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Return of Private Foundation 990-PF

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Return of Private Foundation 990-PF OMB No. 1545-0052 Form 990-PF Return of Private Foundation or Section 4947(a)(1) Nonexempt Charitable Trust Treated as a Private Foundation Department of the Treasury 2010 Internal Revenue Service Note. The foundation may be able to use a copy of this return to satisfy state reporting requirements. For calendar year 2010, or tax year beginning , and ending G Check all that apply: Initial return Initial return of a former public charity Final return Amended return Address change Name change Name of foundation A Employer identification number THE ROCKEFELLER FOUNDATION 13-1659629 Number and street (or P.O. box number if mail is not delivered to street address) Room/suite B Telephone number 420 FIFTH AVENUE 212-852-8361 City or town, state, and ZIP code C If exemption application is pending, check here~| NEW YORK, NY 10018-2702 D 1. Foreign organizations, check here ~~| 2. Foreign organizations meeting the 85% test, H Check type of organization: X Section 501(c)(3) exempt private foundation check here and attach computation ~~~~| Section 4947(a)(1) nonexempt charitable trust Other taxable private foundation E If private foundation status was terminated I Fair market value of all assets at end of year J Accounting method: Cash X Accrual under section 507(b)(1)(A), check here ~| (from Part II, col. (c), line 16) Other (specify) F If the foundation is in a 60-month termination | $ 3,593,289,629. (Part I, column (d) must be on cash basis.) under section 507(b)(1)(B), check here~| Part I Analysis of Revenue and Expenses (a) Revenue and (b) Net investment (c) Adjusted net (d) Disbursements (The total of amounts in columns (b), (c), and (d) may not for charitable purposes necessarily equal the amounts in column (a).) expenses per books income income (cash basis only) 1 Contributions, gifts, grants, etc., received ~~~ N/A 2 Check | X if the foundation is not required to attach Sch. B Interest on savings and temporary 3 cash investments ~~~~~~~~~~~~~~ 1,318,789. 1,318,789. STATEMENT 1 4 Dividends and interest from securities~~~~~ 40,205,164. 59,896,222. STATEMENT 2 5a Gross rents ~~~~~~~~~~~~~~~~ b Net rental income or (loss) 6a Net gain or (loss) from sale of assets not on line 10 ~~ 156783125. Gross sales price for all b assets on line 6a ~~ 551075084. 7 Capital gain net income (from Part IV, line 2) ~~~~~ 145077392. Revenue 8 Net short-term capital gain ~~~~~~~~~ 9 Income modifications~~~~~~~~~~~~ Gross sales less returns 10a and allowances ~~~~ b Less: Cost of goods sold ~ c Gross profit or (loss) ~~~~~~~~~~~~ 11 Other income ~~~~~~~~~~~~~~~ 634,269. 149,094. STATEMENT 3 12 Total. Add lines 1 through 11 198941347. 206441497. 13 Compensation of officers, directors, trustees, etc.~~~ 3,574,129. 761,632. 2,812,497. 14 Other employee salaries and wages~~~~~~ 13,932,264. 2,283,388. 11,554,998. 15 Pension plans, employee benefits ~~~~~~ 7,446,862. 638,763. 6,066,649. 16a Legal fees~~~~~~~~~~~~~~~~~STMT 4 762,576. 321,225. 449,482. b Accounting fees ~~~~~~~~~~~~~~STMT 5 298,824. 126,773. 151,718. c Other professional fees ~~~~~~~~~~~STMT 6 9,607,817. 6,629,673. 2,818,292. 17 Interest ~~~~~~~~~~~~~~~~~~ 1,066,843. 3,850,076. 1,043,383. 18 Taxes~~~~~~~~~~~~~~~~~~~STMT 7 3,848,916. 300,757. 0. 19 Depreciation and depletion ~~~~~~~~~ 1,874,701. 148,130. 20 Occupancy ~~~~~~~~~~~~~~~~ 1,918,229. 102,080. 1,883,632. 21 Travel, conferences, and meetings ~~~~~~ 3,268,340. 270,549. 3,063,601. 22 Printing and publications ~~~~~~~~~~ 334,118. 39,018. 327,023. 23 Other expenses ~~~~~~~~~~~~~~STMT 8 3,050,154. 27,574,330. 3,300,977. 24 Total operating and administrative expenses. Add lines 13 through 23 ~~~~~ 50,983,773. 43,046,394. 33,472,252. Operating and Administrative Expenses 25 Contributions, gifts, grants paid ~~~~~~~ 140905261. 139408226. 26 Total expenses and disbursements. Add lines 24 and 25 191889034. 43,046,394. 172880478. 27 Subtract line 26 from line 12: a Excess of revenue over expenses and disbursements ~ 7,052,313. b Net investment income (if negative, enter -0-)~~~ 163395103. c Adjusted net income (if negative, enter -0-) N/A 023501 12-07-10 LHA For Paperwork Reduction Act Notice, see the instructions. Form 990-PF (2010) 1 10081115 756359 621570.00 2010.05010 THE ROCKEFELLER FOUNDATION 62157091 Form 990-PF (2010) THE ROCKEFELLER FOUNDATION 13-1659629 Page 2 Beginning of year End of year Part II Balance Sheets Attached schedules and amounts in the description column should be for end-of-year amounts only. (a) Book Value (b) Book Value (c) Fair Market Value 1 Cash - non-interest-bearing~~~~~~~~~~~~~~~~~~~ 3,139,463. 8,655,202. 8,655,202. 2 Savings and temporary cash investments ~~~~~~~~~~~~ 65,310,000. 100,252,658. 100,252,658. 3 Accounts receivable 9 Less: allowance for doubtful accounts 9 4 Pledges receivable 9 Less: allowance for doubtful accounts 9 5 Grants receivable ~~~~~~~~~~~~~~~~~~~~~~~ 6 Receivables due from officers, directors, trustees, and other disqualified persons ~~~~~~~~~~~~~~~~~~~~~~ 7 Other notes and loans receivable ~~~~~~~~9 Less: allowance for doubtful accounts 9 8 Inventories for sale or use ~~~~~~~~~~~~~~~~~~~ 9 Prepaid expenses and deferred charges ~~~~~~~~~~~~~ 416,736. 403,427. 403,427. Assets 10a Investments - U.S. and state government obligations ~~~~~~~STMT 11 190,910,315. 737,872. 737,872. b Investments - corporate stock ~~~~~~~~~~~~~~~~~STMT 12 1,151,837,171. 1,285,371,240. 1,285,371,240. c Investments - corporate bonds ~~~~~~~~~~~~~~~~~STMT 13 296,625. 41,170. 41,170. 11 Investments - land, buildings, and equipment: basis ~~9 Less: accumulated depreciation ~~~~~~~~9 12 Investments - mortgage loans ~~~~~~~~~~~~~~~~~ 13 Investments - other ~~~~~~~~~~~~~~~~~~~~~~STMT 14 1,847,126,024. 2,141,700,676. 2,141,700,676. 14 Land, buildings, and equipment: basis 9 35,175,877. Less: accumulated depreciation ~~~~~~~~STMT 15 9 13,676,564. 21,576,405. 21,499,313. 21,499,313. 15 Other assets (describe 9 STATEMENT 16) 36,487,939. 34,628,071. 34,628,071. 16 Total assets (to be completed by all filers) 3,317,100,678. 3,593,289,629. 3,593,289,629. 17 Accounts payable and accrued expenses ~~~~~~~~~~~~~ 8,521,154. 8,303,766. 18 Grants payable ~~~~~~~~~~~~~~~~~~~~~~~~ 42,800,342. 45,429,636. 19 Deferred revenue ~~~~~~~~~~~~~~~~~~~~~~~ 20 Loans from officers, directors, trustees, and other disqualified persons ~~~~ 21 Mortgages and other notes payable ~~~~~~~~~~~~~~~ Liabilities 22 Other liabilities (describe 9 STATEMENT 17) 44,923,239. 47,379,070. 23 Total liabilities (add lines 17 through 22) 96,244,735. 101,112,472. Foundations that follow SFAS 117, check here 9 X and complete lines 24 through 26 and lines 30 and 31. 24 Unrestricted ~~~~~~~~~~~~~~~~~~~~~~~~~ 3,220,855,943. 3,492,177,157. 25 Temporarily restricted ~~~~~~~~~~~~~~~~~~~~~ 26 Permanently restricted~~~~~~~~~~~~~~~~~~~~~ Foundations that do not follow SFAS 117, check here 9 and complete lines 27 through 31. 27 Capital stock, trust principal, or current funds ~~~~~~~~~~~ 28 Paid-in or capital surplus, or land, bldg., and equipment fund ~~~~ 29 Retained earnings, accumulated income, endowment, or other funds~ 30 Total net assets or fund balances~~~~~~~~~~~~~~~~ 3,220,855,943. 3,492,177,157. Net Assets or Fund Balances 31 Total liabilities and net assets/fund balances 3,317,100,678. 3,593,289,629. Part III 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 3,220,855,943. 2 Enter amount from Part I, line 27a ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 2 7,052,313. 3 Other increases not included in line 2 (itemize) 9 SEE STATEMENT 9 3 269,643,639. 4 Add lines 1, 2, and 3 ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 4 3,497,551,895. 5 Decreases not included in line 2 (itemize) 9 SEE STATEMENT 10 5 5,374,738. 6 Total net assets or fund balances at end of year (line 4 minus line 5) - Part II, column (b), line 30 6 3,492,177,157. Form 990-PF (2010) 023511 12-07-10 2 10081115 756359 621570.00 2010.05010 THE ROCKEFELLER FOUNDATION 62157091 Form 990-PF (2010) THE ROCKEFELLER FOUNDATION 13-1659629 Page 3 Part IV Capital Gains and Losses for Tax on Investment Income (a) List and describe the kind(s) of property sold (e.g., real estate, (b) How acquired (c) Date acquired (d) Date sold P - Purchase 2-story brick warehouse; or common stock, 200 shs. MLC Co.) D - Donation (mo., day, yr.) (mo., day, yr.) 1a b SEE ATTACHED STATEMENTS c d e (e) Gross sales price (f) Depreciation allowed (g) Cost or other basis (h) Gain or (loss) (or allowable) plus expense of sale (e) plus (f) minus (g) a b c d e 551,075,084. 482,534,222. 145,077,392. Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69 (l) Gains (Col. (h) gain minus (j) Adjusted basis (k) Excess of col. (i) col. (k), but not less than -0-) or Losses (from col. (h)) (i) F.M.V. as of 12/31/69 as of 12/31/69 over col. (j), if any a b c d e 145,077,392. rIf gain, also enter in Part I, line 7 p 2 Capital gain net income or (net capital loss) sqIf (loss), enter -0- in Part I, line 7 ~~~~~~ om 2 145,077,392. 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). p If (loss), enter -0- in Part I, line 8 om 3 N/A Part V 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.) If section 4940(d)(2) applies, leave this part blank.
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