4416 O eq L) W W Z Z U co Name of foundation A Employer identification number ARNHOLD FOUNDATION INC. 0/ n .TOP..T. F. q AMMFT K, rn T ,T.P 13-3456684 Return of Private Foundation OMB No 1545-0052 Form 990 -PF or Section 4947( a)(1) Nonexempt Charitable Trust ^O Department of the Treasury Treate d as a Private Foundation i ns p ec t ion Internal Reienue Service Note. The foundation ma y be able to use a copy of this return to satis fy state re p ortin g re q uirements. en t o u i`c For calendar year 2012 or tax year beginning , and ending Number and street ( or P 0 box number if mail is not delivered to street address) 15 MAIDEN LANE Room /suite 500 B Telephone number 212 - 269-8628 City or town, state , and ZIP code NEW YORK , NY 10038 C If exemption application is pending , check here G Check all that apply Initial return Initial return of a former public charity Final return ® Amended return 0 Address chan g e Name chan g e D 1 Foreign organizations , check here 2 Foreign organizations meeting the 85% test, check here and attach computation H Check type of organization : ® Section 501 ( c)(3) exempt private foundation 0 Section 4947 ( a )( 1 ) nonexem p t charitable trust D Other taxable p rivate foundation E If private foundation status was terminated under section 507 (b)(1)(A), check here I Fair market value of all assets at end of year (from Part II, col (c), line 16) ► $ 336 , 292 , 609 . J Accounting method: ® Cash 0 Accrual 0 Other ( specify ) ( Part I, column (d) must be on cash basis) F If the foundation is in a 60-month termination under section 507(b )(1)(B), check here Part I Analysis of Revenue and Expenses (The total of amounts in columns (b) , (c), and (d) may not necessarily equal the amounts in column (a)) ( a) Revenue and expenses per books (b ) Net investment income ( c) Adjusted net income (d) Disbursements for charitable purposes (cash basis only) 1 Contributions , gifts, grants, etc ., received 2 , 015 , 761 . N/A 2 Check ► If the foundation is not required to attach Sch B 3 Interest on savings and temporary cash investments 1 , 260 . 1 , 260 . S TATEMENT 1 4 Dividends and interest from securities 5 , 092 , 921. 5 , 092 , 921. S TATEMENT 2 5a Gross rents It Net rental income or (loss) 6a Net gain or (loss) from sale of assets not on line 10 645 , 392 . b Gross sales price for all 15 , 430 , 531. assets on line ea 7 Capital gain net income (from Part IV , line 2) 645 , 392 . 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 607 , 342. 607 342. S TATEMENT 3 12 Total . Add lines 1 throu gh 11 8 , 362 , 676. 6 , 346 , 915. 13 Compensation of officers , directors, trustees, etc 0. 0. 0. 14 Other employee salaries and wages 15 Pension plans , employee benefits V1 U) 16a Legal fees C b Accounting fees T X c Other professional fees 1 C dpM V r- I 17 Interest 147 517. 147 517. -^ VI 0. Im 18 Taxes STMT 4 974 351. 168 , 317. ^r n •.^+ 101 0. N E 19 Depreciation and depletion Ll. ft 1 v:- ' E 20 Occupancy t .R. a 21 Travel, conferences , and meetings I t r- 22 Printing and publications 0 23 Other expenses STMT 5 1 , 557 , 436. 1 , 54-1 , 436. 16 , 000. M 24 Total operating and administrative expenses . Add lines 13 through 23 2 , 679 , 304. 1 , 857 , 270. 16 , 000. 0 25 Contributions , gifts, grants paid 15 , 750 , 301. 15 , 750 , 301. 26 Total expenses and disbursements Add lines 24 and 25 18 429 605 . 1 1 857 , 270. 15 766 301. 27 Subtract line 26 from line 12: a Excess of revenue over expenses and disbursements - 10 , 066 , 929 . b Net investment income of negative enter - 0-) 4 , 489 , 645. 1 c Ad usted net income of negative , enter -o-> N / A 1z 5t0-12 LHA For Paperwork Reduction Act Notice , see instructions Form 990-PF (2012) 1 1 A')') 1 ') n `) 'G0 0 ''7 TDhTU (1T T, - L'r%TT1 n 1') n c n0n T DTTU(%T T, L'l1TTTTTI A MY r1TT 7 ATr. r' /n TDI*TUr1T 71
Transcript
4416
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Name of foundation A Employer identification number
ARNHOLD FOUNDATION INC.0/ n .TOP..T. F. q AMMFT K, rn T ,T.P 13-3456684
Return of Private Foundation OMB No 1545-0052
Form 990-PF or Section 4947(a)(1) Nonexempt Charitable Trust ^ODepartment of the Treasury
Treated as a Private Foundationi ns p ec t ionInternal Reienue Service Note. The foundation may be able to use a copy of this return to satis fy state re p ortin g re q uirements. en to u i `c
For calendar year 2012 or tax year beginning , and ending
Number and street ( or P 0 box number if mail is not delivered to street address )
15 MAIDEN LANE
Room /suite
500B Telephone number
212 - 269-8628
City or town, state , and ZIP code
NEW YORK , NY 10038
C If exemption application is pending , check here
G Check all that apply Initial return Initial return of a former public charity
Final return ® Amended return
0 Address chang e Name chan g e
D 1 Foreign organizations , check here
2 Foreign organizations meeting the 85% test,check here and attach computation
H Check type of organization : ® Section 501 ( c)(3) exempt private foundation
0 Section 4947 ( a )( 1 ) nonexem p t charitable trust D Other taxable p rivate foundationE If private foundation status was terminated
under section 507(b)(1)(A), check here
I Fair market value of all assets at end of year
(from Part II, col (c), line 16)
► $ 336 , 292 , 609 .
J Accounting method: ® Cash 0 Accrual
0 Other ( specify )
(Part I, column (d) must be on cash basis)
F If the foundation is in a 60-month terminationunder section 507(b )(1)(B), check here
Part I Analysis of Revenue and Expenses(The total of amounts in columns (b) , (c), and (d) may notnecessarily equal the amounts in column (a))
( a) Revenue andexpenses per books
(b ) Net investmentincome
( c) Adjusted netincome
(d) Disbursementsfor charitable purposes
(cash basis only)
1 Contributions , gifts, grants, etc ., received 2 , 015 , 761 . N/A2 Check► If the foundation is not required to attach Sch B
3 Interest on savings and temporarycash investments 1 , 260 . 1 , 260 . S TATEMENT 1
4 Dividends and interest from securities 5 , 092 , 921. 5 , 092 , 921. STATEMENT 2
5a Gross rents
It Net rental income or (loss)
6a Net gain or (loss ) from sale of assets not on line 10 645 , 392 .
b Gross sales price for all 15 , 430 , 531.assets on line ea
7 Capital gain net income (from Part IV , line 2) 645 , 392 .
8 Net short-term capital gain
9 Income modificationsGross sales less returns
10a and allowances
b Less Cost of goods sold
c Gross profit or (loss)
11 Other income 607 , 342. 607 342. STATEMENT 3
12 Total . Add lines 1 throu g h 11 8 , 362 , 676. 6 , 346 , 915.13 Compensation of officers , directors , trustees, etc 0. 0. 0.
14 Other employee salaries and wages
15 Pension plans , employee benefitsV1
U) 16a Legal feesC
b Accounting feesTX
c Other professional fees 1 C dpM V r-I
17 Interest 147 517. 147 517. -^ VI 0.
Im 18 Taxes STMT 4 974 351. 168 , 317. ^r n •.^+ 101 0.N
E 19 Depreciation and depletionLl. ft 1 v: - '
E 20 Occupancy t .R.
a 21 Travel, conferences , and meetings I t
r- 22 Printing and publications
0 23 Other expenses STMT 5 1 , 557 , 436. 1 , 54-1 , 436. 16 , 000.M 24 Total operating and administrative
Add lines 24 and 25 18 429 605 . 1 1 857 , 270. 15 766 301.27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements - 10 , 066 , 929 .
b Net investment income of negative enter - 0-) 4 , 489 , 645. 1c Ad usted net income of negative , enter -o-> N / A
1z 5t0-12 LHA For Paperwork Reduction Act Notice , see instructions Form 990-PF (2012)
11 A')') 1 ') n `) 'G0 0 ''7 TDhTU (1T T, - L'r%TT1 n 1') n c n 0 n T DTTU(%T T, L'l1TTTTTI A MY r1TT 7 ATr. r' /n TDI*TUr1T 71
ARNHOLD FOUNDATION INC.Fnrm qQn-PP (9012) 1710 ,TOF.T. F SAMMP..T F. CO- T,T,P 13-3456684 Paoe2
Balance Sheets A ^chetlschedules andamounts inlhetlescnpuon Beginning of year End o f yearPart II column should beforentl -ot -year amounts only (a) Book Value (b) Book Value (c) Fair Market Value
16 Total assets to be com p leted b all filers 330 A 3 9, 926. 319 , 724 , 892. 336 , 292 , 609.17 Accounts payable and accrued expenses
18 Grants payable
o 19 Deferred revenue
•'-' 20 Loans from officers , directors , trustees , and other disqualified persons
0 21 Mortgages and other notes payable
22 Other liabilities (describe ►
23 Total liabilities ( add lines 17 throw h 22 ) 0. 0.
Foundations that follow SFAS 117, check here ►and complete lines 24 through 26 and lines 30 and 31.
24 Unrestricted
to 25 Temporarily restricted
co 26 Permanently restricted
r_Foundations that do not follow SFAS 117, check here ►
`L and complete lines 27 through 31
N 27 Capital stock, trust principal, or current funds 330 , 439 , 926. 319 , 724 , .89228 Paid -in or capital surplus, or land, bldg., and equipment fund 0. 0
a 29 Retained earnings, accumulated income, endowment, or other funds 0. 0
Z 30 Total net assets or fund balances 330 , 439 , 926. 319 , 724 , 892 .
31 Total liabilities and net assets/fund balances 330 , 439 , 926. 1 319 , 724 , .892
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) 1 330 , 439 , 926 .2 Enter amount from Part I, line 27a 2 -10 , 066 , 929 .
3 Other increases not included in line 2 (itemize) ► 3 0 .
4 Add lines 1, 2, and3 4 320 , 372 , 997 .
5 Decreases not included in line 2 (Itemize) ► UNREALIZED GAIN ON SECURITIES DONATED 5 648 , 105.6 Total net assets or fund balances at end of year (line 4 minus line 5) - Part II, column (b), line 30 6 319, 724, 892 .
Form 990-PF (2012)22351112-05-12
2
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ARNHOLD FOUNDATION INC.Form 990-PF (2012) C / O JOEL E SAMMET & CO LLP 13-3456684 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,2-story brick warehouse, or common stock, 200 shs. MLC Co )
e .15 , 30 , 531. 1 14 785 139.1 645 392.Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69 (I) Gains (Col. (h) gain minus
(i) F.M.V. as of 12/31/69(j) Adjusted basisas of 12/31/69
(k) Excess of col. (i)over col. (1), if any
c ol. (k), but not less than -0Losses (from col. (h))
-) or
a
b
c
d
e 645 392.
2 Capital gain net income or (net capital loss) VIf gain, also enter in Part I, line 7If (loss), enter -0- in Part I, line 7 2 645 , 392.
3
l
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).If (loss ), enter -0- in Part I line 8 3 N /A
Part V I 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.
Was the foundation liable for the section 4942 tax on the distributable amount of any year in the base period's 0 Yes ® No
If'Yes " the foundation does not qualify under section 4940(e). Do not complete this part.
1 Enter the aoorooriate amount in each column for each year: see the instructions before making any entries
( a )Base period years
Calendar year or tax year beginning in Adjusted qualifying distributions Net value of noncha)ritable use assets
3 Average distribution ratio for the 5-year base period - divide
the foundation has been in existence if less than 5 years
the total on line 2 by 5, or by the number of years
3 . 0 3 0 5 8 2
4 Enter the net value of noncharitable-use assets for 2012 from Part X, line 5 4 328 , 150 , 261.
5 Multiply line 4 by line 3 5 10 , 035 , 491.
6 Enter 1% of net investment income (1% of Part 1, line 27b) 6 44 , 896.
7 Add lines 5 and 6 7 10 , 080 , 387.
8 Enter qualifying distributions from Part XII, line 4 8 15 , 766 , 301.
It line 8 is equal to or greater than line 7, check the box in Part VI, line 1b, and complete that part using a 1% tax rateSee the Part VI instructions
223521 12-05-12 Form 990-PF (2012)3
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f I ARNHOLD FOUNDATION INC.
Form 990-PF 2012 C / O JOEL E SAMMET & CO , LLP 13-3456684 Pa e 4Part VI Excise Tax Based on Investment Income (Section 4940(a), 4940(b), 4940(e), or 4948 - see instructions)
la Exepipt operating foundations described in section 4940(d)(2), check here ► and enter "N/A' on line 1.
Date of ruling or determination letter: (attach copy of letter if necessary - see instructions)
b Domestic foundations that meet the section 4940(e) requirements in Part V, check here ►® and enter 1% 1 44 , 896.of Part I, line 27b
c All other domestic foundations enter 2% of line 27b. Exempt foreign organizations enter 4% of Part I, line 12, col (b).
2 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) 2 0.
3 Add lines 1 and 2 3 44 , 896 .
4 Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) 4 0.
5 Tax based on investment income Subtract line 4 from line 3. If zero or less, enter -0- 5 44 , 896.6 Credits/Payments:
a 2012 estimated tax payments and 2011 overpayment credited to 2012 6a 550 , 020.b Exempt foreign organizations - tax withheld at source 6b
c Tax paid with application for extension of time to file (Form 8868) 6c
d Backup withholding erroneously withheld 6d
7 Total credits and payments. Add lines 6a through 6d 7 550 , 020.
8 Enter any penalty for underpayment of estimated tax. Check here = if Form 2220 is attached 8
9 Tax due If the total of lines 5 and 8 is more than line 7, enter amount owed ► 9
10 Overpayment . It line 7 is more than the total of lines 5 and 8, enter the amount overpaid ► 10 505 , 124.11 Enter the amount of line 10 to be: Credited to 2013 estimated tax llll^ 505 12 4 . ] Refunded 11 0.
Part VII-A Statements Regarding Activities
la During the tax year, did the foundation attempt to influence any national, state, or local legislation or did it participate or intervene in
any political campaign?
b Did it spend more than $100 during the year (either directly or indirectly) for political purposes (see instructions for definition)'
If the answer is "Yes" to la or 1b, attach a detailed descnption of the activities and copies of any matenals published or
distnbuted by the foundation in connection with the activities.
c Did the foundation file Form 1120-POL for this year?
d Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year:
(1) On the foundation. ► $ 0. (2) On foundation managers ► $ 0.
e Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed on foundation
managers. ► $ 0.
2 Has the foundation engaged in any activities that have not previously been reported to the IRS
If "Yes, " attach a detailed description of the activities
3 Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles of incorporation, or
bylaws, or other similar instruments'? If "Yes," attach a conformed copy of the changes
4a Did the foundation have unrelated business gross income of $1,000 or more during the year
b If "Yes," has it filed a tax return on Form 990-T for this year? N/A
5 Was there a liquidation, termination, dissolution, or substantial contraction during the year?
If "Yes," attach the statement required by General Instruction T
6 Are the requirements of section 508(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?
7 Did the foundation have at least $5,000 in assets at any time during the year
If "Yes, " complete Part II, col (c), and Part XV
Ba Enter the states to which the foundation reports or with which it is registered (see instructions) ►NY
b If the answer is 'Yes" to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney General (or designate)
of each state as required by General Instruction G' If "No," attach explanation
9 Is the foundation claiming status as a private operating foundation within the meaning of section 4942(1)(3) or 4942(1)(5) for calendar
year 2012 or the taxable year beginning in 2012 (see instructions for Part XIV)' If "Yes, " complete Part XIV
0 Did any nersons become substantial contributors during the tax years if "Yes." attach a schedule listina their names and addresses
Yes N(
la X
lb X
1c I I X
4a X
4b
5 X
6 X
7 X
8b X
91 IX
Form 990-PF (2012)
22353112-05-12
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t ' ARNHOLD FOUNDATION INC.Form 990-PF 2012 C / O JOEL E SAMMET & CO LLP 13-3456684 Pa g e 5Part VII-A Statements Regarding Activities (continued)11 At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the meaning of
section 512(b)(13)' If "Yes," attach schedule (see instructions) 11 X
12 Did the foundation make a distribution to a donor advised fund over which the foundation or a disqualified person had advisory privileges2
If 'Yes," attach statement (see instructions) 12 X
13 Did the foundation comply with the public inspection requirements for its annual returns and exemption applications 13 X
Website address ► N/A14 The books are in care of ► THE FOUNDATION, C/O JOEL E. SAMMET Telephone no ► 212 - 2 6 9 - 8 6 2 8
Located at ► & CO. , 15 MAIDEN LANE, NEW YORK, NY ZIP+4 ►10 0 3 815 Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041 - Check here ►
and enter the amount of tax-exempt interest received or accrued during the year ► 15 N/A
16 At any time during calendar year 2012, did the foundation have an interest in or a signature or other authority over a bank, Yes No
securities, or other financial account in a foreign country'? 16 X
See the instructions for exceptions and filing requirements for Form TD F 90-22.1. If "Yes," enter the name of the foreign
countryPart VII-B Statements Regarding Activities for Which Form 4720 May Be Required
File Form 4720 if any item is checked in the "Yes" column, unless an exception applies. Yes No
la During the year did the foundation ( either directly or indirectly):
(1) Engage in the sale or exchange , or leasing of property with a disqualified persons 0 Yes ® No
(2) Borrow money from, lend money to, or otherwise extend credit to (or accept it from)
a disqualified person? Yes ® No
(3) Furnish goods , services, or facilities to (or accept them from) a disqualified persons El Yes ® No
(4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person's 0 Yes ® 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 ® No
(6) Agree to pay money or property to a government officials ( Exception. Check "No"
if the foundation agreed to make a grant to or to employ the official for a period after
termination of government service, if terminating within 90 days.) 0 Yes ® No
b If any answer is "Yes" to la ( 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 instructions ) N/A lb
Organizations relying on a current notice regarding disaster assistance check here ►c Did the foundation engage in a prior year in any of the acts described in la, other than excepted acts , that were not corrected
before the first day of the tax year beginning in 2012? 1c X
2 Taxes on failure to distribute income ( section 4942 ) ( does not apply for years the foundation was a private operating foundation
defined in section 4942(I)(3) or 4942(1)(5)):
a At the end of tax year 2012 , did the foundation have any undistributed income ( lines 6d and 6e, Part XIII ) for tax year ( s) beginning
before 20129 0 Yes ® No
If "Yes," list the years ►b Are there any years listed in 2a for which the foundation 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 - see instructions.) N/A 2bc If the provisions of section 4942(a)(2) are being applied to any of the years listed in 2a, list the years here.
3a Did the foundation hold more than a 2% direct or indirect interest in any business enterprise at any time
during the years Yes ® No
b If "Yes," did it have excess business holdings in 2012 as a result of ( 1) any purchase by the foundation or disqualified persons after
May 26, 1969 , ( 2) the lapse of the 5-year period ( or longer period 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 periods (Use Schedule C,
Form 4720, to determine if the foundation had excess business holdings in 2012) N/A 3b
4a Did the foundation invest during the year any amount in a manner that would jeopardize its charitable purposes '? 4a X
b Did the foundation make any investment in a prior year ( but after December 31, 1969 ) that could jeopardize its charitable purpose that
had not been removed from eo aril before the first day of the tax year be g innin g in 2012 4b X
ARNHOLD FOUNDATION INC.dorm 990-F4 2012 C / O JOEL E SAMMET & CO LLP 13-3456684 Pa e 6Part VII- B State ments Regardi ng Activities for Which Form 4720 May Be Required (continued)
5a During the year did the foundation pay or incur any amount to:
(1) , Carry on propaganda , or otherwise attempt to influence legislation ( section 4945 (e))? E]Yes ® No
(2) Influence the outcome of any specific public election ( see section 4955 ), or to carry on, directly or indirectly,
any voter registration drive? 0 Yes ® No
(3) Provide a grant to an individual for travel, study , or other similar purposes? E::]Yes ® No
(4) Provide a grant to an organization other than a charitable, etc , organization described in section
509(a )( 1), (2), or (3 ), or section 4940 (d)(2)9 El Yes ® No
(5) Provide for any purpose other than religious, charitable , scientific, literary , or educational purposes, or for
the prevention of cruelty to children or animals Yes ® No
b If any answer is "Yes" to 5a ( 1)-(5), did any of the transactions fail to qualify under the exceptions described in Regulations
section 53.4945 or in a current notice regarding disaster assistance ( see instructions ) N/A 5b
Organizations relying on a current notice regarding disaster assistance check here ►0c If the answer is "Yes" to question 5a(4), does the foundation claim exemption from the tax because it maintained
expenditure responsibility for the grant? N/A El Yes El No
If "Yes, " attach the statement required by Regulations section 53 4945-5(d).
6a Did the foundation , during the year , receive any funds, directly or indirectly , to pay premiums on
a personal benefit contract9 0 Yes ® No
b Did the foundation , during the year, pay premiums , directly or indirectly, on a personal benefit contracts 6b X
If "Yes" to 6b, file Form 8870
7a At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction9 0 Yes ® No
b If 'Yes , ' did the foundation receive an y proceeds or have an y net income attributable to the transaction9 N /A 7b
Part VIII Information About Officers , Directors , Trustees , Foundation Managers, HighlyPaid Employees , and Contractors
1 List all officers. directors. trustees. foundation managers and their comaensation.
(a) Name and address(b) Title, and average
hours per week devotedto position
(c) Compensation( I f not paid,enter - 0-
(d)Contributions to
emp andedeterredIons
compensation
( e) Expenseaccount, otherallowances
HENRY H. ARNHOLD RESIDENT1345 AVENUE OF THE AMERICASNEW YORK , NY 10105 0.00 0. 0. 0.JOHN P. ARNHOLD EC'Y/TREAS.1345 AVENUE OF THE AMERICASNEW YORK , NY 10105 0.00 0. 0. 0.
9 rm-an¢atinn of fives hinhest-nniri emnlnvees fnther than those inchrdad on line 11. If none, enter "NONE."
(a) Name and address of each employee paid more than $50,000(b) Title, and average
hours per weekdevoted to position
(c) Compensation
(d)Contribubonstoempland deirrbe n efit
e dcompensa{n
(e) Expenseaccount, otherallowances
NONE
Total number of other employees paid over $50,000 ► 1 0Form 990-PF (2012)
22355112-05-12
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T ' ARNHOLD FOUNDATION INC.Form 990-PF(2012) C/O JOEL E SAMMET & CO, LLP 13-3456684 Page 7
Part VIIIInformation About Officers, Directors, Trustees, Foundation Managers, HighlyPaid Employees , and Contractors (continued)
3 Five highest-paid independent contractors for professional services. If none, enter "NONE."
(a) Name and address of each person paid more than $50,000 (b) Type of service (c) Compensation
NONE
Total number of others receivin g over $50 , 000 for p rofessional services ► 0
Part IX-A Summary of Direct Charitable Activities
List the foundation's four largest direct charitable activities during the tax year. Include relevant statistical information such as thenumber of organizations and other beneficiaries served, conferences convened, research papers produced, etc. Expenses
1 N/A
2
3
4
Part IX-13 Summary of Program-Related InvestmentsDescribe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2. Amount
1 N/A
2
All other program-related investments. See instructions.
3
Total. Add lines 1 throu gh 3 0.
Form 990-PF (2012)
22356112-05-12
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t ARNHOLD FOUNDATION INC.Form 990-PF (2012) C/O JOEL E SAMMET & CO, LLP 13- 3456684 Page 8
PartX Minimum Investment Return (All domestic foundations must complete this part Foreign foundations, see instructions.)
1 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 la 310 6 3 2 867 .
b Average of monthly cash balances lb 2 2 514 60 6 .
c Fair market value of all other assets 1c
d Total (add lines la, b, and c) 1d 333 , 147 473 .
e Reduction claimed for blockage or other factors reported on lines la and
1c (attach detailed explanation) le 0.
2 Acquisition indebtedness applicable to line 1 assets 2 0 .
3 Subtract line 2 from line l d 3 333 , 147 473 .4 Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see instructions) 4 4 9 9 7 212 .
5 Net value of noncharitable - use assets . Subtract line 4 from line 3. Enter here and on Part V, line 4 5 328 , 150 261 .
6 Minimum investment return Enter 5% of line 5 6 16 , 4 0 7 , 513 .
Part XIDistributable Amount (see instructions) (Section 4942(l)(3) and (f)(5) private operating foundations and certain
foreign organizations check here ► 0 and do not complete this part.)
1 Minimum investment return from Part X, line 6 1 16 , 4 0 7 513.
2a Tax on investment income for 2012 from Part VI, line 5 2a 44 , 896.
b Income tax for 2012. (This does not include the tax from Part VI.) 2b
c Add lines 2a and 2b 2c 44 , 896 .3 Distributable amount before adjustments. Subtract line 2c from line 1 3 16 , 362 , 617 .
4 Recoveries of amounts treated as qualifying distributions 4 0 .
5 Add lines 3 and 4 5 16 3 6 2 617.
6 Deduction from distributable amount (see instructions) 6 0 .
7 Distributable amount as ad usted. Subtract line 6 from line 5. Enter here and on Part XIII , line 1 7 16 , 362 , 617 .
Part XII Qualifying Distributions (see instructions)
a Expenses, contributions, gifts, etc. - total from Part I, column (d), line 26 la 15 , 7 6 6 301 .
b Program-related investments - total from Part IX-B lb 0.
2 Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc., purposes 2
3 Amounts set aside for specific charitable projects that satisfy the:
a Suitability test (prior IRS approval required) 3a
b Cash distribution test (attach the required schedule) 3b
4 Qualifying distributions Add lines la through 3b. Enter here and on Part V, line 8, and Part XIII, line 4 4 15 , 7 6 6 301.
5 Foundations that qualify under section 4940(e) for the reduced rate of tax on net investment
income Enter 1% of Part I, line 27b 5 44 , 896.6 Adjusted qualifying distributions . Subtract line 5 from line 4 6 15 , 7 2 1 405
Note The amount on line 6 will be used in Part V, column (b), in subsequent years when calculating whether the foundation
4940(e) reduction of tax in those years.
qualifie s for the section
Form 990-PF (2012)
22357112-05-12
81 A ')717n7 '7G/0'7'7 T DTTVr1T Tl-L'l1TT1 ')n1') nEnon TDATTJnT Tl v(1TTRTTIT m-r T TAT/' n/!1 TDTTT-TnT T')
t ARNHOLD FOUNDATION INC.Form 990-PF (2012) C/O JOEL E SAMMET & CO, LLP 13-3456684 Page 9
Part XIII Undistributed Income (see instructions)
(a) (b) (c) (d)
Corpus Years prior to 2011 2011 2012
1 Distributable amount for 2012 from Part XI,
line7 16 362 617.2 Undistributed income, if any, as of the end of 2012
a Enter amount for 2011 only 12 3 0 5 2 3 7.b Total for prior years'
0.3 Excess distributions carryover, if any, to 2012:
a From 2007
b From 2008
c From 2009
d From 2010
e From 2011
f Total of lines 3a through e 0.
4 Qualifying distributions for 2012 from
Part Xll,line 15 766 301.a Applied to 2011, but not more than line 2a 12 , 305 , 237.b Applied to undistributed income of prior
years (Election required - see instructions) 0.
c Treated as distributions out of corpus
(Election required - see instructions) 0.
d Applied to 2012 distributable amount 3 , 461 , 064.e Remaining amount distributed out of corpus 0.
5 Excess distributions carryover applied to 2012 0. 0(If an amount appears in column (d), the same amount
must be shown in column (a))
6 Enter the net total of each column asindicated below:
a Corpus Add lines 3f, 4c, and 4e Subtract line 5 0.
b Prior years' undistributed income. Subtract
line 4b from line 2b 0.
c Enter the amount of prior years'undistributed income for which a notice ofdeficiency has been issued, or on whichthe section 4942(a) tax has been previouslyassessed 0 .
d Subtract line 6c from line 6b. Taxable
amount - see instructions 0 .e Undistributed income for 2011. Subtract line
4a from line 2a. Taxable amount - see lnstr. 0
f Undistributed income for 2012. Subtract
lines 4d and 5 from line 1. This amount must
be distributed in 2013 12 , 901 , 553.7 Amounts treated as distributions out of
corpus to satisfy requirements imposed by
section 170(b)(1)(F) or 4942(g)(3) 0 .
8 Excess distributions carryover from 2007
not applied on line 5 or line 7 0
9 Excess distributions carryover to 2013
Subtract lines 7 and 8 from line 6a 0 .
10 Analysis of line 9*
a Excess from 2008
b Excess from 2009
c Excess from 2010
d Excess from 2011
e Excess from 2012
Form 990-PF (2012)22358112-05-12
91 A'171 '1 n') '7 C`) 07 '7 T DATV/IT TI- L'(1TT1 ') n1') nC: n 0 n T DTTU(1T Tl V r%TTTT11T MT/'TT T11(' 0 /r TD7KTVl1T T')
I ARNHOLD FOUNDATION INC.Form 990-PF (2012) C/O JOEL E SAMMET & CO, LLP 13-3456684 Page 10
Part XIV I Private ODeratlnq Foundations (see instructions and Part VII-A, question 9) N/A
1 a if the foundation has received a ruling or determination letter that it is a private operating
foundation, and the ruling is effective for 2012, enter the date of the ruling ►b Check box to indicate whether the foundation is a p rivate o p eratin g foundation described in section 4942 (j)( 3 ) or 0 4942 (j)( 5 )
2 a Enter the lesser of the adjusted net
income from Part I or the minimum
investment return from Part X for
each year listed
b 85% of line 2a
c Qualifying distributions from Part XII,
line 4 for each year listed
d Amounts included in line 2c not
used directly for active conduct of
exempt activities
e Qualifying distributions made directly
for active conduct of exempt activities.
Subtract line 2d from line 2c3 Complete 3a, b, or c for the
alternative test relied upon-a 'Assets' alternative test - enter
(1) Value of all assets
(2) Value of assets qualifyingunder section 4942(t)(3)(B)(i)
b "Endowment" alternative test - enter2/3 of minimum investment returnshown in Part X, line 6 for each yearlisted
c "Support" alternative test - enter:
(1) Total support other than grossinvestment income (interest,dividends, rents, payments onsecurities loans (section512(a)(5)), or royalties)
(2) Support from general publicand 5 or more exemptorganizations as provided insection 4942(I)(3)(B)(ui)
(3) Largest amount of support from
an exempt organization
( 4 ) Gross investment income
Tax year Prior 3 years
(a) 2012 (b) 2011 (c) 2010 (d) 2009 ( e) Total
Part XV Supplementary Information (Complete this part only if the foundation had $5,000 or more in assetsat any time during the year-see instructions.)
1 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 taxyear (but only if they have contributed more than $5,000). (See section 507(d)(2)
SEE STATEMENT 10b 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
2 Information Regarding Contribution , Grant , Gift, Loan , Scholarship , etc., Programs:
Check here ►® if the foundation only makes contributions to preselected charitable organizations and does not accept unsolicited requests for funds. If
the foundation makes gifts, grants, etc (see instructions) to individuals or organizations under other conditions, complete items 2a, b, c, and d.
a The name, address, and telephone number or e-mail of 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, kinds of institutions, or other factors
223601 12-05-12 Form 990-PF (2012)
101 A 71)1 7n ") '7 C 70 '7'7 TDATT-T/lT T\_T:/'1TT1 ")n I 7 0 c n 0 n A DTTT-TnT TI L'/ITTTTTI T mT /l1T TTT/"' /, /!l TDATUrrT T7
t 0 ARNHOLD FOUNDATION INC.
Form 990-PF 2012 C / O JOEL E SAMMET & CO , LLP 13-3456684 Page 11
Part XV Supplementary Information (continued)
3 r;rnnfc and Cnntnhutinnc Pair) Ilurinn the Year or Annrnved for Future Payment
Recipient If recipient is an individual,show any relationship to Foundation Purpose of grant or
Name and address (home or business) any foundation manageror substantial contributor
status ofrecipient
contribution Amount
a Paid during the year
92ND ST Y PUBLIC CHARITY ENERAL FUND
1395 LEXINGTON AVENUE
NEW YORK NY 10128 298 000,
ABILITY BEYOND DISABILITY PUBLIC CHARITY ENERAL FUND
4 BERKSHIRE BLVD
BETHEL CT 06801 1 000.
AFLFC PUBLIC CHARITY ENERAL FUND
3 EAST 69TH ST
NEW YORK NY 10021 27 . 000.
ALDRICH CONTEMPORARY ART MUSEUM PUBLIC CHARITY ENERAL FUND
258 MAIN ST
RIDGEFIELD CT 06877 1 000.
AMERICAN ACADEMY OF ARTS & SCIENCES UBLIC CHARITY ENERAL FUND
136 IRVING ST
CAMBRIDGE MA 02138 25 000
Total SEE CONTINUATION SHEET S ► 3a 15 750 301 ,b Approved for future payment
NONE
Total 10- 3b 1 0.
Form 990-PF (2012)22361112-05-12
11
1 A `) 11 1 n ') '7 C 11 0 '7'7 T DATU /\T T\ - L'rlTT1 I n 1 ') 0 r n 0 n 71 DhTtTnT T% L`r%TTTTTI T rn T nm TAT(' P'' / /1 7T DTTU/lT T')
ARNHOLD FOUNDATION INC.
Form 990-PF (2012) C/O JOEL E SAMMET & CO, LLP 13-345668 4 Pape 12
Part XVI -A Analysis of Income- Producing Activities
Enter c
1 Pro
a
b
c
d
e
f
92 Me
3 Int
my
4 Div
5 Net
a
b
6 Net
pro
7 0th
8 Gar
tha
9 Net
10 Gr
11 0th
a
b
c
d
e
12 Su
ross amounts unless otherwise indicated Unrelate d business income Excluded by section 512, 513, or 514 (e)
gram service revenue:
(a)Businesscode
(b)Amount
Exc„-$1O"code
(d)Amount
Related or exempt
function income
Fees and contracts from government agencies
mbershlp dues and assessments
rest on savings and temporary cash
estments 14 1 , 260.idends and interest from securities 14 5 , 092 , 921.rental income or (loss) from real estate:
Debt-financed property
Not debt-financed property
rental income or (loss) from personal
perty
er investment income 14 607 , 342.n or (loss) from sales of assets other
n inventory 18 645 , 392.Income or (loss) from special events
ss profit or (loss) from sales of inventory
er revenue:
btotal. Add columns (b) , (d), and (e) 0. 1 0.
B
o
1 6 , 346 , 915.13 Total Add line 12, columns (b), (d), and (e) 13 6,346,915.
(See worksheet in line 13 instructions to verify calculations.)
Part XVI-B Relationship of Activities to the Accomplishment of Exempt Purposes
Line NoV
Explain below how each activity for which income is reported in column (e) of Part XVI-A contributed importantly to the accomplishment of
the foundation's exempt purposes (other than by providing funds for such purposes).
4 , 3 LL ACTIVITIES ARE CONDUCTED FOR THE SOLE PURPOSE OF RAISING FUNDS7 , 8 OR THE TAX-EXEMPT FUNCTION
22352112-05-12 Form 990-PF (2012)
121 A 7 `) 1 IA') 17C O 0'7 '7 T DTTtrnT rt_ L' /1TT1 `) r11 '1 0 r- n 0 n T DTTUrtT r V /1T7TT" 7%rnTrmT TAT(' /, / /l A DTTU/lT Tl)
ARNHOLD FOUNDATION INC.Form 990-PF 2012 C / O JOEL E SAMMET & CO , LLP 13-3456684 Pa g e 13
Part XVII ' Information Regarding Transfers To and Transactions and Relationships With Noncharitable
Did the organization directly or indirectly engage in any of the following with any other organization described in section 501(c) of Yes No
the Code (other than section 501(c)(3) organizations) or in section 527, relating to political organlzatlons7
a Transfers from the reporting foundation to a noncharitable exempt organization of:
(1) Cash la ( l ) X
(2) Other assets 1a ( 2 ) X
b Other transactions,
(1) Sales of assets to a nonchantable exempt organization lb ( l ) X
(2) Purchases of assets from a noncharitable exempt organization 1b 2 X
(3) Rental of facilities, equipment, or other assets tb 3 X
(4) Reimbursement arrangements 1b 4 X
(5) Loans or loan guarantees tb 5 X
(6) Performance of services or membership or fundraising solicitations ib 6 X
c Sharing of facilities, equipment, mailing lists, other assets, or paid employees tc X
d If the answer to any of the above is 'Yes,' complete the following schedule. Column (b) should always show the fair market value of the goods, ot
or services given by the reporting foundation. If the foundation received less than fair market value in any transaction or sharing arrangement, sh
her ass
ow in
ets,
(a) Name of organization (b) Type of organization (c) Description of relationship
N/A
Under penalties of perjury, I declare that I have e
and belief , it is true , correct , and complete DSignHere
Signature of officer or tru tee
Print/Type preparer's name
Paid JEROME GRUBIN
fined this return , including accompanying schedules and statements , and to the best of my knowledge
tion of prep r (other th taxpayer ) is based on all information of which re arer has an knowled aMay the IRS discuss this
at
Preparer's signature
I-'reparer Firm's name ► JOEL E. SAMMWI' & CO.Use Only
Firm's address ► 15 MAIDEN LANE, SUITE
22362212-05- 12
1 A 1 ) x) 1 `)n') '7C1)Q'7'7 'A 7n1 1) nrnon
2a Is the foundation 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 5279 0 Yes ® No
h If 'Yes'r•.mmnlefe the fnllnwlnn schedule-
Schedule B(Form 990 , 990-EZ,
or 990-PF)
Department of the Treasuryinternal Revenue SPice
Schedule of Contributors
► Attach to Form 990, Form 990-EZ, or Form 990-PF.
OMB No 1545-0047
2012Name of the organization Employer identification number
ARNHOLD FOUNDATION INC.
C/O JOEL E SAMMET & CO, LLP 13-3456684Organization type (check one)
Filers of: Section:
Form 990 or 990 EZ 501 (c)( ) (enter number) organization
0 4947 (a)(1) nonexempt charitable trust not treated as a private foundation
527 political organization
Form 990-PF ® 501(c)(3) exempt private foundation
4947(a)(1) nonexempt charitable trust treated as a private foundation
501(c)(3) taxable private foundation
Check if your organization is covered by the General Rule or a Special Rule.
Note . Only a section 501 (c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule See instructions
General Rule
® For an organization filing Form 990, 990-EZ, or 990-PF that received, during the year, $5,000 or more (in money or property) from any one
contributor Complete Parts I and II
Special Rules
0 For a section 501 (c )(3) organization filing Form 990 or 990-EZ that met the 33 1/3% support test of the regulations under sections
509(a)(1) and 170(b)(1)(A)(vi) and received from any one contributor , during the year , a contribution of the greater of (1) $5,000 or (2) 2%
of the amount on (i) Form 990, Part VIII, line 1 h , or (u) Form 990-EZ, line 1 Complete Parts I and II
For a section 501(c)(7),(8), or ( 10) organization filing Form 990 or 990 EZ that received from any one contributor , during the year,
total contributions of more than $1 , 000 for use exclusively for religious , charitable , scientific, literary, or educational purposes, or
the prevention of cruelty to children or animals Complete Parts I, II, and III
E] For a section 501 (c)(7), (8), or (10) organization filing Form 990 or 990-EZ that received from any one contributor, during the year,
contributions for use exclusively for religious, charitable, etc , purposes, but these contributions did not total 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 parts unless the General Rule applies to this organization because it received nonexclusively
religious, charitable, etc , contributions of $5,000 or more during the year ► $
Caution. An organization that is not covered by the General Rule and/or the Special Rules does not file Schedule B (Form 990, 990-EZ, or 990-PF),
but it must answer "No" on Part IV, line 2, of its Form 990, or check the box on line H of its Form 990-EZ or on Part I, line 2 of its Form 990-PF, to
certify that it does not meet the filing requirements of Schedule B (Form 990, 990-EZ, or 990-PF)
LHA For Paperwork Reduction Act Notice , see the Instructions for Form 990 , 990-EZ , or 990-PF. Schedule B (Form 990 , 990-EZ , or 990 - PF) (2012)
22345112-21-12
Schedule B (Form 990, 990-EZ, or 990-PF) (2012) Page 2
Name of orgamiation Employer identification number
ARNHOLD FOUNDATION INC.
CIO JOEL E SAMMET & CO. LLP 13-3456684
Part I Contributors (see instructions) Use duplicate copies of Part I if additional space is needed
(a)
No.
(b)
Name , address , and ZIP + 4
(c)
Total contributions
(d)
Type of contribution
1 HENRY ARNHOLD, Person El
1345 AVENUE OF THE AMERICAS $ 500 ,694 .
Payroll 0
Noncash I-XI
NEW YORK, NY 10105
(Complete Part II if there
is a noncash contribution )
(a)
No.
(b)
Name, address, and ZIP + 4
(c)
Total contributions
(d)
Type of contribution
2 KENNETH EDWARDS Person EK]
1345 AVENUE OF THE AMERICAS $ 20,000.
Payroll
Noncash 0
NEW YORK, NY 10105
(Complete Part II if there
is a noncash contribution )
(a)
No.
(b)
Name, address , and ZIP + 4
(c)
Total contributions
(d)
Type of contribution
3 JOHN ARNHOLD Person 0
1345 AVENUE OF THE AMERICAS $ 1,355,067.PayrollNoncash
NEW YORK, NY 10105
(Complete Part II if there
is a noncash contribution )
(a)
No.
(b)
Name , address , and ZIP + 4
(c)
Total contributions
(d)
Type of contribution
4 SIGRID EDWARDS TRUST 1990 Person
1345 AVENUE OF THE AMERICAS $ 20,000.
Payroll
Noncash
NEW YORK, NY 10105
(Complete Part II if there
is a noncash contribution)
(a)
No.
(b)
Name , address, and ZIP + 4
(c)
Total contributions
(d)
Type of contribution
5 MONICA SELIGMANN Person Ell
1345 AVENUE OF THE AMERICAS $ 20,000.
Payroll 0Noncash 0
NEW YORK, NY 10105
(Complete Part 11 if there
is a noncash contribution )
(a)
No.
(b)
Name , address, and ZIP + 4
(c)
Total contributions
(d)
Type of contribution
6 MAUREEN STEINER Person Ell
1345 AVENUE OF THE AMERICAS $ 20,000.
Payroll 0
Noncash
NEW YORK, NY 10105
(Complete Part II if there
is a noncash contribution )
223452 12-21-12 scneaule n (corm ssu, ssU-LL, or you-n) (Zu1z)
391 A')11 1 n') 'C') 0 '7 '7 TDATLT/lT Tl - L'r%TT 1 1 n1 ') n c A 0 n TDATUnT Tl V/lTTTTTI T R7T /1TT TTAT(' 0 1 /l TDTTUCT T)
Schedule B (Form 990, 990 EZ, or 990-PF) (2012) Page 2
Name of organ12ation Employer identification number
ARNHOLD FOUNDATION INC.
C / O JOEL E SAMMET & CO LLP 13-3456684
Part I Contributors (see instructions) Use duplicate copies of Part I if additional space is needed
(a)
No.
(b)
Name , address , and ZIP + 4
(c)
Total contributions
(d)
Type of contribution
7 ERIKA STEINER 2004 TRUST Person I-XI
1345 AVENUE OF THE AMERICAS $ 20,000.
Payroll 0
Noncash 0
NEW YORK, NY 10105(Complete Part II if there
is a noncash contribution )
(a)
No.
(b)
Name, address , and ZIP + 4
(c)
Total contributions
(d)
Type of contribution
8 KATHLEEN SELIGMANN LIVING TRUST Person
1345 AVENUE OF THE AMERICAS $ 20,000.Payroll
Noncash El
NEW YORK, NY 10105
(Complete Part II if there
is a noncash contribution )
(a)
No.
(b)
Name , address, and ZIP + 4
(c)
Total contributions
(d)
Type of contribution
9 RITA SHAEFER Person If]
1345 AVENUE OF THE AMERICAS $ 20,000.Payroll 0
Noncash 0
NEW YORK, NY 10105(Complete Part II if there
is a noncash contribution )
(a)
No.
(b)
Name, address, and ZIP + 4
(c)
Total contributions
(d)
Type of contribution
10 MICHAEL SELIGMANN LIVING TRUST Person I-XI
1345 AVENUE OF THE AMERICAS $ 20,000.Payroll 0Noncash 0
NEW YORK, NY 10105(Complete Part II if thereis a noncash contribution )
(a)
No.
(b)
Name , address, and ZIP + 4
(c)
Total contributions
(d)
Type of contribution
Person 0
$
Payroll
Noncash 0
(Complete Part II if there
is a noncash contribution )
(a)
No.
(b)
Name , address , and ZIP + 4
(c)
Total contributions
(d)
Type of contribution
Person 0
$
Payroll
Noncash
(Complete Part II if there
is a noncash contribution )
223452 12-21-12 Schedule B (Form 990, 990-EZ, or 990-PF) (2012)
223453 12-21-12 Schedule B (Form 990 ,990-EZ, or990 -PF)(ZU12)
411 A'In 1 OnI '7C`) 0 77 TDTTVr1T T'-V(1TTI 7 n 1 ') n r; n 0 n 7% ATTSl1T T% L'/ITTATTIT rnT (VAT TTTn n//l TDT1U(3T T7
..1S4
Schedule B (Form 990 , 990-EZ , or 990-PF) (2012)
Name of organization
ARNI}OLD FOUNDATION INC.
Employer identification number
C/O JOEL E SAMMET & CO, LLP 1 13-3456684
4
Part III Exclusively religious , charitable , etc., individual contributions to section 501 (c)(7), (8), or ( 10) organizations that total more than $1,000 for theyear . Complete columns (a) through ( e) and the following line entry. For organizations completing Part III, enterthe total of exclusively religious, charitable, etc., contributions of $1,000 or less for the year . (Enter thismtormauon once) $
1 Isa iii rnhrata rnnras of Part III if additional snare is needed
(a) No.fromPart I
(b) Purpose of gift (c) Use of gift (d) Description of how gift is held
(e) Transfer of gift
Transferee's name , address, and ZIP + 4 Relationship of transferor to transferee
(a) No.fromPart I
(b) Purpose of gift (c) Use of gift (d) Description of how gift is held
(e) Transfer of gift
Transferee's name , address , and ZIP + 4 Relationshi p of transferor to transferee
(a) No.fromPart I
(b) Purpose of gift (c) Use of gift (d) Description of how gift is held
(e) Transfer of gift
Transferee's name , address , and ZIP + 4 Relationshi p of transferor to transferee
(a) No.fromPart I
(b) Purpose of gift (c) Use of gift (d) Description of how gift is held
(e) Transfer of gift
Transferee's name , address , and ZIP + 4 Relationship of transferor to transferee
223454 12-21-12 Schedule B ( Form 990 , 990-EZ , or 990 -PF) (2012)
421 A')') 1 ')rl') '7 C ')O ''7 TDATtTnT 7l-L'r%TT1 ')0 1 ') f) C: non TDT,TTJ(%T T% Vf%TTTTTl 71T T/TAT TTT!'' !'' //l T DTTV(1T T)
ARNHOLD FOUNDATION INC. CONTINUATION FOR 990-PF, PART IV
O JOEL E SAMMET & CO LLP 13-3456684 PAGE 1 OF 2
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,2-story brick warehouse ; or common stock, 200 shs . MLC Co.
( b 1 How acquiredP - PurchaseD - Donation
(c) Date acquiredImo., day, yr -)
(d) Date sold( mo., day, yr.)
la 50 MONSTER BEVERAGE 60 JUNE CALL P 06/15 / 12 04/09/12
b 184065 . 08 CCY FWRD P 01 / 03/12 01/03/12
c 10000 MERCK P 08/01 / 11 01/03/12
d 50 JEFFERIES 10 JAN CALL P 01/11 / 12 11/18/11
e 5000 JEFFRIES GROUP P 11 / 17/11 01/11/12
f 10000 OVERSEAS SHIPHOLDING P 11/29 / 11 01/12/12
g 150000 EASTMAN KODAK BONDS P 01 / 06/12 04/27/12
h 5000 FACEBOOK P 07/27/12 07/27/12
2500 PHILLIPS 66 P 04 / 09/12 08/17/12
15084 MORGANS HOTAL GROUP P 06/27 / 12 09/10/12
k 50 MONSTER BEVERAGE 21 APR CALL P 04 / 09/12 02/28/12
15000 HANSEN NATURAL P 12/11/06 06/15/12m 91342 . 05 ASB 9%BONDS P 09/12 / 07 09/04/12n2 GMAC DEFERRED P 12/02 / 82 12/17/02
o 209379 COLLINS STEWART PLC P 12 / 24 / 09 1 01 / 03 / 12
o 184 065. 248 134. -64 , 069.Complete only for assets showing gain in column ( h) and owned by the foundation on 12/31/69 ( I) Losses ( from col. (h))
(i) F.M.V. as of 12/31/69(j) Adjusted basisas of 12/31/69
( k) Excess of col. (i)over col . ( f), if any
Gains ( excess of col . ( h) gain over col. (k),but not less than "-02)
f gain, also enter in Part I, line 7enter ' 0' in Part I line 7 /( If (loss )
2,,
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)II (loss), enter '- 0 ' in Part I, lin e 8 3
22359105-01-12
141 A7') 1 10 1 'C 7 0 '7 r/ T DTTUf1T r - VnTT 1 '3 A I 1 0 r; 0 0 0 TDATV/1T T% L'f'TTTTr% 7T TT/lTT TTTP'' o /(1 1 O TUt)T T7
ARNHOLD FOUNDATION INC. CONTINUATION FOR 990-PF, PART IV
C / O JOEL E SAMMET & CO LLP 13-3456684 PAGE 2 OF 2Part IV Capital Gains and Losses for Tax on Investment Income
(a) List and describe the kind ( s) of property sold, e g., real estate,2-story brick warehouse , or common stock, 200 shs. MLC Co.y
( b L How acquiredf - PurchaseD - Donation
( C Date acquiredNo., day, yr.)
( d) Date sold(mo., day, yr.)
to 2500 WILLIAMS PARTNERS P 03/23 / 09 01/05/12b 5000 ARCHER DANIELS P 05/05 / 10 02/29/12c 30058 CURIS INC P 08/25/10 06/28/12d 7947 . 21 ASB 9%BONDS P 09/13/07 09/04/12e 5000 PFIZER P 08/02/11 10/01/12f 5000 BAXTER INTL P 12/23/09 10/04/12g 7500 GENERAL ELECTRIC P 08/02/11 10/10/12h11920 . 81 ASB 9%BONDS P 09/13/07 11/16/12i CAPITAL GAINS THRU K-1S P 12/31/12
SECTION 1256 GAINS THRU K-1S P 12/31/12kLOSS ON SALE OF WILLIAMS PARTNERS LP 12/31/12ILOSS ON SALE OF ABSOLUTE EAGLES FUND LLC 12/31/12m 285 ARNHOLD CERAMICS P 12/23/07 06/30/12n
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