 Permanently restricted Foundations that do not follow SFAS 117, check here F- and complete lines 27 through 31. U- 27 Capital stock, trust principal, or current funds . 28 Paid-in or capital surplus , or land, bldg , and equipment fund n 29 Retained earnings, accumulated income, endowment , or other funds 30 Total net assets or fund balances ( see page 17 of the instructions ) . 3,397,744,428 3,589,350,319 31 Total liabilities and net assets/ fund balances ( see page 17 of the instructions ) . 3,507,144,871 3,695,617,868 UTIM 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 ) . 1 3,397,744,428 2 Enter amount from Part I, line 27a . 2 99,520,897 3 Other increases not included in line 2 ( itemize ) IN 3 94 ,311,897 4 Add lines 1 , 2, and 3 . 4 3,591,577,222 5 Decreases not included in line 2 (itemize ) Oil IN 5 2,226,903 6 Total net assets or fund balances at end of year (line 4 minus line 5)-Part II, column ( b), line 30 6 3,589,350,319 Form 990-PF (2012) Form 990-PF (2012) Page 3 Ca ital Gains and Losses for Tax on Investment Income (b) How acquired (a) List and describe the kind(s) of property sold (e g , real estate, (c) Date acquired (d) Date sold P-Purchase 2-story brick warehouse, or common stock, 200 shs M LC Co (mo , day, yr (mo , day, yr D-Donation la See Additional Data Table b C d e (f) Depreciation allowed (g) Cost or other basis (h) Gain or (loss) (e) Gross sales price (or allowable) plus expense of sale (e) plus (f) minus (g) a See Additional Data Table b C d e Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69 (I) Gains (Col (h) gain minus (j) Adjusted basis (k) Excess of col (i) col (k), but not less than -0-) or (i) F M V as of 12/31/69 as of 12/31/69 over col (j), if any Losses (from col (h)) a See Additional Data Table b C d e If gain, also enter in Part I, line 7 2 Capital gain net income or (net capital loss) If (loss), enter -0- in Part I, line 7 2 185,720,627 3 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6) If gain, also enter in Part I, line 8, column (c) (see instructions) If (loss), enter -0- in Part I, line 8 3 t1 Qualification Under Section 4940 ( e) for Reduced Tax on Net Investment Income (For optional use by domestic private foundations subject to the section 4940(a) tax on net investment income ) f section 4940( d)(2) applies, leave this part blank Was the foundation liable for the section 4942 tax on the distributable amount of any year in the base period? 1 Yes F No If "Yes," the foundation does not qualify under section 4940 ( e) Do not complete this part 1 Enter the appropriate amount in each column for each year, see page 18 of the instructions before making any entries (d) Base period years Calendar Distribution ratio Adjusted qualifying distributions Net value of noncharitable-use assets year (or tax year beginning in) (col (b) divided by col (c)) 2011 171,707,357 3,509,252,056 0 048930 2010 174,424,898 3,254,142,493 0 053601 2009 177,768,975 3,021,756,161 0 058830 2008 181,791,285 3,705,828,203 0 049056 2007 201,037,622 3,907,395,237 0 051451 2 Total of line 1, column (d) .