Return of Private Foundation No ~1545 0052 Fonh990-PF or Section 4947(a)(1) Nonexempt Charitable Trust Departsent of its Treasury Treated as a Private Foundation Internal Reenue Semce Note The organization ma be able to use a co o/ this return to satisfy state re orhn 2001 For calendar ear 2001 or tax ear b Innln , 2001, and end G Check all that apply Initial return Final return Amended return g Addr Name of organization EEmployer identification number Use lhelRS label THE THOMAS W WAT}{EN FOUNDATION Nn-o inz»i Otherwise, Number and street (or P O box number if mail is not delivered to street address) Room/suite B Telephone number (see page 10 0l print the instructions) or type See Specific 909 LILAC DRIVE 310 859-0500 C if ... told. ii,pisaroon is Instructions City or town, state, and 21P code pending enxkner. , D I Foreign oqenpawna thick hem LJ SANTA nnaanns ~ 93108 t Foreign oqanltir0ommwIYipNe LS% ban. Check he' . end adach i Check type of organ¢ahon X Section 501(c)L3) exempt private foundation Computation is. Ej
E rt ohn'an rounaamn MM was hrmimba I Fair market value of all assets at end J Accounting method U Cash U Accrual under sicmm n 57(EgtMN Check here 0.0
of year (from Part 11 col (c), line Q Other (specify) _ F II the foundation b in a 6o-mon. = imn; 16 . 13 , 066 , 756 (Pert l, column (d) must be on cash basis ) unauscmn507(oNtgB) Ch (d) Disbursements Analysts of Revenue and Expenses (a) Revenue and (The total of amounts m columns (b) (c), end (b) Net investment (e) Adjusted net far charitable expenses per (d) may not necessarily equal the amounts in income income ourooses books column !al Isee DOGS 10 0l the instructions) )
1 Con1rIDWOn~~ .8_!b iithints etc nceME("Cac7~chaEUle) . ask , I I ns foundation is not requited to ~-~ attach Sch B Z Distributions from split-interest trusts 3 Interest on whops and temporary cash inhrestments 4 Dividends and interest from securities 5 a Gross rents y b (Net rental come or (doss) 6 a Net pain or (lose) from sale of assets not on line 10 v b Gross sales once for ail y assets anline6a 10,029,84d 7 Capital gain net income (from Part IV, line 2) . N O 8 Net short-term capital gain 9 Income modifications Joe Gross sates less resume O a2 492 a and alloxancn w b Less Cost of goods wld 40 , 625 c Green profit or (lose) (attach Schedule) 11 Other income (attach schedule) 0 W Z 1 7 Compensation of officers directors, trustees; etc Q 14 Other employee salaries and wages U
r66 AC ;g~njifrccountio es"e SeaM attach ula~ T?dT O;W%o 360 ~h scMQIW Q 7 h e 8 I C7WLrea'tiI `1' . o.yi u a ...... ~ OGDEN E 9 8spreeroM~r(ellecfreef~edufe) and depletion 20 Occupancy v e 21 Travel, conferences, and meetings A mCZ2 Printing and publications 23 Other expenses (attach Schedule) $TbIT 11 m 21 Total operating and administrative expenses Add lines 13 through 23 , , 26 Contributions, gifts, grants paid
27 Subtract line 26 from line 12 a Eacmarevenue over expenses end disbursements 2 , 504 , 398 b Net investment income (if negative, enter -D-) 1 c Ad j usted net income (if ne gative, enter -0-) JSA iE+4io a 000 For Paperwork Reduction Act Notice . see the instructions Form 990-PF (2001) 001022 1639 V01-7 602799 5 Attached Schedules and amounts m the Balance Sheets description column Should be for end of-year amounts onN f5ee insirudions 1 1 Cash -non-interest-beanng 2 Savings and temporary cash investments 7 Accounts receivable " _ Less allowance for doubtful accounts 1 4 Pledges receivable I Less allowance for doubtful accounts 6 Grants receivable , , 6 Recervables due from officers, directors, trustees, and other disqualified persons (wrath schedule) (see page 15 of the instructions) 7 Other notes and loans receivable (attach schedule) 1 Less allowance (or doubtful accounts 8 Inventories for sale or use h 9 Prepaid expenses and deferred charges h 10a investments U S and state government obligations (attac6TMMuli42 b Investments - corporate stock (attach schedule) STiT~ .13 c Investments - corporate bonds (attach schedule) ST= Investments-IanO buildings lll~ 11 and equipment basis ______3~815~943_ Less accumulated depreciation it . (attach schedule) ------~----157,564 12 Investments - mortgage loans , 13 Investments - other (attach schedule) 74 Land buildings and , equipment basis ______Less accumulated depreciation 1, (attach schedule) 15 Other assets (describe " -______STMT_15) 76 Total assets (to be completed by all filers-see gape 16 of
17 Accounts payable and accrued expenses , 18 Grants payable 79 Deferred revenue , , , , , , , , , , , , , $ 0 Loans from officers directors trustees and other disqualified persons 21 Mortgages and other notes payable (attach schedule) 72 Other liabilities (describe " ____-____)
~ oeai uaonttiea aaa ones i i mrou z Organizations that follow SFAS 117, check here and complete lines 24 through 26 and lines 30 and 31 . 26 Unrestricted , , , , , , , , , , 25 Temporarily restricted , , , , , . . . . 28 Permanently restncted Organizations that do not follow SFAS 117, check here and complete lines 27 through 71 . po-X~ 27 Capital stock, trust principal, or current funds ...... 29 Paid in or capital surplus or land bog , end equipment fund , , 29 Retained earnings accumulated income, endc,,,,ment, or other funds SO Total net assets or fund balances (see papa 17 of the instructions) , , , , , , , 71 Total liabilities and net assets/hind balances (sea page 17 Of
Analysis of Changes in Net Assets or Fund Balances
1 Total oat assets or fund balances at beginning of year - Part II, column (a), line 30 (must agree with end-of-year figure reported on poor years velum) , , , , 2 Enter amount from Part I, line 27a 3 Other increases not included in tine 2 (itemize) " SEE STATEl&ENT 16 4 Add lines t, 2, and 3 5 Decreases not included inline 2(item¢e) "______6 Total net assets nr fiend halancae ~f and nl ,ear fhnn d minus lion 51 . Part II enlumn !hl lines 70 12,944,513 Fom,990-PF (2oot) JSA tE14707000 001022 1639 VO1-7 602799 6 3
Date (a) List and describe the kind(s) of property sold (e g , real estate, acquired (c) (d) Date sold ac quired P'Purchax (mo , day, yr ) 2-story brick warehouse, or common stock, 200 she MLC Co ) (mo day, yr ) tD-Donation a SEE PART IV SCHEDULE I b c d e (e) Gross sales price (1) Depreciation allowed (g) Cost or other basis (h) Gain or (loss) (or allowable) plus expense of sale (e) plus (f) minus (p)
d
Com plete onl y for assets showin g gain in column h and owned b the foundation on 72/37/69 (I) Gains (Col (h) gain minus col (nless (p F M V as of 12/31/69 U) Adjusted basis (k) Excess of Col (i) as of 12/31169 over col Q), if any Losses (fro ol a( h))~) or a 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 } 2 762 , 30 . 1 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 pages 73 and 77 of the Instructions) ,r If (loss) . enter- in Part 1. line 8 ...... , 3 I 226 .16
(For optional use by domestic private foundations subject to we section 4940(a) tax on net investment income )
If section 4940(d)(2) applies, leave this part blank
Was the organization liable for the section 4942 tax on the distnbutable amount of any year in the base period? , . , F-1 Yes X No If "Yes," the organization does not qualify under section 4940(e) Do not complete the part
1 Enter the appropriate amount in each column for each year, see page 18 of the instructions before making any entnes
Base penal years Calendar year ( b~ ( c ~ qualRying easels Distribution~ inter for tar vas' beainnino ~nl Adjusted distributions Net value W noncharrta0lo-use 1-1 -1 1~11
1999 1998 1997
2 Total of line 1, column (d) ...... I 2 Average distribution ratio for the 5-year base penod-divide the total on line 2 by 5, or by the number of years the foundation has been in existence d less than 5 years
4 Enter the net value of nonchantable-use assets for 2001 from Part X, tine 5 , , . , , U-- 8
5 Multiply line 4 by line 3 , , , , , , , , , I S
8 Enter 1°h of net investment income (1°.6 of Part I, line 27b) ......
7 Add lines 5 and 6
8 Enter qualifying distributions from Part XII, line 4 ...... 1 8 1 888,253 II line 8 is equal to or greater than line 7 check tie box in Pert VI, line tband complete that part using a 1% W rate See the Pan VI instructions on page 10 JS\ ,e1.30 3 000 Form 990-PF (2001) 001022 1639 V01-7 602799 7 Excise Tax Based on Investment Income (Section 4940(a), 4960(b ), 494 0(e), or 4948 - see pa 18 of 1 a Exempt operating foundations described in section 4940(d)(2), check here J~ and enter N/A" on line 1 Date of ruling letter ______(attach copy of ruling letter if necessary - see instructions) b Domestic or anizations that meet the section 4940(e) requirements in Part V, check here " and enter 1 % of Part 1, line 27b c All other domestic organizations enter 2% of line 27b Exempt foreign organizations enter 4°.6 0l Part I, line 12, col (b) Z Tax under section 511 (domestic section 4947(a)(i) trusts ana tueuIC fu~ndo;on~ ~^ ;" ^'~^"e ^wer-rW a Add lines 1 and 2 d Subtitle A (income) tax (domestic section d947(a)(1) trusts and taxable foundations only Others enter -0-), 5 Tax based on investment income Subtract line d from line 3 II zero or less, enter -o- 6 CreditslPayments a 2001 estimated tax payments and 2000 overpayment credited to 2001 6a b Exempt foreign organizations - tax withheld at source 8 b NONE c Tax paid with application for extension of time to file (Forth B868) , , , , fic 25 . 000 . d Backup withholding erroneously withheld , I 6d 7 Total credits and payments Add lines 6a through 6d . . . . . 8 Enter any penalty for underpayment of estimated tax Check here a il Form 2220 is attached , , 9 Tax due If the total of lines 5 and B is more than line 7, enter amount awed 7 0 Overpayment If line 7 is more than the total of lines 5 and B, enter the amount overpaid , 1 11 Enter the amount of line 10 to be Credited to 7002 estimated tax " 1,086 Refunded 10
1 a During the tax year, did the organization attempt to influence any national, state, or local legislation or did Yes No it participate or intervene in any poldical campaign? , , , , , , 1 a X b Did it spend more than $100 during the year (either directly or indirectly) for political purposes (see gape 19 of the instructions for definition)? , , 7 b X If the answer is 'Vas' to la or 16, attach a detailed descnphon of the activities and copies of any matenals published or distributed by the aganrza6on in connxbon with the actrvibas c Did the organization file Form 1120-POl (or this year? , , , , , , , , 1 c X d Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year (1) On the organization Jo. $ (Z) On oryanizahon managers " $ e Enter the reimbursement (if any) paid by the organization during the year for political expenditure tax imposed on organization managers 1 f 2 Has the organization engaged in any activities that have not prehousy, been reported to the IRS? , , , Y X 11 'Yes,' attach a detailed descnphon of the ecbvl6es 3 Has the organization made any changes. not previously reported to the IRS, in ft governing instrument, articles of incorporation, or bylaws, or other similar instruments? If 'Yes,' attach a conformed ropy of the changes , , , , , 3 X 4 a Did the organization have unrelated business gross income of $1,000 or more during the year! 4a X b If "Yes," has it filed a tax return on Farm 990 "7 !or this yea( bb N A 5 Was there a liquidation, termination, dissolution, or substantial contraction during the year? , , 6 X I/ 'Yes,' attach the statement required by General Insbuc6on T 6 Are the requirements of section SOB(e) (relating to sections 4941 through 4945) satisfied either By language in the governing instrument or By state legislation that effectively amends the governing instrument so that no mandatory directions that conflict with the state law remain in the governing instrument? 6 X 7 Did the organization have at least E5,000 In asset at any time during the ywn If ties,' complete Pert fl, cd (c), end PaRXV , , 7 X B a Enter the states to which the foundation reports or with which it is registered (see gape 19 0l the instructions) is. CALIFORNIA b II the answer is "Yes" to line 7, has the organization furnished a copy of Form 99aPF to the Attorney General (or designate) of sash state as required by General Instruction G7 1/'No,' attach explanation 8 b X 9 Is the organization claiming statue as a private operating foundation within the morning of section 49420(3) or 49420(5) for calendar year 2001 or the taxable year beginning m 2001 (see instructions for Part XIV on page 25)7 H "Yes 'complete Pert XlV ...... 9 X 10 Did any persons become substantial contributors during the tax year? if 'Yes,"aMech a schedule listing Men names end aCdrBM1a' ,17 1 0 X 71 Did the organization comply with the public inspection requirements for its annual returns and exemption application? . . . . 11 X Web site address lli~ 12 The books are in careol ~_JOFR9_LYON~_AATSAY 6 LYON-LLP______Telephone no Located at fl~ 9200_ SUNSET BLVD- -,- LOS-ANGELES _ CA- ______ZIP-4 90069 ______17 Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1047 -Check here "~ and enter the amount of tax-exempt interest received or accrued dunng the veer 13
JsA Form 990-PF (2001) 1 E 144D t 000 001022 1639 V01-7 602799 8 Form 990-PF S
Gale Foam 4720 if any item is checked in the "Yes" column, unless an exception applies 1 a During the year did the organization (either directly or industry) (7) Engage in the sale or exchange or leasing of property with a disqualified person? . ~ Yes a No (Z) Borrow money from, lend money to, or otherwise extend credit to (or accept A from) ^ I-1 a disqualified person? . . . I I Yes I X I No (3) Furnish goods, services, or facilities to (or accept them from) a Cisauaufieo person- r~-~~-y Y.. ~- X I No (4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person? L-1 yes aX 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)? ~ Yes ~X No (6) Agree to pay money or property to a government official'! (Exception Check "No' if the organization agreed to make a grant to or to employ the official for a period otter termination of government service, if terminating within 90 days ) a yes 1Z No b II any answer 1s "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 page 19 of the instructions)? ~ Organizations relying on a current notice regarding disaster assistance check here . . ~ L-I c Did the organization 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 2001? ...... 2 Taxes on (allure to distribute income (section 4942) (does not apply for yeah the organization was a pmata operating foundation defined in section 4942Q)(3) or 4942Q)(5)) a At the end of tax year 2001, did the organization have any undistributed income (linen 6d and 6e, Part XIII) for to year(s) beginning before 2001? . El Yes NNo If 'Yea; list theyears " ______' ______'__' ______' ______b Are there any years listed in 2a for which the organization is not applying the provisions 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 - ex page 19 0l we instructions ) . " . . . . c II the provisions of section 4942(a)(2) are being applied to any of the years listed in 2a, list the yeah here 1______.______.______. 3 a Did the organization hold mope than a 2% direct or indirect interest in any business enterprise at any time during the yeah , , . E]Vea ~X No b II 'Yes, did it have excess business holdings in 2001 as a result of (1) any purchase by the organization or disqualified persons after May 26, 1969, (2) the lapse of the 5-year period (or longer penod approved by the Commissioner under section 4943(c)(7)) to dispose of holdings acquired by gift or bequest, or (3) the lapse of the 10-, 15-, or 20-year first phase holding penad? (Use Schedule C Form 4720, to determine if the organrza6on had excess business holdings fn 2001 ) ...... 4 a Did the organization invest during the year any amount in a manner that would jeopardize its charitable purposes'! b Did the organization make any investment in a prior year (but after December 31, 1969) that could jeopardize its charitable purpose that had not been removed from jeopardy before the fiver day of the fax year beginning in 20017 . . . . . 6 a During the year did the organization pay or incur any amount to (1) Carry on propaganda, or otherwise attempt to influence legislation (section 4945(e))'7 0 Yes a No (2) Influence the outcome of any specific public elect= (see section 4955), or to `arty on, directly or indirectly, any voter registration dine? BX No (3) Provide a grant to an individual lortravel, study, or other similar purposn~ H YesYea X No (4) Provide a grant to an organization other than a charitable, etc , organization described in section 509(a)(1), (2), "(3), or secUOn a940(d)(2)'! , , , 0 Yes ~X No (5) Provide for any purpose other than religious, charitable, scientific, literary, or educational purposes, or for the prevention of cruelly to children or animals'! , , , , , , 1:1 Yes X Na b II any answer is "Yes" to Sa(t){5), did any of the transactions fail to quality under the exceptions desenbed In Regulations section 53 4945 or in a current notice regarding disaster assistance (see papa 20 0l the instructions)? Organizations relying on a current notice regarding disaster assistance check here c If the answer is -Yes" to question 5a(4), does the organization claim exemption from the tax because it maintained expenditure responsibility for the grant') . . NBA [--]Yea E:]No If 'Yes,' attach the statement required by Regulations secfron 53 49455(d) fi a Did the organization, during the year, receive any funds, directly or indirectly . to pay premiums on a personal benefit contract? . . , , 0 yes EzNo b Did the organization during the year, pay premiums, directly or indirectly . on a personal benefit contract'! , , 11 Vou answered 'Yes'to 66 also file Form 8870 Forth 990-PF (2001)
I E14504 000 001022 1639 V01-7 602799 9 Form 990-PF (toot) 1 95-4752331 Page 6 Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees, . and Contractors 1 List all officers, directors, trustees, foundation mana gers and their com pensation (see page 20 of the instructions ) (b) Title and average (q Compensation (n) contrioumn . m (a) Expense account (e) Name and address hours per weeN (If not paid, enter ~mpioyw Mneee ox,iru, aerated to position y end a .bma mmp .nnmn other allowances
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I 2 Compensation of flue highest-paid employees (other than those Included on line t - see page 21 of the Instructions) 1f none, enter "NONE." (D) Title and aver (C) Conttieuoona m a Name and address of each employee paid more than $50 000 hours per meek (c) Compensation employee eenem piana (~) Expense account other allowances devoted 1o position end a~lartsO comqnramn
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1 Five highest-paid Independent contractors for professional services - (sea papa 21 of the Instructions). H none, enter "NONE"
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Total number of others receiving over $50,000 for professional services 10- 1 NONE Summary of Direct Charritable Activities
List the foundation s lour largest dared charitable actlvNp Ounnp the tax year Include relevant statistical information such as the number of organizations and other bereftcmnp served conferences convened research papers produced etc Expenses
1 SEE STATElENT 19 ------454 718 2 ------
J ------
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Form 990-PF (2001) JSA e use a 000 001022 1639 V01-7 602799 10 Amount
1 - NONE ------
2 ------
program page
NONE ------
Total Add lines 1 through 3 Minimum Investment Return (All domestic foundations must complete this part see page 22 of the instructions ) t Fair market value of assets not used (or held for use) directly in carrying out charitable, etc , purposes a Average monthly fair market value of securities 7a h Average of monthly cash balances c Fair market value of all other assets (see page 22 of the instructions) d Total (add lines 1 a, b, and c) e Reduction claimed for blockage or other factors reported on lines 1a and 1c (attach detailed explana4on) , . ~ 1 e I 2 Acquisition indebtedness applicable to line 1 assets 2 7 Subtract line 2 tram line 1d 4 Cash deemed held for charitable activities Enter 1 7/2% of line 3 (for greater amount, see page 23 of the instructions) 4 S Net value of noncharitable-use assets. Subtract line 4 from line 3 Enter here and on Part V, line 4 8 Minimum Investment return Enter 5°.b of tine 5 Distributable Amount (see page 23 of the instructions) (Section 4942Q)(3) and 0)(5) private ~foundaUons and certain foreign organizations check here ii~ n and do not complete this pay 1 Minimum investment return from Part X, line 6 . , , , , 2 a Tax on investment income for 2001 from Part VI, line 5 . " 2a " . . .NONE b Income tax for 2001 (This does not include we tax from Part VI ) 2b e Add lines 2a and 2c 2b .. . ~ 7 Distributable amount before adjustments Subtract line 2c from tine 1 7 d a Recoveries of amounts treated as qualifying distributions . 4a NONE b Income distributions from section 4947(a)(2) trusts . " " 4b c Add lines 4a and 4b ...... 4e S Add lines 3 and 4c . . 8 Deduction from distributable amount (see page 23 of the instructions) F6 7 Dlstrlbutable amount as adjusted Subtract line 6 from line 5 Enter here and on Part (III. line 1
Qualifying Distributions (see page 23 of the instructions)
1 Amounts paid (including administrative expenses) to accomplish charitable, etc , purposes a Expenses, contributions, gifts, etc - total from Part I, column (d), line 26 ...... 7 a 433 , 535 b Program-related investments-Total horn Part IX-B 1 b NONE 2 Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, ;to , purposes 2 454 , 718 3 Amounts set aside for specific charitable projects that sa4sfy the . a Suitability test (prior IRS approval required) . . . , . . , 3a NONE b Cash distribution test (attach the required schedule) . , 3b I NONE 4 Qualifying distributions Add lines 1 a through 3b Enter here and on Part V, line 8 and Part XIII, tine 4 4 888 , 253 5 Organizations that qualify under section 4940(e) for we reduced rate of tax on net investment income Enter 1 °h of Part I, line 27b (see page 24 of the instructions) S N/A 8 Adjusted qualifying distributions Subtract line 5 from line 4 8 888 , 253 Note The amount on line 6 will be used in Part V, column (b), in subsequent years when calculating whether the foundation qualifie s for the section 494 0(e) reduction o/ tax m those years .,yA Form 990-PF(2001) 1E14704 000
001022 1639 V01-7 602799 11 95-4752331 Form 990-PF (7001) Page 8
bndistnbuted income (see page 24 of the instructions)
(a) (b) (c) (d) Disiributable amount for 2001 from Pan XI, Corpus Years prior to 2000 7~ 2000 2001 line 7 NONE 2 Undistributed income d any as of the end of 2000 a Enter amount for 2000 only NONE b Total for prroryears 1999 NONE 7 Excess distributions carryover, if any, to 2001 a From 1996 NO b From 1997 NO c From 1998 NO d From 1999 NO e From 2000 NO 1 Total of lines 3a through e NO 4 Qualifying distributions for 2001 from Part X11, line 4 . 888,253 a Applied to 2000, but not mare than line 2a NONE
b Applied to undistributed income of poor years (Election required see page 24 of the instructions) NONF
c Treated as distributions out of corpus (Election required - see gape 24 of the instructions) NONE d Applied to 2001 distributable amount NONE e Remaining amount distributed out of corpus 888 , 253 6 Excess distributions carryover applied to 2001 NONE NON9 (M an amount appears in column (d) the same amount must be shown in column (e) J e Enter the net total of each column as Indicated below* a Corpus Add lines 31, 4c, and 4e Subtract line 5 888 253 . b Prior years' undistributed Inwme Subtract line 46 from line 26 NONE c Enter the amount of poor years undistributed income for which a notice of deficiency has been issued, or on which the section 4942(a) tax has been prerousy, assessed , NONE d Subtract line 6c from line 6b Taxable amount - see page 25 of the instructions , , , NONE Undistributed income for 2000 Subtract line 4a from line 2a Taxable amount see page 25 0l the inswcLms NONE
I Undistributed income for 2001 Subtract lines 4d and 5 from line 1 This amount must be distributed m 2002 NONE 7 Amounts treated as distributions out of corpus to satiety requirements imposed by section 170(b)(1)(E) or 4962(p)(3) (see gape 25 0l the instructions) , , NO g Excess distributions carryover from 1996 not applied on line 5 or line 7 (see papa 25 of the instructions) NO 9 Excess distributions carryover to 2002 Subtract lines 7 and 8 from line 6a ...... 888 , 253 10 Analysis of line 9 a Erase from 1997 NO b Excess from 1998 NO c Excess from 1999 NO d Excess from 2000 NO e Excess from 2007 888 .253 For 990-P F (200 1)
JSA e ueo 4 o00
001022 1639 V01-7 602799 12 Form 990 PF 9
If the foundation has received a ruling or determination letter that d is a private operating foundation, and the ruling is effective far 2001, enter the date of the ruling r b Check box to indicate whether the organization is a private operating foundation descnbed in section I X
2 a Enter the truer of the adjusted net income ham Pan . w um .r .a. .. --.-. . investment return horn Pan X for earn year listed b 85% of line 3a
c ou .lirymp asmeumna Mom Pin %1I line A to, each year listed III Amounb Included n Ins 2c not used alacrity for actAxe conduct or exempt aCtM4m ,
Qualifying aqpleNbmmaeo directly far acOne conduct of exempt acGMbi SuUmR line 3a from Ins 2c . 3 compete 1. e « c to but almmitM and, read span i 'A ... b'alt7maMIM inbr
(~) Wlu~olallatMN (2) Value or asselsqualifying under sectorn 49.7(JMJxBKI) . b EnaowmsnfaiWmMLoad Enter 2/3 of minimum Invnbnmn: return alusixyt to PartJt InmEbrurJhyear listed C " SUppoT artemltM tM enM
(1) Total supportaxoner Man glass romortioninnt .... (InbNal dW .nda rents OaYmnnb on saxcvrpe loom (section 512(,X5)) or royaIMl ('L) Suppisd Moo general public and 5 or mom exempt argamirations as ProvqeE n wcWn .9420p3geK11h) (3) Largest amauntofaupport from an exempt orpanlnibn
&jaal,u Supplementary information (Complete this part only 11 the organization had $5,000 or more In assets at any time during the year - see page 26 of the Instructions.) Information Regarding Foundation Managers : a List any managers of the foundation who have contributed more than 2% of the total contributions received by the foundation before the close of any tax year (but only if they have contributed more than E5,000) (See section 507(d)(2) ) THOMAS N WA'1'FEt7
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) of which the foundation has a 10% or greater interest NONE
Y Information Re ardlnp Contribution, Grant GIR, Loan, Seholarshlp, eGC , Programs* Check here ~ X if the organization only makes coninbuUOns to Preselected charitable organizations and does rot aaept unsolicited requests for funds II the organization makes mils grants etc (see page 26 of the Instructions) to individuals or organizations under other conditions, wmoie[e items 2a b c and 0 a The name, address, and telephone number o! the person to whom applications should be addressed
b The form in which applications should be submitted and information and materials they should include
c Any submission deadlines
d Any restrictions or limitations on awards, such as by geographical areas, charitable fields, vends of institutions, or other factors i!uk tE149o7000 Form 990-PF (2001) 001022 1639 VO1-7 602799 13 Form 990-PF
the Year or Approved for Future Payment t recipient is Recipient show any relationship to Purpose of grant or status of Amount any foundation manager contribution Name and address (home or business) _. ------recipient a Paid during the year NONE NONE
b Approved for future payment NONE NONE
Form 880-PF (2001 ) JSA tEi491 3000 001022 1639 VO1-7 602799 14 95-4752331 Form 990PF 11 Analysis of Income-P Unrelated business income Excluded b section 512, 513, or Enter gross amounts unleu otherv+ise indicated or (a) Business ~b~ c. i~~...... 1 Program service revenue a b c d e f g Fees and contracts horn government agencies Z Membership dues and assessments . 3 Interest on savings and temporary cash investments 4 Dividends and interest from securities 6 Net rental income or (loss) from real estate a Debt-financed properly . , , b Not debt-hnanced properly 8 Net rental income of (lass) horn personal property 7 Other investment income 8 Gain or (loss) from salsa of aWns alder khan inventory 9 Net income or (loss) from special events 10 Gross profit or (loss) from sales of inventory 11 Other revenue a b bffSCELLANEOUS c d e 12 Subtotal Add columns (b), (d), and (e) 77 Total Add line 12, columns (b), (d), and (e) , "13 1 .276,429
Explain below how each activity for which income is reported in column (e) of Part XVI-A contributed importantly to Line No the accomplishment of the organiza4on's exempt purposes (other than by providing funds for such purposes) (See page 27 of the instructions )
Form 990-PF (sooi)
JSA I E 497 4 000 001022 1639 VO1-7 602799 15 Farm sso PF 20oi 95-4752331 a 12 6HEff Information Regarding Transfers To and Transactions and Relationships With Noncharitable
1 Did the organization directly or indirectly engage m any of the following with any other organmtion described in xtition 501(c) of the Code (other than section 501(c)(3) organizations) or in section 527 relating to political organizations? a Transfers from the reporting organization to a nonchantable exempt organization of (1) Cash . (4) Other assets , , , b Other Transactions (1) Sales of assets to a noncharitable exempt organization (Z) Purchases of assets from a nonchanlable exempt organization (7) Rental of facilities, equipment, or other assets (d) Reimbursement arrangements (5) Loans or loan guarantees , , (6) Performance of services or membership or fundraising solicitations c Sharing of facilities, equipment, mailing lists, other assets, or paid employees , , d II the answer to any of the above is 'Yea,' complete the following schedule Column (b) should always show the fair market value of the goods, other assets, or services given by the reporting organization If the organization 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
2 a Is the organization 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 5277 , , , , , , , , , , , , , a Yes O No
Under penalties of pelJury, I declare that I have examined the return including axompartying schedules and statements and to tie best of rtry knowledEc and belief 4 is true correct and complete Declaration pf prepe/OrIgUter than taxpayer or
0 Signature of officer or trustee d c i = Preparefs O y a4 Yn r signature _' a j Firm s name (or yours ,RPMG LLP ilaelf iSA 1E719]7000 001022 1639 V01-7 OMB No 1545-0047 Schedule- B Schedule of Contributors (Form 990,990-EZ, or 990-12F) Supplementary Information for Treasury Department of the line 1 of Form 990, 990"EZ and 990"PF (see instructions) 2001 Employer identification Organization type (check one) Filers of. Section Farm 990 or 990-EZ 501(c)( ) (enter number) organ¢a4on 4947(a)(1 ) nonexempt charitable trust not treated as a private foundation D 527 political organization Form 990-PF 501(c)(3) exempt private foundation D 4947(a)(1) nonexempt charitable trust treated as a private foundation 0 501(c)(3) taxable private foundation Check if your organization is covered by the General rule or a Special rule. (Note Only e section 501(c)(7), (8) or (f0) organization can check box(es) for both the General rule and a Special rule - see instructions ) General Rule- For organizations filing Form 990, 990-EZ, or 990-PF that received, during the year, $5,000 or more (m money or property) from any one contributor (Complete Pares I and II ) Special Rules - 0 For a section 501(c)(3) organization filing Form 990, or Farm 990-EZ, that met the 33 1/3% support test of the regulations under sections 509(a)(1)/170(b)(1)(A)(vQ and received from any one contributor, during the year, a contribution of the greater o! $5,000 or 2°h of the amount on line 1 of these forms (Complete Parts I and II ) D For a section 501(c)(7), (8), or (10) organization filing Form 990, or Form 990-EZ, that received from any one contnbutor, during we year, aggregate contributions or bequests of more than $1,000 for use exclusively for religious, chantable, scientific, literary, or educational purposes, or the prevention of cruelty to children or animals (Complete Parts I, II, and III ) 0 For a section 501(c)(7), (B), or (10) organization filing Form 990, or Form 990-EZ, that received from any one contributor, during the year, some contributions for use exclusively for religious, charitable, etc , purposes, but these contributions did not aggregate to more than $1,000 (If this box is checked, enter here the total contributions that were received during the year for an exclusively religious, charitable, etc , purpose Do not complete any of the Pares unless the General rule applies to this organization because it received nonexclusrvely religious, charitable, etc , contributions of $5,000 or more during the year ) ...... " $ Caution. Organizations that are not covered by the General rule and/or the Special rules do not file Schedule B (Form 990, 990-EZ or 990.PF) but they must check the box m the heading of their Form 990, Form 990-EZ, or on line 7 of their Form 990-PF, to certify that they do not meet the filing requirements of Schedule B (Form 990, 990.EZ, or 990-PF) scneauio a (Form sw, s90-¢, or 990-vle) (iao1) IE135f 7000 001022 1639 VO1-7 602799 18 Schedule B (Form 990 or 990 EZ)(2007) Page Z If a section 501(c)(7), (8), or (10) organ¢abon Part II In column (a), show the number that received contributions or bequests for use exclusively corresponds to the contributor's number in Part I for religious, charitable, etc , purposes (sections Describe the noncash contribution fully Report on 170(c)(4), 2055(a)(3), or2522(a)(3))- property with readily determinable market value (i e , L,s; , Pn~~ ; cn:~ :,.,rnhutnr whose contributions market quotations for securities) by listing its fair (GMvi total more than $7,000 during the year that were far a -Re- . .. Fnr marketable securities religious, charitable, etc , purpose To determine the registered and listed on a recognized securities $1,000, aggregate all of a contributors gifts for the exchange, measure market value by the average of the year (regardless of amount) For a noncash highest and lowest quoted selling prices (or the contribution, complete Part II average between the bona fide bid and asked prices) on the contribution date See Regulations section All section 501(c)(7), (8), or (10) organizations that 20 2031-2 to determine the value of contributed stocks received any charitable contributions and listed any and bonds When market value cannot be readily charitable contributors on Part I must also complete determined, use an appraised or es4mated value To Part III determine the amount of a noncash contribution that is If a section 501(c)(7), (8), or (10) organization subject to an outstanding debt, subtract the debt from received charitable gifts, but is not required to list any the property's fair market value charitable contributors on Part I, check the box on line Part III . Section 501(c)(7), (8), or (10) organizations that A at the top of (Form or Schedule B 990 990-EZ) and received contributions or bequests for use exclusively enter the amount of charitable contributions received in for religious, charitable, etc , purposes must complete the space provided The organization need not Parts I through III for those persons whose gifts totaled complete and attach Part III more than $1,000 during the year Show also, in the heading of Part III, total grits that were $1,000 or less Specific Instructions and were for a religious, charitable, etc , purpose Note . You may duplicate Parts I 11 and 111 if more Complete this information only on the firs! Part III copes are needed Number each page o/ each Pert page Part I In column (a), identify the first contributor listed If an amount is set aside for a religious, charitable, as no 1 and the second contributor as no 2, etc etc , purpose, show in column (d) how the amount is Number consecutively Show the contributor's name, held (e g , whether it is mingled with amounts held for address, aggregate contributions for the year, and the other purposes) If the organization transferred the gift type of contribution (e g , whether an individual, to another organization, show the name and address payroll, or noncash contribution) Report payroll of the transferee organization in column (e) and explain contributions by listing the employers name, address, the relationship between we two organizations and total amount given (unless an employee gave enough to be listed individually) Schedule B (Form 990 or 990 EZ) (2001) 1 E 1252 1 000 001022 1639 VO1-7 602799 19 ScneOUi. B (Form 990 994Q w Pp! ~to ~Of FN 1 Name of organization Employer identification number Contributors (See Specific Instructions ) (a) (b) Icl I (d) No Name, address and ZIP +4 contributions Tvoe of con 1 THOMAS W WATHEN TRUST - CASH Person I-1 I I Payroll I---I 1524 EAST MOUNTAIN DRIVE 75,000 Noncash LI (Complete Part 111 there is SANTA BARBARA . G 93108 a noncash contribution ) (a) (b) (e) (d) No Name, address and LP+1 Aggregate contributions Type of contribution 2 THOMAS W WATHEN TRUST - CASH Person Payroll 1524 EAST MOUNTAIN DRIVE 75 .000 Noneash (Complete Part II if there is SANTA BARBARA, CA 93108 a noncash contribution ) (a) (b) (e) (d) 3 THOMAS W WATHEN TRUST - CASH Person N Payroll 1524 EAST MOUNTAIN DRIVE 100,000 NonCaSh (Complete Part II d there is SANTA BARBARA, G 93108 a noncash contribution ) (a) (b) (c) (d) No . Name, address and LP+4 Aggregate contributions Type of contribution 4 THODQIS W WATHEN TRUST - CASH Person Payroll 1524 EAST MOUNTAIN DRIVE 155,000 Noneash N (Complete Part II d there is SANTA BARBARA, CA 93108 anoncashcontribution ) (a) (b) (e) (d) No Name, address and ZIP +4 Aggregate contributions Type of contribution 5 THOMAS A WATHEN FOUND -CASH (95-7039858 Person Payroll 1524 EAST EloVNTASN DRIVE 125 .220 Noncash (Complete Part 111 there is SANTA BARBARA, CA 93108 a noncash contribution ) (a) (b) (e) (d) No Name, address and ZIP +4 Aggregate Contributions Type of contribution 6 THOMAS W WATHEN FOUND -SECS(95-7039SSS) Person11 x P ayro 1 1524 EAST MOUNTAIN DRIVE 1,171,072 NoneaSh (Complete Part II if there is SANTA BARBARA . CA 93108 a noncash contribution ) 7cn.avb a 1FOrm 990 9904 or vwvF) (2 J~ 1 E1253 i 000 001022 1639 VO1-7 602799 20 B (Form go 9w-Fz or to -al Pact I tion number Contnbutors (See Specific Instructions ) (a) (b) (c) (d) No Name, address and ZIP +4 Aggregate contributions Type of contribution 7 THOMAS W WATfEN FOUND-BONDS (95-7035558) Person Payroll I~I 1524 EAST MOUNTAIN DRIVE 100 .746 Noncash UH (Complete Part II rf there is SANTA BARBARA . CA 93108 a noncash contribution ) (a) (b) (e) (d) No Name . address and ZIP +4 Aaareaate contributions TvDe of contribution Person Payroll Noncash (Complete Part II A there is a noncash contribution (a) (b) (c) (d) No Name, address and ZIP +4 Aggregate contributions Type of contribution Person Payroll Noneash (Complete Part lid there is a noncash contribution ) (a) (b) (c) (d) No. Name, address and ZIP+4 Aggregate contributions _ Type of contribution Person Payroll Noneash (Complete Part II A there is a noncash contribution (a) (b) (c) (d) No Name, address and ZIP +4 Aggregate contributions Typ e of contribution Person Payroll Noncash (Complete Part II d there is a noncash contribution (a) (b) (c) (d) No Name, address and ZJP+4 Aggregate contributions Type of contribution Person11 P ayrol Noncash (Complete Part II rf there is a noncash contribution Schedule B form 660 11904M or OiO-0F) (=I) JSl1 IE7757 z aoa 001022 1639 V01-7 602799 21 Schedule B (Form 990 990 EZ or 990 PF) (2001) Page to of P art 11 Name of organization Employer identification number THE THOMAS W WATHEN FOUNDATION Noncash Property (See Specific Instructions (a) No (p) FMV (or( estimate) (d) from Description of noncasn yiruyei-ty given Date received Part I (see instructions) SECURITIES 6 1,171,072 11/16/2001 (a) No (b) FMV (or l estimate) (d) from Description of noncash property given Date received Part I (see Instructions) BONDS 7 100,746 11/16/2001 (a) No (b) FMV (or( estimate) (d) from Description of noneash property given Date received Part 1 (see Instructions) No (p) FMV (or'estlmate) (d) from I Description of noneash property given Date received Part I (see Instructions) (a) No. (p) FMV (or( estimate) (d) from Description of noncash property given Date received Part I (see Instructions) (a) No (b) FMV (or ( estimate) (d) from Description of noneash property given Date received Part l (see Instructions) SchoEUle B (Form 990, 990-12, or 990-PF) [2001) J5A t El SV 3 000 001022 1639 VO1-7 602799 22 THE THOMAS W . WATHEN FOUNDATION 95-4752331 FORM 990PF, PART I - CONTRIBUTIONS, GIFTS AND GRANTS RECEIVED ------ DIRECT PUBLIC NAME AND ADDRESS DATE SUPPORT ------ THOMAS W . WATHEN TRUST - CASH 10/17/2001 75,000 . 1524 EAST MOUNTAIN DRIVE SANTA BARBARA, CA 93108 THOMAS W . WATHEN TRUST - CASH 02/20/2001 75,000 . 1524 EAST MOUNTAIN DRIVE SANTA BARBARA, CA 93108 THOMAS W . WATHEN TRUST - CASH 05/0G/2001 100,000 . 1524 EAST MOUNTAIN DRIVE SANTA BARBARA, CA 93108 THOMAS W . WATHEN TRUST - CASH 06/08/2001 155,000 . 1524 EAST MOUNTAIN DRIVE SANTA BARBARA, CA 93108 THOMAS W. WATHEN FOUND .-CASH(95-7039858) 11/16/2001 125,220 . 1524 EAST MOUNTAIN DRIVE SANTA BARBARA, CA 93108 THOMAS W . WATHEN FOUND .-SECS(95-7039858) 11/16/2001 1,171,072 . 1524 EAST MOUNTAIN DRIVE SANTA BARBARA, CA 93108 THOMAS W . WATHEN FOUND-BONDS (95-7039858) 11/16/2001 100,746 . 1524 EAST MOUNTAIN DRIVE SANTA BARBARA, CA 93108 001022 1639 VO1-7 602799 23 STATEMENT 1 THE THOMAS W. WATHEN FOUNDATION 95-4752331 FORM 990PF, PART I - CONTRIBUTIONS, GIFTS AND GRANTS RECEIVED ------ DIRECT PUBLIC NAME AND ADDRESS DATE SUPPORT ------ FAA CHAPTER 446 08/15/2001 1,000 . CABLE AIRPORT, 1749 WEST 13TH STREET UPLAND, CALIFORNIA 91786-2100 ------TOTAL CONTRIBUTION AMOUNTS 1,803,038 . 001022 1639 Vol-7 602799 24 STPTEMENT 2 THE THOMAS W . WATHEN FOUNDATION 95-4752331 FORM 990PF, PART I - INTEREST ON TEMPORARY CASH INVESTMENTS REVENUE AND NET ADJUSTED EXPENSES INVESTMENT NET DESCRIPTION PER BOOKS INCOME INCOME ------ INTEREST INCOME 172 . 172 . 172 ------TOTAL 172 . 172 . 172 . 001022 1639 V01-7 602799 25 STATEMENT 3 THE THOMAS W . WATHEN FOUNDATION 95-4752331 FORM 990PF, PART I - DIVIDENDS AND INTEREST FROM SECURITIES ------ REVENUE AND NET ADJUSTED EXPENSES INVESTMENT NET DESCRIPTION PER BOOKS INCOME INCOME ------ OTHER INTEREST 18,054 . 18,054 . 18,054 . U .S . GOVT INTEREST 59,161 . 59,161 . 59,161 . MUNICIPAL BOND INTEREST (CA) 50,134 . DIVIDENDS 78,303 . 78,303 . 78,303 . ------TOTAL 205,652 . 155,518 . 155,518 . ------ 001022 1639 V01-7 602799 26 STATEMENT 4 The Thomas W . Wathen Foundation 95-4752331 FORM 990-PF, PART I - GROSS SALES LESS RETURNS AND ALLOWANCES ------ DESCRIPTION AMOUNT FUEL SALES 42,492 . ------TOTAL 42,492 . STATEMENT 5 001022 1639 V01-7 602799 27 THE THOMAS W . WATHEN FOUNDATION 95-4752331 FORM 990PF, PART I - OTHER INCOME REVENUE AND NET ADJUSTED EXPENSES INVESTMENT NET DESCRIPTION PER BOOKS INCOME INCOME MISCELLANEOUS INCOME 5,921 . 5,921 5,921 . ------TOTALS 5,921 . 5,921 5,921 . 001022 1639 Vol-7 602799 28 STA'PEMENT 6 THE THOMAS W . WATHEN FOUNDATION 95-G752331 FORM 990PF, PART I - ACCOUNTING FEES REVENUE AND NET ADJUSTED EXPENSES INVESTMENT NET CHARITABLE DESCRIPTION PER BOOKS INCOME INCOME PURPOSES ACCOUNTING FEES 10,725 . NONE NONE 10,725 ------TOTALS 10,725 . NONE NONE 10,725 001022 1639 VO1-7 602799 29 STATEMENT 7 THE THOMAS W. WATHEN FOUNDATION 95-4752331 FORM 990PF, PART I - OTHER PROFESSIONAL FEES REVENUE AND NET EXPENSES INVESTMENT CHARITABLE DESCRIPTION PER BOOKS INCOME PURPOSES ------ PROFESSIONAL SERVICES 8,280 . 8,280 INVESTMENT MANAGEMENT FEE 28,465 . 28,465 . ------TOTALS 36,745 . 28,465 . 8,280 001022 1639 VO1-7 602799 30 STATEMENT 8 THE THOMAS W . WATHEN FOUNDATION 95-4752331 FORM 990PF, PART I - TAXES REVENUE AND EXPENSES CHARITABLE DESCRIPTION PER BOOKS PURPOSES ------ PAYROLL TAXES 14,687 . 14,687 PROPERTY TAXES 36,164 . 36,164 ------TOTALS 50,851 . 50,851 001022 1639 V01-7 602799 31 STATEMENT 9 THE THOMAS W . WATHEN FOUNDATION 95-4752331 FORM 990PF, PART I - OTHER EXPENSES REVENUE AND NET EXPENSES INVESTMENT CHI:RITABLE DESCRIPTION PER BOOKS INCOME PURPOSES ------ ADVERTISING 3,010 . 3,010 . BANK CHARGES 278 . 278 . DISPOSAL 13,523 . 13,523 . DUES b MEMBERSHIPS 1,640 . 1,640 . EDUCATIONAL 16,699 . 16,699 . INSURANCE 60,869 . 60,869 . MAINTENANCE 25,043 . 25,043 . MEALS 6 ENTERTAINMENT 247 . 247 . OFFICE EXPENSE 8,182 . 8,182 . PERMITS 6 LICENSES 1,211 . 1,211 . POSTAGE 1,668 . 1,668 . REPAIRS 14,804 . 14,804 . SMALL TOOLS/EQUIPMENT 4,371 . 4,371 . STORM MONITORING 1,675 . 1,675 . SUPPLIES 4,823 . 4,823 . TELEPHONE 4,159 . 4,159 . 001022 1639 V01-7 602799 32 STATEMENT 10 THE THOMAS W . WATHEN FOUNDATION 95-4752331 FORM 990PF, PART I - OTHER EXPENSES REVENUE AND NET EXPENSES INVESTMENT CHIURITABLE DESCRIPTION PER BOOKS INCOME PURPOSES ------ TRUCK b AUTO EXPENSES 5,325 . 5,325 . UTILITIES 14,402 . 14,402 . MISCELLANEOUS 30 . 30 . AMORTIZATION 2,999 . ------TOTALS 184,958 . 278 . 181,681 . 001022 1639 V01-7 602799 33 STPTEMENT 11 THE THOMAS W . WATHEN FOUNDATION 95-4752331 FORM 990PF, PART II - U .S . AND STATE OBLIGATIONS ENDING ENDING DESCRIPTION HOOK VALUE FMV ------ GOLDMAN SACHS - MUNI BONDS NONE NONE: GOLDMAN SACHS - GOVT BONDS 1,009,415 . 1,020,433 ------TOTALS 1,009,415 . 1,020,433 . 001022 1639 VO1-7 602799 34 STATEMENT 12 THE THOMAS W. WATHEN FOUNDATION 95-4752331 FORM 990PF, PART II - CORPORATE STOCK ENDING ENDING DESCRIPTION BOOK VALUE FMV ------ STOCKS - GOLDMAN SACHS 4,551,802 . 4,611,868 ------TOTALS 4,551,802 . 4,611,868 001022 1639 Vol-7 602799 35 STF.TEMENT 13 rl JNxqallfls 9E 66LZO9 L-IOA 6E91 ZZOTOO , Z68, Ego, z - VOS'LLO'Z s7vlol ------Z68'E90'Z *VOS'LLO'Z (INA M400NI GaXia SHOYS NvwcrIO9 ------AWA anWA MOOS NOIldIHZ)SZU ONIGN3 !:)NiaNZ ------SCHOS alVHOdHOD - Il lWd '3d066 KHOS TEEZ9LV-96 NOIIVGNnOa N3HIV14 'M SVWOHI ZHI 91 INaWHIVIS LE 66LZO9 L-TOA 6E91 ZZOTOO -P9E'VZ *DgE,Dz srrv.LO,L ------PgE,D,z VgE,vz S13SSV H3HIO ------AWa anWA XOOS HOl,LdI'd3S3(3 ONIGNS ONIGNa SIZSS'V U3HIO - II IUVd 'Ac1066 WHOd TEEZgLDI-96 NOI .LVGNnOa NaHlYM 'M SVWOHI ZHI The Thomas W. Wathen Foundation 95-4752331 FORM 990PF, PART III - OTHER INCREASES IN 14ET WORTH OR FUND BALANCES DESCRIPTION AMOUNT ------ OTHER ADJUSTMENTS 75,491 . ------TOTAL 75,491 . STATEMENT 16 001022 1639 V01-7 602799 38 Ll LNaW3&VlS 6E 66LZO9 L-IOA 6E91 ZZOIOO '000,osz siNnowv Noiinsisimoo 7vioi ------BOTE6 VO 'VHVSWvS VINVS aAiua NiviNrioR Lsv3 DIZST 000,001 looz/vo/so HSVO - ISMIL NZHIVM '14 SVWOHL BOTE6 VO 'VHVSUVS VINVS aAIldU HIVLHnOTq ISV3 VZST OOO'SL TOOZ/OZ/ZO HSVO - ISn'dl N3HLVM *M SVKOHL 80TE6 VO 'VHVSUVS VINVS aAim(i Nivimnow isv3 vzsT OOO'GL TOOZ/LT/OT HSVO - LSnldl N3HIVM 'M SVWOHI ------I'dOddnS 3,LVG SS78(3aV QMV 3WVN oiriand loadic SEOInSIUINOD rrVIINVISanS MaN - V-IIA I'dVd 'ad066 KHOa TEEZgLV-96 Noiivannoa N3mvm 'M SWOHI 3HI BT INM43171S 0 v 66LZO9 L-10A 6E91 ZZOIOO 3MON 3NON 3NON srrviol GmVH0 ------69006 V0 'S373ONV SOrl XM/S"dH 9 'aArlS 13SHnS 0OZ6 3NON MON 3NON AHV.LZH03S NOJLrI 'G NHOf 80TE6 VO 'YdVEHVS VINVS XM/S"dH 9 aAl*dC NivLNnoK Lsva nsi MON MON aNoN 33.lSrl'dl N3H,LVM * G t433rlHLVM 80TE6 VO 'VHVSIM VIHVS MM/S-dH 9 aAI'dU NIVIRnO;q ISV3 VZSI 3NON 3NON 3MON INMISaldd NaH,LVM 'M SVWOHL ------S30NVMOrlrn' Weld IIA3N39 NOIIVSN3dWOD NOLLISOd Ol (131OA3G SSHHGCrV (3NV 3kM ~IZHIO GMI 33A(yid;qa OIL MqI,L (3HV ZTLII ,LDDV 3SMad):3 SNOlInEI'dINOD s33isn*ai aNy Is-doioaHic 'sEsoiaao ao isia - IIIA luvd 'ad066 KHOO ICEZSLP-96 NOIIVUMnOJ N3HIVM 'M SVNOHI 3HI The Thomas W. Wathen Foundation 95-4752331 Year Ending December 31, 2001 Form 990-PF, Part IX-A - Summary of Direct Charitable Activities Expenses The Thomas W Wathen Foundation, a private operating foundation, works to preserve and to educate the public about our aviation heritage, and uses aviation as a tool to educate and inspire young people, especially disadvantaged young people, for careers and avocations in aviation and in life Commencing in June 2000, the Foundation began the process of developing and implementing the following programs and activities at the Flabob Airport in Rubidoux, California 0 Publicly display restorations and replicas of historically significant aircraft, Create public displays, including historical and interpretative matter, artifacts and records, In cooperation with the EAA Aviation Foundation, Oshkosh, Wisconsin, jointly develop the EAA-Wathen Air Academy Program This program is a development of the EAA Air Academy youth aviation programs which have been held for some years at EAA Aviation Foundation HQ in Oshkosh, and is intended to be the model for sinular programs to be presented in locations around the country, Provide facilities and support to public and other schools in connection with aeronautical curricula, Purchase a restorable aircraft for a project involving its restoration to flying status by young people (ages 12-17) under expert adult volunteer supervision, teaching specific craft skills as well as scheduling, mathematics, organization skills, Study and discuss with local education authorities the establishment of a charter secondary school for disadvantaged children, emphasizing training for careers in aviation, and * Develop other initiatives consistent with its mission statement A summary of the Foundation's charitable activities in the year 2001 is provided below Cooperative Program with Schools. During 2001, Foundation officials met with principals and teachers in nearby school districts to commence programs for visits to schools to make aviation-related presentations emphasizing history, technology and mathematics to selected classes. Such presentations were made in 2001 at the Ina Arbuckle School and Grant Elementary School At year end, there was added a school visitation program in which students from nearby schools are brought, with Statement 19 The Tfiomas W. Wathen Foundation 95-4752331 Year Ending December 31, 2001 Form 990-PF, Part IX-A - Summary of Direct Charitable Activities Expenses their teachers, to Flabob Airport, given a tour of the various activities at the airport, followed by a presentation similar to the classroom presentation Air Academy Programs. In 2001, The Wathen Foundation commenced implementation of its joint program with the EAA Aviation Foundation, of Oshkosh, Wisconsin, to present a development of the EAA Foundation's successful Oshkosh- based Air Academy programs for youth at Flabob Airport This is part of a larger effort to test remote (from Oshkosh) programs in anticipation of implementation by the EAA Foundation of such programs at a number of sites nationwide Thefirst off-Oshkosh Air Academy program took place at Flabob with two programs in June, and a third and fourth program in August Experienced program presenters from headquarters of the EAA Aviation Foundation, staff of the Wathen Foundation, and 80 volunteers from the Flabob Airport community, made these programs a success, and their lessons will be used in developing the national program Aircraft Restoration Program. The Wathen Foundation recruited 20 young people (ages 12-17), and qualified volunteers including five persons holding FAA airframe and powerplant licenses, two with inspection authorization, and additional volunteers holding various technical and aviation credentials, to learn the crafts of restoring aircraft. The Foundation contributed an Aeronca Chief airplane, a building, and tools and equipment (supplemented by donations from private individuals and firms) Under the direction and close supervision of the qualified volunteers, the young people commenced the work of restoring the aircraft to full FAA-approved airworthy status, working three Saturday mornings each month On the fourth Saturday morrung the youth participants worked as volunteers at the airport's "Young Eagle" programs At year-end the work was approximately one-third complete and continued during 2002 Each youth participant received a logbook in which his or her hours of work are recorded, which can later be used to support the experience requirements for a federal aircraft maintenance technician license. The young people not only learned specific skills, but also (under supervision) did planning and organizing for the project, giving training in leadership, planning, and management The Foundation also organized a series of classes for the youth giving them training in aviation-related subjects including meteorology, theory of flight, aircraft construction and maintenance, air regulations, aviation literature and history, navigation and leadership The Foundation will subsidize flying lessons for such of these young people who desire them (with parental consent) Young Eagles Program. The Wathen Foundation supports and facilitates the EAA Young Eagle program, which commenced in 1993 and has a goal of providing free introductory airplane rides, together with a brief lesson on aviation, to one rrullion young people (7-17) by the centennial of powered flight on December 17, 2003 At Statement 19 The Thomas W. Wathen Foundation 95-4752331 Year Ending December 31, 2001 Form 990-PF, Part IX-A - Summary of Direct Charitable Activities Expenses the Wathen Foundation's Flabob Airport, over 1,000 Young Eagle rides were given in 2001, through the combined efforts of the Wathcn Foundation, EAA Chapter One, and EAA Vintage Chapter 33 The Foundation provided volunteers, staff assistance, fuel discounts and other support to these efforts Vimy Support. The Wathen Foundation supported the educational flight of the reproduction 1919 Vickers Vimy of Vimy Restoration, Inc , a 501(c)(3) organization, from California to Oshkosh, Wisconsin The Foundation arranged fuel, lodging and logistical support, and advance publicity, resulting in an attendance by approximately 2,000 persons, including many students, at the stayover of the Vimy at Flabob Airport The reproduced Vimy has re-enacted two of the historic flights made by this type of airplane (London - Australia and London-South Africa), and plans to reenact the first transatlantic flight (Newfoundland - Ireland) in 2003 . Eagle Scout Projects The Foundation sponsored its first Eagle Scout project in 200 1, and further projects are continuing Public Events. The Foundation supported two heavily-attended public events at Flabob Airport, each with an educational component. The EAA Vintage Chapter 33 Fly-In, enabling the public to see and learn about the veteran and vintage aircraft which pioneered our airways, and the Veterans Day observance honoring all veterans and especially those affiliated with historic Flabob Airport. Director of the Wathen Academy. At year-end 2001, the Foundation concluded an extensive search by hiring Dr. Arthur Peterson to be President of the Wathen Academy, the educational arm of the Thomas Wathen Foundation. Dr Peterson has been president of the nation's leading graduate school of international management, AGSIM, known throughout the world as "Thunderbird," President of the Center for the Study of the American Presidency and of Lebanon Valley College ; Scott Professor of Leadership at Rocky Mountain College, and a member of the Wisconsin and Montana legislatures He is a long-time pilot and his background of academic leadership will combine with his aviation interests to vitalize the educational program of the Foundation. During the year ended December 31, 2001, program expenses directly related to the establishment of the Foundation's direct charitable activities, including but not limited to capital improvements and needed repairs of the lustoric Flabob Airport, were Statement 19 ,. 2220 Underpayment of Estimated Tax by Corporations 545~014 D .ParlinentafM Tf ll~ See separate Instructions Int.rnsi Rixvgnv.*S~ Ill Attach to the corporation's tax return I~Wli Name I Employer Identification number Note In most cases the corporation does riot need to file Form 2220 (See Part I below for exceptions ) The IRS will figure any penalty owed and bill the corporation If the corporation does not need to file Form 2220 it may still use it to figure the penalty Enter the mount frorri imi, 35' ai-, '.Is cst.mcledr OSI P-Ity Imp of the corDoration's income tax return, but do not attach Form 2220 Mm~ Reasons for Filing - Check the boxes below that apply to the corporation If any boxes are checked, the corporation must file Form 2220, even if it does not owe the penalty If the box on line 1 or line 2 applies, the corporation may be able to lower or eliminate the penalty 1 The corporation is using the annualized income installment method 2 The corporation is using the adjusted seasonal installment method 3 The corporation is a "large corporation figuring its first required installment based on the pnor year's tax Note The corporation also must his Form 2220 of it has a suspended research credit allowed for the current year (see the instructions for line 4) or it is an indirectly affected taxpayer (see Instructions) the 4 Total tax (see instructions) 5 a Personal holding company tax (Schedule PH (Form 11 20) line 26) included on line 4 b Look back interest included an line 4 under section 460b)(2) for completed long term contracts or section 167(g) for depreciation under the income forecast method c Credit for Federal tax paid on fuels (sea instructions) 15C 1 d Total Add lines 5a through 5c 6 Subtract line 5d from line 4 If the result is less than $500. do not complete or file this form The corporation does not owe the penalty 914 . 7 Enter the tax shown on the corporation's 2000 income tax return Caution Sao instructions before completing this line 8 Enter the smaller of fine 6 or line 7 If the corporation must skip lm_e7 enter the amount from line 6 9 Installment due dates Enter in columns (a) through (d) IN 1 5th day of the 41h (Form 990-PF fifers . Use 5th month) Gin gin and 1 2th months of the corporation's tax year Ex, on Enter October 1 2001 instead of September 15 2001 . 10, 10 Required installments If the box on line I and/or line 2 above is checked, enter the amounts from Schedule A, line 40 If the box on line 3 (but not 1 or 2) to checked, ii instructions for the amounts to enter If none of these boxes are checked, enter 25% of line B above in each column Estimated tax paid or credited for each period (seis instructions) For column (a) only, enter the amount from line 11 on line 15 Complete lines 12 through 18 of one column beflore going to the next column, 12 Enter amount, if any, from line 18 of the preceding column 13 Add lines 11 and 12 14 Add amounts on lines 16 and 17 of the preceding column 15 Subtract line 14 from line 13 If zero or less, enter -0- . 16 If the amount on line 15 Is zero, subtract line 13 from line 14 Otherwise, enter -0- 17 Underpayment If line 15 is less than of equal to line 10 subtract line 15 from line 10 Then go to line 12 of the next column Othewse go to line 18 18 Overpayment If line 10 is less than line 15, subtract line 10 Is owed For Paperwork Reduction Act Notice, see separate Instructions Form2220 (2001) JSA 1 F0954 2 OOD 001022 1639 V01-7 602799 41 Form 2220 (2001) Page 2 I= Figuring the Penafty 19 E nter the date of payment or the 15th day of the 3rd month after the close of the tax year whecinewer is earlier (see instructions) Use5th month instead of 3rd month 20 Number of days from due date of installment on iine o to the date sho.n an line 19 21 Number Of days on line 20 after 411512001 and before 71112001 22 underpayment on I in e 17 x Number or days online 21 x8% 365 23 Number of days on line 20 after W30/2001 and before 11112002 24 Underpayment on line 17 x Number of days on line 2 x 7% 365 25 Number of day. on line 20 after IV31/2001 and before 411/2002 26 Underpayment on line 17 xNumberoldaponline25 x6% 365 27 Number of days an line 20 after V31/2002 and before 711n002 28 Underpayment on line 17 x Number of days on line 27 x -% 365 2 9 Number of days on line 20 after GKID42002 and before 1011/2002 30 Underpayment on line 17 xNumberofdayson line 29 x '% 365 31 Number of days on line 20 after 9/3012002 and before 111/2003 32 underpayment online 17 x Number of days on line 31 365 33 Number of day@ online 20 after IM112002 and before 2/16/2003 34 Underpayment online 17 x Numberof days online 33 385 3 5 Add lines 22 24 26 28 30 32, and 34 36 Pen2hy Add columns (a) through (d), of line 35 Enter the total here and on Fomn 1120, line 33, Form 1120-A, line OFor underpayments paid after March 31, 2002 For lines 28, 30, 32, and 34, use the penalty interest rate for each calendar quarter, which the IRS will determine during the first month in the preceding quarter These rates are published quarterly in an IRS News Release and in a revenue ruling in the Internal Revenue Bulletin To obtain this information on the Internet, access the IRS Web Site at www Irs gov. You can also call 1-800-829-1040 to get interest rate information Form2220 (2001) JS4 IF0955 4 000 001022 1639 V01-7 602799 42 SCHEDULED OMB No 1545-0092 (Form 1041) Capital Gains and Losses Department of the Trusury III, Attach to Form 1041 (or Form 5227). See the separate Instructions for Internal Riwenue Semce 2001 Name of estate or trust Employer identification number THE THOMAS W Note: Form 5227 f, IV I= Short-Term Capital Gains and Losses - Assets Held One Year or Less (a) Cost or other Wars I (c) Date Wid I (d) Sal" pnce [f) Gain or (Loss) dM 7-r11 rl.. ~l (mo day yr I I (..I (d) I... ~.f (I I 2 Short-term capital gain or (loss) from Forms 4684, 6252, 6781, and 8824 2 3 Net short-term gain or (loss) from partnerships, S corporations, and other estates or trusts . 3 4 Short-term capital loss carryover Enter the amount, I any, from line 9 of the 2000 Capital Loss Carryover Worksheet 4 5 Net short-term gain or (loss) Combine lines 1 through 4 in column (f) Enter here and on line 14 below 5 I= Long-Term Capital Gains and Losses -Assets Held More Than One Year I.) Data sold (s) Cost or other oai;is (1) Gain or (Loss) 100; sh;.I; (it) Sales price or (Loss) d of '~' ~ I dav ~ I (rno day yr ) I I (see page 29) 1~.I fril 1. ~ f. 6 7 Long-term capital gain or (loss) from Forms 2439, 4684, 6252, 6781, and 8824 8 Net long-term gain or (loss) from partnerships, S corporatons, and other estates or trusts 9 Capital gain distributions 10 Gain from Form 4797, Part I 11 Long-term capital loss carryover Enter ;n'bothcolumns (0 and (g) the amount if any, from line 14, of the 2000 Capital Loss Carryover Worksheet 12 Combine lines 6 through 11 in column (g) 13 Net long-term gain or (loss) Combine lines 6 through 11 in column (f) Enter *28% rate gain or loss includes all "collectibles gains and losses" (as defined on page 30 of the insitructions) and up to 50% of the eligible gain on qualified small business stock (see page 28 of the instructions) Summary of Parts I and 11 (1) Beneficiaries' 1 (2) Estate's (3) Total = (see paqe 30) 1 or trust's I 14 Net short-term gain or (loss) (from line 5 above) 14 226,166 15 Net long-term gain or (loss) a 28% rate gain or (loss) (from line 12 above) 15a b Unrecaptured section 1250 gain (see line 17 of the worksheat on page 31) 15b c Total for year (from line 13 above) 15C 536,136 16 Total net gain or (loss) Combine lines 14 and 15c 16 762,302 Note If line 16 column (3), is a not gain enteir the gain on Form 104 1, line 4 If lines 15c and 16, column (2) are not gains go to Part V and do nor complete Part IV if line 16, column (311. is a not loss, complete Part IV and the CapitfielLosa; Carryoveir VlorltshG4 as necessary For paperwork Reduction Act Notice, see the Instructions for Form IOL41 Schedule D (Form 1041) 2001 ISA I F 1210 2 00 001022 1639 VOI-7 602799 43 Schedule D (Form 1041) 2001 2 qaprtal Loss Limitation 17 Enter here and enter as a (loss) on Form 1041, line 4, the smaller of a The loss on line 16, column (3) or b $3,000 17 If the loss on line 16, column (3), is more then S3 000, or if Form 1041 page 1, line 22, is a loss, complete the Capital` Low 1^.^,g-a 32 of 1ha inonirtinn,i to determine vourcapital loss carryover Ems-Tax Computation Using Maximum Capital Gains Rates (Complete this part only if both lines 15c and 16 in column (2) are gains, and Form 1041, line 22 is more than zero ) Note If line 15a, column (2) or line 15b, column (2) is more than zero, complete the worksheet on page 34 to figure the instructions to figure the amount to enter on lines 20, 27, and 38 below and skip all otherhnes below Otherwise go to line 18 18 Enter taxable income from Form 1041, line 22 18 19 Enter the smaller of line 15c or 16 in column (2) 19 20 If the estate or trust is filing Form 4952, enter the amount from line 4e, otherwise, enter -0- b- 209 21 Subtract line 20 from line 19 If zero or less, enter -0- 21 22 Subtract line 21 from line 18 If zero or less, enter -0- 22 23 Figure the tax on the amount on line 22 Use the ~601 Tax i~ate Schedule on page 20 of the instructions 24 Enter the smaller of the amount on line 18 or $1,800 24 If line 24 Is greater than line 22, go to line 25 Otherwise, skip lines 25 through 31 and go to line 32 25 Enter the amount from line 22 25 26 Subtract line 25 from line 24 If zero or less, enter -0- and go to line 32 26 27 Enter the estate's or trust's aliocable portion of qualified 5-year gain, if any, from line 7C of the worksheet on page 33 . . . 1 27 25 Enter the smaller of line 26 or line 27' ' ...... 28 29 Multiply line 28 by 8% ( 06) 30 Subtract line 28 from line 26 30 31 Multiply line 30 by 10% ( 10) ...... If the amounts on lines 21 and 26 are the same, skip lines 32 through 35 and go to line 36 32 Enter the smaller of line 18 or line 21 ...... 33 Enter the amount, if any, from line 26 2333 34 Subtract line 33 from line 32 34 35 Multiply line 34 by 20% ( 20) . . . . . 36 Add lines 23, 29, 31, and 35 37 Figure the tax on the amount on line 18 Use the 2001 Tax Rate Schedule on page 20 of the instructions 38 Tax on all taxable Income (including capital gains). Enter the smaller of line 36 or line 37 here and an line 1 a of Schedule G. Form 1041 . Schedule D (Form 1041) 2001 JSOk 1 F 1 220 3 000 001022 1639 V01-7 602799 44 THE THOMAS W . WATHEN FOUNDATION 95-4752331 Schedule D Detail of Short-term Capital Gains and Losses Date Date Gross Sales Cost or Other Short-term Description Acquired Sold Price Basis Gain/Loss CAPITAL GAINS (LOSSES) HELD FOR INVESTMENT PURPOSES GOLDMAN SACHS #027-20795-0 (STMT ATTACHED) VAR VAR 7,201,149 . 6,974,983 . 226,166 . TOTAL CAPITAL GAINS (LOSSES) HELD FOR INVESTMENT PURPOSES 7,201,149 .1 6,974,983 . 226,166 . 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[M Automatic 3-Month Extension of Time - Only submit original (no copies needed) Note- Porm 990-Tcorperadons requesting an automatic 6-month extension - check this box and complete Part I only ...... 1,. All other corporations (including Form 990-C filers) must use Form 7004 to request an extension of time to rile income tax returns Perin hips,me RI andro trusts must use Form 8736 to request an extension of time to rile Fom 1065, 1056, or 1041 TvDe or ~el N R: LMpCs I .nizabon Employer Identification number print File by the due Number, street, and room or suite no If a P 0 box. see instructions date for filing your return See instrucl .ons City, town or post office, state, and ZIP code For a foreign address . 500 instructions Check type of return to be flied (file arate application for each return) Form 990 Form 990-T (corporation) Form 4720 Form 990-BL Form 990-T(sw 401 (a) or 408(a) trust) Form 5227 Farm 990-EZ Form 990-T (trust other than above) Form 6069 Farm 990-PF 8 Form 1041-A H Form 8870 " If the organization does not have an office or place of business in the United States . check this box ...... ll~ El " 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 0- F-~ If It is forpart of the group, check this box 0- Li and attach a list- with the names and EiNs of all members the extension will cover I I request an automatic 3-month (6-month. for 990-T corporation) extension of time untllAUGUST 15 2002 to file the exempt organization return for the organization named above The extension is for the organization's return for ll~ calendar year 2 0 0 1 or ll~ [q tax year beginning and ending 2 If this tax year is for less than 1 2 months . check reason 1:1 Initial return El Final return 1:1 Change in accounting period 3a If this application is for Form 990-BL, 990-PF . 990-T, 4720. or 6069, enter the tentative tax. less any nonrefundable credits See instructions ...... $ 25,000 . b If this application is for Form 990-PF or 990* * :T, * ant er* *any * refundable* * credits and estimated tax payments made Include any prior year overpayment allowed as a credit $ c Balance Due Subtract line 3b from line 3a Include your payment* , i viiih* this fc~mn.'or. drequired, deposit with FTD coupon or. if required . by using EFTPS (Electronic Federal Tax Payment System) See instructions $ 25,000 . Signawre and Veriffication Under penalties of perjury, I declare that I have examined this fomr, mrAuding Accompanying schedules and statements, and to the best of my knowledge and belief if is true, correct and complete, and that I am authoraod to prep&re this farm 1~ A U.1 - L,/ 4~, Title Ill r7EC"-rAk Y Date 11P For Papervirorlill Reductior(Akt Notice, a" Instruction Fonm8868 (12-2000) JSA 1FIM54 I OW 14 13 S/8/2002 FORM 990-PF - PART IV CAPITAL GAINS AND LOSSES FOR TAX ON INVESTMENT INCOME Kind of Property Description Date Date sold acquired Gross sale Depreciation Cost or FMV Adl basis Excess of Gain price less allowed/ other as of as of FMV over or expenses of sale gllgmbl2 basin 12/31/Fiq 12/31162 ach basis (k~) GOLDMAN SACHS #027-20795-0 (STMT ATTACHED P VAR VAR PROPERTY TYPE SECURITIES 7,201,149 6,974,983 226,166 GOLDMAN SACHS #027-20795-0 (STMT ATTACHED P VAR VAR PROPERTY TYPE SECURITIES 2,828,695 2,292,559 536,136 ------TOTAL GAIN(LOSS) 762,302 A 1730100 001022 1639 V01-7 602799 17