EXTENSION ATTACHED OMB No 1545-0052 Form 990 -PF Return of Private Foundation or Section 4947(a)(1) Trust Treated as Private Foundation 2016 epartment Do not enter social security numbers on this form as it may be made public. InternD oftheSernceTreasury al Revenue ► Information about Form 990-PF and its separate instructions is at www.irs.gov/form990pf. For calendar year 2016 or tax year be g inning , 2016, and ending Name of foundation A Employer identification number Rockefeller Brothers Fund. Tnc 1'1 -17r, 0 10F Number and street (or P 0 box number if mail is not delivered to street address) Room/sude B Telephone number (see instructions) 475 Riverside Drive 900 212 812-4200 m City or town , state or province , country, and ZIP or foreign postal code q New York NY 10115 C If exemption application is pending, check here. ► G Check all that apply Initial return Initial return of a former public charity D 1 Foreign organizations , check here . ► O Final return Amended return Address change Name change 2 Foreign organizations meeting the 85% test, check q here and attach computation . H Check type of organization X Section 501 (c)(3) exempt private foundation ► Section 4947 (a)(1) nonexempt charitable trust Other taxable private foundation E If private foundation status was terminated under section 507(b)(1)(A), check here . 0 I Fair market value of all assets at end of year J Accounting method Cash }{ Accrual ► (from Part 11, column (c), line 16) U Other (specify) F If the found ation is Ina 60-month termina tion . $ 862,354,555. (Part 1, column (d) must be on cash basis ) - - - under section 507 (b)(1)(B), check here . - ' U Part I Analysis of Revenue and (d) Disbursements Ex penses (The total of amounts in (a) Revenue and (b) Net investment (c) Adjusted net expenses per books income income for cha ritable columns (b), (c), and (d) may not neces- purposesoses sanly equal the amounts in column (a) (cash basis only) (see instructions)) 1 Contnbubons , gifts, grants, etc , received (attach schedule) 9,389,388. 2 Check ► q d the foundation is not required to attach Sch B 3 Interest on savings and temporary cash investments 1 92, 729. 192,729 . S Ch ed u le 1 B 4 Dividends and interest from securities . 2 , 634 , 030 . 10 , 690 , 387 - 5 a Gross rents . b Net rental income or (loss ) . R 6a Net gain or puss) from sale of assets not on line 10 . 3, 320, 742. } E b Gross sales price for all v assets on line 6a . 473,579, 310. E 7 Capital gain net income (from Part IV, line 2) . 18,5 44, 067. N 8 Net short-term capital gain . I ) U 9 Income modifications . Gross sales less - E 10a returns and allowances - - b Less Cost of - . , - , - goods sold . C Gross profit or foss) (attach schedule) . - - ) 11 Other income (attach schedule) . , a - } See Line 11 Stmt Schedule 2 167,572. -4,954,083. 12 Total Add lines 1 through 1 1 . 15, 7 0 4 , 4 61 . 24,473, 100 - p Pop%- 13 Compensation of officers , directors , trustees, etc . 1, 762, 668 . 132,324 . 1, 30, 344 - 14 Other employee salaries and wages . 4, 137, 042 . 92, 908 . 41, 049. 15 Pension plans , employee benefits . 3, 193, 571. 117, 719 . J 96,297.9 Sch edule 3 A 16a Legal fees (attach schedule ). 7 36 , 2 43 148, 872. 12, 244. D . l e 3 b Accounting fees (attach sch). 197, 015. 100,402. 8, 203 . M S ch ed u l e 3 C Other professional fees (attach sch) 6,478, 193 . 2,474,116. t 3, 11, 865. PO s1 17 Interest . 0. 0. E T 18 Taxes (attach schedule)(see insbs) See Line.18 Stmt 8 8 7 , 4 7 4 . 0 . R R SCh 1 ) it) 19 Depreciation (attach Schedule 4 T T schedu le) and depletion . 7 6 2 , 319 . 23,178 N y 20 Occupancy 821, 752. 21, 813. 788, 656 - G E 21 Travel , conferences , and meetings . 9 9 4 , 714 - 8 , 2 8 4 . 9 2 4 , 4 7 6 A E 22 Printing and publications . 8 6 , 0 3 6 . 0 . 84, 365 . ND x 23 Other expenses (attach schedule) E SeeLine23Stmt (Schedule 1A) 1 , 186, 203. 29,626. 955, 303. S 24 Total operating and administrative E expenses Add lines 13 through 23 . 2 1 , 2 4 3 , 2 3 0 - 3,149,242. 15, 052,802. 25 Contnbubons , gifts, grants paid . 2 8 , 9 0 8 , 2 6 2 . 30, 119,838. 26 Total expenses and disbursements Add lines 24 and 25 . 50, 151, 492 - 3, 1 49, 242. 45, 172, 640. 27 Subtract line 26 from line 12 a Excess of revenue over expenses and disbursements . - 3 4 , 4 4 7 , 0 31 . b Net investment income (if negative , enter -0-). 21,323,858. C Adjusted net income ( if negative, enter -0-) - tfAA For raperworK Keauction Act Notice , see instructions . TEEA0301 12116/16 Form 990-PF(2016) Page 1 of 109 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 1 Cash - non-Interest-bearing . 2, 650, 935. 1, 931, 432. 1, 931, 432. 2 Savings and temporary cash investments . 78, 522, 029. 44, 289, 920. 44, 289, 920. 3 Accounts receivable . ' 1,977,381. ----------- Less allowance for doubtful accounts _ _ _ _ _ _ _ _ _0 2,584,813. 1,977,381. 1,977,381. 4 Pledges receivable . 1 9,6 4 3,7 0 5. Less allowance for doubtful accounts ' _________ 0_ . 16,124,644. 19,643,705. 19,643,705. 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) .' ----------- - Less allowance for doubtful accounts _ _ _ _ _ _ _ _ _ _ S S 8 Inventories for sale or use . E 9 Prepaid expenses and deferred charges . 37,776. 14,800. 14,800. T S 10a Investments - U S and state government obligations (attach schedule ) . Schedule 5 b Investments - corporate stock (attach schedule) . 117,269,940. 83,120,471. 83,120,471. c Investments - corporate bonds (attach schedule) . 11 Investments - land, buildings, and equipment basis . ' 510 , 0 0 0 Less accumulated depreclatuogchedule (attach schedule) . ..6 _ _ _ __ __ _ _ 0 . 510,000. 510,000. 510, 000. 12 Investments -' mortgage loans . _ 13 Investments - other (attach schedule ) . Schedule.7 . , , , 635,713,031. 704,801,827. 704,801, 827. 14 Land , buildings , and equipment basis 3 6,3 0 3,4 5 0. Less- accumulated depreciation Schedule 8 (attach schedule) . 30, 238, 431. 6, 053, 088. 6, 065, 019. 6, 065, 019. ----------- 15 Other assets (describe ---------------- 16 Total assets (to be completed by all filers - see the instructions Also, see page 1, item 1). 859, 466 , 256. 862,354,555. 862,354,555. L 17 Accounts payable and accrued expenses . 12,809,521. 13,212,844* A 18 Grants payable . 8, 016, 513. 6, 809, 362. B 19 Deferred revenue . L 20 Loans from officers , directors, trustees, & other disqualified persons . 21 Mortgages and other notes payable (attach schedule) . T 22 Other liabilities (describe ' Taxes Payable - - - - - 3,239,042. 3,971,826. E S 23 Total liabilities (add lines 17 through 22) . 24,065,076. 23,994,032. Foundations that follow SFAS 117, check here . and complete lines 24 through 26 and lines 30 and 31. N F 24 Unrestricted . 808, 297, 057. 807,895,677. E U 25 Temporarily restricted . TN 17,389,355. 20,395,669. D 26 Permanently restricted . 9,714,768. 10,069,177. Foundations that do not follow SFAS 117, check here . ' B and complete lines 27 through 31. S A E L 27 Capital stock , trust principal , or current funds . S N 28 Paid-in or capital surplus, or land, bldg., and equipment fund . C 29 Retained earnings, accumulated income, endowment, or other funds . OE IRS 30 Total net assets or fund balances (see instructions ) . 83S,401, 18 0 . 838,360,523. 31 Total liabilities and net assets/fund balances (see instructions ) . 859, 466, 256 . 862, 354, 555. Part III Anal ysis 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 ) . 1 835,401,180. 2 Enter amount from Part I, line 27a . 2 -34,447, 031. 3 Other increases not included in line 2 (itemize) . .' See Other Increases Stmt (Schedule 1 A) 3 38,139, 158 . ------------------------------ 4 Add lines 1, 2 , and 3 . 4 839,093,307. 5 Decreases not included in line 2 (itemize) . .' See Other Decreases Stmt ( Schedule 1A) 5 32, 784 . 6 Total net assets or fund balances at end of year (line 4 minus line 5) - Part II, column (b), line 30 . 6 838,360, 523 . BAA TEEA0302 12116/16 . Form 990-PF (2016) Page 3 of 109 Form 990-PF (2016) Rockefeller Brothers Fund, Inc. 13-1760106 Page3 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 acqu i red (C) Date acquired (d) Date sold 2-story brick warehouse , or common stock, 200 shares MLC Company ) P - Purchase (mo , day , yr) (mo , day, yr ) D - Donation a See Schedule 1 b c d e Gain or (loss) (e) Gross sales price (f) Depreciation allowed (g) Cost or other basis ( h) (or allowable) plus expense of sale (e) plus (f) minus (g) a 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) minus col (k), but not less (I) F M V as of 12/31/69 0 ) Adjusted basis ( k) Excess of col (I) gain as of 12/31/69 over col 0), if any than -0-) or Losses (from col (h)) 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 18,544,067.