Form 990-PF Return of Private Foundation OMB No 1545-0052 or Section 4947( a)(1) Nonexempt Charitable Trust 2009 Department of the Treasury Treated as a Private Foundation Internal Revenue Service Note The foundation may be able to use a copy of this return to satisfy state reporting requirements. For calendar year 2009 , or tax year beginning , and ending 6 Check all that apply: 0 Initial return 0 Initial return of a former public charity 0 Final return ® Amend ed return El Address change 0 Name chanae c-J 0 W C Use the IRS Name of foundation A Employer identification number label A. LINDSAY & OLIVE B. O'CONNOR Otherwise , F OUNDATION , INC. 16-6063485 print Number and street (or P 0 box number if mail is not delivered to street address) Room/suite B Telephone number ortype . /O CHEMUNG CANAL TRUST CO. -PO BOX 152 ( 607 ) 538-9248 See Specific ci ty 0 town, state, and ZIP code ^ C If exemption application is pending , check here Instructions LMI RA NY 14902 D 1. Foreign organizations, check here H Check type of organization: ® Section 501(c)(3) exempt private foundation t85 % test, 2. Fh ecko reig n her org aniz and atons computatio n 0 Section 4947 ( a )( 1 ) nonexem p t charitable trust 0 Other taxable p rivate foundation E If f d private oundation status was terminate I Fair market value of all assets at end of year J Accounting method: ® Cash 0 Accrual under section 507(b)(1)(A), check here (from Part ll, co!. (c), line 16) 0 Other (specify) F If the foundation is in a 60-month terminatio No. $ 59 4 89 4 81 . (Part 1, column (d) must be on cash basis) n 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 (a) Revenue and expenses per books (b) Net investment income (c) Adjusted net in m (d) Disbursements for charitable purposes necessarily equal the amounts in column (a)) co e (cash basis only) 1 Contributions, gifts, grants, etc., received N / A 2 Check ► ® it the foundation is not required to attach Sch B 3 Incaselnvestmentss and temporary 21 , 566 . 21 , 566 . S TATEMENT 1 4 Dividends and interest from securities 1 , 650 , 019 . 1 , 649 , 764.STATEMENT 2 5a Gross rents b Net rental income or (loss) 6a Net gain or Qoss) from sale of assets not on line 10 - 3 , 957 , 694. M b Gross sales price for all 2 5 , 054 , 675. assets on line 6a 7 Capital gain n ePoW m g(fcom-Ea[t1V, line 2^ 0. 8 Net short-te t capltl Ir (E \f D 9 Income mo ca loas^,.,..v _,,,.. t^ Gross sales lret f 10a and allowanc C^k ins b Less Cost of sold c Gross prof(I 11 Othermcom 0 U T 1 , 440. 1 , 440. S TATEMENT 3 12 Total Addl f ° T-2 , 284 , 669. 1 , 672 , 770. 13 Compensation of officers, directors, trustees , etc 107 213 . 0 . 107 , 213 . 14 Other employee salaries and wages 28 042. 0. 28 042 . 15 Pension plans, employee benefits 33 814 0 . 33 814 . ID 16a Legal fees STMT 4 38 , 802 . 19 , 401. 19 , 401. a b Accounting fees STMT 5 33 , 790. 16 , 895. 16 , 895. W c Other professional fees STMT 6 303 , 880. 303 , 880. 0. > 17 Interest 18 Taxes STMT 7 23 , 188. 12 , 841. 10 , 347. 2 19 Depreciation and depletion 7 075. 0. E 20 Occupancy a 21 Travel, conferences, and meetings 27 , 14 9. 0 . 27 , 274. r- 22 Printing and publications m 23 Other expenses STMT 8 34 , 251. 0. 33 , 770. 24 Total operating and administrative CL expenses Add lines 13 through 23 637 , 204. 353 017. 276 756. 0 25 Contributions, gifts, grants paid 2 934 , 999. 2 , 934 , 999. 26 Total expenses and disbursements Add lines 24 and 25 3 , 572 , 203. 353 017. 3 , 211 , 755. 27 Subtract line 26 from line 12: a Excess of revenue over expenses and disbursements -5 , 856 , 872 . b Net investment income (if negative, enter -0-) 1 , 319 , 753. C Adjusted net income it negative, enter -0-) N / A acaou, 02-02-to LHA For Privacy Act and Paperwork Reduction Act Notice , see the instructions 2 13001102 758174 18164000 2009.06010 A. Form 990-PF (2009) I LINDSAY & OLIVE B. O'CON 18164001 J ^(
161
Embed
990-PF Returnof Private Foundation990s.foundationcenter.org/990pf_pdf_archive/166/... · A. LINDSAY & OLIVE B. O'CONNOR Form 990-PF (2009) FOTTNDATTON -TNC 1 F-Ff1A1AAq Paae2 t II
This document is posted to help you gain knowledge. Please leave a comment to let me know what you think about it! Share it to your friends and learn new things together.
Transcript
Form 990-PF Return of Private Foundation OMB No 1545-0052
or Section 4947(a)(1) Nonexempt Charitable Trust 2009
Department of the TreasuryTreated as a Private Foundation
Internal Revenue Service Note The foundation may be able to use a copy of this return to satisfy state reporting requirements.
For calendar year 2009 , or tax year beginning , and ending
6 Check all that apply: 0 Initial return 0 Initial return of a former public charity 0 Final return
® Amended return El Address change 0 Name chanae
c-J
0W
C
Use the IRSName of foundation A Employer identification number
label A. LINDSAY & OLIVE B. O'CONNOR
Otherwise , FOUNDATION , INC. 16-6063485print Number and street (or P 0 box number if mail is not delivered to street address) Room/suite B Telephone number
C If exemption application is pending , check hereInstructions LMIRA NY 14902 D 1. Foreign organizations, check here
H Check type of organization: ® Section 501(c)(3) exempt private foundation t85% test,2. Fhecko
reignherorganiz
and atons computatio n
0 Section 4947(a )( 1 ) nonexem pt charitable trust 0 Other taxable p rivate foundationE If f dprivate oundation status was terminate
I Fair market value of all assets at end of year J Accounting method: ® Cash 0 Accrual under section 507(b)(1)(A), check here
(from Part ll, co!. (c), line 16) 0 Other (specify) F If the foundation is in a 60-month terminatioNo. $ 5 9 4 8 9 4 81 . (Part 1, column (d) must be on cash basis)
nunder 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
(a) Revenue andexpenses per books
(b) Net investmentincome
(c) Adjusted netin m
(d) Disbursementsfor charitable purposes
necessarily equal the amounts in column (a)) co e (cash basis only)
1 Contributions, gifts, grants, etc., received N/A2 Check ►® it the foundation is not required to attach Sch B
Add lines 24 and 25 3 , 572 , 203. 353 017. 3 , 211 , 755.27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements -5 , 856 , 872 .b Net investment income (if negative, enter -0-) 1 , 319 , 753.C Adjusted net income it negative, enter -0-) N /A
acaou,02-02-to LHA For Privacy Act and Paperwork Reduction Act Notice , see the instructions
213001102 758174 18164000 2009.06010 A.
Form 990-PF (2009) I
LINDSAY & OLIVE B. O'CON 18164001 J ^(
A. LINDSAY & OLIVE B. O'CONNORForm 990-PF (2009) FOTTNDATTON - TNC - 1 F-Ff1A1AAq Paae2
t II Balance SheetsAttached schedules and amounts inthedescnphon
PBeginning of year End of yearar column should be to rend-oi -year amouotsonly (a) Book Value (b) Book Value (c) Fair Market Value
23 Total liabilities (add lines 17 throw h 22 ) 530. 3 , 993.Foundations that follow SFAS 117, check here ► 0and complete lines 24 through 26 and lines 30 and 31.
24 Unrestricted
25 Temporarily restricted
m 26 Permanently restricted
r_Foundations that do not follow SFAS 117, check here ►
' L and complete lines 27 through 31.
° 27 Capital stock, trust principal, or current funds 63 , 209 , 277. 57 , 352 , 405.28 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 63 , 209 , 277. 57 , 352 , 405.
31 Total liabilities and net assets/fund balances 63 209 807. 57 , 356 , 398.
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)
2 Enter amount from Part I, line 27a
3 Other increases not included in line 2 (itemize) ►4 Add lines 1, 2, and 3
5 Decreases not included in line 2 (itemize) ►6 Total net assets or fund balances at end of year (line 4 minus line 51- Part II. colu
92351102-02-10
11 63,209,277.2 -5.856.872.
57,352,405.Form 990-PF (2009)
313001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B. O'CON 18164001
A. LINDSAY & OLIVE B. O'CONNORForm 990-PF (2009) FOUNDATION INC. 16-6063485 Page 3Part 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 25 , 054 , 675. 1 1 29 012 369. -3 , 957 , 694.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. (j), if any
c ol. (k), but not less than -0-) orLosses (from col. (h))
a
b
c
d
e -3 , 957 , 694.
2 Capital gain net income or (net capital loss)If gain, also enter in Part I, line 7If (loss), enter -0- in Part I, line 7 2 - 3 957 , 694.
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).If loss enter -0- in Part I line 8 3 N / A
( ran v I uuauircairon unuer oeciron 4 u(e/ Tor rseaucea i ax 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? 0 Yes ® No
If "Yes, the foundation does not qualify under section 4940 ( e). Do not complete this part.1 Enter the appropriate amount in each column for each year: see instructions before makino any entries.
Base peraiod yearsCalendar year or tax year beginning m Adjusted qualifying distributionsq Net value of nonchantable use assets
2 Total of line 1, column (d) 2 .2470393 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 4 9 4 0 8
4 Enter the net value of noncharitable- use assets for 2009 from Part X, line 5 4 53 , 134 , 255.
5 Multiply line 4 by line 3 5 2 , 625 , 257.
6 Enter 1% of net investment income (1% of Part I, line 27b) 6 13 , 198.
7 Add lines 5 and 6 7 2 , 638 , 455.
8 Enter qualifying distributions from Part XII, line 4 8 3 , 211 , 755.
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 rate.See the Part VI instructions.
923521 02-02-10 Form 990-PF (2009)4
13001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B. O'CON 18164001
A. LINDSAY & OLIVE B. O'CONNORForm 990-PF (2009) FOUNDATION, INC. 16-60 63485 Page 4
Part VI Excise Tax Based on Investment Income (Section 4940(a), 4940(b), 4940(e), or 4948 - see instructions)
la Exempt 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 13 , 198.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 13 , 198.
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 13 , 198.6 Credits/Payments:
a 2009 estimated tax payments and 2008 overpayment credited to 2009 6a 13 , 172.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 13 , 172.
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 SEE STATEMENT 14 ► 9 26.10 Overpayment . If line 7 is more than the total of lines 5 and 8, enter the amount overpaid ► 10
11 Enter the amount of line 10 to be: Credited to 2010 estimated tax 100, Refunded 10, 11
Part VII-A Statements Regarding Activities
1a 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 1 a or 1b, attach a detailed description of the activities and copies of any materials published or
distributed 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 descnption 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 mstruments7 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 year2
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 ll, col. (c), and Part XV
8a Enter the states to which the foundation reports or with which it is registered (see instructions) ►
No
X
1c
3 X
4a X
N/A 4b
5 X
161X1
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(j)(3) or 4942(j)(5) for calendar
year 2009 or the taxable year beginning in 2009 (see instructions for Part XIV)' If "Yes," complete Part XIVn nul ,n,, no ronnc honnme ci ihetnnhoi nnnrr , h,dnro rli,nnn tho env voar9 .. -_ . -- - --_..a....-..--•`.... - -------
X
Form 990-PF (2009)
92353102-02-10
513001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B. O'CON 18164001
A. LINDSAY & OLIVE B. O'CONNORForm 990-PF (2009) FOuNUATION. INC. Page 5
Part VII -A I 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)7 If 'Yes," attach schedule (see instructions)
12 Did the foundation acquire a direct or indirect interest in any applicable insurance contract before
August 17, 2008? 12
13 Did the foundation comply with the public inspection requirements for its annual returns and exemption application? 13 XWebsite address ► HTTP : / /WWW. THEOCONNORFOUNDATION.ORG
14 The books are in care of ► CHEMUNG CANAL TRUST COMPANY, TRUST Telephone no. ► 6 0 7 - 7 3 7 - 3 8 9 6Locatedat ► PO BOX 1522 - TRUST TAX DEPARTMENT , ELMIRA, NY ZIP+4 ►14902
15 Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041 - Check here
Part VII-B Statements Regarding Activities for Which Form 4720 May Be RequiredFile 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? 0 Yes ® No
(3) Furnish goods, services, or facilities to (or accept them from) a disqualified person? 1 Yes ® No
(4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person? ® 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 official2 ( 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.) 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 page 20 of the instructions)? lb X
Organizations relying on a current notice regarding disaster assistance check here ►0c 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 20099 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(1)(3) or 4942(I)(5)):
a At the end of tax year 2009, did the foundation have any undistributed income (lines 6d and 6e, Part XIII) for tax year(s) beginning
before 20099 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 2b
c 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 year? 0 Yes ® No
b If 'Yes, did it have excess business holdings in 2009 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 penod2 (Use Schedule C,
Form 4720, to determine if the foundation had excess business holdings in 2009) N/A 3h
4a Did the foundation invest during the year any amount in a manner that would jeopardize its charitable purposes? 4a
b Did the foundation make any investment in a prior year (but after December 31, 1969) that could jeopardize its charitable purpose that
tax year beammna in
Form 990-PF (2009)
92354102-02.10
613001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B. O'CON 18164001
A. LINDSAY & OLIVE B. O'CONNORForm 90-PF 2009 FOUNDATION , INC. 16-6063485 Pag e 6Part VII- B Statements Regarding 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))2 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? Yes No
(3) Provide a grant to an individual for travel, study, or other similar purposes? 0 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)? ® Yes 0 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? 0 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)? 5b X
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? SEE STATEMENT 17 ® Yes = 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 contract? Yes ® No
b Did the foundation, during the year, pay premiums, directly or indirectly , on a personal benefit contract? 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 transaction? Yes ® No
Part VIII Information About Officers, Directors, Trustees, Foundation Managers, HighlyPaid Employees, and Contractors
1 List all officers, directors. trustees, foundation manaciers and their compensation.
(a) Name and address(b) Title, and average
hours per week devotedto position
(c) Compensation( If not paid ,enter -
0-)
( d) Contribuhonsto
em p anddeferredlans
compensaoon
(e)Ex enseaccount, otherallowances
SEE STATEMENT 16 107 213. 26 , 803. 0.
9 Compensation of five highest-nail emnlnvees (other than those included on line 11- If nnne_ 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) Contnbubons to
nd deterred plansemp aoyee benefit
compensation
(e) Expenseaccount, otherallowances
NONE
Total number of other employees paid over $50,000 ► 1 0
Form 990-PF (2009)
92355102-02-10
713001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B. O'CON 18164001
A. LINDSAY & OLIVE B. O'CONNORForm 990-PF (2009) FOUNDATION, INC. 16-6063485 Page 7
Part)III Information About Officers , Directors , Trustees , Foundation Managers, Highly
Paid 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 ► 0Part IX-A I 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-Bj 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 through 3 ► 0.
Form 990-PF (2009)
92356102-02-10
13001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B. O'CON 18164001
A. LINDSAY & OLIVE B. O'CONNORForm 990-PF (2009) FOUNDATION, INC. 16- 6063485 Page 8
Part X Minimum Investment Return (AII 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 to 51 , 088 , 243.b Average of monthly cash balances lb 2 , 855 , 163.c Fair market value of all other assets 1c
d Total (add lines la, b, and c) 1d 53 , 943 , 406 .e Reduction claimed for blockage or other factors reported on lines la and
1c (attach detailed explanation) le
2 Acquisition indebtedness applicable to line 1 assets
0.
2 0 .
3 Subtract line 2 from line l d 3 53 , 943 , 406 .4 Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see instructions) 4 809 , 151 .
5 Net value of noncharitable - use assets . Subtract line 4 from line 3. Enter here and on Part V, line 4 5 53 , 134 , 255 .6 Minimum investment return . Enter 5% of line 5 6 2 656 , 713 .
Part XIDistributable Amount (see instructions) (Section 4942(l)(3) and (I)(5) private operating foundations and certainforeign organizations check here ► and do not complete this part.)
1 Minimum investment return from Part X, line 6 1 2 , 656 , 713.2a Tax on investment income for 2009 from Part VI, line 5 2a 13 , 198.
b Income tax for 2009. (This does not include the tax from Part VI.) 2b
c Add lines 2a and 2b 2c 13 , 198 .
3 Distributable amount before adjustments. Subtract line 2c from line 1 3 2 , 643 , 515 .4 Recoveries of amounts treated as qualifying distributions 4 0 .
5 Add lines 3 and 4 5 2 , 643 , 515.6 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 2 , 643 , 515 .
Part XII Qualifying Distributions (see instructions)
a Expenses, contributions, gifts, etc. - total from Part I, column (d), line 26 la 3 , 211 , 755.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 protects 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 3 , 211 , 755.5 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 13 , 198.6 Adjusted qualifying distributions . Subtract line 5 from line 4 6 3 , 198 , 557.
Note. The amount on line 6 will be used in Part V, column (b), in subsequent years when calculating whether the foundation qualifies for the section
4940(e) reduction of tax in those years.
Form 990-PF (2009)
92357102-02-10
913001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B. O'CON 18164001
A. LINDSAY & OLIVE B. O'CONNORForm 990-PF (2009) FOUNDATION, INC. 16-6063485 Page 9
Part XIII Undistributed Income (see instructions)
1 Distributable amount for 2009 from Part XI,line 7
2 Undistributed income, if any , as of the end of 2009
a Enter amount for 2008 only
b Total for prior years:
3 Excess distributions carryover, if any, to 2009:
a From 2004
b From 2005
c From 2006
d From 2007
e From 2008
f Total of lines 3a through e
4 Qualifying distributions for 2009 from
Part Xll,line 3,211,755,
a Applied to 2008, but not more than line 2a
b Applied to undistributed income of prior
years (Election required - see instructions)
c Treated as distributions out of corpus
(Election required - see instructions)
d Applied to 2009 distributable amount
e Remaining amount distributed out of corpus
5 Excess distributions carryover applied to 2009(If an amount appears in column (d), the same amountmust 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
b Prior years' undistributed income. Subtract
line 4b from line 2b
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
d Subtract line 6c from line 6b. Taxable
amount - see instructions
e Undistributed income for 2008. Subtract line
4a from line 2a. Taxable amount - see instr.
f Undistributed income for 2009. Subtract
lines 4d and 5 from line 1. This amount must
be distributed in 2010
7 Amounts treated as distributions out of
corpus to satisfy requirements imposed by
section 170(b)(1)(F) or 4942(g)(3)
8 Excess distributions carryover from 2004
not applied on line 5 or line 7
9 Excess distributions carryover to 2010
Subtract lines 7 and 8 from line 6a
10 Analysis of line 9:
a Excess from 2005
b Excess from 2006
c Excess from 2007
d Excess from 2008
e Excess from 2009
(a)Corpus
(b)Years prior to 2008
(c)2008
(d)2009
2 , 643 , 515.
2 , 118 , 660.
0.
0.
2 , 118 , 660.
0.
0.1 , 093 , 095.
0.0. 0.
0.
0.
0.
0.
0.
1,550,420.
923581 Form 990-PF (2009)
02-02-10
1013001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B. O'CON 18164001
A. LINDSAY & OLIVE B. O'CONNORForm 990-PF (2009) FOUNDATION. INC. Page 10
Part XIV I Private Operating Foundations (see instructions and Part VII-A, question 9) N/A1 a If the foundation has received a ruling or determination letter that it is a private operating
foundation, and the ruling is effective for 2009, enter the date of the ruling ►b Check box to indicate whether the founc
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 XI I,
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(j)(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)(nQ
(3) Largest amount of support from
an exempt organization
( 4 ) Gross investment incomePart XV Supplementary Information (Complete this part only if the foundation had $5,000 or more in assets
at any time during the year-see the 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).)
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 orother entity) of which the foundation has a 10% or greater interest.
Check here ►0 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 of the person to whom applications should be addressed:
SEE ATTACHED GRANT APPLICATION NOTES
b The form in which applications should be submitted and information and materials they should include:
SEE ATTACHED APPLICATION FORM
c Any submission deadlines:
SEE ATTACHED GRANT APPLICATION NOTESd Any restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other factors:
SEE ATTACHED GRANT APPLICATION NOTES
923601 02-02-10
lation is a p rivate o eratm foundation described in section I-I 4942 (j)( 3 ) or " 4942(l)( 5 )
Tax year Prior 3 years
(a) 2009 ( b) 2008 (c) 2007 ( d) 2006 ( e) Total
Form 990-PF (2009)11
13001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B. O ' CON 18164001
A. LINDSAY & OLIVE B. O'CONNORForm 990-PF (2009) FOUNDATION, INC. 16- 6063485 Page 11
(continued)
o uranis ano tontnoutions rasa uurin the rear or A rovea for ruture ra ment
Recipient If recipient is an individual,show any relationship to Foundation Purpose of grant or
Name and address (home or business) any foundation manager status of contribution Amount
or substantial contributor recipient
a Paid during the year
SEE ATTACHED SCHEDULE 2,934,999.
Total ► 3a 2 , 934 , 999.b Approved for future payment
_
SEE ATTACHED SCHEDULE 4,219,852.
Total ► 3b 14,219,852.923611 02 -02-10
Form 990-PF (2009)
1213001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B. O'CON 18164001
A. LINDSAY & OLIVE B. O'CONNORForm 990-PF (2009) FOUNDATION, INC. 16-6063485 Page 12
Part XVI -A Analysis of Income-Producing Activities
Enter
1 Pr o
a
b
c
d
e
f
92 Me
3 Intmy
4 Div
5 Net
a
b
6 Net
pro
7 0th
8 Gai
tha
9 Net
10 Gr
11 0th
a
b
c
d
e
12 Su
ross amounts unless otherwise indicated Unrelate d business income Exclu ded b section 512, 513, or 514 (e).
gram service revenue:
(a)Businesscode
(b)Amount
1
Excfu -Sioncode
(d)Amount
Related or exempt
function income
Fees and contracts from government agencies
mbership dues and assessments
rest on savings and temporary cashestments 14 21 , 566.idends and interest from securities 14 1 1 650 , 019.rental income or (loss) from real estate:
Debt-financed property
Not debt-financed property
rental income or (loss) from personal
perry
er investment income 14 1 , 440.n or (loss) from sales of assets otherninventory 18 -3 , 957 , 694.income or (loss) from special events
, 0 .13 Total. Add line 12, columns (b), (d), and (e) 13 -2,284,669.
(See worksheet in line 13 instructions to verify calculations.)
Part XVI-B Relationship of Activities to the Accomplishment of Exempt Purposes
1313001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B. O'CON 18164001
02-021o Form 990-PF (2009)
A. LINDSAY & OLIVE B. O'CONNORForm 990-PF ( 2009 ) FOUNDATION , INC. 16-6063485 Pa a 13Part XVII Information Regarding Transfers To and Transactions and Relationships With Noncharitable
Exempt OrganizationsDid 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 organizations?
a Transfers from the reporting foundation to a noncharitable exempt organization of
(1) Cash la(l) X
(2) Other assets la (2)
b Other transactions:
(1) Sales of assets to a noncharitable exempt organization lb ( l ) X
(2) Purchases of assets from a noncharitable exempt organization lb ( 2 )1 X
(3) Rental of facilities, equipment, or other assets 1b 3 X
(4) Reimbursement arrangements 1b 4 X
(5) Loans or loan guarantees lb 5 X
(6) Performance of services or membership or fundraising solicitations
I
lb ( 6 X
Sharing of facilities, equipment, mailing lists, other assets, or paid employees 1c X
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, other assets,
or services given by the reporting foundation. If the foundation received less than fair market value in any transaction or sharing arrangement, show in
(a) Name of organization (b) Type of organization (c) Description of relationship
N/A
Under penalties of perjury, r declare that I have examined this return , including accompanying schedules and statements , and to the best of my knowledge and belief, it is true, correct,
and corn to Declaration o f p er other than taxpayer or fiduciary) is based on all information of which preparer has any knowledge
I ZlSignature of officer or trustee Date
= Preparer'ssignature' CATHERINE A. MALIWACKI CFor-
"oa ay nrm ' sname(oryours DAVIDSON, FOX & COMPANY,w to
itself-employed ), 3 CHENANGO STREETadd NY 13901KINGHAMTON ,
92362202-02-10
13001102 758174 18164000 2009.06010
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 527? Yes No
b If "Yes, com p lete the followin g schedule.
A. LINDSAY & OLIVE B. O'CONNOR FOUNDATIO
FORM 990-PF OTHER INVESTMENTS STATEMENT 12
VALUATION FAIR MARKETDESCRIPTION METHOD BOOK VALUE VALUE
MUTUAL FUND-SEE SCHEDULE COST 12,299,334. 11,229,802.LIMITED PARTNERSHIP - SEE SCHEDULE COST 1,109,995. 951,583.ALTERNATIVE INVESTMENTS - SEE COSTSCHEDULE 1,129,573. 1,050,332.
TOTAL TO FORM 990-PF, PART II, LINE 13 14,538,902. 13,231,717.
TOTAL TO FORM 990-PF, PART II, LINE 22 530. 3,993.
13001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B. O'CON 18164001
A. LINDSAY & OLIVE B. O'CONNOR CONTINUATION FOR 990-PF, PART IVFOUNDATION , INC. 16-6063485 PAGE 1 OF 1Part 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 How acquiredPurchase
D Donation
(c) Date acquired(mo., day, yr.)
(d) Date sold(mo., day, yr.)
la SEE ATTACHED SCHEDULE P VARIOUS VARIOUSb SEE ATTACHED SCHEDULE P VARIOUS VARIOUSc RETURN OF CAPITAL ON CORP. BOND P VARIOUS VARIOUSd RETURN OF CAPITAL ON MUTUAL FUND P VARIOUS VARIOUSe RETURN OF CAPITAL ON U.S SECURITIES P VARIOUS VARIOUS(CAPITAL GAINS DIVIDENDS
2 Capital am net income or net ca ital lossIf gain, also enter in Part I, line 7
g ( p ) ( If (loss), enter'-0 ' in Part 1, line 7 ) 2 -3 , 957 , 694.
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). JIf (loss), enter'-0' in Part I, line 8
D
3 N /A
92359104-24-09
1513001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B. O'CON 18164001
A. LINDSAY & OLIVE B. O'CONNOR FOUNDATIO 1F-90914RS
FORM 990-PF INTEREST ON SAVINGS AND TEMPORARY CASH INVESTMENTS STATEMENT 1
TOTAL TO FORM 990-PF, PART II, LINE 10C 11,283,345. 11,996,777.
18 STATEMENT(S) 8, 9, 10, 1113001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B. O'CON 18164001
A. LINDSAY & OLIVE B. O'CONNOR FOUNDATIO 16 -6063485
FORM 990-PF PART VIII - LIST OF OFFICERS, DIRECTORS STATEMENT 16TRUSTEES AND FOUNDATION MANAGERS
EMPLOYEETITLE AND COMPEN- BEN PLAN EXPENSE
NAME AND ADDRESS AVRG HRS/WK SATION CONTRIB ACCOUNT
DONALD F. BISHOP II CHAIR/EX DIR35.00 87,654. 21,913. 0.
HOBART, NY
CHARLOTTE BISHOP HILL VICE-CHAIR21.00 19,559. 4,890. 0.
DELHI, NY
WILLIAM MURPHY DIRECTOR0.00 0. 0. 0.
NEW YORK, NY
PAMELA HILL EXEC SECR/TREAS0.00 0. 0. 0.
DELHI, NY
SUZANNE HILL DIRECTOR0.00 0. 0. 0.
DELHI, NY
EUGENE PECKHAM DIRECTOR0.00 0. 0. 0.
BINGHAMTON, NY
AMY BISHOP DIRECTOR0.00 0. 0. 0.
SOMMERVILLE, MA
LINDSAY BISHOP DIRECTOR0.00 0. 0. 0.
DELANCEY, NY
ROBERT L. BISHOP, II DIRECTOR0.00 0. 0. 0.
DELANCEY, NY
TOTALS INCLUDED ON 990-PF, PAGE 6, PART VIII 107,213. 26,803. 0.
20 STATEMENT(S) 1613001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B. O'CON 18164001
A. LINDSAY & OLIVE B. O'CONNOR FOUNDATIO 16-6063485
FORM 990-PF EXPENDITURE RESPONSIBILITY STATEMENT STATEMENT 17PART VII-B, LINE 5C
GRANTEE'S NAME
ROTARY CLUB OF DELHI-OUR PEOPLE CARE
GRANTEE'S ADDRESS
597 ANDES RDDELHI, NY 13753
GRANT AMOUNT DATE OF GRANT AMOUNT EXPENDED
05/18/091,667.
PURPOSE OF GRANT
TO PROVIDE A GRANT FOR THE JOINT "AFTER PROM PARTY" FOR DELAWARE ACADEMYAND ANDES CENTRAL SCHOOL IN DELHI, NY
ANY DIVERSION BY GRANTEE
NONE
RESULTS OF VERIFICATION
FUNDS WERE USED FOR ORIGINAL GRANT PUPOSES.
21 STATEMENT(S) 1713001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B. O'CON 18164001
Fonn 4562 OMB No 1545-0172
Depreciation and Amortization 990PF 2009(Including Information on Listed Property)Department of the Treasury Attachment
Internal Revenue Service (99) ► See separate instructions. ► Attach to your tax return. Sequence No 67Name(s) shown on return Business or activity to which this form relates Identifying number
A. LINDSAY & OLIVE B. O'CONNORr?UUNDATION, INC. FORM 990 -PF PAGE 1 116-60634 85Part I Election To Expense Certain Property Under Section 179 Note : If you have any listed property, complete Part V before you complete Part 1
1 Maximum amount. See the instructions for a higher limit for certain businesses 1 250 , 000.2 Total cost of section 179 property placed in service (see instructions) 2
3 Threshold cost of section 179 property before reduction in limitation 3 800 , 000.4 Reduction in limitation Subtract line 3 from line 2. If zero or less, enter -0- 4
5 Dollar limitation for tax year Subtract line 4 from line 1 If zero or less , enter -0- If married film separately , see instructions 5
6 (a) Description of property (b) Cost (business use only) (c ) Elected cost
7 Listed property Enter the amount from line 29 1 7
8 Total elected cost of section 179 property Add amounts in column (c), lines 6 and 7
9 Tentative deduction Enter the smaller of line 5 or line 8
10 Carryover of disallowed deduction from line 13 of your 2008 Form 4562 - -
11 Business income limitation Enter the smaller of business income (not less than zero) or line 5
12 Section 179 expense deduction Add lines 9 and 10, but do not enter more than line 11
13 Carryover of disallowed deduction to 2010. Add lines 9 and 10, less line 12 ► 13Note : Do not use Part /l or Part Ill below for listed property. Instead, use Part V.
Part II Special Depreciation Allowance and Other Depreciation (Do not include listed property)
14 Special depreciation allowance for qualified property (other than listed property) placed in service during
the tax year
15 Property subject to section 168(f)(1) election
16 Other depreciation (includin g ACRS)Part III MACRS Depreciation (Do not include listed property) (See instructions)
Section A
14
17 MACRS deductions for assets placed in service in tax years beginning before 2009 17 1 , 658.18 If you are electing to group any assets placed in service during the tax year into one or more general asset accounts , check here ►
Section B - Assets Placed in Service During 2009 Tax Year Usina the General Denreciation System
(a) Classification of property(b) Month andyear placedin service
(c) Basis for depreciation(business/investment useonly - see instructions)
/ MM S/LSection U - Assets Placed in Service During 2009 Tax Year Using the Alternative Depreciation System
20a Class life S/Lb 12 ear 12 yrs S/L
C 40 ear / 40 yrs MM S/LIrart rv Summary (see instructions)
21 Listed property Enter amount from line 28 2122 Total. Add amounts from line 12, lines 14 through 17, lines 19 and 20 in column (g), and line 21
Enter here and on the appropriate lines of your return. Partnerships and S corporations - see instr 22 7 , 075.23 For assets shown above and placed in service during the current year, enter the
1111 121-04-os LHA For Paperwork Reduction Act Notice, see separate instructions.
2613001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B.
Form 4562 (2009)
O'CON 18164001
',• A. LINDSAY & OLIVE B. O'CONNORForm 4562 (2009) FOUNDATION , INC. 16 - 6063485 Page 2
Part V Listed Property (Include automobiles , certain other vehicles, cellular telephones , certain computers, and property used for entertainment,recreation, or amusement)Note: For any vehicle for which you are using the standard mileage rate or deducting lease expense, completeonly 24a, 24b, columns (a)through (c) of Section A, all of Section B, and Section C if applicable
Section A - Depreciation and Other Information (Caution: See the instructions for limits for passenger automobiles)
oA nn vnrr hnvo ovirlonra to ciinnnrt tho hiiempcc ( nvpcment imp rlarmpri? F-1 ve_ F-1 u.. owb. if "vow "" - +r,e -.,.4....,......-...,...o ii v.... r-1 m,.(a)
(b) (c)(d)
(e) (M-
(g)
-- ....-(h;.. (I)
Type of property Date Business/ Cost or Basis for depreciation Recovery Method/ Depreciation Elected(list vehicles first) placed in investment other basis
25 Special depreciation allowance for qualified listed property placed in service during the tax year and
used more than 50% Ina q ualified business use 25
26 Property used more than 50% in a qualified business use-
%
%
27 Property used 50% or less in a qualified business use:
%
% S/L -
% S/L -
28 Add amounts in column (h), lines 25 through 27. Enter here and on line 21, page 1 28
29 Add amounts in column ( i ) , line 26 Enter here and on line 7, page 1 29
Section B - Information on Use of Vehicles
Complete this section for vehicles used by a sole proprietor, partner, or other "more than 5% owner," or related person.If you provided vehicles to your employees, first answer the questions in Section C to see if you meet an exception to completing this section forthose vehicles.
30 Total businesslnvestment miles driven during the
(a)
Vehicle
(b)
Vehicle
(c)
Vehicle
(d )
Vehicle
(e)
Vehicle
(f)
Vehicle
year (do not include commuting miles)
31 Total commuting miles driven during the year
32 Total other personal (noncommuting) miles
driven
33 Total miles driven during the year.
Add lines 30 through 32
34 Was the vehicle available for personal use Yes No Yes No Yes No Yes No Yes No Yes No
during off-duty hours?
35 Was the vehicle used primarily by a more
than 5% owner or related person?
36 Is another vehicle available for personal
use?
Section C - Questions for Employers Who Provide Vehicles for Use by Their Employees
Answer these questions to determine if you meet an exception to completing Section B for vehicles used by employees who are not more than 5%
owners or related persons
37 Do you maintain a written policy statement that prohibits all personal use of vehicles, including commuting, by your Yes No
employees?
38 Do you maintain a written policy statement that prohibits personal use of vehicles, except commuting, by your
employees? See the instructions for vehicles used by corporate officers, directors, or 1% or more owners
39 Do you treat all use of vehicles by employees as personal use? - - -
40 Do you provide more than five vehicles to your employees, obtain information from your employees about
the use of the vehicles, and retain the information received?
41 Do you meet the requirements concerning qualified automobile demonstration use?
Note : If your answer to 37. 38. 39. 40. or 41 is "Yes. " do not complete Section B for the covered vehicles.
Part VI I Amortization(a) (b) (c) (d ) (e) (f)
Description of costs Date amortization Amortizable Code Amortization Amortizationbegins amount section penod or percentage for this year
42 Amortization of costs that begins during your 2009 tax year
3 I 103.
43 Amortization of costs that began before your 2009 tax year 43 378.
44 Total . Add amounts in column ( f) See the instructions for where to report 44 481.
916252 11-04-09 Form 4562 (2009)
27
13001102 758174 18164000 2009.06010 A. LINDSAY & OLIVE B. O'CON 18164001
NOBLE CORP NE 660. 000 26.962.0D 40.7030,620.86 46.40
* Total Equities 1,699,449.75
1,665,772.17
14
AML
Chemung Canal Trust Company 15Acm=tNumb HospitalStaument Prliod: Dxemba 01, 2009 Trough December 31, 2009
E..-.
Description
Mutual Funds
LOOMIS SAYLES DIST HIGH INC
ARTISAN IIVT NA71ONAL FUN)-ZNT
DODGE & COX INTL STOCK FUND
GMO FDRE3CNFUND III
NICHOLAS APP 1NR. GRW
OPPORTUNi Y I
Total Mutual Funds
Principal Portfolio Statement ( Conti
TotalMarket/
Ticker Shares Total Cost
L.SFIIX 25,553 .663 188 ,074.96150,000.00
need )
MarketPrice/
Cost Price
7.365.97
ARTIX 1,938.767 40,054.93 20.66
51,695.01 26.66
DODFX 1,025.369 32,658.64 31.8542,601.25 41.74
GMOFX 3,690.064 46,097.26 11.85
65,837.51 16.92
NAGP7C 1,414.013 37,018.86 26.18
50,767.57 35.92
343,905.65361,121.34
16
Private Banking andInvestment Group
A L&O B O'CONNOR FDN INC C78
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALDecember 01, 2009- December 31 , 2009
INVESTMENTS
ALTERNATIVE INVESTMENTS Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss) Annual Income Yield%
CHILTON SMALL CAP ACCESS 12/01/09 124,091 1.6117 199,999.65 1.6093 199,699.64 (300.01)
LTD CLASS I(H)
COAST ACCESS LTD U CL A 08/01/08 67,065 12537 84,079.40 11641 78,070.36 (6,009.04)
COAST ACCESS LTD U CL C 10/01/07 173,978 1.2099 210,495.99 1.1347 197,412.83 (13,083.16)
COAST ACCESS LTD U CL C 07/01/08 79,226 1.2622 99,999.08 11347 89,897.74 (10,10132)
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
21
Private Banking andInvestment Group,
December 01, 2009- December 31, 2009
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yield%
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPAL December 01, 2009 - December 31 , 2009INVESTMENTS
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Marke t Value Gain/(Loss)Annual Income Yleld%
YOUR TRUST MANAGEMENTACCOUNT STATEMENT OF PRINCIPAL December 01, 2009 - December 31 , 2009INVESTMENTS
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income YieId96
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPAL December 01, 2009- December 31 , 2009INVESTMENTS
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price' Market Value Galn/(Loss)An nual Income Yleld%
JANUS CAPITAL GROUP INC JNS 09/02/09 94 12.3139 1,157.51 13.4500 1,264.30 106.79 4 .29
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPAL December 01, 2009 - December 31 , 2009INVESTMENTS
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity , Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yield%
001 • IIII^I^I ^II VN I IIWhI N VNI^VI InINV ^ 4140 •
A L&O B O'CONNOR FDN INC
7
4 ^
^1 1
26
Private Banking andInvestment Group
•E31
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
December 01, 2009 - December 31, 2009
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Galn/(Loss)Annual Income Yleid%
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
December 01, 2009- December 31, 2009
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Weld%
REGAL ENTMT GROUP CL A RGC 01/03/08 66 17.8931 1,180.95 14.4400 953.04 (227.91) 48 4.98
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
29
December 01, 2009 - December 31, 2009
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yleld%
UNIVERSAL HEALTH SVCS B UHS 02/21/08 54 25,1335 1,357.21 30.5000 1,647.00 289.79 11 .65
j 30L -^- - .-TiPrivate Banking andInvestment Group
A L&O B O'CONNOR FDN INC 1E31
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPAL December 01, 2009 - December 31 , 2009INVESTMENTS
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)An nual Income Yleld%
WHITE MTNS INS GRP LTD WTM 07/01/09 18 228.8193 3,661.11 332.6600 5,322.56 1,661.45 16 .30
EQUITIES Unit Total Estimated Estimated Unrealized EstimatedCurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)An nual Income YIeId%
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
33Private Banking andInvestment Group
December 01, 2009 - December 31, 2009
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yleid%
•001 • IVn^ II gI IIp ^V II B I ^ II I IWNMI I^I^I ^ 4140
A L&O B O'CONNOR FDN INC
' ^_ I [ ^.._ ^..__ ^_ J 34Private Banking andInvestment Group
•E32
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
December 01, 2009 - December 31, 2009
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yield%
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPAL December 01, 2009- December 31 , 2009INVESTMENTS
EQUITIES (continued) Unit Total Estimated Estimated Unrealized EstimatedCurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)An nual Income Yleld%
TRIUMPH GROUP INC NEW TGI 06/30/09 107 40.6465 4,349.18 48.2500 5,16275 813.57 18 .33
TOTAL 561,362.12 670,615.49 109,253.37 17,200 2.58
•003 • IIN^ II^J^I I^^NRINNV I MN VAI II I c^ 4140
Private Banking andInvestment Group
A L&O B O'CONNOR FDN INC E33
i36 1
CASH/MONEY ACCOUNTS Total Estimated Estimated Estimated Est. Annual
Description Quantity Cost Basis Market Price Market Value Annual Income Yield%
CASH 0.31 0.31 .31
CMA MONEY FUND 77,788.00 77,788.00 1.0000 77,788 .00 78 .10
TOTAL 77,788.31 77,788.31 78 .10
EQUITIES Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)An nual Income Yleld%
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
E33
December 01, 2009 - December 31, 2009
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yeld%
CANADIAN NATL RAILWAY CO CNI 08/10/07 792 53.4300 42,316.59 54.3800 43,053.12 736.5309/03/08 37 51.8027 1,916.70 54.3600 2,011.32 94.62
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPAL December 01, 2009- December 31 , 2009INVESTMENTS
EQUITIES (continued ) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Galn/(Loss)Annual Income Yleld%
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPAL December 01, 2009- December 31 , 2009INVESTMENTS
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Galn/(Loss)An nual Income Yeld%
°. 0 1 111111 1 1111 111111111111111111111 111111111111111 o 4140
L&O B O'CONNOR FDN INC E33
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
LJ 43Private Banking and Iinvestment Group
December 01, 2009- December 31, 2009
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yleld%
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
44
December 01, 2009- December 31, 2009
EQUITIES (continued ) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quan tity Cost Basis Cost Basis Market Price Market Value Gafn/(Loss)Annual Income Yield%
TOTAL 1,380 ,371.87 1,566,042.52 175,670.65 24,436 1.57
'001 • 11111111 IN 11111 11111Ii111111111111I1111INB11tl 4140
A L&O B O'CONNOR FDN INC
45Private Banking andInvestment Group
•E34
EQUITIES Unit Total Estimated Estimated Unrealized EstimatedCurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Galn/(Loss)Annual Income Yle ld%
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
y -^ - ` 47Private Banking and McZInvestment Group
December 01, 2009- December 31, 2009
EQUITIES (continued) Unit Total Estimated Estimated Unrealized EstlmatedCurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yleld%
BP PLC SPON ADR BP 10/14/08 297 47 .6571 14, 154.16 57.9700 17,217 .09 3,062.93 998 5.79
Unrealized Estimated CurrentGain/(Loss)Annual Income Yleld%
10,261.73 923 4.81
460.03 534 4.81
10,721.76 1,457 4.81
(438.83) 227 2.92
(319.13)
(480.21)
(799.34)
(778.15) 341 2.90
(587.89) 79 2.90
(733.18) 103 2.90
(565.13) 263 2.90
(2,664.35) 786 2.90
(1,245.50)
(144.83)
45.20
849.72
660.92
165.51(3,048.93) 307 3.05
(1,090.20) 136 3.0595.74 43 3.05
(1,255.81) 246 3.05(233.64) 271 3.05
(145.52) 62 3.05(5,678.36) 1,065 3.05
822.54 688 2.66(211.23) 10 .12
(521.81)
001 4140
A L&O B O'CONNOR FDN INC •E34
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
51Private Banking and FA(ZInvestment Group
December 01, 2009- December 31, 2009
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yield%
001 1111111 IN 1111111111 IN 11111111111111111111111 4140
.^
A L&O B O'CONNOR FDN INC
52_!- I tPrivate Banking andInvestment Group
•E34
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
December 01, 2009 - December 31, 2009
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Galn/(Loss)Annual Income Yield%
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
December 01, 2009 - December 31, 2009
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yleld%
SUNCOR ENERGY INC NEW SU 04/10/08 183 36.3029 6,643.44 35.3100 6,461.73 (181.71)
11111111 111 ^ I I II^I 11111 11111 VIII 1 1 ^I^ 111l001 1 I I I 11 I 1 4140
- J. +- - 54
Private Banking andInvestment Group •
A L&O B O'CONNOR FDN INC •E34
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPAL December 01, 2009 - December 31 , 2009INVESTMENTS
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yield%
TOTAL 1,612,456.28 1,586,957.24 (25,499 .04) 43,265 2.73
001 4140
55Private Banking andInvestment Group
A L&O B O'CONNOR FDN INC .E35
EQUITIES Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yield%
•001 • III^I IIIIIIIII I IINIIWI IIV I IVINIV IN ^I I ^ 4140
J-1 WIE,'
' i 56
Private Banking andInvestment Group
A L&O B O'CONNOR FDN INC E35
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPAL December 01, 2009- December 31 , 2009INVESTMENTS
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yeld%
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
December 01, 2009- December 31, 2009
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Galn/(Loss)Annual Income Yleld%
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
59Private Banking andInvestment Group
December 01, 2009- December 31, 2009
EQUITIES (continued ) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Weld%
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
December 01, 2009- December 31, 2009
EQUITIES (continued) Unit Total Estimated Estimated Unrealized , Estimated CurrentDescription Symbol Acquired Quantity 'Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yield%
Subtotal 1,868 33,238.53 35,313.50 2,541.00 675 1.53MEAD JOHNSON NUTRTION CO MJN 12/18/09 365 41.7069 15,223.02 43.7000 15,950.50 727.48 293 1.83
001 4140
A L&O B O'CONNOR FDN INC •E35
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
61
Private Banking andInvestment Group
December 01, 2009 - December 31, 2009
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yield%
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPAL December 01, 2009- December 31 , 2009INVESTMENTS
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yleld%
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
December 01, 2009- December 31, 2009
EQUITIES (continued ) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yleld%
RANGE RESOURCES CORP DEL RRC 05/01/08 413 64.3168 26,56285 49.8500 20,588.05 (5,974.80) 67 .32
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPAL December 01, 2009- December 31 , 2009INVESTMENTS
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gafn/(Loss)Annual Income Yeld%
TOTAL 2,554,600.00 2,997,505.12 442,9 05. 12 34,477 1.15
•^001 ^ I^IV^I f^^h I^II nNmIINN^ IIn ^ 4140
66Private Banking andInvestment Group
A L&O B O'CONNOR FDN 1NC -E36
EQUITIES Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yield%
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPAL December 01, 2009 - December 31, 2009
INVESTMENTS
EQUITIES (continued) Unit Total Estimated Estimated thnrealized EstlmatedCurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yleld%
DEVON ENERGY CORP NEW DVN 11/19/08 70 70.8020 4,956.14 73.5000 5,145.00 188.86 45 .87
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPAL December 01, 2009 - December 31 , 2009INVESTMENTS
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income YleId9%
0 •. • IIR^^II^ ^I^ ^ I R I^I II III I^A nll l l ll l ll l a 4140
• 1 1 1 'J.^ I I I 1 I I ' I i
- '-• -- ^-• =-._.__-.. -.-.___ _! 71
Private Banking andInvestment Group
A L&O B O'CONNOR FDN INC E36
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
December 01, 2009 - December 31, 2009
EQUITIES(contlnued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)An nual Income Yield%
INTL BUSINESS MACHINES IBM 10/18/07 46 115.3263 5,305.01 130.9000 6,021.40 716.39 102 1.68COI- P IBM 11/07/07 177 112.7409 19,955.14 130.9000 23,169.30 3,214.16 390 1-68
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPAL December 01, 2009- December 31 , 2009INVESTMENTSEQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yield%
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
December 01, 2009- December 31, 2009
EQUITIES (continued ) Unit Total Estimated Estimated Unrealized Estimated CurrentDescriptio n Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gafn/(Loss)Annual Income Yield%
ME LIFE INC COM MET 08/10/07 1,612 61.5122 99 , 157.69 35.3500 56,984.20 (42,173 .49) 1,193 2.09
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
74
December 01, 2009 - December 31, 2009
i_
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yield%
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
December0l, 2009- December 31,2009
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual income Yield%
TOTAL S.A. SP ADR TOT 08/10/07 312 73.3400 22,882.10 64.0400 19,980.48 (2,901.62) 867 4.33
• 1111 11 IINN111111111111111111111 1111{11111111V III AlMh001 4140
A L&O B O'CONNOR FDN INC
77 !.
Private Banking andInvestment Group -
4E36
YOUR TRUST MANAGEMENT ACCOUNT STATEMENT OF PRINCIPALINVESTMENTS
December 01, 2009- December 31, 2009
EQUITIES (continued) Unit Total Estimated Estimated Unrealized Estimated CurrentDescription Symbol Acquired Quantity Cost Basis Cost Basis Market Price Market Value Gain/(Loss)Annual Income Yleld%
TOTAL CAPITAL GAIN/LOSS 22,625,525 26,664 ,149 (4,038,624)
4 FORN\ 990 PF SUPPO!`^"V u G . Ci-EbULE '/(v
? P T Y. V. LJ J E ZO'CONNOR FOUNDATION -* 1-O35GRANT APPLICATION INSTRUCTIONS
20091. Please condense the information about your proposal so that it fits within the space allowed
on the application form.
You may submit additional information as an addendum to the proposal, but it is essential
that all pertinent information be included on the application form within the space provided.
2. Before the Board of Directors can consider any application, proof of Federal Charitable Tax
Exempt Status [section 501 (c)(3) Internal Revenue Code, or other appropriate section], or
proof that the applicant is a bona fide unit of Government must be on file in the Foundation's
office.
3. It is the policy of the O'Connor Foundation to generally restrict our geographic area ofprogram to proposals that have direct impact on the quality of life in Delaware and the 7contiguously surrounding counties in rural upstate New York (Broome, Chenango, Greene,Otsego, Schoharie, Sullivan and Ulster).
4. Proposals in amounts not exceeding $5,000 will be considered on a monthly basis (deadline isthe first of each month) upon the following conditions:
(a) The organization must be located in Delaware County, or directlybenefit Delaware County
(b) A recipient of a grant cannot reapply for a period of three years forthe same project
(c) There shall be a required $1.00 for $1.00 match on all such grants -if the proposal is approved, match shall be "new money" raised afterthe date of the approval letter
5. It is preferred , but not required, to have sketches or drawings submitted on legal size orsmaller paper.
6. As a general rule, this Foundation will not make grants for meeting annual operatingexpenditures, or retiring existing debts and prefers to make grants of a non-recurring nature.
7. In almost all cases, a site visit will be arranged after the full application has been filed.
8. Applications should be directed to:
Donald F. Bishop, IIExecutive DirectorA. Lindsay & Olive B. O'Connor FoundationBox D, Hobart;NY 13788
IMPORTANT: - The O'Connor Foundation scans all proposals.- Please use only one side of the page.- Do not staple or bind grant proposals.
Should you have any questions , do not hesitate to call (607) 538-9248Monday-Friday, 9 a.m. - 3 p.m.
Grand Totals: $7,186,262.00 $2,966 , 410.00 $4,219,852.00
100.00% 41.28% 58.72%
Form 8868(Rev. April 2009)
Departrnent of the TreasuryInternal Revenue Service
Application for Extension of Time To File anExempt Organization Return OMB No. 1545-1709
for each return.
• If you are filing for an Automatic 3-Month Extension , complete only Part I and check this box ................................ .................. ► XD
• If you are filing for an Additional (Not Automatic) 3-Month Extension , complete only Part II (on page 2 of this form).
Do not complete Part II unless you have already been granted an automatic 3-month extension on a previously filed Form 8868.
[f a7rl Automatic 3-Month Extension of Time. Only submit original (no copies needed).
A corporation required to file Form 990-T and requesting an automatic 6-month extension - check this box and complete
Part I only ..................................................................... ►All other corporations (including 1120-C Nary), partnerships, REMICs, and busts must use Form 7004 to request an extension of timeto file income tax returns.
Electronic Filing (e-file). Generally , you can electronically file Form 8868 If you want a 3-month automatic extension of time to fie one of the returnsnoted below (6 months for a corporation required to file Form 990-T). However, you cannot file Form B868 electronically If (1) you want the additional(not automatic) 3-month extension or (2) you file Forms 990-BL, 6069 , or 8870 , group returns , or a composite or consolidated Form 990-T. Instead,you must submit the fully completed and signed page 2 (Part IQ of Form 8868 . For more details on the electronic filing of this form, visitwww.irs.gov/efile and click on e-flle for Charities & Nonprofits.
Type or Name of Exempt Organization
print A. LINDSAY & OLIVE B. O ' CONNORFOUNDATION, INC.
File by thedue date forfiling yourreturn Seeinstructions.
Employer identification number
16-6063485Number, street, and room or suite no . If a P.O. box, see instructions.C/O CEEMONG CANAL TRUST CO.,-PO BOX 1522City, town or post office , state , and ZIP code . For a foreign address , see instructions.ELMIRA., NY 1490 2
Check type of return to be filed (Me a separate application for each return):
Form 990 Form 990-T (corporation ) Form 4720
Form 990-BL Form 990-T (sec. 401 (a) or 408(a) trust) Form 5227
Form 990-EZ Form 990-T (trust other than above) Form 6069
® Form 990-PF Form 1041-A Form 8870
CHEMUNG CANAL TRUST COMPANY, TRUST• The books are in the care of ► PO BOX 15 2 2 - TRUST TAX DEPARTMENT - ELMIRA , NY 14 9 0 2 _
TelephoneNo 607-737 - 3896 FAX• If the organization does not have an office or place of business in the United States, check this box .................................................. ►• 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 . If it is for part of the group , check this box ►0 and attach a list with the names and EINs of all members the extension will cover.
I request an automatic 3-month (6-months for a corporation required to file Form 990•T) extension of time untilAUGUST 16, 2 010 , to file the exempt organization return for the organization named above. The extension
is for the organization's return for-0- calendar year 2 0 0 9 or
► tax year beginning , and ending
2 If this tax year is for less than 12 months , check reason : = Initial return = Final return 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 . 3a $ 13,172.
b If this application Is for Form 99D-PF or 990-T, enter any refundable credits and estimated
tax payments made. Include any p rior year overpayment allowed as a credit 3b $ 51,059.
c Balance Due. Subtract line 3b from line 3a. Include your payment with this form , or, if required,
deposit with FTD coupon or, If required , by using EFTPS (Electronic Federal Tax Payment System).
See instructions. 3. $ 0
Caution . If you are going to make an electronic fund withdrawal with this Form 8868 , see Form 8453-EO and Form 8879-EO for payment instructions.
LHA For Privacy Act and Paperwork Reduction Act Notice, see Instructions . Form 8868 (Rev. 4-2009)