EXTENSIONS ATTACHED Fonn,990-PF Return of Private Foundation or Section 4947(a)(1) Nonexempt Charitable Trust Department Treated as a Private Foundation 2001, and ending Amended return Address change I I Name chant A Empbyer Identification number Use theIRS label Otherwise, Print or type See sumo Instructions 1650 MARKET STREET, SUITE 1200 City or town, state, and ZIP code 7391 c 3 exempt private foundation Other taxable p rivate foundation unting method Cash Accrual Other (specify) _ column (d) must be on cash basis ) E If ptrinits lrxmd tion stot Idernmeled order sectsori :1(b)(1x .)5=Wk hard u roar 1 0 f me foundation FF If the foundation is in a Olontionth t::rmt; F-1 If ph"ah"o'" ' nder ~Ixori 507(bM flat check h (d) Disbursements (c) Ad~usteA net for charitable income ourooses 1 Fair market value of all assets at end of year (from Part II, cot (c), line Analysts of Revenue and Expenses (!he total of amounts in columns (b), (c), and (a) Revenue and (b) Net investment 5 .= v~ n~ my e qual the amounts in e~en~s~ per income N/A Exoiatai w hh,ei o.e ~eand m .w .e . b Net Investment Income (it negative, enter -0-) (2007) JSA iEiaio s o0o For Paperwork Reduction Act Notice. see the Instructions P17003 K493 11/12/2002 15 51 48 Form 0049-03-1-3 6 G Check all Name of organization J N PEW JR CHARITABLE TRUST THE GLENMEDE TRUST COMPANY 0049-03-1-3 Number and street (or P O box number if mail is not delivered to street address) PHILADELPHIA, PA 19103- type of organization X Section 501 2001 co-otzaova Room/suite B Telephone number fees page 10 of the instructions) (215) 419-6000 C II exemption OppICdIM a pending check here - , p t Foreign oryan¢aLma disk here U 2 Foreign asx test coax here and anan computalnn , u mach,,Stnr 0a UJ 2 Di ~ h~~m p~'U-~ [Q~ t 3 In t rce5 on whops and temporary ras svnents 4 Di idend f.C r Se G C r d b (Net rental income w (loss) ) 6 d Net gain or (loss) from sale a assets not on line 70 b Gross sales price for en z00,183,545 . asses on [me 6e 7 Capital pain net income (from Part IV, line 2) 8 Net short-term caplet gain 9 Income modifications 108 Gross sales less retains and allowances b Lass cost of goods sold c Gross profit or (loss) (attach schedule) 11 Other income (attach schedule) 17 Compensation of officers, directors, brushes, etc y 14 Other employee salaries and wages 15 Pension plans, employee benefits Na 18a Legal fees (attach schedule) pd b Accounting lees (attach schedule) N= c Other professional fees (attach schedule) C'2 a 17 Interest c 18 Taxes (attach schedule) (sea papa 14 a ma insuucuane) 19 Depreciation (mach schedule) and depletion Z< 20 Occupancy , , v c~ 21 Travel, conferences, and meetings 0 x 22 Printing and publications LU '_5 23 Other expenses (attach schedule) 12 : M ta 24 Total operating and administrative expenses 4p0 Add lines 13 through 23 . . ~d 25 Contributions, pills, grants paid 27 Subtract line 26 from line 12
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EXTENSIONS ATTACHED
Fonn,990-PF Return of Private Foundation or Section 4947(a)(1) Nonexempt Charitable Trust
Department Treated as a Private Foundation
2001, and ending Amended return Address change I I Name chant
A Empbyer Identification number
Use theIRS label
Otherwise, Print
or type
See sumo Instructions
1650 MARKET STREET, SUITE 1200 City or town, state, and ZIP code
7391 c 3 exempt private foundation
Other taxable p rivate foundation unting method Cash Accrual
Other (specify) _ column (d) must be on cash basis )
E If ptrinits lrxmd tion stot Idernmeled order sectsori :1(b)(1x.)5=Wk hard
u
roar
1 0
f me
foundation FF If the foundation is in a Olontionth t::rmt; F-1
If
ph"ah"o'"
'
nder ~Ixori 507(bM flat check h
(d) Disbursements (c) Ad~usteA net for charitable
income ourooses
1 Fair market value of all assets at end of year (from Part II, cot (c), line
Analysts of Revenue and Expenses (!he total of amounts in columns (b), (c), and (a) Revenue and (b) Net investment 5.= v~ n~ my equal the amounts in e~en~s~ per income
N/A
Exoiatai w hh,ei o.e ~eand m.w.e. b Net Investment Income (it negative, enter -0-)
(2007) JSA iEiaio s o0o For Paperwork Reduction Act Notice. see the Instructions
P17003 K493 11/12/2002 15 51 48 Form
0049-03-1-3 6
G Check all Name of organization J N PEW JR CHARITABLE TRUST THE GLENMEDE TRUST COMPANY 0049-03-1-3 Number and street (or P O box number if mail is not delivered to street address)
PHILADELPHIA, PA 19103-type of organization X Section 501
2001
co-otzaova Room/suite B Telephone number fees page 10 of
the instructions)
(215) 419-6000 C II exemption OppICdIM a
pending check here - ,
p t Foreign oryan¢aLma disk here U
2 Foreign asx test coax here and anan computalnn
,
u mach,,Stnr 0a UJ 2 Di ~ h~~m p~'U-~ [Q~ t 3 In t rce5 on whops and temporary ras svnents
4 Di idend f.C r
Se G C r
d b (Net rental income w (loss) )
6 d Net gain or (loss) from sale a assets not on line 70 b Gross sales price for en z00,183,545 . asses on [me 6e
7 Capital pain net income (from Part IV, line 2) 8 Net short-term caplet gain
9 Income modifications 108 Gross sales less retains
and allowances b Lass cost of goods sold c Gross profit or (loss) (attach schedule)
11 Other income (attach schedule)
17 Compensation of officers, directors, brushes, etc y 14 Other employee salaries and wages
15 Pension plans, employee benefits Na 18a Legal fees (attach schedule) pd b Accounting lees (attach schedule) N= c Other professional fees (attach schedule)
C'2 a 17 Interest
c 18 Taxes (attach schedule) (sea papa 14 a ma insuucuane)
19 Depreciation (mach schedule) and depletion Z< 20 Occupancy , , v c~ 21 Travel, conferences, and meetings
0 x 22 Printing and publications LU '_5 23 Other expenses (attach schedule) 12
:
M ta 24 Total operating and administrative expenses
4p0 Add lines 13 through 23 . .
~d 25 Contributions, pills, grants paid
27 Subtract line 26 from line 12
23-62993 2
717
Organizations that follow SFAS 117, check here " L end complete lines 24 through 26 and lines 30 and 31
a 00 24 Unrestricted m 25 Temporarily restricted , , m 26 Permanently restricted
c Organizations that do not follow SFAS 117, check here and complete lines 27 through 31
0 27 Capital stock, trust principal, or current funds . . 291,663,582 ZB Paid-in or tappet surplus or land bldg and equipment fund
m ,967 29 Retained earnings accumulated income enEO~ment, a other funds 898 a 30 Total net assets w fund balances (see page 17 0l the z instructions) 292 , 562 , 549
31 Total liabilities and net assets/fund balances (see gape 17 of the instructions 302,986,320
Analysis of Changes in Net Assets or Fund Balances
285 .561 .932
t Total net assets or fund balances at beginning of year- Part II, column (a), tale 30 (must agree with end-of-year figure reported on prior years retain)
2 Enter amount from Part I, line 27a a Other increases not included m line 2 (itemize) "_ SEE_~CHEDULE_ ---------4 Add lines 1, 2, and 3 5 Decreases not included in line 2 (itemize) "_____S_EE_5C_HEDU_L_E_A_T_TA_CHED_________ s Total net assets or fund balances at end of veer (line 4 minus line 5) - Part II, column (b), line 30
JSA 1E74203000
P17003 K493 11/12/2002 15 51 48 0049-03-1-3 7 -
Attached schedules and amounts in the Balance Sheets description column should be for
1 Cash -non-interest-beanng 2 Savings and temporary rash investments 3 accounts receivable t UNSETTLED TRADE
Less allowance for doubtful accounts 4 Pledges recerrable
Less allowance for doubtful accounts 5 Grants receivable o neceivenies cue from otticers, directors, trustees, and other
disqualified persons (attach schedule) (see page 15 0l the insbutLdts)
7 Other notes end loans receivable (attach schedule) ~
Less allowance for doubtful accounts 1 8 Inventories for sale or use 9 Prepaid expenses and deterred charges 10a investments U S end slate government obligations (mach schedule)
b Investments - corporate stock (attach schedule)
c Investments - corporate bonds (attach schedule) Investments buildings, 11 end equipment basis -----_-------------Less accumulated depreciation 1 (attach schedule) -__-____-----------
12 Investments - mortgage loans
13 Investments - other (attach schedule) 14 Land buildings and ,
equipment basis Less accumulated depreciation 1 (attach schedule) ____________________
15 Other assets (describe 1 __-_________________)
16 Total assets (to be completed by all filers - see page 16 of
17 Accounts payable end accrued expenses 18 Grants payable
19 Deferred revenue , , 20 Loins from officers, directors trustees and other dsquelfied persons
21 Mortgages and other notes payable (attach schedule)
22 Other liabilities (eescnbe " UNSETTLED TRADE___)
4,084,832 4,084,832 .
3,130 3,130
1,303,127 278,597,729
284 .171 .877
Form 990-PF (2ooi)
23-6299309 3 990-PF
(e) List end describe the kinds) of property sold (e g real estate, 2-story brick warehouse . or canmon stock, 200 shs MLC Co )
SEE SCHEDULE ATTACHED
(a) Gross Telex price I (f) Depreciation allowed (B) Cost or other basis (or allowable) plus expense of sale
9nniaz.545201.727 .55
om lete only for assets showing gain in column h and owned b the foundation on 12/31/69
() F M V as of 12/31/69 U) Adjusted basis (k) Execs of ool (i) as of 12/31/69 over cd U), d any
If section 4940(d)(2) applies, leave this part blank
Was the organization liable for the section 4942 tax on the distributable amount of any year in the base period? F__] Yes F-A No If 'Yes,' the organization does not qualify under section 4940(e) Do not complete this pan
1 Enter the appropriate amount in each column for each year, see page 18 of the instructions before making any entries
2 0 23778780285
3 0 04755756057
4 288 .668,412
5 13,728,365
s 67,153
13 .795 .518
4 Enter the net value of noncharitable-use assets for 2001 from Part X, line 5 , , ,
5 Multiply line 4 by line 3
6 Enter 1% of net investment income (1% of Part I, line 27b)
7 Add lines 5 and 6
8 Enter qualifying distributions from Part XII, line 4 . . . . . . . . 1 8 1 14 , 625 , 267 II line 8 is equal to or prester then line 7, Deck Ne has o Pan VI We 1 D, end com0lete that pert usug a 1 X lay isle Seethe Pan VI instructions on page 18
JSA i e i "ao s o0o Form 990-P F (zoos)
P17003 K493 11/12/2002 15 51 48 0049-03-1-3 8 -
If gain, also enter in Part I, line 7 2 Capital gain net income or (net capital loss) ' { If (loss), enter -0- in Part I, line 7 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) (see pages 13 and 17 of the instructions) If (loss) . enter-0. in Part I. line 8
(For optional use by domestic private foundations subject to the section 4940(a) tax on net investment income )
(b) How (c) Date acquired (d) Date sold acquired
,(nno .day.K)
(h) Gain or (loss) (e) plus (Q minus (g)
,VV7 .-
(I) Guns (Col (h) gam minus col (k), but not less than -0-) or
Losses (from cd (h))
Base period years Calendar year I (b) I «) for tax veer beainnma In) Adjusted qualifying 4isirIEuLOns Net value d rqnchant&blause aeeae
1998 1997
2 Total of line 1, column (d) . . . . . . 3 Average distribution ratio for the 5-year base period-divide the total on line 2 by 5, or by
the number of years the foundation has been in existence d less than 5 years
Dlstnbullm ratio
* THE 2000 OVERPAYMENT AND 2001 ESTIMATED TAX PAYMENTS WERE MADE ON THE PARTNERSHIP DISTRIBUTIONS AND UBIT WAS UNKNOWN UNTIL WE RECEIVED THE K-1'S FROM THE PARTNERSHIPS . PLEASE CREDIT THE OVERPAYMENT AS INDICATED BELOW TO FORM 990-T
Form 990PF(20011 TAX DUE OF 651 . 23_6299309 Page 4 Excise Tax Based on Investment Income (Section 4940(a), 4940(b), 4940(e), or 4948 - see page 18
1 a Exempt operating foundations described in section 49400(2), check here ~ and enter 'N/A' on line 1 Date of ruling letter (attach copy of ruling letter if necessary - see Instructions)
b Domestic or anizauons that meet the section 4940(e) requirements in Part V, check 1
here " and enter t I of Pert I, line 27b
c All other domestic organizations enter 2% of line 27b Exempt foreign organizations enter 4% of Part I, line 12 cd (6)
2 Tax under section 511 (domestic section 4947(a)(1) trusts end taxable foundations only Others enter -0-) 2
3 Add lines 1 and 2 , , 3
4 Subtitle A (income) tax (domestic section 4947(a)(1 ) trusts and taxable foundations only Others enter -0-) _ 6
5 Tax based on Investment income Subtract line 4 from line 3 If zero or less enter -0- , , 5
6 Credits/Payments
e 2001 estimated tax payments and 2000 overpayment credited to 2001 6. 158
b Exempt foreign organizations -taxvnthheldatsource 6b NON e Tax paid with application for extension of time to file (Form 8868) _ 6e 30, 100 d Backup withholding erroneously withheld 6d 13, 163
7 Total credits and payments Add lines 6a through 6d . . 7
8 Enter any penalty for underpayment of estimated tax Check here a if Form 2220 is attached , B
9 Tax due If the total of lines 5 end 8 is more than line 7, enter amount owed " 9 10 Overpayment if line 7 is more than the local of lines 5 and 8, enter the amount overpaid " 10 11 Enter the amount of line 10 to be Credited to 2002 estimated tax " *SEE ABOVE 30 , 751 Refunded " 11
67
1 a During the tax year, did the organization attempt to influence any national, state, or local legislation or did Yes No
it participate or intervene in any political Cempeign7 1 a
6 Did it spend more than $100 during the year (either directly or indirectly) for political purposes (see page 19 of the instructions for definition)? _ 1 b
1( the answer is 'Yes' to 1a or 16 attach a detailed description of the activities and copies of any materials
published or distributed by the organization in connection with the activities e Did the organization tile Form 1720-POL for this years 1 c K d Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year
(1) On the organization " E -0- (2) On organization managers " S -(1-e Enter the reimbursement (if any) paid by the organization during the year for political expenditure tax imposed
on organization managers " $ -0- _ 2 Has the organization engaged in any activities that have not previously peen reported to the IRS? 2
If 'Yes,' attach a detailed description of the activities 3 Has the organization made any changes, not previously reported to the IRS, m its poveming instrument, articles
of incorporation, or bylaws, or other similar instruments? It 'Yes,' attach a conformed copy of the changes 3 4 e Did the organization have unrelated business gross income of $1,000 or more during the years _ Oe X
b If 'Yes; has it flied a tax return on Form 990-T for this year? 4b X
5 Was there a liquidation, termination, dissolution, or substantial contraction during the year'+ 5
It 'Yes,' attach the statement required by General Instruction T 6 Are the requirements of section 508(e) (relating to sections 4947 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 instruments 6 X
7 Did the organization have et least $5,000 in assets at any time during the yea( h 'Yes.' complete Part ll, coil (c), and Part XV 7 K
8 a Enter the states to which the foundation reports or with which it is registered (see page 19 of the instructions) 0, COMMONWEALTH OF PENNSYLVANIA
b If the answer is 'Yes' to line 7, has the organization furnished a copy of Form 990-PF to the Attorney General (or designate) of each state as required by General Instruction G7 If 'NO,' attach explanation Be X
9 Is the organization claiming status as e private operating foundation within the mining of section 49420(9) or 49420(5) for calendar year 2001 or the taxable year beginning in 2001 (sea instructions for Part XIV m papa 25)? If 'Yes,' mmplete Part XN 9
10 Did any persons become substantial contnbutors dunng the tax yesr9 h'Yes,' attach a schedule listing then names and addresses 10 11 Did the organization comply with the public inspection requirements for its annual returns and exemption appiiphon? X
web site address " N/A 12 Thebooksareincareof t THE GLENMEDE TRUST COMPANYTelephoneno p. (215)419-6000
Lxatedat if~ 1650 MARKET ST __ SU I TE 1200,_ PH I LA _ PA_______-____ ap+a ff~ ____ 19103 7391 ___--___ 13 Section 4947(a)(1) nonexempt charitable trusts filing Forth 990-PF in lieu of Form 1041 -Check here "II
and enter the amount of tax-exempt interest received or accrued during the year 17 I
JSA forth 990-PF (2001) 1 EU404 000
Form 990-PF 5
JSA I E 1450 a 000
P17003 K493 11/12/2002 15 51 48 0049-03-1-3 10 -
Activities File Form 4720 rf any item is checked in the 'Y"' column, unless an exception applies Yes N
1 a During the year did the organization (either dhrecUy or indirectly)
(1) Engage in the sale or exchange, or leasing of property with a disqualified persons . 1:1 Yes 9No
(2) Borrow money from, lend money to, or otherwise mend cruet to (or accept it from) a disqualified person? . . . . . Yes
~
No
(3) Furnish goods, services, or facilities to (or accept them from) a disqualified person? . . Yes X No
(d) Pay compensation to, or pay or reimburse the expenses of, a disqualified persons . . . K Yes No
(5) Transfer any income or assets to a disqualified person (or make any of either available I~ for the benefit or use of a disqualified person) _ u Yes 119 No
(6) Agree to pay money or property to a government official? (Exception Check'No' it the organization agreed to make a grant to or to employ the official for a period after termination of government service, if terminating within 90 days ) 1:1 Yes 9 No
D If any answer is "Yes" to ta(1)-(6), did any of the acts fad to qualify under the exceptions described in Regulations section 53 4941(d)3 or m e current notice regarding disaster assistance (see page 19 of the instructions)? ~ ~ Organizations relying on a current notice regarding disaster assistance check here ~ I-J
e Did the organization engage in e prior year in any of the acts described in 1 a, other than excepted acts, that were not corrected before the first day of the tax year beginning in 20017
2 Taxes on failure to distribute income (section 4942) (does not apply for years the organization was a private operating foundation defined in section 4942Q)(3) or 4942Q)(5))
a At the end of tax year 2001, did the organization have any undistributed income (lines 6d end 6e, Pan XIII) for tax year(s) beginning before 20011 Yes X No If'Yes,'list theyears " __________ . _________ . ________ . ________
b Are there any years listed in 2e for which the organization is not applying the provisions of section 4942(a)(2)
(relating to incorrect valuation of assets) to the year's undistributed incomes (If applying section 4942(a)(2)
to all years listed, answer 'No' end attach statement-see page 19 of the instructions ) . . . . 2b N /1
c If the provisions of section 4942(a)(2) are being applied to any of the years listed m 2e, list the years here
3 a Did the organization hold more than e 2% direct or indirect interest in any business enterprise et any time during the years E]Yes a No
b If 'Vas,' did it have excess business holdings in 2001 as e result of (1) any purchase by the organization or disqualified persons after May 26, 1969, (2) the lapse of the 5-year period (or longer 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 fast phase holding periods (Use Schedule C, Form 4720, to determine if the organization had excess business holdings in 2001 ) 3 b N A
4 a Did the organization invest during the year any amount in e manner that would jeopardize its charitable purposes? b Did the organization make any investment in a prior year (but after December 31, 1969) that could jeopardize its charitable
purpose that had not been removed from jeopardy before the first day of the tax year beginning in 2001 4b
5 a During the year did the organization pay or incur any amount to (1) Carry on propaganda, or otherwise attempt to influence legislation (section 4945(e))7 1:1 Yes aNo (2) Influence the outcome of any specific public election (see section 4955), or W carry
on, directly or indirectly, any voter registration drive? , B Yes No (3) Provide a grant to an individual for travel, study, or other similar purposes , , Yes K No (4) Provide a grant to an organization other than a charitable, elC , organization described
in section 509(a)(1), (2), or (3), or section 49400(2)7 1:1 Yea O No (5) Provide for any purpose other then religious, charitable. scientific, literary, or
educational purposes, or for the prevention of cruelty to children or animals? ~ Yea ~ No b If any answer is *Yes* to Sa(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 page 20 0l we instructions)? ~ Sb N /1
Organizations relying on a current notice regarding disaster assistance check here c II the answer is 'Yes' to question Se(4), does the organization clam exemption from the
tax because it maintained expenditure responsibility for the grant' . . . . . N / A Yes No
11 'Yes,' attach the statement required by Regulations section 53 4945-5(d) 6 a Did the organization, during the year, receive any funds, directly or indirectly, to pay
premiums on e personal benefit contrectl . . . . . . Yes aNo b Did the organization, during the year, pay premiums, directly or indirectly, an a personal benefit contraaO 6b
It you answered 'Yes" to 66, also file Form 8870
Form 990-PF (2001)
Form 990-PF (2001) 23-6299309 Page 6 Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees, and Contractors
1 List all officers, directors, trustees, foundation mans ers and their compensation see a e 20 0l the uutructlorv.
a Name end address (b) hours per a=ge (c) compensation gel ~mwuma to
( ) " Pt not paid, enter empiwee nairn qw (e) E~ense account, devoted to posnan ¢ and deferred mmpan"-~^ other ellmvances
SEE- SCHEDULE- ATTACHED 826,644 19,589 -0-
--------------------------------------
--------------- - -------------------
-------------------------------------
2 Compensation o1 five highest-paid employees (other than those Included on line 1 - see page 21 0l the Instructions)- If none, enter "NONE'
a Name end address of each em (b) Title and average (e) Coninnuuma to (e) Eq~ense account ( ) employee paid more than S50,000 hours per week (C) Comp¢ruBGOn emplqq Cmeht plans "~ ° devoted to poSNOn and aelamE canpmaahm other allowances
List the foundation 5 four largest direct Charitable activities during the tax year Include relevant statistical Inbrmemn such as the number of organizations and other beneficiaries seed, oonlerances convened . research papers produced ex Byenses
3 Five highest-paid independent contractors for "NONE '
(a) Name end address of each person pad me
NONE
------------------------------------
------------------------------------
------------------------------------
------------------------------------
services - (see page 21 of the Instructions). if none,
Form 990-PF(2001)
ca- ova; >f the instruct wr on hoes 1 and 2 aneum
t NONE ---------------------------
------------------------
3 NUKE --------------------------------
oral Add lines 1 through 3 1~ I Minimum Investment Return (All domestic foundations must complete this part Foreign see page 22 of the 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 b Average of monthly cash balances . . . . c Fair market value of all other assets (see page 22 of the instructions) d Total (add lines 1 a, b, and c) e Reduction claimed for blockage or other factors reported on lines 1a and
1c (attach detailed explanation) L1e I 2 Acquisition indebtedness applicable to line 1 assets 3 Subtract line 2 from line 1d 3 Cash deemed held for charitable activities Enter 1 7/2% of line 3 (for greater amount, see page 23
of the instructions) 5 Net value of noncharltable-use assets Subtract line 4 from line 3 Enter here and on Part *V, line 4* 6 Minimum Investment return Enter 5% of line 5
4 ~ 4,395,966 . 5 288 .668 .412
~~ Distnbutable Amount (see page 23 of the instructions) (Section 4942Q)(3) and Q)(5) private foundations and certain foreign organizations check here ll~ n and do not complete this par
1 Minimum investment return from Part X, line 6 . . . . 2 a Tax on investment income for 2001 from Part VI, line 5 b Income tax for 2001 (This does not include the tax from Part VI ) c Add lines 2a and 2b
3 Distributabte amount before adjustments Subtract line 2c from line 1 4 a Recoveries of amounts treated as qualifying distributions b Income distributions from section 4947(a)(2) trusts c Add lines 4a and 4b
S Add lines 3 and 4c 6 Deduction from distributable amount (see page 23 of the instructions) 7 Dlstnbutable amount as adjusted Subtract hoe 6 from hoe 5 Enter f
67,153 2a
2c
4a
33 .739
line 1 . . . .
Qualifying Distributions (see page 23 of the instructions) Amounts paid (including administrative expenses) to accomplish charitable, etc , purposes Expenses, contributions, gifts, etc - total from Part I, column (d), line 26 . . , . 1 a 14 Program-related investments - Total from Part IX-B -:11b Amounts paid to acquire assets used (or held for use) directly in carrying owl chartlable, etc , purposes 2 Amounts set aside for specific charitable projects that satisfy the Suitability test (prior IRS approval required) . . . . . . 3e Cash distribution test (attach the required schedule) 3b Qualifying distributions. Add lines 1 a through 3b Enter here and on Part V, line 8 and Part XIII, line 4 4 14 Organizations that quality under section 4940(e) for the seduced rate of tax on net investment income Enter 1 % of Part I, line 27b (see page 24 of the instructions) 5 Adjusted qualifying distributions Subtract line 5 from line 4 6 14 Note The amount on Ime 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 (ax in those years
undistributed income (see page 24 of the instructions)
(s) (b) (c) (d) 1 DistribuWble amount for 2001 it= Part XI, Corpus Years prior l0 2000 2000 2001
line 7 14,399,356 2 Undistributed Income, it any as of the end d 2000 a Enter amount for 2000 only NON E
NON D Total for pnor yens 3 Excess distributions carryover, if any, to 2007 a From 7996 NON e From 1997 , 1,2n .225 c From 1998 87 . 602 d From
1 999 . 14,285 .
e From 2000 4,659,608 f Total of lines 3a through a 6,017,720
4 Qualifying distributions for 2001 Iron Pert
xi 1,line 4 . 14,625,267 a Applied to 2000, but not more than line 2a NON
b Applied to undistributed income of poor years (Election required -see papa 24 0l the insUUCnms) NON
c Treated as distributions out of corpus (Election required - see papa 24 of the instructions) NONE
d Applied to 2001 distributable amount 14 , 399 ,356 e Remaining amount distributed out of corpus . 225, 911 .
5 Excess distributions carryover applied to2001 NON NONE (n an amount appears in column (d), the same amount must be shown m column (a))
6 Enter the net total 01 each column as Indicated below
e Corpus Add lines 3f, 4c, and 4e Subtract line 5 6,243 ,631
b Prior years' undistributed income Subtract line ab from line 2b NON
c Enter the amount of prior years' undistributed income for which e notice of deficiency has been issued, or on which the section 4942(a) tax has been previously assessed , NONE
d Subtract line 6c from line 6b Tenable amount - see papa 25 of the instructions NON
e Undistributed income for 2000 Subtract line 4e from line 2e Tamble amount -see papa zs of the instructions NON
f Undistributed income for 2001 Subtract lines 4d end 5 from line 1 This amount must be distributed in 2002 NON[
7 Amounts treated as distributions out of corpus to satisfy requirements imposed by section 170(b)(1)(E) or 4942(8)(3) (see page 25 0l the instructions) NON
g Excess distributions carryover from 1996 not applied on line 5 or line 7 (see papa 25 of the instructions) NON
9 Excess distributions eerryovar W 2002 Subtract does 7 end 8 from dine 6a 6,243 , 631 .
10 Analysis of line 9 a Excess trap 1997 . 1,256 , 225 b Excess from 1998 87,602 , e Excess from 1999 . 14,285
d excess from zooo . 4,659,608 e Excess trap zoos 225,911
Form 990-PF (2001)
1 a If the foundation has received a ruling or determination lever that it is a private operating foundation, and the ruling is effective for 2001, enter the date of the ruling
foundation described in section
vudilpnp0uirouuonaiivnVan %11 line 4 1. each year IsteE
d Amounts inclu000 n Ine 2C no used EmcN/ for acinis conduct 01 exempt acunbas
e ciualifying middle directly for s+wecman d exempt acini c ies, subtract line 2d It= line 2c
3 Complete 3a, 0 a c log Uw alterrialifee test needs upon
e wcsen a~emw~eia-enc
VdIUedBllaeela . . (2) Value alesseeu9ualJynp
under section 411421U(3)(13)l1)
b "EnaowmenPmanavwtest Enter Z7 al minimum investment return mown n Pan % Ine B lob ealn,Bu listed
C Support enter
(1) Total support oher than prows aroastmerrill sooner interest dWmdl rams pilymenta on is, mine loans (section St2(a)(SI) or royalties)
(2) Support from gainers public and 5 or more exempt operations as orornotu 0 section 4Ga2GNT(B)(il I-grput amainl W euppan 110. an overran Orp9nuaUOn
d My restrictions or limitations on awards, such as by geographical areas, charitable fields, funds of insLtutions, mother hectors SEE ATTACHED
J5A 7E14B07000
P17003 K493 11/12/2002 15 51 48 0049-03-1-3 Form 990-PF (2001)
14 -
Form 990-PF
b Check box to indicate whether the oraanaauon is a
28 Enter the lesser of the adjusted not income from Pert I or the minimum investment return horn Pert X for each year listed
b 85% of Ima 2e
Supplementary Information (Complete this part only N the organization had $5,000 or more in assets et any time during the year - see page 26 of the Instructions )
Information Regarding Foundation Mangers: e List any managers of the foundation who have contributed more than 2% of the total contnbuhons received by the loundaLOn
before the close of any tax year (but only if they have contributed more than E5,000) (See section 5070(2) )
NONE
b List any managers of the foundation who own 10% or more of the stock of e corporation (or an equally large portion of the ownership of a partnership or other entity) of which the foundation has a 70% or greeter interest
NONE
2 Information Re girding Contribution, Grant, Gift, Loan, Scholarship, ate., Programs Check here ~ d tea organization only makes contributions to preselected charitable organizations and does not accept unsolicited requests for hinds
II the organization makes gifts , grants etc (see page 26 0l the insemcbms) to individuate or organizations, under other conditions , complete items 2e, b, c, and d
a me name, address, and telephone number of the person to whom applications should be addressed
SEE ATTACHED b The form in which applications should be submitted end information and materials they should include
SEE ATTACHED
c My submission deadimes SEE ATTACHED
3 the Year or roved for F I recipient s en undmdual . Foundaicn show any relatmsh~p b status of any foundation manager . . . . . .w~.e... .~i .~, . .. .,n. .~.,, retlpimt
Purpose of grant or contribution
b Approved for future payment SEE SCHEDULE ATTACHED
JSA
tE149~ J000
P17003 K493 11/12/2002 15 51 48 15 - 0049-03-1-3
Recipient
Name and address (home or business)
a Paid dunng the year SEE SCHEDULE ATTACHED
Amount
13,086,900
11 .785 .000
Form 990.PF (2001)
23-6299309 11
1 Program service revenue a b
e
d
f
g Fees and contracts from government agenaes 2 Membership dues and assessments J Interest on seHngs and temporary cash investments
4 Dividends end interest from secunues
5 Net rental income or (loss) from real estate a Debt-financed property
b Not debt-financed property 6 Net rental income or (loss) from personal property 7 Other investment income
8 Gain or (doss) from sates W assets other then inventor
9 Net income or (loss) from special events 7 0 Gross profit or (loss) from sales of inventory 11 Other revenue a
b PARTNERSHIP INCOME c d
e
12 Subtotal Add columns (b), (d), and (e)
13 Total Add line 12, columns (b), (d), end (e) X13
JSA tE147t4 000
P17003 K493 11/12/2002 15 51 48 0049-03-1-3 16 -
Form 990-PF
Enter gross amounts unless otherwise indicated or (y) (c) (d) function Inca
BUSIn255 I I Frrhimrv~ I I ($eB0a0e26
Relationship of Activities to the Accomplishment of Exempt Purposes Explain below how each activity for which income is reported in column (e) of Part XVI-A contributed importantly to
Line No the accomplishment of the organization's exempt purposes (other than by providing funds for such purposes) (See V ~ page 27 of the instructions )
Farm 990-PF (2001 )
1 Did the organization directly or indirectly engage in any of the following with any other organization descnbed in section
501(c) of the Code (other than section 501(c)(3) organizations) or in secLOn 527, relating to political organizations'
e Transfers from the reporting organization to a nonchantable exempt organization of
(1) Cash . . (2) Other assets
D Other Transactions
(1) Sales of assets to a noncheriteWe exempt organization
(2) Purchases of assets from a nonchantahle ewmpt erg izaatcn
(3) Rental of facilities . equipment, or other assets
(4) Reimbursement arrangements
(5) Loans or loan guarantees
(6) Performance of services or membership or fundraising solicitations
c Sharing of facilities, equipment, mailing lists, other assets, or paid employees
d If the answer to any of the above is 'Yes,' complete the following schedule Column (b) should always show the far market
value of the goods, other assets, or services given by the reporting organization If the organization received less then fair
market value in any transaction or sharing arrangement, show in column (A) the value of the goods, other assets, or services
2 s Is the organization directly or indirectly affiliated with, or related to, one or more tax-exempt organizations described in section 501(c) of the Code (other than section 501(c)(3)) or in section 527 1:1 Yes 7X No
JSA tE1a833000
P17003 K493 11/12/2002 15 51 48
Form 990 PF 2001 23'6299309 Papa 12 Information Regarding Transfers To and Transactions and Relationships With Noncharitable
Under penalties of penury I declare that I have examined this velum inducting accompanying schedules end statements, and to the best of my knowledge and belief it a trueTygre,r4,Aqg.pRQq0/WM,P,QcIAf#AA fl(prgperer (other than taxpayer or fiduciary)
s L AV m 1 ip ure al ollcer a trustee d
e ° Preparers ' w 9oc y m m O signature
n a ~ Firm's name (or yours '
if salt-employed, address, and ZIP code
e If you are filing for an Additional (not automatic) 3-Month Extension, complete only Part II and Ante Only complete Part 11 if you have already been granted an automatic 3-month extension oh a " I( you are filing far an Automatic 3-Month Extension, complete only Part I (on oaae 1)
Type or Name of E pt Orgamzauon pant C , C ~,~'~ (.2.= V ~ W F de by the Number, street and roam or suite no If a P O box, %pp instructions extended THE GLENMEDE TRUST COMPANY 1650 MARKET ST. SUITE 1200 due date for
~ ling the City, town or post office state and ZIP code For a foreign address see instructions eturn See
instructions PHILADELHIA, PA 19103-7391 Check type of return to be filed (File a separate application for each return)
Form 990 0 Form 990-EZ [I Form 990-T (sec 407(a) or 408(a) trust) E:1 Form 1041-A Form 990-BL X. Form 990-PF El Form 990-T (trust other than above) El Form 4720
use only
Form 5227 0 Form 8870
Signature and Verification Under penalties of penury I declare that I have examines this loan including accompanying schedules and statements and to the best of my knowledge and belief it is true correct aid complete and that I am auihonzed to prepare this form
T}~ GL TRUST COMPANY
Signature ~ BY' Title ~ Date vi
' , Notice top ant-To Be Completed by the IRS
We have approved this application Please attach this loan to the organization s return ~U We have not approved this application However we have granted a 70-day grace period from the later of the date shown below a the due
date of the organization s return (including any prior extensions) This grace period is considered to be a valid extension of time for elections otherwise required to be made on a timely return Please attach this form to we organization 5 return
0 We have not approved this application After considering the reasons stated in item 7 we cannot grant your request for an extension of time to file We are not granting a 70-day grace period
We cannot consider this application because it was filed after the due date of the return for which an extension was requested Other ., .. . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . .
~ .
O
. . _QQ~
O
Director Date Q - .9 C3 Alternate Marling Address - Enter the address if you want the copy of this application for an additional 3- h exE%siorv- returned to an address different than [he one entered above
Name ~ y Z
34 Type or Number and sweet (include sure, room, or apt no ) Or a P O box number
2 pant
~ Jtq
City or town, province or state. and country (including postal or ZIP code)
Form 8868 (12 2000)
7-4- oo ~if~r -03-11-3 Form 8868 (72-2000) Page 2
box ~ ilt?'Fprm 8868
` -
STOP Do not complete Part II d you were not already granted an automatic 3-month extension on a previously filed Form 8868
" I( the organization does not have an office or place of business in the United States check this box 1~ El " I( this is for a Group Return, enter the organizations tour digit Group Exemption Number (GEN) It this is for the whole group, check this box " a I( it is for pan of the group, check this box " ~ and attach a list with the names and EINs of all members the extension is for 4 I request an additional 3-month extension of time until __ _NQYFb6ER_15 . _, 2002, 5 For calendar year .91 . , or other tax year beginning . . . . . . 20 and ending --- -"- 20 --- 6 I( this tax year is for less than 12 months, check reason E) Initial return 0 Final return [I Change in accounting period 7 State in detail why you need the extension TIM, TAX PREP ARER IS STILL_IN_THE_PROCFSS OF GATHERING_ADDITIONA[.
INFORMATION TO PREPARE_A COMPLETE- MID ACCURATE TA7C_RETURN_FOR_ TAX YEAR ENDING 12/31jjQOj .
Ba 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 $
b If this application is for Form 990-PF, 990-T, 4720 or 6069, enter any refundable credits and estimated tax payments made Include any prior year overpayment allowed as a credit and any amount paid C previously with Form 8868
c Balance Due Subtract line 8b from line Ba 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 S - o -
2 It this tax year is for less than 12 months, check reason D Initial return 0 Final return D 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
b If this application is for Form 990-PF or 990-T, enter any refundable credits and estimated tax payments made Include any prior year overpayment allowed as a credit _
c Balance Due Subtract line 3b from line 3a Include your payment with this form, or if required deposit with FTD coupory,or, if required, by using EFTPS (Electronic Federal Tax Pa y~ ~en[ System) See instructions YA''/ls1En/ 7" /'~J/1 A r L~) --TTil E
a S~SOb_
ODi 5
RY~~~wi~lC . rue ~ TRIISTRA Date ~
Form 8868 (12 2000) Cat No 279160 For Paperwork Reduction Act Notice,
.A-/&7* 0(f> Ltq_ 0 3- jl3 Form $$68 Application for Extension of Time To File an (December Exem pt Or ganization Return OMB NO 7545-1709 Department of the Treasury Internal eeveriue Service - t File a separate application for eacn return f p ,/')
Ft `
" If you are filing for an Automatic 3-Month Extension, complete only Part I and checkz'Ihis bo ,~~i') ~ U , ). C3 " If you are filing for an Additional (not automatic) 3-Month Extension, complete only Part II (on page 2 of this form) Note Do nor complete Part ii unless you nave already peen grantea an automatic s-month extension on a previously filed Form 8868
Automatic 3-Month Extension of Time-Only submit original (no copies needed) Note Form 990-T corporations requesting an automatic 6-month extension-check this box and complete Part 1 only All other corporations (including Form 990-C filers) must use Form 7004 [o request an extension of time to file income !ax returns Partnerships, REMICs and trusts must use Form 8736 to request an extension of time (O file Form 1065, 7066, or 1041
Type or Name of Exempt Organization Employer identification number print - ~..~ - c ~ c ,~ 6 P593 0-7 File h~ Ne Number Street. and room or suite no If a P O box, see instructions due date is filing your E E U COMPANY L6 E S UI TE 2 return See insvucuons City, [own or post office state and ZIP cone For a foreign address see instructions
Check type of return to be fled (file a separate application for each return) "C] Form 990 El Form 990-T (corporation) ~ Form 4720
Form 990-BL 0 Form 990-T (sec 401(a) or 408(a) trust) ~ Form 5227 Form 990-EZ C1 Form 990-T (oust other than above) E3 Form 6069 Form 990-PF [I Form 1041-A E3 Form 8870
" If [he organization does not have an once or place of business in [he United Sates check this box " 0 " If this is for a Group Return, enter the organization s four digit Group Exemption Number (GEN) If this is for [he whole group check [his box " [:] If ¢ is for part of the group, check this box " [-] and attach a list with [he names and EINs of all members [he extension will cover
1 I request an automatic 3-month (6-month, (or 990-T corporation) extension of time until ___ AUGUST 15, . , 20 .Q? to file the exempt organization return for the organization named above The extension is for the organizations return far " C~ calendar year 20 0 1 or 10- Q tax year beginning _ . . . . . . . . . . . . . . . . . . . _ . . 20 . . , and ending -- -- -° ----------- , 20 ..
Signature and Verification Under penalties of pef)ury I declare that I nave examined this form including accompanying schedules and statements and In lie best of my knowledge and beret it a true correct, and Complete and that I am authonzc'a to prepare this form
THE GL DE TRUST COMPA9IY _ A / / M ~/
Name of transferor Identification number (SeB insWCtions)
The J N . Pew, Jr . Charitable Trust I23-6299309 Number street and room or suite nn (if a Pf1 y,*, cco ,nstr_cUons )
c/o The Glenmede Trust Company, 1650 Market Street, Suite 1200 City or town slate and ZIP coda
Philadelphia, PA 19103 1 The following questions apply only if the transferor is a corporation a It the transfer was a section 36t(a) or (b) transfer, was the transferor controlled (under section 368(c)) by
5 or fewer domestic corporations E] Yes 0 No b Did the transferor remain in existence after the transfers 0 Yes E) No
If not, list the controlling shareholder(s) and their identification number(s)
Identification number Controlling shareholder
c If the transferor was a member of an affiliated group filing a consolidated return, was it the parent corporations 0 Yes E] No If not, list the name and employer identification number (EIN) of the parent corporation
EIN of parent corporation Name of parent corporation
2 I( the transferor was a partner in a partnership that was the actual transferor (but is not treated as such under section 367), list the name and EIN of the transferor's partnership
Name of partnership I EIN of partnership
51-0412836 PCT Pa
Part 11 3 Name
Transferee Foreign Corporation Information (see instructions) any
Pequot Navigator Offshore Fund, Inc Address (including country) c/o Hemisphere Mgmt Ltd 9 Church St PO Place of organization or creation British Virgin Islands Is the transferee foreign corporation a controlled foreign corporation
5
6
8
Fu. 926 (Re/ +0-98)
LSA SiF FED76BSF 1
Form 926 Return by a U .S. Transferor of Property (Re, October 1998) to a Foreign Corporation OMB NO 75a5-002C, D"nrnwt of me Tnmsury (under section 367) Intemel Revenue Se"ca
Part 1 U S Transferor information (see instructions)
For Paperwork Reduction Act Notice, see separate instructions
Box HM951 Hamilton HMDX, Bermuda 7 Foreign law characterization (see
instructions) Corporation I-l Yes R No
2 Fortn 926 (Rev 10-98)
Part III Information Regarding Transfer of Property (see instructions)
9 Date of transfs 10/O1/Ol
1 Descriotion of
Type of nonrecognition transaction (see instructions) Sec . 351
transferred
12 Did this transfer result from a change in the classification of the transferee to that of a foreign corporation 13 Was the transferor required to recognize income under Temporary Regulations sections S 367(a)-4T
through 1 367(a)-6T (e g , (or tainted property, deprecation recapture, branch loss recapture, etc )~ 14a Was intangible property (within the meaning of section 936(h)(3)(B)) transferred pursuant to the
transaction b If yes describe the nature of the rights to the intangible property that was transferred in the transfer
0 Yes FX] No
Yes FX] No
Signature I Date ' Tlle
Dale check it Preparers Preparer s self- Signature ' employed 1 0
Firm 5 name (or yours EIN 1 i! sell-employed) and address 1 ZIP code 1
STF FE016851F 2
997
Yes n No
Please Sign Here
Paid
Use Only
Under penalties of penury I 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 complete Oeclarauon of preparer (other than lawyer) is based on all information o! which preparar has any knowledge
Forinn 926 (Rev October 1998)
D~rtrneni of the T~un Internal Revenue Semce
Return by a U.S . Transferor of Property to a Foreign Corporation O&S No 1545-0026
(under section 367)
Part I Name al V:
U S Transferor Information (see instructions)
The J .N Pew, Jr Charitable Number street and room or suite no (II a PO box sPP ,n,7,cbe~s
c/o The Glenmede Trust Compar city or gown slate and ZIP code
Philadelphia . PA 19103
1650 Market Street . Suite 1200
1 The following questions apply only if the transferor is a corporation a If the transfer was a section 361(a) or (b) transfer, was the transferor controlled (under section 368(c)) by
5 or fewer domestic corporations F-1 Yes F1 No b Did the transferor remain in ewstence after the transfers ~ Yes 0 No
If not, list the controlling shareholder(s) and then identification number(s)
Identification number Controlling shareholder
c If the transferor was a member of an affiliated group filing a consolidated return, was it the parent corporations E] Yes 0 No If not, list the name and employer identification number (EIN) of the parent corporation
Name of parent corporation EIN of parent corporation
2 If the transferor was a partner in a partnership that was the actual transferor (but is not treated as such under section 367), list the name and EIN of the transferor's partnership
EIN of partnership Name of partnership
51-J412836 PCT Pa
Part II 3 Name
Transferee Foreign Corporation Information (see instructions) 4 any
c/o Goldman Sachs PO Box 896 GT Harbour Centre, George Town, Cayman Isl . 6 Place of organization or creation 7 Foreign law cha"acterization (see
Cayman Islands instructions) Corporation 8 Is the transferee foreign corporation a controlled foreign corporations [] Yes ~x No
For Paperwork Reduction Act Notice, see separate instructions Form 926 (Rev 10-98)
2 Form 926 (Rev 10-9B)
Part 111 Information Regarding Transfer of Property (see instructions)
9 Date of transfer iypeor nonrecogninon transaction (see instructions) Sec . 351
12 Did this transfer result from a change in the classification of the transferee to that of a foreign corporations 0 Yes 2 No 13 Was the transferor required to recognize income under Temporary Regulations sections 1 367(a)-4T
through 1 367(a)-6T (e g , for tainted property, depreciation recapture, branch loss recapture etc )? ~ Yes ~ No 14a Was intangible property (within the meaning of section 936(h)(3)(B)) transferred pursuant to the
transactions [] Yes ~ No b If yes, describe the nature of the rights to the intangible property that was transferred in the transfer
Date 1 Title s SM131 security no
seu-employed l
EIN III
ZIP code III
Firm s name (or yours' If sell employed) and address
STF FE0IFRSF 2
1 Description of property transterrea Cash - $998,756
Please Sign Here
Paid Prepare' Use Only
Under penalties of penury I declare that I have examined this return including accompanying schedules and sWiements and to the best of my knowledge and belief it is We correct and complete Declaration of preparer (other than taxpayer) is based on all information of which preparer has any knowledge
Preparers
isn S7F FED76B5F I
926 Return by a U .S . Transferor of Property (Rev October 1998) to a Foreign Corporation OMB No 1545-0026 DepartmeniolNeTreasury (under section 367) hMmal Rvawe service
Part I U S Transferor information (see instructions)
fiat u .i. . rcw, ui . I a~ -oc» .~W ~ Number, sVnnt and 107m or SuP9 90 (:: z . C boa See iOi~mCLUUa
c/o The Glenmede Trust Company, 1650 Market Street, Suite 1200 Gary or town state and ZIP Code
Philadelphia, PA 19103
1 The following questions apply only if the transferor is a corporation a If the transfer was a section 361(a) or (b) transfer, was the transferor controlled (under section 368(c)) by
5 or fewer domestic corporations 0 Yes Ej No b Did the transferor remain m existence after the transfer? E] Yes E] No
If not, list the controlling shareholder(s) and their identification number(s)
Controlling shareholder Identification number
c If the transferor was a member of an affiliated group filing a consolidated return, was it the parent corporations F-1 Yes F-~ No If not, list the name and employer identification number (EIN) of the parent corporation
Name of parent corporation EIN of parent corporation
2 If the transferor was a partner in a partnership that was the actual transferor (but is not treated as such under section 367), list the name and EIN of the transferor's partnership
Name of partnership EIN of partnership
PCT Partners LLC 51-0412836
Part II Transferee Foreign Corporation Information (see instructions)
3 Name of transferee (foreign corporation) 4 Identification number, if any
Standard Pacific Capital Offshore Fund, Ltd None 5 Address (including country)
c/o MeesP_erson 6 John B Gorsiraweg, Willemstad, Curacao Netherlands Ant 6 Place of organization or ueation 7 Foreign law characterization (see
British Virgin Islands instructions) Corporation 8 Is the transferee foreign corporation a controlled fo reig n corporation'? -L-] Yes EX] No
For Paperwork Reduction Act Notice, see separate instructions Fcm 926 (Rep to sad
Page Z Form 928 (Rev
Information Regarding Transfer of Property (see instructions)
9 Date of transfer 70 Type of nonrecognition transaction 12/01/01 I (see instructions) Sec . 351
11 Description of property transferred Cash - $1,664,591
12 Did this transfer result from a change in the classification of the transferee to that of a foreign corporation 13 Was the transferor required to recognize income under Temporary Regulations sections 1 367(a)-4T
through 1 367(a)-6T (e g , (or tainted property, deprecation recapture, branch loss recapture, etc )? 14a Was intangible property (within the meaning of section 936(h)(3)(B)) transferred pursuant to the
transaction b If yes, describe the nature of the rights to the intangible property that was transferred in the transfer
Yes b-LI No
Signature I Date 1 Title
Date heck ,f Preparers socal securiyno Preparer s self- signature 111, e mployed
Frtm s name (or yours EIN fil if sel f I
STF FED1685F 2
Yes [XI No
0 Yes FX] No
Please Sign Here
Paid Preparer' Use Only
Under penalties of pepury I declare that i have examined this return including accompanpnq schedules and statements . and to the best of my knowledge and belie) .t is true correct and complete Declaration of preparer (other than taxpayer) is based on all information of which preparer has any knowledge
Name of transferor identification number (see instructions)
The J .N . Pew, Jr . Charitable Trust I23-6299309 Number street and rnnmpr~_urono (n=on bc;
c/o The Glenmede Trust Company, 1650 Market Street, Suite 1200 City or town state and ZIP code
Philadelphia, PA 19103 1 The following questions apply only if the transferor is a corporation a If the transfer was a section 361(a) or (b) transfer, was the transferor controlled (under section 368(c)) by 5 or fewer domestic corporations E] Yes F~ No
b Did the transferor remain in existence after the transfers F-1 Yes F--l No If not, list the controllmq shareholder(s) and their identification number(s)
Identification number Controlling shareholder
c If the transferor was a member of an affiliated group filing a consolidated return, was it the parent corporation? F-1 Yes E3 No If not, list the name and employer identification number (EIN) of the parent corporation
EIN of parent corporation Name of parent corporation
2 If the transferor was a partner in a partnership that was the actual transferor (but is not treated as such under section 367), list the name and EIN of the transferor s partnership
EIN of partnership Name of partnership
PCT Partners LLC X51-0412836
Part II Transferee Foreign Corporation Information (see instructions) number, if any
DE Shaw Compose 5 Address (including country)
Bank of Bermuda
In
PO Box 513GT 36C Bermuda House, George Town, Cayman Isl . 7 Foreign law characterization (see
instructions) Trust 6 Place of organization or creation
Cayman Islands
Form 927 (Rev 70-98)
LSA 57F FED7685F 1
Foqrn 926 Return by a U.S . Transferor of Property (Rev October 1998) to a Foreign Corporation OMB NO 1545-p026 D¢parlmentoINeTreasury (under section 367) hlemal Revenue Serrce
Part I U S Transferor information (see instructions)
8 Is the transferee toreAgn corporation a controlled foreign corporation?
For Paperwork Reduction Act Notice, see separate instructions
Yes f1 No
Cash - $1,664,590
12 Did this transfer result from a change in the classification of the transferee to that of a foreign corporation'? 13 Was the transferor required to recognize income under Temporary Regulations sections 1 367(a)-4T
through 1 367(a)-6T (e g , for tainted property, depreciation recapture, branch loss recapture, etc )9 14a Was intangible property (within the meaning of section 936(h)(3)(13)) transferred pursuant to the
transaction? b If yes, describe the nature of the rights to the intangible property that was transferred in the transfer
E:] Yes E] No
Under penalties of perjury I declare that I haw examined this return including accompanying schedules and Statements and to the best of my knowledge and belief it is true correct and complete Declaration of preparer (other than taxpayer) is based on all information of which prepdrer has any knowledge
security no
Firm s name (or yours if self-employed) and address
EIN i ZIP code ito.
S~. FEDIFZ.F I
Form 926 (Rev 10-98) page 2
information Regarding Transfer of Property (see instructions) 9 Date of transfer 10 Type of nonrecognition transaction
12/31/01 1 (see instructions) Sec 351
E] Yes [R) No
FJ Yes FX] No
Please Sign Here
Paid Preparer' Use Only
Signature
Preparers
Date Ttle
self-emooyed li~
Fo,rm 926 Return by a U .S . Transferor of Property (Rev OCtober 1998) to a Foreign Corporation OMB No 1545 0026 Depanment of Me Treasury (under section 367) Intennaf Revenue Servce
I= U S Transferor information (see instructions) Name of transferee 1, K I'C- W :IW , C J*A/ZrT,4/j L C -7W J Number Sireel. and room or suite no (if a P 0 box see instructions)
number (see insvi
- Z" 'iq '3 'D
)-1- 72;' / loc~
i I tie following questions apply only it the transteror is a corporation a If the transfer was a section 361 (a) or (b) transfer, was the transferor controlled (under section 368(c)) by
5 or fewer domestic corporations? El Yes El No b Did the transferor remain in existence after the transfer? [-] Yes [I No
c If the transferor was a member of an affiliated group filing a consolidated return, was it the parent corporation? El Yes [-I No If not list the name and emolover identification number (EIN) of the parent corporation
US -3 CA!j M!2N 95 ~/ Z -S 5 Address (including country) ILMS h"-C>"-99F 227 !f7 6 e 0
1Z 6 7V vJ qA N-6 VIWA( 0-4 MXVIf --644 6 Place of organitation or creation 7 Foreign law characterization (see
if A-ti M ~fAJ -T-S I instructions) CZDPfDR~-;~~ 8 Is the transferee foreign corporation a controlled foreign corporation? El Yes M No
For Paperwork Reduction Act Notice, see separate instructions Cal No 16982D Fonar, 926 (Rev 10-98)
Name of parent corporation EIN of parent corporation
2 If the transferor was a partner in a partnership that was the actual transferor (but is not treated as such under section 367), list the name and EIN of the transferor's partnership
Name of partnership EIN of partnership
Transferee Foreign Corporation Information (see instructions)
3 Name O~ e I ------- 74 Identification number, if any
14a Was intangible property (within the meaning of section 936(h)(3)(B)) transferred pursuant to the transaction? 0 yes No
b If yes, describe the nature of the rights to the intangible property that was transferred in the transfer
Under penalties of perAuy I declare that I have examined this return including accompanying schedules and statements and to the best of my knoWedge and belief it is true correct. and complete Declaration of preparer (other than taxpayer) is based on all information of which preparer has any unciviedge
Prepareir s social security no
Use Only code ii~
0
Form 926 (Rev 10-98) ~13 - 6P I 4~3oi f Page 2
Information Regarding Transfer of Property (see instructions) 10 Type of nonrecognition transaction
(see instructions) 3_5' 11 Description of property transferred
C, 9-S P Z;, C. L/ 0, 15 (36) .
12 Did this transfer result from a change in the classification of the transferee to that of a foreign corporation? C1 Yes KNo 13 Was the transferor required to recognize income under Temporary Regulations sections I 367(a)-4T
through 1 367(a)-6T (e g . for tainted property, depreciation recapture, branch loss recapture etc )'? Cl Yes V No
Please Sign Here
Paid
~ Signatuire Date
Preparer s Date signature Firm s name (or yours if self employed and
~ T.~de
Form 926 Return by a U.S. Transferor of Property (Rev Octolow 1998) to a Foreign Corporation OMB No 1545 0026 Oeix~t of the Tmwy (under section 367) ln~ Revenue serv~ce
U .S . Transferor information (see instructions) ye
ICE J"i ;Y L G F% V Number SUML and fWM M WLEe m (if a P 0 box see instructions) /e, -7 j4 m o=.n e~- -r.< 6,= ef
nwnber C>
u.:j- 7' !5' Id'c", ay w ;:xnvn state and ZIP code
1 The following questions apply only if the transferor is a corporation a If the transfer was a section 361 (a) or (b) transfer, was the transferor controlled (under section 368(c)) by
5 or fewer domestic corporations? 0 Yes El No b Did the transferor remain in existence after the transfer? C3 Yes C1 No
c If the Lransferor was a member of an affiliated group filing a consolidated return, was it the parent corporation? 0 Yes 0 No
Name of parent corporation EIN of parent corporation
2 If the transferor was a partner in a partnership that was the actual transferor (but is not treated as such under section 367) . list the name and EIN of the transferor's partnership
Name of partnership I
EIN of partnership
-ts 0 V F 0, 5~ 7-A Ff T- :~E--V- L- P I C)LI -[M Transferee Foreign Corporation Information (see instructions)
3 Name of transferee (foreign corporation) 6 o Y E4. -S 7-A er6- -T- TV L :T'A
4 itientimation numner, it any -N 0 tj i157
5 Address (including country) 6,FJt,-4A 14 0 L) S 6 . xv / C- 4~~ Alz- AV
6 Place of organization or Creation '&FXM 'j k' (?
8 Is the transferee foreign corporation a controlled foreig For Paperwork Reducton Act Notice, see separate instructions Cat No 16982D fonrn 926 (Rev lo-ge)
HM -&'4 7 Foreign law ch~~7ctAgs/ele L)
instructions) / Ofl-jpo f- 17-roej
Fom 926 (Rev 10 98) F,3 - 6,? Page 2
MM Information Regarding Transfer of Property (see instructions) 9 Date of transfer
VA(Zxt) \j 's :1-N a ( ::. 0 10 Type of nonrecognition transaction
(see instructions) Z ~e , 3 _~- I
9
11 Description of property transferred
-,-+ -3 0 Cif .515-0 .
12 Did this transfer result from a change in the classification of the transferee to that of a foreign corporation? Cl Yes X_No 13 Was the transferor required to recognize income under Temporary Regulations sections I 367(a)-4T
through I 367(a)-6T (e g . for tainted property, depreciation recapture branch loss recapture, etc )? F-1 Yes X,
No 14a Was intangible property (within the meaning of section 936(h)(3)(B)) transferred pursuant to the
transaction? C1 Yes P~ No b If yes, describe the nature of the rights to the intangible property that was transferred in the transfer
Under penalues of perjury, I declare that I have eurnmed M re~ Miuding aCCornpanyng Xhedules and staternenu and to the best of my knoWedge Please and belief it is true correct, and complete, Declaration of preparw (other than taxpayer) is based on all infurnation of Which preparer has any knoydedge Sign Here
Signature Date True
Paid Preparer Date checV. If Preparer's ~Iat secunly M 5 sell . wgnature employed Preparer's I'm s narne (or yours k EIN ll~ Use Only rf self employed) and
address F ZIP code
Form 926 Return by a U.S . Transferor of Property (P~ ockone~ 1998) to a Foreign Corporation OM8 No 154S-0026 Di of m T,,eauay (under section 367) OEMM Re~u S"ce
U S Transferor information (see instructions)
Namp Van%f?,M
-i Q - ~ Lt4a23, C ;I.M-oWSUMIL and [OOM or Sditia no (If a P 0 box see insmcwns) C/o - ~Jtj E 6 /- C~j M cF rvL 05-1- c 0 ri City ox town state and ZIP ~e
05T
~Hl- L A b G- L- F H ~L a , r1i" / '7 / 0-3- -7 L3 '7 1 1 The following questions apply only i(Lhe Lransferor is a corporation a If the transfer was a section 361(a) or (b) transfer, was the transferor controlled (under section 368(c)) by
5 or fewer domestic corporations? Yes El No b Did the transferar remain in existence after the transfer? Yes ED No
c If the transferor was a member of an affiliated group filing a consolidated return was it the parent corporation? 0 Yes El No If not, list the name and employer identification number (EIN) of the parent corporation
Name of parent corporation I EIN of parent corporation
It the transferor was a partner in a partnership that was the actual Lranseror (but is not treated as such under section 367), list the name and EIN of the Lransferor's partnership
Name of partnership I
EIN of partnership
FUNAVI L--P 1 0 L~ -3-5-k Transferee Foreign Corporation Information (see Instructions)
3 Name of transi (f7ign corporation) 4 Identification number, if any ,4 v=V
!.,q '1`9 1 A) 0 r'Jt5-
5 Address (including country) (-/,),4 7- L A-S: V f;kI r,/A tF F-L-) 1`~~ V T L A
6 Place of organization or creation PA/,-T-s F:~CA+JLC--
8 Is the transferee foreign corporation a Controlled foreign corporation? For Paperwork Reduction Act Notice, see separate instructions I
n14 Od I I (see
F~ 926 (Rev 10-98) Cal No 169820
1'r ':5-1- Ey -5. -TX 45E -1' 1 7 Foreign law Lh
4=)
Form 926(Rev 10-98) a ;-3q6Z y Page 2 -13 Information Regarding Transfer Of Property (see instructions)
9 Date of 10 Type of nonrecognition transaction (see instructions) Sj~~- - I . c, 3,5
11 Description of property transferred
12 Did this transfer result from a change in the classification of the transferee to that of a foreign corporation'? 13 Was the Lransferor required to recognize income under Temporary Regulations sections I 367(a)-4T
through 1 367(a)-6T (e g , for tainted property depreciation recapture branch loss recapture, etc )? 14a Was intangible property (within the meaning of section 936(h)(3)(B)) transferred pursuant to the
transaction? b If yes, describe the nature of the rights to the intangible property that was transferred in the transfer
C) Yes No
C1 Yes No
M
El Yes '91 No
Under penalties of peryffy I dedare Unat I have emmmed this return including accompanying schedules and statements and to &e best of my knowledge Please and belief a is true. correct. and complete Declaration of preparer (other tfuin taxpayer) 6 based on all information of which preparer has any knoledge
Sign Here
signature Date Title
Date Check .1 Preparers social security no Paid Preparer s k self.
Preparer's signature ji, employed ~ E] Firm s name (or yours EIN li~ Use Only 'I self-employed) and
addr ;,q~ ZIP code
Fam926 Return by a U.S . Transferor of Property (Rev October 1998) to a Foreign Corporation OePa~E 01 " TCWSkdy (under section 367) inimial-RM-Muo S~e
U S Transferor Information (see instructions)
OMS No 1545 0026
I The following clObstions appli only if the translator is a corporation a If the transfer was a section 361 (a) or (b) transfer, was the transferor controlled (under section 368(c)) by
5 or fewer domestic corporations'? b Did the transferor remain in existence after the transfer?
El Yes C1 No 11 Yes C3 No
c If the transferor was a member of an affiliated group riling a consolidated return, was it the parent corporation? El Yes C3 No If not, list the name and employer identification number (EIN) of the parent corporation
Name of parent corporation I
EIN of parent corporation
2 It the Lransferor was a partner in a partnership that was the actual transferor (but is not treated as such under section 367) list the name and EIN of the transferor's partnership
EIN of partnership Name of partnership
[ZM Transferee Foreign Corporation Information (see instructions)
'7"'90'~ C '", - '
8 Is the transferee foreign corporation a controlled foreig For Paperwork Reduction Act Notice, see separate in,structions
I Cat No 16982D Fam 926 (Rev 10-98)
Form 926 IRV 10-98) Page 2
F2-M Information Regarding Transfer of Property (see instructions) 10 Type of nonrecogquon transaction
(see instructions) >&aC- , 3 S- I , M= le--nlv ?-cc 11 Description of property transferred
2 7,
12 Did this transfer result from a change in the classification of the transferee to that of a foreign corporatioO C] Yes No 13 Was the translator required to recognize income under Temporary Regulations sections I 367(a)-4T
through I 367(a)-6T (e g , for tainted property, depreciation recapture branch loss recapture, etc I? Cl Yes No 14a Was intangible property (within the meaning of section 936(h)(3)(13)) transferred pursuant to the
transaction? C1 Yes ZNo b If yes, describe the nature of the rights to the intangible property that was transferred in the transfer
Under penalties of pffitivy I deciare Mat I h&e e.ammed Mrs return LMhjding WMMPanyulg wheduieS and statements and to the best of my ~wledge Please andl belief it is me correct. ana complete Declaration of prilparer jothim than taxpayer) is based on ail inturnaton of which Preparer has any knoWedge Sign Here
signature Date Title Date Chet:k if mty no
Paid Preparer s IL self-
Preparer's SqnatUre PF employed ll~ El Firm s name jor
you's EIN li~ Use Only if self employed) and
address ZIP Code W
Fornn926 (Rev WOW 1998)
Dep~ of ~ tlmuwy ln~ R~Wue SemCe
Return by a U .S . Transferor of Property to a Foreign Corporation
(under section 367) OMB No 1545-0026
1= u S Transferor information (see instructions) Name of ViInSW"
-'Llds~vons apI~Ty`on1ryi'f'^the Lransferor is a corporation 1 The following qu a If the transfer was a section 361 (a) or (b) transfer was the transferor controlled (under section 368(c)) by
5 or fewer domestic corporations> C1 Yes C3 No b Did the transfenor remain in existence after the transfer' El Yes [I No
c if the Lransfefor was a member of an affiliated group filing a consolidated return. was it the parent corporation'? 0 Yes C3 No If not list the name and emolover identification number (EIN) of the Darent corDoraLlon
8 Is the transferee foreign corporation a controlled foreign corporation'? Lj Yes tS~ No For Paperwork Reduction Act Notice, see separate Instructions Cat No 16982D Focni 926 Re~ 10-98) ~- 1 . 9H
Ir ~' 'C~~ ~
/~'- LA)
3
street. and moAi or Fpe no (it a P 0 box See Lnstnicuons I a It
State and ZIP code
Name of parent corporation EIN of parent corporation
2 If the transferor was a partner in a partnership that was the actual Lransferor (but is not treated as such under section 367) list the name and EIN of the transferor's partnership
Name of partnership EIN of partnership
Transferee Foreign Corporation Information (see instructions)
3 Name of transferee (foreign 0 p ratio ) 4 Identification number, if any OL-ArSkS 7-c"C fM ;L C~~ 1Oq/r7?V'F9S L-10 13 - '113 00 1 -3
Address (including country) 0 LU44-KtW- WA Qe 69- HOJ36, r'14ie Lj5-7;tE-F r &EzR-&kF TOL-j rJ P, o, b ox ;L C3 6 -r6xAA1A cq- I/m,
6 Place of organization or creation 7 Foreign I chtm aw ~.uo;~(see A Llm,41,J T--~ L AAi ~ c instructions) O'k)
Fo,m926(Rev 1098)
1~ Information Regarding Transfer of Property (see instructions) Page 2
9 Date of transfer 10 Type of nonrecognit n transaction (see ii X- -4 S-1
C,6~ - 4 11 Description of property transferred
12 Did this transfer result from a change in the classification of the transferee to that of a foreign corporation? Yes No 13 Was the transferor required to recognize income under Temporary Regulations sections 1 367(a)-4T N
through I 367(a)-6T (e g , for tainted property depreciation recapture, branch loss recapture, etc )? Yes No 14a Was intangible property (within the meaning of section 936(h)(3)(6)) transferred pursuant to the
transaction? Cl Yes IX No b If yes, describe the nature of the rights to the intangible property that was transferred in the transfer
Undw penalties of pfflury i declare mat I have examined Lhis return including accompanying schedules and SLacemenLs and to the best of my knowledge Please and belief it is true correcL and complete Declwation of preparw (other than Mxpayu) is based on all mfomnation of which prepaver has any knovveage
Sign Here
Signature Date Title
Paid Preparer s Date Check .1 Preparers sc,cial security no self. signalule employed ~ Preparer's
F~m s lame 5 EIN li~ Use Only if self ernployZjybu~rd zip code ~
Form 8271 Investor Reporting of Tax Shelter Registration Number (Rev July 1998) If, Attach to your tax return
Deparunwi of ft Trwary Intzmal RINeful! S(Iwe lf~ If you received thus form from a partnership, S corporation, or trust. we the instructiom-
eoqh~,m on ret investor S idenu number
rkm rc:E- Li ui-K 1, L~- 27K~ 6d <7 e2cr- ~2 (a) Tax Shefter Name (b) Tax shelter Registralbon
I Number (11 dgil number) I (c) Tax shelter
Identill,ing Number
_L - 2 2 f-,-
In certain cases, a tax shelter that does not expect to reduce the cumulative tax liability of any investor during the 5-year period ending after the date the investment is first offered for sale may be considered a "projected income investment " Such a tax shelter will not have to register, and thus not have to furnish a tax shelter registration number to investors, unless and until it ceases to be a projected income investment It is possible, therefore, that you may not be furnished a tax shelter registration number, and not have to report it, for several years after you purchase or otherwise acquire your interest in the tax shelter If you are later furnished a tax shelter registration number because the tax shelter ceased to be a projected income investment, follow these instructions However, you must file Form 8271 only for tax years ending on or after the date the tax shelter ceases to be a projected income investment Note Even if you have an interest in a registration-required tax shelter, you do not have to file Form 82 77 if you did not claim or report any deduction, loss, credit, or other tax benefit, or report any ncome on your tax return from an nterest in the registration-required tax shelter This could occur, for example, if for a particular year you are unable to claim any portion of a loss because Of the passive activity loss limitations, and that loss is the only tax item reported to you from the shelter
Filing Form 8271 Attach Form 8271 to any return on which a deduction, loss, credit, or other tax benefit is claimed or reported, or any income reported, from an interest in a registration -required tax shelter These returns include applications for tentative refunds (Forms 1045 and 1139) and amended returns (Forms 1040X and 1120X)
Investor's Tax Year Ended Enter the date the tax year ended for the return to which this Form B271 is attached
A pass-Lhrough entity that is the registration-required tax shelter does not have to prepare Form 8271 and give copies to its partners, shareholders, or beneficiaries unless the pass-through entity itself has invested in a registration-re uired tax shelter
CaL No 61924F Forn, 8271 (Rev 7 98)
OMB No 1545-Ml
Attachment Sequence No 71
Investor $ tax ye4r ended
10 1
General Instructions Section references are to the Internal Revenue Code
Purpose of Form Use Form 8271 to report the tax shelter registration number the IRS assigns to certain Lax shelters required to be registered under section 6111 ("registration- required tax shelters") and to report the name and identifying number of the tax shelter This information must be reported even if the particular interest is producing net income for the filer of Form 8271 Use additional forms to report more than 10 tax shelter registration numbers Note A tax shelter registration number does not indicate that the tax shelter or its claimed tax benefits have been reviewed, examined, or approved by the IRS
Who Must File Any person claiming or reporting any deduction, loss, credit, or other tax benefit, or reporting any income on any tax return from an interest purchased or otherwise acquired in a registration-required tax shelter must file Form 8271 If you are an investor in a partnership or an S corporation look at item G, Schedule K-1 (Form 1065), or item C Schedule K-1 (Form 1120S) If a tax shelter registration number or the words Applied for" appear there, then the entity is a registration-required tax shelter If the interest is purchased or otherwise acquired by a pass-through entity, both the pass-through entity and its partners, shareholders, or beneficiaries must file Form 8271
Furnishing Copies of Form 8271 to Investors A pass-through entity that has invested in a registration-required tax shelter must furnish copies of its Form 8271 to its partners shareholders, or beneficiaries However, in the case where (a) the
pass-through entity acquired at least a 50% interest in one tax year in a registered tax shelter (and in which it had not held an interest in a prior year), and (b) the investment would not meet the definition of a tax shelter immediately following the acquisition if it had been offered for sale at that time, the pass-through entity need not distribute copies of Form 8271 to its investors The pass-through entity alone is required to prepare Form 8271 and include it with the entity tax return Penalty For Not Including Registration Number on Return A $250 penalty will be charged for each failure to include a tax shelter registration number on a return on which it is required to be included unless the failure is due to reasonable cause
Specific Instructions Investor's Identifying Number Enter the social security number or employer identification number shown on the return to which this Form 8271 is attached
(b) Tax Shelter Registrallm (a) Tax Shelter Name I (c) Tax Shelter
In certain cases, a tax shatter that does not expect to reduce to cumulative tax liability of any investor during the 5-year period ending after the date the investment is first offered for sale may be considered a 'projected income investment " Such a tax shatter will not have to register, and thus not have to furnish a tax shelter registration number to investors. unless and until it ceases to be a projected income investment It is possible, therefore, that you may not be furnished a tax shatter registration number . and not have to report it, for several years after you purchase or otherwise acquire your interest in the tax shelter If you are Later furnished a tax shelter registration number because the tax shatter coased to be a projected income investment follow these instructons However, you must file Form 8271 only for tax years ending on or after the date the tax shatter ceases to be a projected IMOMG investment Note Even if you have an interest in a registrahon~required tax shelter, you do not have to file Form 8271 if you did not claim or report any deduction, low, credit, or other tax benefit, or report any income on your tax return from an interest in the registration-required tax shelter This could occur, for example, if for a particular year you are unable to claim any portion of a loss because of the passive activity low limitations, and that loss is the only tax item reported to you from the shelter
Penalty for Not Including Registration Number on Return A $250 penalty will be charged for each failure to include a tax shelter registration number on a return on which it is required to be included unless the failure is due to reasonable caiuse
Specific Instructions Investor's Identifying Number Enter the social security number or
I d tifi b b h
Any person claiming or reporting any deduction. loss, credit, or other tax benefit, or reporting any income on any tax return from an interest purchased or otherwse acquired in a registration-required tax shelter must file Form 8271 If you are an investor in a partnership or an S corporation, look at rtern G, Schedule K-1 (Form 1065). or item C, Schedule K-1 (Form 1 120S) If a tax shelter registration number or the words "Applied for' appear there, then the entity is a registrabon-required tax shelter If the interest is purchased or otherwise acquired by a pass-through emp oyer i an ra on num or a own entity, both the pass-through entity and Filing Form 8271 on the return to which this Form 8271 is its partners, shareholders . or Attach Form 8271 to any return on attached beneficiaries must file Form 8271 which a deduction, loss, credit, or other Investor's Tax Year Ended
A pass-through entity that is the tax benefit is claimed or reported, or any registration-required tax shelter does not income reported, from an interest in a Enter the date the tax year ended for the have to prepare Form 8271 and give registration-required tax shelter These return to which this Form 8271 is copies to its partners, shareholders . or returns include applications for tentative attached beneficiaries unless the pass-through refunds (Form 1045 and 1139) and entity itself has invested in a amended returns (Form 1040X and registration-required tax shatter 11 20X) JSA IX54N 1000 Form 8271 (Rev 7-98)
4VU7Q6 P137 04/23/2002 13 :41 :44 V01-5 .1 607
Form 8271 Investor Reporting of Tax Shelter Registration Number (Rev July 1998) to Attach to your tax return
I imesi~z raeniF7, nurroar
OMB No 1545-0881
General Instructions Section references am to the Internet Revenue Code Purpose of Form Use Form 8271 to report the tax shelter registration number the IRS assigns to certain tax shelters required to be registered under section 6111 ("registration-required tax shatters") and to report the name identifying number of the tax shelter This information must be reported even if the particular interest is producing net income for the filer of Form 8271 Use additional forms to report more than 10 tax shelter registration numbers Note A tax shelter registration number does not indicate that the tax shelter or its claimed tax benefits have been reviewed, examined, or approved by the LRS
Who Must File
Furnishing Copies of Form 8271 to Investors A pass-through entity that has invested in a registration-required tax shatter must furnish ccipies of its Form 8271 to its partners, shareholders, or beneficiaries
However, in the case where la) the p2ss-through entity acquired at least a 50% interest in one tax year in a registered tax shelter (and in which it had not held an interest in a pnor year), and (b) the investment would not meet the definition of a tax shatter immediately following the acquisition if it had been offered for sale at that time . the pass-through entity need not distribute copies of Form 8271 to its investors The pass-through entry, alone is required to prepare Form 8271 and include it with the entity tax return
OMB No 1545-0881
71 ri~estor s lax yew md
12/31/200 (c) Tax Sheker
or trust . see the inw
us~-J I I? -41
(bJ Tax Shelter Registration (a) Tax Shelter Name
does not expect to reduce the cumulative tax liability of any investor during the 5-year period ending after the date the investment is first offered for sale may be considered a "projected income investment " Such a tax shatter will not have to register, and thus not have to furnish a tax shelter registration number to investors, unless and until it ceases to be a projected income investment It is possible, therefore, that you may not be furnished 2 tax shelter registration number, and not haw to report it, for several years after you purchase or otherwise acquire your interest in the tax shelter If you are later furnished a tax shelter registrabDn number because the tax shelter ceased to be a projected income investment follow these instructions However, you must file Form 8271 only for tax years ending on or after the date the tax shelter ceases to be a projected income
the pass-through entity need not distribute copies of Form 8271 to its investors The pass-through entity alone is required to prepare Form 8271 and include it with the entity tax return
Penalty for Not Including Who Must File Any person claiming or reporting any investment Registration Number on deduction, loss, credit, or other tax Note Even if you have an interest in a Return benefit, or reporting any income on any registration-required fox shelter, you do tax return from an interest purchased or not have to file Form 8271 if you did not A $250 penalty will be charged for each otherwise acquired in a registrabon, claim or report any deduction, low, failure to include a tax shelter required tax shelter must file Form 8271 credit, or other tax benefit, or report any registration number on a return on which If you are an investor in a partnership or income on your tax return from an it is required to be included unless the an 5 corporation, look at item G, interest in the registration-required tax failure is due to reasonable muse Schedule K-1 (Form 1065), or rern C, shelter This could occur, for example, if Schedule K-1 (Form I 12DS) If a tax for a particular year you are unable to Specific Instructions shelter registration number or the words claim any portion of a low because of Investor's Identifying "Applied for" appear there then the the passive activity low limitations, and Number entity is a registration-required tax that loss is the only tax item reported to Enter the social security number or shelter If the interest is purchased or you from the shelter otherwise acquired by a pass-through employer identification number shown entity, both the pass-through entity and Filing Form 8271 on the return to which this Form 8271 is its partners, shareholders, or Attach Form 8271 to any return on attached beneficiaries must file Form 8271 which a deduction, loss, credit, or other Investor's Tax Year Ended
A pass-through entity that is the tax benefit is claimed or reported, or any registration-required tax shelter does not income reported, from an interest in a Enter the date the tax year ended for the
have to prepare Form 8271 and give registration-required tax shatter These return to which this Form 8271 is copies to its partners, shareholders, or returns include applications for tentative attached beneficiaries unless the pass-through refunds (Form 1045 and 1139) and entity itself has invested in a amended returns (Form 1040X and registration-required tax shelter 11 20X) JSA Form 8271 (Rey 7-98) IX5400 1 ODD JW7847 P291 V01-5 61
Form 8271 (Rev July 1998)
Investor Reporting of Tax Shelter Registration Number 0. Attach to your tax return
C ~JA12VTA je L-e-
General Instructions Section references am to the Internal Revenue Code Purpose of Form Use Form 8271 to report the tax shelter registration number the IRS assigns to certain tax shelters required to be registered under section 6111 ("registration-required tax shatters") and to report the name identifying number of the tax shelter This information must be reported even if the particular interest is producing net income for the fileT of Form 8271 Use additional forms to report more than 10 tax shelter registration numbers Note A tax shelter registration number does not indicate that the tax shelter or its claimed tax benefits have been revie"d, examined, or approved by the LRS
In certain cases, a tax shelter that Furnishing Copies of Form 8271 to Investors A pass-through entity that has invested in a registration-required tax shelter must furnish copies of its Form 8271 to its partners, shareholders, or beneficiaries
However, in the case where (a) the pass-through entity acquired at least a 50% interest in one tax year in a registered tax shelter (and in which it had not held an interest in a pnor year), and (b) the investment would not meet the definition of a tax shelter immediately following the acquisition if it had been offered for sale at that time,
38'i ir
Attachment: 5squerice No 69
a athe U. Yea
rbm, 8621 ORev February 1999)
0~ a " T' .sury Rx~. S.
N
P- See seoarate Instructions
iber. arem and nion, or vulta no Of a P 0 box, w page 3 of
0 MARKET STR---T, SUITE 1200 a ~m stalk and ZIP code a country
Your tax yew- calendar yea beoinhirxi And
e Subtract line 3d from line 3a . and enter the difference lif zero or less enter amount in brackets) Important. If line 3e is greater than zero and no portion of line la or 2a is includible in income under section 557 or 951, you may make Election D with respect to the amount on line 3e
4a Enter the total tax for total taxable income for the tax year . 4a b Enter the total tax for the tax year determined without regard to
the amount entered an line 3e I 4b c Subtract line 4b from line 4a This is the deferred tax, the time for payment of which is extended by makina Election 0 See instructions
C^1 0-~ft P~Iuctrrm Act Notice s" itatte 7 of separate InStrUCtIOM. C~ No. 64174H Form 8621 file,, 2 99)
483 3-99
Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund
e- 67 7-_/'~_ V-~- 1 1 dnu" number (w
Check ripe of shareholder filing the return El Individual Lj Corporation U Partnership U S Coipixadon U Nongraintor Trust Lj EstatE Nama, of pinsivii foreign Irwesunwe comp" (PFIC) or qualified elecu hard (QEF) Emplaysir Ideredfication ur" Of xryj SEE SCHEDULES ATTACHED ACJO~ (Emu Maribor. struNt CRY a W~ arid country) Tax yw of company w furKt caftndw
IMiFFElections (See instructions I A ;9 1 . a shareholder of a PFIC. elect to treat the PFIC as a OEF (Section 1295) Complete lines la tfirough 2c of Part H B 0 1. a shareholder an the first day of a PAC s first tax year as a QEF elect to recognize gain on the deemed sale of my interest
in the PFIC (Section 1291 (d)(2)(A) ) Enter gain or loss on line WIF of Part IV C 0 1 . a shareholder on the first day of a PFIC's first tax year as a QEF that is a controlled foreign corporation (CFC) elect to treat an
amount equal to my share of the post-1986 earnings and profits of the CFC as an excess distribution (Section 1291(d)(2)(B)) Enter this amount on kne 10e
D 0 1. a shareholder of a QEF elect to extend the urne, for payment at tax an the undistributed earnings and profits of the OEF until this election is terminated (Section 1294 ) Complete lines 3a through 4C of Part 11 to calculate the tax that may be deferred Note : If any portion of line la or line 2a at Part It is includible under section 557 or 95 1, you may not make this election Also. See Sections 12941c) and 1294(o and the related regulations for events that terminate this election.
E C1 1 . a shareholder of a former PFIC, elect to treat as an excess distribution the gain recognized on the deemed sale of my interest in the PFIC, or if I qualify . my share of the PFIC's post-1986 eamings and profits deemed distributed an the last day of Its last tax year as a PFIC under section I Z97(a) (Section 1 298(b)(1) ) Enter excess distnbution on line l0e or 70t of Part IV
F 0 1. a shareholder of a PFIC. elect to mark-to-market the stock of that PFIC, which stock is marketable within the meaning of section 1296(e) (Section 1296, Complete Part II/
KEM Income From a Qualified Electing Fund (QEF). All QEF shareholders complete Isnw; la through 2c If you are making Election D also complete lines 33 through 4c fSee page 5 of ostructrons)
la Enter your pro rata share of the ordinary earnings of the QEF a SEE ATTACHED b Enter the portion of line la that is included in income under
section 551 or 951 or that may be excluded under section 1293(g) 1 1b c Subtract line I b from line 1 a Enter this amount on your tax return as dividend income
2a Enter your pro rata share of the total net capital gain of the QEF 2a b Enter the portion of line 2a that is included in income under
secuon551 or951 or that maybe excluded undersection 1293(g) 2b c Subtract line 2b from line 2a This amount is a net long-term capital gain Enter this amount
in Part 11 of the Schedule D used for your income tax return (See page 5 of Instructions) 3a Add lines Ic and 2c b Enter the total amount of cash and the fair market value of other
property distributed or deemed distributed to you during the tax year of the QEF (See page 5 of instructions) 3b SEE ATTACHED
c Enter the portion of line 3a to the extent not already included in line 3b that is attributable to shares in the QEF that you disposed of. pledged. or otherwise transferred during the tax year 3c
d Add lines 3b and 3c
04 3U9964
Please me that your pm,rata sham of each PFIC's Income has been Included in your taxable incomes and reported on the appropriate Imes of the Schedule K I The wdonnationtielaiii5pov edodetyWpurp~OfCompietwVtheF~8621
6 Marrakech 1-mued
Times Piece 45 Pall Mall London SWIY SJG
NIA
January I 20DI - December 31 2001
5 Doughty Hanson & Go (Bermuda) LP
Turies Place 45 Pall Mall London SWIY 5JG
NIA
January 1 2001 December 31 2001
Your P~12 sham of the ordinary eamings of the company (Form 8621 Pan 11, LIM 1a)
Your pm~rzw sham of the not capital gain of the company (FO=8621 PartIl Lim 2a)
The amount of cash and fair market value of other property distributed of deemed distributed to you by the company
(Form8621 Pan I Line 3b) so $0 $0 $0 so $0
ThePFICrulesarecomplex
HartimrVesi Partners V - Partnemiup Fund L P Attachment to Form 1065 Schedule K-1 FwtheYwrendedDecember3l 2DOI Parther 25 J N PEW JR CHARITABLE TRUST
The Partnership has made Quaid" Electing Fund (-QEF-) Elections for the Passive Foreign Investment Companies (PFICs') in mch a invests The PFIC phi.sions hich apply to US persons that am direct or indirect shareholders of a PFIC require that a separate Foirn 8621 Retum try a Shareholder of a Passive Foreign Investment Company or Qualified! Electing Fund be fled for each PFIC for each tax year in hch the US person a a shareholder ofthePIFIC The Fomiltif2linus be attaid to the ShaMholder's income laui return
PFIC Number I PFIC Name Abmgv~orth Skiventures 11
PFIC Address Bodes Postale 588 L-2015 Luxembourg
EIN INA
Tax Year January 1, 2001 December 31 2001
PFIC Number 4 PFIC Nam, BCP Wireless Cayman Corp
PFIC Address C/O The Blackstone Group 345 Park Aveme N"York NY 10154
EIN NIA
Tax Year January 1 2001 - December 31 2001
2 SOCPISFIP Wimless Cayman Corp
C/O The 61=kwom Group 345 Park Avenue Nev~ York NY 10154
13~il(!,429
January 1 2001 - December 31 2001
3 Lrffe Holdings PLC
Cannon Bridge House I Cotisin Lam London EC4R 3XX
N/A
January 1 2001 - December 31 2001
1 2 3 4 5 6
so $5 so so S)
so so so $0 $0 so
PFIC Number 7 a PFIC Nam Oneril Credit Co . Ltd Hannstar Investors (PAPE 11) Ltd
PFIC Address P 0 Box HIM 1368 321F Ade.arxim House Hamilton Bermuda HIM FX 18 Chater Road
Hong Kong
ON NIA NIA
Tax Year April 1 2000 - March 31 2DO1 January 1 2001 December 31 2001
12 Asia Broadband (PAPE 11) Ltd
321F Ale.andra House 18 Chatter Road Hong Kong
NIA
January 1 2001 - Diecember 31 2001
11 LGR Holdings Limited
32fF Alexandre House 18 Chate, Road Hong Kong
NIA
January 1 2001 - December 31 2001
7 a 9 10 11 12
so so so so so $0
$41 so $0 so so $0
Your pro-rata share of the ordinary earnings of the company (Fom,8621 Pan 11 Ltnela)
Your pro~rata share of the not capital gain of the company (Form 8621 Pan 11, Line 2a)
The amount of cash and fair market ~alue of other property, distributed or deemed distributed to you by the company
(Form 8621 Pan It Line 3b) so $0 so $0 so so
The PFIC rules are complex Please consull your tax ad,nsor
HarbourVest Parlmrs V - Partnership Fund L P 0-4-3349964 Amadiment to Form 1065 Schedule K-1 For the Year ended December 31 2001 Partner 25 J N PEW JR CHARITABLE TRUST
The partnership has made Qualified Electeg Fund rCEF~) Elections for the Paw" Foreign Investment Companies (*PFICsm) in which d inwsm The PFIC pnnrsions wNch apply to US persons that am direct or indirect Shareholderis of a PFIC, require that a separate Form 8621 Return by a Shareholder of a Pasism Foreign Immstment Company or OualLfied Electing Fund be filed for each PFIC for each tax year in whch the US person is a shareholder of the PFIC The Form 6621 must be attached to the shareholders mcomis tax return
Please note that your pro-rata sham of each PFIC s income has been included in your taxable income and reported on the appropriate lines of the Schedule K-1 The information below is provided solely for Pdripli of completrig the Form 8621
PFIC Number 10 PFIC Nam GFS Holdings Limited
PFIC Address 32fF Almandra House 18 Chater Road Hong Kong
EIN NIA
Tax Year January 1 2001 . December 31 2001
9 Nelthirork Irnmittors (PAPE 11) Ltd
32VF Alexandre House 18 Chater Road Hong Kong
N/A
January 1 2001 - December 31 2001
04-3349964
Fiestas nolie that your pr~ sham of each PFIC*s incomes has been included in your taxable income and reported an the appropriate lines of the Schedule K-I The Information bel~ a provided solely for purposes of completing the Form 8621
is China Digilzill SatNet Limited
321F Alexandra House 18 Chater Road Hong Kong
NIA
January 1 2001 - Omember 31 2001
14 KAB Investors (PAMA) Pnvafla Ltd
321F Alexandra House 18 Cluner Road Hong Kong
NIA
January 1 2001 - December 31 2001
Your pm~rata share of the ordinary earnings of the company (Fo. 8621 Pan 11 Line 1a)
Your pro,ratit sham of the net capital gain of the company (Form8621 Pan ll L.ne2a)
The amount of cash and fair market value of other property distributed or deemed distributed to you by the company
(Form 5621 Pan 11 Lim 31b) so so $0
The PFIC rules are complex Please consult your Wx advisor
HarbMrVaSl Partners V - Partnership Fund L P Aftacf~l M Form 1065 Schedule K I For the Year ended December 31 2001 Partner 25 J N PEW JR CHARITABLE TRUST
The pannanilup has made Oualdied Electing Fund (-CEF-]l Elections for the Passive Foreign investment Companies CPFICSO) in which d imints The PFIC provisuons which apply M US persons that am dintici orsidirect sha el am of a PFIC require that a upareflia Form 8621 Rleftim by a Shareholder of a Pan" Foreign Investment Company or Oualified Eliscuing Fund be fided for each PFIC for each tax year in which the US person is a shareholder of the PFIC The Form 8621 must be Onai;hed to the shareholder's incorm tax return
PFIC Number- 13 PFIC Name KAB Investors (PAMA) (B%A) Ltd
PFIC Address 321F Alexarwdra House 18 Chater Road Hong Kong
EIN NIA
T" Year January 1 2001 - December 31 2001
13 14 is
so so SI
so so so
Karb"Veirt Pirrone Equal, Partners 11 Partnership Fund LP 04-3276M to Forn, 1065 Scriedushis K-1
Fortheyeam, Deces. W 31 20DI Pasons, 46 J N PEW A C~ITABLE TRUST
F~(MEF')o~fw~of~PFICsn~Khd~ h room, , ft. triess, PFIC, has team ancludirdl in M Waidfi, inciand. of the Partramessup maric! reported pr~rsnai on Ma is liner, of each p~5 Sciveduss K-I
The PFIC ~mmonl siducin appily to US persons Ove we Mean! or Mines oviners of a PFIC require Man an Incident shareholder of a GEF file a Forrin 11621 it Me is
mww W nex,7mr, vicomme m sust Min oelov, in Provissaid "Iely for
report no ordinary sams-gs or red Wrg-terni -Pit I gam Tins ~~ does m .,i inth mspend to Viess, PFIC3 m no further lifirst, a raWared
EIN WA
Tis. Yew JarsultrY, I ~1 DencernW, 31 20DI
EIN WA
Ta . Yew January 1 2001 Decarriber 31 2WI
Your pr~rsftm stuarts of Me ordInary earnings 0 Me ocurs,mury (Forri 8621 Pan 11 Line la)
Your pm~ shan, of Me net capital garen of Me corripeny (Fom 8621 Pon It Line 2a)
TIr. annount of casti and led, nutrition value of oMer Property distributed or dearned distrilminand to you by Me constant,
(Fordi W21 Pan 11 Line 3b)
PRC Nu dis 1 PRC N.. CICLAD 2 FCPR
PRC Austin. a Aven. Frarildin Rod even 75X)8 Penn,, Fninice
HarbourVest International Private Equity Partners 11 - Partnership Fund L P has direct and Mcirecturvesimentisir, Pan" Foreign InvesnerdCompanies (-PFICS-) ThaPartmership hasifiledForn,s8621 RetumbyaSrumm der of a Passive Foreign Investment Company and miiide Quanfieu Ejecung Fund CQEFa) miscocrid, for each of the PFIC3 in which 9 invints Inoome from the" PFICs has been included in the taxable Income of the Partnership and reported pro-rats on the appropnets lines of each partnees Schedule K-1
The PFIC promions which apply to US persons that am dead or Mclimot derriere of a PFIC generally require that an indirect shareholder OF a CIEF fie a Form 8621 If the shareholder a required to recognas income As such the information below, is provded solely for pUrPOWSof cornplebrig the Form 8621 ThePaMemKiphasalwin~s~dinPFICswh~h repon no ordinary earnings or net long-lerm capital gains Thisallachmentdoesnotprovide information with mspw to than PFICs as no further fling Is required
EIN N/A
Tax Year April 1 2000 - March 31 2001
EIN 98-0174786
Tax Year January 1 2001 - December 31 2001
The amount of cash and fair market value of other property distributed or deemed distributed to you by the company
(For,na621 Part It Line 3b) $285 so so $27 so
The PFIC rules am complex Plans consult your W advisor
HarbourVest International Private Equity Panners 11 - Partnership Fund LP 0~32715296 Attachment to Form 1065 Schedule K-1 For the year ended December 31 2001 Partner 46 J N PEW JR CRARITABLE TRUST
PFIC Number 7 PFIC Nam Fonds Partens,res - Lazard
PFIC Address 121 Boulevard Haussmann 75005 Pam France
ON N/A
Tax Year January 1 2001 - December 31 2001
PFIC Number 10 PFIC Name Apex Capital Risque H (C)
PFIC Address 45 Avenue Meber 75734 Pans Code. 16
EIN N/A
Tax Year July 1 2000 - June 30 2001
Your pro-rata sham of the ordinary earnings of the company (Form 8621 Pan 11 Line Is)
Your prc~ta sham of the not capital gain of the company (FO=8621 Pan It Line 2a)
PFIC I lumber 8 PFIC 4ame European Strategic Investment Fund
PFIC Address C/O Advent Intemational Corporation 75 State St Boston MA 02109
EIN NIA
Tax Year January 1 2001 - December 31 2001
PFIC Number I I PFIC Name Hammondshim Corporation N V
PFIC Address P 0 Box 837 Curacau, Netherlands Antilles
PFIC Number 9 PFIC Names Onent Credit Cc Ltd
PFIC Address C/O The Japan Venture Fund III P 0 Box HM 1368 Hamilton Bermuda HIM FX
7 a 9 10 11 SO S8 S234 $4 S32
11100 so $0 $54 $0
The PFIC rules are complex Please consult your tax advisor
HarbourVest International Private Equity Partners III - Partnership Fund LP 04-3402908 Attachment to Form 1065 Schedule K-1 For the year ended December 31, 2001 Partner 45 J N PEW, JR CHARITABLE TRUST
HarbourVesl International Private Equity Partners III - Partnership Fund L P has direct and indirect investments in Passive Foreign Investment Companies ("PFIC's") The Partnership has filed Forms 8621, Return by a Shareholder of a Passive Foreign Investment Company, and made Qualified Electing Fund ("QEP') elections for each of the PFICs in which it invests Income from these PFICs has been included in the taxable income of the Partnership and reported pro-rata on the appropriate lines of each partners Schedule K-1
The PFIC provisions, which apply to US persons that are direct or indirect owners of a PFIC, generally require that an indirect shareholder of a QEF file a Form 8621 if the shareholder is required to recognize income As such, the information below is provided solely for purposes of completing the Form 8621 The Partnership has also invested in PFICs which report no ordinary earnings or net long-term capital gains This attachment does not provide information with respect to these PFICs, as no further filing is required
PFIC Number 1 PFIC Name Taitbout Silicium B V
PFIC Address . C/O Galileo Partners 44 Rue Francois 75008 Paris, France
EIN NIA
Tax Year January 1, 2001 - June 26, 2001
I Your pro-rata share of the ordinary earnings of the company $349
(Form 8621, Part 11, Line 1 a)
Your pro-rata share of the net capital gain of the company so (Form 8621, Part 11, Line 2a)
The amount of cash and fair market value of other property distributed or deemed distributed to you by the company $495
(Form 8621, Part 11, Line 3b)
Line 3b - Your Pro-Rata Share of the QEF's Distributions or Deemed Distnbutions Refer to the attached Schedules for this amount
Blackstone FI Capital Partners (Cayman) L P has invested in a Passive Foreign Investment Company (PFIC) This investment reouireq separate reporting by 'he partners Tilie reporting requirements tor partners are summarized below A Form 8621 "Return By a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund", must be completed by each partner for each PFIC investment The tax rules relating to PFIC's are complex Pleaseconsult your tax advisor A copy of each Form 8621 should be attached to your tax return
Instructions to Form 8621
Complete the top portion of the form with the attached information and the remainder of the form as follows
Part I
A protective election to treat each PFIC as a Qualified Electing Fund (QEF) needs to be made PleasemarkBoxAm Part I
Part II
Line I a - Your Pro-Rata Share of the QEF's Ordinary Earnings Refer to the attached Schedules for this amount
Line 2a - Your Pro-Rata Share of the QEF's Capital Gain Refer to the attached Schedules for this amount
I .
The PFIC listed below has permitted the shareholder to examine the books of account, records, and other documents of such PFIC for the shareholder to calculate the amounts of such PFIC's ordinary earnings arid the net capital gain according to federal income '.-~ accour"ung prinwpius di id to caicuiate tne shareholder's pro rata shares of such PFIC's ordinary earnings and net capital gain
Pro Rata Sham Ordinary Pro Rata Sham
Taxable year- Earninas Capital Gat
January 1. 2001 through NONE NONE
December 31, 2001
BOCP1BFlP Wireless Cayman Corp clo The Blackstone Group 345 Park Avenue New York . NY 10154 EIN 134116429
NONE
FORM 1065 - PFIC ANNUAL INTERMEDIARY STATEMENT - 2001 SCHEDULE K-1 SUPPORTING SCHEDULE - PREPARED PURSUANT TO REGULATION SECTION I 1295-11(g)(3)
SHAREHOLDER OF RECORD STATEMENT TO INDIRECT OWNER
Pro Rata Shams Distribution
The Padnership hat ad n cortme, arLbes oluch art, daustiold W Poserre FovW Imvaltmov: Compareas rPFIrA') for U S nooms W PXposs, The PRO rules ~tvch apply 0 U S person, Met ore, a detect or ondrect shmoviow of a PRO recur, thei a apparent Form 9521
t;, a Slwwo~ 0: a P-~.,, F"&,) t~..~uvr. Cumpany or Qualf. EW.W9 Funa no foloo W socin PFIC for each tax year ot ,otuch the U S Person a a guireltoklor of Me PRO Soto@ Me, Partner" a W 0 U S pentom Me PWWMWW a unable 0 file Form aS21 or malu, any of Me spot PFIC ellcloon, for 00 10110oM ord4e,s Instead your pro race Share, of to mcome of PRO NoW gureeftlWy fee, been ncluoo low LM 4b of your Fomi Scinduit, K-1 W dW,:J@rd income Each soddy has, hc~elr pro ft , to, reansary, for a U S portion W make a QLMWW Elm Funo Elector. The rftrmlW0n necessary, to molor IM
PRO Nuent,or 6 PRO Mom Goiloo S A
PFIC Addms clo GWL~ Prevent " .F. 75DOO Proof France
EIN WA
Tax Yew May 1 2001 - Decomtoer 31 2W1
EIN WA
Tat Yew Jarkmy 1 2001 - D.Irer 31 2001
1 2 3 4 5 9 - -E SW ge $2 50 $40 so
$W7 &2 598 $0
so so &2
no amount of cash and fair motion v&Jw of other property distributed or cleamet! distributecl to you by the company
(Form 8621 Pan 11 Lm 3b) SD $0 so $45611 $0 so
DOVER STREET IV L P 04,'A-'qSMI Attachment In Form 1065 Sclookele K.1 For the year Doexe ber 31 2001 Partner Numpw 41 Partner Name J N PEW JR CKNRITABLE TRUST
PRO Nu " I PRO Name, Dmo,, Stmet N Ud
PRO A4kctratee Code, House 41 CoMur Arenus H.M. HM12 Berruxis
EIN WA
T" Yew January 1 2WI Decombo' 31 2WI
PRO Number 4 PRO Name BOCPfBFIP Wraleas Coy~sn Corp
PRO Address do The Blackston, Group 115 Par, A. live, York. W 10154
EIN 134116429
To. Year January 1 2001 Decernt,or 31 2001
Amount Includet! on Sch K-1, Une 41, as dM& income
lnf.m,Um mulled for OEF Electi"
Your pro-rate, shar, of Me onfinary, earnings of Me company (Fo=8621 Parill Lors Ilt)
Your pro-cata shant of Me no capital gain of the company (Form 8621 Pan 11 Line 2a)
PRO Nue dm 2 PRO liame Tadboul 5&crum B V
PRO Aulds Up Goille, Partners 44 rue Frorecoes 750011 pars, France
EIN WA
Tae Yaw January 1 2001 - June 26 2001
PRO Number- 5 PRO Name Lots Holdogs pk
Cwncn Bndge House PRO Add. I Cousin I.arre
Lonft EC4R=
PRO Nu Are 3 PIFIC Name Thompson C6v trapirmotorta
PRO Address- do Jont Bauer 24 OW flarell Strant Lo, ~ Englaret! WS4AW Und.d Kingdom
EIN WA
Tax Yew January 1 2001 - Deconflee, 31 2001
$0 S40 so
so so so
I
ENDING SHARES 3 ORDINARY SHARES OF STOCK
DUMB OVERSEAS PARTNERS III, C V PARTNER# 114 EIN 98-0231603 FOR YEAR ENDED 1213112001
ATTACHMENT TO FORM 8621
Surmiemenr2i FFiC Annuat inrumi,u,n Suit . . . cm
J N Pew Jr Tmst EIN 23-6239309
1 This information statement applies to the taxable year of FADI Pvt Ltd beginning on July 27 2001 and ending December 31 2001
2 J N Pew Jr Trust has the following prorate share of the ordinary earnings and net capital gain of FADI Pvt Ltd for the tax year specified in paragraph 1
Ordinary earnings None Net capital gain None
3 The amount of cash and the fair market value of other property distributed or deemed distributed by
FADI Pvt. Ltd to J N Pew Jr Triust during the taxable year specified in paragraph 1 is as follows
Cash None Fair market value of property None
SHARE INFORMATION
2EM. FADi Pvt Ltd
INVESTOR J N Pew Jr Trust
BEGINNING SHARES 0 ORDINARY SHARES OF STOCK
CHANGE IN SHARES, 3 ORDINARY SHARES OF STOCK
(3) Ile amount of cash and fair market value of other property distributed or deemed distributed by the Company to the shareholder during the Company's taxable year specified in paragraph (1) is as follows
(1) This Information Statement applies to the taxable year of FADI Pvt Ltd (the "Company") Ueginning on I ly 17, In I and e-Aing on December 3 1, 1An I U ., ZM . - - 1 . --
(2) The pro-rata share of the ordinary earnings and net capital gain of the Company for the Company's taxable year specified in paragraph (1) on a per share/per day basis is as follows
Ordinary Earnings None
Net Capital Gain None
Fair Market Value of Property None
(4) 'Me Company will permit shareholders to inspect and copy the Company's permanent books of account, records, and such other documents as may be maintained by the Company that are necessary to establish that PFIC ordinary earnings and net capital gain are computed in accordance with U S income tax principles, and to verify these amounts and the shareholders' pro-rata shares thereof
By
Additional information required to complete Form 8621 - Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund:
NameofQEF FADI Pvt Ltd
INVESTOR J N Pew Jr Trust
FIEG INNING SHARES . 0 ORDINARY SHARES OF STOCK
CHANGE IN SHARES 35,112 ORDINARY SHARES OF STOCK
ENDING SHARES 35,112 ORDINARY SHARES OF STOCK
DUMB OVERSEAS PARTNERS III, C V PARTNERN 114 EIN 98-0231603 FOR YEAR ENDED: 1213112001
ATTACHMENT TO FORM 8621
lallprilemental PFIC Annual Information Statement
J N Pm Jr Tnast EIN 23-6239309
1 This information statement applies to the taxable year of Frontier Drilling ASA beginning on January 1, 2001 and ending December 31, 2001
2 J N Pew Jr Trust has the following prorate sham of the ordinary earnings and net capital gain of Frontier Drilling ASA for the tax year specified in paragraph I
Ordinary earnings None Net capital gain None
3 The amount of cash and the fair market value of other property distributed or deemed distributed by
Frontier Drilling ASA to J N Pew Jr . Trust during the taxable year specified in paragraph 1 is as follows
Cash None Fair market value of property None
SHARE INFORMATION
EELQ Frontier Drilling ASA
(3) Ile amount of cash and fair market value of other property distributed or deemed distnbuted by the Company to the shareholder during the Company's taxable year specified in paragraph (1) is as follows
FRONTIER DRELLING ASA PFIC Annual Information Statement
(1) This Information Statement applies to the taxable year of Frontier Drilling ASA (the "Company") beginning on januairy i, 200 1 and ending on December 31, 200 1
(2) The pro-rata share of the ordinary earnings and net capital gain of the Company for the Company's taxable year specified in paragraph (1) on a per share/per day basis is as follows
Ordinary Earnings- None
Net Capital Gain None
Fair Market Value of Property None
(4) The Company will permit shareholders to inspect and copy the Company's permanent books of account, records, and such other documents as may be maintained by the Company that are necessary to establish that PFIC ordinary earnings and net capital gain are computed in accordance with U S income tax principles, and to venfy these amounts and the shareholders' pro-rata shares thereof
By
Additional information required to complete Form 8621 - Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund :
NameofQEF Frontier Drilling ASA
ENDING SHARES 1 ORDINARY SHARES OF STOCK
DUMB OVERSEAS PARTNERS Ill. C V PARTNER# 114 EIN 98-0231603 FOR YEAR ENDED 12/31t2001
ATTACHMENT TO FORM 8621
Supplemental PFIC Annual Infornnation Statement
J N Pew Jr Trust EIN 23-6239309
1 This information statement applies to the taxable year of Frontier DrIllships BV beginning on July 25 2001 and ending December 31 . 2001
2 J N Pew Jr Trust has the following pmrata share of the ordinary earnings and net capital gain of Frontier DrIllships BV for the tax year specified in paragraph 1
Ordinary earnings None Net capital gain None
3 The amount of cash and the fair market value of other property distributed or deemed distributed by
Frontier Drill3hipi ; BV to J N Pew Jr Trust during the taxable year specified in paragraph 1 is as follows
Cash None Fair market value of property None
SHARE INFORMATION
ML Frontier Drillships BV
INVESTOR J N Pew Jr Trust
BEGINNING SHARES, 0 ORDINARY SHARES OF STOCK
CHANGE IN SHARES, 1 ORDINARY SHARES OF STOCK
(3) The amount of cash and fair market value of other property distributed or deemed distributed by the Company to the shareholder during the Company's taxable year specified in paragraph (1) is as follows .
FRONTIER DRELLSECIPS BV PFIC Annual Information Statement
(1) This Information Statement applies to the taxable year of Frontier Drillships BV (the "Company") beginning on July 25, 2001 and ending on December 31, 2001
(2) The pro-rata share of the ordinary earnings and net capital gain of the Company for the Company's taxable year specified in paragraph (1) on a per share/per day basis is as follows
Ordinary Eamings None
Net Capital Gain None
Fair Market Value of Property None
(4) The Company will permit shareholders to inspect and copy the Company's permanent books of account, records, and such other documents as may be maintained by the Company that are necessary to establish that PFIC ordinary earnings and net capital gain are computed in accordance with U S income tax principles, and to verify these amounts and the shareholders' pro-rata shares thereof.
By-
Additional information required to complete Form 8621 - Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund :
NameofQEF Frontier Driliships BV
DUMB OVERSEAS PARTNERS III, C V EIN 98-0231603 FOR YEAR ENDED 12/3112001
PARTNER 0 114
2 J N Pew Jr Trust has the following promta share of the ordinary earnings and not capital gain of Frontier Drilling Asia PTE Ltd for the tax year specified in paragraph I
Ordinary earnings $1 Not capital gain None
3 The amount of cash and the fair market value of other property distributed or deemed distributed by
FNDINQRHARF~ 5 ORDINARY SHARES OF STOCK
ATTACHMENT TO FORM 8621
Supplement;gI PFIC Annual Information Statement
J N Pew Jr Trust EIN 23-6239309
1 This information statement applies to the taxable year of Frontier Drilling Asia PTE Ltd beginning on January 1 . 2001 and ending December 31 2001
Frontier Drilling Asia PTE Ltd to J N Pew Jr Trust during the taxable year speCLfied in paragraph 1 is as follows
Cash None Fair market value of property None
SHARE INFORMATION
ffic~ Frontier Drilling Asia PTE Ltd
INVESTOR J N Pew Jr Trust
BEGINNING , SHARES. 0 ORDINARY SHARES OF STOCK
CHANGFINSHARES 5 ORDINARY SHARES OF STOCK
(3) The amount of cash and fair market value of other property distributed or deemed distributed by the Company to the shareholder during the Company's taxable year specified in paragraph (1) is as follows
None Cash
Frontier Drilling Asia PTE Ltd
Date
Title
Address 491 River Valley Rd 14th Floor, Unit 0 1 Valley Point Singapore 248373
FRONTIER DRIELLING ASIA PTE LTD. PFIC Annual Information Statement
(1) This Information Statement applies to the taxable year of Frontier Drilling Asia PTE Ltd (the "Company") beginning on Januarv 1 2001 and ending on December 31, 2001
(2) The pro-rata share of the ordinary earnings and net capital gain of the Company for the Company's taxable year specified in paragraph (1) on a per share/per day basis is as follows
Ordinary Earnings 000376712
Net Capital Gain None
Fair Market Value of Property None
(4) Ile Company will permit shareholders to inspect and copy the Company's permanent books of account, records, and such other documents as may be maintained by the Company that are necessary to establish that PFIC ordinary earnings and net capital gain are computed in accordance with U S income tax principles, and to verify these amounts and the shareholders' pro-rata shares thereof
By
Additional information required to complete Form 8621 - Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund :
NameofQEF Frontier Drilling Asia PTE Ltd
PARTNER # 114
.Dvlvununtai PFiC Annuai information Statement G S
Frontier lee AS International Drilling Ltd . International DrIllshIps Ltd.
At the present time the number shares allocated to you as a partner is less than a full share in these investments
DUMB OVERSEAS PARTNERS III, C.V EIN: 98-0231603 FOR YEAR ENDED : 12131/2001
J.N. Pew Jr. Trust EIN: 23-6239309
Be advised that the partnership has an investment in
ATTACHMENT TO FORM 8621
There was no ordinary earnings or capital gains generated from these investments Additionally, there was no cash or property distributed
(3) The amount of cash and fair market value of other property distributed or deemed distributed by the Company to the shareholder during the Company's taxable year specified in paragraph (1) is as follows :
(1) This Information Statement applies to the taxable year of Frontier Ice AS (the "Company") beginning on May 20, 2001 and ending on December 31, 2001
(2) The pro-rata. share of the ordinary earnings and net capital gain of the Company for the Company's taxable year specified in paragraph (1) on a per share/per day basis is as follows
Ordinary Earnings : None
Net Capital Gain None
Fair Market Value of Property None
(4) The Company will permit shareholders to inspect and copy the Company's permanent books of account, records, and such other documents as may be maintained by the Company that are necessary to establish that PFIC ordinary earnings and net capital gain are computed in accordance with U.S income tax principles, and to verify these amounts and the shareholders' pro-rata shares thereof
By-
Additional information required to complete Form 8621 - Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund:
NameofQEF Frontier Ice AS
(3) The amount of cash and fair market value of other property distributed or deemed distributed by the Company to the shareholder during the Company's taxable year specified in paragraph (1) is as follows
None Cash
International Drilling Ltd
Date
Title
5856 Bergen, Norway
INTERNATIONAL DRILLING LTD. PFIC Annual Information Statement
(1) This Information Statement applies to the taxable year of International Drilling Ltd (the "Company") beginning on July 11, 2001 and ending on December 31, 2001
(2) The pro-rata share of the ordinary earnings and net capital gain of the Company for the Company's taxable year specified in paragraph (1) on a per share/per day basis is as follows
Ordinary Earnings None
Net Capital Gain None
Fair Market Value of Property None
(4) The Company will permit shareholders to inspect and copy the Company's permanent books of account, records, and such other documents as may be maintained by the Company that are necessary to establish that PFIC ordinary earnings and net capital gain are computed in accordance with U S income tax principles, and to verify these amounts and the shareholders' pro-rata shares thereof
By
Additional information required to complete Form 8621 - Return by a Shareholder of a Passive Foreign Investment Company or Q1121ified Electing Fund:
MTERNATIONAL DRILLSMPS LTD. PFIC Annual Information Statement
(1) This Information Statement applies to the taxable year of International Dnilships Ltd (the beginning on July 1 1, M Company GO 1 drid ending on December 3 1, 2001
(2) The pro-rata. share of the ordinary earnings and net capital gain of the Company for the Company's taxable year specified in paragraph (1) on a per share/per day basis is as follows
Ordinary Earnings None
Net Capital Gain- None
(3) The amount of cash and fair market value of other property distributed or deemed distributed by the Company to the shareholder during the Company's taxable year specified in paragraph (1) is as follows
Cash None
Fair Market Value of Property None
(4) The Company will permit shareholders to inspect and copy the Company's permanent books of account, records, and such other documents as may be maintained by the Company that are necessary to establish that PFIC ordinary earnings and net capital gain are computed in accordance with U S income tax principles, and to verify these amounts and the shareholders' pro-rata shares thereof.
By:
Additional information required to complete Form 8621 - Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund:
Blackstone F12 Capital Partners (Cayman), L.P has invested in a Passive Foreign Investment Company (PFIC) This investment requires separate reporting by the partners Ile reporting requirementss for ppartr=s are Isummarizcd below A Form 8621 "Return By a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund", must be completed by each partner for each PFIC investment 'Me tax rules relating to PFIC's are complex Please consult your tax advisor A copy of each Form 8621 should be attached to your tax return
Instructions to Form 8621
Complete the top portion of the form with the attached information and the remainder of the form as follows
Part I
Aii election to treat each PFIC as a Qualified Electing Fund (QEF) needs tobe made PleasemarkBox A in Part I
An election to Recognize Gain on a Deemed Sale of a PFIC Please mark Box B in Part I
Part If
Line I a - Your Pro-Rata Share of the QEF's Ordinary Earnings, Refer to the attached Schedules for this amount
Line 2a - Your Pro-Rata Share of the QEF's Capital Gain Refer to the attached Schedules for this amount
Line 3b - Your Pro-Rata Share of the QEF's Distributions or Deemed Distributions Refer to the attached Schedules for this amount
Part IV
Line 1 Of - Your Pro-Rata Share of Gain or Loss from the Disposition of a Section 1291 Fund
PTR # 81 J N Pew Jr Trust
Line 1 a Line 2a Line 3b
Pro Rata Share Ordinary
Taxable Year Earnings Pro Rata Share Pro Rats Shares Capital Gain Distributions
January 1, 2001 through 294
December 31, 2001 NONE NONE
Part IV
Your deemed loss on the disposition of Liffe Holdings, pic is (181)
FORM 1065 - PFIC ANNUAL INTERMEDIARY STATEMENT .2001 SCHEDULE K-1 SUPPORTING SCHEDULE - PREPARED PURSUANT TO REGULATION SECTION I 11295-11(g)(3)
SHAREHOLDER OF RECORD STATEMENT TO INDIRECT OWNER
The PFIC listed below has a permitted the shareholder to examine the books of account, rec;cirds, and other documents of such PFIC for the shareholder to calculate the amounts of such PFIC's ordinary earnings and the net capital gain according to federal incurne taA at~uuritjoy principles ana ic, calculate ine snarenoiaer's pro rata shares of such PFIC s ordinary earnings and net capital gain
Part If
Liffe Hotdings pic Cannon Bridge House 1 Cousin Lane London EC4R 3XX EIN NIA
043349952
Please note that your pro-rata share of each PFIC s income Kea been included in your taxable income and reported on the approfinale lines of the Schedule K I The inforrnation below is provided solely for purposes of completing the Form 8621
3 Structural Engine Foundry Components 1 S A
43 Boulevard de la Petrussai . L-2320 Luxemlbourg
WA
January 1 . 20DI - December 31 2001
Your pro-ram sham of the ordinary earnings of the company (Form 8621 Part 11 Line I a)
Your prc~rala sham of the net capital gain of the company Form 8621 Part 11, Line 2a)
The amount of cash and fair market value of other property distributed or deemed distnbuted to you by the company
(Form 8621 Pan 11 tine 3b) so so $0
The PFIC rutesare complex Ptease consult your tax advisor
I
HarbourVesiParlmrsV DirfttFundL-P Attachment to Form 1065 Schedule K I For the Year ended Decerrilier 31 2001 Partner 21 J N PEW JR CHARITABLE TRUST
The partnership has made Qualified Electing Fund ('QEF*) Elections for the Passive Foreign Investment Companies ( PFICs') in which it invests The PFIC provisions, which apply to US persons that are direcl or indirect shareholders of a PFIC, rectuire that a separate Form 8621 Return by a Shareholder of a Passive Foreign Imesiment Company or Oualilied Electing Fund, be filed for each PFIC, for each tax year in which the US person is a shareholder ol the PFIC Th. Form 0621 n :tac.- GZ 10 !he shareholders income tax return
PFIC Number I PFIC Name Eurohmdec S A.
PFIC Address 43, Boulevard do la Petrusse, L-2320 Luxembourg
EIN NIA
Tax Year January 1 2001 - December 31, M
2 ValGroup Hold S X
43, Boulevard do la Petrusse L-2320 Luxembourg
N/A
January 1, 2001 - December 31, 2001
1 2 3 $0 so $0
so $0 $0
July 1, 2002
AM) TV-Q, LTD.
Annual Intermediarv Statement for RMTF-LA Venezuela Cable, Ltd.
This Annual Intermediary Statement applies to the taxable year of HMIT-LA Vene7uela Cable, Ltd begimung on January 1, 2001 and ending on December 31, 2001
'Me shareholder's pro rata share of ordinary earnings and net capital gain of HMTF-LA Venezuela Cable, Ltd for the taxable year specified in (I) above
Ordinary earnings none
Net capital gain none
The amount of cash and fair market value of other property distributed or deemed distributed by HMTF-LA Venezuela Cable, Ltd to the shareholder for the taxable year specified in (I) above
Cash none
Fair market value of other property none
(IV) HMTF-LA Venezuela Cable, Ltd will pernut the shareholder to inspect and copy HMTF-LA Venezuela Cable, Ltd 's permanent books of account, records, and such other documents as may be maintained by HMTF-LA Venezuela Cable, Ltd that are necessary (I) to establish that HMTF-LA Venezuela Cable, Ltd 's ordinary earrungs and net capital gains are computed In accordance with U S income tax principles, and (it) to verify these amounts and the shareholder's pro rata shares thereof
AMI IV-Q, Ltd
By
David W Kmckel, Treasurer and Vice President
July 1, 2002
AA11 IV-Q, LTD.
Annual Interinedi2rv Statement for Rede Brasil S.A .
This Annual Intermediarv Statement arinlies to the taxable year of Rede Brasil S A beginning on j--, 2001 and ending on December 30, 2001
The shareholder's pro rata share of ordinary earnings and net capital gain of Rede Brasil S A for the taxable year specified In (I) above
Ordinary earnings none
Net capital gain none
The amount of cash and fair market value of other property distributed or deemed distributed by Rede Brasil S A to the shareholder for the taxable year specified in (I) above
Cash none
Fair market value of other property none
(IV) Rede Brasil S A vnll pernut the shareholder to inspect and copy Rede Brasil S A 's permanent books of account, records, and such other documents as may be maintained by Rede Brasil S A that are necessary (I) to establish that Rede Brasil S A 's ordinary earnings and net capital gains are computed in accordance with U S Income tax principles, and (it) to verify these amounts and the shareholder's pro rata shares thereof
AMI IV-Q, Ltd
By _ :~~ " /
David W Knickel, Treasurer and Vice President
Return of U .S. Persons With Respect to Certain Foreign Partnerships
lii~ Attach to your tax return See separate Instructions Information furnished for the foreign partnership's tax year
Jons) beginning 01/01 . 2001 . and ending 12/31 20 oi Attachment Sequence No 1 18
Dei,s=erit of Me Treasury blamed R~ua Servi"
Important. All information must be in English All amounts must be in U S dollars unless Otherwise indicated "a return
am not filing this form with your tax return) 3 L:~j 4 L_j
4~1- 20 ", .nd 20 B Filer's tax year beginning
C Filer's share of liabilities Nonrecourse $ Qualified nonrecourse financing $ Other $ D If filer is a member of a consolidated group but not the parent, enter the following information about the parent
Name EIN Address
(3) Identifying number (1) Name (2) Address 2 1 Construtwe Dwer
F1 Name and address of foreign partnership PANAM SPORTS FUND IV LIMITED PARTNERSHIP C/O HICKS, MUSE, TATE & FURST INCORPORATED 200 CRESCENT COURT, SUITE 1600, DALLAS TX 75201
4 Date of organization T5 Pnncipal place of business 1 6 Principal I CAYMAN ISLANDS
7 Pnm,Pal business activity 8 Functional cumency and code number excharge rate (see mstr)
523900 1INVESTMENTS I US DOLLAR 07/15/1999 ICAYMAN ISLANDS G Provide the following information for the foreigr
I Name, address, and identifying number of agent (if any) in the 2 Check K the foreign partnership must file United SI3tSS NOT APPLICABLE OForm 1042 [:]Form 8804 R] Form 1065 a 1065-B
I Service Center where Form 1065 or 1065-8 is filed
F,:irm Sepairaiall, and " With Your Tu Ret,,m Signature of general partner or limited liability company membeir Date
Date Prepar r s SSN or PTIN Paid Preparer's Check if
Preparer's Signature ~ I self-employedlj~ El Firm's na (Or 'if Ze EIN No Use Only you _employed), address and ZIP code Phone no
For Paperwork Reduction Act Notice, see the separate instructions Form 8865 (2001) ISA STF FEDW51 F I
Form 8865 OMB No
2001
10 2 E]
2 EIN(ifany) 98-0211025
PHILADELPHIA, PA Name and address of foreign partnership's agent in country of 4 Name and address of person(s) with custody of the books and organintion, if any records of the foreign partnership and the locaton of such books
HUNTLAW CORPORATE SERVICES LIMITED and records, if different
DAVID W KNICKEL THE HUNTLAW BUILDING, FORT STREET HICKS, MUSE, TATE & FURST INCORPORATED
5 Were any special allocatioris made by the foreign parbnership7 1~ 0 Yes MX No 6 Number of foreign disregarded entities owned by the partnership (attach #st) I, NONE 7 How is this partnership classified under the law of the country in which it is organized? Ia. EXEMPTED LIMITED PARTNERSHIP 8 Did the partnership own any separate units within the meaning of Regulations section 1 1503-2(c)(3) or (4)? ji~ [:] Yes 0 No 9 Does this partnership meet both of the following requirements? NOT APPLICABLE " The partnership's total receipts for the tax year were less than $250.000 and " The value of the partnership's total assets at the end of the tax year was less than $600 000 il [:] Yes [j No lf"Yes " do not complete Schedules L, KA-1, and M-2 I NOT APPLICABLE
Sign Here Only Under penalties of perjury I dedare that I ham e;iiamined this return, including accompanying Schedules and statements arid to the best of my knowledge 11 Yw Are arid belief it .5 true correct and com plate Declaration of preparer (other than general partner or limited liability company member) is based on all Filing This information of which preparer has any knaMedge
2 1~onstruczjve uwnersnip or eartnersnip interest . LneCK tne boxes tnat apply to me tiler IT you check box b, enter the name, address, and U S taxpayer identifying number (if any) of the person(s) whose interest you constructively own See instructions
foreign
NOT 10% IN
I a Gross receipts or sales 1 b Less returns and allowances I 11bi
2 Cost of goods sold 3 Gross profit Subtract line 2 from line 1c E 0 4 Ordinary income (loss) from other partnerships, estates, and trusts (attach schedule) U
.S 5 Net farm profit (loss) (attach Schedule F (Form 1040)) 6 Net gain (loss) from Form 4797, Part 11, line 18 7 Other income (loss) (attach schedule)
8 Total Income (loss) Combine lines 3 through 7 9 Salaries and wages (other than to partners) (less employment credits)
-g 10 Guaranteed payments to partners .9 11 Repairs and maintenance
12 Bad debts 13 Rent 14 Taxes and licenses 15 Interest 16a Depreciation (if required, attach Form 4562) L16a b Less depreciation reported on Schedule A and elsewhere an return 116b
17 Depletion (Do not deduct oil and gas depletion r IS Retirement plans, etc
19 Employee benefit programs 20 Other deductions (attach schedule)
8
22 Form t5tibtl (2001)
STFFE0905IF2
Foirm
Oil Owns a direct interest b F~ Owns a constructive interest
Name I Address I Identifying number (rf any)
Name I Address I Identifying number (if any)
direct
Does the partnership have any other foreign person as a direct partner? ScheduleA-2, Affiliation Schedule. List all partnerships (foreign or domestic) in
a direct interest or indirectly owns a 10% interest
Name Address EIN I I
(if any)
ORTS PARTNERS CO I CIO HICKS, MUSE, TATE 1 98-020
I DALLAS, TX 75201 Income Statement - Trade or Busines! e trade or business income and expenses on h
Lxj Yes Lj No foreign partnership owns
Total ordinary Check if incomeorloss I
foreign
8125 1 APPLICABLEI X
22 Ordinary Income (loss) from trade or business activities Subtract line 21 from line 8
ISA STF FED9053F
SCHEDULE 0 Transfer of Property to a Foreign Partnership O?A No 154&16W
(Form 8865) (under section 6038B) owist,rem Of the Tresswry 2001 1010,121 Re"Inue sevos 1~ Attach to Form $865 See Instructions for Form 886S
Name of bram ; r Filer's Identifying number
:Z7 -IA,6LjE IWV --62~93429 LJ 157 93 Name of foreign partnership PANAM SPORTS FUND IV LIMITED PARTNERSHIP
Fp-a-rt--Il Transfers Reportable Under Section 6038B
(a) (b) (c) (d) Type of Date of Number of Fwr market cost or other Section 704(c) Gain Percentage interest property transfer items value on date basws allocation recognized on in partnenihip after
transferred of transfer method transfer transfer
Cash it 01 11/19/
Marketable secundes
Inventory
Tangible property used in trade a business
Intangible property
Other property
Supplemental Information Required To Be Reported (see instructions)
FP-a RE I Dispositions Reportable Under Section 6038B
(b) (c) (d) (a) Depreciation W IN Type of Date of Date of
Mnrsi Gain recapture Gain allocirted Depremabon
prop" original d~sposlbon disposition recognized by recogmzed to partner recapture allocated transfer partnership by partnen;lrup to parinerr
Part III- is any transfer reported on this schedule subject to gain recognition under section 904(f)(3) or section 904(f)(5)(F)) is. [] Yes )~ZLNo
For Papemork Reduction Act Notice, am the Instructions for Form $865 Schedule 0 (Form 8865) 2001
E Information about certain other partners (see instrucuorisl
(1) Name (2) Address (3) Identifying number
any)
G Prouide the foilowring information for the foreign oamershi I Name address, and Identifying number of agent (if any) in
United States 2 Check if the foreign partnership must file
[] Forrin 1042 L-] Form 8804 Form1065ort Semce Center where Form 1065 or 1065-B is filed
Date Preparers ~~N or P TIN Paid Preparer s Check,f Preparer's signature seff employed J~ [-J
Firm s a (or Ei~ Use Only yours lf"`seT1I%~pIoyed) N
and address P
de b.
For Paperwork Reduction Act Notice, see the separate instmchons For. 8865 ( .2 991 ISA STF FEOW5 1 F I
Form 8865 Return of U .S . Persons With Respect to O?,,B No 1545 1568
Certain Foreign Partnerships (December 1999) Ila. Attach to your tax return See separate instructions ArlaChnnent Detummen, of the Treasury Information furnished for the foreign partnership s tax year Secuence No 118 me,nal Re~nue Semce (see instructions) beginning 01/01 C I and ending 12/31 .31,C)IDtif important All information MUST be in English All amounts MUST be in U S dollars unless otherwi4ze rndic6ted
Name of pers n filing dus return Identifying number Z ri . Pi U-1 -T (Z' C P/-1(z T r-q 6 L ct~- T<() -~ 7- -23 - 6 2e~ 9 30 r7 F,W.5afPss(lfy0 arejpot FI,rg4rs to" wLh your tax return) A Category of file (see Categories 3f Filem in tre in'thictions and aec,, apolict wqesi)
! I r v,- 1 7 6 -np a ii y 1 ID 2 4 C] P, ri . ~1 I 6 1 .
sin. . I B Filer s tax year beginning and ending / 2~
C IP00i,sh-fer ~! l8QiJk47qqfttourse S Qualified nonreccurse financing S Other S D If flier is a member of a consolidated group but not the parent enter the following information about the parent.
F1 Name and address of lot Partnership M44 LP CAYMAN, LLC C/o HICKS, MUSE, TATE & FURST INCORPORATED 200 CRESCENT COURT, SUITE 1600, DALLAS, TX 7 4 Date of organimttOn 15 Principal place of business 16
whose laws organized
Principal business activity I Principal ousiness activiry a Functional currency and code number I I exchange rate (see ins IT )
NOT APPLICABLE PHILADELPHIA, PENNSYLVANIA 3 Name and address Of foreign Partnership s agent in country of 4 Name and address Of person($) with custody of the books and
organt;eation if any records of the foreign partnership and he location of such books
HUNTLAW CORPORATE SERVICES LIMITED and records if different DAVID W KNICKEL
THE HUNTLAW BUILDING, FORT STREET HICKS MUSE, TATE & FURST INCORPORATED
GEORGE TOWN, GRAND CATMAN, CAYMAN ISLANDS 200 CRESCENT COURT, STE 1600, DALLAS TX 7S201 5 Were any special allocations made by the foreign partrfershil,7 0. D Yes [j] No
6 Number of foreign disregarded entities Owned by the partnership (attach list) li~ NONE -
-7 Fowls this partnership ClaSSALO under the law of the country in WhiCh)l,s crgan,Zed~ Ill EXEMPTED LIMITED CONP)tNY
8 Did the partnership own any separate units Within the meaning of Regulations section 1 1503-2(c)(3) or (4)1 to E) Yes [::I No 9 Does this partnership meet both of the following requirements?
" The partnership S total receipts for he tax year were less than S250 000 and NOT XPPLICABLE " The value of the partnerships total assets at the end of the tax year was less than S600 000 al L7 Yes )D No If'YeS"donotcOmjp~IeSCheduIesL M-1 andl,12 NOT APPLICABLE
Sign Here Under penalties of perjury I declare that I ha,a examined mus return including accompanying schedules and statements and to the best of my knowledge and Only if You belief it a true correct and complete Declaration of preparer (other Man general Partner or limited liability company memoer) is based an all information of Are Filing The For. which prepare, has any knowledge S.'anifify and Not With Ywr Tax Return )1f Snmal.r . of ofaneral partner o, limited .b,hi,com.rtahv member Date
c7 -C c;L9F3 if' Pac -13 Constructive Ownership of Partnership Interest Cneck the boxes that apply to the filer If you check box b, enter the name. address, and U S taxpayer identifying number (it any) of the person(s) whose interest you constructively own See instructions
a Owns a direct interest b IF] Owrs a constTuctive interest Check if Check
N-Me dddress (denfifymg numb,r (if any) ~ foreign I dimc,
2 orm 8865 (12-99) Schedule A
Check if Address Identifying number (if my) foreign
I I I person TKM 101 YN TRMSFEREE PARTMERSHIP AND TRANSIFFRPLED
person as a direct partner? Yes No
List all partnerships (foreign or domestic) in which the foreign partnership owns a ctly owns a 10% interest
fE I NY)
Total ordinary I Check
Address (I n income or I", for.,grF
Does the partnership have any other Schedule A-2 I Affiliation Sche
direct interest or
Name
I TI .T .T .Aq MY 7~701 1
Schedule B income Statement - Trade or Business Income Caution Include only trade or business income and expenses on lines la through 22 below S
I a Gross receipts or sales la I lo Less returns and allowances 1b(
2 Cost of goods sold a 3 Gross profit Subtract line 2 from line Ic E 0 4 Ordinary income (loss) from other partnerships . estates, and trusts (attach schedule)
5 Net farm profit (loss) fattach Schedule F (Form 1040)) 6 Net gain (loss) from Form 4797, Part 11, line 18 7 Other income (loss) (attach schedule)
8 Total income (loss) Combine lines 3 through 7 9 Salaries and wages (other than to partners) (less employment credits)
10 Guaranteed payments to partners 111 Repairs and maintenance 12 Bad debts 13 Rent 14 Taxes and licenses 15 Interest
a 16a Depreciation (if required, attach Form 4562) b Less depreciation reported on Schedule A and elsewhere an return 62b
17 Depletion (Do not deduct oil and gas depletion 18 Retirement plans, etc
2 19 Employee benefit programs 20 Other deductions (attach schedule)
93 21 Total deductions Add the amounts shown in the far naht column for lines 9 throuah
more
8
income (loss) from trade or business activities Subtract line 21 from fine 8 Forn, 8865 (12 -~%
SW FFD!x51 F 2
Schedule A-1 I Certain Partners of
Name
38 SCHEDULE 0 Transfer of Property to a Foreign Partnership (Form I
Z 6 ..5i
(DIKIVnlief 1999) (under section 6038B) D oaninert of the Treas~ry ~e;emal ltte~nue SeM-- ji~ Attach to Form 8865 See Instructions for Form 8865
OMB No 1 -~5 t 668
Identifying number
-:~ - 6 ) 'i 1"--/ -3 , -31 7-
A- to)
Cost or other oasis
10) in 1 (9) Section 704(c) Gain Percentage Interest allocation I recogn,zed on in parnersmo after memod fran I trarisle,
Other property
LSA SrFr FED905ZF
,:I N C-4,4437771,1t-tz~-Name of foreign parnership
HM4 LP CAYMN, LLC
[~Efl Transfers Reportable Under Section 6038B
(a) (b) M Type f Date of Number of Fa, ma,ket prope transfer items value on date
Cash q I
transferred
I
of transfer
Marketable securities
Inventory
Tangible property used in trade ol~ business
Intangible property
Supplemental Information Required To Be Reported (see instructions)
1~i~] Dispositions Reportable Under Section 6038B NOT APPLICABLE (a) (b) (c) d) (e) M (9)
Tyoe of Date of Date of Winne Gain 0 epreciation Gain allocated D,,,p,,-, t..n i
d'sposir-f I gn"ed
to par~ne, eca . e
ed drcipent, orgmaj d'sposmon r. by lecoolure transfer I I parmersnip recognized to banner
Part III Is any transfer reported on this schedule sub)ect to gain recognition under section 904(f)(3) of section 904(f)(5)fl'~ h. [] Yes 1-7L N c,
For Papemork Reduction Act Notice . see the instructions for Form 8865 Schedule 0 jForm 8865) (12-99)
(see Check (2) Address (3) Identifying number
NOT APPLICABLE
F1 Nam and address of foreign partnership QUALIFIED FUND, C V C/O HICKS, MUSE, TATE, & FURST INCORPORATED 200 CRESCENT COURT, SUITE 1600, DALLAS, TX 75201 4 Date of organinum 5 Pnncpaj place of business 6 Pnnc,pal business an_,~
UNITED STATES/ code number Functional currency and exchange rate (se,e instr)
I for the foreign partnershim s tax numbetr of agent (if any),n the
G 2 Check it the fortegn pannership must tile 0 Form 1042 F-1 Form 8804 Form 1065 a 1065-B Ser,noe Center where Form 1065 of 1065-B is filed
Nanne addre~ United States
Uace Frecaner s zibN or - I uN Paid Preparer s Check . Preparer's signature ~ I self-emplo,,edli. 0 1
rirms name (or EIN* Use Only yours it self-employed) - and address zlpcoci
For Papen,iork Reduction Act Notice, See the separate instructions Form 8865 ( .2 99) 15A
Form 8865 Return of U .S . Persons With Respect to DIOS No 154~,166a
Certain Foreign Partnerships (December 1999) P. Attach to your tax return See separate instructions At'anment
Depart,rent of lie Treasury Informiabon furnished for the foreign partnership s Lu year Secuencetic, 118 Irternal Rc~rue Semce (see Instructions) beginning 01/01 e, and ending 12/31 9-e>l
impoilan t A fil A I I I ol~ natlon IIIMIIST be in Enghs, I I /I a,-,, o t S Al U S T b e in U S dotla rs Ln le s s of I" eni,,, S e iind,cateuj Name of person filing this return dentily"rug number
FN 3 ci Li 3 Filer s address (if you are no
U, fix -'aporill A Category of filef (see Categories of Fiers in me InSiNCU.$ arid Cn .Ck applicable 0.41s))
1 2 3 4
B Filer s tax year beginning and ending 12- 3 1 -'(D C Filler s share of liabilities Nonrec~rs Other S e S Qualified nonrecourse financing S
D If fileir is a member of a consolidated group but not the parent enter tMe following infornhabon about the parent
Name EIN Address
(1) Name 2
EIN(irany) 75-2785520 Country under whose laws organized
NETHERI.A.NDS
3 Narne and address of foreign pannerShIPS agent in countryof 4 Name and address at person(s) wth custody of the books and organizaum, if any necords of the foreign partnership and the location of such books
MEESPIERSON TRUST B V and rec;ords if different DAVID W KNICKEL HERENGRACHT 548, 1017 CG HICKS, MUSE, TATE & FURST INCORPORATFI) ARSTERDAM, T14E NETHERLANDS 200 CRESCMIT COURT, SUITE 1600, DALLAS . TX 75201 5 Were any special allocations made by the foreign partnership' is. 0 Yes [g] No 6 Number of foragn disregarded enUoes ownecl by the partnership (attach list) P. NONE 7 How is this Partnership classified under the law of the Country in whicn it is OrganizecP 11- CLOSED LIKITED PARTITERSHIP 8 Did the partnership own any separate umLs mthin the meaning of Regulatons section 1 1503-2(c)(3) cr~ (4)? bi. EJ Yes F] No 9 Does this partnership m,eet both of the fcIlowing requiremems~ NOT APPLICABLE
" The partnerships total receipts fw the = year were l~s than S250 000 and " The value of the partnership s total assets at the end of the tax year was less than S600 000 Ile. C] Yes [:] No If -Yes,- do not complete Scheoules L M-1 and M-2 NOT APPLICABLE
Sign 14er . Under penalties of perjury I declare trial f ha~ examined this rerurn including accompanying schedules and statements and to the best of my knowledge and Only If you belief t,s ne correct and complete Declaration of preparer (olner than general partner or limited liability company member) is based on all information of Are Film, ~,, Fionryi which preparer has any kno%deage Separately and Noe Min Yow Tax Return ~ q- . .. ... Mr-1.1
o?3 - 462 5 2-30 9 Constructive Ownership of Partnership Interest Check the boxes Chat apply to the rifer If you check box b, enter the name, address, and U S taxpayer identifying number (if any) of the pe,son(s) whose interest you constructively own See instructions
b F-I 0 "s a ronstructive interest a Owris a d .re:t Interest
~o,rn SS65 1 . 2 99)
IScheduleA
AdIress I l(Jenufpng number (if any) foreign
tIN oot orainary UneCK IT Name Address (if any) .=eiorloss foreign
7
Schedule B I Income Statement - Trade or Business Income more
or sales ja a Gross receipts 6 Less returns and allowances
2 Cost of goods sold 0 3 Gross profit Subtract line 2 from line ic E 0 4 Ordinary income (loss) from other partnerships, estates, and trusts (attach schedule)
5 Net farm profit (loss) (attach Schedule F (Form 1040)) 6 Net gain (loss) from Form 4797, Part 11, line 18 7 Other income (loss) (attach schedule)
8 Total income (loss) Combine lines 3 through 7 9 Salaries and wages (other than to partners) (less employment credits)
10 Guaranteed payments to partners i i Repairs and maintenance 12 Bad debts 13 Rent 14 Taxes and licenses 15 Interest 16a Depreciation (if required, attach Form 4562) 116aL
b Less depreciation reported on Schedule A and elsewhere on return 11 6b I 17 Depletion (Do not deduct oil and gas depletion 18 Retirement plans, etc
~2 19 Employee benefit programs 20 Other deductions (attach schedule)
21 Total deductions Add the amounts shown in the far richt column for lines 9 throuch
8
11
18
22 Ordinarv income (loss) from trade or business activities Subtract fine 21 from line 8 f 22 rann 8865 ( .2 991
Nam a
Schedule A-1 I Certain Partners of Fo
Name
Ad~=s I de-V,,ing n---be, (if any)
n Partnershio (see instruction
fcrelgn d-ec . person I paRner
Does the partnership have any other foreign person as a direct partner? [Xj Yes 0 No FS-checlu]L~-2j Affiliation Schedule List all partnerships (foreign or domestic) in which the foreign partnership owns a
direct interest or indirectly owns a 10% interest
SCHEDULE 0 (Form 8865) (Dec1mD& 1999) ce,wnr,ent of Me TfeaSWry ri:emal Re~enue Ser~ce
Name of tran I ~eror i
C- L'i
Transfer of Property to a Foreign Partnership (under section 6038B)
Iii. Attach to Form 8865 Se,e Instructions for Form 8865
01,18 No 15-5 .668
L ij`~A ;e 7- TAA L U- 7-9 Ul -5 Identifying number
3L 3 - e ~~ cl c,-- -? e -N
A Id) (e)
Cost or
Other section 704(C) basis allocation
method
Other property
Supplemental Information Required To Be Reported (see instructions)
Dispositions Reportable Under Section 6038B
(a) (b) (c) to) Type of Date of Date
Of Manner of
property original d'spo!t1tion disposition I transfer I I
NOT APPLICA13LE (e) (f)
Gain Depreciation recognized by recapture partnership recognized
by partnership
(g) (h Gain alloca"d Deprellion )t Iil
o parmer recap ure a coated to partner
ISA - 1-1-
Name of foreign partnership
QUALIFIED FUND, C V
EEI Transfers Reportable Under Section 6038B
(a) 'b'
(c) Type of e Nurn , .1 Fair market Dale ci~ te property Mansf
.~s w,lue an date
I transferred oftransfer
Cash
Marketable securities
woentory
Tangible property used in trade a business
Intangible property
if) W) Gain Percentage interest
recognized on in partnership after transfer transfer
Part III is any transfer reported on this schedule subject to gain recognition under section 904(f)(3) or section 904(f)(5)(F)? if~ [] Yes ~~,No
For Pafoeiri,irork Reduction Act Notice, see the Instructions for Form 8865 Schedule 0 (Form 8865) (12-99)
01,113 No 1545 1668 Form,8865 Return of U .S. Persons With Respect to Certain Foreign Partnerships
li~ Attach to your tax return See separate instructions D"an,rarit Of me T~Ury Information furnished for the foreign partnership's tax year internal i ;taverue Semce (see instructions) beginning 01/01 , 2001, and endinq 12/31 .2001
Attachment SeclixenceNo `118
E
(2) Address 1 (3) Identifying number (1) Name 2 1 Constrains o~
F1 Name and address of foreign partnership HMTF EQUITY FUND IV (1999) CAYMAN, LP C/O HICKS, MUSE, TATE & FURST INCORPORATED 200 CRESCENT COURT, SUITE 1600, DALLAS, TX 75201
7 principal bminess activity 8 Functional currency and exchange rate (see instr
INVESTMENTS I US DOLLAR code number
11/5/99 ICAYMAN ISLANDS 1525990 G Provide the following information for the foreign partnership's tax
I Name, address. and identifying number of agent (if my) in the UnitedStates NOT APPLICABLE
Name and address of foreign partnership s agent in country of organization if my
HUNTLAW CORPORATE SERVICES LIMITED THE HUNTLAW BUILDING, FORT STREET GEORGETOWN, GRAND CAYMAN, CAYMAN ISLANDS 200
Checkd
Paid setf-empkiyedl~
Preparer's Use Only
Firm s name (or ON ll~ yours if selfr~employed) address and ZIP code Phone no
For paperwork Reduction Act Notice, see the separate instructions Form 8865 (2ficii) 9SA STFFE09051F I
2001
Important . All information must be in English All amounts must be in U S dollars unless othermse Indicated person riling this return I Filer-3 Identifyint, number
i - v-::=7Lj -j- tz :f I.)-~71 (;l3 - 6,3~qi?, 3 dress (if YOU are not fling this form mth your tax reftim) A Category of filer (see Categories of Filers in the instructions; i
1 1 [ :) 2 E] 3 FX~ 4 [-]
B Filers tax year beginining 1-1 20 ID I and ending 11 -3 / 2o 6 /
C Filer's Share of liabilities Nonrecourse S Qualified ncshref;ourse financing $ Other $ D If filer is a member of a consolidated group but not the parent enter the following information about the parent.
Name EIN Address
2 EIN (if any) 98-0214613
CAYMAN ISLANDS
L;hecx it the toragn partnership must file [] Form 1042 0 Form 8804 [&] Form 1065 or 1065-8 SerAce Center where Form 1065 or 1065-B is filed
PHILADELPHIA, PA
records of the foreign partnership and the location of such books and records, if different
LINDA THOMPSON HICKS, MUSE, TATE & FURST INCORPORATED
5 Were my Special allocations made by the foreign partnership' P. F] Yes [K No 6 Number of foreign disregarded entities owned by the partnership (attach fist) 1, NONE 7 How is this partnership classified under the law of the country in which it is organized? P, EXEMPTED LIMITED PARTNERSHIP 8 Did the partnership own any separate units wthin the meaning of Regulabons section 1 1503-2(cX3) or (4)? ji, E] Yes E] No 9 Does this partnership meet both of the following requirements? NOT APPLICABLE
" The partnership's total receipts for the tax year were less than $250,000 and " The value of the partnership s total assets at the end of the tax year was less than $600,000 ll~ Ej Yes [:] No If -Yes .- do not complete Schedules L M-1, and M-2 I NOT APPLICABLE
sign Hairs only Under penalties of pequry~ I declare that I have examined this return including accomparrying Schedules and statements and to the best of my Viowtedge H Ym Are and belief it is (rue, correct. and complete De,clarabon of preparer (other than general partner or limited liability company member) is based on all Filing This information of which preparer has any knowledge Form S.parrately am 14ot "M y,,io T. Ftan,m Signature of genentl partner or limited liability company member Date
I Data I I Preparer's SSN or PTIN
Form 11865 (2001) 01~3-6dq?-30 ~ F~.g . 2 Schedule A Constructive Ownership of Partnership Interest Check the boxes that apply to the filer If you
check box lb, enter the name, address, and U S taxpayer identifying number (if any) of the person(s) whose interest you constructively own See instructions a V Owns a direct interest b M Owns a ccristructr~ interest
Identifying number (if any)
PARTNERSHIP
Name
NOT APPLICABLE - PARTNER
Address
LESS THAN lot IN
I a Gross receipts or sales 1 b Less returns and allowances
2 Cost of goods sold 3 Gross profit Subtract line 2 tram line 1c E
0 4 Ordinary income (loss) from other partnerships, estates, and trusts (attach schedule) U .S 5 Net farm profit (loss) (attach Schedule F (Form 1040))
6 Net gain (loss) from Form 4797, Part 11, line 18 7 Other income (loss) (attach schedule)
8 Total income (loss) . Combine lines 3 through 7
1 c
a - 9 Salaries and wages (other than to partners) (less employment credits) 2 a 10 Guaranteed payments to partners
11 Repairs and maintenance 12 Bad debts 13 Rent
L 14 Taxes and licenses 15 Interest 16a Depreciation (if required, attach Form 4562)
b Less depreciation reported on Schedule A and elsewhere on return 17 Depletion (Do not deduct oil and gas depletion 18 Retirement plans, etc 0 19 Employee benefit programs 20 Other deductions (attach schedule)
21 Total deductions Add the amounts shown in the far naht column for
16c
20 121
22 Form 8865 (2ool)
STFFED9051F 2
I
Name
A-1 I Certain Partners
Address Check if I Check
Identifying number (if any) I foreign direct
Check if
Does the partnership have any other foreign person as a direct partner'? Schedule A-2 I Affiliation Schedule List all partnerships (foreign or domestic) in which the fl
a direct interest or indirectly owns a 10% interest
Name Address EIN I E (if any) SEED ACOUISITION . CV CIO HICKS MUSE . TATE & 1 75-2793161
LP ii 00 33 Uu i~Fl ~Uu~l i I 1 B HTFii6 928 0~
PCB GROUP CAYMAN I DALLAS, TX 75201 1 98-022 Ratement - Trade or Business Income business income and expenses on lines la throuqh 22 below See the
Yes L_j No gn partnership owns
Total ordinary Check if incom foreign I
for
22 Ordinary income (loss) from trade or business activities Subtract line 21 from
SCHEDULEO (Form 8865) Depannient of me T~ry
Transfer of Property to a Foreign Partnership (under section 6038B)
li~ Attach to Form 8866 See Instructions for Form B865
OMB No 1545-1668
2001 mber
1930'~~ Filer's Of Name of tran f
(- I ~ 7-X HMTF EQUITY FUND IV (1999) CAYMAN, LP
FP art 1] Transfers Reportable Under Section 6038B
(a) (b) (C) (d) 0) Type of Date of Number of Fair market Cciid or other Section 704(c) (0)
me property transfer items value on date basis allocation lc) transferred of transfer method
M (g) Gain Percentage interest
rmognized an in partnership after transfer transfer
Other property
Dispositions Reportable Under Section 6038B
T (a) (b) (c) (d) (a) Dep,-..bon (g) (h) Type of Date of Date of Manner of Gain
recap.r. Gain allocated Depreciation
property original disposibon disposition recognized by recognized to partner reciipture aliccated transfer partnership by partnership to partner
ISA STF FED9053F
Cash
Marketable securities
Inventory
Tangible property used in bade a business
Intangible property
Supplemental Information Required To Be Reported (see instructions)
INTEREST IN A SENIOR SUBORDINATED PROMISSORY NOTE FROM STONEVILLE HOLDING CORPORATION -AT TAX BASIS
I rarE III Is any transfer reported on this schedule subject to gain recognition under section 904(f)(3) or section 904(f)(5)(F)9 Do C] Yes §~_Nci
For Paperwork Reduction Act Notice, we the Instructions for Form $865 Schedule 0 (Forin 9865) 2001
F=8865 Return of U .S . Persons With Respect to 014M No 1545,1668
Certain Foreign Partnerships lo- Attach to your tax return Sea separate instructions 2001
Depaintent of fite Than-y Inficni Itch furnished for the foreign partnership's tax year Attachment Internet l;tawntis Ser"ce (see instructions) beginning I/ I . 2001, and ending 12/31 .20 01 sequellce NO 118 Important . All information must be in English All amounts must be in U S dollars unless othermse Indicated Name of per&V.~Iing this naturn I Filer'sidentityinanumbar
\J,1 c~,3- 30? Filar's address (if you an, not filing this it= mth your tax ripturn) A Category of filer (am Categories of Filers in the and check applicable ixottes))
1 E] 2 C] 3 E] 4 C]
B Filers tax year beginning Z - I .2D and ending .20 0
C Filer's share of liabilities Nonrecourse 5 Qualified nonrecourse Financing $ Other $ 0 if filer is a menter Of a consolidated group but hot the parent enter the following information about the parent
Name EIN Address
E Inforination about certain other partners (see instructions)
(1) Name (2) Address (3) Identifying number (4) Check aciiillcable box(es) Categoryl- Category2 Ciirsiricktea~r
F1 Name and address of foreign partnership 2 EIN(rfany) HMTF FUNII V CAYMAN, L.P . 98-0336423 C/O HICKS, MUSE, TATE & FURST INCORPORATED 3 Country under w1nose laws organized 200 CRESCENr COURT, SUITE 1600, DALLAS, TX 75201 CAYMAN ISLANDS
4 Date of organi"'ba 1 5 Principal place of business 6 Principal business activity 7 Principal touvriess acthAty 8 Functional cumericy and cod( exchange rate (see instr
11/22/2000 CAYMAN ISLANDS 52390 ~INVBSTMENTS US DOLLA.R G Provide the following informadon for the foreign partnership's tax year
I Narri address . and identifying number of agent (d any) In the 2 Check if the foreign partnership must file . United States C-] Form 1042 E) Form 8804 NJ Form 1065 or 1065-B NOT APPLICXBL~E Samoa Center where Form 1065 or 1 OB&S is filed
PHILADELPHIA, PA 3 Name and address of foreign partnerships agent In country of 4 Name and address of person(s) with custody of the books and
organization, if any records of the foreign parblershIp . and the loradw of such books RMITLAW CORPORATE SERVICE LTD and records, if different
DAVID W. KNICKEL THE HUNTLAW BUILDING, FORT STREET C/O HICKS, MUSE, TAT39 & FURST INC . GEORGETOWN, GRAND CAYMAN, CAYMAN ISLANDS 200 CRESCENT CT,STR 1600, DALLAS, TX 75201
5 Were any specal allocations made by the foreign partnership? ji~ E] Yes [K No 6 Number of foreign disregarded entities owned by the partnership (attach list) is. - THREE 7 How is this partnership classified under the law of the country in which it is organized? 11- EXEMPTED LIMITED PSHIP 8 Did the partnership own any separate units within the meaning of Regulations section 1 1503-2(c)(3) or (4)) 1- E] Yes No 9 Does this partnership meet both of the following reclutrerrients? N/A
" The partnership's toted recapts for the tax year were less than S250,000 and " The value of the partnership's total assets at the end of the tax year was less than $600 000 0~ C-] Yes No If 'Yes .' do not complete Schedules L. M-1 and M-2 I N/A
Under penalties of pedur% I declare dist I haw examined this return including accomparrying schadules and statements arid 0 the best of my knameoge and belief, it is trus . correct and =plate Declaration of preparer (other than general partrw or limited liability Company member) is owed on all Information of which prepaner has any knowledge
Sign Hi*nt Only It Y~ Am Ring This Forni S.P.1sly Not with yoi~r T. Rao,m Fate- Signature of general partner or limited liability compary member
Paid Checkd Preparer's sitif-emplowd ll~ Cl
Use Only 6~bf 11~ yours . seff-ernployed) . address and ZIP code TFIh"Ins M
For paperwork Reduction Act Notice . see th separate instructions. MA STF FED9051F I
2 to trie-mer it you any) of the person(s) check box lb, enter the name, address, and U S. taxpayer identifying number
whose interest you constructively own . See instructions
direct
NOT APPLICABLE-PARTNER OWNED LESS THAN 10% AND
Does the partnership have any other foreign person as a direct partner'? L Yes L No ,$cffedule',jk-2 Affiliation Schedule. List all partnerships (foreign or domestic) in which the foreign partnership owns I
a direct interest or in rectly owns a 10% interest
EIN Total ordin Check Name Address ary foreign (if any) income or loss partnershi
PAN AMMICAN SPORTS PARTNERS C/O HICKS, MUSE, TATE 98-0208123 NOT X COMPANY FURST INCORPORATED PLICABLE KHTF BRIDGE 15 (CAYMAN) LTD . 200 CRESCENT COURT 52-2248571 NOT x HMTF CAYMAN FOUR LIMITED SUITE 1600 APPLIED FOR iPLICABLE X
5ChedUlWI3rl Income Statement - Trade or Business Income Caution : Include only trade or business income and expenses on lines la throu h 22 bet S
I a Gross receipts or sales 1 a to Less returns and allowances I Ibi
2 Cost of goods sold 3 Gross profit Subtract line 2 from line 1c
UO 4 Ordinary income (loss) from other partnerships, estates, and trusts (attach schedule) .E 5 Net farm profit (loss) (attach Schedule F (Form 1040))
6 Net gain (loss) from Form 4797, Part 11, line 18 7 Other income (loss) (attach schedule)
8 Total Income (loss) . Combine lines 3 through 7 9 Salaries and wages (other than to partners) (less employment credits)
'9 10 Guaranteed payments to partners 11 Repairs and maintenance 12 Bad debts 13 Rent 14 Taxes and licenses 15 Interest 16a Depreciation (if required, attach Form 4562) b Less depreciation reported on Schedule A and elsewhere on return 11 Nb
17 Depletion (Do not deduct oil and gas depletion IS Retirement plans . etc 0
a &Owns a direct mtoes b E] Owns aconstrucliveintwest-
Name I Address I Identifying number (if any)T'
Name I I Address I Identifying number (it any)
Transfer of Property to a Foreign Partnership (under section 6038B)
jl~ Attach to Form 8865 See Instructions for Form 8865
SCHEDULE 0 (Form 8865) Dwaftnierid Of Me T=sW
OMB No 1545-1668
2001 Filarjs Identifying number 0-3, / 3 CD
Gain Pemaritage Interest wognized an in partnership after
transfer transfer
(d) (6) Cost w other Section 7D4(e)
lowis allocation I method
a
Other property
ISA S~ FEDW53F
Name of
.zr-, rpo-Li C Name of foreign partnership
FPart I Transfers Reportable Under Section 6038B
(a) (b) (c) Type of Dam of Number of Fair market property transfer Items nlue w date
transferred of transfer
Cash 2/12, 6119 1
11/8, 12/21 Marketable securities
Inventory
Tangible prop" used in trade or business
Intangible property
Supplemental Information Required To Be Reported (see instructions)
t 171 Dispositions Reportable Under Section 6038B NOT XPPLICAST~E
(a) (b) (c) (d) (a) Depreciation Is' (h)
Type of Date of Date of Manner of
Gain recapture Gain allocated Depreciation prop" original disposibon disposition rnogn,zed by recognized to panner reGapture allocated
transfer p2nnefSNP by partneminip to partner
I Part III is any transfer reported on this schedule subject to gain recognition under section 904(f)(3) or section 904(Q(5)(F)9 Ile . C] Yes %L No
For Pape~ork Reduction Act Notice, see the instructions for Form 8865 Schedule 0 (Form 3865) 2001
Important Affinformation MUSTbe in English Affamounts MUSTbe in U S dollars unless otherwise indicated
Name of per fih:ois, Ideritl i~ai 7 7 7_7_ ~'131,3 . `2
your tax return) A C.u,go, .ffier(,e-C .t.,, . F16 act f f1i a 9!V? L% Has of Filers in ine,nsirvc ions and Zlec% aWliCable boi,fe$)) e El 2 E] 3 E 4 [3
S IS Filer s tax year beginning and ending 12- 300
D if filer is a member of a the Name
(1) Name (2) Address
F1 Name and address of foreign parinership AMI IV-Q LTD C/O HICKS, MUSE, TATE & FURST INCORPORATED 200 CRESCENT COURT, SUITE 1600, DALLAS, TX 75201 4 Date of arganizabon 5 Principal place of business 6 Principal bus
I I code number Functional currency and exchange rate (see instr J
G Pror,nde the following infOrmabort for the foreign Dannersh:p s tax year 1 Name address and Identifying number of agent (if any) in the 2 Check If the foreign p"enship must file
United States r-1 Form 1042 F~ Form 8804 Cx] Form 1065 or 1065-B ~en,ce Center where Form 1065 or 1065-B .s filed
NOT APPLICABLE PHILADELPHIA, PENNSYLVANIA 3 Name and addreas of foreign PaT;~ershjp S agent in country of 4 Name and address of person(s) min custody of the books and
organizatron . if any records of the foreign partnership and the location of such books W S WALKER C. COMPANY and records if different DAVID W KNICICEL CALEDONIAN HOUSE, MARY STREET HICKS, MUSE, TATE & FURST INCORPORATED GEORGE TOWN, GRAND CAYMAN, CAYMAN ISI_A.UDS 200 CRESCENT COURT, GTE 1600, DALLAS, TX 75201 5 Were any special allocajons made by the foreign pamerShip7 iii. I:] Yes E< No 6 Nurriber Of foreign disregarded enljbd~ owned by ilia partnership laffach hst) b.Nos-r 7 How is t1his partnership classified under the 12W Of Line country in which it is organized7 jj~ EXEMPTED LIMITED COMPAN~ 8 Did the partnership Own any separate units within the meaning of Regulations Sep ion 1 1503 .2(c)i[3) or (4)1 P. 0 Yes O NO 9 Does this partnership meet both of the Iollowung requirements'
" The partnership s total receipts for the tax year were less nan S250 000 and -1 NOT APPLICABLE
" The value of the partnership s total assets at the end of the tax year was lass than S600 000 1. bi. El Yes L_ N 0 If "Yes ' do not complete Schedules L KI-1 and 10 2 NOT APPLICABLE
Sign He, . Urcer penalties of Perjury I declare Lhat I ha,e e,amIeO this Intur including accompanyirg scnedules and s ater,ells and to ~re past Of my M~Ieoge and omy if You belief it is vue correct and complete Declaraton of preparer lower than general parther or limi ed habdily companv member) is based on all information of Are Filing TtIa Farm ~Pn prezarar has any ~~Iedge Separately Your I., And "T"o RIeuirn ~~ Signature OIL general ;anneror I nued liaoil IvCOMCany~ernl)ef Dole
Paid Preoarer s Date
Check,' Prpparer s SSN of D-1 IN
signa ura self emolo,s~ > Preparer's FLIM s no ne (or
Use Only you's If Slif-amplo,,ed) I and address ~! .Pcode>
For P2perv;rork Reduccion Act Notice, see the separate instructions Form 8865 ( .2 9?; ISA S ~. Fectfoso' L
Form 8 3 6 5 Return of U .S Persons With Respect to Cll~lfo 15-5 668
Certain Foreign Partnerships (December 1999) jj~ Attach to your tax return See separate instructions ~Lutcru-Ieni Denanrient of int T easury Information furnished JOr LIS oreign pannershizis tax year Sequen-e No 118 inte,-,al Re~enue serce (see nstrjc~ons) beginning 01/01 Ci if and ending 12/31 ot:>t
(3) Identifying number 1 (4) Check
2 EIN (if any) 98-0200346
3 Coun :ry under whose laws organized
L9 3-jgjq ? 3 0 7 ~3a Constructive Ownership of Partnership Interest Check the ooxes hat apply to tne Tiler If you check box b, enter the name, address . and U S taxpayer identifying number (If any) of the person(s) whose interest you constructively own See instructions
a '~Q 0,ns a direct mteres, b 17 Owrs a constructive interest
2 Form 88a5-f . 2 991
FSchedule A
fdenufrng number (i; any) I foreign I direct
I
Iderinfying number (if any) I foreign Name I Address
E I IN Total orcinary Check i Name Address (if any) inconnecrioss foreign
la Gross receipts or sales a b Less returns and allowances
2 Cost of goods sold 3 Gross profit Subtract fine 2 from line Ic
E 0 4 Ordinary income (loss) from other partnerships, estates, and trusts (attach schedule) U 5 Net farm profit (loss) (attach Schedule F (Form 1040)) 6 Net gain (loss) from Form 4797, Part 11, line 18 7 Other income (loss) (attach schedule)
8
h17 18 1
L 19 9 120
or lines 9 throuah 20 F21
line 21 from line 8 122 Form 8865 (12 99,
S~, F=09051P 2
Name I Address
Schedule A-1 I Certain Partners of
Does the partnership have any other foreign person as a direct partner? (~Lj Yes Lj No Schedul2_L-_2j Affiliation Schedule List all partnerships (foreign or domestic) in which the foreign partnership owns a
direct interest or indirectly owns a 10% interest
Schedule 8 1 Income Statement - Trade or Business Income
8 Total Income (loss) Combine lines 3 through 7 9 Salaries and wages (other than to partners) (less employment cre( 10 Guaranteed payments to partners 11 -Kepars and maintenance 12 Bad debts 13 Rent 14 Taxes and licenses 15 Interest
z 16a Depreciation (if required, attach Form 4562) Id Less depreciation reported on Schedule A and elsewhere on return
17 Depletion (Do not deduct off and gas depletion 18 Retirement plans, etc
2 19 Employee benefit programs 20 Other deductions (attach schedule)
21 Total deductions Add the amounts shown in the far naht column
22 Ordinarv income (loss) from
SCHEDULE 0 Transfer of Property to a Foreign Partnership (Form 8865) (D.fs-oel 1959) (under section 6038B) C Etc 1545-IE58 oe'oweril C, "e T'aasu'v werral Re,eme Se~ce fi~ Attach to Form B865 See instructions for Form 8865
Name of transferor "E LJ
Identifying number C , 'q qJ,7 -T 7q 13 L-~- -Z -:t. 3 C)
Name of to~eign oannership
A14I IV-Q, LTD
Fp-a r-t ~[ Transfers Reportable Under Section 6038B
(a) (b) (c) Type of Date of Number of Fair market property transfer Items ~alue on date
I I transferred I of transfer
Suploemeniql Information Required To Be Reported (see instructions)
is any transfer reported on this schedule subject to gain recognition under section 904(f)(3) of section 904(f)(5)(F)? > I-] Yes
Schedule 0 (Form (12-99)
Gk s~ FEDs,53;
Cash
Marketable secunbes
Inventory
Tangible property used in trade or business
Inizingible propery
Other property
(d) It'
In (g) cost or other Sect,or, 704(e) Gain Percentage interest
basis allocation recognized or in partnersrup an& method I transler I transfer
ffEifl Oispositions Reportable Under Section 6038B NOT APPLICABLE la) (bj (c) ~h to
'Aar!d Dep, d!
ion Type of Date f Date f
er of Gain aeltmoat an 0 orooerty original discosluon cisoosition recognized to, recapture topanner recapture allocai-d
I transfer I pa mership recognized to oar-L"er
For Paperwork Reduction Act Notice, see the Instructions for Form 8865
118 Foynn 8865 Return of U .S . Persons With Respect to L11`16 NO 1%145 16C
Certain Foreign Partnerships li~ Attach to your tax return See separate instructions
ending I I E Departmorl of the Treasury Information furnished for the foreign parmersirip S tax year,,3 Attachment inter" fienenue Senace (see instructions) beginning 200P and 1 20 Sequence No 118
Important All information must be in Engli,;h AH amnrints must hp in tl.S dollartz unlessCthp wise indicated . _r
Identifying number
Tsl ~',13-6__;?C2F3&!7 of ~ilff (see Calbegones of Filers in re insauctions and Check applicable DO-lesil
2 [1 3 (D 4 E]
J , Jv - L*&7L,2 c 4-44-7-Ti Filer s address (if you are not filing miS form min your Lax refundf
U'S A
B Filter s tax year beginning 1 1 and ending 12 31 DO
* Filer s Share of liabilities Nonrecourse S 0 Qualified nonrecoutse financing S 0 Other S 0 * If filer is a member of a consolidated group but not the parent enter the following information about the parent
Name EiN Address
(3) Idenlifying number 1 (4) Check FF- 7Z. d1_1 7
2 EIN (if any) 98-0210487
3 Country under whose UNITED KINGDOM
business activity 1 8 Function
organized
acavay at currency and exchange rate (see insur code number
7/2S UNITED KINDGOM 52~900 OTHER FINANCIAL INVESTMENTS us $
2 Check if the foreign partnership must file 0 Form 1042 0 Form 8804 [] Form 1065 or 1065-B Service Center where Form 1065 Or 1065 8 is filed
NIA N/A
4 Name and address of persorts) with Custody of the books and records of the foreign partnership and the location of such books and records if different DOUGHTY HANSON & CO EUROPEAN' REAL ESTATE, L .P . TIMES PLACE 45
NIA
Paid Prepaner S Date
C~h, ockd Preparer S SSN V PTIN
Preparer's - signature 11, 1
, I employed lf~ El
Film s na e (or EIN W Use Only your$ 4 seif employed) I
address and ZIP code I Pho.e no
For Paperwork Reduction Act Notice See the separate instructions Cal No 25852A Form 8865 (2000)
Name of person filmill this rener i
on about certain other partners (see instructions)
(1) Name (2) Address
F1 Name and address of foreign partnership DOUGHTY HANSON & CO EUROPEAN REAL ESTATE, L .P . NUMBER I TIMBER PLACE
4 Date of organization 5 Principal
Provide [he following information for the foreign partnership b I Name address and identifying number of agent (if any) in the
United States
, W.(es) ___ 2 FUZ.1m her
3 Name and address of foreign partnerships agent in country of organization it any
5 Were any special allocations made by the foreign partnership? 0- El Yes U No 6 Number of foreign dtsregarded entities owned by the partnership (attach /,SO P. NONE
7 How is this partnership classilted under the law of the country in which a is organized? Pi ENGLI~H LIMITED PAIRTNERSFIP 8 Did trie partnership own any separate units within the meaning of Regulations section 1 1503 2(c)(3) or (4)1 0- El Yes 0 No 9 Does this partnership meet both Of the following requirements'
" The partnership s total receipts for the Lax year were less than $250 000 and " The value of the partnership 5 total assets at the end of the tax year was less than $600 000 P 0 Yes El No If -Yes do not complete Schedules L M-1 and M 2
Sig 'n
He`~ Under penalties Of perjury I aeciare that I have examined this return including accompanying Schedules and Statements and to the best of my Separate
n F"
y knowledge and belief it is true correct and complete Declaration of Pfelpare, (Other than general partner cir limited liability company member) is Your tax
Are
.1mg based on all information of which preparer has any knowledge
"-
F rm
n
Mo, W
d In
enum
11, Sjoinalure of cereal partner or limited liability company member Date
Form B865 (20001 --,) -3 16 ~~j C/ 3 o 9 Constructive Ownership of Partnership Interest Check the boxes that apply to the filer check box b, enter the name, address and U S taxpayer identifying number (if any) of the person(s) whose interest you constructively own See instructions
a U owns a direct interest b El Ot~ns a conSLrUCVVe interest I Chre.k,.'
Wnf- AddreSS Identifying number (if any) to ,g cil-M
Name Identifying number (if any) I foreign Address
la Gross receipts or sales ! I 1c, b Less returns and allowances 11 ~b
Cut 2 Cost of goods sold 2
E 3 Gross profit Subtract line 2 from line Ic 3 0 4 Ordinary income (105S) from other partnerships estates and trusts (attach schedule) 4 U -S 5 Net farm profit (loss) (attach Schedule F (Form 7040)) 5
6 Net gain (loss) from Form A 797 Part 11 line 18 6
7 Other income (loss) (attach schedule) 7
8 Total income (loss) Combire lines 3 through 7 a
9 Salaries and wages (other than to partners) (less employment credits) 9
lu uuaranteed payments to partners 10
6 11 Repairs and maintenance 11
12 Bad debts 12
13 Rent 13
14 Taxes and licenses 14
z. 15 interest 15
16a Depreciation (if required attach Form 4562) 116a I
b Less depreciation reported on ScheduleAand elsewhere on [eEufn [16bl 16c
17 Depletion (Do not deduct oil and gas depletion 17
a 18 Retirement plans etc 18 0
19 Employee benefit programs 19
20 Other deductions (attach schedule) 20
21 Total deductions Add the amounts shown in the far fight column for lines 9 through 20 21
22 Ordinary income (loss) from trade or business activities Subtract line 21 from line 8 Fnim SR135 Onto)
Page 2 you
hip have any other foreign pemon as a direct partner? LJ Yes L-1 No kiiai Affiliation Schedule List all partnerships (foreign or domestic) in which the foreign partnership
owns a direct interest or indirectly owns a 10% interest
Name Address EIN mo.1a%0r.d',n'a.r'y' I riche foreign (if any) .,,nr,,,h,
nu-1 income 5tatement-iraae or tsusiness income Include only trade or business income and expenses pit lines la through 22 below See the
01"13 NO 1,45 1663
20000
number
SCHEDULE 0 Transfer of Property to a Foreign Partnership (Form 8865)
(under section 603813) ciepil,umeni or me rm,w, mufmal Rmienue service 11- Attach to Form 8865 See instructions for Form 8865 Name 0 transtercir Identl
(e) 01 (9) (d) S~Uon 704(c) Gain Percentage inwest Cost or o(her r on basis allocation ecognaea in panneship after
I method transfer I transfer
Other properly
Is any transfer reported on this schedule subject to gain recognition under section 904(f)(3) or section 904(f)(5)(F)l li~ El Yes
Schedule 0 (Form 8865) Cat No 25909U -For Papemork Reduction Act Notice, see the Instructions for Form 8865
G)
Name Of foreign partnership DOUGHTY HANSON & CO EUROPEAN REAL ESTATE L .P
1= Transfers Reportable Under Section 6038B
Type of (a) (b) (c) property Date of Number of Fair market
uanslef items value on date transferred of transfer
I i . . . ~vpjiz~ Cash 1" .,4 TA I ~'-p 1w,
Marketable securities
inventory
Tangible property used in Lrade or business
Intangible property
Supplemental Information Required To Be Reported (see instructions)
Gain alicicatela Dep(ecialion Property original alspos'l,on diSPOSitiOn KogriLeci t,y to partner recapture allocated recognizeff
uanster partneiship I r- I I to partner
name of person WA his return IderE159 ~mb~
ZKJ d"', (it yov 3ru nor filing this form win yow tar lefurn) A Category of 'ilef (see Categories of FrJers in Me instructions and check applicattle bil
1 1 El 2 0 3 0 4 0
B Filer s tax year oeg,hh,hg / I
and ending 12- 3j - 4,/
E Information about certain other (4) Check applicable tiorfes)
Category I Category 2 Corsarticuvitifivoner
2 EIN (it any) 98-0234429
3 Country under whose laws organized
(2) Address 1 (3) Werlifying number
N/A
NdMe and address of foreign partnership Silver Lake Partners Cayman, L P CIO Walkers P 0 Box 265 Walk er House George Town Grand Cayman Grand Cayman
8 Functional currency and exchange rate (see insir I
ILI S
Principal ousire55 actijay code number
525990 Investment
information for thp G Provide the 2 Check if the foreign partnership must file Not required but being filed 0 Form 1042 0 Form 8804 X Form T065 of 1065 6 Ser,ce Center Where Form 1065 or 1065 B is Red
Philadelphia PA 19255-011
4 Name and address of person(s) with custody of the books and records of the foreign partnership and the location of such books and records if different
Silver Lake Technology Management 2725 Sand Hill Road Bldg C Suite 150 Menlo Park CA 94025
Name address and identifying number of agent (if any) in the United States
Walkers P 0 Box 265 GT Walker House Cayman Islands Grand Cayman
Paid L; ~;-,ru~rr,, ~ I
Oate
'C"i-f "loyed 1,
Perianer s SSN or PTIN
Preparer's Film s - ame (Of
EIN Use Only yours if sell employed)
I address and ZIP code Phone no
For Paperwork Reduction Act Notice see the separate instructions Cal NO 25852A For, 8865 i2ooo)
Form 8865 Return of U.S . Persons With Respect to Certain Foreign Partnerships
Ill Attach to your tax return See separate instructions 'Doo
me 7,rvn,,ir, information furnished for the foreign PafEnershiP 5 lax year Aclacimem hilhis. Revittrit,t Si,,nxe (see instructions) beginning /- ~ 2000 and ending / 2 -J P 20 Sequence No 1 1
Important All information must be in English All amounts Must be in U S dollars unless otherwise indicated
C Filer S share of habilities NonreCourse S 0 Qualified nonrecourse friancing S 0 Other S 0 D If filer is a member of a consolidated group but not th 2 parent enter the following information about the parent
No e EIN
Address
(1) Name
! of organiiiation
10/31100 Grand Caymal
pal bu5met,s activity
3 Name and address of foreign partnership s agent in country 0 : organization if any
5 Were any 5PCCial allocations made by the foreign Partnership? 11- 0 Yes Nt No 6 Number Of foreign disregarded entities owned by the partnership (attach leirl lli~ 0 7 How is this partnership classified UnGer the law Of the country in which It is organized' Ill Limited Partnership
9 Did the partnership own any separate units within (he meaning of Regulations section I 1 503 Z(CI(3) or (417 11- X Yes El No 9 Does this partnership meet both Of the following fequircmenB~
" The partnership 5 total receipts for the tax year were less than S250 000 and " The value of he partnership 5 total assets at the end Of the tax year Was IC55 than S600 000 Ill D Yes El No If Ye do not complete Schedules L M I and M 2 1
Sign Here I U=~epero Eeso,1hpe,,My I declall E~ai I have examined this return including accompanying schedules and satenents and to thi, Oest of my Only it You 'ge
an e, ,
is rife correct and Complete Declaration of preparer (other man general partner or limited Liability company member) is An, Filing based on oil information of w~hch preparer Pas any knoviledge This Form St,p .. . rely and Not With Yri Tax Rrt.,h ~ Siqnature of cleneral partner of hirrited liability company mPmber Date
.) P3i; ., 2 -z: - Constructive Ownership of Partnership Interest Check the boxes that apply to the filer If YOU check box b, enter the name address and U S taxpayer identifying number (if any) of the person(s) whose interest you constructively own See instructions a 2; Owns a direct in,ere5E h 0 Own, a con,;ruct .ve interest
C .'I~C"k~d Cneck f to Name Address Identifying number (if any) I d""ct
Identifying number (if any) I Io'e.9" Name Address
NIA
Fum 8865 2oooi
Foin, 8865 (2000)
Affiliation Schedule List ail partnerships (foreign or domestic) in which the foreign partnership owns a direct interest or indirectly owns a 10% interest
Address EIN Total ordinary Check it Name 10 ro'.")n
(if any) Income or ss I parLnef5hi i'AA
V'47=71117", Income Statement-Trade or Business Income Caution Include only trade or business income and expenses on Imes la throuQh 22 below See the instructions for more information
Ja Gross receipts or sales la I ~/X//' lo Less returns and allowances lb Ic
0 2 Cost of goods sold 2
E 3 Gross profit Subtract line 2 from line 1C 3 4 Ordinary income (loss) from other partnerships estates and trusts (attach schedulej 4
-S 5 Net farm profit (loss) (attach Schedule F (Form 1040)) 5 6 Net gain (loss) from Form 4797 Part 11 line 18 6 7 Other income (loss) (attach schedule) 7
8 Total income (loss) Combine lines 3 through 7 8 9 Salaries and wages (other than to partners) (loss employment credits) 9
10 10 Guaranteed payments to partners 11 Repairs and maintenance 11 1Z Bad debts 12
Y 13 Rent 13 14 Taxes and licenses 14 15 Interest is 16a Depreciation (if required attach Form 4562) 113a MR,
b Less depreciation reported on Schedule A and elsewhere on return 17 Depletion (Do not deduct oil and gas depletion 1 17
121 Total deductions Add the amounts shown in the far richE column for lines 9 throuqh 20 21
22 OrdinarY income (loss) from trade or business activities Subtfact line 21 from line 8 1 22
SC rriED~V 0 Transfer of Property to a Foreign Partnership ,3
(F ci ir~
86,,) (under section 6038B)
Depar"rm .1 li,e T,11sur internal Prienue Sen,ce Y Ii- Attach to Form 8865 See Instructions for Form 8865
cf 18 No I S 1~ 1 ~68
~r ~,aosfer P(~-Uj j7(~ C e
Name of foreign partnership Silver Lake Partners Cayman L P
Transfers Reportable Under Section 6038B
of I Type of 10, Number Fair marKet Property
Date .1 ferns value on date I
vansfer Val started of transfer
Identifying number
3 o-5,;
1O)o Sec I. 704(c) Gain
Percentage interest cost .1 tner j,o e) (f) (9) basis a Ocallo ecognized on I in pannerStirp after
I method I transfer transfer
I
I - -
Other property
illu-tivill is any transfer reported on this schedule subjLcl to gain recognition under section 904(f)(3) or section 904(fl(5)(F)l ll~ Cl Yes %,No
For Paperwork Reduction Act Notice see the Instructions for Form 8865 CaE No 25909U Schedule 0 (Form 8865) 2000
0
Cash
Marketable securities
Inventory
Tangible property used in trade or business
Intangible property
Supplemental information Required To Be Reported (see instructions)
oispositions Reportable Under Section 6038B N )A- (b) I.) (d) I .) In
Type of Date of Date of r 13'r, of Gain Gain altDC3ted Dep, ec~a'oao
property original disposition asposa,on r gn .zed by ocorrild to partner recapture allocated I I "Co I
tc..,
I transfer panner5nip ev roii-~in 10 partner
Check applicabie box(ft) (1) Name (2) Address 1 (3) Identifying number
F I Name and address of foreign partnership 2 EIN (if any) DOVER STREET IV L P 04-3456831 CEDAR HOUSE, 41 CEDAR AVFNJE 3 Country under whose laws Organized HAMILTON HM12, BERMUDA BERMUDA 4 Date of organization 5 Principal place of business 6 Principal business activity 7 Principal business activity 1 8 F
code number e=ognea mency and
I I Iractue (see instr
INVESTMENTS I US DOLLARS MARCH 15, 1999 JBERKUDA 1 523900 G Provide the following information for the foreign partivershilYs tax year 1 Name, address and identifying number of agent (if any) in the
United States 2 Check if the foreign partnership must file
E-I Form 1042 F]Form 880.4 E Form 1065 or I D65-B Service Center where Form 1065 or 1065-8 is Nad
PHILADELPHIA Name and address of foreign partnersho's agent in country of organization. if any
4 Name and address at personjs) with custody at file books am records of the foreign partnership and the location of such books and records if different
RARBOURVEST PARTNERS, LLC ONE FINANCIAL CENTER, 44TH FLOOR BOSTON, MA 02111
Thin Farm Separately and Not With Your Tax Signature of general partner orlimned lialiddycompany member Date Return Paid Check it Preparees SSN or PTIN
Preparer's P reparers
self signature -employed 11- F-1 f
"n" 5 in
N no Use Only , YZd .r- !P~h
For Paperwork Reduction Act Notice, see the separate instructions Fom,8865 (2001) JSA
Form8865 Return of U .S . Persons With Respect to OMB No 1545-16f
Certain Foreign Partnerships ll Attach to your tax return See separalts Instructions 2001
Department of ilie Treasury Information furnished!o/, ~he lore" n.parlnershp's tax year Attachment intarruil Rownue S~ (see instructions) beginning
I , 2 0 1, a
nd ending 20DI Sequence No 11 Z
important: All information must be in English All amounts must be in U S dollars unless otherwise indicated
Name of perso ng UM
in
Fnees IdentlifyIng number
Q ,T, F!-, Nj-/~ R 3 , 1!~,-)Lq L2 Filers address (it YOU am not filing this forrit With your tax return) A Category offfier(settCragonalf OfFilers, in the instrucbons ardichoCk &Pjphcablebo,~@sj)
I I M 2 F-] 3 F-X 1 4 F-]
IS Filer's tax yew beginning and ending
C Filer's share of liabilities Nonrecourse $ Qualified nonrecourse financing $ Other $ D If filer is a member of a consolidated group but not the parent, enter the followinginformation about the parent
Name EIN Address
E Information about certain other partners (see instructions)
5 Were any special allocations made by the foreign partnership? . . . . Ill. LJ Yes L~J No 6 Number of foreign disregarded entities owned by the partnership (attach list) 1, 1 - - - - - - - - - - - - - -
7 How is this partnership classified under the law of the country in which it is organized? LIMITED PARTNERSHIP - ---------------------8 Did the partnership own any separate units within the meaning of Regulations section 1 1503-2(c)(3) or (4)? 0- Yes No
9 Does this partnership meet both of the following requirements? " The parlnershp~S total receipts for the tax year were less than S250,000 and " The value of the partnership's total assets at the end of the tax year was less than $600,000 11 Yes No If 'Yes," do not complete Schedules L, M-1, and M-2
Sign Hem Under penalties of perjury I declare that I haw examined this return including accompany schedules and statements and to the best of my Only If You knovAedge and belief it is true correct and complete Declambon of preparer (other than general partner or limited liability company member) is Am Filing based on all information of which preparer has any knormledge
03 -4;? ~F9 30,9 Page 2 Constructive Ownership of Partnership Interest Check the boxes that appi to the filer If you check box b, enter the name, address, and U S taxpayer identifying number 6f any) of the person(s) whose interest you constructively own See instructions
rV1 a " Owns a direct interest to Owns a Constructive interest
Name I Address Identifying number (if any) Cf=gnf I Udhlerecctlf
FoM 8865 (2001)
I I No partnership
owns a direct interest or indi rectly owns a
Address Name
SEE ATTACHED SCHEDULE
ow'"W"; Income Statement - Trade or Business Income caution- include only trade or business income and expenses on lines la through 22 below S
1 a Gross receipts or Sales . la Id Less returns and allowances lb
2 Cost of goods sold 3 E Gross profit Subtract line 2 from line 1c 4 Ordinary income (loss) from other partnerships, estates, and trusts (attach schedule)
-S 5 Net farm profit (loss) (attach Schedule F (Form 1040)) 6 Net gain (loss) from Form 4797, Part 11, line 18 7 Other income (loss) (attach schedule)
instructions for more
Ic
8 9 Salaries and wages (other than to partners) (less employment credits) 10 Guaranteed payments to partrers E I I Repairs and maintenance 12 Bad debts 13 Rent 14 Taxes and licenses 15 Interest 16 a Depreciation (if required, attach Form 4562)
Id Less depreciation reported on Schedule A and else"em on netum 111 %bl 1 17 Depletion (Do not deduct oil and gas depletion
a Retirement plans, etc 2 19 Employee benefit programs
20 Other deductions (attach schedule)
21 Total deductions Add the amounts shown in the far richt column foil
12
22 Forni3365 (2ocl)
JSA
1col I 1 3004)
Name I Address I Identifying number (if my)
Does the partnership have any other foreign person as a direct or domestic) in which the
BN Total ordinary (if any) income or loss
SCHEDULE 0 (Form 8866) Department of the Treasury Internal R~ue Sernoe
Transfer of Property to a Foreign Partnership (under section 6038B)
ll~ Attach to Form 886S See Instructions for Form 8865 2001 of mimsfie.
' Pi 1 pgc-7 '-'J number dq.q --7 0 Z 65- -7-X J
Name of foreign Partnenihip
t,DvFR- Transfers Reportable Under Section 6038B
T 1c) Type of (a) Number of Fair marks lodir) other S (c) Percent :'g')e interest Date of ection 704 property value on date Cost 'in ParIn
transfer basis allocation recognized on rship after tra of transfer method transfer transfer
000
Other property
Dispositions Reportable Under Section 6038B
(a) (b) (c) Date of (d) Gain
Type of Date of Manner of property original disposition disposition recognized by
transfer Partnership
(9) (h) Gain allocated Depreciation
to partner recapture allocated to partner
JSA
I C01 20 3
No
Cash VAX3~005 = I'J 7 CN:i.
Marketable securities
Inventory
Tangible property used in trade or business
Intangible property
Supplemental Information Required To Be Reported (see instructions)
J
111.11111OU Is any transfer reported on this schedule subject to gain recognition under section 904(f)(3) or -] Yes section 9134(f)(5)fl? p. F F'~ No
For Paperwork Reduction Act Notice, see the Instructions for Form 8865 Schedule 0 (Form 8865) 2001
Name Address EIN
I Techno VIII Investors LLC c/o HarbourVest Partners, LLC 04-3508630 One Financial Center, 44th Floor Boston, MA 021 11
DOVER STREET IV L.P. EIN : 04-3456831
FORM 8865 Number 6 ATTACHMENT
FORM 8865 SCHEDULE A-2 ATTACHMENT
Total Oridinary Check if
Name Address EIN Income/ Foreign Loss Partnership
2882 Sand Hill Road, Suite 100 1 Aitos Ventures 11, LP Menlo Park, CA 94025 94-3338590 N/A
7979 Ivanhoe Ave , Suite 500 2 Enterprise Partners IV Associates L P Newport Beach, CA 92660 33-0761557 N/A
c/o The Blackstone Group, 345 Blackstone Offshore Capital Partners III Park Avenue, 14th Floor N/A
3 L P New York, NY 101 54 13-3958252 x c/o The Blackstone Group, 345
Blackstone CCC Offshore Capital Partners Park Avenue, 14th Floor 4 L P New York, NY 10 54 13-4034417 N/A x
c/c, The Blackstone Group, 345 Blackstone FI Offshore Capital Partners Park Avenue, 14th Floor
5 (Cayman) L P New York, NY 101 54 13-4116628 $ (3 .695) x c/o The Blackstone Group, 345
Blackstone IPCS Offshore Capital Park Avenue, 14th Floor 6 Partners L P New York, NY 10- 1 54 13-4126775 N/A x
c/o The Blackstone Group, 345 Blackstone UTP Offshore Capital Park Avenue, 14th Floor
7 Partners L P New York, NY 10 54 1341126903 N/A x c/o The Blackstone Group, 345
Blackstone BC Offshore Capital Partners Park Avenue, 14th Floor 8 LP I New York, NY 101 54 13-4041664 1 $ (9,379)1 x
DOVER STREET IV L P . EIN : 04-3456831
FORM 8865 SCHEDULE A-2 ATTACHMENT
Total Ondinary Check if
Name Address EIN Income/ Foreign Loss Partnership
c/o The Blackstone Group, 345 Blackstone UC Offshore Capital Park Avenue, 14th Floor, New
9 Partners LP York, NY 10154 13-4095437 $(46,189) x c/o Lehman Brothers Merchant Banking Partners, Inc , 3 World
Lehman Brothers Offshore Financial Center, 18th Floor, 10 Investment Partners 11, L P New York, NY 10285 N/A N/A x
Brettenham House 5 Lancaster Place Applied For N/A x
11 Industri Kapitall997 LP London, UK WC2E 7EN Edelson Technology Partners IV, 300 Tice Blvd, Woodcliff Lake,
12 L P NJ 07675 22-3502346 N/A 201 San Antonio Circle, #235
13 Camnan Fund, LLC Mountain View, CA 94040 91-20691010 N/A_ 272 East Deer path, Suite 300
14 Goense Bounds & Partners B, L P Lake Forest, IL 60045 36-4375428 N/A 23, rue Royale
15 Innovacom 4 FCRP Paris, France 75008 N/A N/A x Mobius (formerly SOFTBANK) Technology Venture Advisors Fund VI 200 W Evelyn St Suite 200,
16 L P Mountain View, CA 94041 77-0545804 N/A
DOVER STREET IV L.P. EIN: 04-3456831
FORM 8865 SCHEDULE A-2 ATTACHMENT
Total Ondinary Check if
Name Address EIN Income/ Foreign Loss Partnership
One Gorham Island 17 Oak IX Affiliates Fund, L P Westport, CT 06880 06-1571899 $ (491
300 Sand Hill Road Bldg 2, Suite 290
18 Redpoint Technology Partners Q-1, L P Menlo Park, CA 94025 94-3348544 N/A
103 Foulk Road, Suite 202 19 TL Ventures IV Interfund L P Wilmington, DE 19803 51-0391210 N/A
103 Foulk Road, Suite 202 20 TL Ventures V Interfund L P Wilmington, DE 19803 23-3064638 N/A
103 Foulk Road, Suite 202 21 TL Ventures V L P Wilmington, DE 19 03 23-3051374 N/A
U S Venture Partners Entrepreneur 2735 Sand Hill Road 22 Partners VIIA L P Menlo Park . CA 94025 94-3360544 N/A
435 Tasso Street, Suite 120 23 WorldView Strategic Partners 111, L P -.Palo Alto CA 94301 77-0529666 N/A
One MeZrial Drive ,24 YankeeTek Incubator Fund, L P _ Cambridge, MA 0 142 04-3510776 N/A_
DOVER STREET IV L.P . EIN: 04-3456831
E
(2) Address 1 (3) Identifying number (1) Name 2 Kangranna oi,ner
5 Were any special allocations made by the foreign partnership? 11- Yes El No 6 Number of foreign disregarded entities owned by the partnership (attach 1154 le. ._jqQ!fE __ . 7 How is this partnership classified under the law of the country in which it is organized7 _CAYMAN
' I
' S~~.FAFMPT~D L .P .
8 Did the partnership own any separate units within the meaning of Regulauons section 1 1503-2(c)(3) or (4)7 0- 0 Yes D No 9 Does this partnership meet both of the following requirements'
" The partnership 5 total receipts for the tax year were less than $250,000 and " The value of the partnership S total assets at the end of the tax year was less than $600 000 11- C3 Yes 11 No If 'Yes: do not complete Schedules L M 1 and M-2 I
Sign Hee Under penalties of pwjury I declare that I have examined this return including accompanying m:heftles and statements and to the beg of my Only If You knowledge and behef it is true correct, and complete DecLarawn of preparer (othw than general partner or limited liability Company member) is Are Filing based on all information of which preparv has any knowledge This Form Sepwately and Not With Ycear Tax Retunr, ~ Sigruiture of genwal partner or limited liability company mernlow Date
EIN li~ Phoneno
Form 8865 (2000) Cat No 25852A For Paperwork Reduction Act Notice, see the separate instructions
Form 8865 Return of U .S . Persons With Respect to CIAB No 1545 1668
Certain Foreign Partnerships 11~ Attach to your tax return See separate instructions 2001
Dep&mnem of ire Treasury Information furnished for the foreign partnerships Lax year 01 Attachment irEarruil Rmenue Semce (see instructions) beginning /- I 1 2004, and ending 20 Sequence No 118
important All Information must be in Efinlish A// arrioUnts must bp in U S dollars unless otherwise indicated
riy~, Ciq C)/L:777g/31-6-
Idenufying mumber
3 :3 - 6 -)- 59 3n2 Filei's addre5s (d you am not filing Lhis form wth your tax return) A Category of UK (see Categories of Filers in the instructions and cnmk applicable box(es))
I C] 2 [] 3 og 4 C]
B Filer's tax year beginning I I and ending 12 31, OP
C Filer S share of liabilines Nonrecourse S -0- Qualified nonrecourse financing S -0- C)Lha S -0-
D If filer is a member of a consolidated group but not the parent, enter the following information about the parent Name EIN Address
F1 Name and address of foreign partnership 2 EIN (if any) BLACKSTONE FI CAPITAL PARTNERS (CAYMAN), L.P . 13-4116626 345 PARK AVENUE 3 Country under whose laws organized NEW YORK, NY 10154
CAYMAN ISLANDS 4 Date of organization 5 Principal place of business 6 Principal business activity 7 Pnncipal business activity 1 8 Functional currency and
code number exchange rate (see instr 5/1/2000 CAYI 523900 INVESTMENTS U .S .
G Provide the following information for the foreign partnership S tax ye 1 Name, address, and identifying number of agent [if any) in the 2 Check if the foreign partnership must file
United States 0 Form 1042 El Form 8804 El Form 1065 or 1065-B WALKER, WALKER HOUSE Senrice Center where Form 1065 a 1065 B is filed MARY STREET, GEORGETOWN, P.O. BOX 2656T GRANT CAYMAN, CAYMAN ISLAND
3 Name and address of foreign parLnffship s agent in country of 4 Name and address of pefson(s) with custody of the books and organization if any records of the foreign partnership and the location of such books
and records if different
NONE BLACKSTONE MANAGEMENT ASSOCIATES (CAYMAN) III L .P . j/ BkA 4? MK
VJMJNE GROUP ~ vnov 1,1V 1A719,,
Pie w 5 Paid e
Preparer's ~~harne Fa Use Only self em
Check if Preparff s SSN or PTIN self employed ~ Cl I
d, 3-6,3i-9173e~ Constructive Ownership of Partnership Interest. Check the boxes that apr check box b, enter the name, address, and U S taxpayer identifying number person(s) whose interest you constructively own See instructions
a E~(Owns a direct interest b El Owns a constructive
Page 2 ~o the filer If you any) of the
Foun 8865 (2000)
interest Chi
dentiMna number (if anvl to(
son as a direct part all partnerships (fi rickrectly owns a I
Address
owns a direct interest or EIN Total ordinary F any) income or loss Name
d
or business income and g!2vnses on knes 7a through 22 below See the m5truCtWnS fOr in0fe ln/~MatlOn
22 Ordinary income Ooss) from trade or business activities Subtract line 21 from line 8 1 22 Form 8865 (2000)
Name
Name
have anv other
Adrlr~~,
Address Identifying number (if any)
n or domestic) in which the interest
direct
la Gross receipts or sales 2
1 V/// lo Less returns and allowances 11b ic
(D 2 Cost of goods sold 2
E 3 Gross profit Subtract line 2 from line 1c 3
S 4 Ordinary income (loss) from other partnerships, estates, and trusts (attach schedule) 4 5 Net farm profit (loss) (attach Schedule F (Form 7040)) 5 6 Net gain (loss) from Form 4797, Part 11, line 18 6 7 Other income (loss) lattach schedule) 7
8 Total income (loss) Combine lines 3 through 7 a 9 Salaries and wages (other than to partners) (less employment credits) 9
10 Guaranteed payments to partners ic 11 Repairs and maintenance 11 12 Bad debts 12 13 Rent 13
9 14 Taxes and licenses 14 15 Interest is 16a Depreciation (if required, attach Form 4562) b Less depreciation reported on Schedule A and elsewhere on return 111!2bi iF- 16(
17 Depletion (Do not deduct oil and gas depletion 17 18 Retirement plans, etc 18 19 Employee benefit programs 19 20 Other deductions (attach schedule) 20
21 Total deductions Add the amounts shown in the far right column for lines 9 throuqh 20 21
OMB No 1545-1668
2000
5; 309
Transfer of Property to a Foreign Partnership (under section 6038B)
I~ Attach to Form 8865 See Instructions for Form 8865
SCHEDULE 0 (Form 8865) Department of Me TMSLay Imar .1 ~ Sewe Name of Vansfffq~,
" 7-5 Name of foreign partnership
BLACKSTONE FI CAPITAL PARTNERS (CAYMAN) L.P.
I= Transfers Reportable Under Section 6038B
Type Of (a) (b) (C) (d) (a) property Date of Number of Fair marke
~e Cost or
other Secton 704(c) Gain Percentage interest items alue on da allocation ecognized on in parLneoship after transfer transferred I - of uansfer basis method transfer I transfer
Supplemental Information Required To Be Reported (see instructions)
[M Dispositions Reportable Under Section 6038B
(a) (b) (C) (ED Type of Date of Dale of Manner of
G'a,)n property original disposition disposition
'.ogr'~ed by
transfer I I partnership
11, (g) Deoretiaom Gain allocated imipme 'K.Mm to partner
(h) DeprKration
reCaPLure 3110Cate0 to partner
LiLL111.1W Is any transfer reported on this schedule subject to gain recognition under section 904(f)(3) or section 904(l)(5)(17)? li~ El Yes No
For Papenitrork Reduction Act Notice, see the Instructions for Form 8865 Cat No. 25909U SchedWe 0 (Form 8865) 2000
G)
Cash VARIOUS
Marketable securities
Inventory
Tangible property used in trade or business
Intangible property
Other property
LESS THAN 1%
turn 7_OC J.)_q] Identifying number
-;310 '? 7~7&"~M cnAa z-r,..xd t,,F- d 3 -,6,? 107, Fier 5 address (d you are nor Fdrig M Wrin MUT your M reWmJ A category of fider (see Categornis of I'derv In Cre instur:10as and check applicable box(esi)
I i F~ 2 F-1 3 My 4 F-1 B Filer s tax yea beginning 1 1 , and ending 12 31 1 OF
G Prowde the followin Name, address, and identifying number of agent (if any) in the United States WALKER, WALKER HOUSE MARY STREET, GEORGETOWN, P .O . BOX 2656T
2 Check if the foreign partnership must rile 0 Form 1042 El Form 8804 [- Form 1065 or 1065-B Service Center where Form 1065 or 1065 B is filed
4 Name and address oi persons) with custody or Me DOOKs ano records of the foreign partnership and the location of Such books and re ords if different BrACETMAAAGEMENT ASSOCIATES (CAYMAN) III L.P . C/O THE BLACKSTONE GROUP 3& PARK AVOUE N YORK, 10154
NONE
and Nor With Your Tax Retumi ~ Signature of general partner or limited liability Company membe,
Paid Preparer 5 Date Check .1
Preparer s SSN or PTIN
Preparer's - signature ~ I self employed ~ 0 Firm s name (or EIN li~
Use Only yours if self employed) address and ZIP code Phone no
For Paperwork Reduction Act Notice, see the separate instructions Cat NO 25852A Form 8865 (2000)
Form 8865 Return of U .S . Persons With Respect to OMB No 1545-IGE
Certain Foreign Partnerships lio Attach to your tax return See separate instructions 2000
Deporunwt of ft Treasury Information furnished f0i;ithe foreig Ua ership's tax year Attachment riteniai Re,enue Service (see instructions) beginning 2~ :d ending 11 2001 Sequence No 118
Important: All information must be in Eqqlfsh All amounts must be in U S dollars unless otherwise indicated
C Filer s share of liabilities Nonrecourse S -0- Qualified nonrecourse financing S -0- Othw $ -0-D If filer is a member of a consolidated group but not the parent. enter the followin nformation about the parent
Name VEIN Address
E Information about certain other _ J~k ~_
(1) Name 12) Address (3) Idenufying number ;(~4O)WC~ pipligc.atyle2box(es)
Cat
Cate cornuttam Wff
BLACKSTONE F12CAP1TAL PARTNERS (CAYMAN), L .P . 13-4130013 345 PARK AVENUE 3 Country under whose laws organized NEW YORK, NY 10154
CAYMAN ISLANDS Date of organization 5 Principal place of business 6 Principal business activity 7 Principal business activity 8 Functional currency and
code number exchange rate (see insur I 5/1/2000 CAYMAN ISLANDS 1 523900 1INVESTRENT I U.S .
3 Name and address of foreign partnerships agent in country of organization if any
5 Were any special allocations made by the foreign partnership~ ii- El Yes K] No 6 Number of foreign disregarded entities owned by the partnership (attach hS11 Ill. WIF . . . - . 7 How is this partnership classified under the law of the country in which it is organized? ii~ W". K*LW5- ZU.MPTED - I,,?-8 Did the partnership own any separate units Within the meaning of Regulations section I 1503-2(c)(3) or (4)? 0- 0 Yes El No 9 Does this partnership meet both of the following requirements?
" The partnership S total receipts for the tax year were less than $250 000 and " The value of the partnership's total assets at the end of the tax year was less than $600,000 11~ C1 Yes El No If "Yes ' do not complete Schedules L M-1 and M-2 I
Sign Here Under penalties of perjury I declare that I have examined this return including accompanying whedules and statements and to the best of my Only If You knowledge and behef it is true correct and complete Declaration or preparer (other than general panner or limited [,ability company member) is Are Filing based on all information of which preparer has any knowledge This Form I
8 Total income (loss) Combine lines 3 through 7 a 9 Salaries and wages (other than to partners) (less employment credits) 9
4! 10 Guaranteed payments to partners 10 11 Repairs and maintenance 11 12 Bad debts 12 13 Rent 13 14 Taxes and licenses 14 15 Interest 15 16a Depreciation (if required, attach Form 4562)
16t b Less depreciation reported on Schedule A and elsewhere on return ji6b 17 Depletion (Do not deduct oil and gas depletion 17
C 18 Retirement plans, etc 18 0 I= 19 Employee benefit programs U
20 Other deductions (attach schedule) 20
C2 21 Total deductions Add the amounts shown in the far nQht column for lines 9 Lhrouah 20 21
line 21 from line 8 1 22 income Ooss) from trade Farm 8865 (~ow)
Fam 8865 (2000) 0 3- 6,~? W,~b f Page 2 Constructive Ownership of Partnership Interest Check the boxes that apply to the filer If you check box b, enter the name, address, and U S taxpayer identifying number (if any) of the person(s) whose interest you constructively own See instructions ax Owns a direct interest la 1:1 Owns a constructive interest
Name AdHr~ ~ Check if Check if
s N'nn n. .mhw fit Am) foreian direct Pers6n Partner
MMMMT-M Certain Partners of Foreign Partnership (see instructions) Check
Name I Address I IdenUfying number (if any) f. 'gn
fiiiiiiiffihp have any other foreign person as a direct partner? El Yes Ta-rtj Affiliation Schedule List all partnerships (foreign or domestic) in which the foreign
owns a direct interest or indirectly owns a 10% interest
Name Address EIN Total ordinary (if any) income or loss
income Statement-Trade or Business Income Caution Include only trade or business income and expenses on lines 7a throuqh 22 below See the instructions for more r,
la Gross receipts or sales b Less returns and allowances ib
CD 2 Cost of goods sold E 3 Gross profit Subtract line 2 from line Ic 0 L) 4 Ordinary income (loss) from other partnerships, estates, and trusts (attach schedule)
5 Net farm proflt (loss) (attach Schedule F (Form 7040)) 6 Net gain (loss) from Form 4797, Part 11, line 18 7 Other income (loss) (attach schedule)
Transfer of Property to a Foreign Partnership (under section 6038B)
Attach to Form 8865 See Instructions for Form 8865
SCHEDULE 0 (Form 8865)
tielianment or me Treasury InternaL Rnmue Se~ce
Name of Vansle;lor
OMB No 1545 1668
200 1 g number
) -36 - K, -q9 T& c Aaez- -r.443 L E -rX 0,57 Name of foreign partnership
BLACK STONE F12 CAPITAL PARTNERS (CAYMAN) L .P .
Transfers Reportable Under Section 6038B
Of (a) (b) W (d) (g) Type Date of Numbier of Fair market Cost w other Sect . 704(c) Gain Pwcenuge interest prop" tems itre on date allocation ecognued on in pannersrnp after transfer tran'Sferred "'of transfer basis method transfer transfer
0
Other property
Supplemental Information Required To Be Reported (see instructions)
-0 (e)
Gain
Dispositions Reportable Under Section 6038B
(b) (c) (Cc Type of Date of Date of Manner of property original disposition disposition
transfer
(g) (n) Gan alloWed Depreciation
to partner recapture allocated I to partner
ULL= is any transfer reported on this schedule subject to gain recognition under section 904(f)(3) or 5ection 904(fl(5)(F)? Ill El Yes V~,No
For Papemork Reduction Act Notice, see the Instnuctions for Form 8865 Cal. No 25909U Schedule 0 (Form 8865) 2000
Cash I
Marketable securities
Inventory
Tangible property used in trade or business
Intangible property
LESS THAN 1%
E Information about certain other Check ~-,F 00,111'
V C/O JOHN B . GORSIRAWEG 14 WILLEMSTAD, CURACAO NETHERLANDS, ANTILLES Date of organization 15 Pruncip activity a i-tinctionai currency and
exchange rate (see instr
I US DOLLAR code number
INVESTMENTS 9/15/00 1 NETHERLANDS, ANTILLES1 523900 G Provide the following information for the foreign partnership's tax year
1 Name, address, and Identifying number of agent (if any) in the 2 Check if the foreign partnership must file United States El Form 1042 D Form 8804 2 Form 1065 or 1065-13
NOT APPLICABLE Service Center where Form 1065 or 1065-B is filed
PHILADELPHIA, PA 19255-0011 3 Name and address of foreign partnership s agent in country of 4 Name and address of person(s) with custody of the books and
organization if any records of the foreign partnership and the location of such books and records, if different
NOT APPLICABLE DLJ MERCHANT BANKING 111, L .P . ELEVEN MADISON AVENUE, 13TH FLOOR NEW YORK, NY 10010 UNITED STATES
5 Were any special allocations made by the foreign partnership? P~ C:1 Yes 93 No 6 Number of foreign disregarded entities owned by the partnership (attach hst) 7 How is this partnership classified under the law of the country in which it is organized? pi~ LtIMITED PARTNERSHIP
- -- ----- -- ------- ----- -- -- 8 Did the partnership own any separate units within the meaning of Regulations section I 1503-2(c)(3) or (4)? 0- [-] Yes 9 No 9 Does this partnership meet both of the following requirements?
" The partnerships total receipts for the tax year were less than $250,000 and " The value of the partnership s total assets at the end of the tax year was less than $600 000 0- C3 Yes FA No If -Yes - do not complete Schedules L. M-11, and M-2
Sign Here Under penalues of perjury I declare that I have examined this return including accomparrying schedules and statements and to the best of my Only If You knowedge and bef.ef a is true correct, and complete Det:laration of preparer (other than general partner a limited liability company member) is Are Filing based on all information or wh]Ch preparer has any knowledge This Fa . Separately and Not With Yo~ Taa Retum signature of general partner or limited liability company member Date
er's SS aid Preparre s Date Check if N a PTIN
P Prep
sigm self arer's
'we ~ I employed ll~ Firm s name (or ~IN Use Only yours if self employed)
P~w " address and ZIP code e no
For Papervinork Reducuon Act Notice, ~ the separate instructions CaL No 25852A Form 8865 (2001)
Form 8865 Return of U .S . Persons With Respect to OMB No 1545-1668
Certain Foreign Partnerships 10- Attach to your tax return See separate instructions 2001
DepammeM of me Treasq Information furnished for the foreign partnership s tax Y;a~ 20 0 Attachment Imemal R~ Ser~e (see instructions) beginning /' / 1 2001, and ending ( Sequence No 118
Important. All information must be in English All amounts must be in U S dollars unless otherwise indicated
Filer's iumufying number
Te us""X" rnt/~ . clltw C- G 7-,-< / D, 3 - 6 25 5? 3 (3 Filer's address fit you are not riling ftS form wM y= W reuxri) A Category Of lider isee Categories of Film in Lhe muucuons and chei:k applicable box(es))
I ( :] 2 ED 3 Ej 4 Ej B Filer s Lax year beginning . . . 1-1 . . . . 20 .111 and ending 20 .Ql- .
C Filer s share of liabilities Nonrecourse S NONE Qualified nonrecourse financing S NONE Other S NONE D If filer is a member of a consolidated group but not the parent enter the followin information about the parent
Name EIN Address
(1) Name (2) Address (3) Identifying numbw
activity
98-0231603 3 Country under whose laws organized NETHMIANDS, ANTILLES
Form 8865 (2001)
check box b, enter the name, address, and U S taxpayer identifying number (if any) of the person(s) whose interest you constructively own See instructions a Q Owns a direct interest b M owns a constructive interest
Address I Identifying number (if any) Name
Name Address
NOT APPLICABLE - PARTNER OWNED LESS ''HAN 10% AND TRANSFERRED SOLEY
6&1h artnershp havaegnny bthher foreign person as a direct partner? 'Cr4l
IF C edule List all partnerships (foreign or do AF
owns a direct interest or indirectly owns a 10% interest
Name I
Address
DIJMB OVERSEAS PARTNERS III . C.V . DdES NOT OWN A DIRECT OF INDIRECI
partnership in which the
EIN Total ordinary (if any) income or loss
10% INTEREST IN ANY
Caution Include only trade or business income and exoenses on lines la throuqh 22 below See the instructions for more information
8 Total income Coss) Combine lines 3 through 7 9 Salaries and wages (other than to partners) (less employment credits)
10 Guaranteed payments to partners 11 Repairs and maintenance 12 Bad debts 13 Rent 14 Taxes and licenses 15 Interest 16a Depreciation (if required, attach Form 4562) 1 16a b Less depreciation reported on Schedule A and elsewhere on return [1:6:b:
17 Depletion (Do not deduct oil and gas depletion) r 18 Retirement plans, etc 0 'Z 19 Employee benefit programs U V z 20 Other deductions (attach schedule) 4) 0 21 Total deductions Add the amounts shown in the far nqht column for lines 9 thr
22 Ordinary income floss) from trade or business activities Subtract line 21 from line 8 1 22 Form 8865 (2001)
- 60~~C~36 ~ page 2 xes that apply to the filer If you
Identifying number (if any)
direct
foreign
la Gross receipts or sales Z b Less returns and allowances 1b
a) 2 Cost of goods sold E 3 Gross profit Subtract line 2 from line 1c: 0 4 Ordinary income (loss) from other partnerships, estates, and trusts (attach schedule) U
5 Net farm profit (loss) (attach Schedule F (Form 7040)) 6 Net gain (loss) from Form 4797, Part 11, line 18 7 Other income (loss) (attach schedule)
Transfer of Property to a Foreign Partnership (under section 6038B)
11- Attach to Form 8865 See Instructions for Form 8865
SCHEDULE 0 (Form 8865) Depannient of Me Tre" Internal Revenije S~m
OMB No 1545-1668
2001
03 7--5 1;1
(d) (e) Cost or otheT Set:bon 704(C) Gain
basis allocation recoignured on method transW
Other property
Dispositions Reportable Under Section 6038B NOT APPLICABLE
I 1b) I V (2
(e) Type of Date of Date of Man or of Gain property onginal disposition disposition recognized by
transfer I I partnership I ~
(9) Gain allocated
to partn~
IN Depreciawn
recripture allocated to parui~
liglilliKU Is any transfer reported on this schedule subject to gain recognition under section 904(0(3) or section 904(0(5)(F)? ii~ El Yes 93 No
For Papemork Reduction Act Notice. see the Instructions for Form 8865 Cat No 25909U Schedula 0 (Form 8865) 2001
G)
;T"FEu-) qW, C Y4-,eT-T4J Lc-Name of foreign pa=ffsh,p D10KED OVERSEAS P.*"-.l= III, C .V .
J= Transfers Reportable Under Section 6038B
Type of (a) (b) W property Date of Number of Far market
transfer it ms value on date Uanesfr:ed of transfer
Cash VARIOUS IN inni 1,- /0-) 141;7
Marketable securities
Inventory
Tangible property used in trade or business
Intangible property
Supplemental Information Required To Be Reported (see instructions)
0
(9) Percentage interest in partnership after
liansfer ~-SS 77R~A
Form 8865 Return of U .S . Persons With Respect to OMB No 1545 1668
Certain Foreign Partnerships hl~ Attach to your tax return See separate instructions 2001
DeflaninerE of the Treawry information furnished for the foreign partnership's tax year Attachment imei Revenue Service (see instructions) beginning 1 2001 and ending 20 Sequence No 118
Important All information must be in English All amounts must be in U S dollars unless otherwise indicated _Laime of per Fit ng this return Filer's identifyin
"ll I I g .j r it- L-Ji C H /4 07
Filer s addre~ (it you are not filing this form win your tax relum) A category of riler (5ee Categories of Filers in file instructions and check applicable boxies)) 1 [-] 2 E) 3 n 4 E]
B Filer s tax year beginning - ------- 20 and ending .. . ----- - 20--
C Filer s share of liabilities Nonrecourse $ Qualified nonrecourse financing $ Other S D It Filer is a member of a consolidated group but not the parent, enter the followng information about the Parent
Name E- IN
Address
E Information about certain other partners (see instructions)
(1) Name (2) Address (3) Identifying number _14) C~ Lp,-bl !-
box(es) I i Cat
.,I .,V 1~1 cpamor, 2 loxistructme oi,rrer
F1 Name and address of foreign partnership
3 Country under whose laws organized CAYMAN 1SLANDS
Principal business activity 7 Principal business activity 8 Functional currency and code number exchange rate (see insLr
523900 INVESTMENTS USD hip s tax year in the 2 Check if the foreign partnership must file
D Form 1042 El Form 8804 0 Form 1065 or 1065-B Serince Center where Form 1065 or 1065-B is filed
4 Date of organization 15 Principal
3/7/2000 1 CAYMAN ISLANDS Provide the following information for the foreign Name address, and identifying number of agent United States FASTPOINTE MANAGEMENT, LLC 330 OLD COUNTRY ROAD, SUITE 204 MINEOLA, NY 11501
G
4 Name and address of person(s) with custody of the books and records of the foreign partnership and the location of such books and records, if different
NONE NONE
Separately and Not With Your Tax Rewm Signature of general partner or limited liability company member Date
Check if Preparer s SSN or PTIN Paid Preparer s
Preparer's Signature sell employed WE) Firm s name (or N Use Ony yours if self-employed)
Z address and ZIP code Phtm~e no I
For Papenivork Reduction Act Notice, see the separate instructions Cat No 25B52A Turn 8865 (2001)
(if any)
Name and address of foreign partnerships agent in country of organization if any
5 Were any special allocations made by the foreign partnership? I- C3 Yes 0 No 6 Number of foreign disregarded entities Owned by the partnership (attach hst) 11. NONE 7 How is this partnership classified under the law of the country in which it is organized? if- EXV1eT= 11141TIM PARTNM$U!P-- 8 Did the partnership own any separate units virthin the meaning of Regulations section 1 1 503-2(c)(3) or (4)7 1- El Yes No N/A 9 Does this partnership meet both of the following requirements? N/A
" The partnership s total receipts for the tax year were less than $250 000 and " The value of the partnership s total assets at the end of the tax year was less than $600 000 Il- 0 Yes No N/A If Yes - do not complete Schedules L M-1, and M 2 1
Sign Here Under penalties of perjury I declare that I have examined this return including accompanying schedules and statements and to the best of my Only If You knowledge and belief, it is true correct and complete Declaration of preparer (Other than general partner or limited liability company member) is Are Filing based on all information of which preparer has any knowledge This For.
I
Form 8865 (2001)
-;? 3 Fo,m 8865 (2001) r - t. ;~!Zq 3 0 '7 Page 2 M-M.M.-M M-2 Constructive Ownership of Partnership Interest . Check the boxes that apply to the filer If you
check box b, enter the name, address, and U S taxpayer identifying number (if any) of the person(s) whose interest you constructively own See instructions
a U Owns a direct interest b 0 Owns a constructive interest Check if I Check R-
Name Address Identifying number (if any) I foreign I direct
Name I , Address I Identifying number (if any)
I t~ Sc 6&1h artnershi have n'
~Iher foreign person as a direct partner? U Yes U No - P BMWAN A IFa n hedule . List all partnerships (foreign or domestic) in which the foreign partnership owns a direct interest or indirectly owns a 10% interest
Name EIN Total ordinary Check i
foreign Address (if any) Income 0, loss
partners N/A N/A N/A NIA N/A
Income Statement-Trade or Business Income Caution Include only trade or business income and exj)enses on lines la throuqh 22 below See the instructions for more information
la Gross receipts or sales I MM, b Less returns and allowances 11 2b ic
W 2 Cost of goods sold 2
E 3 Gross profit Subtract line 2 from line 1c 3 0 4 Ordinary income (loss) from other partnerships, estates, and trusts (attach schedule) 4 U
5 Net farm profit (loss) (attach Schedule F (Form 1040)) 5 6 Net gain (loss) from Form 4797, Part 11, line 18 6 7 Other income (loss) (attach schedule) 7
8 Total income (loss) Combine lines 3 through 7 8 9 Salaries and wages (other than to partners) (less employment credits) 9 D
P 10 Guaranteed payments to partners 10 11 Repairs and maintenance 11 12 Bad debts 12 13 Rent 13 14 Taxes and licenses 14 15 Interest 15
T 16a Depreciation (if required, attach Form 4562) 1 16a b Less depreciation reported on Schedule A and elsewhere on return 1 6b 16(
17 Depletion (Do not deduct oil and gas depletion 17
0 r 18 Retirement plans, etc 18 z 19 Employee benefit programs 19 0 3 20 Other deductions (attach schedule) 20 a W 0 21 Total deductions Add the amounts shown in the far riqht column for lines 9 throuqh 20 21
income Ooss) from trade or business activities Subtract line 21 from line 8 1 22
In order to complete Schedule A-11, the following is a list of partners whose interest exceeds 110%
In order to complete Schedule A-2 . the following is a list of partnerships in which the above foreign partnership owns a direct or indirect interest
Name & Address EIN Ordinary Incomel(Loss
N/A N/A N/A N/A
RESOURCE CAPITAL FUND 11, L P ATTACHMENTS TO SCHEDULE K-1
Partner Name T. f\1 , FLc7t.-Li 7-K Qs~-) Partner ID#' ;), 3 -6 Pursuant to Internal Revenue Code Regulation Section 1 6083-3, you have qualified as a Category 3 filer with respect to Form 8865, Return of US Persons With Respect to Certain Foreign Partnersh:ps
You are a Category 3 filer either because you have a greater than 10% interest in the above foreign partnership, or because your contribution for the current year has exceeded $100,000 You own a direct interest in the above foreign partnership
As a Category 3 filer . you are required to complete the Identifying Information on page 1, Schedule A, Schedule A-1 (for partners with a greater than 10% interest only), Schedule A-2, and Schedule 0 on Form 8865
The following is the information necessary complete the Identifying Information on page 1
Line F3 Cayman Islands Line G2 Form 1065 - Philadelphia Line F4 317/2000 Line G3/G4 NONE Line F5 Cayman Islands Line G5 NO Line F6 523900 Line G6 NONE Line F7 Investments Line G7 Exempted Limited Partnership Line F8 USD Line G81Gg N/A Line Gi Eastpointe Management, LLC
330 Old Country Road, Suite 204 Mineola, NY 11501
Name & Address EIN
Limit & Co (Hall) 43-1265385 Chinquapin Trust Company P 0 Box 419580, MD 323 Kansas City, MO W41
Okabena Partnership J 41-1636022 5140 Norwest Center 90 South Seventh Street Minneapolis, MN 55402-4139
Pnvale Advisors Small Company Buyout Fund, LP 54-2025625 1801 Bayberry Court, Suite 303 Richmond . VA 23226
Foreicin (Y/N)
N
Foreign (Y/N)
LICASAIII Is any transfer reported on this schedule subject to gain recognition under section 904(f)(3) or section 904(f)(5)(F)? of- El Yes No
For Papen.vork Reduction Act Notice, see the Instructions for Form 8865 Cal No 25909U Schedule 0 (Form 8865) 2001
G)
SCHEDULE 0 Transfer of Property to a Foreign Partnership OMB No 1545 1668 (Form 8865) (under section 6038B) Dept,nmert of Me Trea~y 2001 Infernal R~.e Se~ce III, Attach to Form 8865 See Instructions for Form 8865 g_, C 1),qire .yf;i7,nX Filer's identifying number
- ZK 0 7-- 23 3D 5" rtnerShp
Z=
J= Transfers ReponLable Under Section 6038B
Type of (a) (b) (C) fell (e) (9) Property Date of Number of Far' market Cost or other Section 704(c) Gain Percentage interest
transfer Items value on date allocatton recognized on in partnership after transleff ed 'I
transfer basis method transfer transfer
Cash 1 '31 7- en ,~- I I &2cq-~77&,
Marketable securities
Inventory
Tangible property used in trade or business
Intangible property
Other property
Supplemental Information Required To Be Reported (see instructions)
fill (h) Type of Date of Date of Manner of Gain Dlpr- Gam Illcated Depreciation
property original disposition disposition recognized by retap
;'f~ transfer recognized to partner recapture allocated
partnership by oa~Sh,p to partner
FILED AT THE PARTNERSHIP LEVEL .
WESTBROOK REAL ESTATE FUND U, LP EIN 13-3929552
'rbe taxpayer is required to file Form 8865 with respect to TCI Ventures, Ltd and Leonardo T K, which are both foreign partnership, because of the constructive ownership rules of IRC Section 554(a)(2) Pursuant to Regulation Section 1 6046A, Form 8865 is being filed on behalf of the foreign partnerships . Form 8865 for M Ventures, Ltd will be included in the Westbrook Allegro, LLC Form 1065 for the year ended December 31, 200 1, which will be filed by October 15, 2002 with the Ogden, LJT service center Form 8865 for Leonardo T K will be included in the Westbrook Real Estate Fund 11, LP Form 1065 for the year ended December 31, 200 1, which will be filed by October 15, 2002 with the Ogden, UT service center
FORM 8865 WAS
Please consult your tax advisor regarding your filing requirements
WESTBROOK REAL ESTATE FUND 11
EIN 13-3929552
A copy of Form 5471 was filed on your behalf by the partnership with respect to the partnership's interest in California Funding Corp , Allegro Resorts Corp , and Carnegie Club, all foreign corporations You are required to attach a statement to your tax return for 2001 indicating that this Form 5471 was filed on you behalf Following is sample language that you may use in that statement
"The taxpayer was required to file Form 5471 with respect to California Funding Corp, Allegro Resorts Corp , and Carnegie Club, all foreign corporations, because of the constructive ownership rules of IRC Section 554(a)(2) Pursuant to Regulation Section 1 6038-20), Form 5471 was filed on the foreign corporation Form 5471 will be included in Westbrook Real Estate Fund 11, LP's Form 1065 for the year ended December 31, 200 1, which will be filed by October 15, 2002 with the Ogden, UT service center This information is provided in accordance with Regulation Section 16038-20)(3) "
Please consult your tax advisor regarding your filing requirements
WESTBROOK REAL ESTATE FUND III, L P
ETN 13-4009464
A copy of Form 5471 will be filed on your behalf by the partnership with respect to the partnership's interest in CI Capital Corporation, Sky Trend Investments, Ltd, Pacific Century Residential One TMK, Pacific Century Estate YK, and Karntoon Investments, Ltd , which are all foreign corporations You are required to attach a statement to your tax return for 2001 indicating that this Form 5471 will be filed on your behalf Following is sample language that you may use in that statement
"The taxpayer was required to file Form 5471 with respect to Cl Capital Corporation, Sky Trend Investments, Ltd , Pacific Century Residential One TMK, Pacific Century Estate YK, and Kamtoon Investments, Ltd , which are all foreign corporations, because of the constructive ownership rules of IRC Section 554(a)(2) Pursuant to Regulation Section 16038-20), Forms 5471 will be filed on the foreign corporation Form 5471 for Cl Capital Corporation will be included in Westbrook Real Estate Fund 111, LP's Form 1065 for the year ended December 3 1, 200 1, which will be filed on or before April 15, 2002 with the Ogden, UT Service Center. Forms 5471 for Sky Trend Investments, Ltd , Pacific Century Residential One TMK, Pacific Century Estate YK, and Kamtoon Investments, Ltd will be included in Pacific Century Japan Residential Property, LLC's Form 1065 for the year ended December 31, 2001, which will be filed on or before April 16, 2002 with the Ogden, UT Service Center This information is provided in accordance with Regulation Section 1 6038-20)(3) "
Please consult your tax advisor regarding your filing requirements
WESTBROOK REAL ESTATE FUND IV, L P
~~T EU, lJ41JIJ12
A copy of Form 5471 will be filed on your behalf by the respective underlying partnerslups with respect to the partnership's interests in Yuhwa Development Co , Ltd , Myungdong Development Co, Ltd, Bruton Topco Limited, WB-RX (Newbury) Ltd, WB-HX (Newbury) No 1 Ltd, VVB-HX (Newbury) No 2 Ltd, Evelyn Road Development Company PTE Ltd, and Blue Seas Co, Ltd , all foreign corporations You are required to attach a statement to your tax return for 2001 indicating that Form 5471 will be filed on your behalf Following is sample language that you may use in that statement
"The Uxpayer was required to file Form 5471 with respect to foreign corporations, Yuhwa Development Co, Ltd, Myungdong Development Co , Ltd , Bruton Topco Limited, WB-H-X (Newbury) Ltd, Evelyn Road Development Company PTE Ltd , and Blue Seas Co, Ltd because of the constructive ownership rules of IRC Section 554(a)(2) Pursuant to Regulation Section 1 6038-20), Form 5471 will be filed for each of the foreign corporations Form 5471 will be included respectively in Yuhwa Investors, LLC's, Saehan Investors, LLC's, and Ryuwa Investors, LLC's tax return for the year ended December 3 1, 200 1, which will be filed on or before April 16, 2002 with the Ogden, UT service center This information is provided in accordance with Regulation Section 1 6038-20)(3) "
x V~\502gmup\;mtnovanb~ 1999k"Itan fund$\~Iton_lwo_2001\taxfo~~g ~ dm
J.N . PEW Jr., Trust 23-6299309
Tax Year Ended December 31, 2001
Statement Pursuant to Rea. Sec. 1.6038-2(m)(3)
The taxpayer hereby states that it complied with the filing requirements under Reg § 16038-2, with respect to Forms 547 1, the "Information Return of U S Persons With Respect to Certain Foreign Corporations " The taxpayer is excepted from filing Forms 5471 under Reg § 1603 8-20)(2) as the required information was filed on the taxpayer's behalf pursuant to Reg § 16038-20) The following taxpayer filed Forms 5471 on behalf of the above taxpayer
Walton Street Real Estate Fund 11, L P 36-4208917
900 North Michigan Avenue - Suite 1900 Chicago, EL 60611
Walton Street Real Estate Fund 11, L P, U.S A. filed Form 1065, "U S. Partnership Return of Income," with the Forms 5471 attached with the Internal Revenue Service Center in Utah, and filed a separate copy of Form 5471 with the Internal Revenue Service Center located in Philadelphia, Pennsylvania .
33,739
Page 1
J . N . PEW JR CHARITABLE TRUST ACCOUNT #0049-03-1/3 EIN: 23-6299309 TAX YEAR ENDING 12/31/01
ATTACHMENTS PAGE 1 FORM 99G-PF PART I ANALYSIS OF REVENUE AND EXPENSES
REVENUE:
LINE 11 OTHER INCOME - PARTNERSHIP INCOME
EXPENSES:
LINE 16c OTHER PROFESSIONAL FEES - NICHOLAS APPLEGATE - INVESTMENT MANAGEMENT FEE
LINE 18 TAXES - 2001 EXCISE TAX PAYMENTS - LESS 1999 TAX REFUNDS
LINE 23 OTHER EXPENSES - GENERAL AND ADMINISTRATIVE EXPENSES OF THE PEW CHARITABLE TRUSTS DIVISION OF GLENMEDE TRUST COMPANY THESE GENERAL AND ADMINISTRATIVE EXPENSES INCLUDE, BUT ARE NOT LIMITED TO, J N PEW JR CHARITABLE TRUST'S ALLOCATED PORTION OF SALARIES, WAGES, PENSION PLANS AND EMPLOYEE BENEFITS PAID TO GLENMEDE TRUST COMPANY EMPLOYEES WORKING EXCLUSIVELY ON BEHALF OF THE PEW CHARITABLE TRUSTS THEY DO NOT INCLUDE AMOUNTS REFLECTED ON LINES 13 AND 15 OF FORM 990-PF
CONTRIBUTIONS .
LINE 25 CONTRIBUTIONS, GIFTS, GRANTS PAID - 2001 CONTRIBUTIONS PAID PER PART XV, PAGE 10
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THE J . N. PEW JR . CHARITABLE TRUST' 23-6299309 FORM 990PF, PART VIII, LINE 1 - LIST OF OFFICERS, DIRECTORS, AND TRUSTEES 2001
TIME CONTRIBUTION TO DEVOTED TO EMPLOYEE BENEFIT PLANS
NAME AND ADDRESS TITLE POSITION 2 COMPENSATION3 AND DEFERREQ COMP.4
The Glenmede Trust Company Trustee Part $752,893 1650 Market Street, Suite 1200 Philadelphia, PA 19103-7291
J. Howard Pew 11 c/o The Pew Charitable Trusts 200S Market Street, Suite 1700 Philadelphia, PA 19103
Robert H. Campbell c/o The Pew Charitable Trusts 2005 Market Street, Suite 1700 Philadelphia, PA 19103
Susan W. Catherwood c/o The Pew Charitable Trusts 2005 Market Street, Suite 1700 Philadelphia, PA 19103
Thomas W. Langfitt, M.D . c/o The Pew Charitable Trusts 2005 Market Street, Suite 1700 Philadelphia, PA 19103
Arthur E. Pew III c/o The Pew Charitable Trusts 2005 Market Street, Suite 1700 Philadelphia, PA 19103
J. N. Pew, 3rd c/o The Pew Charitable Trusts 2005 Market Street, Suite 1700 Philadelphia, PA 19103
I.N . Pew rV, M.D . c/o The Pew Charitable Trusts 2005 Market Street, Suite 1700 Philadelphia, PA 19103
Mary Catharine Pew, M.D . c/o The Pew Charitable Trusts 2005 Market Street, Suite 1700 Philadelphia, PA 19103
Board Member Part 1,449
EXPENSE ACCOUNT AND OTHER ALLOWANCE
Board Chairman Part 1,614
Board Member Part 3955
Board Member Part 1,449
Board Member Part 1,449
Board Member Part 1,383
Board Member Part
Board Member Part 1,449
EXPENSE ACCOUNT AND OTHER ALLOWANCES
TOTAL
TIME CONTRIBUTION TO DEVOTED TO EMPLOYEE BENEFIT PLANS
NAME AND ADDRES TITLE POSITION 2 COMPENSATION 3 AND DEFERRED COMP,
R. Anderson Pew Board Member Part 1,449 c/o The Pew Charitable Trusts 2005 Market Street, Suite 1700 Philadelphia, PA 19103
Richard F. Pew Board Member Part 1,449 c/o The Pew Charitable Trusts 2005 Market Street, Suite 1700 Philadelphia, PA 19103
Robert G. Williams Board Member Part 1,449 c/o The Pew Charitable Trusts 2005 Market Street, Suite 1700 Philadelphia, PA 19103
Rebecca Rimel Board Member, Full 35,889 11,480 c/o The Pew Charitable Trusts President and 2005 Market Street, Suite 1700 Chief Executive Philadelphia, PA 19103 Officer
Joy A. Horwitz Director, Legal Full 12,469 4,156 c/o The Pew Charitable Trusts Affairs, General 2005 Market Street, Suite 1700 Counsel and Board Philadelphia, PA 19103 Secretary
Henry B. Bernstein Director, Finance Full 11,858 3,953 c/o The Pew Charitable Trusts 200S Market Street, Suite 1700 Philadelphia, PA 19103
1 This trust Is one of seven trusts established by the Pew family that together comprise The Pew Charitable Trusts, an unincorporated division of the trustee, the Glenmede Trust Company. The seven trusts are The Pew Memorial Trust, The J. Howard Pew Freedom Trust The Mabel Pew Mynn Trust The J .N . Pew Jr. Charliable Trust, The Medical Trust The Mary Anderson Trust and The Knollbrook Trust. I Although a precise allocation among the trusts of hours worked is not possible, each of the officers and directors listed on this schedule devotes a minimum of40 hours per week, and each of the board members devotes a minimum of 160 hours per year, to his or her work on behalf of the seven trusts that comprise The Pew Charitable Trusts . See footnote 1. 3 The compensation listed in this column, as well as the contributions to employee benefit plans and deferred compensation listed In column 5 of this table, represents 6.5861% of the total amount paid to the Glenmede Trust Company and each individual listed for work performed for the seven trusts that comprise The Pew Charitable Trusts. See footnote 1. The allocation percentage was derived by dividing the sum of the assets held in this trust by the total assets held In the seven trusts. 4 See footnote 3. 5 Reflects amounts paid from 11/6/01 (the date this Individual assumed the position listed) to 12/31/01 .
Date 01/08M2 Annual Report Financial Information - 2001 Page 25 of 121
Trust Begin Balance Awards Payments PY'Rescissions CY'Rescissions GrantReturns Transfers End Balance J N Pew, Jr Charitable Trust OD4M3-1/3
2000-002824 STO $0 $500.000 $300,000 $0 so $0 $0 $200,000 Alaskan Conservation Foundation, Anchorage, AK
To support a public education campaign to protect wilderness in Alaska
To support a campaign to seek permanent administratirve protection of 14 million acres of roadless land In the Alaska Rainforest
1998-000176 STD $45.000 $0 $45,000 $0 so $0 $0 $0 American Farmland Trust, Washington, DC
To Implement a blo-Intensive past management program for apples grown In Mirhigan with a large baby food manufacturer
1998-001045 STD $277,000 $0 $137.000 $0 $0 $0 $0 $140,000 American Farmland Trust, Washington, DC
For a partnership project that reduces the use of herbicides and nitrogen fertilizers on major crops in the Neuse River region of North Carolina
1999-000387 STD $125,000 $0 $125,000 $0 $0 $0 so $0 American Littoral Society, Highlands, NJ
To support regional estuarine habitat restoration
2001-000326 STD $0 $500,000 $250,000 $0 so so $0 $250,000 American Rivers, Inc, Washington, DC
To support the Hydropower Reform Coalition's work to restore river habitat critical to the health of anadromous and fresh water fish populations through reform of hydropower dam operations and management
1998-002982 STID $100,000 $0 $100.000 $0 $0 $0 $0 $0 Balch Institute, The, Philadelphia, PA
For general operating support, as part of the Philadelphia Cultural Leadership Program
Date 01106102 Annual Report Financial Information - 2001
Trust Begin Balance Awards Payments PYResclsslons CY'Rescisslons Gr2nfRefurns J N Pew, Jr Charitable Trust 0049-03-1/3
2000-002860 STD $150,000 so $150.000 $0 so $0 Bermuda Biological Station for Research, Inc, White Plains, NY
To conduct a study to determine the effectiveness of manna-protected areas and no-take zones in Bermuda as a model for other coral reef systems
To support a public education campaign to protect wilderness in Colorado
1998-002981 STID $60,000 $0 $60.000 $0 $0 $0 $0 $0 Conservation Center for Art and Historic Artifacts, Philadelphia, PA
For general operating support . as part of the Philadelphia Cultural Leadership Program
1999-003088 STID $100,000 $0 $100,000 $0 $0 $0 $0 $0 Conservation Law Foundation, Inc, Boston, MA
To promote sustainable management policies for New England marine fisheries
Date : 01108102 Annual Report Financial Information - 2001
Trust Begin Balance Awards Payments PY'Rescissions CY'Rescissions Gran(Retums J N Pew, Jr Charitable Trust 0049-03-1/3
1998-000`177 STD $192,000 $0 $192,000 $0 $0 $0 Council of Chief State School Officers, Inc, Washington . DC
To support a network of 12 state environmental education coordinators that will document the educational efficacy of using the environment as a theme of instruction and significantly broaden the adoption of that approach by schools In the states
For continued support of the Ocean Law Project, a coordinated effort to restore marine ecosystems and fisheries
2001-000323 STD $0 $1,400,000 $1,000,000 $0 $0 $0 Energy Foundation . The, San Francisco, CA
To support national and state efforts to adopt regulations for small generators that establish emissions standards and provide incentives for facilities that combine power generation with the use of waste heat
1999-001784 STD $1,066,000 $0 $600,000 $0 $0 $0 Environmental Defense Fund, Inc, New York, NY
For continuation of the Alliance for Environmental Innovation
1998-003235 STD $100,000 $0 $100.000 $0 $0 so Forest Trust, The, Santa Fe, NM
For renewed support for the Forest Stewards Guild
2001-000325 STID $0 $300,000 $200,000 $0 $0 $0 Friends of the Earth, Washington, DC
In support of Fish for the Future, a public education campaign on Individual Fishing Quotas
2001-002395 STI) $0 $400,000 $0 $0 $0 $0 Friends of the River Foundation, Sacramento, CA
To provide continued support for a public education campaign to protect wilderness In California
$0 $466.000
so $0
$0 $100,000
$0 $400,000
Page 28 of 121
Transfers End Balance
$0 $0
$0 $0
$0 $400,000
Date 01/08/02 Annual Report Financial Information - 2001 Page 29 of 121
Trust Begin Balance Awards Payments PY/Tesclsslons CY'Rescissions GrantReturns Transfers End Balance J N Pew, Jr Charitable Trust 0049-03-1/3
2000-002821 STD $400,000 $0 $400,000 $0 $0 $0 $0 $0 Friends of the River Foundation, Sacramento, CA
For continued support of a public education campaign to protect wilderness In California
1999-002588 STD $105.000 $0 $105,000 $0 $0 $0 $0 $0 George Washington University, Washington, DC
In support of a media education effort to Improve the quality of coverage of the campaign finance system and the campaign finance reform debate
2001-002211 STD so $160,000 $0 $0 $0 $0 $0 $160,000 Gulf Restoration Network, New Orleans. LA
For a public education campaign to promote stronger fisheries management reform on overfishing, bycatch and habitat destruction in the Gulf of Mexico
2001-001629 STD $0 $250,000 $0 $0 $0 $0 $0 $250.000 Idaho Conservation League, Inc . Boise. ID
To establish a new wilderness campaign to protect 4 million acres of wilderness and roadless areas in Idaho and Montana
1999-003449 STD $40,000 $0 $40,000 $0 $0 $0 $0 $0 Marine Conservation Biology Institute, Redmond, WA
For support of the Second Symposium on Manne Conservation Biology
2000-002360 STD $60,000 $0 $30,000 $0 $0 $0 $0 $30.000 MBF Center, The, Norristown, PA
For continued operating support to provide people with serious disabilities specialized assessment, training and job-placement services
1999-003179 STD $250.000 $0 $250,000 $0 $0 $0 $0 $0 National Environmental Trust, Washington, DC
For general operating support
2001-002397 STD $0 $320.000 $0 $0 so $0 $0 $320.000 National Religious Partnership for the Environment, Inc , The, New York, NY
To provide support for public education campaigns In 21 states focused on climate change
Date 01108102 Annual Report Financial Information - 2001 Page 30 of 121
Trust Begin Balance Awards Payments PY'Rescissions CY'Rescissions GrantReturris Transfers End Balance J N Pew, Jr Charitable Trust 0049-03-1/3
2001-002394 STD $0 $200.000 $0 $0 $0 $0 $0 $200,000 Oregon Natural Resources Council Fund . Portland, OR
To support a public education campaign to protect forested wilderness In Oregon
2000-002823 STD $200,000 $0 $200,000 $0 so $0 $0 $0 Oregon Natural Resources Council Fund, Portland, OR
To support a public education campaign to protect forested wilderness In Oregon
For support of the Beacon House program to offer basic education and life-skills training to pregnant and parenting women in substance abuse treatment
Date 01108102 Annual Report Financial Information - 2001
Trust Begin Balance Awards Payments PY'Rescissions CY'Rescissions GrantRatums J N Pew,Jr ChantableTrust 0049-03-1/3
1999-002416 STO $37,500 $0 $37,500 $0 $0 $0
Page 32 of 121
Transfers End Balance
so $0 Teton Science School, Inc, Kelly, WY
This is a final grant to initiate a teaching program that Incorporates place-based natural science studies throughout other academic disciplines in the curriculum of 10 schools
To establish a program on Religion and the News Media at Trinity College's Center for the Study of Religion in Public Life
2000-00021 8 STD $2,200,000 $0 U S Working Group, Inc, Washington, DC
To establish a certification infrastructure In Canada resulting In the protection of at least 15 million acres
2001-001261 STD $0 $1,000,000 Union of Concerned Scientists, Inc, Washington, DC
To support efforts to increase the nation's commitment to energy efficiency and renewable energy as a cornerstone of a balanced and environmentally sound energy policy
2001-003118 STD $0 $3,475,000 United States Public Interest Research Group Education Fund, Washington, DC
To encourage public involvement in national forest policy decisions
2001-002393-002 STID $0 $300,000 Wilderness Society, The, Washington, DC
To support strategic assistance and training for grassroots public education wilderness campaigns
2001-002393 STD $0 $250,000 Wilderness Society, The, Washington, DC
For continued support of a public education campaign to protect wilderness In Nevada
$734.000 $0 $0 $0 $0 $1,466,000
$1,000,000 $0 $0 $0 $0 $0
$0 $0 $0 $0 $0 $3,475 .000
$0 so $0 $0 $0 $300,000
$0 $0 $0 $0 $0 $250,000
$117,000 $0 so so $0 $13,000
Trust Begin Balance Awards Payments PYResclsslons CYResclsslons GrentReturns; Transfers End Balance J N Paw, Jr Charitable Trust 0049-03-1/3
To develop a new Initiative to engage sport hunting and fishing organizations In high-profile national conservation policy debates related to protecting wildlife habitat on public lands
Total for JNP $13,9~,~00 $10,935.400 $13,086.900 $0 $0 $0 so $11,785,000
A-
Date 01108102 Annual Report Financial Information - 2001 Page 33 of 121
The funds available to the Trusts for grantmaking and the scope of supported activ~ities have continued to grow over the past decade In 1990, the Trusts made grants totaling S147,271,400 In 2000, commitments totaled $235,605,000, and the market value of the Trusts' assets was $4,800,776 253 Last year, the Trusts received more than 3,600 propos-als, which resulted in 369 grants awarded by the Trusts' board
The Pew Charitable Trusts support nonprofit activities in the areas of culture education, the environment, health and human services, public policy and religion The Trusts make strategic investments to help organizations and citizens develop practical solutions to difficult problems
Based in Philadelphia, the Trusts consist of seven individual charitable funds established between 1948 and 1979 by two sons and two daughters of Sun Oil Company founder Joseph N Pew and his wife, Mary Anderson Pew Though these funds aTe separate legal entities, their grantmaking activities are managed collectively and guided by the same set of programmatic priorities The board oversees and supports all dimensions of the Trusts' work
PRESIDENT'S MESSAGE
C H A N G I N G T H I T E R M S
Some Critics Of results- oriented performance in the nonprofit sector equate measurability with bean-counting and short time horizons But all projects, short- or long-term, can have measurable benchmarks that determine whether work is proceeding at an acceptable pace and whether mid-course Corrections are needed Indeed, such benchmarks reduce the risk and improve the potential for return on the investment
PRESIDENT'S MESSAGE
The credo of The Pew Charitable Trusts-"Investing in ideas Returning results"-implies a particular way of looking at our role as a foundation We intend not simply to provide money for charitable work, but also to be judged by our ability to contribute to positive and measurable impact on society We measure our value, and our accomplishments, not by the amount of money provided for Work aimed at improving society, but by the actual out-comes achieved with these resources
These missions-to provide money for good works and to achieve resutts-are quite dis-tinct The former focuses on the financial vehicle for realizing a goal, the latter, on the goal itself If we were interested in the means rather than the ends we could Support many worthwhile projects, but we would risk accomplishing little toward reducing the scope or severity of the problems which we are addressing through OUT investments
Yet the language of philanthropy reflects the former orientation We and other foundations commonly refer to ourselves as "grantmakers" or "funders" who give "grants"-terms that clearly suggest a greater emphasis on providing money than on achieving the results that are at the heart of our giving It is hard to imagine that most foundations in America would identify their primary purpose as simply "making grants," yet our language reinforces pre-cisely that view of foundations as purveyors of money rather than providers of social value
NOT is the term "grant" a particularly helpful one For centuries, the term has commonly referred to a gift or assignment of money or property for which there was no implied expec-tation of return As a result, most people think of grants either as rewards for past work or gifts in support of work to be done in the future-but without the same kind of explicit conditions associated with investments from which a measurable return is expected As such, grants made by foundations are often considered to be more demonstrations of good will aimed at supporting "good work" than carefully targeted investments designed to generate highly specific results
Placing an emphasis on measurable results has long been accepted and even extolled in the fOT-profit sector But in the nonprofit sector, it is often met with skepticism-and some-times anxiety Because many nonprofit organizations (including foundations) tend to define their work in terms of very broad goats, we as a field are not accustomed to being held accountable by the public, major supporters or even our own organizations for pro-ducing concrete and verifiable outcomes And many do not like it when pressed to do so It is a human characteristic Most of us, regardless of profession, are more comfortable with being held responsible for conducting activities than producing results
Rebecca IN Rime[ Presiden t and CEO
Furthermore, by focusing on the support of good work rather than on a specific achieve-ment, grantmakers often feel no direct responsibility for the outcome, even considering it as beyond their control and, consequently, not their responsibility Their job is com-plete once the grant is made
The mindset of an investor is quite different No mutual-fund manager, investment banker or venture capitalist can escape being held accountable for the performance of the f nd or the business in which they have invested They are held responsible for decisions about which businesses to invest in and how much to invest and for monitoring the performance of their investments against established benchmarks To a certain extent, this is a fair analogy to the Trusts' credo We view our giants as strategic investments intended to achieve measurable charitable returns
The relationship between the Trusts and the Organizations in which we invest is not simply a financial one And we consider those in which we make those strategic investments to be our partners, because we share the same charitable objectives and we work together to define the desired outcome of our investment Our own staff are often deeply engaged in identifying the roots of problems, assessing opportunities, weighing the costs and benefits of different approaches, designing program strategies and, when appropriate, institutional vehicles with which to implement these strategies, assessing the strengths and opportunities for collaboration with a wide range of individuals and organizations, developing specific goals and benchmarks for our investments by which to measure Progress towards achieving results, and evaluating performance
We focus our resources on a small number of problems and projects, and we employ staff who have the skills and experience to address the problems we target Our staff are con-tinuously refining our understanding of the investment process carefully choosing an area of activity in which it is possible to have an impact, developing a set of core competencies that make it possible to excel in that area, sticking to what we do best and avoiding the temptation to diffuse resources in ways that diminish performance
As we develop stronger and deeper skills in strategic planning and charitable investing, we manage our -grantmaking" in ways that parallel the behaviors exhibited by the suc-cessful entrepreneurs who founded the Trusts Our founders were highly focused They identified niche markets, developed the skills and vehicles needed to perform well, Look steps to maintain their competitive edge and ensure high-level performance and pursued the most effective strategies to grow their company
Clarity of language and the terms we use to describe our work, our relationships with our
partners and the role the Trusts play in making results- oriented charitable investments are
cntically important They create an understanding and a set of expectations about what we
do Equally important, these words define how we view Ourselves and shape the standards to
which our performance should be held and the benchmarks by which we should be judged
APPLYING FOR A GRANT
The letter of inquiry should include the follow-ing information Who A description of your organization and the nature of its work, as well as a brief summary of your organization's achievements, particularly as they relate to the problem or issue to be addressed What and How A statement of the problem or need you plan to address and an expla-nation of how it will be addressed Include a brief description of anticipated achieve-ments or outcomes When The time frame for the proposed activities How much Estimated cost for the project or activity and the amount requested from the Trusts
If staff determine that the activity you propose falls within the program's stated goals and objectives, we will ask you for a full proposal An application package will be sent to you to complete and return to the Trusts The application asks you for a description of your organization and the constituency it serves details of the proj-ect Or activity for which you seek support, including specific goals and measurable objectives, a detailed project budget, organization finances and miscellaneous support materials such as your IRS letters of determination
APPLYING FOR A GRANT
Submitting Your Letter of Inquiry to the Trusts
The Trusts make grants in six program areas You should first review the informa-tion about the program whose interests most closely match those of your organiza-tion The guidelines lay out concisely each program's goals and objectives and the kinds of activities it will and will not con-sideT Read the Ineligible Requests section as well If, after reviewing the guidelines and other information, you feet there is a match, you should submit a brief letter of inquiry preferably less than three pages long The Trusts will respond to all specific letters of inquiry but not to general solici-tations for funds
When your letter of inquiry arrives at the Trusts, it will be reviewed by staff in the appropriate program You mll be notified by either telephone or letter, usually within four to six weeks, whether or not your request meets the funding criteria and guidelines of the program
Please Note
Examples of past work, articles reports, videos or other material should not be submitted with a letter of inquiry Because of the large number of requests the Trusts receive and the time entailed to develop a proposal, applicants should not send in full proposals unless requested to do so by a representative of the Trusts
Submitting a Full Proposal
It is simply not possible to fund all worth-while projects Seeking a grant from the Trusts is a rigorously competitive process, with only a small percentage of proposals ultimately approved for funding In addi-tion, the Trusts' grantmaking has become increasingly focused and strategic, making support unlikely for activities that are not closely aligned with program goals and objectives When drafting your proposal, therefore, please keep in mind that your request will be considered within a number of contexts the strict parameters of the guidelines set out on the following pages, related activities we may have funded in the past and Similar Proposals that we may be reviewing
What are the chances of being funded7 The Trusts annually receive about 3,600 requests for support Of this number, fewer
than 400 typically receive Support, making
the grant application process highly competitive In addition, the Trusts' approach to grantmaking is focused and strategic, each Program identifies and PUT-sues a specific set of goals and objectives If you intend to apply for support, there-fore, you should study our guidelines care-fully to determine whether your project clearly fits within the range of activities we support If there is not a clear fit, it is extremely unlikely that your project will be funded
APPLYING FOR A GRANT
In addition to determining whether your
staff wIll examine it for evidence of quality accountability and soundness of design For example, is the Proposal thoughtfully con-ceived and carefully planned' Does your organization demonstrate sound fiscal and management capacity7 Is it likely to be able to meet its objectives7 If Your Proposal IS determined to meet the Trusts' guidelines and satisfy the other evaluation criteria, it mll be submitted to the board for review and final approval
If Your proposal is approved for funding, you will be notified formally by letter within four to six weeks after the board meeting at which the proposal was considered
Frequently Asked Questions
Whom do the 'Trusts fund' The Trusts make grants only to organiza-tions classified as tax-exempt under section 501(c)(3) of the Internal Revenue Code The vast majority of grants are awarded to public charities The Trusts do not make grants to individuals Or to for-profit organizations
What activities don't the Trusts fund' Each Program has specific types of activi-ties that it does not fund, and you should check the listing of Ineligible Requests toward the end of the program's guidelines to see what these are In addition to not making grants to individuals, the Trusts do not fund capital campaigns, unsolicited construction requests, endowments, debt reduction, or scholarships or fellowships that are not part of a Trusts-initiated program
What is the size of the grants awarded annually7 Although grant size varies from program to Program, the median size in the past year was $200,000 Generally speaking, smaller grants are made in programs that work closely with community-based and direct-service Organizations, larger grants are made in programs that work vnth larger Organizations such as research, academic and health institutions
Do the Trusts have specific deadlines for proposals' Except for special programs or initiatives, the Trusts do not have deadlines governing the submission of proposals, proposals are accepted year-round and are reviewed on a rolling basis If a proposal is considered appropriate for board review, it will be stated for the next available opening on a board agenda The board agenda is com-pleted approximately four months before the board meets
How often does the Trusts board meet to review proposals7 The board meets quarterly, generally in March, June, September and December
How long does it take to receive a response once I've submitted a letter of inquiry? Reviewing and responding to a letter of inquiry depends on the number of inquiries received, normally, the response time is about four to six weeks
I've reviewed your guidelines and find that my project doesn't fit with the Trusts cur-rent strategy Do you have suggestions of where else I might look for funding7 The Foundation Center (www fdricenter org) and the Council on Foundations (www cof org) both maintain comprehensive listings of U S foundations and the areas they fund
APPLYING FOR A GRANT
How long does it take to get a grant from the Trusts' It can take six to eight months for a pro-posal to go through all the steps of the review process
May an organization submit more than one request at a time' You may submit as many letters of inquiry as you wish, although organizations are encouraged to prioritize their own needs before contacting the Trusts Sometimes large Organizations such as universities or research institutions submit simultaneous requests to different programs at the Trusts Each request will be reviewed inde-pendently by the appropriate program and evaluated on its own merits
When may an organization submit a new proposal' An organization whose full proposal is turned down by the Trusts must wait a minimum of 12 months before submitting a new proposal (This turndown rule does not apply to letters of inquiry ) An organ-ization currently receiving funding from the Trusts is generally expected to fulfill all of the terms and reporting require-ments of its current grant before it can submit a proposal for a new grant On rare occasions staff may permit an organiza-tion to submit a new proposal before the current grant has expired to ensure Conti-nuity of funding
May an organization receive more than one grant' Although it is rare, there are times when an organization may have more than one current grant from the Trusts The primary reasons for this are (1) different depart-ments, schools or independent projects within an institution may receive separate giants from the Trusts, and (2) an organi-zation may receive another, separate grant to carry out a special activity at the request of the Trusts
What are the Trusts' criteria for funding television and other media projects' The Trusts will consider support for media based Projects only if the content and use of media address or in some way advance a specific objective of one or more of the Trusts' program areas Proposals involving media will be evaluated by the same crite-ria and standards applied to all other proposals
Do the Trusts give discretionary grants' The program directors do not have discre-tionary funds to distribute The board approves all grants
The Phikadelphia Program S16 195 000 (74%) 31 giants
National Special Artistic Tniti .t,,,es $4 75 000 (2%) 1 grant
Total S21 941 000 39 grants
Capital SI 250 000 (8%) 2 grants
General Operating Support S6 537 000 (40%) 22 grants
To encourage continued creative growth and artistic excellence within the local culture community, we support discipline-based initiatives that provide direct support for artistic development and programming We atso work with partner organizations to strengthen advocacy for culture in Philadelphia and the region We want to help make a compelling case for increased participation by the public and greater support from local government and private institutions for cultural organizations in the Delaware Valley
CULTU RE
The number, quality and accessibility of arts activities in this country are higher than ever before, out the ability of the dztb Lur indibird! ~Urllldty bdSed, LU11bahteutty Y'ri,errily financial and Policy SUPPO11 IS fragile The Culture Program aims to strengthen that sup-POTt for nonprofit CUItUTe In the United States In Philadelphia, it selectively supports programs for artists and cultural organizations
The Trusts believe that understanding the status and needs of America's culture today is an essential prelude to assuring that the nation's cultural heritage is preserved and that the aesthetic, social and economic contributions Of OUT artists and cultural Organizations are sustained and increased To this end, Culture's national program, 'Optimizing America's Cultural Resources," fosters broader public appreciation of culture and its role in society It also promotes policy dialogues so that the public can grapple knowledgeably with the issue affecting arts and Culture in American society
"Optimizing America's Cultural Resources" has three initiatives One is the gathering of data, so that funding and related policy decisions can be based on accurate information This work will identify the critical gaps in the data, the analysis needed to understand trends influencing the art world and the key issues facing the arts Our support is used to commission research, conduct surveys and opinion polls and disseminate policy-relevant data and research results We also seek to expand dissemination of culture news to new forms of print, broadcast and Internet media in order to increase public access to objective and reliable information on the arts
Our second initiative centers on public education The aim is to increase the knowledge, among the public and arts policyntakers, of issues related to arts and culture and to build the capacity for Cultural advocacy This work will increase awareness among opinion lead-ers and the general public of the role and significance of nonprofit arts and culture to our economy and society and make the case for the contributions of the cultural sector
The third initiative encourages the development of innovative public policies supporting American arts and culture The Trusts invest in programs that identify, evaluate, docu-ment and replicate innovative efforts that have strengthened policy of financial support for nonprofit arts and cultural organizations
Locally, the Trusts seek to enhance the region's Cultural community and its services by recognizing and supporting artistic and organizational excellence and challenging organ izations to strengthen their artistic PTOgTamming and management capacities Through the Philadelphia Cultural Leadership Program, the Culture program provides operating funds to organizations that demonstrate artistic accomplishment, financial and manage-nal excellence, and audience and community support
PHILADELPHIA AREA GRANTS BY GRANT TYPE 2000
Program Support $8 408 000 (5 2%) 7 grants
Total S16 195 000 31 grants
2001 C U L I U R E P R 0 G R A M G U I D E L I N E S
Requests will not be considered for Endowments Debt reduction Support for general operations Or Core
programs of organizations outside the Philadelphia five-county area Museum, Collection Or library acquisitions Computer or multimedia hardware or soft-
Ware, except as part of Trusts-initiated programs . Grants made directly to individual artists, except as part of Trusts-initiated programs . Individual commissions, exhibitions, per-forming arts productions or television Or radio broadcasts, except as part of Trusts-initiated programs . Cultural exchange activities, except as part of Trusts-initiated programs - Arts education projects, except as part of the Philadelphia Cultural Leadership Program or other artistic initiatives . Conferences or symposia, except as Part of Trusts-initiated programs . Media and technology projects, except those that forward specific Culture program interests and priorities - Programs originating outside the United States of America
Requests wit[ be considered for - Support for general operations through the Philadelphia Cultural Leadership Program Separate guidelines are issued for this PTO gram with specific application information and deadlines The guidelines are mailed in August To be added to the minting list, please call 215 575 4874 . Artistic development initiatives to enhance and promote the excellence and diversity of artistic resources in specific disciplines and sectors of the cultural com-munity in the Philadelphia region
D9@ CULTURE
The Culture Program aims to assure that our nation's cultural resources are property sustained and contribute to the health of our democratic society
Optimizing America's Cultural Resources
Goal To strengthen financial and policy support for America's cultural resources
Objectives . To increase the amount, quality and accessibility of policy-relevant information on American arts and culture . To increase awareness among opinion leaders and the general public of the role and significance of nonprofit arts and cul-ture to our economy and society - To encourage the development of innova tive public policies supporting American arts and culture
Requests will be considered for - A limited number of research projects that add substantially to the body of fact-based information about American arts and culture - Selected projects that increase the qual-ity and quantity of arts news - Selected projects of national scope and multidisciplinary focus that build positive perceptions of artists and cultural institu-tions through media or public education activities
The Philadelphia Program
Goal To strengthen the capacity of those Philadelphia- area cultural organizations and artists with the greatest potential for success to provide a broad array of high-quality arts and cultural opportunities to the community on a sustained basis
Objectives - To enable leadership institutions in the cultural community to become More effec-tive at creating and delivering programs to the public , To enable selected cultural organizations and artists to undertake noteworthy, inno-vative and high-quality arts and cultural projects - To Strengthen the capacity of the region's cultural organizations and arts leaders to make a convincing and compelling case for the public's participation in arts activities and for their financial support
Ineligible Requests
Pew Fellowships in the Arts Administered by The University of the Arts Providing indi~dual fellowships to Phila-delphia-area artists working in a wide variety of performing, visual and literary disciplines Contact Melissa Franklin 215 875 2285
CULTURE
Philadelphia Region Artistic Initiatives
,Dance Advance Administered by Drexel University 'Promoting increased artistic excellence of Philadelphia-area individual dance artists, dance companies and dance-presenting Organizations Contact Bill Bissell 215 732 9060
Heritage Investment Program Administered by the Independence Visitor Center Corporation Providing technical assistance and chal-lenge grants to historic sites in Philadel phia and the region Contact Barbara W Silberman 215 569 2869
1 Philadelphia Exhibitions Initiative Administered by The University of the Arts Stimulating artistic development in the Philadelphia-area visual arts community by supporting public exhibitions and accompanying publications Contact Paula Marincola 215 985 1254
Philadelphia Music Project AOMinisrered by SeErlement Music SLIIUU! Working with the Philadelphia music com-munity to support new artistic activ~ities and/or the expansion of current programs Contact Matthew Levy 215 893 0140
Philadelphia Theatre Initiative Administered by Drexel University Assisting the Philadelphia- area professional nonprofit theatre community to achieve a higher level of artistic excellence and professional development Contact Marcia D Salvatore 215 985 2345
Philadelphia History Exhibitions Initiative Administered by the Independence Visitor Center Corporation Assisting Philadelphia-area history muse-ums to produce high-quality, innovative exhibitions Contact Margo Bloom 215 569 8343
General Questions Diane Honor, Tom Urbanik, Catherine Vizuete
Catherine S M VizueLe Administratiye Assistant 215 575 4871 cvizuete@pewtrusts corn
DM CULTURE
C U L T U R E P R 0 G R A M S TA F F
Marian A Godfrey Director 215 575 4870 mgodfrey@pewtrusts com
Gregory T Rowe Program Officer 215 575 4875 growe@PeWtTUStS COM
Stephen K UTIce Program Officer 215 575 4877 surice@pewtrusts com
Adrienne N Edwards Program Associate 215 575 4878 aedwards@pewtrusts corn
I Shelley Feist Program Associate 215 575 4728 sfeist@pewtrusts corn
Barbara Lippman Program Associate 215 575 4872 blip pman @ pewtrusts corn
Diane M Honor Assistant to the Director 215 575 4876 dhonor@pewtrusts CDITI
Tom Urbanik Administrative Assistant 215 575 4874 turbanik@pewtrusts corn
Optimizing America's Cultural Resources Marian Godfrey, Stephen Urice, Shelley Feist
The Philadelphia Program Gregory Rowe, Adrienne Edwards Barbara Lippman Tom Urbarnk
20 0
Drexel University Philadelphia, PA, S1,853,000, 2 yrs In support of Dance Advance, a program to enhance the Creation and presentation of dance activities by Philadelphia-area artists and presenting organizations Contact Bill Bissell 215 732 9060 www drexel edu/depts/artsadm
Program Contact Erik Jorgensen 207 773 5051 www mainehumanities org
CULTURE
CULTU RE GRANTS
National Special Artistic Initiatives
Arts International, Inc New York, NY, 1475,000, 1 yr In support of the Fund for U S Artists at International Festivals and Exhibitions, a public-private partnership to support U S participation at international cultural events Contact Adam Bernstein 212 674 9744 WWW aftsinternational OTg
Optimizing America's Cultural Resources
Center for Arts and Culture Washington, DC, $150,000, 1 yr For the Cultural Policy Inventory, a com-pTehensive database and directory of cul-tural Policy resources Contact Gigi Bradford 202 783 5277 www culturalpolicy org
Educational Broadcasting Corporation New York, ITY, 52 000,000 2 yrs For Thirteen/WNET In support of the pub-lic telev~rsion series EGG the arts show, a new weekly public television series cover-ing arts and culture in America Contact Jeff Folmsbee 212 560 1313 www thirteen org
J Paul Getty Trust Los Angeles, CA, 1500,000, 1 yr In support of the Barnes Foundation Contact Deborah Marrow 310 440 7320 www baTnesfoundation oTg
Maine Humanities Council Portland, ME, 1144,000, 1 yr In support of a statewide case study on the Maine Communities in the New Century
MEM Associates, Inc New York, NY, $331,000, 2 yrs In Support of a series of conferences and
reports on Cultural policy issues
Contact Alberta ArthUTs 212 297 0500 www memassociates org
Minnesota Public Radio St Paul, MN, 1472,000, 2 yrs In support of establishment of an arts business news bureau for public radio s Marketplace Contact Jim Russell 213 514 1510 www marketplace org
Princeton University Princeton, NJ, $1,924,000, 3 yrs For the Arts and Cultural Policy Digital Archive Project In support of a fully searchable, digital archive containing policy-relevant information on arts and culture, to be housed at and managed by the Princeton University Library's Social Science Reference Center Contact Ann S Gray 609 258 6052
The Urban Institute Washington, DC, $250,000, 18 mos In support of a national study to document how individual artists are supported in the United States and to suggest ways to improve and strengthen existing systems of support Contact Elizabeth T Boris 202 261 5770 WWW Urban org
The Philadelphia Program
Drexel University Philadelphia, PA, S772,000, 9 mos In support of organizational assessments, capacity-building activities and planning related to the Philadelphia Cultural Leadership Program Contact Cecelia Fitzgibbon 215 895 4913 www drexel edu/depts/artsadm
Drexel University Philadelphia, PA, 12,839,000, 3 yrs For renewal of the Philadelphia Theatre Initiative a program to enhance the cre-ation and presentation of theater activities by Philadelphia-area nonprofit professional theaters and theater artists Contact Marcia D Salvatore 215 985 2345 www direxel edu/depts/artsadm
The Library Company of Philadelphia Philadelphia, PA, $250,000, 1 yr For the Cassatt House Restoration In sup-Port of a capital project to renovate a his-toric townhouse into a residential research center for the study of early American his-tory and culture John C Van Horne 215 546 3181 www librarycomparry org
Mid Atlantic Arts Foundation Inc Baltimore, MD, S486,000, 3 yrs In support of Pennsylvania Performing Arts on Tour, a program that provides funding for tours and related activities throughout the mid-Atlantic region by Pennsylvania performing artists of high artistic caliber Contact Katie West 215 496 9424 www midatlantic OTg
New York Foundation for the Arts Inc New York, 9Y, 165,000, 1 yr In SUPPOTt of a documentary film about the life, work and legacy of Philadelphia architect Louis I Kahn Contact Nathaniel Kahn 212 334 5903 www nyfa org
The Wilma Theater Philadelphia PA, $375,000, 3 yrs Contact Naomi Grabel 215 893 9456 www wilmatheater org Dw
Opera Company of Philadelphia Philadelphia, PA, 11,350,000, 3 yrs Contact John P Mulroney 215 928 2100 www operaphilly com
CULTURE
Preservation Pennsylvania Harrisburg, PA, S117,000, 1 yr In support of the Philadelphia Intervention Fund, a Program that provides grants to community-based organizations in response to preservation crises Contact Patrick Foltz 717 234 2310 www preservationpa org
The University of the Arts Philadelphia, PA, S2,276,000, 2 yrs In support of the Philadelphia Exhibitions Initiative, which provides funding for pub-IIC art exhibitions and publications of high artistic caliber in the Philadelphia five-
county region Contact Paula Marincola 215 985 1254 www philexin org
The University of the Arts Philadelphia, PA, S1,000,000, I yr To re-create the historic facade of the University of the Arts' Terra Building designed by architect Horace TrumbaUeT Contact Miguet-Anget COTzo 215 717 6000 WWW UaTts edu
Philadelphia Cultural Leadership Program A program to recognize and reward artistic excellence, effective governance and strong management among Philadelphia-area cul-tUTal organizations All grants provide gen-eral operating support
The Academy of Vocal Arts Philadelphia, PA, 1180,000 3 yrs Contact Robert W Lyon 215 735 1685 www avaopera corn
American Music Theater Festival, Inc Philadelphia PA, 5975,000, 3 yrs Contact Marjorie Samoff 215 972 1000 www princemusictheater org
IiLstcor~~cal 1,itetest, is 045 000 (16%) 7 grants
K 12 Reform S2 865 000 (12%) 4 grants
Total S24 419 000 29 grants
EDUCAT10N GRANTS By RANGE 2000
I - - - -
EDIJ(ATION
V
There is an old saying-"May you live in interesting times " In education, we are unquestionably living in interesting times Experimental approaches to education abound-including standards-based reform, high-stakes assessments, charter schools, vouchers, site-based management, peTfOTmance-based pay and residential education There are great successes, wonderful teachers and students who excel There are failing schools, teachers who can't teach and students who can't read And there is great inequity Overall, the United States ranked far from the top of a recent international assessment, but within the U S , state performance Varied tremendously
The Education program believes that all children should have the Opportunity to receive a rigorous, high-quality education that will allow them to meet the challenges of work and citizenship A strong democracy and a healthy economy rest on a citizenry that has a solid grounding of knowledge and skills Through a variety of approaches, the Education pro-gram Works toward that ideal
Across the country, interest in publicly funded preschool education programs is grow-ing Two-thirds of three- to five-year-old children are cared for and educated outside of their homes New research shows that very young children can learn much more than previously thought and that children who attend high-quality early childhood programs do better in school But too often the quality of out-of-home care and education does not meet young children's needs We are eXpl0TII1g whether there is a role for the Trusts in improving public understanding of preschool issues
In K-12 education, we have long supported standards-based reform and have followed the progress of that reform and observed what works We have also begun to ask "What works'" of a broader range of issues The available information does not always provide clear answers to the questions of decision-makers, for instance Do smaller classes improve student performance' What is the most effective way to teach readiri How well do stu-dents perform in charter schools7 Do high-stakes tests improve student learning' These deceptively simple questions often have no simple answers In our K-12 program, we are exploring ways to provide accessible, objective evidence-and fact-based responses
In higher education, we seek to highlight performance of the sector as a whole-to show strengths and weaknesses and encourage states and institutions to tackle emerging as well as persistent problems The National Center for Higher Education and Public Policy, an independent, non-partisan and authoritative voice in the field, is working to stimu-late a more robust public debate on higher education, nationally and in the states Last year, the National renter released Measunng Up 2000-the fITSt state-by-state report card that issued grades in five areas of higher-education performance preparation, participa-tion, affordability completion and the benefits from an educated populace The report Cards received wide public attention, highlighting success stories and inequities across state boundaries and specific opportunities for improvement We are looking for addi-tional ways to challenge higher education to greater success
The Education program changed directors last year, and the transition permits US to Te-examine the Program's lines of work Through the year 2001, Education staff will identify and/or refine areas of activity and promising levers for change and submit specific program strategies and guidelines to the Trusts board for approval As these are approved, information will be posted on the Trusts' Web site Until the strategies are determined and the guidelines approved, the Education program will focus primarily on maintaining current grant commitments and considering renewals to existing grantees
Under S250 000 2 giant, (6 9%)
S250 000 to S499 999 10 grants (34 5%)
S500 000 to S999 999 5 grants (17 2%)
SI 000 000 and over 12 giants (41 4%)
Total 29 grants
1'2 0 0 1
Objective " Educate the general public about the critical issues that affect higher education performance at the state and national level
" Improve the quality of information available to measure higher education performance
EDUCATION PROGRAM GUIDELINES
Thank you for your interest in The Pew Charitable Trusts' Education program Since the printing of this publication, our Board has approved new guidelines for our higher education grantmaking They are listed below, as well as on OUT Web site, www pewtrusts com
Higher Education Reform
Goal To highlight higher education performance in the CTItIC31 areas of access, affordability, completion, return on investment and student learning
r2 0 0_1,1~ EDUCATION PROGRAM GUIDELINES
The Education program seeks to raise the performance of students at all levels of education, especially the capabilities of students to learn for understanding and to acquire the literacies needed for produc-tive employment and effective citizenship in our increasingly complex society
I
Requests w)ll be cons)dered for - Nationally significant initiatives that promise to deepen and broaden professional and public understanding of school reform - Initiatives that Promise to increase the demand for high-quality professional development for educators, such as state/ district policies concerning the criteria for recertification, standards for professional development and/or teacheT-assignment policies . Initiatives that promise to increase the availability of high-quality professional development, such as expanded teacher networks and/or new modes of providing professional development via technology . Initiatives that generate and dissemi-nate knowledge about the types of profes-sional development that are most effective
19
EDUCATION
K-12 Reform
Goal To encourage the fundamental reforms in the profession of teaching and the work of schools that are needed to enable all stu-dents to perform at high levels
Objectives . To sustain and advance the movement toward systemic school reform by generat-ing and sharing information about the progress of reform and about what works . To enhance professional development policies and practices that strengthen standards-based reform
Higher Education Reform
Goat
The Trusts are currently evaluating their
higher education program When this
process is completed in March 2001, new
program guidelines for higher education
will be available on the Trusts' Web site
at www pewtrusts com If you would like
to receive the new guidelines, call
215 575 4776
Historical Interest
Goat To support institutions with which the Trusts have a special historical relationship
Objective . To respond to the priority needs of selected schools, colleges and universities with which the Trusts have an historic relationship
Ineligible Requests
Requests will not be considered for - Financial aid fellowships, individual study or travel grants - Summer programs, except as a component of a year-round program " Endowments " Capital projects, unless invited by the Trusts . Individual school districts, public schools or independent schools, unless invited by the Trusts . Schools, colleges and universities outside the United States, except by invitation
Higher Education Policy Institute Son Jose, CA, $3,300,000, 3 yrs To produce and disseminate national state-by-state report cards on higher education's performance Contact Patrick M Callan 408 792 3140 www higheTeducation OTg
survey Contact John Roueche 512 471 7545
)9@ EDUCATION
ED UCATIO N GRANTS
Higher Education Reform
Alverno College Milwaukee, W1, 51,187,000, 18 mos For Student Learning Outcomes Organizing Principle of Curriculum To advance the practice of outcomes-based learning and assessment in undergraduate education Contact Austin Doherty 414 382 6085 www alveTno edu
American Academy for Liberal Education Washington, DC, $250,000, 21 mos For Reforming Accreditation in Liberal Arts To test a model of accreditation based on evidence of student learning and instruc-tional effectiveness Contact George R Lucas Jr 410 293 6003 www aale org
American Institutes for Research in the Behavioral Sciences Washington, DC $1,000,000, 3 yrs For Literacy Skills of America's College Graduates To administer the National Assessment of Adult Literacy survey to a statistically valid national sample of two-and four-year recent college graduates and to publicize the results Contact Mark Kutner 202 944 5321
WWW air Dig
Association of American Universities Washington, DC, 11,200,000, 3 yrs To create an Association of American
Universities Clearinghouse to translate
state standards and performance assess-
ments for high school graduation into
criteria for university admissions
Contact David T Conley 541 346 5714
www s4s oig
Brevard College Corporation Brevard, NC, S1,000,000, 2 yrs For the Policy Center on the First Year of College To complete the development of assessment tools and to assist campuses in using the tools to improve student success and retention in the first year of college Contact John N Gardner 828 966 5309 www brevard edu
Council for Higher Education Accreditation Washington, DC 1500,000, 2 yrs For the Accreditation and Education Effectiveness Project To support the efforts of accreditors and institutions of higher education to focus on student learning as a major factor in accreditation
Contact Judith S Eaton 202 955 6126 www chea org
Education Commission of the States Denver, CO, S326,000, I yr To conduct a feasibility study of statewide actions to provide universal preschool edu-cation and restructure education options for grades 11 to 13 Contact Gordon Van De Water 303 299 3647 www ecs org
The Education Trust, Inc Washington, DC, $1,730,000, Zyrs To support public education campaigns to improve student achievement, kinder-garten through college Contact Kati Haycock 202 293 1217 x3ll www edtrust org
League for Innovation in the Community College Mission Viejo, CA For the 21st Century Skills Project I To promote the adoption of new ways of certifying community college students' per-formance-based achievement, S1,431,000, 2 YTS If To develop and publicize policies to Improve remediation programs to increase student success in community colleges, S251,000, 2 yrs Contact Terry O'Banion 949 367 2884 www league org
The University of Maryland Foundation, Inc Adelphi, MD, 1550,000, 3 yrs For the National Association of System Heads To engage higher education and K-12 state systems in furthering stan-daTds-based reform Contact Janis I Somerville 301 445 1902
New England Association of Schools & Colleges, Inc Bedford, MA, 5348 000 30 mos For an Academic Assessment Audit To design and pilot a new accreditation toot Contact Peggy L Maki 781 271 0022 x3li www neasc org
Southern Association of Colleges and Schools, Inc Decatur, GA, $445,000, 3 yrs In support of a project to design and pilot a revised accreditation process in the Southern region Contact Dav~id A Carter 404 679 4501 x 519 www sacscoc org
The University of Texas foundation Inc Austin, TX, S1 500,000, 3 yrs For the Community College National Survey of Student Engagement To design, pilot and administer a version of the national
Kentucky School Reform Corporation Lexington, KY, $365,000, 2 yrs In support of a program to assess the qual-ity and impact of new initiatives on Kentucky's state~de teacher professional development system Contact Carolyn Witt Jones 606 455 9595 www pfks org
The Philadelphia Education Fund Philadelphia, PA S1,200,000, 3 yrs For the College Access Program, a college preparatory semce for Philadelphia public school students and the broader community Contact Dan Wofford 215 665 1400 x3341 www philaedfund org
EDUCATION
Virginia Foundation for Independent Colleges Richmond, VA, S500,000, I yr For Tek Xam To develop a national online examination to certify the technical, crit-ical thinking and pToblem-soiving skills of liberal arts college graduates Contact Paul Sankovich 804 288 0903 www virginiacolleges arg
Woodrow Wilson National Fellowship Foundation Princeton, NJ, $1,741,000 2 yrs For Discipline and K-16 Education in the 21st Century To support a national initia-tive to develop standards, assessments and model course sequences in core disciplines for grades 11 to 14 Contact Robert OTTIll 609 452 7007 www woodrow org
Woodrow Wilson National Fellowship Foundation Princeton, NJ, 1250,000, 18 mos For Preparing New Faculty To develop and publish a report on improving the way future faculty are prepared to teach Contact Robert Weisbuch 609 452 7007 x128 www woodTOW OTg
K-12 Reform
Brown University Providence, RI, $400,000, 2 yrs For the Task Force on Creating Successful School Systems To investigate the role that school districts can play in strengthening the professional development of teachers Contact Maria Ucelli 212 213 3709
The Philadelphia Education Fund Philadelphia, PA, 11 300,000, 1 yr For Advancing Duality Instruction To improve instruction through the Talent Development Program in seven middle schools and six high schools, coordinate teacher peer networks and undertake research and evaluation activities Contact Nancy 3 McGinley 215 665 1400 x3313 www philaedfund org
The Philadelphia Foundation* Philadelphia, PA, 5200,000, 2 yrs For Public Education-A Fair Opportunity for All to Learn To reflect on the imple-mentation of the Children Achieving reform agenda Contact R Andrew Swinney 215 563 6417 www philafound org
Prichard Committee for Academic Excellence Lexington, K-Y, $600,000, 2 yrs For the Commonwealth Institute for Parent Leadership To increase parent involve-ment and improve student achievement through a leadership training program for parents Contact Robert F Sexton 606 233 9849 www pricharilcommittee OTg
Historical Interests
Bryn Mawr College Bryn Mawr, PA, 51 300,000, 4 yrs, To support the college in making enhance-ments that will enable it to recruit and retain faculty members Contact Robert J Dostal 215 526 5167 www brynmawr edu
Philadelphia High School Academies, Inc Philadelphia, PA, S.900,000, 3 yrs To support programs and services for Philadelphia high school students to develop skills needed for employment after graduation Contact Natalie S Allen 215 546 6300 www phsainc org
The Shipley School Bryn Mawr, PA, 1250,000, 1 yr For construction of a new academic build-ing and gymnasium and renovation of existing facilities on the Lower School campus Contact Steven S Piltch 610 525 4300
www tibertynet Olg/shipley
Ursinus College Collegeville, PA, $125,000, 1 yr In support of site planning and design for an arts facility Contact Hudson B Scattergood 610 409 3592 www ursinus edu
White-Williams Foundation Philadelphia PA $270,000, 3 yrs To support programs and services for low-income, high-achieving students attending Philadelphia public high schools Contact Amy T Holdsman 215 563 0780
Th . ew a ~el ~,[~ded ~~ the K 12 t.t.1 ~ the g, .,h a ~, ..rded th,e.,h . ,,,.te .b.,,e
E N V I R 0 N M E N T -
ENVIRONMENT GRANTS BY SUBPROGRAM AREA 2000
Investing in focused public education initiatives constitutes one of our primary ways to encourage a More Inclusive process in environmental decision-making Accurate SCIen-tifically based information about the causes, consequences and potential solutions to environmental problems not only increases public awareness, but also provides citizens with a broader base of knowledge with which to participate in critical environmental policy debates
Conservation of Living Marine Resources S15 264 000 (29%) 19 grants
Total S52 ISO 000 The organizations With which we Work are widely representative of the American public, 44 grants
encompassing constituencies at the local, state, regional and national levels In reach- The Global Warming and Climate Change subprogram includes ing out through our partners to such a broad base of citizens, we strive to bring diverse $200 000 of Enwron .,ot , .ntnb .t, .n to Venture Fun voices into the environmental debate and to engage a wide range of different talents
ENVIRONMENT GRANTS BY GEOGRAPHIC AREA 2000
and skills in efforts to solve environmental problems
National S40 268 000 (77%) 37 grants
International $11 912 000 (2 3%)
C) 7 grants
Total $52 180 000 44 giants
The National Region total includes $200 DOD of Environment s contribution to Venture Fund grants
ENVIRONMENT GRANTS BY TYPE OF ACTIVITY 2000
Public Education $15 806 000 (30%) 18 giants
Policy S17 921 000 (34%) 13 grants
Applied Research S12 793 000 (25%) 8 grants
DeroDostration Projects S5 670 000 (11%) 5 giants
Total $52 180 000 44 giants
We have made significant investments toward strengthening the management of electric utilities in ways that increase the use of energy-efficient and renewable technologies Since 1991, the Trusts and their partners have helped to Promote $15 8 billion in energy-sav~mg programs, which have reduced annual electric sales by about two percent nation-wide Finally, we have been very active in efforts to reduce harmful air emissions from the electricity sector, with particular emphasis on coal-fiTed power plants The Clean Air Task Force (created by the Trusts in 1996) and its "Clear the Air" initiative, a coordinated national effort launched in 1999 have significantly contributed to the development of stronger air-emission policies in four states and encouraged decisive action by the Environmental Protection Agency to adopt two rules mandating significant reductions in poweT-plant emissions in addition to bringing the largest enforcement action in history against aging power plants
Demonstration Projects total includes SZOO 000 of EAvrionment s contribution to Venture Fund grants
Old Gro.th Forests and Wilderness Protection S15 850 000 (31%) 17 grants
Global Warming and Climate Change S21 066 000 (40%) 8 grants
The mission of the Environment program is to promote policies and practices that protect the global atmosphere and preserve old-growth forest, wilderness and Marine ecosystems Our work is highly goal-oriented, and virtually all of the activities we support contain well-defined benchmarks that enable us to measure progress toward meeting explicit targets
our Work on climate change aims to reduce emissions of carbon dioxide and other green-house gases that contribute to global warming We support projects urging strong action by government and the private sector to take the steps necessary to reduce carbon diox-ide emissions in this country and abroad Through the Pew Center on Global Climate Change we are investing in nonpartisan research to assess the environmental and economic impacts of global warming, to determine what constitutes a fair burden for developed and developing countries to assume in reducing greenhouse gases, to evalu ate models that calculate the economic costs to the nation of mitigating greenhouse gases, and to encourage major corporations to take steps to reduce their emissions In the last three years, the Center has released more than 25 highly publicized reports on
I climate-change policy, impacts and solutions Together with its Business Environmental Leadership Council, a group of 28 companies worldwide that support action on climate change, the Center has been widely credited with changing the position of business on this issue in ways that have made a critical difference to the ongoing debate about global warming
2 0 ~1 ENVIRONMENT PROGRAM GUIDELINES
Ineligible Requests Requests will not be considered for
Endowments Debt reduction Capital projects Equipment purchases Nonapplied research Individuals or government institutions Scholarships or fellowships not part of
programs initiated by the Trusts
Proposals in this category are accepted only at the specific invitation of the Trusts
ENVIRONMENT
The Environment program aims to promote policies and practices that protect the global atmosphere and preserve healthy forest and marine ecosystems
Conservation of Living Marine Resources
Goal To protect and restore fisheries and other living marine resources
Objectives I To educate policyroakers, the media and the public about the need to protect the marine environment . To promote public policies that protect the biological integrity of marine ecosystems
Requests will be considered for * Educating and mobilizing the general public to support the preservation of marine ecosystems . Encouraging the adoption of policies that promote the sustainable management of fisheries and other living marine resources . Conducting applied research aimed at better informing policyrnakers and the general public about the economic biolog-ical and ecological values of marine ecosystems and the extent to which they are being degraded by human activities
Global Warming and Climate Change
Goal To reduce emissions of carbon dioxide and other greenhouse gases that contribute to global warming
Objectives . To reduce projected CO, emissions from the nation s electric-power sector . To encourage the design and implemen-tation of government policies and business practices that will significantly reduce the emission of greenhouse gases that con-tribute to global warming
Work is undertaken in the following areas . Educating the general public about the causes and consequences of, and solutions to, global warming . Encouraging the adoption of regulations and policies that (1) Support the develop-ment of clean energy resources and tech-
nologies, (2) reduce Power plant emissions, with a particular emphasis on coal-fired power plants, and (3) reduce projected car-bon emissions in the United States . Conducting applied research and analysis aimed at (1) better informing policymakers and the general public about the health and pollution effects of power plants, and (2) developing energy efficiency and renewable energy programs and regulatory structures suitable for a restructured electric power industry . Building demand for electricity supply and service Offerings that reduce the risk to public health and lessen the environmental impact of electric-powei generation
Old-Growth Forest and Wilderness Protection
Goal To protect old-growth forest and wilder-ness areas on public lands
Objectives . To encourage permanent or interim pro-tection for old-growth forest and wilder-ness areas in the United States and Canada . To encourage the adoption of forest man-agement practices that protect the diverse ecological values of forests, particularly those on private lands
Requests will be considered for . Educating and mobilizing the general public select constituencies and policy-makers to support preservation of old-growth forest and wilderness ecosystems
4
ENVIRONMENT PROGRAM STAFF
Joshua S Reichert For much of the past decade, the Trusts have focused a great deal of attention on invest- Director ments to protect old growth forests and wilderness areas on public lands in the United 215 575 4740 States and Canada As part of this effort, we have initiated and supported a series of jrelchert@pewtrusts corn regional and national public education campaigns focused on land-management planning
issues To date, these projects have contributed significantly to achieving permanent pro- Steven E Kallick tection for more than too million acres of critical forest and wilderness habitat in North Assistant Director America The most recent of these efforts, the Heritage Forest Campaign, has united more 215 575 4747 than 500 conservation groups nationwide in the effort to achieve permanent protection skattick@pewtrusts corn Of up to 60 million acres of wilderness areas within America's national forests-almost
double the amount of wilderness protected on national forest land since the establishment Jay W Nelson of the National Forest Service roughly 100 years ago Program Officer 215 575 4745 Finally, we have been working to build a broader base for conservation advocacy on public- jnelson@pewtrusts com. land issues To that end, in 2000, we initiated the Pew Wilderness Center and the Canadian
Kathleen A Welch Boreal Trust which wilt coordinate, expand and enhance our forest and m1derness protection efforts in North America in the yeats ahead
Program Officer 215 575 4757 OUT marine work is predominantly focused on halting the decline of fisheries in U S kwelch@pewtrusts com waters along with protecting a variety of other marine species, including seabirds, marine
June Ertl mammals and invertebrates, together with the habitat on which they depend This work is undertaken through a series of major initiatives launched by the Trusts over the past
Assistant to the Director several years such as SeaWeb, the Ocean Law Project the Regional Fisheries Initiative and
215 575 4741 jertl@pewtrusts corn
Restore America's Estuaries These efforts utilize communications, public education, law and science to increase public awareness about the crisis affecting the oceans, develop a
Dianna L Furey broader understanding of the ecological and socioeconomic impact of human activities on
Administrative Assistant the sea, ensure that Current laws aimed at protecting the marine environment are respected
215 575 4744 by those government agencies charged with managing marine resources and promote
dfurey@pewtrusts com Stronger public policies designed to safeguard the biological integrity Of Marine ecosys- tems and the life they harbor
Andrea R Powers Administrative Assistant This past year, such initiatives and others played a significant role in securing the
215 575 4742 approval of an International plan to restore the population of North Atlantic swordfish
a powers @ pewtrusts corn to healthy levels in 10 years, the adoption of 20 important measures to help conserve specific fish stocks in virtually every region of the country, a series of landmark court
Conservation of Living Marine Resources decisions that have closed over 7 5 million square miles of U S territorial water to
Jay Nelson destructive fishing practices, the adoption of measures by the state of Hawaii that will dramatically reduce the practice of shark finning in Hawaiian waters, and approximately
Global Warming and Climate Change $275 million in federal funding over five years for estuarine restoration projects in the Kathleen Welch United States The Pew Oceans Commission, a group of distinguished Americans led by
former White House Chief of Staff Leon Panetta, began its work in 2000 to make recom- Old Growth Forest and Wilderness mendations to the nation regarding ways in which to protect and sustainably manage Protection America's living marine resources in the 21st century Steven Kallick
General Questions June Ertl, Dianna Furey, Andrea Powers
ENVIRONMENT
/-- -0-0~ 20 E N V I R 0 N M E N T G R A N T S
Bermuda Biological Station for Research, Inc White Plains, NY, 1150,000 2 yrs For the Effectiveness of Bermuda No-Take Zones To conduct a study to determine the effectiveness Of Marine -protected areas and no-take zones in Bermuda as a model for other coral reef systems Contact Anthony H Knap 441 297 1880 www bbsr edu
Consultative Group on Biological Diversity, Inc Son Francisco, CA, $60,000 2 yrs For the Consultative Group on Biological Diversity For continued support to create partnerships among foundations and other nonprofits to strategically address the loss of biodiversity Contact Lynn Lohr 415 561 6576
EN VIRO N MEN T
Conservation of Living Marine Resources
American Oceans Campaign Washington, DC, $150,000 2 yrs For the Marine Fish Conservation Network For support of a public education effort to reform the nation's fishery management system Contact Lee R Crockett 202 543 5509 www americanoceans org
American Rivers, Inc Washington, DC, 1250,000 1 yr For the Hydropower Reform Coalition To support the Running Rivers Campaign's work to restore river habitat critical to the health of anadromous and fresh-water fish populations through reform of hydropower dam operations and management Contact Andrew Fahlund 202 347 7550 www americanrivers org
American Rivers, Inc Washington, DC, 1995,000, 9 mos For the Columbia and Snake Rivers Campaign To help restore key Pacific salmon popula-tions by supporting efforts to strengthen significantly the public constituency needed to breach the four dams of the lower Snake River in Washington state Contact James P Ford 208 345 9067 www americanrivers org
Center for Marine Conservation Washington, DC To reverse the decline of fish populations by reducing oveifishing and bycatch, and the destruction of essential marine habitat I For U S Pacific fish populations, S80,000, I yr Contact Mark Powell 415 391 6204 11 For U S mid-Atlantic fish, $60,000, 1 yr Contact Sonja Fordharn 202 429 5609 III For U S Gulf of Mexico fish popula-tions, $80,000, 1 yr Contact Marianne Cufone 727 895 2188 IV For U S Southeast Atlantic fish popu-lations, S70,000, 1 yr Contact Marianne Cufone 727 895 2188 www cmc-ocean org
Conservation Law Foundation, Inc Boston, MA, 1200,000, 2yrs For the New England Fishery Council Reform Coalition To promote sustainable management policies for New England marine fisheries Contact Priscilla Brooks 617 350 0990 www clf org
Conservation Law Foundation, Inc Boston, MA $206 000, 2 yrs For the Gulf of Maine Marine Protected Areas Campaign To support the planning and design of a public education campaign to establish marine - protected areas in the Gulf of Maine Contact Priscilla Brooks 617 350 0990 www clf org
Duke University Durham, IVC, $1,215,000, 30 mos For the Pelagic Longline Study To conduct a comprehensive study of the ecological impacts of the Worldwide pelagic longline industry Contact Larry Crowder 252 504 7637 www duke edu
Earthjustice Legal Defense Fund Washington, DC, S1,233,000, 15 mos For continued support of the Ocean Law Project, a coordinated effort to restore marine ecosystems and fisheries Contact Stephen E Roady 202 667 4500 www eazthjustice Org
Marine Conservation Biology Institute Redmond, WA, 51 10, 000, 2 yrs For support of the Second Symposium on Marine Conservation Biology Contact Elliott A Norse 425 883 8914 www mcbi org
New England Aquarium Corporation Boston, MA, $1,568,000, 3 yrs For the Pew Yellows Program In Marine Conservation I For administrative expenses to operate the Pew Fellows Program for fiscal years 2000 through 2003, $1,568,000, 3 yrs II For the 2001 Pew Fellows class, S1,500,000, 3 yrs Contact Cynthia R Robinson 617 720 5101 www neaq org
Poseidon, Inc New York, ArY, 14,032,000, 1 yr To establish a new global marine orgarrization
San Francisco CA, $220,000, 9 mos For Environmental Media Services For a Strategic media tour at the national level and in key states to promote energy effi ciency and clean-power technologies as an important part of the solution to the elec tric system reliability problem Contact Jon Coifnian 202 463 6670 www tides OTg
Earthjustice Legal Defense Fund Washington, DC 15,520,000, 1 yr To establish a center that will coordinate and support a public education initiative to enhance wilderness protection efforts by the U S conservation community Contact Michael Matz 202 544 3691 www earthjustice org
University of British Columbia Vancouver, BC, $2,105 000 1 yr For the Sea Around Us Project To apply a newly developed ecological model to assess the overall health of two major global marine regions, with a particular emphasis on the ecosystem impacts of commercial fishing Contact Daniel Pauly 604 822 1202 www ubc ca
Global Warming and Climate Change
Center for Energy Efficiency and Renewable Technologies Sacramento, CA, 1590,000, 2 yrs For the Texas and Western States Clean Energy Project To support the implemen tation of renewables policy in Texas and the western states Contact V John White 916 442 7785 www cleanpoweT org
The Energy Foundation San Francisco, CA, S5,149 000 2 yrs For the EleCtTIC-Sector Reform Initiative To support state and regional efforts to secure regulations and funding commit-ments that will increase the development of energy efficiency and clean generation technologies in the electric sector Contact Eric Heitz 415 546 7400 www ef Org
National Environmental Trust Washington, DC, 53,000,000 1 yr Contact Thomas Wathen 202 887 8812 www environet com
National Environmental Trust Washington, DC, $3,000,000, 15 mos Contact Philip E Clapp 202 887 8810 www environet corn
Pace University New York, NY, $4,377,000, 1 yr For the Clear the Air Campaign To support efforts to reduce harmful air emissions from the nation's power plants Contact Angela Ledford 202 887 1715 www pace edu
Rockefeller Family Fund Inc New York, MY, $280,000, 1 yr For the Env~ronmental Enforcement Project To support efforts to improve enforcement of the Clean Air Act and to reduce harmful air emissions from electric power plants in Georgia, Ohio and Texas Contact Larry Shapiro 212 812 4252 www rffund org
Strategies for the Global Environment, Inc
Arlington, VA, 54 250,000 1 yr In support of the Pew Center on Global Climate Change Contact Eileen Claussen 703 516 4146 www pewchmate OTg
Tides Center
Otd-Growth Forests and Wilderness Protection
Alaskan Conservation Foundation Anchorage, AK, 5500 000 1 yr For the Alaskan Rainforest Campaign To support a campaign to seek permanent administrative protection of 14 million acres of roadless land in the Alaska Rainforest Contact Matt Zencey 907 222 2552 www akrain org
Colorado Environmental Coalition Inc Denver, CO, $200,000, 1 yr For the Colorado Wilderness Network To support a public education campaign to protect wilderness in Colorado Contact Jeff Widen 303 534 7066 WWW OUTCO[Orado org
Ducks Unlimited, Inc Memphis, TK, 52 100,000 1 yr To establish a nongovernmental organiza-tion to lead conservation efforts to protect the Canadian boreal forest Contact Fritz Reid 916 852 2000 www ducks org
Earthjustice Legal Defense Fund Washington, DC 1300 000, 1 yr To support the Forest Service Timber Budget Reform Campaign Contact John Bowman 202 546 8500 www earthjustice org
The Sierra Club Foundation San Francisco CA, 1280,000, 1 yr For the High Plains Initiative To support a public education campaign to protect grasslands wilderness in North Dakota and South Dakota Contact Kirk Koepsel 307 672 0425 www tscf org and WWW SleTraclub org
U S Working Group, Inc Washington, DC, $2,200,000, 3 yrs For certification of at least 15 million acres in Canada Contact Henry A Cauley 202 342 0413 www fscus org
ENVIRONMENT
Friends of the River Foundation Sacramento, CA, $400,000 1 yr For the California Wild Heritage Campaign For continued support of a public educa-tion campaign to protect wilderness in California Contact Robert Schnieder 916 442 3155 www friend soft heriver org
Oregon Natural Resources Council Fund Portland, OR, $200,000, 1 yr For the Oregon Wild Campaign To support a public education campaign to protect forested wilderness in Oregon Contact Regna Merritt 503 223 9001 www civic org
Outdoor Recreation Foundation Boulder, CO, 11,000,000, 2 yrs To support a new initiative to engage wilderness-dependent businesses in national conservation policy debates related to pro-tecting public lands for wildlife habitat and nonmotorized recreation Contact Myrna Johnson 303 444 3353
WWW OTca org
Southern Environmental Law Center, Inc Charlottesville, VA, 800,000, 2 yrs For the Southern Appalachian Forest Coalition For support of a campaign to Protect old-growth forests and wilderness in the Southern Appalachians Contact Tom Hatley 828 252 9223 www safc org
Trout Unlimited National Office Arlington, VA, $1,000,000, 2 yrs For the Trout Watershed Campaign For support of a campaign to gain Protection for native trout and trout habitat across
the western United States Contact Steven N Moyer 703 522 0200
www tu. Org
Trust for Public Land San Francisco, CA, $200,000, 1 yr For the Acquisition for Grazing Rights for Conservation To demonstrate the viability of a voluntary grazing permit purchase/ retirement program as a way to protect threatened public grasslands in the west-
ern United States Contact Geoff Roach 503 228 6620 wmw tpl Org
The Wilderness Society Washington, DC, 31100,000, 6 mos For Americans for Our Heritage and Recreation To support increased media coverage of Land and Water Conservation Fund issues Contact Jane Danowitz 202 833 2300 www wilderness org
The Wilderness Society Washington, DC I For the Nevada Wilderness Campaign, a public education campaign to protect wilderness in Nevada, S350,000, I yr If For the Arizona Wilderness Campaign, a public education campaign to protect wilderness in Arizona, S350,000, 1 yr III For the New Mexico Wilderness Campaign a public education campaign to protect wilderness in New Mexico, $350,000, 1 yr Contact John Wallin 202 833 2300 www wilderness org
HHS GRANTS By SUBPROGRAM AREA 2000 The Health and Human Services (HHS) Program is designed to promote the health and well-being of the American people and to strengthen disadvantaged communities
Local Program Health and human services providers have been challenged over the past few years by $19 348 000 (4 7%) both market forces and changes in public policy The consequence is that many programs 160 giants have had to change to fit new realities and societal needs at both the national and local
National Program levels Our staff has developed new and innovative strategies to address these issues S15 983 000 (39%) 5 grants
Our national program identifies and focuses on specific social and health policy issues Other Projects that compel discussion and resolution 11 is designed to be timely, adaptable and, S5 907 000 (14%) 14 grants perhaps most important, responsive to the changing needs of the American public The
program is described in the white paper "Public Voices, Public Choices," which is avail- Total S41 238 000 179 grants able in full at www peWtTUStS COM (If you do not have access to the Internet, you may
obtain the paper by contacting the HHS Program )
Under S250 000 167 grants (93%)
$250 000 to $499 999 4 grants (2%)
$500 000 to $999 999 2 grants (1%)
$1 000 000 and o~e, 6 grants (4%)
Total 179 grants
HHS GRANTS BY GEOGRAPHIC AREA 2000
Total S41 238 000 179 grants
The design of the HHS national program focuses sequentially on major issues, calling for staff to anticipate the next issue for the Trusts to tackle Currently we are considering an initiative in bioethics Advances in biotechnology continue to emerge at a rapid pace, yet there are very few efforts under way to assist the public and policynnakers in under-standing (and weighing) the risks and benefits associated with the scientific break-throughs Given the history of the Trusts' strong support for biomedical research, our
DW HEALTH AND HUMAN SERVICES
HEALTH AND HUMAN SERVICES
Nabodal Program includes S7 900 000 of FIRS contribution tO Venture Fund giants
HHS GRANTS By RANGE 2000
Philadelphia Area S 2 3 95 5 000 (58%) 172 grants
NaUonal S17 283 000 (42%) 7 grants
National Program includes $7 900 000 of HHS contribution to Venture Fund grants
"Public Voices, Public Choices" identifies four issues of critical importance as examples of policy issues to which the Trusts could make a unique contribution by supporting efforts to help Americans understand and participate effectively in complicated social and health policy debates and discussions These issues include public health, bloethics, the health care delivery system and welfare reform
Our initial effort responds to a failing public health system The compelling need is clear Outbreaks of bacteria in our water and food are on the rise The prevalence of asthma is apparently increasing, and no one knows why State and local public health offices often lack the training and technology needed to identify problems early and respond quickly The HHS initiative addresses problems underlying the public health infrastructure and the need to measure the impact of environmental factors on human health
The first step is the implementation of a Coordinated national approach to health track-ing and monitoring that can begin to track and explain the apparent increase in the prevalence of such chronic diseases as birth defects childhood cancers and asthma To meet this objective, staff designed a strategy that includes support for the Pew Environmental Health Commission at the Johns Hopkins University School of Public Health and a public education campaign based at Georgetown University, called Health Track, which is designed to educate the public and policymakers about the need for a well -coordinated, national approach to environmental health tracking and monitoring Finally, to help organize a constituency for nationwide health tracking and monitoring, the Trusts' strategy includes support for a new nonprofit organization called the Trust for America's Health, as well as grants to the U S Public Interest Research Group Education Fund and Physicians for Social Responsibility
commitment to engaging the American people in public policy issues, and our Religion program's emphasis on religion and public life the Trusts are in - unique pusitiun to focus on the ethical, legal, religious and social implications shaping the field of bioethics, which, at least in the public policy arena, is in its infancy
In biomedical research, the Pew Scholars Program in the Biomedical Sciences continues to support investigators in the early stages of their independent caieezs, encouraging them to undertake innovative pzojects that have the potential to significantly advance their field of study More than 300 investigators have participated in the program, now in its 16th year Significant numbers of alumni have gone on to win tenure at research institu-tions, receive nationally competitive honors and awards, and attract public attention to significant achievements-suggesting that this program has provided the opportunities the Trusts envisioned from the start
The Trusts' community development program focuses support on a core group of the strongest and most effective community development corporations (CDCs) in Philadelphia, and the intermediaries that provide CDCs with needed technical and financial assistance, while remaining alert to opportunities to infoim the local policy environment in which they operate
HEALIH AND HUMAN SERVICES
I
Locally the HHS program has had a longstanding commitment to improving the quality of life for certain groups of people-the elderly children, youth and their families, and vul-nerable adults-thTOugh the Pew Fund for Health and Human Services The agencies that serve these individuals face considerable challenges in the wake of welfare reform and managed care To succeed in an increasingly competitive and performance -driven funding environment, they must strengthen their overall organizational and management capacities Accordingly the Trusts have implemented a program that, through nonprofit intermedi-aries, provides technical assistance and capacity-building skills to our grantees in addition to the support that helps them provide crucial services to needy populations
)Ng HEALTH AND HUMAN SERVICES
H E A L T H A N D H U M A N S E R V I C E S S T A F F
Maureen K Byrnes Marilyn G Rittenhouse National Program Director Program Associate Maureen Byrnes Pauline Abernathy, 215 575 4860 215 575 4843 Sherrie Hans, Carole McGeehan Johnson, mbyrnes@pewtrusts com, mrittenhouse@pewtrusts com Cheryl Rusten, Geraldine Allen, Carolyn
Boston, Monique West Frazierita D Ktasen H Cheryl Rusten Assistant Director for Local Programs Program Associate Local Programs 215 575 4865 215 575 4853 - Pew Fund for Health and Human Services fklasen@pewtrusts corn crusten@pewtrusts com Frazierita Klasen, Mary Pritchard,
Emily Davis, Cassandra Soto Pauline M Abernathy Karen M Swartz - Community Development Program Officer Assistant to the Director Beverly Coleman, Glory Donovan 215 575 4711 215 575 4861 pabern at hy@ pewt rusts corn kswartz@pewtrusts corn General Questions
Karen Swartz Beverly Coleman Geraldine D Allen Program Officer Administrative Assistant 215 575 4864 215 575 4869 bcoleman@pewtrusts corn gallen@pewtrusts corn
Sherrie L Hans Carolyn A Boston
Program Officer Administrative Assistant
215 575 4850 215 575 4852
shans@pewtiusts Corn cboston@pewtrLists corn
Mary L Pritchard Glory D Donovan Program Officer Administrative Assistant 215 575 4856 215 575 4866 mpritchaTd@pewtrusts Corn gdonovan@pewt rusts com
Emily F Davis Cassandra L Soto Program Associate Administrative Assistant 215 575 4858 215 575 4851 edavis@pewtrusts Corn Csoto@Pewtrusts com
Carole McGeehan Johnson Monique West Program Associate Administrative Assistant 215 575 4854 215 575 4857 cjohnson@pewtrusts corn mwest@pewtrusts corn
HEALTH AND HUMAN SERVICES PROGRAM GUIDELINES
The HHS national program structure is designed to focus on one compelling social and health policy issue at a time Support is concentrated in a highly strategic fash-ion in order to advance a goal in two to three years at which time the HHS pro-gram can shift resources to a new OPPOTtU-nity that meets the Same Criteria leaving the field prepared for sustained work by government, the philanthropic and/or pri-vate sector As the public health initiative enters its third and final year, the HHS program is in the process of developing a new initiative that will focus on the ethi-cal, legal religious and social implications of new developments in biomedical research and technology, as well as exploring other issues in which the Trusts can make a unique contribution Staff plans to submit a proposal for a new initiative to the Trusts' board by September 2001
Objective . To facilitate the implementation of a national approach to disease tracking and monitoring
HEALTH AND HUMAN SERVICES
The Health and Human Services program is designed to promote the health and well-being of the American people and to strengthen disadvantaged communities
NATIONAL PROGRAM
The national program promotes policies and activities that address health and human services issues of compelling importance in which the Trusts can make a unique contri-
bution and in which the Trusts can help to engage more public voices in the public choices our society needs to make
Public Health
The Trusts are currently supporting a three-year initiative in public health that has the following goal and objective
Goal To promote the development of a stronger public health system that can protect Americans from existing health threats as well as new and emerging ones
To meet this objective, the Trusts have designed a strategy that includes support for the Pew Environmental Health Commission at the Johns Hopkins University School of Public Health and a public education cam-paign based at Georgetown University, called Health-Track, which is designed to educate the public and policyrnakeys about the need for a well-coordinated, national approach to environmental health tracking and monitor-ing Over the next year, the Trusts will also invest in developing an organized env~ron-mental health constituency
Requests Progress toward meeting the Trusts' public health objective will be assessed at the end of 2001 Until then, the HNS program is not accepting any further requests in this area
Bioethics
Biomedical Research and Training
Goal To promote continued excellence in bio-medical research in the United States and to develop research in Latin America by supporting outstanding, competitively selected biomedical scientists and foster-ing interdisciplinary biomedical research This program strives to fill needs in the biomedical research community that are not sufficiently addressed by other fund-ing sources, particularly by the National Institutes of Health
Objectives * To provide flexible support to outstand-ing beginning faculty helping to establish their research careers and providing them with an opportunity to pursue innovative new lines of work * To promote research excellence in Latin American countries by establishing a CTItI-cat mass of well-trained investigators in those countries
Requests wit[ be considered for . Selected biomedical research and training projects to be considered at the invitation of the Trusts
I
Requests will not be considered for . General operating support or core programs of organizations outside the Philadelphia-five-county area . Scholarships or internships not part of a Trusts -initiated program - Capital projects, unless invited by the Trusts
" Endowments " Debt reduction " Disease- specific projects " Clinical or basic biomedical research not part of a Trusts-initiated program or not conducted by those institutions with which the Trusts have a longstanding relationship
Requests will be considered for . Projects that fall within the Pew Fund's three Program categories elderly people, children, youth and their families, and vul-nerable adults For each of these categories, a separate Request for Proposals (RFP) is issued Please note that the RFPs for elderly people and children, youth and families will be available in the spring and Summer of 2001, respectively The RFP for the vul-nerable adults grantmaking cycle will be available in 2002 For more information about the structure and application Pro-cedures of the Pew Fund, please call Frazierita Klasen, the Assistant Director, Local Programs, at 215 575 4865, or e-mail her at fklasen@pewtrusts com . Projects from selected local institutions with which the Trusts have a longstanding funding relationship
HEALTH AND HUMAN SERVICES
LOCAL PROGRAM
The local Program is designed to increase opportunities for disadvantaged individuals and families to achieve improved function-ing and self-sufficiency The Trusts' strategy is to provide support to local nonprofit organizations to deliver needed services and to strengthen their overall capacity
Community Development
Goal To support the strongest community devel-opment Corporations (CDCs)
Objectives . To Provide operating support to the strongest CDCs through the Philadelphia Neighborhood Development Corporation (PNDC) for more information about PNDC, please call the project director at 215 563 6417 . To provide financial and technical assis-Lance through three intermediaries . To take advantage of opportunities to improve the local policy environment in which CDCs operate
Pew Fund for Health and Human Services in Philadelphia
Goal To deliver cost-effective services that are responsive to community needs and to strengthen key organizations that provide these services in Philadelphia and Bucks, Chester, Delaware and Montgomery counties
Objectives . To provide operating and project-specific support for Crucial programs and services that effectively meet the needs of disad-vantaged populations in the Philadelphia region . To enhance the overall organizational and management capacity of local nonprofit health and human service organizations to provide needed services to disadvantaged populations in the Philadelphia region
Ineligible Requests
2000 HEALTH AND HUMAN SERVICES GRANTS
Accion Comunal Latino American de Montgomery County - ACLAMO Norristown, PA 1100,000, 2 yrs For continued support of the Familias Adelante/Latino Child and Family Project to promote the healthy development of low-income, high-risk Latino children and youth living in Montgomery County Contact Adamino Ortiz 610 277 2570
United States Public Interest Research Group Education Fund, Inc Washington, DC, S390,000, 1 yr For the Disease-Tracking Right-to-Know Project To engage environmental and health organizations at the state level in activities that raise awareness of the need to imple-ment a national disease-tracking network Contact Jeremiah Baumann 202 546 9707 www pirg org/uspirg
14EALTH AND HUMAN SERVICES
NATIONAL PROGRAM
Georgetown University Washington, DC S4,650,000, I yr For Health-TTack To educate the informed public and key federal policymakers about the need for a well-coordinated national approach to environmental health tracking and monitoring Contact James A O'Hara 111 202 687 0736 wvrw health-track org
The National Center on Addiction and Substance Abuse at Columbia University New York, Ary, $247,000, 9 mos To support research on issues related to underage drinking Contact Susan E Foster 212 841 5200 www casacolumbia org
Physicians for Social Responsibility, Inc Washington, DC, S296,000, I yr To build a network of health care providers interested in environmental health issues Contact Susan T West 202 898 0150 www PST oTg
Public Interest Projects New York, ArY. S2,500,000, 2 yrs To support the establishment of a new non-profit organization, the Trust for America's Health, to champion improvements in the nation's public health infrastructure and ability to prevent chronic diseases Contact Shelley A Hearne 410 659 2690
LOCAL PROGRAM
Community Development
Delaware Valley Community Reinvestment Fund Philadelphia, PA, $350,000, 3 yrs In support of the Philadelphia Jobs Initiative, an effort to improve access to jobs for disadvantaged young adults Contact Margaret Berger Bradley 215 925 1130 x222 www trfund com
United Way of Southeastern Pennsylvania Philadelphia, PA, 12,000,000, 3 yrs In support of the Philadelphia Neighbor-hood Development Collaborative, an operat-ing-support program for select community-development corporations in Philadelphia Contact Mary Strasser 215 665 2500
Pew Fund for Health and Human Services in Philadelphia The Pew Fund for Health and Human Services in Philadelphia supports organizations that deliver cost-effective services that are res-ponsive to community needs and strengthens key organizations that provide these services in Philadelphia and Bucks Chester, Delaware and Montgomery counties
Act?omAIDS, Inc Philadelphia PA, $160,000, 2 yrs To provide mental health services in conjunction with housing counseling and employment services to HIV-positive indi-viduats in Philadelphia Contact Joan Curran 215 981 3339 www actionaids org
AIDS Law Project of Pennsylvania Philadelphia, PA 184,000, 2 yrs To help people with AIDS to enter the workforce without losing critical health care and related benefits Contact Ronda Goldfein 215 587 9377
Albert Einstein Healthcare Network Philadelphia, PA, $82,000 2yrs To provide stayt-up support for a substance-abuse consultation service for medical and rehabilitation patients Contact Gregory R Rosas 215 877 2000 www einstein edu
The Allegheny West Foundation Philadelphia PA, S145,000, 2 yrs Irk Support of the Career Achievement Program designed to teach basic life skills and provide employment opportunities to low-income youth in the Allegheny West neighborhood Contact Ronald Hinton Jr 215 225 1019
American National Red Cross - Lower Bucks County Chapter Levittown PA I For continued support to provide case management and supplemental Services to shelter residents, $94,000, 2 Virs Il For technology and staff training to improve data management, $11,000 2 yrs Contact Ruth Cila 215 946 4870 www redCT0sslbcc org
Bucks County Council on Alcoholism and Drug Dependence, Inc Doylestown, PA, $35,000, 2 yrs To evaluate the Mothers Overcoming Mood-Altering Substances program which provides intervention and education to pregnant women at risk of substance abuse as a basis for future program expansion Contact Beverly J Habefle 215 345 6644 www BCCADD oig
DM HEALTH AND HUMAN SERVICES
American National Red Cross -Southeastern Pennsylvania Chapter Philadelphia, PA, 184,000, 2 yrs In Support Of Partners for Youth, a program to foster positive development of at-risk youth through their participation in com-munity service projects Contact Edmond H Clarke 215 299 4206 www redCTOSS-philly org
Anti-Violence Partnership of Philadelphia Philadelphia, PA, $74,000, 2 yrs; For Support of a violence reduction project in five schools within the BaltTain School Cluster in Southwest Philadelphia Contact Julie Good 215 438 9070 www netreach net/-avp
The ARC of Montgomery County King of Prussia, PA, $100,000, 2 yrs To establish The Family Trust to assist dis-abled individuals and their families to plan for future financial needs Contact Paul Stengle 610 265 4700
Asian Americans United Philadelphia, PA, $73,000, 2 yrs In Support of social services to promote the healthy development of low-income children in Chinatown Contact Ellen Somekawa 215 925 1538 www aaunited org
Bethesda Project Philadelphia, PA I For continued operating Support to Pro-vide services to individuals who are chTon-ically homeless $125,000, 2 yis 11 To provide clinical training for staff, $15 000, 2 YTS Contact Angelo SgTo 215 985 1600 www netaxs com/people/bethesda
Big Brother and Big Sister Association of Philadelphia Philadelphia, PA, $100 000, 2 yrs For continued operating support to provide adult mentors for at-risk youth Contact Thomas E Weber 215 557 8600 www bbbsphiladelphia OTg
Big Sisters of Philadelphia, Inc Philadelphia, PA I For continued Support of mentoring and school-based programs for at-risk girls, $100 000, 2 yrs 11 To develop a strategic plan and improve volunteer recruitment, $23,000, 2 yrs Contact Nancy McCullar 215 735 7775 bigsisphit org
Boys and Girls Clubs of Metropolitan Philadelphia, Inc Philadelphia, PA I In support of Project Learn designed to Improve the academic performance of children and youth living in West Kensington and FTankfOTd, $170 000, 2 yrs Il To enhance the capacity of staff to deliver and monitor programs and assess the outcomes of their work, $53,000, 2 yis Contact Diane DatcheT 215 735 8818 www libertyriet org/-bgcmp
Bucks County Housing Group, Inc Langhorne, PA I For support of case management services to clients leaving its shelters and transi-tional housing programs to ensure their success in achieving and maintaining stability and independence, $133,000 2 YTS 11 To establish a comprehensive organiza tional database to enhance its ability to monitor and assess its programs $88,000, 2 yrs Contact Santo Gairo 215 598 3566 www buckscountyhousinggroup org
Calcutta House
Philadelphia, PA, $149 000, 2 yrs
I For continued operating support of a
personal-care home for individuals with AIDS, $115,000 2 yrs II To develop a database to track resident outcomes and assess program results, S34 000 2 yrs Contact Steve M Peura 215 684 0483 www calcuttahouse org
Center for Literacy, Inc Philadelphia, PA, $140,000, 2 yrs To identify assess and better serve indi-viduals with learning disabilities who are currently students in its programs Contact JoAnn Weinberger 215 474 1235 x227 www centeTfOrIlteracy org
Central Montgomery Mental Health/Mental Retardation Center Norristown PA $80,000, 2 yrs In support of prevention and intervention services for Norristown kindergartners and their families Contact Clark E Bromberg 610 277 4600 www centralmhmr org
Childspace Cooperative Development, Inc Philadelphia PA I To improve the quality of care at its three day-CaTe centers by providing train-ing for parents and staff, S40,000 2 yrs 11 To Improve the financial management of its operations, S30,000, 2 yrs Contact Susan Kavchok 215 248 3080
www caspa org
I
HEALTH AND HUMAN SERVICES
Chester Education Foundation Chester, PA, $85 000, 2 yrs For continued Support to improve the academic performance, social development and life skills of students in the Chester-Upland School District Contact Cheryl F Burns 610 364 1212 www chestereducation org
Chester Education Foundation Chester, PA, 5100,000 2 yrs For support of the Social Work Consultation Serv~ces project to enhance the capacity of social service agencies in the city of Chester to serve adults with multiple and chronic problems Contact Cheryl F Burns 610 364 1212 www chestereducation org
Children, Youth and Family Council Education Consortium Inc Philadelphia, PA, 5?00,000, 2 yrs To improve the knowledge and skills of child welfare agency staff and foster parents Contact Letty D ThaR 215 748 4688 www libertynet org/-cyfc
Children's Aid Society Norristown, PA, 596,000, 2 yrs For a collaborative venture with the Carson Valley School to recruit, train and retain family-support staff Contact Thomas J Armstrong 610 279 2755 x347 www libertynet org/cas
Children's Aid Society of Pennsylvania Philadelphia, PA, 1120,000 2 yrs In support of the Time Out for Teens and Tots program to help teen mothers develop effective parenting skills Contact Gail Ober 215 546 2990
Children's Crisis Treatment Center, Inc Philadelphia, PA, $137,000, 2 yrs In support of education and support serv-ices for parents of children who have expe-Tienced severe trauma Contact Andrea Ettinghoff 215 496 0707 x1431 www cctckids org
The Children s Hospital Foundation Philadelphia, PA, $131,000, 2 yrs In support of the Reading Accelerated
Through Community Empowerment Program to provide academic and supportive services
to at-risk children in West Philadelphia
Contact Thomas J Power 215 590 7447
www chop edu
Children's Literacy Initiative Philadelphia, PA, $100,000, 2 yrs For continued support to provide literacy training, quality children's books and other resources to teachers at the School Distnct of Philadelphia's comprehensive day care centers Contact Linda Katz 215 561 4676
Children's Village Philadelphia, PA I For continued support of the Early Intervention and Parent Support program S77 000, 2 yrs II To upgrade computer capacity to enhance both data management and staff communication, $26,000 2 yrs Contact Mary E Graham 215 931 0190
Committee for Dignity and Fairness for the Homeless Housing Development, Inc Philadelphia, PA, S100,000, 2 yrs For operating support to provide services to promote the self-sufficiency of home-less or formerly homeless women Contact Alicia Christian 215 242 3140 www dignityliousing com
Community Integrated Services Philadelphia, PA, S37,000, 2 yrs To achieve accreditation from the Council on Quality and Leadership Supports for People with Disabilities Contact Susan Schonfeld 215 203 0550
Community Legal Services, Inc Philadelphia, PA I For support of legal assistance to both the working poor and indiv~duals transitioning from welfare to work, $80,000, 2 yrs II To improve the organization's overall technological capacity $70,000, 2 yrs Contact Catherine C Carr 215 981 3766 www clsphila org
Community Women's Education Project Philadelphia, PA, 5100 000, 2 yrs For continued operating Support to provide services to women transitioning from wel-fare to work Contact Cynthia L Ferguson 215 426 2200 www cwep org
Congreso de Latinos Unidos Inc Philadelphia, PA, $110,000, 2 yrs In support of technology training and orga-nizational restructuring to achieve more cost-effective management Contact Wanda Mial 215 763 8870 www libertynet org/cdlu
Elizabeth Blackwell Health Center for Women Philadelphia PA, S100 000 2 yrs For continued support of the Special Needs Program, which provides care to women with physical, developmental and mental health disabilities Contact Jennifer M Vriens Z15 923 1124 www blackwell. org
Devereux Foundation Villanova, PA J108,000, 2 yrs In support of the Parent Investment Program to provide training and support to parents of children at risk of delinquent behavior Contact Barry McCurdy 610 542 3057 www devereux org
HEALTH AND HUMAN SERVICES
Congreso de Latinos Unidos, Inc Philadelphia, PA, 1105,000, 2 yrs For Support of specialized job training and placement services for Latina women par-ticipating in CASAWORKS for Families, an addiction treatment and family support program Contact Rolando Martinez 215 763 8870 www libertynet org/cdlu
Crozer-Keystone Health System Drexel Hill, PA, $122,000, 2 yrs In support of the Cultural Connections Program, a collaborative effort to improve the access to health and social services of immigrant families in the Upper Darby School District Contact William McCune 610 338 8200 WWW CTOzer org
Day Care Association of Montgomery County, Inc Norberth, PA, $147,000, 2 yrs For continued Support of the Southeastern Pennsylvania School Age Child Care Project Contact Diane P Barber 610 617 4550 www voicenet com/-sepasacc
Deaf Hearing Communications Center, Inc Holmes, PA $149,000, 2 yrs To provide video sign-language interpret-ing services to aid deaf adults in accessing health and social services Contact Iris Bashes 610 534 4940 www dhcc org
Delaware County Community College Educational Foundation Media, PA, S108,000, 2 yrs For continued support to provide special-ized job counseling, training and placement assistance to low-income women living in Chester and Delaware counties Contact Suzanne Whitaker 610 359 5131 www dccc edu
The Delaware County Intermediate Unit Education Foundation Media, PA, S30,000, 2 yrs In support of a management information system for data collection, client tracking and outcomes measurement for the Delaware County Family Centers Contact Valerie Cook-Henry 610 532 2811
Delaware County Literacy Council Chester PA $65,000, 2 yrs For continued support of a mobile counsel-ing service and to convene a coalition of service providers to address key community issues in Chester Contact Patricia R Gaut 610 876 4811
Delaware County Women Against Rape Media, PA, $60,000, 2 yrs For continued operating support to provide comprehensive services to victims of sexual assault Contact B Joyce Date 610 566 4342
Delaware Valley Association for the Education of Young Children Philadelphia, PA, S120,000, 2 yrs To improve the quality of child care services provided by center-based and family care providers Contact Janet Umble 215 963 0094 www dvaeyc org
Delaware Valley Child Care Council Philadelphia, PA, S1 15,000, 2 yrs For continued operating support to enhance the delivery of child care services in the Philadelphia region Contact Phyllis Belk 215 922 7526 www dvccc org
Domestic Abuse Project of Delaware County, Inc Media, PA, 190,000, 2yrs To establish a thrift shop to expand the revenue base for its children's services Contact Anne M Wagner 610 565 6272 www libertynet org/-dapdc/victim htrnt
Domestic Violence Center of Chester County West Chester, PA, $70,000, 2 yrs To increase the accessibility of services for victims of domestic violence in the city of Coatesville Contact Dolly Wideman-Scott 610 431 3546 www dvresources Org
Drueding Center Philadelphia, PA, $90,000, 2yrs To expand the parenting program and Increase services to children and youth Contact Ellen M Marvel 215 769 1930 www holyredeemer com
Easter Seat Society for Handicapped Children and Adults of Philadelphia, Bucks, Chester, Delaware & Montgomery Counties Philadelphia, PA, 1185,000, 2 yrs For continued support of early interven-tion services to children who have, or are at risk of, developmental problems and their families Contact Janet Rublen 215 879 1000
Education Law Center-PA Philadelphia, PA, $100,000, 2 yrs In support of efforts to improve access to needed services for disadvantaged fami-lies, including those with disabilities Contact Janet F Stotland 215 238 6970 www etc-pa org
I-
Focus on Worriers Health Living Beyond Breast Cancer Ardmore, RA, $55,000, 2 yrs For continued support of Project Connect, which provides education and support services to medically underserved African American women and other low-income women affected by breast cancer or at high risk for developing the disease Contact Jean Sachs 610 668 1320 www lbbc org
Family and Community Service of Delaware County Media, PA 1120,000, 2 yrs For continued support of the Overcoming the Barriers to Opportunity Program, which provides support services to children at risk of school failure and their families in the Chester-Upland School District Contact Alan Edelstein 610 566 7540 www fcsdc org
HEALTH AND HUMAN SERVICES ( 1W, !
Elwyn, Inc Elwyn, PA, $200 000 2 yri In support of the Intensive Home and Community Visitation Program to provide comprehensive services to parents whose children are in out-of-home placement Contact Janet MeTriweather 610 891 2000 www Elwyn org
Empowerment Group Philadelphia, PA, $80,000, 2 yrs For support of Empowered Painters, which provides job training, social services and financial planning to unemployed residents of Kensington Contact Peter Murray 215 427 9245
Energy Coordinating Agency of Philadelphia Inc Philadelphia, PA S45 000 2 yrs To enhance a new database to integrate information across several programs and train staff in its use Contact Jerry Bennett 215 988 0929 www ecasavesenergy org
Episcopal Community Services of the Diocese of Pennsylvania Philadelphia, PA, $180,000, 2 yrs In support of after-school and summer pro-grams for at-nsk children and youth in low-income neighborhoods in North Philadelphia, West Philadelphia and Coatesville Contact Carol Anthony 215 351 1456
www ecs-hs org
Family Planning Council Philadelphia, PA, $105,000, ? yt~ For continued support of The Circle of Care to provide parenting training and support to families with children and youth affected by HIV/AIDS Contact Alicia Beatty 215 985 2600 www familyplanning org
Family Service Association of Bucks County Langhorne, PA, $95,000, 2 yrs For continued support of the Robert M Kelly Family Center to provide parenting education and case management services to families in Bristol Borough Contact Audrey J Tucker 215 757 6916 www familyserviceofbucks com
Family Service of Montgomery County, PA Norristown, PA, $83,000, 2 yrs For continued support of services to at-risk elementary school children to reduce the likelihood Of risk behaviors during adolescence Contact Kelly Canally Brown 610 272 1520 www fsmontco org
Family Support Services Upper Darby, PA, $75,000, 2 yrs To install a computer software system to manage data for early intervention services for developmentally delayed children Contact Virginia C Peckham 610 352 7610
Frankford Group Ministry, Inc PhiladelphTa, PA, S20,000, I yr For support of a computerized database to better track client outcomes Contact Robin M Hynicka 215 744 2990 x211
The Free Library of Philadelphia Philadelphia, PA, S160,000, 2 yrs For continued support of the Learning, Enjoyment and Play program providing year-round educational support and enrich-ment to disadvantaged children and youth Contact Hedra I. P Peterman 215 686 5372 www library phila gov
Fund for Philadelphia, Inc Philadelphia, PA, S160,000, 2 yrs For continued support of adult literacy programs throughout Philadelphia, with a special emphasis on the development of job readiness and workplace education programs Contact Rose M Brandt 215 686 4400
The Health Federation of Philadelphia Philadelphia, PA, 5180,000 2 yrs In support of a home visitation program to provide services to low-income families in North Philadelphia Contact Natalie Levkovich 215 567 8001 x16
Homeless Advocacy Project Philadelphia, PA, 160,000 2 yrs For continued support of the Children's Education and Outreach Project Contact Marsha I Cohen 215 523 9595 www libertynet org/-hap
Liberty Resources, Inc Philadelphia, PA, $135,000, 2 yrs For support of its Workplace Technology Training Academy to provide basic office literacy and computer training to persons with disabilities Contact Linda C Richman 215 634 2000 www libertyresources org
The YBF Center Norristown, PA, $60,000, 2 yrs For continued operating support to provide people with serious disabilities specialized assessment training and job-placement services Contact Norman R Matusak 610 292 0710 www libertynet org/mbf
DN HEALTH AND HUMAN SERVICES
Homeless Advocacy Project Philadelphia, PA, $60,000, 2 yrs To provide free legal services to homeless individuals Contact Marsha I Cohen 215 523 9595
www libertynet org/-hap
Hospitality House of Philadelphia Philadelphia, PA, S100,000, 2 yrs For support of the Training, Attitude, Skills and Knowledge program, to provide training and employment to ex-offenders Contact Joseph Dudek 215 427 3099
Impact Service Corporation Philadelphia, PA, S150,000, 2 yrs To provide job-placement assistance, post-employment training and other supports to young fathers who have recently been released from prison Contact John MacDonald 215 739 1600
Indochinese-American Council Philadelphia, PA, S80,000, 2 yrs For continued support for services to pro-mote self-sufficiency of immigrants and refugees Contact Vuong G Thuy 215 457 0272
Jewish Family and Children's Service of Philadelphia Inc Philadelphia, PA, S103,000, 2yrs For support of a program addressing the spiritual, medical and psychosocial needs of residents of 21 personal-care boarding homes in the Philadelphia region Contact Lenore Wasserman
215 545 3290 x143
www libertynet org/-jfcsphil
Ken Crest Centers Plymouth Meeting, PA, $190,000, 2 yrs To expand preschool services for children with disabilities through a collaboration with the Head Start and Early Intervention programs Contact Robin Miller 215 844 4620 x133 www kencrest org
Kids Smiles Bryn Mawr, PA, $60,000, 2 yrs In support of dental health education and preventive services for low-income families in Philadelphia Contact Cheryl Janssen 215 492 9291
Korean Community Development Services Center Philadelphia, PA I For continued support of comprehensive services to children and youth living in Asian communities $90,000, 2 yrs II To develop and implement an outcome measurement system, S20 000, 2 yrs Contact Jin H Yu 215 276 8830
La Comuniclad Hispana, Inc Kennett Square, PA, 170,000, 2 yrs For continued operating support to provide social, health and employment and other support services to Latina farm workers and their families Contact Anita M O'Connor 610 444 4545
Lutheran Social Mission Society Philadelphia, PA I For continued Support of counseling and follow-up services to low-income adults in employment and training programs, SIOO 000, 2 yrs 11 For support of an agency-wide database and improved technology, S50,000, 2 yrs Contact Viki Perdios 215 426 8610 www libertynet org/-luthersh
Maternity Care Coalition Philadelphia, PA, $210,000, 2 yrs For continued support of the Latina MOMobile program, which provides outreach health access and education and family support to low-income pregnant women and their families Contact JoAnne Fischer 215 972 0700 www MOMOBILE ORG
Maternity Care Coalition Philadelphia PA, $125,000, 2 yrs To expand its efforts in North and West Philadelphia to help low-income women to access public benefits that would help them make the transition from welfare to work Contact JoAnne Fischer 215 972 0700 www MOMOBILE ORG
Matrix Research Institute Philadelphia PA, S185 000, 2 yrs For support of an Employment Resource Center, targeted to individuals dually diag-nosed with mental illness and substance-abuse disorders and the organizations that serve them Contact Barbara Granger 215 569 2240 www matrixiesearch OTg
Metropolitan Career Center Philadelphia, PA I To provide follow-up case management to graduates of STRIVE, an intensive job preparation program for low-income adults, $120,000, 2 yrs II To develop an agency-wide case manage-ment system that will enhance Program efficiency, evaluation of services and monitoring of individual client progress, $90,000, 2 yrs Contact Karen Burgess 215 843 6615 x335
North Light Community Center Philadelphia, PA, S78,000, 2 yrs To develop a diverse funding base to respond More effectively to the demand for services Contact Irene A Madrak 215 483 4800 manayunk com/northlight
I
Ep HEAL7H AND HUMAN SERVICES
It-- Mental Health Association of Southeastern Pennsylvania Philadelphia PA $150,000 2 yrs For continued support of Project Connect, which provides supportive services to peo-ple who are homeless and have severe and persistent mental illness Contact Joseph Rogers 215 751 1800 www mhasp org
Metropolitan AIDS Neighborhood Nutrition Alliance, Inc Philadelphia, PA, S135,000, 2 yrs For continued support and expansion of Table Talk, a program designed to provide nutrition assessment, counseling and edu-cation to women and children affected by HIV/AIDS Contact Greg H Goldman 215 496 2662
Metropolitan AIDS Neighborhood Nutrition Alliance, Inc Philadelphia, PA S80,000, 2 yrs For continued operating support to provide meals and nutrition education programs to people living with HIV/AIDS in the Philadelphia region Contact Greg H Goldman 215 496 2662
Montgomery County Association for the Blind Inc North Wales, PA, 188,000, 2yrs To provide vocational assessment, training, placement and follow-up services to Montgomery County residents who are visu-ally impaired Contact Douglas A Yingling 215 661 9800 www mcab org
Montgomery County Big Brothers/Big Sisters Association Norristown, PA, $66,000, 2 YTS To upgrade technology and establish a database to track the delivery and improve the efficiency of its services Contact Karen A Forbes 610 277 2200
Montgomery County MH MR Emergency Service Morristown, PA, 195,000, 2 yrs For support of a clinical systems database for an emergency behavioral health care facility in Montgomery County Contact William Leopold 610 279 6100
Nationalities Service Center of Philadelphia Philadelphia, PA I For continued operating support to pro-vide a range of services to immigrants and refugees, $100 000, 2 yrs Il To develop a plan to expand services to immigrants and refugees, $60,000, 2 yrs Contact Judith Claude 215 893 8400 xIO8
Norris Square Neighborhood Project Philadelphia PA, $50,000, 2 yrs For continued operating support to enhance Its Programs for children and youth in the Norris Square neighborhood and provide parenting skills for their parents Contact Carol Keck 215 426 4631
Northeast Treatment Center, Inc Philadelphia, PA, $165,000, 2 yrs In support of family therapy training to increase behavioral health services for poor urban children and families Contact Connell P O'Brien 215 408 4943
Northwest Interfaith Movement, Inc Philadelphia, PA, $235,000, 2 yrs For continued support of the Philadelphia Early Childhood Collaborative, to improve the quality and accessibility of child care in Philadelphia Contact Richard R Fernandez 215 843 5600
Northwest Interfaith Movement Inc Philadelphia PA, 193,000, 2 yrs For continued support of the Neighbor to Neighbor Program, which coordinates the work of religious organizations in provid-ing services to vulnerable adults in personal-care homes in Northwest Philadelphia Contact Donald Carlin 215 843 5600 x202
OMG Center for Collaborative Learning Philadelphia, PA, 5841,000, 3 yrs To Support the provision of assistance to Pew Fund grantees that serve vulnerable adults Contact Gerry Spilka 215 732 2200 www omgcenter org
Opportunities Industrialization Center, Inc Philadelphia, PA, $90,000, 1 yr To develop technological capacity to Improve internal management of administrative data Contact Aubrey Smith 215 236 7700 www philaoic org
Overbrook School for the Blind Philadelphia, PA, $80,000, 2 yrs In support of the Together Exploring All My Senses program, to strengthen and assist families of visually impaired infants and toddlers Contact Cassandra Giardina 215 877 0313 x272 www ohs org
Philadelphia Society for Services to Children Philadelphia, PA, 111b,000, 2 yrs In support of child abuse prevention serv-ices for at-Tlsk parents Contact Helen B Dennis 215 875 3400 www libertynet 0Tg/pS5C
Project HOME Philadelphia, PA, 1150,000 2 yrs For continued operating support to provide comprehensive supports to homeless and formerly homeless adults Contact Amanda ATonoff 215 232 7272 www projecthome net D~@
Penn Foundation for Mental Health, Inc Sellersville, PA, $150,000, 2 yrs For continued support of the Wellspring Clubhouse, a psychiatric rehabilitation Program that seeks to improve the social, educational and vocational functioning of people with severe and persistent mental illness Contact Lucille Mauro 215 257 4760 www perinfoundation org
People's Emergency Center Philadelphia, PA, 1135,000, 2 yrs For continued Support of the Parent-Child Education Program for homeless mothers and their children Contact Gloria Guard 215 382 7523 www pec-cares org
People's Emergency Center Philadelphia, PA I To enhance its Job Opportunities and Business Skills program to More effectively serve homeless families $100,000, 2 yrs If To develop a customized database for its job-training program, $40,000, 1 yr Contact Gloria Guard 215 382 7523 www pec-cares org
Philabundance Philadelphia, PA $100,000, 2 yrs For support of the Delaware Valley Community Kitchen Collaborative to pro-vide training and employment in food services to welfare recipients and young adults who have aged out of the foster care system Contact Scott Schaffer 215 339 0900 x241 www philabundance org
HEALTH ANO HUMAN SERVICES
Philadelphia Citizens for Children and Youth Philadelphia PA, 1235,000, 2 yrs For Support to Improve the ability of parents
to access health and child care services for
their children Contact Pat Redmond 215 563 5848 www pccy org
Philadelphia FIGHT Philadelphia, PA, S92,000, 2 yrs To expand Project TEACH, providing infor-mation about treatment options and the need for compliance with their medication regimens to low-income Philadelphians living with HIV/AIDS Contact Julie Davids 215 985 4448 www fight org
The Philadelphia Health Management Corporation Philadelphia, PA, S150,000, 2 yrs For continued support of health services for chronically homeless adults placed in residential sites in the community Contact Elaine R Fox 215 985 2500 www libertynet org/PHMC
The Philadelphia Health Management Corporation Philadelphia PA, 5150,000, 2 yrs To prov~ide specialized home health services to hospice patients and physically and behaviorally disabled adults through cre-ation of a professional advancement pro-gram for home health aides Contact Stefanie Fine 215 735 0677 www libertynet org/PHMC
Philadelphians Concerned About Housing Philadelphia, PA, $80 000, 2 yrs For continued Support of the Family Self-Sufficiency Program to reduce the likelihood of child abuse and neglect among formerly homeless families Contact Jacques Ferber 215 748 8750 www pcah org
Planned Parenthood Association of Bucks County Bristol, PA
I For continued support of sexuality educa-tion for adolescents, S110,000, 2 YTS If To improve the capacity to assess out-comes, $30,000, 2 yrs Contact Wayne Grinwis 215 785 4594 www libertynet org/ppabc
Planned Parenthood of Chester County, Inc West Chester, PA, $120,000, 2 yrs In support of a comprehensive sexuality education program Contact Lisa Fraser 610 692 1770 x202
www plan41t org
Planned Parenthood of Southeastern Pennsylvania Philadelphia, PA, $240,000, 2 yrs For continued support of the Youth First program providing sexuality education to children and youth in Philadelphia Contact Dayle Steinberg 215 351 5500 www ppsp org
The Preschool Project An Early Childhood Resource Center Philadelphia, PA, S90 000, 2 yrs In support of the Neighborhood Parenting Program to prevent child abuse Contact Jane Todd 215 425 7990
Support Center for Child Advocates Philadelphia, PA, $216,000, 2 yrs In support of the Families Without Violence project, an interagency collabora-tion to provide representation and sup-portive services to children and parents who are victims of domestic violence Contact Frank P Cervone 215 925 1913
www scanpa org
HEALTH AND HUMAN SERVICES
Providence Center Philadelphia, PA, 160,000, 2 yrs For support of educational, social and fam-ily enrichment activities in the predomi-nantly Latino Fairhitl/West Kensington community Contact Nancy Hagenbach 215 739 7465
Resources for Human Development, Inc Philadelphia, PA, 1156,000, 2 yrs To provide after-care services to women leaving its treatment facilities to promote their recovery from long-term substance addictions Contact Randee Gallo 215 951 0300 x3560 www rhd org
Resources for Human Development, Inc Philadelphia, PA, .172,000, 2 yrs To train nurses to recognize, diagnose and treat depression among low-income women in Philadelphia Contact Tine Hansen-TUTton 215 951 0330 x141 WWW Thd OTg
Resources for Human Development Inc Philadelphia, PA, $100,000, 2 YTS For Support of a range of therapeutic and educational Programs designed to help people with mental retardation, their fam-ities and the human-service professionals that serve them prevent, identify and treat instances of sexual abuse Contact Nancy Nowell 215 836 1111 WWW Thd org
Scan, Inc Philadelphia, PA, 581,000, 2 yrs To Improve its communication and techno-logical infrastructure Contact Vivian M Drayton 215 590 1504
Southeast Asian Mutual Assistance Association Coalition, Inc Philadelphia PA, J140,000, 2 yrs In support of services to Southeast Asian adolescents to prevent risk behaviors Contact Samien Not 215 476 9640
Southeast Asian Mutual Assistance Association Coalition, Inc Philadelphia PA, S125 000, 2 yrs For support of services to improve literacy and other skills of immigrants and refugees Contact Samien Not 215 476 9640
Southern Home Services Philadelphia, PA I For continued Support Of Crisis to Competence, a community-based program to strengthen and preserve families in North Philadelphia, $225,000, 2 yrs II To complete its efforts to upgrade its management information system, $75,000, 2 yrs Contact Evelyn Jones Busby 215 221 1700
Speaking for Ourselves Plymouth Meeting, PA, 180,000, 2 yrs To provide operating support for the use of a self-determination model to assist per-sons with mental retardation to live in the community and to make decisions about their care Contact Carolyn Morgan 610 825 4592 www speaking org
St Mary's Franciscan Shelter Phoenixville, PA, S52,000, 2 yrs For continued support of case management services for homeless families Contact Christine Kranichfetd 610 933 3097
Tabor Children's Services, Inc Doylestown, PA, 189,000, 2 yrs In support of a management Information system to measure outcomes of in-home services Contact Jennifer Smith 215 348 4071 www tabor org
Temple University Philadelphia, PA, $100,000, 2 yrs For support of the Beacon House program to offer basic education and life skills training to pregnant and parenting women in substance-abuse treatment Contact Sharon Taylor 215 427 6275
Thomas Jefferson University Philadelphia, PA, $150,000 2 yrs For continued support of a family interven-tion program to address the development needs of children born to drug-dependent women and to improve the parenting skills of the mothers Contact Karol Kaltenbach 215 955 4068 www tju edu
Thomas Jefferson University Hospitals, Inc Philadelphia, PA, 5122,000 2 yrs For the Chinese Community Partnership for Health to provide support services and information about community resources to Chinese- speaking families Contact Philip Siu 215 955 8282 wwwjeffersonhealth org/tjuh/index html
Unemployment Information Center Philadelphia, PA, 165 000, 2 yrs For continued operating support to provide benefits counseling and job-club services to poor and unemployed adults Contact John Dodds 215 557 0822 wiv;v philaup org
YWCA of Bucks County Trevose, PA, $120,000, 2 yrs In support of expansion of the Y-Teen pro-gram and enhancement of its services for children and youth Contact Elizabeth Tatham 215 953 7793
Woodrock Philadelphia, PA, $100,000, 2 yrs For continued operating support to provide services to at-risk youth in the Kensington/ Lower North Philadelphia community Contact Richard T Garrett 215 231 9810 www libertynet org/woodrock
D(a HEALTH AND HUMAN SERVICES
United Communities Southeast Philadelphia Philadelphia, PA, 127,000, 1 yr To update Personnel policies and practices and to develop a quality assurance system Contact Cheryl Weiss 215 468 6111 x 22
Whosoever Gospel Mission and Rescue Association of Germantown Philadelphia, PA, $125,000, 2 yrs For continued support of the Career Track Learning Program, which is designed to equip homeless men With the skills and resources they need to achieve meaningful employment and productive, independent living Contact Robert A Emberger 215 438 3094
Women Against Abuse Philadelphia, PA, $75,000, 2 yrs To enhance the long-term effectiveness and sustainability of the Organization through board and staff development, training in outcomes measurement and improved inter-nat and external communication Contact Nichelle A Mitchern 215 386 1280 www waasafe org
Women Organized Against Rape Philadelphia, PA, $80,000, 2 yrs In support of counseling services to chil-then and adolescents who are victims of sexual assault Contact Carol Johnson 215 985 3315
Women s Association for Women s Alternatives, Inc Swarthmore, PA, $100,000, 2 yrs For Support of the Women's Work and Family Support Project, providing a range of services and counseling to ease the transition to work of welfare mothers and
their children Contact Carol Goertzel 610 543 5022 www womensassoc org
Women's Community Revitalization Project Philadelphia, PA I For support of the Employment Initiative to assist welfare recipients and other low-income adults in moving toward self-suffi-ciency, S120,000, 2 yrs II To support the development of a business plan, $40,000, 2 yrs Contact Carolyn Haynes 215 627 5550
Women's Opportunities Resource Center Philadelphia, PA I For continued operating Support to Pro-vide MICTO-enteTprise training and related loans and savings programs to low-income women, S170,000, 2 yrs II To Strengthen the organization's long-range planning, fund-raising strategies, information systems and computer capaci-ties, $76,000, 2 yrs Contact Lynne Cutler 215 564 5500 www worc-pa com
I
Woods Services, Inc Langhorne PA, S74,000, 2 yrs To provide staff development and training for personnel working with at-risk children Contact Dalene Neapolitan 215 750 4250
YMCA of Philadelphia and Vicinity Philadelphia, PA, 1141 000, 2 yrs For continued Support of efforts to provide quality, affordable child care to low-income families Contact Lola M Rooney 215 963 3700 www libeTtynet org/ymca
Youth Services Inc Philadelphia, PA, 5100,000, 2 yrs In support of efforts to use community-based family centers to promote greater involvement of father$ in the parenting process Contact Laurien D Ward 215 222 3262 www libertynet org/ysi
Inglis Foundation Philadelphia, PA, 1555,000, 3 yrs To support a medical research project that examines the effectiveness of a community-based health care service delivery model for people with chronic physical disabilities who are at risk for hospital readmissions Contact Patricia M Allen 215 878 5600
Cradle of Liberty Council, Boy Scouts of America Philadelphia, PA, 5124,000, 2 yrs For continued support of the Urban Scouting Program Contact Walter Smith 215 988 9811 www collisa org
HEALTH AND HUMAN SERVICES
OTHER PROJECTS
Camphill Village Kimberton Hills, Inc Kimberton, PA I For continued support of its building maintenance program, S180,000, 3 yrs IT For continued Support of its Aging in Community program, $150,000, 3 yrs Contact Michael Wildfeuer 610 935 0300
Children's Country Week Association Downingtown PA, $63,000, 2 yrs In support of food Costs for the summer camp Program for children from low-income families Contact Susan L Silverstein 610 269 9111 www voicenet com/-ccwapfc
The Children's Hospital Foundation Philadelphia, PA, $2,000,000, 4 yrs To support The Children's Hospital Asthma Network Initiative, which focuses on improving the delivery of pediatric asthma care, coordinating educational outreach for families and promoting clinical research Contact Julian L Allen 215 590 3749 www chop edu
Community Accountants Philadelphia, PA, $68 000, 2 yrs For general operating support to provide technical assistance to small nonprofit organizations in the Philadelphia area Contact Karen Simmons 215 951 1701 www libertyriet OTg/COmmacct
Easter Seal Society for Handicapped Children and Adults of Philadelphia, Bucks, Chester, Delaware & Montgomery Counties Media, PA, 5200,000, 3 yrs For continued support of the summer camp program for children and young adults with disabilities in Philadelphia, Bucks, Chester, Delaware and Montgomery Counties Contact James Heiden 215 879 1000
Executive Service Corps of the Delaware Valley Ardmore, PA, 177,000, 2 yrs To improve the effectiveness of small non-Profit organizations in the Philadelphia region Contact Wilhelm L Sandvik 610 649 2284 www executiveserviceCOTPS COM
George Junior Republic Grove City, PA, $300,000, 2 yrs For the renovation of Memorial Home into a Multimedia Technology Center and Library and for the construction of two new homes and a Special Needs Unit Contact Pat J Farrone 724 458 9330 www thesafety net/-g]Tinpa
Princeton University Princeton, NJ, $1,000,000, 3 yrs For the Program in Biocomplexity To help launch the Program in biocomplexity, an interdisciplinary research and training ini-tiative that brings together researchers from ecology, evolutionary biology, epi-derniotogy, computer modeling engineering and other physical sciences, as it relates to the dynamics of epidemics and disease Contact Daniel I Rubenstein 609 259 6880 www eeb Princeton edu
Retired Senior Volunteer Program - RSVP Plymouth Meeting, PA 130,000, 2 yrs In support of the Volunteer Executive Consultants program to provide technical assistance to small nonprofit organizations in Montgomery County Contact Linda Mitlison 610 834 1040 www libertynet org/-rsvp-mc
United Way of Southeast Delaware County Chester, PA, $120,000, 1 yr In Support of the 2000 Annual Campaign Contact Louis C Mahtman 610 874 8646 x103 www uwdelco ofg
United Way of Southeastern Pennsylvania Philadelphia, PA, $1,040,000 1 yr In support of the 2000 Campaign to improve the quality of preschool child care programs, develop quality standards and capacity-building strategies in two other service areas, and allocate resources to the Jewish Federation of Greater Philadelphia Contact Susan Forman 215 665 2568 www uwsepa org
PUBLIC POLICY GRANTS By SUBPROGRAM AREA 2000
Government Performance S2 506 000 (10%) 4 grants
PUBLIC POLICY GRANTS BY RANGE 2000
Under S250 000 6 giants (19%)
$250 000 to $499 999 5 grants (16%)
$500 000 to S999 999 11 giants (36%)
S 1 000 000 and Over 9 grants (29%)
Total 31 grants
Government performance Improving the conduct of campaigns and elections and encour-aging citizens to participate in civic life will have little effect if Americans lack confidence in government's ability to effectively address their concerns But too often the issue of government performance is either ignored by the press and other opinion leaders, Or presented in ways that add to the public's mistrust and confusion That is why the Trust's strategy includes efforts to develop valid, reliable and easily understood measures to assess the quality of what government does We also support efforts to edu-cate the press and other opinion leaders on the importance of this issue and to show them
how best to present it in ways that accurately portray the strengths and weaknesses of current government performance Collectively these efforts are designed not only to provide the public with a more accurate assessment of what government does, but also to create an environment that encourages and rewards improvements in that performance D4M
PUBLIC POLICY
Civic Engagement 37 655 000 ~29%) 9 grants
Improving Elections S15 391 oao (60%) 17 giants
-- - - - Other Projects S150 000 (1%) I grant
Total $25 702 000 31 grants
11 V
P U 8 LI C PO Ll CY
The Public Policy program aims to strengthen democratic life in the United States A well-functioning democracy requires a healthy "public sphere," or set of institutions, processes and norms through which citizens can address issues of public concern Democratic life is the interrelationship among citizens in this public sphere It 15 Strengthened by (1) increas-ing the capacity of institutions and processes to address public concerns in a responsive and responsible way and (2) increasing the amount and quality of citizen participation in these institutions and processes Although tactics vary, our strategy is to invest in projects that create opportunities, incentives and demands to change the behavior of the key actors-candidates, consultants, the media, opinion leaders and citizens-in the public sphere
Democratic life is made up of a diverse array of institutions (from local community associa tions to the United States Congress), processes (from registering to vote to passing legisla-tion) and forms Of Participation (from volunteenng in a soup kitchen to running for national office) Given this complexity, staff have identified three areas in which to focus efforts
Improving elections Campaigns and elections are arguably the mainspring of our democ-racy, they are not only the way we select Our representatives, but also the way we set local, state and national Priorities In addition, they are the closest we come as a nation to formal periods in which OUT collective attention is drawn to public life As dramatically demonstrated in 2000, the quality of the electoral process is a critical factor in shaping public confidence in our democratic system To help restore public faith in this system, we support efforts to improve the quality of campaigns and elections by encouraging norms of conduct (for candidates, consultants, the media and the public) that will improve the substance and tone of campaign discourse, and we encourage reducing can-didate demand for excessive campaign fundraising
Civic engagement Voting is the civic act that often defines citizenship in the United States Yet there is also a deep-seated strain of direct democracy (especially at the local level) in which citizens are more actively involved in public problem-solving through volunteering, attending meetings, working in community organizations and so forth Our work in civic engagement focuses on both of these aspects of public life, with particular emphasis on increasing the participation of young adults We seek ways to inform young adults about the wide variety of civic activities available to them, while also showing them the individual and collective rewards that come from participation At the same time, we Support Efforts to make public life more inviting to young adults by increasing the capacity of civic organizations to attract them to participate and by providing ways to connect them to organizations that can use their energies and talents
2001 P U 6 L I C P 0 L I C Y P R 0 G R A M G U I D E L I N E S
Requests will be considered for . Projects that increase the sustained motivation, ability and opportunity for young Americans to engage in the civic life of their communities and nation . Projects that increase the ability of organizations and programs to reach, recruit and retain young Americans in their civic efforts and that increase their ability to use the talents and energy of young people wisely . Projects designed to increase the visibil-ity and voice of young Americans and their concerns in debates about the pressing public issues of the day
Requests wilt be considered for . Projects to encourage campaign finance reforms that provide greater transparency to the sources and uses of money, reduce the demand for campaign money and/or seek to reduce conflicts of interest, real or perceived, that arise when elected offi-cials accept contributions from interested parties . Projects to test and promote voluntary approaches to improving campaign dis-course, particularly those approaches that encourage candidates, political parties, campaign aides and the media to engage the public in substantive comparisons between the candidates and parties
PUBLIC POLICY
The mission of the Public Policy program is to strengthen democratic life in America, primarily by Supporting projects to restore public trust in elections, increase the civic engagement of young Americans and improve public understanding of and con-fidence in government
Improving Elections
Goal To increase public trust and confidence in elections in the United States
Objectives " TO reform the role of money in campaigns " To improve the quality of campaign information provided by candidates and the media * To improve the campaign conduct of candidates and other key political actors
Civic Engagement
Goal To increase the involvement of young Americans in the civic life of the nation
Objectives * To encourage young Americans to partici-pate in the civic life of the nation and provide them with meaningful opportuni-ties to do so . To strengthen the commitment and abil-ity of civic and political organizations to recruit and retain young Americans . To increase the visibility and voice of young Americans and the issues that mat-ter to them in the public sphere
Government Performance
Goal To increase public understanding of and confidence in government performance
Objectives * To improve the quality of information about government available to the public I To increase public attention on actual performance as the basis for evaluating how well Or Poorly government is doing in delivering on its commitments * To Improve measurement of govern-ment's ability to effectively address public issues and provide public services
Requests wilt be considered for . Projects to improve the ability Of govern-ment and the media to provide the public with useful, accurate information about government performance and services . Projects designed to Improve public understanding of the role of government in American life . Projects to enhance pubtic-seCtOT per-formance by Creating, validating, applying and promoting measures that can be used to assess government's ability to effec-tively identify and address core issues of public concern
ineligible Requests
Requests will not he considered for General operating support Capital projects, unless invited by the Trusts Debt reduction Endowments Individual scholarships not part of a Trusts-initiated program Projects administered by governments
P U B L IC P 0 L I C Y P R 0 G R A M 5 T A F F
General Questions Jennifer Bolton, Erin Riley
Erin K Riley Administrative Assistant 215 575 4721 eriley@PeWtTUStS COM
Dw
PUBLIC POLICY
Michael X Deth CaTpini Director 215 575 4720 mdellicarpini@pewt rusts com
Elaine T Casey Program Officer 215 575 4724 ecasey@pewtrusts com
Carol M Pimenta-Neves Interim Program Officer 215 575 4725 cplmenta-neves@pewtrusts com
Sean Treglia Program Officer 215 575 4725 streglia@pewtrusts com
Tolin Walker Program Officer 215 575 4723 twalker@peWtTUStS COM
Jennifer A Bolton Assistant to the Director 215 575 4736 jbotton@peWtTUStS COM
Civic Engagement Tobi Walker
Campaign Reform Sean Treglia
Public Sector Performance Elaine Casey
2 0 ~OO P U B L I C POLICY GRA NIS
Center for Public Integrity Washington, DC, $176,000, 1 yr For Issue Advocacy Watch Sponsor Profiles In support of a project designed to shine light on the role of issue advocacy in cam-paigns by providing information on the sponsors of issue ads to journalists, citi-zens and academics Contact Charles Lewis 202 783 3900 www public-i org
The Institute for Global Ethics Camden, ME 5899 000, 2 yrs For the Project on Campaign Conduct In
support of a project to encourage candi-
dates to construct, agree to and abide by
voluntary codes of campaign conduct
Contact Brad Rourke 207 236 6658
www campaignconduct org
PUBLIC POLICY
Improving Elections
Alliance for Better Campaigns, Inc Washington, DC, $175,000, 6 mos For Television and Democracy In support of an effort to encourage television broad-casters to provide five minutes per night of candidate-centered discourse in the 30 days before primary and general elections Contact Paul Taylor 202 878 6755 www bettercampaigns org
The American University Washington, DC 11,995,000, 3 yrs For Best Practices in Campaign Consulting To improve political discourse and cam-paign conduct for candidates and the political consulting industry Contact James Thurber 202 885 6247 www american edu/campaignconduct
Board of Trustees of the Leland Stanford Junior University Stanford, CA, S585,000, 2 yrs For Making Voters Autonomous The 2000 Campaign on CD ROM To support a techno logical initiative designed to provide the public with more information about candi-dates, thereby increasing voter participation Contact Shanto lyergar 650 723 5609 www stanfoyd edu/dept/communication
Center for Responsive Politics Washington, DC, $550,000, 2 yrs, For the Campaign Finance Disclosure Database To expand the nation's under-standing of the role and implications of money in politics Contact Larry Makinson 202 857 0044 www opensecrets org
Committee for Economic Development New York, ITY, $1,200,000, 2 yrs For Investing in the People's Business A Business Proposal for Campaign Finance Reform To educate business leaders on incremental campaign finance reform Contact Charles E M Kolb 212 688 2063 x214 www ced org
The Freedom Channel, Inc Washington, DC, 1300,000, 1 yr For FTeedomChannel com To introduce the technology of video-on-demand into American politics in the 2000 election cycle Contact Douglas L Bailey 202 785 5920 www freedonichannel earn
George Washington University Washington, DC, $1,522,000, 2 yrs For the Campaign Finance Policy Forum In support of a project to create a campaign finance policy forum that will conduct, collect and disseminate research, monitor trends, convene opinion leaders and develop and promote recommendations for incre-mental reform Contact Michael 3 Malbin 202 994 5713 www gwu edu/-gspm
President and Trustees of Colby College Waterville, ME, $1,300,000, 1 yr For a project to strengthen the campaign finance reform debate Contact Anthony Corrado 207 872 3271 www Colby edu
Rector and Visitors of the University of Virginia Charlottesville, VA, $730,000, 3 yrs For the Ethical Conduct Training Program, a project designed to provide training for first time candidates about all elements
of campaigning with an emphasis on lead-
ership, sound public policy and ethical conduct Contact William H Wood 804 982 4943 www ccps virginia edU/SOTensen/ project-summary htmt
Regents of the University of California, Santa Barbara Santa Barbara, CA, S250,000, I yr For the Internet in the Year 2000 Elections, a project designed to assess the impact of campaig n- related Web sites on voter inter-est, knowledge and participation Contact Bruce Bimber 805 893 3860
The University of Maryland Foundation, Inc College Pork MD, 11,992,000 3 yrs In support of a project designed to improve campaigns by providing candidates and consultants with Teal-world case studies of best practices Contact Paul S HerTnson 301 405 4156
www bsos Laid edu/gvpt/herinson/
outreach html
www ysa org
Rock the Vote Education Fund Los Angeles, CA, 5882,000, 8 mos For the Youth Engagement Media Campaign, a campaign to mobilize and engage young people in the political process Contact Alison Byrne Fields 310 234 0665 x105 www rockthevote org
D~Z@ PUBLIC POLICY
University of Southern California Los Angeles, CA, $1,300,000, 2 yrs For the Broadcast BeSt-PTactices Project, an initiative designed to demonstrate practical ways to improve broadcast news campaign coverage Contact Martin H Kaplan 213 740 9945 www usc edu/schools/annenberg
University of Southern California Los Angeles, CA, S867,000, I yr For Improving the Campaign Finance System Effective Disclosure and Meaningful Enforcement In support of the creation of two task forces to develop and promote non-partisan recommendations for incremental campaign finance reforms Contact Geoffrey Cowan 213 740 3987 www usc edu/schoois/annenberg
University of Virginia Law School Foundation Charlottesville, VA, 5500,000, 2 yrs For the Practice Guide to Campaign Finance To develop and disseminate a practice guide to Current campaign finance regulation for use by citizens public interest groups and policyrnakers Contact Daniel OTtIZ 804 924 3127 www law virginia edu
University of Wisconsin Foundation
Madison, Wl, 31,050,000, 1 yr Foy Campaign Advertising and Soft-Money Study In support of a project to study issue advertising and express advocacy on broadcast and cable television Contact Kenneth M Goldstein 608 263 2414 www polisci wisc edu
Civic Engagement
The George Mason University Foundation, Inc Arlington, VA, S1,496,000, 2 yrs In support of a project to develop a National Youth Civrc Engagement Index, designed to measure the levels and types of participation of young adults in public life Contact Scott Keeter 703 993 1400
Northwestern University Washington, DC, S227 000, 6 mos For the Nonvoter Behavior Survey, to better understand the factors influencing younger Americans' decisions to vote or not vote in Presidential elections Contact Jack Doppelt 202 347 8700 www medill northwestern edu
Oregon State University Foundation Corvallis, OR, 5325,000, 1 yr To create and distribute a National Youth Platform, designed to highlight the major issue concerns of this generation by encouraging the media and elected officials to listen to their concerns while inviting young people to become more involved in the electoral process Contact Brent S Steel 541 737 6133 www osu orst edu/dept/pol-sci
Regents of the University of Minnesota Minneapolis, MN, 5750,000, 2 yrs To support the expansion of the youth civic education initiative Public Achievement Contact Harry Boyte 612 625 9505 www publicachievement org
Temple University Philadelphia, PA, $400,000, 2 yrs For Youth Voices in Policy In support of a project to develop and assess ways to net-work local efforts to engage young adults in the civic life of their communities Contact Barbara Ferman 215 204 6696 www temple edu/cpp
Third Millennium Advocates for the Future, Inc New York, MY, S233,000, 1 yr For the Neglection 2000 In support of a project to monitor candidates' attention to young voters and the issues that matter to them in the 2000 Presidential election Contact Richard Thair 212 226 2077 www neglection2OOO org
Trustees of the University of Pennsylvania Philadelphia, PA, 53,000 000, 30 mos In support of a project designed to increase political engagement and communications competence among public high school students Contact Kathleen Hall Jamieson 215 898 7041 www asc upenn edu
Youth Service America Washington, DC, 1342,000, 1 yr In support of a program to demonstrate the relevance of campaigns and elections to
young Americans who volunteer for COM-
munity service Contact Steven A Culbertson 202 296 2992
www nrtw org
George Washington University Washington DC, 5978,000, 2 yrs To research, evaluate and recommend 'best practices" for congressional Web sites Contact Dennis W Johnson 202 994 6000 www gwn edu/-gspm
PUBLIC POLICY
Government Performance
American Enterprise Institute for Public Policy Research Washington, DC, $128,000, 1 yr For National Forms Online To enhance a soft-ware program to help Presidential appointees fill out required forms from the legislative and executive branches Contact Norman Ornstein 202 862 5800 www aei org
The Aspen Institute, Inc Washington, DC, 1800,000, 2 yrs In support of a third Bipartisan Congressional Retreat, designed to foster improved conduct, more respectful and constructive dialogue among House members and higher productiv-ity in Congress Contact David E Skaggs 202 736 5813 www aspeninstitute org
Council for Excellence in Government Washington, DC, $600,000, 2 yrs For Covering Government In support of a project to research, develop and promote a set of standards for media coverage of the federal government Contact Patricia McGinnis 202 728 0418 www exceigov org
Other Projects
National Right to Work Legal Defense and Education Foundation, Inc Springfield, VA, $150,000, 3 yrs For general Operating support of the foun-dation's legal aid program Contact Alicia Auerswald 703 321 8510
-1
R E L I G 1 0 N
The contours of the American religious landscape are changing radically Today almost every faith tradition in the world is represented in the United States, as the historical prominence of the Protestant, Catholic and Jewish faith traditions makes way for the rise of Islam and various Eastern religions
RE(TGION GRANTS BY SUBPROGRAM AREA 2000
Religion and Public Life S 7 600 000 (29%) 4 giants
Religion and Academic Remarkably this religious diversity has resulted in less conflict here in the United States Life than it has in other nations Undoubtedly this is due in large part to the fact that as a $14 39 5 000 (55%) 9 grants country we are richly endowed with multiple venues for public dialogue and deliberation,
Urban and Hispanic fostered by our freedoms of religion and association, which together serve to diffuse the
Ministry tensions created by sharp differences in religious belief As diversity increases, however, S3 550 000 (13%) these venues will surely need to be reinforced, if not enhanced and expanded, In Order to I grant keep channeling potential conflicts into Opportunities for mutual enrichment
RELIGION GRANTS BY GEOGRAPHI( AREA 2000
--- Philadelphia Area S500 000 (2%) 1 grant
National $25 045 000 (95%) 13 grants
International S860 000 (3%) 2 grants
Total S26 405 000 16 giants
There is good reason to be concerned that misperceptions of some newer faith traditions are latent storms in American public life Indeed, hostility is often footed in gross misinterpretation For instance a 1998 Roper poll found that 50 percent of Americans believed that most Muslims were inherently anti-American or supportive of terrorism Such efforts as the Islamic film project will begin to address this misperception by providing accurate information on contemporary Islam on prime-time network television
D14Z@ RELIGION
Other Pro]ects 11860 000 (3%) 2 grants
Total S26 405 000 16 grants
Urban and Hispanic Ministry includes S250 000 of Religions contribution to Venture Fund grants
Nsuonal includes S250 000 of Religions contribution to Venture Food grants
The Religion program believes that increasing religious diversity presents challenges to all sectors of American society We also believe that civil society is strengthened when citizens develop understanding of and collaboration among the various religious traditions that hold deep meaning for many Americans In other words, a strong democracy is forged out of divergent interests when we use our freedoms well Thus our individual freedom to practice our religion must be coupled with a willingness to listen to, learn from and respect our fellow citizens
Through a variety of approaches, we are seeking to accentuate religions potential to enrich our common civic life Our initiatives as a whole seek to educate the public about the ways in which religion shapes the ideas, beliefs and institutions that undergird American society and Culture, and to encourage faith communities to bring their Compassion, energy and talents to the public square in order to address some of our most pressing needs
With the end of encouraging a greater contribution to American civic life, the Religious
Communities and the American Public Square initiative is engaging the key civic leaders
of the seven major faith traditions in thoughtful discussions about the public dimensions
of their faith The Pew Forum on Religion and Public Life at Georgetown University con-
tributes to open dialogue by serving as an honest broker on difficult public policy issues
where Strong religious convictions heat up the debate and reinforce differing opinions In
this role, the Forum helps the participants identify areas of disagreement as well as areas
Of Compromise, accommodation and agreement that could serve as bridges for consensus
on important policy issues
I
RELIGION
R E L I G 1 0 N P R 0 G R A M S T A F F
Fair treatment of this particular faith tradition in news coverage is an excellent start Luis E Lugo toward strong understanding of alL our religious communities -the ReLigion and New Virector Immigrants initiative also plays an educative role by illuminating how a variety of 215 575 4730 religious communities, including Orthodoxy, Buddhism, Hinduism and Sikhism, as well as Ilugo@pewtrusts com Catholicism, Judaism and Protestantism, are helping to incorporate our newest citizens
Edwin I Hernandez Because of the way they influence public opinion, the media and the academy are espe- Program Officer cially important in ensuring a positive response to our growing religious diversity-the 215 575 4732 media in the short term as a gate-keeper of information, and the academy in the long ehernandez@pewtrusts earn term by generating new knowledge OUT strategy brings both of these institutions to bear on public thinking about the connections between religion and public life We are step- Kimon H Sargeant ping up our efforts to capitalize on the media's pivotal role in communicating ideas and Program Officer information by investing in projects that draw journalists' attention to an important and 215 575 4726 ongoing story Religion is interwoven through American public life, and the increasing ksaTgeant@pewtrusts com diversity of religion adds complexity to this picture
Diane Winston In Religion and Academic Life, we are promoting a deeper understanding, across academic Program Officer disciplines and among scholars, of the importance of religious beliefs and practice 215 575 4758 Because the academy often serves as a thought leader for society and a training ground dwinston@pewtrusts com for the next generation of leaders research and knowledge in the halls of academe about religion's role in culture and society inevitably will influence the views of journalists, Julie L Bundt policyrnakers and the broader public The centers of excellence and the Programs for Program Associate Christian scholars promote inter-religious understanding and tolerance-the foundation 215 575 4855 of a healthy religious pluralism-through collaborative scholarship projects and a Vail- jbundt@pewtrusts com ety of public functions
Cristin A Moody Our local Community Serving Ministry initiative is testing the proposition that we can Assistant to the Director enhance public life by drawing on the unique strengths of our diverse religious commu- 215 575 4731 nities In Philadelphia, secular and religious organizations are coming together to cmoody@pewtrusts com address the problems of some of the neediest members of our society, at-risk youth, starting with a literacy campaign The initiative demonstrates how religious groups can Mary Jane L Smith communicate and collaborate in ways that enrich the whole community, establishing a Administrative Assistant pattern for other cities and communities to follow nationwide 215 575 4773
msmith@pewtiusts com The strategy for our national Hispanic Ministry work seeks to apply this same vision in the context of what is soon to be the largest ethnic minority community in this country, Religion and Public Life whose low educational levels likewise prevent it from being fully incorporated into the Kimon SaTgeant, Diane Winston mainstream of American society The goal is to provide professional training for Hispanic church leaders so that they in turn can minister more effectively to the enormous needs Religion and Academic Life of this growing population Diane Winston
Urban and Hispanic Ministry Edwin Hernandez
General Ouestions Cristin Moody, Mary Jane Smith
R E L I G 10 N P R 0 G R A M G U I D E L I N E S
A
1-4 Requests will not be considered for . Projects that address the needs of only one congregation . Local projects outside the Philadelphia area that are not part of a Trusts-initiated program . Freestanding conferences or seminars, unless initiated by the Trusts . Publishing projects other than those initiated by the Trusts . Scholarships, fellowships or other grants supporting individual work that are not part of a program initiated by the Trusts I Capital projects unless initiated by the Trusts " Endowments " General operating support " Debt reduction " Library acquisitions
D9@ RELIGION
The Religion Program seeks to advance a deeper understanding of religion's contri-bution to the ideas, beliefs, Morals and institutions that shape culture and society, and to help people of faith improve their efforts to make a positive contribution to contemporary public life
Religion and Public Life
Goal To strengthen American democracy by enhancing public understanding of reli-gion's role in civic affairs and increasing religious communities' contribution to public life
Objectives . To foster higher levels of civic engagement by religious groups in the United States . To enhance media coverage of religion and public life
Requests wit[ be considered for . Collaborative projects that help religious communities in the United States increase their civic engagement . Programs that help Improve the media's understanding and coverage of religion
Religion and Academic Life
Goal To enhance scholarly understanding of religion's importance in society
Objectives * To broaden the body of scholarship that addresses religions role in shaping society and culture * To increase the number of Christian scholars contributing to American academic life
Requests will be considered for * Programs that aim to encourage the aca demic study of religion particularly the establishment of centers that focus on religion's contribution to the humanities and social sciences * Scholarship on religious aspects of sub-jects of pressing concern to American civic life, such as the civic incorporation of new immigrants * Programs that build networks of and strengthen scholarship by Christians in the humanities and social sciences
Urban and Hispanic Ministry
Goal To build the capacity of faith-based organ-izations in Philadelphia to provide effec-tive social services to at-risk youth and to increase the numbers of Hispanic church leaders with graduate-level training in order to increase the effectiveness of their community ministry
Objectives * To improve the life prospects of at-risk youth in selected Philadelphia neighbor-hoods * To double the number of Hispanic con-gregational leaders who have an advanced theological degree in order to build more effective ministry in Hispanic communities in the United States
Requests will be considered for . Faith-based projects that help churches and other faith-based ministries work effec-tively with at-risk youth in Philadelphia . Programs that strengthen the theologi-cal education of Hispanic church leaders
Ineligible Requests
2000
Florida Institute of Technology, Inc Miami, FL, 5600,000, 3 yrs For Religion, Immigration and Civic Life in Miami, a research project to study the role of religion in the civic and cultural life of new immigrants in Miami Contact Alex Stepick 305 348 2371 www fiu edu/-iei University of San Francisco
Son Francisco, CA, $600,000, 3 yrs For Religion, Immigration and Civic Life in San Francisco, a research project to study the Tole of rebgion in the cii.ric and cultural life of new Immigrants in San Francisco Contact Lois Ann Lorentzen 415 422 2413 www usfca edu
RELIGION
RELIGION G RAN IS
Religion and Academic Life
The Catholic University of America Washington, DC, $620,000, 3 yrs For Religion, Immigration and Civic Life in Washington, D C , a research project to study the role of religion in the civic and cultural life of new immigrants in Washington, D C Contact Dean Hoge 202 319 5961 www cua edu
Emory University Atlanta, GA, 13,200,000, 5 yrs To establish the Center for the Inter-disciplinary Study of Religion at Emory University and to support its research activ-ities, fellows program and lecture series Contact John Witte Jr 404 727 6980 www law emory edu
Loyola University of Chicago Chicago, rL, SbOu,uuu, 3 yrs For Religion, Immigration and Civic Life in Chicago, a research project to study the role of religion in the civic and Cultural life of new immigrants in Chicago Contact Fred Kniss 773 508 3459 www luc edu
University of Notre Dame du Lac Notre Dame, IN, $3,200,000, 3 yrs, To establish a new program to support Christian scholars through collaborative research projects, a book prize and a lec-ture series Contact Nathan 0 Hatch 219 631 6631 www nd edu/-pesp/ pew/ PewInfo html
Rector and Visitors of the University of Virginia Charlottesville, VA, $2,500,000, 4 yrs To establish the Center on Religion and Democracy and to support its research and teaching activities, fellows program and dissemination efforts Contact James Davison Hunter 804 924 7703
Trustees of Boston University Boston, PfA, 12,50U,OUU, 4 yrs To establish the Institute on Religion and World Affairs at Boston University and to support its research activities, fellows program, curricular offerings and lecture series Contact Peter L Berger 617 353 9050 www bu edu
Yale University New Haven, CT, $575,000, 4 yrs To complete the 27 volume scholarly edition of The Works of Jonathan Edwards Contact Harry S Stout 203 432 5340 www yale edu/wje/index html
Quebec Labrador Foundation, Inc Ipswich, MA, $360,000, 3 yrs In support of the Quebec-Labrador Founda-tion's ministry of serving the people and
clergy of the Quebec Lower North Shore and of establishing an archival collection that will document the ministry's accom-plishments in that region Contact Lawrence B Morris 978 356 0038 www qlf org
DM RELIGION
Religion and Public Life
American Academy of Religion, Inc Atlanta, GA, 11,200,000, 3 yrs To establish a referral service that would link members of the news media with academic experts on religion and public life issues Contact Steve Herrick 404 727 7920 www aarweb org
Georgetown University Washington, DC, $4,900,000, 3 yrs For the establishment of the Pew Forum on Religion and Public Life to gather and disseminate the best research on religion's role in public affairs Contact E J Dionne 202 687 0880 www geOTgetown edu
The Independent Production Fund, Inc New York, NY, 51 000, 000, 2 yrs For the Islam Film Project, the production of a television documentary series that examines Islam's relation to the West Contact Alvin H Perlmutter 212 221 6310
New Citizenship Project, Inc Washington, DC, S500 000, 1 yr For God and the Inner City, a one-hour documentary focusing on faith-based programs in the inner city primarily Philadelphia Contact Michael Pack 301 941 0445
Urban and Hispanic Ministry
Princeton Theological Seminary Princeton, NJ, $3,300,000, 3yrs To support the work of the Hispanic Theological Initiative, which through fel-lowships and other support programs seeks to increase the number of Hispanic faculty in theological institutions in the United States Contact Zaida Maldonado Perez 609 252 1721 www ptsem edu
Other Projects
The Billy Graham Evangelistic Association Minneapolis, MAI, 1500,000, 1 yr For Amsterdam 2000, a conference to pro-vide preaching evangelists with encourage-ment and training for their ministry at the start of the new century Contact Texas E Reardon JT 612 338 0500 Amsterdam2000 org
VENTURE FUND GRANTS BY GEOGRAPHIC AREA 2000
Philadelphia Area S3 380 000 (11%) 6 grants
National $23 590 000 (7 5%) 21 grants
Inte,nauonal S4,250 000 (14%) 2 grants
Total S31,220 000 29 grants
Under S250 000 6 grants (21%)
S250 000 to S499 999 6 giants (21 %)
$500 000 to S999 999 7 grants (24%)
$1 000 000 oil over 10 giants (34%)
Total 29 grants
New solutions to old problems As a natural corollary of our interest in emerging issues, we provide support for projects designed to find innovative and/or timely ways to a,,.,. long-standing problems Examples include the Presidential Appointees Initiative, the Project for Excellence in Journalism and a newly launched exploration into the value of residential education for disadvantaged youth Typically these initiatives seek to draw public attention to the issue at hand and offer new models for improvement
Inform and engage A number of Venture Fund projects exist solely to shine light on Important issues and seek no specific policy outcomes This work provides the public, the media and policymakers with credible, nonpartisan information that is essential for democratic discourse The Pew Research Center for The People & The Press is the flagship project in this portfolio, which also includes the Pew Internet & American Life Project and the Pew Center on the States, publisher of Stateline org
VENTURE FUND
. L
V
V E NTU R E F U N D~_
The Venture Fund is a unique investment toot for the Trusts, enabling us to explore oppor-tunities that fall outside ine clearly definea goats ana objectives of the six program areas There are no restrictions on the subject matter of a Venture Fund grant Instead, our guidelines emphasize the nature of the grant Venture Fund projects typically involve Sig-nificant risk coupled with high potential for impact Other key factors include timeliness, leveraging opportunities and innovation
Unlike the six other program areas, the Venture Fund does not establish multi-year plans for grantmaking Instead, its staff scan the horizon constantly for new lines of work and intriguing Opportunities, then develop grants pToactively to pursue those ideas The paral-lel with a venture capital fund in the private sector is appropriate to a point A philan-thropic investment carries wIth it the possibility of incubating bold new ideas and bringing them to fruition As with any untned, start-up venture, the risk of failure may be high But so is the potential for significant return In our case, though, the return on investment is social, not financial
The Venture Fund was created four years ago We have discovered over time that most of our work falls into three large baskets
Emerging issues Given the Venture Fund's mandate to seize timely opportunities, we are naturally drawn to new issues-matters that were not on the public agenda a few pm ago but have been brought to the fore by demographic or political change or by develop-ments in science and technology Examples include the Pew Initiative an Food and Biotechnology and Credible org . a project of the Consumers Union designed to establish and promote credibility standards for Web sites
VENTURE FUND GRANTS BY RANGE 2000
VENTURE FUND RECENT HISTORY Number of Grants 1995 2000
1995 74 giants
1996 59 giants
1997
1998
1999
2000
As the only grantmaking arm of the Trusts that is not subject-specific, the Venture Fund occasionally makes grants that do not follow the guidelines described above but serve other institutional priorities These include, for example, disaster relief, operational sup-port to umbrella organizations that serve the foundation and nonprofit communities and such special projects as the preservation of Old Glory, the Constitution, the Declaration of Independence and other national treasures
Dg5z VENTURE FUND
V E N T U R E F U N D S I A F F
Donald Kimelman Director 215 575 4848 dkimelman@pewtrusts com
Suzanne R Biemiller Venture Fund Officer 215 575 4735 sbiemiller@pewtrusts earn
Mary Ann Stover Venture Fund Officer 215 575 4712 mstover@pewtrusts com
Lawrence White Venture Fund Officer 215 575 4737 lwhite@peWtTUStS COM
Lori Grange Venture Fund Associate 215 575 4801 Igrange@PeWtTUStS COM
Nancy S Clark Assistant to the Director 215 575 4804 nclark@pewtrusts com
Jennifer Lowes Administrative Assistant 215 575 4867 jlowes@pewtrusts com
In evaluating a potential project, these are some of the questions we ask Does it have particular urgency' Can it produce concrete results in a reasonable time frame7 Does it incorporate or reflect interdisciplinary themes important to the TTUstS7 Will it enable us to explore new partnerships with other foundations or with public or private funders7 If it carries a significant risk of failure, is there also the possibility of unusually high social return if it succeeds7 As with any project funded by the Trusts, we also play close atten-tion to quality of leadership, effectiveness of implementation and other basic require-ments for success
Most ideas and projects supported by the Venture Fund are developed internally, frequently in collaboration with outside organizations and consultants The Fund also considers outside proposals but does not accept applications directly Proposals must be directed to one of the Trusts' six subject-related programs Based on that program staff's initial review a project may then be taken forward for consideration to the Venture Fund But the first letter of inquiry must go to the director of the program whose goals and activities most closely approximate the focus or intent of the proposal
_r2 0 -0 VENTURE FUN D GRANTS
Committee to Encourage Corporate Philanthropy Inc New York, NY 1200 000, 2 yrs For the Corporal ; Giving Initiative In sup-port of an initiative to enhance corporate giving to charitable causes Contact Paul M Ostergard 212 622 8186
Gateway Visitor Center Corporation Philadelphia, PA, 12,200,000 1 yr In support of enhancements to the Gateway Visitor Center Contact William W Moore 215 925 6102
VENTURE FUNO
American National Red Cross -Southeastern Pennsylvania Chapter Philadelphia, FA, $250,000, 1 yr In Support of a study on votunteerism that will inform the organization's future use of volunteers in carrying out its mission Contact Lisa F McClatchy 215 299 4207 www redcross-philly org
Association of Small Foundations Washington, DC $300,000, 3 yrs For the Small Foundation Advocacy Program To enhance understanding on the part of small foundation trustees and staff of pub-lic policy issues affecting philanthropy Contact Charles Scott 301 907 3337 www smallfoundations org
City Year, Inc Boston, MA, $200,000, 2 yrs For City Year Greater Philadelphia To help fund new development efforts aimed at creating a more diverse and sustainable donor base Contact Jim Balfanz 215 988 2118 x223 www cityyear org
Clean Energy Group, Inc Montpelier, VT S400,000, I yr In Support of the Harvard Medical Collaborative Clean Power Partnership Project to assess opportunities for using fuel cells to provide reliable power in the hospitals and research facilities Contact Lewis Milford 802 223 2554
Consumers Union of United States, Inc Yonkers, ArY I To establish and Promote credibility standards for Internet content providers, $2,700,000, 3 yrs II To upgrade the Consumers Union e-rating system to rate Web sites on credibility standards, $720,000, 3 yrs Contact Charles Bell 914 378 2507 www consurnersunion org
Earth Force, Inc Alexandria, VA, 52,500,000, 5 yrs In support of continuing operations Contact Thomas D Martin 703 299 9400 www earthforce org
Eisenhower Exchange Fellowships, Inc Philadelphia, PA 1180,000, 3 yrs In Support of the Philadelphia International Leadership Initiative, which would Create five international fellowships annually for emerging leaders from the Philadelphia region Contact Maureen Mingey 215 546 1738 www eef org
Eleutharian Mills - Hagley Foundation, Inc Wilmington DE, $105,000 3 yrs For the Hagley Museum and Library For general operating support for the library and Center for Advanced Study Contact Michael Nash 302 658 2400 x329 www hagley org
The Foundation Center New York, ArY. SZ55,000, 3 yrs For general operating support Contact Sara L Engelhardt 212 620 4230 www fdricenter org
The Greater Washington Educational TetecommunTcatTons Association, Inc Arlington, VA, 12,800,000, 2 yrs In support of The NewsHour with Jim Lehrer's Media Unit, which provides in-depth coverage of the media and the pow-erful trends that are reshaping the news business Contact Dan Werner 703 998 2847 Www weta org
International Foundation for Education and Self-Help Phoenix, AZ, $350,000, 1 yr To support continuation of preliminary work on the Global Sullivan Principles, an international code of conduct setting stan clards for the workplace and environmental practices of multinational corporations Contact C T Wright 602 443 1800 www globalsullivanpTinciples org
Johns Hopkins University Washington, DC, 13,900,000, 3 yrs To continue and expand the Pew Inter-national Journalism Program an initiative to encourage American news media to devote more sustained and thoughtful coverage to global issues relevant to the post-cold war era Contact John Schidlovsky 202 663 7763 www pewfellowships org
Local Initiatives Support Corporation New York, NY
I For the Rural Pennsylvania Initiative, to strengthen the capacity and increase the output of community development corpo-rations in rural Pennsylvania, $1,750,000, 4 yrs II To help create an independent Stand Up for Rural America organization devoted to educating policyrnakers and the public about rural community development work, $250,000, 18 mos Contact Sandra Rosenbhth 202 785 2908 www liscret org
WHYY Inc
Philadelphia, PA, 1175,000, 3 yrs To establish the Pennsylvania Public Radio News Network, an initiative to link the state's 15 public radio stations to increase Coverage of statewide policy issues and to faster dialog and increased awareness among the public Contact Paul Gluck 215 351 2003 www whyy org
Twin Cities Public Television, Inc St Paul, MM, 1600,000, 2 yrs In support of a three-part documentary on the life and times of Benjamin Franklin Contact Catherine Allan 651 222 1717 www ktca org
VENTURE FUND
Local Initiatives Support Corporation New York, MY $600,000, 3 yrs Support for CEOs for Cities to commission
and widely disseminate a series of case studies and discussion papers on strategies to make cities more competitive Contact Lauren Budding 617 495 4955 www liscret org
Manpower Demonstration Research Corporation New York, MY, S750,000, 3 yrs For the Methodological Innovations Initiative To develop and test improved strategies for evaluating the implementa-tion and impacts of social programs, and disseminate the lessons and tools to eval-uation practitioners in government, foun-dations, universities and other research organizations Contact Thomas Brock 212 532 3200 www mdrc org
New America Foundation Washington, DC, $1,300,000 3 yrs For the New America Fellowship Program In support of a national fellowship Program to promote solutions-oriented research and writing on public policy issues Contact Gordon Silverstein 202 986 2700 www newamerica net
The Philadelphia Foundation Philadelphia, PA, 1500,000 1 yr To shore up and resurface the New Mill House Deck at the Fairmount Waterworks, which would complete restoration work on the public portions of the site Contact Ernesta Ballard 215 563 6417 www philafound org
The Public Agenda Foundation, Inc New York, NY, 1845,000, 2 yrs For the State of Civility, Morals and Manners in America To design and com-plete an in-depth public opinion survey of the state of civility, morals and manners in contemporary America and to conduct focus groups with decision-makers in key sectors to discuss the implications of the findings for their professions Contact Steve Farkas 212 686 6610 x37 www publicagencla org
Trustees of Columbia University in the City of New York New York, NY, $5,100,000, 3 yrs In support of the Project for Excellence in Journalism, an initiative spearheaded by journalists concerned about the purpose and standards of the American news media Contact Tom Rosenstiel 202 293 4668 x14 www journalism org
Trustees of Columbia University in the City of New York New York, MY, 130,000, 3 yrs In support of the College Editors Workshop, a week-long summer forum for editors of college newspapers that seeks to encourage more responsible college journalism Contact Tom Goldstein 212 854 3572 wwwjrn columbia edu
The University of Chicago Chicago, IL, $710,000, 1 yr For the ResidentLal Education Research Project To conduct preliminary research into the impact Of residential education on the lives of disadvantaged children and to develop a plan for longer-term research to further illuminate this field Contact Harold Richman 773 753 5900
University of Richmond Richmond, VA I For the Pew Initiative on Food and Biotechnology Education and Media Resource To help ensure that the federal regulatory system appropriately weighs the risks and benefits of agricultural biotechnology now and in the future, $8,588,000, 2 yrs 11 For the Pew Initiative on Food and Bio-technology Stakeholder Forum, $3,312,000, 2 yrs Contact Michael Roderneyer 202 347 9044 ww,w nchmond edu
PROGRAM AREA TOTALS 2000
Culture S21 941 000 (9 3%)
39 giants
Education S24 419 000 (10 4%)
29 giants
Environment S52 180 000 (22 1%)
44 giants
Health and Human Scryrces
$41 238 000 (17 5%) 179 grants
Public Policy S25,702 000 (10 9%) 31 grants
Religion S26 405 000 (11 2%) 16 grants
Venture Fund S 31 2 20 000 (13 3%) 29 grants
Special Distribution Funding $12,500 000 (5 3%) 2 grants
Total S235 605 000 369 grants
-1
Note Special DLstrilrution Funding includes SIO 000 000 Lit support of the Founding Fathers P.Per, project $500 000 to the 3 Paul Getty Trust in support of the Barnes Foundation and S2 000 000 as partial support Of the P~ Imuatn,e on Food and Biotechnology at the Urunrersity of Rtchroond
- - - -- -- -- - I
GEOGRAPHIC DISTRIBUTION OF GRANTS 2000
Philadelphia Area --- S50 425 000 (22%)
219 grants
National S168 159 000 (71%)
139 giants
International S 17 022 000 ( 7%)
11 grants
Total S235 605 000 369 giants
FINANCIAL SUMMARY
FINANCIAL SUMMARY1
GRANT DISTRIBUTION BY GRANT SIZE 2000
Under $250 000 215 grants (58%)
$250 000 to $499 999 43 grants (12%)
$500 000 to $999 999 41 grants (11%)
S 1 000 000 and oyel' 70 grants (19%)
Total 369 giants
No, . International granL5 include Project$ in Canada on,ects to Protect the world s oceans and in support of international journalism
FINANCIAL SUMMARY
GRANT COMMITMENTS 1990 - 2000
1990 S147,271 400
1991 S142 510 300
1992 S192,332,600
1993
1994 L_jI 7 2 815 600
1995 S161 662,100
1996 S195 163 150
1997 SIBI 112 500
3998 S213 535 000
1999 S250 177 500
2000 S235 605 000
Laura Shell Associate, President's office 215 575 4701 Ishelt@pewtrusts com
STAFF LISTING
STAFF LISTIN G
ADMINISTRATION Stephanie C Mapp Executive Assistant
MANAGEMENT 215 575 4798 smapp@pewtrusts com
Rebecca W Rimel President & Chief Executive Officer Melanie M Peiritsch 215 575 4700 Assistant, President's Office rrimel@pewtrusts com 215 575 4709
in peiritsch @ pewt rusts corn Catherine T Murphy Chief of Staff, Operations Aisha J Wiley 215 575 4713 Assistant, President's Office cmurphy@pewtrusts com 215 575 4791
awiley@pewtrusts com Jill C Schiager Chief of Staff, Programs LEGAL AFFAIRS 215 575 4704 jschlageT@pewtrusts com Joy A HOTWItZ
Director, Legal Affairs, and General Counsel Suzanne Kho 215 575 4748 Officer, Program Administration jhOTWItZ@PeWtrUStS Carl 215 575 4894 skho@pewtrusts com Lawrence K Mendenhall
Officer, Legal Affairs, and Associate General Jacquelin Sufak Counsel Ofj'tceT, Operations 215 575 4946 215 575 4768 Imendenhall@ peWtTUStS COM jsufak@pewtrusts corn
Sara Dressler Fiks Patricia K Szuhaj Officer, Legal Affairs, and Associate General Officer, Program Administration Counsel 215 575 4738 215 575 4811 pszuhaj@pewtlusts com sdiessleT-fiks@pewtiusts com
Sarah C A Armour Karen M Miklosey Associate Program Administration Assistant to the Director 215 575 4703 215 575 4917 sarmour@pewtrusts com kmik[osey@pewtrusts com
Deborah L Todd Grants AdmIniStl"OtoTlOperations Proposal Coordination Michael K Miley
Coordinator Accounting Manager
215 575 4790 Eugenia Dobron 215 575 4764 dtodd@peWtTUStS COM Proposal Coordinator mmiley@ pewt rusts com
215 575 4784 Ann E Bryson edobron@pewtrusts com Birgitt S Wirth
Grants Administrator Benepts Manager
215 575 4781 Linda H Badejo 215 575 4847
abryson@pewtrusts com Word Processor bwirth@PeWtTUStS COM
215 575 4792 lbadejo@pewtrusts com
Regina A McCall Word Processor 215 575 4786 rmccalt@peWtTUStS COM
STAFF LISTING
FINANCE Linda M Chicchi Margaret J O'Neill
Grants Administrator Finance Information CleTk
Henry B Bernstein 215 575 4787 215 575 4797
Director tchicchi@pewtrusts com moneilt@pewtrusts com
215 575 4794 hbernstein@pewtrusts com Mary C DeStefano OPERATIONS
Grants Administrator Grants Administration 215 575 4783 Elizabeth A W Williams
mdestefano@pewtrusts cam Director Administration
Bruce C Compton 215 575 4780
Grants Information Manager & Archivist Deborah J Gore ewilliams@pewtrusts com
215 575 4815 Grants Administrator bcompton@pewtiusts com 215 575 4782 Carol S Lurty
dgore@pewtrusts com Assistant to the Director
Oi-fan Chan (Channy) Peters 215 575 4845
Manager, Grants Administration David W Sims CIUTty@PeWtIUSLS COM
215 575 4785 Grants Administrator
opeteTS@pewtiusts com 215 575 4884 Administration dsims@PeWtTUStS COM
Garth B Seidel Stacey L Marcin
Manager, Grants Administration Carolina S Caletti Divisional Controller and Manager
215 575 4841 Information Management Assistant of Administration
gseidet@peWtTUStS COM 215 575 4776 215 575 4763 ccaletti@pewtrusts com smarcin@pewtrusts com
Joann McGuire Agenda Specialist LaTanya A Robinson Cheryl M Conley
215 575 4793 Assitant to the Director Office Manager
jmcguire@pewtrusts com 215 575 4733 215 575 4925 trobinson@pewtrusts com cconley@pewtrusts com
STAFF LISTING
Hillary M Davie Jr Elizabeth J Leister Human Resources Benefits Aaminisiraror Receptionist 215 575 4762 215 575 9050 Kathleen D Larkin hdavie@pewtrusts cam eleister@pewtrusts cam Chief Human Resources Officer
215 575 4817 Amy L Bowman Michael D Greco klarkin@pewtrusts cam Office Services Coordinator Supplies Coordinator 215 575 4771 215 575 4927 Andrea P Shelton abowman@pewtrusts cam mgreco@pewtrusts cam Recruiting Manager
215 575 4923 Colleen M Mulligan Cynthia L Kelly ashelton @pewt rusts cam Meeting and Travel Coordinator Meeting and Travel ClerklAssistant 215 575 4722 215 575 4716 Judith Z Grossman cmulligan@pewtrusts cam ckelly@pewtrusts cam Interim Training & Development
Administrator Ana Adorno John A Stroman 215 575 4749 Financial Assistant Mail Coordinator jgrossman@pewtrusts cam 215 575 4849 215 575 4774 adorno@pewtrusts cam jstroman@pewtrusts cam Donna L Huddell
Human Resources Assistant Betty T Ling Mary Ann Tyrell 215 575 4714 Payroll Coordinator Office Services Clerk dhuddett@pewtrusts cam 215 575 4766 215 575 4919 bling@PeWtTUStS COM mtyrett@pewtrusts cam Shelonda M Whittington
Human Resources Assistant Garrett C Rattle 215 575 4702 Accountant swhitting ton@ pewtiusts cam 215 575 4767 grattte@pewtrusts cam Tracey A Maguire
Administrative Assistant Lisa A Kittiell 215 575 4734 Administrative Assistant tmag uire@ pewt rusts cam 215 575 4760 Ikittrelt@pewtrusts cam
Susan C Edwards Receptionist 215 575 9050 sedwards@ pewtrusts cam
Information Technology Armando Lio PLANNING AND EVALUATION Network Administrator
Paul RatnaTaj 215 575 4772 Michael Dahl
Chief Information Officer a[ID@pewtrusts corn (effective April 2, 2001)
215 575 4770 Director, Planning and Evaluation
pratnaraj@peWtTUStS COM Neat Moffitt Support Consultant Lester IN Baxter
John H Stockman 215 575 4765 Planning and Evaluation Officer
Manager, Network Infrastructure nmoffitt@pewtrusts com 215 575 4750
215 575 4795 lbaxter@pewtrusts com j stockman@ pewtrusts com Ernest Reeb
Support Consultant Janet L Kroll
Fredric 3 Lipton 215 575 4901 Planning and Evaluation Officer
Network Engineer ereeb@pewtrusts com 215 575 4756
215 575 4820 jkrolt@pewtrusts corn
flipton@pewtrusts com Laura Oliver Administrative Assistant Suzanne MCMUTphy
Kenneth V Miller 215 575 4808 Planning and Evaluation Officer
Database Administrator loliver@pewtrusts com 215 575 4883
215 575 4777 s mcmurphy@ pewt rusts com kmiller@pewtiusts com Library
Page E Snow Joseph E Fox C Suzanne Cole Evaluation Officer and Manager of Technology Training and Support Chief Librarian Organizational Development Administrator 215 575 4814 215 575 4754 215 575 4775 scote@pewtrusts com psnow@pewtiusts com jfox@pewtrusts com
Andrea R Loigman Laura M Line F Deming Love Systems Librarian Planning and Evaluation Associate Webmaster 215 575 4809 215 575 4753 215 575 4779 aloigman@pewtrusts corn Uineftewtrusts com dlove@pewtrusts cont
Michael Rissinger Sharon Sturtevant Valentina Kolchinsky Catalog Librarian Planning and Evaluation Associate Application Developer 215 575 4922 215 575 4759 215 575 4879 mrissingeT@PeWtIUStS com SStUTtevant@pewtiusts com vkolchinsky@pewtrusts corn
Susan L Sehulster Library Assistant 215 575 4920 ssehulster@peWtTUStS COM
Im
STAFF LISTING
Marshall A Ledger Publications Manager 215 575 4805 mledger@pewtrusts com
N
STAFF LISTING
Sherri L Beale Charles R Miller Assistant to the D-ccw Munayei, Public Affairs 215 575 4751 215 575 4911 sbeale@pewt rusts com cmitter@pewtrusts com
Tarnika L Hughes Ann M Cinque Administrative Assistant Web Content and Publications Specialist 215 575 4808 215 575 4802 thughes @ pewt rusts corn acinque@pewtrusts com
Gila Lemont Cindy L Jobbins Administrative Assistant Associate, Public Affairs 215 575 4752 215 575 4812 glemont@pewtiusts com cjobbins@pewtrusts com
PUBLIC AFFAIRS Marilyn Mordecai Assistant to the Director
David J Morse 215 575 4708 Director mmordecai@pewtrusts com 215 575 4810 dmorse@pewtrusts com Ernestine F Hunter
Administrative Assistant Barbara Beck 215 575 4887 Manager, Public Affairs ehunter@pewtrusts com 215 575 4816 bbeck@pewtrusts corn April T Jones
Administrative Assistant James R BOTnemeler 215 575 4895 Manager, Public Affairs ajones@pewtrusts com 215 575 4818 jbornerneier@pewtrusts com Roshonda C Jones
Administrative Assistant Sharon E Gallagher 215 575 4886 Manager Public Affairs rjones@pewtrusts com 215 575 4813 sgallagher@pewtrusts com