TAX RETURN FILING INSTRUCTIONS FORM 990-PF FOR THE YEAR ENDING DECEMBER 31, 2018 PREPARED FOR: THE ROCKEFELLER FOUNDATION 420 FIFTH AVENUE NEW YORK, NY 10018-2702 PREPARED BY: PKF O'CONNOR DAVIES, LLP 665 FIFTH AVENUE NEW YORK, NY 10022 AMOUNT DUE OR REFUND: OVERPAYMENT OF $7,873,281 WITH $2,500,000 APPLIED TO THE ESTIMATED TAX PAYMENTS AND THE BALANCE OF $5,373,281 REFUNDED. MAKE CHECK PAYABLE TO: NO AMOUNT IS DUE. MAIL TAX RETURN AND CHECK (IF APPLICABLE) TO: NOT APPLICABLE RETURN MUST BE MAILED ON OR BEFORE: NOT APPLICABLE SPECIAL INSTRUCTIONS: THIS RETURN HAS BEEN PREPARED FOR ELECTRONIC FILING. IF YOU WISH TO HAVE IT TRANSMITTED ELECTRONICALLY TO THE IRS, PLEASE SIGN, DATE, AND RETURN FORM 8879-EO TO OUR OFFICE. WE WILL THEN SUBMIT THE ELECTRONIC RETURN TO THE IRS. DO NOT MAIL A PAPER COPY OF THE RETURN TO THE IRS. RETURN FORM 8879-EO TO US BY NOVEMBER 15, 2019. PLEASE NOTE THAT THE FORM 990-PF RETURN CONTAINS EXCESS DISTRIBUTION CARRYOVER OF $11,662,280. THIS MAY BE APPLIED TO TAX YEAR 2019 AND SUBSEQUENT YEARS. EXTENDED TO NOVEMBER 15, 2019 Return of Private Foundation OMB No. 1545-0052 Form 990-PF or Section 4947(a)(1) Trust Treated as Private Foundation | Do not enter social security numbers on this form as it may be made public. Department of the Treasury 2018 Internal Revenue Service | Go to www.irs.gov/Form990PF for instructions and the latest information. Open to Public Inspection For calendar year 2018 or tax year beginning , and ending 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 or province, country, and ZIP or foreign postal code C If exemption application is pending, check here ~ | NEW YORK, NY 10018-2702 G Check all that apply: Initial return Initial return of a former public charity D 1. Foreign organizations, check here ~~ | Final return Amended return 2. Foreign organizations meeting the 85% test, Address change Name change check here and attach computation ~~~~ | X H Check type of organization: Section 501(c)(3) exempt private foundation E If private foundation status was terminated Section 4947(a)(1) nonexempt charitable trust Other taxable private foundation under section 507(b)(1)(A), check here ~ | X I Fair market value of all assets at end of year J Accounting method: Cash Accrual F If the foundation is in a 60-month termination (from Part II, col. (c), line 16) Other (specify) under section 507(b)(1)(B), check here ~ | | $ 4,443,874,342. (Part I, column (d) must be on cash basis.) 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 ~~~~~~~~~~~~~~ 2,854,541. 2,854,541. STATEMENT 1 4 Dividends and interest from securities~~~~~ 16,337,968. 49,655,092. STATEMENT 2 5a Gross rents ~~~~~~~~~~~~~~~~ b Net rental income or (loss) 6a Net gain or (loss) from sale of assets not on line 10 ~~ 409,410,186. Gross sales price for all b assets on line 6a ~~ 365,508,113. 7 Capital gain net income (from Part IV, line 2) ~~~~~ 274,863,501. 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 ~~~~~~~~~~~~~~~ 1,271,680. 6,009,623. STATEMENT 3 12 Total. Add lines 1 through 11 429,874,375. 333,382,757. 13 Compensation of officers, directors, trustees, etc. ~~~ 4,979,358. 1,173,902. 3,805,457. 14 Other employee salaries and wages ~~~~~~ 18,923,797. 2,638,142. 16,230,149. 15 Pension plans, employee benefits ~~~~~~ 6,835,468. 869,525. 6,910,316. 16a Legal fees~~~~~~~~~~~~~~~~~STMT 4 3,449,191. 134,178. 3,196,773. b Accounting fees ~~~~~~~~~~~~~~STMT 5 398,344. 200,281. 140,063. c Other professional fees ~~~~~~~~~~~STMT 6 18,690,933. 4,852,173. 12,222,366. 17 Interest ~~~~~~~~~~~~~~~~~~ 299,234. 2,783,525. 299,234. 18 Taxes~~~~~~~~~~~~~~~~~~~STMT 7 7,501,738. 3,013,499. 0. 19 Depreciation and depletion ~~~~~~~~~ 2,604,922. 204,634. 20 Occupancy ~~~~~~~~~~~~~~~~ 2,132,952. 129,938. 2,003,014. 21 Travel, conferences, and meetings ~~~~~~ 3,537,681. 248,613. 3,224,570. 22 Printing and publications ~~~~~~~~~~ 114,349. 21,760. 92,589. 23 Other expenses ~~~~~~~~~~~~~~STMT 8 3,179,198. 32,608,282. 3,148,763. 24 Total operating and administrative expenses. Add lines 13 through 23 ~~~~~ 72,647,165. 48,878,452. 51,273,294. Operating and Administrative Expenses 25 Contributions, gifts, grants paid ~~~~~~~ 102,003,130. 163,531,253. 26 Total expenses and disbursements. Add lines 24 and 25 174,650,295. 48,878,452. 214,804,547. 27 Subtract line 26 from line 12: a Excess of revenue over expenses and disbursements ~ 255,224,080. b Net investment income (if negative, enter -0-)~~~ 284,504,305. c Adjusted net income (if negative, enter -0-) N/A 823501 12-11-18 LHA For Paperwork Reduction Act Notice, see instructions. Form 990-PF (2018) 1 18221107 756359 1621570.011 2018.05000 THE ROCKEFELLER FOUNDATIO 16215701 Form 990-PF (2018) 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 ~~~~~~~~~~~~~~~~~~ 13,186,629. 14,244,459. 14,244,459. 2 Savings and temporary cash investments ~~~~~~~~~~~~ 119,791,936. 136,883,934. 136,883,934. 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 ~~~~~~~~~~~~~ Assets 10a Investments - U.S. and state government obligations ~~~~~~~STMT 10 26,608,189. 32,113,710. 32,113,710. b Investments - corporate stock ~~~~~~~~~~~~~~~~~STMT 11 8,471,522. 9,763,596. 9,763,596. c Investments - corporate bonds ~~~~~~~~~~~~~~~~~ 11 Investments - land, buildings, and equipment: basis ~~9 Less: accumulated depreciation ~~~~~~~~9 12 Investments - mortgage loans ~~~~~~~~~~~~~~~~~ 13 Investments - other ~~~~~~~~~~~~~~~~~~~~~~STMT 12 4,281,206,137. 4,183,874,772. 4,183,874,772. 14 Land, buildings, and equipment: basis 9 48,595,800. Less: accumulated depreciation ~~~~~~~~STMT 13 9 39,133,326. 10,833,742. 9,462,474. 9,462,474. 15 Other assets (describe 9 STATEMENT 14 ) 49,770,989. 57,531,397. 57,531,397. 16 Total assets (to be completed by all filers - see the instructions. Also, see page 1, item I) 4,509,869,144. 4,443,874,342. 4,443,874,342. 17 Accounts payable and accrued expenses ~~~~~~~~~~~~~ 8,225,170. 8,006,451. 18 Grants payable ~~~~~~~~~~~~~~~~~~~~~~~~ 129,913,071. 68,332,902. 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 15 ) 53,501,903. 46,061,989. 23 Total liabilities (add lines 17 through 22) 191,640,144. 122,401,342. Foundations that follow SFAS 117, check here ~~~~ 9 X and complete lines 24 through 26, and lines 30 and 31. 24 Unrestricted ~~~~~~~~~~~~~~~~~~~~~~~~~ 4,318,229,000. 4,321,473,000. 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~~~~~~~~~~~~~~~~ 4,318,229,000. 4,321,473,000. Net Assets or Fund Balances 31 Total liabilities and net assets/fund balances 4,509,869,144. 4,443,874,342. 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 4,318,229,000. 2 Enter amount from Part I, line 27a ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 2 255,224,080. 3 Other increases not included in line 2 (itemize) 9 SEE STATEMENT 9 3 5,483,192. 4 Add lines 1, 2, and 3 ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 4 4,578,936,272. 5 Decreases not included in line 2 (itemize) 9 CHANGE IN UNREALIZED LOSS ON INVESTMENTS AND PRI'S 5 257,463,272. 6 Total net assets or fund balances at end of year (line 4 minus line 5) - Part II, column (b), line 30 6 4,321,473,000. Form 990-PF (2018) 823511 12-11-18 2 18221107 756359 1621570.011 2018.05000 THE ROCKEFELLER FOUNDATIO 16215701 Form 990-PF (2018) THE ROCKEFELLER FOUNDATION 13-1659629 Page 3 Part IV Capital Gains and Losses for Tax on Investment Income SEE ATTACHED STATEMENTS (a) List and describe the kind(s) of property sold (for example, real estate, (b) How acquired (c) Date acquired (d) Date sold P - Purchase 2-story brick warehouse; or common stock, 200 shs.