IM C Fl AR, 500 NYS Annual Filing for Charitable Organizations www.CharitiesNYS.com Send with fee and attachments to: NYS Office of the Attorney General Charities Bureau Registration Section 120 Broadway New York, NY 10271 01 01 I 2014 and Ending (mm/d mmlddlyyyy) Name of Organization: THE RUTH NULAN CHU CHAO For Fiscal Year Begini Check if Applicable: _J Address Change XJ Name Change _J Initial Filing _J Final Filing _j Amended Filing _J Reg ID Pending I 31 p2014 12 Employer Identification Number (EIN): 26-6762017 FOUNDATION Mailing Address: C/O BERDON LLP , 360 Madison Ave. City I State I Zip: 2014 Open to Public Inspection NY Re gistration Number: 41-46-96 Telephone: NEW YORK,NY,10017 Email: Website: Check your organization's registration category: El Find your registration category in the EPTL only El DUAL (7A & EPTL) 0 EXEMPT Charities Registry at www.CharitiesNYS.com 7A only See instructions for certification requirements. Improper certification is a violation of law that may be subject to penalties. We certify under penalties of perjury that we reviewed this report, including all attachments, and to the best of our know/edge and belief, they are true, correct and COMWele in accordance with the laws of the State of New York app//cable to this report. /i * President or Authorized Officer: xxx /' (xxxxxxxxxxxxxxxxxxxXXXXXX)çQ(XXXXX )(XXXXXX Check the exemption(s) that apply to your filing. If your organization is claiming an exemption under the category (7A and EPTL only filers) or both categories (DUAL filers) that apply to your registration, complete only parts 1, 2, and 3, and submit the certified Char500. No fee, schedules, or additiona attachments are required. If you cannot claim an exemption or are a DUAL filer that claims only one exemption, you must file applicable schedules and attachments and pay applicable fees. El 3a. 7A filin g exem p tion: Total contributions from NY State including residents, foundations, government agencies, etc. did not exceed $25,000 and the organization did not engage a professional fund raiser (PFR) or fund raising counsel (FRC) to solicit contributions during the fiscal year. Or the organization qualifies for another 7A exemption (see instructions). 3b. EPTL filing exemption: Gross receipts did not exceed $25,000 and the market value of assets did not exceed $25,000 at any time during the fiscal year. See the following page for a checklist of schedules and attachments to complete your filing. Lii Yes No 4a. Did your organization use a professional fund raiser, fund raising counsel or commercial co-ventur for fund raising activity in NY State? If yes, complete Schedule 4a. Yes FX1No 4b. Did the organization receive government grants? If yes, complete Schedule 4b. 1.-I 1 See the checklist on the next fee(s). Indicate fee(s) you are submitting here: I 7A filing fee: page I I $ ____________ I Total fee: I EPTL filing fee: Make a single check or money order to calculate your I payable to: 100 100 . "Department of Law" $ $ ____________ CHAR500 Annual Filing for Charitable Organizations (Updated November 2014) Page 1 *This organization is a Trust. Only a single signature is required 4J3550 1.000 49088V 1608 5/4/2015 8:41:45 AN V 14-4.6F PAGE 33 C l-I A R5 Q Q Annual Filina Checklist Simply submit the certified CNAR500 with no fee, schedule, or additional attachments IF: - Your organization is registered as 7A only and you marked the 7A filing exemption in Part 3. - Your organization is registered as EPTL only and you marked the EPTL filing exemption in Part 3. - Your organization is registered as DUAL and you marked both the 7A and EPTL filing exemption in Part 3. Check the schedules you must submit with your CHAR500 as described in Part 4: El If you answered "yes" in Part 4a, submit Schedule 4a: Professional Fund Raisers (PFR), Fund Raising Counsel (FRC), Commercial Co-Venturers (CCV) If you answered "yes" in Part 4b, submit Schedule 4b: Government Grants Check the financial attachments you must submit with your CHAR500: FRI IRS Form 990, 990-EZ, or 990-PF, and 990-T if applicable FXJ All additional IRS Form 990 Schedules including Schedule B (Schedule of Contributors). FD IRS Form 990-T if applicable If you are a 7A only or DUAL filer, submit the applicable independent Certified Public Accountant's Review or Audit Report: El Review Report if you received total revenue and support greater than $250,000 and up to $500,000. Audit Report if you received total revenue and support greater than $500,000 No Review Report or Audit Report is required because total revenue and support is less than $250,000 Note: The Audit and Review requirements are set to change in 2017 and 2021 in accordance with the Non Profit Revitalization Act of 2013. For more details, visit wwN.CharitiesNYS.com . For 7A and DUAL filers, calculate the 7A fee: $0, if you marked the 7A exemption in Part 3a $25, if you did not mark the 7A exemption in Part 3a For EPTL and DUAL filers, calculate the EPTL fee: $0, if you marked the EPTL exemption in Part 3b Is m y omanizafion a 7A. EPTL or DUAL filer? - 7A filers are registered to solicit contributions in New York under Article 7-A of the Executive Law ("7A") - EPTL filers are registered under the Estates, Powers & Trusts Law ("EPTL") because they hold assets and/or conduct activities for charitable purposes in NY. - DUAL filers are registered under both 7A and EPTL. $25, if the NET WORTH is less than $50,000 Check your registration category and learn more about NY law at www.CharitiesNYS.com $50, if the NET WORTH is $50,000 or more but less than $250,000 Where do I find m y organization's NET WORTH? $100, if the NET WORTH is $250,000 or more but less than $1,000,000 $250, if the NET WORTH is $1,000,000 or more but less than $10,000,000 $750, if the NET WORTH is $10,000,000 or more but less than $50,000,000 NET WORTH for fee purposes is calculated on: - IRS From 990 Part I, line 22 - IRS Form 990 EZ Part I line 21 - IRS Form 990 PF, calculate the difference between Total Assets at Fair Market Value (Part II, line 16(c)) and Total Liabilities (Part II, line 23(b)). $1500, if the NET WORTH is $50,000,000 or more Send your CHAR500, all schedules and attachments, and total fee to: NYS Office of the Attorney General Charities Bureau Registration Section 120 Broadway New York, NY 10271 CHAR500 Annual Filing for Charitable Organizations (Updated November 2014) Page 2 4J3551 1.000 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F PAGE 34 2014 CHAR500 Schedule 4a: Professional Fund Raisers, Fund Raising Counsels, Commercial Co-Venturers www.CharitiesNYS.com Open to Public Inspection If you checked the box in question 4a in Part 4 on the CHAR500 Annual Filing for Charitable Organizations, complete this schedule for EACH Professional Fund Raiser (PFR), Fund Raising Counsel (FRC) or Commercial Co-Venturer (CCV) that the organization engaged for fund raising activity in NY State. use additional pages if necessary. include this schedule with your certified CHAR500 NYS Annual Filing for Charitable Organizations. Name of Organization: NY Registration Number: Name ofFRP: Fund Raising Professional type: El Professional Fund Raiser Mailing Address: LII Fund Raising Counsel El Commercial Co-Venturer Contract Start Date: Telephone: City I State / Zip: Contract End Date: Services provided by FRP: Compensation arrangement with FRP: Yes Amount Paid to FRP: No if services were provided by a CCV, did the CCV provide the charitable organization with the interim or closing report(s) required by Section 173(a) part 3 of the Executive Law Article 7A? A Professional Fund Raiser (PFR), in addition to other activities, conducts solicitation of contributions and/or handles the donations (Article 7A, 171-a.4) A Fund Raising Counsel (FRC) does not solicit or handle contributions but limits activities to advising or assisting a charitable organization to perform such functions for itself (Article 7A, 171-a.9). A Commercial Co-Venturer (CCV) is an individual or for-profit company that is regularly and primarily engaged in trade or commerce other than raising funds for a charitable organization and who advertises that the purchase or use of goods, services, entertainment or any other thing of value will benefit a charitable organization (Article 7A, 171-a.6). CHAR500 Schedule 4a: Professional Fund Raisers, Fund Raising Counsels, Commercial Co-Venturers (Updated November 2014) Page 1 4J35521.000 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F PAGE 35 LI I I I LN CHAR500 2014 Open to Public Inspection Schedule 4b: Government Grants www.CharitiesNYS.com If you checked the box in question 4b in Part 4 on the CHAR500 Annual Filing for Charitable Organizations, complete this schedule and list EACH government grant. Use additional pages if necessary. Include this schedule with your certified CHAR500 NYS Annual Filing for Charitable Organizations. I NY Registration Number: Name of Organization: Amount of Grant Name of Government Agency 1. 1. 2. 2. 3. 3. 4. 4. 5. 5. 6. 6. 7. 7. 8.. 8.. 9. 9. 10. 10. 11. 11. 12. 12. 13. 13. 14. 14. 15. 15. Total Government Grants: Total: CHAR500 Schedule 4b: Government Grants (Updated November 2014) Page 1 4J3553 1.000 49088V 1608 4/30/2015 9:21:31 AN V 14-4.5F PAGE 36 * Form aan D OMB No. No. 1545-0052 Return of Private Foundation or Section 4947(a)(1) Trust Treated as Private Foundation Do not enter social security numbers on this form as it may be made public. Department of the Treasury Internal Revenue Service 10, Information about Form 990-PF and its separate instructions Is at www.i,s.gov/forn For calendar year 2014 or tax year beginning 2014. and en Name of foundation A Employer identification number ©14 THE RUTH MULAN CHU CHAO FOUNDATION 20 26-6762017 Number and street (or P.O. box number if mail isnot delivered to street address) Room/suite B Telephone number (see instructions) C/O BERDON LLP 360 MADISON AVENUE City or town, state or province, country, and ZIP or foreign postal code C If exemption application is pending, check here . . [III Foreign organizations, check here. . [1111 NEW YORK, NY 10017 G Check all that apply: Initial return Initial return of a former public charity Final return Amended return Address change Name change H Check type of organization: [J Section 501(c)(3) exempt private foundation [1 Section 4947(a)(1) nonexempt charitable trust [1 Other taxable private foundation I Fair market value of all assets at J Accounting method:[j Cash Li Accrual end of year (from Part 11, col. (c), line Other (specify) 765, 891. 16) lo. $ (Part!, column (d) must be on cash basis.) IThIIAnalysis of Revenue and Expenses (The Revenue and (b) Net investment total of amounts in columns (b), (c), and (d) expenses per income may not necessarily equal the amounts in column (a) (see instructions).) - I 2 Contributions, gifts, grants, etc., received (attach schedule) Check E] if the foundation is not required to D 1. 2. Foreign organizations meeting the 85% test, check here and attach computation ........ [11 E if private foundation status was terminated under section 507(b)(1)(A), check here . F If the foundation is in a 60month termination under section 507(b)(1)(B), check here . (c) Adjusted net income (d) Disbursemer for charitable purposes (cash basis onl 2,500,000. 2,092. 3 Interest on savings and temporary cash investments 117,140. 4 Dividends and interest from securities 5a Gross rents ..................____________________ b Net rental income or (loss) 185, 405. 6a Net gain or (loss) from sale of assets not on line 10 b Gross sales price for all 23,723,833. assets on line w 7 Capital gain net income (from Part IV, line 2) . 8 Net short-term capital gain ...........____________________ 9 Income modifications .............___________________ 10a Gross sales less returns and allowances ..... b Less: Cost of goods sold 2,092. 117, 140. - ATCH 1 ATCH 2 6a- 185, 405. - c Gross profit or (loss) (attach schedule) . . . . 11 Other income (attach schedule) ZATQH. 3 . 12 Total. Add lines l through ll 10,850. 2,815,487. 0 13 Compensation of officers, directors, trustees, etc 14 Other employee salaries and wages ......___________________ 15 Pension plans, employee benefits .......___________________ 16a Legal fees (attach schedule) ..........___________________ 4,200. b Accounting fees (attach schedule)1T.Cj-I. 4 c Other professional fees (attach schedule). . . cu 17 Interest ...................._________________ 17, 933. . 18 Taxes (attach schedule) (see instructions)[5]. 19 Depreciation (attach schedule) and depletion. 10,850. 315,487. - (I) 4,200. - 17, 933. - 20 Occupancy ..................__________________ . 21 Travel, conferences, and meetings .......___________________ 22 Printing and publications ...........___________________ 4,930. 23 Other expenses (attach schedule)TCH .6. ' 24 Total operating and administrative expenses. 27,063. Add lines 13 through 23 . . . . . . . . . . . 10, 020, 000. 25 Contributions, gifts, grants paid ....... . 10,047,063. - 26 Total expenses and disbursements. Add lines 24 and 25 27 Subtract line 26 from line 12: a Excess of revenue over expenses and disbursements . —7,231,576. Net investment income (if negative, enter -0-) b - c Adjusted net income (if negative, enter -0-). JSA For Paperwork Reduction Act Notice, see instructions. 4,830. 26,963. - o 4E1410 1.000 49088 1608 4/30/2015 9:21:31 AM V 14-4.5F 26,963. - 10,020,000. 10,020,000. 288, 524. Form U-PI (2014) PAGE 1 Form 990-PF (2014) THE RUTH MULAN CHU CHAO FOUNDATION Attached schedules and amounts in the I Beginning of year ITIIU Balance Sheets description column should be for end-of-year I (a) Book Value amounts only. (See instructions.) I .................. ........... I Cash - non-interest-bearing Savings and temporary cash investments 3 Accounts receivable Less: allowance for doubtful accounts 4 Pledges receivable 002 26-6762017 page 2 End of year (b) Book Value I (c) Fair Market Value 857,646.1 16,213. 33, 259. 33,259 16,213. 33,259. Less: allowance for doubtful accounts Grants receivable ...................... 6 Receivables due from officers, directors, trustees, and other disqualified persons (attach schedule) (see instructions) . 7 Other notes and loans receivable (attach schedule) - - , - Less: allowance for doubtful accounts 5 C) 8 Inventories for sale or use 9 Prepaid expenses and deferred charges ............ 10a Investments - U.S. and state government obligations (attach schedule). •H• 7 b Investments - corporate stock (attach schedule) c Investments - corporate bonds (attach schedule)........ 11 Investments - land, buildings. 10. and equipment: basis ---------------------Less: accumulated depreciation ---------------------(attach schedule) 12 Investments- mortgage loans ................ 13 Investments - other (attach schedule)ATCH . 14 Land, buildings, and equipment: basis -------------------Less: accumulated depreciation . ---------------------(attach schedule) 15 Other assets (describe No 16 Total assets (to be completed by all filers - see the instructions. Also, see page 1, item I) - 1 , 940 , 669. 1 119,750.1 119,750. 5,225,716.1 596,669.1 596,669. 765, 891. 765,891. 8,024,031 17 Accounts payable and accrued expenses 18 Grants payable 19 Deferred revenue = 20 Loans from officers, directors, trustees, and other disqualified persons 21 Mortgages and other notes payable (attach schedule) 22 Other liabilities (describe 10 - ...................... 23 Total liabilities (add lines 17 through 22) Foundations that follow SFAS 117, check here. and complete lines 24 through 26 and lines 30 and 31. ......................... .................... .................... 25 Unrestricted Temporarily restricted 26 Permanently restricted 24 27 28 29 30 31 Foundations that do not follow SFAS 117, . . . check here and complete lines 27 through 31. Capital stock, trust principal, or current funds Paid-in or capital surplus, or land, bldg., and equipment fund Retained earnings, accumulated income, endowment, or other funds Total net assets or fund balances (see instructions) ...... Total liabilities and net assets/fund balances (see instructions) 8,024,031. 765, 891. 8,024,031. 765,891. 8,024,031.1 765,891. F. 1111 Analysis of Changes in Net Assets or Fund Balances - I Total net assets or fund balances at beginning of year - Part II, column (a), line 30 (must agree with end-of-year figure reported on prior year's return) 2 Enter amount from Part I, line 27a L. ._. 2 3 Other increases not included in line 2 (itemize) -ATCR --3 4 Add lines l,2, and 3 5 Decreases not included in line 2 (itemize) 6 Total net assets or fund balances at end of yar e (line 4 minus line 5) - Part II, column (b), line 30 . . . . 8,024,031. -7,231,576. -26,564. 4 765,891. 6 765, 891. Form 990-PF (2014) JSA 4E1420 1.000 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F PAGE 2 1. THE RUTH MULAN CHU CHAO FOUNDATION Form 990-PF 26-6762017 ace 3 •miA Capital Gains and Losses for Tax on Investment Income (a) List and describe the kind(s) of property sold (e.g., real estate, 2-story brick warehouse; or common stock, 200 shs. MLC Co.) la SEE PART IV SCHEDULE quired day, yr.) I (d) Date sold (mo., day, yr.) C (e) Gross sales price (g) Cost or other basis plus expense of sale (f) Depreciation allowed (or allowable) / (h) Gain or (loss) (e) plus (f) minus (g) d Complete only for assets (I) F.M.V. as of 12/31/69 gain in column (h) and owned by the foundation on 12/31169 (Ic) Excess of col. (i) ) Adjusted basis as of 12/31/69 over col. (j), if any 1 (I) Gains (Col. (h) gain minus col. (k), but not less than -0-) or Losses (from col. (h)) a C e I If gain, also enter in Part I, line 7 2 Capital gain net income or (net capital loss) 2 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 instructions). If (loss), enter -0- in J 3 Part I, line 8 IIY Th 1 Qualification Under Section 4940(e) for Reduced Tax on Net Investment Income (For optional use by domestic private foundations subject to the section 4940(a) tax on net investment income.) t 185, 405. [I If section 4940(d)(2) applies, leave this part blank. Was the foundation liable for the section 4942 tax on the distributable amount of any year in the base period? Yes ljjj No If "Yes," the foundation does not qualify under section 4940(e). Do not complete this part. I Enter the appropriate amount in each column for each year; see the instructions before making any entries. (a) (d) (c) Base period years Distribution ratio Adjusted qualifying distributions Net value of noncharitabte-use assets Calendar year (or tax year beginning in) (cot. (b) divided by cot. (c)) 2013 2012 2011 2010 34,291. 9,992,069. 31,103. 7,555,493. 11,593,180. 15,854,966. 697,716. 0.004539 0.861892 0.001962 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 if less than 5 years ........... L. 0.217098 4 Enter the net value of noncharitable-use assets for 2014 from Part X, line 5 .......... L 4,846,539. 5 1,052,174. Multiply line 4 by line 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . L-5 6 Enter 1% of net investment income (1% of Part I, line 27b) ................... 7 Add lines 5 and 6 ......................................... [.1 0.868393 2,885. 1,055,059. 10, 020, 000. Enter qualifying distributions from Part XII, line 4 ........................ I 8 I If line 8 is equal to or greater than line 7, check the box in Part VI, line ib, and complete that part using a 1% tax rate. See the Part VI instructions. JSA Form 990-PF (2014) 4E1430 1.000 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F PAGE 3 8 Form 990-PF THE RUTH MULAN CHU CHAO FOUNDATION on Investment Income (Section 4940(a). 494 Li 26-6762017 Page 4940(e), or 4948 - see instructions) la Exempt operating foundations described in section 4940(d)(2), check here 0 1 and enter "N/A" online 1. (attach copy of letter if necessary - see instructions) Date of ruling or determination letter b Domestic foundations that meet the section 4940(e) requirements in Part V, check 2,885. .............................. and enter 1% of Part I, line 27b here c All other domestic foundations enter 2% of line 27b. Exempt foreign organizations enter 4% of Part I, line 12, col. (b). 2 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) 3 Add lines 1 and 2 .............................................. ............. .............. . ................... ............................. ................ .......... 7,115. 2 2,885. 0 4 Subtitle A (income) tax (domestic section 4947(a)( 1) trusts and taxable foundations only. Others enter -0-) 5 Tax based on investment income. Subtract line 4 from line 3. If zero or less, enter -06 Credits/Payments: 10,000. 6a a 2014 estimated tax payments and 2013 overpayment credited to 2014. . . 6b b Exempt foreign organizations - tax withheld at source c Tax paid with application for extension of time to file (Form 8868)....... 6c d Backup withholding erroneously withheld 6d 7 Total credits and payments. Add lines 6a through 6d if Form 2220 is attached ....... 8 Enter any penalty for underpayment of estimated tax. Check here 9 Tax due. If the total of lines 5 and 8 is more than line 7, enter amount owed 10 Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid Refunded 11 Enter the amount of line 10 to be: Credited to 2015 estimated tax 2,885. 10,000. 8 9 7,115. Statements Regard! Activities I During the tax year, did the foundation attempt to influence any national, state, or local legislation or did it participate or intervene in any political campaign? b Did it spend more than $100 during the year (either directly or indirectly) for political purposes (see Instructions for the definition)? If the answer is 'Yes" to la or Ib, attach a detailed description of the activities and copies of any materials ...................................... ............................................... la Yes No X lb X Ic X 2 X 3 x la X published or distributed by the foundation in connection with the activities. c Did the foundation file Form 1120-POL for this year'? .................................... d Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year: (1) On the foundation. 101 $ (2) On foundation managers. 101 $__________________________ e Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed on foundation managers. IN, $ 2 Has the foundation engaged in any activities that have not previously been reported to the IRS ? ' ................ If "Yes, " attach a detailed description of the activities. 3 Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles of incorporation, or bylaws, or other similar instruments? If 'Yes, "attach a conformed copy of the changes 4a Did the foundation have unrelated business gross income of $1,000 or more during the year ? ............ ' ................. b If "Yes," has it filed a tax return on Form 990-T for this year'? 5 Was there a liquidation, termination, dissolution, or substantial contraction during the year'? lb X If "Yes, "attach the statement required by General Instruction T. 6 Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either: • By language in the governing instrument, or • By state legislation that effectively amends the governing instrument so that no mandatory directions that conflict with the state law remain in the governing instrument'? ............................... 7 Did the foundation have at least $5,000 in assets at any time during the year? If 'Yes," complete Part II, col. (c), and Part XV 8a Enter the states to which the foundation reports or with which it is registered (see instructions) NY, b If the answer is "Yes" to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney General (or designate) of each state as required by General Instruction G? If "No, "attach explanation ................. 9 Is the foundation claiming status as a private operating foundation within the meaning of section 49420)(3) or 49420)(5) for calendar year 2014 or the taxable year beginning in 2014 (see instructions for Part XI\d)? If 'Yes," completePart XI V 6 X 7 x 8b X ..................................................... .................................................... 10 Did any persons become substantial contributors during the tax year? If 'Yes," attach a schedule listing their namesand addresses 9 x 10 X Form 990-PF (2014) JSA 4E1440 1.000 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F PAGE 4 1- Page Form gg O-PF(2014) 26-6762017 THE RUTH MULAN CHU CHAO FOUNDATION ITaVAl!1 Statements Regarding Activities (continued) II At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the X meaning of section 512(b)(1 3)? If "Yes," attach schedule (see instructions) ............................11 12 Did the foundation make a distribution to a donor advised fund over which the foundation or a disqualified X person had advisory privileges? If "Yes," attach statement (see instructions) ...........................12 X 13 Did the foundation comply with the public inspection requirements for its annual returns and exemption application? 13 N/A Website address B.ENL_L_P Telephone no .212832O4O0 14 The books are in care of . 10017 ZIP+4 Located at ,.360 MADISON AVENUE NEW YORK, NY 15 Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041 - Check here ............ P1Iiif and enter the amount of tax-exempt interest received or accrued during the year .................. 10 1 1 15 Yes No 16 At any time during calendar year 2014, did the foundation have an interest in or a signature or other authority X over a bank, securities, or other financial account in a foreign country? ..............................16 See the instructions for exceptions and filing requirements for FInCEN Form 114, (formerly TD F 90-22.1). If "Yes." enter the name of the forelan country flThY1I!:I Statements Regarding Activities for Which Form 4720 May Be Required No File Form 4720 if any item is checked in the "Yes" column, unless an exception applies. I a During the year did the foundation (either directly or indirectly): .Yes No (1) Engage in fhe sale or exchange, or leasing of property with a disqualified person? (2) Borrow money from, lend money to, or otherwise extend credit to (or accept it from) a .................Yes X No disqualified person? X No (3) Furnish goods, services, or facilities to (or accept them from) a disqualified person? ..........Yes X No ......Yes (4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person'? (5) Transfer any income or assets to a disqualified person (or make any of either available for No the benefit or use of a disqualified person)'? .............................Yes (6) Agree to pay money or property to a government official? (Exception. Check "No" if the foundation agreed to make a grant to or to employ the official for a period after No termination of government service, if terminating within 90 days.) ..................Yes b If any answer is 'Yes' to la(1)-(6), did any of the acts fail to qualify under the exceptions described in Regulations section 53.4941 (d)-3 or in a current notice regarding disaster assistance (see instructions)'? .................. Organizations relying on a current notice regarding disaster assistance check here ............... c Did the foundation engage in a prior year in any of the acts described in la, other than excepted acts, that X were not corrected before the first day of the tax year beginning in 2014'? ........................... 2 Taxes on failure to distribute income (section 4942) (does not apply for years the foundation was a private operating foundation defined in section 4942(j)(3) or 49420)(5)): a At the end of tax year 2014, did the foundation have any undistributed income (lines 6d and No 6e, Part XIII) for taxyear(s) beginning before 2014'? ...........................Yes lf"Yes," list the years 0 - '---------, --------, ________ b Are there any years listed in 2a for which the foundation is not applying the provisions of section 4942(a)(2) (relating to incorrect valuation of assets) to the year' .s undistributed income? (If applying section 4942(a)(2) to all years listed, answer "No" and attach statement - see instructions.) ............................. c If the provisions of section 4942(a)(2) are being applied to any of the years listed in 2a, list the years here. -- - - - , ----------, --------, -------3a Did the foundation hold more than a 2% direct or indirect interest in any business enterprise at any time during the year'? ......................................Yes E] No b If "Yes," did it have excess business holdings in 2014 as a result of (1) any purchase by the foundation or disqualified persons after May 26, 1969; (2) the lapse of the 5-year period (or longer period approved by the Commissioner under section 4943(c)(7)) to dispose of holdings acquired by gift or bequest; or (3) the lapse of the 10-, 15-, or 20-year first phase holding period? (Use Schedule C, Form 4720, to determine if the foundation had excess business holdings in 2014.) ...................................... 4a Did the foundation invest during the year any amount in a manner that would jeopardize its charitable purposes? b Did the foundation make any investment in a prior year (but after December 31, 1969) that could jeopardize its X IX I4bI Form 990-PF (2014) JSA 4E1450 1.000 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F PAGE 5 r 26-6762017 - THE RUTH NULAN CHU CHAO FOUNDATION Form 990-PF (2014) tge 6 •TLY1I!:1 Statements Regarding Activities for Which Form 4720 May Be Required (continued) 5a During the year did the foundation pay or incur any amount to: (1) Carry on propaganda, or otherwise attempt to influence legislation (section 4945(e)) ? ...... (2) Influence the outcome of any specific public election (see section 4955); or to carry on, directly or indirectly, any voter registration drive? ......................... ............ ............................. (3) Provide a grant to an individual for travel, study, or other similar purposes? No . Yes Yes Yes X No X No (4) Provide a grant to an organization other than a charitable, etc., organization described in Yes No section 4945(d)(4)(A)? (see instructions) (5) Provide for any purpose other than religious, charitable, scientific, literary, or educational No purposes, or for the prevention of cruelty to children or animals ? ................. Yes b If any answer is "Yes' to 5a(1)-(5), did any of the transactions fail to qualify under the exceptions described in Regulations section 53.4945 or in a current notice regarding disaster assistance (see instructions) ? .............Sb L1 .................. .................... D Organizations relying on a current notice regarding disaster assistance check here c If the answer is Yes' to question 5a(4), does the foundation claim exemption from the tax Yes No because it maintained expenditure responsibility for the grant? If "Yes," attach the statement required by Regulations section 53.4945-5(d). 6a Did the foundation, during the year, receive any funds, directly or indirectly, to pay premiums on a personal benefit contract? ................................... Yes a No b Did the foundation, during the year, pay premiums, directly or indirectly, on a personal benefit contract ? .......... X If "Yes" to 6b, file Form 8870. E No Yes 7a At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction? b If 'Yes," did the foundation receive any proceeds or have any net income attributable to the transaction ? ...........lb •fl1AII• Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees, all otticers, directors, trut Uompensation (If not paid, enter -0-) b) Title, and average hours per week devoted to position (a) Name and address (C) (d) Contributions to employee benefit plans II and deferred compensation i (e) Expense account, other allowances ATCH 10 2 Compensation of five highest-paid employees (other than those included on line I - see instructions). If none, enter "NONE." Contributions to I I (b) Title, and average I I (d) employee benefit I (e) Expense account, hours perweek I (a) Name and address of each employee paid more than $50,000 I (c) compensation other allowances I devoted to position I NONE em over $50,000 ...................... Form 990-PF (2014) JSA 4E1460 1.000 49088V 1608 4/30/2015 9:21:31 AN V 14-4.5F PAGE 6 26-6762017 THE RUTH NOLAN CHU CHAO FOUNDATION Page 7 Form 990-PF (2014) 1flTh'1lII Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees, and Contractors (continued) 3 Five highest-paid independent contractors for professional services (see instructions). If none, enter "NONE." (c) Compensation (b) Type of service (a) Name and address of each person paid more than $50,000 NONE Total number of others receiving over $50,000 for professional services •. Summary of Direct Charitable Activities List the foundation's four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of I organizations and other beneficiaries served, conferences convened, research papers produced, etc. Expenses I I N/A I 3 4 flI:I Summary of Program-Related Investments (see instructions) Describe the two largest program-related investments made by the foundation during the tax year on tines 1 and 2. I Amount NONE 2 All other program-related investments. See instructions. 3 NONE Total. Add lines 1 throu h3 Form 990-PF(2014) JSA 4E1465 1.000 49088V 1608 4/30/2015 9:21:31 AN V 14-4.5F PAGE 7 THE RUTH MULAN CHU CHAO FOUNDATION 26-6762017 Form 990-PF (2014) Page 8 IThEI Minimum Investment Return (All domestic foundations must complete this part. Foreign foundations, see instructions.) I Fair market value of assets not used (or held for use) directly in carrying out charitable, etc., purposes: la 2,940,629. a Average monthly fair market value of securities 586,853. b Average of monthly cash balances Ic 1,392,862. c Fair market value of all other assets (see instructions) Ild 4,920,344. d Total (add lines la, b, and C) e Reduction claimed for blockage or other factors reported on lines 1 a and .le Ic (attach detailed explanation) 2 2 Acquisition indebtedness applicable to line 1 assets 4,920,344. 3 Subtract line 2 from line id 4 Cash deemed held for charitable activities. Enter 1 1/2 % of line 3 (for greater amount, see instructions) 4 73,805. 5 4,846,539. 5 Net value of noncharitable-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 6 242,327. Distributable Amount (see instructions) (Section 49420)(3) and 0)(5) private operating foundations and certain foreign organizations check here lio. El and do not complete this part.) 242,327. I Minimum investment return from Part X, line 6 2,885. 2a Tax on investment income for 2014 from Part VI, line 5 2b b Income tax for 2014. (This does not include the tax from Part VI.). 2,885. c Add lines 2a and 2b 239, 442. 3 Distributable amount before adjustments. Subtract line 2c from line I 4 Recoveries of amounts treated as qualifying distributions 239, 442. 5 Add lines 3 and 4 6 Deduction from distributable amount (see instructions) 7 Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII, 239, 442. .............................. ..................................... ........................................ ............................. .............................. ........2a ............................................ ................. ........................ .............................................. .......................... IFTIIllI Qualifying Distributions (see instructions) I Amounts paid (including administrative expenses) to accomplish charitable, etc., purposes: a Expenses, contributions, gifts, etc. - total from Part I, column (d), line 26 10, 020, 000. .Ia b Program-related investments - total from Part IX-B .lb 2 Amounts paid to acquire assets used (or held for use) directly in carryin g ouale, t chritab etc., purposes 3 Amounts set aside for specific charitable projects that satisfy the: a Suitability test (prior IRS approval required) b Cash distribution test (attach the required schedule) 4 Qualifying distributions. Add lines la through 3b. Enter here and on Part V, line 8, and Part XIII, line 4 4 10, 020, 000. 5 Foundations that qualify under section 4940(e) for the reduced rate of tax on net investment income. Enter 1% of Part I, line 27b (see instructions) .5 2, 885. 6 Adjusted qualifying distributions. Subtract line 5 from line 4 10,017,115. .6 Note. The amount on line 6 will be used in Part V, column (b), in subsequent years when calculating whether the foundation qualifies for the section 4940(e) reduction of tax in those years. Form 990-PF (2014) J5A 4E1470 1.000 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F PAGE 8 THE RUTH MULAN CHU CHAO FOUNDATION 26-6762017 Form 990-PF ne 9 Income Distributable amount for 2014 from Part Xl, line 2 ..................... .......... (a) Corpus (b) Years prior to 2013 (c) 2013 (d) 2014 239,442. Undistributed income, if any, as of the end of 2014: a Enter amount for 2013 Only b Total for prior years: 20 122011 ,20j._ 3 Eaess distributions carryover, if any, to 2014: a From 2009 b From 2010 c From 2011 8,305,569. d From 2012 ...... . e From 2013 f Total of lines 3a through e 8,305,569. Qualifying distributions for 2014 from Part XII, 10,020,000. line 4: $ a Applied to 2013, but not more than line 2a 4 b Applied to undistributed income of prior years (Election required - see instructions) ....... ........... c Treated as distributions out of corpus (Election required - see instructions) 239,442. d Applied to 2014 distributable amount ..... e Remaining amount distributed out of corpus 5 Bess distributions carryover applied to 2014 (If an amount appears in column (d), the same 9,780;558.1 amount must be shown in column (a).) 6 Enter the net total of each column as indicated below: a Corpus. Add lines 3f, 4c, and 4e. Subtract line 5 18,086,127. b Prior years' undistributed income. Subtract line 4b from line 2b c Enter the amount of prior years' undistributed income for which a notice of deficiency has been issued, or on which the section 4942(a) tax has been previously assessed ........ d Subtract line 6c from line 6b. Taxable amount - see instructions e Undistributed income for 2013. Subtract line 4a from line 2a. Taxable amount - see instructions .................. f Undistributed income for 2014. Subtract lines 4d and 5 from line 1. This amount must be distributed in 2015 .............. 7 Amounts treated as distributions out of corpus to satisfy requirements imposed by section 170(b)(1)(F) or 4942(g)(3) (Election may be required -see instructions) 8 Eess distributions carryover from 2009 not applied on line 5 or line 7 (see instructions) 9 Excess distributions carryover to 2015. Subtract lines 7 and 8 from line 6a 10 Analysis of line 9: a Excess from 2010 b Excess from 2oll 8,305,569. c Excess from 2ol2 . . . d Excess from 20l3 . 9,780,558. e Excess from 2014 . . . 18,086,127. Form 990-PF(2014) J5A 4E1480 1.000 49088V 1608 4/30/2015 9:21:31 MI V 14-4.5F PAGE 9 THE RUTH MULAN CHU CHAO FOUNDATION Private Oeratina Foundations (see instructions and Part VI I a If the foundation has received a ruling or determination letter that it is a private operating foundation, and the ruling is effective for 2014, enter the date of the ruling . . b Check box to indicate whether the foundation is a private operating foundation described in section Form 990-PF L 2a Enter the lesser of the adjusted net income from Part I or the minimum investment return from Part X for each year listed 26-6762017 Page 10 NOT APPLICABLE L_] 4942(j)(3) or [_j 4942(j)(5) Prior 3 yet (a) 2014 2013 I (c)2012 2011 (e) Total b 85% of line 2a ..... Qualifying distributions from Part line 4 for each year fisted d Amounts included in line 2c not used directly for active conduct of exempt activities ......__________________________ e Qualifying distributions made directly for active conduct of exempt activities. Subtract line 2d from line 2c .......________________________ 3 Complete 3a, b, or c for the alternative test relied upon: a Assets alternative test - enter. C XII, (1) value of all assets (2) value of assets qualifying under section 49426)(3)(13)(i) ......______________________ b "Endowment" alternative testenter 2/3 of minimum investment return shown in Part X, tine 6 for each year listed C Support" alternative test - enter. (1) Total support other than gross Investment income (interest, dividends, rents, payments on securities loans (section 512(a)(5)), or royalties) .......____________________________ (2) Support from general public and 5 or more exempt organizations as provided in section 4942 lJ){3)(B)(iu) .......______________________ (3) Largest amount of stripport from an exempt organization .......________________________ (4) Gross investment income ImA1 Supplementary Information (Complete this part only if the foundation had $5,000 or more in assets at any time during the year -see instructions.) Information Regarding Foundation Managers: a List any managers of the foundation who have contributed more than 2% of the total contributions received by the foundation before the close of any tax year (but only if they have contributed more than $5,000). (See section 507(d)(2).) N/A b List any managers of the foundation who own 10% or more of the stock of a Corporation (or an equally large portion of the ownership of a partnership or other entity) of which the foundation has a 10% or greater interest. N/A 2 Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc., Programs: Check here Ill if the foundation only makes contributions to preselected charitable organizations and does not accept unsolicited requests for funds. If the foundation makes gifts, grants, etc. (see instructions) to individuals or organizations under other conditions, complete items 2a, b, c, and d. a The name, address, and telephone number or e-mail address of the person to whom applications should be addressed: b The form in which applications should be submitted and information and materials they should include: c Any submission deadlines: d Any restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other factors: JSA 4E1490 1.000 Form 990-PF (2014) 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F PAGE 10 THE RUTH NULAN CHU CHAO FOUNDATION 26-6762017 Form 990-PF (2014) IThE4'I Page 11 Supplementary Information (continued) Form JSA 4E1491 1.000 49088V 1608 4/30/2015 9:21:31 AN V 14-4.5F 990-PF (2014) PAGE 11 26-6762017 THE RUTH NOLAN CHU CHAO FOUNDATION Page 12 Form 990-PF (2014) OREM Analysis of Income-Producing Activities Unrelated business income Enter gross amounts unless otherwise indicated. (a) Business code I Program service revenue: Excluded by section 512, 513, or 514 (b) (c) Amount Exclusion code (d) Amount (e) Related or exempt function income (See instructions.) a b C d e g Fees and contracts from government agencies 2 Membership dues and assessments 3 Interest on savings and temporary cash investments 4 Dividends and interest from securities 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 (toss) from sales of assets other than inventory 9 Net income or (loss) from special events 10 Gross profit or (loss) from sales of inventory. 11 Other revenue: a ATCH b 12 14 14 2,092. 117, 140. 18 18 10,850. 185, 405. 2,500,000. C d e 2, 815, 487. 12 Subtotal. Add columns (b), (d), and (e) . 13 Total. Add line 12, columns (b), (d), and (e) ...................................13 (See worksheet in line 13 instructions to verify calculations.) 2, 815, 487. i14YA :1 Relationship of Activities to the Accomplishment of Exempt Purposes Line No. V Explain below how each activity for which income is reported in column (e) of Part XVI-A contributed importantly to the accomplishment of the foundation's exempt purposes (other than by providing funds for such purposes). (See instructions.) Form JEA U-F'F (2014) 4E1492 1.000 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F PAGE 12 26-6762017 THE RUTH NOLAN CHU CHAO FOUNDATION Form 990-PF (2014) Page 13 iThE4'1lI Information Regarding Transfers To and Transactions and Relationships With Noncharitable Exempt Organizations Yes No Did the organization directly or indirectly engage in any of the following with any other organization described in section 501(c) of the Code (other than section 501(c)(3) organizations) or in section 527, relating to political organizations? a Transfers from the reporting foundation to a noncharitable exempt organization of: (1) Cash ...........................................................1j - X X (2) Other assets....................................................... b Other transactions: (1) Sales of assets to a noncharitable exempt organization ................................- X (2) Purchases of assets from a noncharitable exempt organization ............................- X X (3) Rental of facilities, equipment, or other assets ....................................ij (4) Reimbursement arrangements .............................................- X (5) Loans or loan guarantees ................................................- X (6) Performance of services or membership or fundraising solicitations ......................... _2_ c Sharing of facilities, equipment, mailing lists, other assets, or paid employees .....................Ic - X d If the answer to any of the above is 'Yes," complete the following schedule. Column (b) should always show the fair market value of the goods, other assets, or services given by the reporting foundation. If the foundation received less than fair market value in any transaction or sharing arrangement, show in column (d) the value of the goods, other assets, or services received. 2a Is the foundation directly or indirectly affiliated with, or related to, one or more tax-exempt organizations described in section 501(c) of the Code (other than section 501 (c)(3)) or in section 527 ..............Yes b If "Yes," complete the following schedule. (a) Name of organization (c) Description of relationship () Type of organization I I El No 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. Declaration of preparer (other than taxpayer) is based on all information of which preparer has any knowledge. Sign Here May the IRS discuss this return with the preparer shown below Signature of officer or trustee Date I Preparer's signature Title Print/Type preparers name (see instructions)? Date I Paid MARCO SVAGNA I Preparer Firm's name BERDON LLP Use Only Firm's address 360 MADISON AVE Check [_J [I] No es if PTIN P00217291 13-0485070 self-employed NEW YORK. NY Firm'sEIN 10017 Phone no. 2128320400 Form 990-PF (2014) JSA 4E1493 1.000 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F PAGE 13 26-6762017 THE RUTH MULAN CHU CHAO FOUNDATION FORM 990-PF - PART IV CAPITAL GAINS AND LOSSES FOR TAX ON INVESTMENT INCOME Gross sale price less expenses of sale Date sold Description Kind of Property Depreciation allowed/ allowable Cost or other 1 FMV as of Adj. basis as of 12!31/69 12!31!69 Excess of - FMV over adi basis - acquired Gain or (loss) TOTAL CAPITAL GAIN DISTRIBUTIONS 11,240. SEE STATEMENT A ATTACHED 18443192. VAR 10,188. VAR LONG TERN COVERED - 445199 1,500,000. VAR 28,405. VAR 1,528,405. SEE STATEMENT B ATTACHED 2,708,566. VAR —31,704. VAR 2,676,862. 18414833. 12,438. 1007 SHS ERICSSON LM TEL CO ADR 13,967. 342,878. SHORT TERM COVERED - 008853 337,108. 737,177. LONG TERN COVERED - 008853 575,238. TOTAL GAIN(L)SS) ....... ......................................... 09/20/2013 06/19/2014 —433. VAR 5,770. VAR VAR 161,939. VAR .185,405. JSA 4E1730 1.000 4088V 1608 4/30/2015 9:21:31 AM V 14-4.5F PAGE 14 THE RUTH MULAN CHU CHAO FOUNDATION 26-6762017 ATTACHMENT 1 FORM 990PF, PART I - INTEREST ON TEMPORARY CASH INVESTMENTS REVENUE AND EXPENSES PER BOOKS DESCRIPTION INTEREST INCOME - PARTNERSHIPS TOTAL 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F NET INVESTMENT INCOME 2,092. 2,092. 2,092. 2,092. ATTACHMENT 1 PAGE 19 THE RUTH MULAN CHU CHAO FOUNDATION 26-6762017 ATTACHMENT 2 FORM 990PF, PART I - DIVIDENDS AND INTEREST FROM SECURITIES REVENUE AND EXPENSES PER BOOKS DESCRIPTION. THRU CREDIT SUISSE TOTAL 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F NET INVESTMENT INCOME 117, 140. 117, 140. 117.140. 117,140. ATTACHMENT 2 PAGE 20 THE RUTH NOLAN CHU CHAO FOUNDATION 26-6762017 ATTACHMENT 3 FORM 990PF, PART I - OTHER INCOME DESCRIPTION OTHER PORTFOLIO INCOME TOTALS 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F REVENUE AND EXPENSES PER BOOKS 10,850. NET INVESTMENT INCOME 10,850. 10,850. 10,850. ATTACHMENT 3 PAGE 21 26-6762017 THE RUTH NOLAN CEO CHAO FOUNDATION ATTACHMENT 4 FORM 990PF, PART I - ACCOUNTING FEES REVENUE AND EXPENSES PER BOOKS DESCRIPTION ACCOUNTING FEES TOTALS 49088V 1608 4/30/2015 9:21:31 AN V 14-4.5F NET INVESTMENT INCOME 4,200. 4,200. 4.200. 4,200. ADJUSTED NET INCOME CHARITABLE PURPOSES ATTACHMENT 4 PAGE 22 THE RUTH MULAN CR0 CHAO FOUNDATION 26-6762017 ATTACHMENT 5 FORM 990PF, PART I - TAXES REVENUE AND EXPENSES PER BOOKS DESCRIPTION FOREIGN TAXES EXCISE TAXES NYS TAXES TOTALS 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F NET INVESTMENT INCOME 2,136. 15,797. 2,136. 15,797. 17,933. 17,933. ATTACHMENT 5 PAGE 23 THE RUTH MULAN CHU CHAO FOUNDATION 26-6762017 ATTACHMENT 6 FORM 990PF, PART I - OTHER EXPENSES p REVENUE AND EXPENSES PER BOOKS DESCRIPTION INVESTMENT EXPENSES NYS FILING FEES CT CORPORATE FEES ADVERTISING FEES AGENT SERVICE FEES TOTALS 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F NET INVESTMENT INCOME 4,020. 500. 120. 140. 150. 4,020. 500. 120. 140. 50. 4,930. 4,830. ATTACHMENT 6 PAGE 24 THE RUTH MULAN CHU CHAO FOUNDATION 26-6762017 ATTACHMENT 7 FORM 990PF, PART II - CORPORATE STOCK DESCRIPTION ENDING BOOK VALUE CORPRORATE STOCKS TOTALS 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F ENDING FMV 119, 750. 119, 750. 119,750. 119, 750. ATTACHMENT 7 PAGE 25 THE RUTH MULAN CHU CHAO FOUNDATION 26-6762017 ATTACHMENT 8 FORM 990PF, PART II - OTHER INVESTMENTS ENDING BOOK VALUE DESCRIPTION_ MUTUAL FUNDS/CLOSED END FUNDS PARTNERSHIPS TOTALS 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F ENDING FMV 596, 669. 596, 669. 596, 669. 596, 669. ATTACHMENT 8 PAGE 26 THE RUTH MULAN CHU CHAO FOUNDATION 26-6762017 ATTACHMENT 9 FORM 990FF, PART III - OTHER INCREASES IN NET WORTH OR FUND BALANCES AMOUNT DESCRIPTION BOOK/TAX DIFFERENCES -26,564. TOTAL 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F -26,564. PAGE 27 THE RUTH MULAN CHU CHAO FOUNDATION 26-6762017 FORM 990PF, PART VIII - LIST OF OFFICERS, DIRECTORS, AND TRUSTEES NAME AND ADDRESS TITLE AND AVERAGE HOURS PER WEEK DEVOTED TO POSITION ANGELA CHAO C/O BERDON LLP 360 MADISON AVENUE NEW YORK, NY 10017 TRUSTEE JAMES SC CHAO C/O BERDON LLP 360 MADISON AVENUE NEW YORK, NY 10017 TRUSTEE JAMES MING—CHI CHU C/O BERDON LLP 360 MADISON AVENUE NEW YORK, NY 10017 TRUSTEE CONTRIBUTIONS EXPENSE ACCT TO EMPLOYEE AND OTHER BENEFIT PLANS ALLOWANCES COMPENSATION ce Ic 9:21:31 AM V 14-4.5F [!J 0 0 no 0 GRAND TOTALS 49088V 1608 4/30/2015 ATTACHMENT 10 0 0 0 ATTACHMENT 10 PAGE 28 THE RUTH MULAN CHU CHAD FOUNDATION 'flRM ggpp T' PPT Y - 2 6-67 620 17 (PM'r g A5fl C PTT1i'rTrThT g PTfl fl111TJ( 'rPr VAP ATACM'P 11 RELATIONSHIP TO SUBSTANTIAL CONTRIBUTOR AND RECIPIENT MANE AND ADDRESS FOUNDATION STATUS OF RECIPIENT AMERICAN ASSOCIATION FOR CANCER RESEARCH NONE 615 CHESTNUT STREET - 17TH FLOOR 501(C) (3) PURPOSE OF GRANT OR CONTRIBUTION AMOUNT FOR THE FURTHURANCE OF CANCER RESEARCH 20,000. PHILADELPHIA, PA 19106-4404 HARVARD UNIVERSITY NONE 124 MOUNT AUBURN STREET NC FOR THE FIJRTHURANCE OF EDUCATION 10,000,000. CAMBRIDGE, MA 02138-5795 TOTAL CONTRIBUTIONS PAID 1 Il ATTACHMENT 11 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F PAGE 29 , (12fl , (lflfl THE RUTH NULAN CHU CHAO FOUNDATION 26-6762017 FORM 990-PF, PART XVI-A - ANALYSIS OF OTHER REVENUE ATTACHMENT 12 BUSINESS CODE DESCRIPTION FOREMOST BULKERS GROUP LLC EXCLUSION CODE 24 TOTALS 49088V 1608 4/30/2015 [IiSJIII AMOUNT RELATED OR EXEMPT FUNCTION INCOME 2,500,000. 2,500,000. 9:21:31 AM V 14-4.5F ATTACHMENT 12 PAGE 30 SCHEDULE D (Form 1041) OMB No. 1545-0092 Capital Gains and Losses Attach to Form 1041, Form 5227, or Form 990-T. Use Form 8949 to list your transactions for lines Ib, 2, 3, 8b, 9 and 10. Department of the Treasury Information about Schedule D and its separate instructions is at www.irs.gov/form1041. Internal Revenue Service Employer identification number Name of estate or trust 26-6762017 THE RUTH NOLAN CHU CHAO FOUNDATION Note: Form 5227 filers need to complete only Parts land/I. IThII Short-Term Capital Gains and Losses - Assets Held One Year or (h) Gain or (loss) (g) See instructions for how to figure the amounts to enter on I Adjustments Subtract column (e) (e) (d) the lines below. to gain or loss from from column (d) and Proceeds Cost Form(s) 8949, Part I, combine the result with (sales price) (or other basis) This form may be easier to complete if you round off cents column (g) line 2, column (g) to whole dollars. ©14 1 Totals for all short-term transactions reported on Form 1099-B for which basis was reported to the IRS and for which you have no adjustments (see instructions). However, if you choose to report all these transactions on Form 8949, leave this line blank and go to line lb. 342,878. lb Totals for all transactions reported on Form(s) 8949 with Box checked ................... 18,427,271.1 2 Totals for all transactions reported on Form(s) 8949 with Box Bchecked ....................2,676,862. 3 Totals for all transactions reported on Form(s) 8949 with Box C checked ................... 4 5,770. 337,108. 18,457,159 39,643. 2,708,566. 9,755. -31,704. Short-term capital gain or (loss) from Forms 4684, 6252, 6781, and 8824 ................. 5 Net short-term gain or (loss) from partnerships, S corporations, and other estates or trusts ......... Short-term capital loss carryover. Enter the amount, if any, from line 9 of the 2013 Capital Loss Carryover Worksheet .............................................. 6 7 Net short-term capital gain or (loss). Combine lines la through 6 in column (h). Enter here and on line 17, column (3) on the back ........................................ 7 IUIlI Long-Term Capital Gains and Losses - Assets Held More Than One Year (g) See instructions for how to figure the amounts to enter on Adjustments (e) (d) the lines below. to gain or loss from Cost Proceeds Form(s) 8949, Part II, (or other basis) (sales price) This form may be easier to complete if you round off cents line 2, column (g) to whole dollars. 5 6 8a Totals for all long-term transactions reported on Form 1099-B for which basis was reported to the IRS and for which you have no adjustments (see instructions). However, if you choose to report all these transactions on Form 8949, leave this line blank and go to line 8b 2,265,582. -16,179. (h) Gain or (loss) Subtract column (e) from column (ci) and combine the result with column (g) 190, 344. 2,075,238. 8b Totals for all transactions reported on Form(s) 8949 with Box D checked................... 9 Totals for all transactions reported on Form(s) 8949 with Box E checked ................... 10 Totals for all transactions reported on Form(s) 8949 with Box F checked ................... 11 Long-term capital gain or (loss) from Forms 2439, 4684, 6252, 6781, and 8824 .............. 12 Net long-term gain or (loss) from partnerships, S corporations, and other estates or trusts 13 ......... Capital gain distributions............................................. . Lii L! 11,240. 14 Gain from Form 4797, Part I............................................14 15 Long-term capital loss carryover. Enter the amount, if any, from line 14 of the 2013 Capital Loss Carryover Worksheet ...............................................15 16 Net long-term capital gain or (loss). Combine lines 8a through 15 in column (h). Enter here and on line 15a, column (3) on the back ....................................... lip. 16 I 201,584. For Paperwork Reduction Act Notice, see the Instructions for Form 1041. Schedule D (Form 1041) 2014 JSA 4F1210 1.000 49088V 1608 4/30/2015 9:21:31 AN V 14-4.5F PAGE 31 Schedule D (Form 1041) 2014 Summary of Parts I and II (I) Beneficiaries (see instr.) Caution: Read the instructions before completing this part. 17 Net short-term gain or (loss) ....................17 18 Net tong-term gain or (loss): a Total for year ..............................18a b Unrecaptured section 1250 gain (see line 18 of the wrksht.). . . . c 28% rate gain ..............................18c 19 Total net gain or (loss). Combine lines 17 and 18a........ 00. 19 Page 2 (2) Estates or trusts (3) Total -16,179. - 201,584. 185,405. Note: If line 19, column (3), is a net gain, enter the gain on Form 1041, line 4 (or Form 990-T, Part I, line 4a). If lines 18a and 19, column (2), are net gains, go to Part V, and do not complete Part IV. If line 19, column (3), is a net loss, complete Part IV and the Capital Loss Carryover Worksheet, as Loss 20 Enter here and enter as a (loss) on Form 1041, line 4 (or Form 990-T, Part I, line 4c, if a trust), the smaller of: a The loss on line 19, column (3) or b $3,000 ................................20 Note: If the loss on line 19, column (3), is more than $3, 000, or if Form 1041, page 1, line 22 (or Form 990-T, line 34), is a loss, complete the Capital Loss Canyover Worksheet in the instructions to figure your capital loss carryover. •flYj Tax Computation Using Maximum Capital Gains Rates Form 1041 filers. Complete this part only if both lines 18a and 19 in column (2) are gains, or an amount is entered in Part I or Part II and there is an entry on Form 1041, line 2b(2), and Form 1041, line 22, is more than zero. Caution: Skip this part and complete the Schedule Tax Worksheet in the instructions if. • Either line lSb, col. (2) or line 18c, col. (2) is more than zero, or • Both Form 1041, line 2b(1), and Form 4952, line 4g are more than zero. Form 990-T trusts. Complete this part only if both lines 18a and 19 are gains, or qualified dividends are included in income in Part I of Form 990-T, and Form 990-1, li?ie 34, is more than zero. Skip this part and complete the Schedule D Tax Worksheet in the instructions if either line 18b, col. (2) or line 1 8c, col. (2) is more than zero. 21 22 Enter taxable income from Form 1041, line 22 (or Form 990-1, line 34). . . 21 Enter the smaller of line 18a or 19 in column (2) but not less than zero . . . . . . . . . . . . . . . 22 23 Enter the estate's or trust's qualified dividends from Form 1041, line 2b(2) (or enter the qualified dividends included in income in Part I of Form 990-T). . 23 24 Add lines 22 and 23 .................24 25 If the estate or trust is filing Form 4952, enter the amount from line 4g; otherwise, enter-U-. . . 25 26 Subtract line 25 from line 24. If zero or less, enter -0- ............__________________ 27 Subtract line 26 from line 21. If zero or less, enter -0- .............27 28 Enter the smaller of the amount on line 21 or $2,500 .............28 29 Enter the smaller of the amount on line 27 or line 28 .............29 30 Subtract line 29 from line 28. If zero or less, enter -0-. This amount is taxed at 0% ........... 31 Enter the smaller of line 21 or line 26 ......................31 32 Subtract line 30 from line 26...........................32 33 Enter the smaller of line 21 or $12,150 .....................33 34 Add lines 27 and 30 ...............................34 35 Subtract line 34 from line 33. If zero or less, enter -0- ............__________________ 36 Enter the smaller of line 32 or line 35 ......................36 37 Multiply line 36 by 15%........................................... 38 Enter the amount from line 31 ..........................38 39 Add lines 30 and 36 ...............................39 40 Subtract line 39 from line 38. If zero or less, enter -0- ............. 41 Multiply line 40 by 20% .......................................... 42 Figure the tax on the amount on line 27. Use the 2014 Tax Rate Schedule for Estates and Trusts (see the Schedule G instructions in the instructions for Form 1041). . . 43 Add lines 37, 41, and 42 .............................43 44 Figure the tax on the amount on line 21. Use the 2014 Tax Rate Schedule for Estates 44 and Trusts (see the Schedule G instructions in the instructions for Form 1041). . . . 45 Tax on all taxable income. Enter the smaller of line 43 or line 44 here and on Form 1041, Schedule G, line 1 a (or Form 990-T, line 36) ..................................... 30 37 41 45 I Schedule D (Form 1041) 2014 JSA 4F1220 1.000 49088V 1608 4/30/2015 9:21:31 AM V 14-4.5F PAGE 32 FOTh8949 Sales and Other Dispositions of Capital Assets Information about Form 8949 and its separate instructions is at www.irs.gov1form8949. Department of the Treasury Internal Revenue Service Name(s) shown on return OMB No. 1545-0074 I 2014 Attachment 'File with your Schedule 0 to list your transactions for lines Ib, 2, 3, 8b, 9, and 10 of Schedule D. Sequence No. 12 A Social security number or taxpayer Identification number 26-6762017 THE RUTH MULAN CHU CHAO FOUNDATION Before you check Box A, B, or C below, see whether you received any Form(s) 1099-B or substitute statement(s) from your broker. A substitute statement will have the same information as Form 1099-B. Either may show your basis (usually your cost) even if your broker did not report it to the IRS. Brokers must report basis to the IRS for most stock you bought in 2011 or later (and for certain debt instruments your bought in 2014 or later). Short-Term. Transactions involving capital assets you held 1 year or less are short-term. For long-term transactions, see page 2. Note. You may aggregate all short-term transactions reported on Form(s) 1099-B showing basis was reported to the IRS and for which no adjustments or codes are required. Enter the total directly on Schedule D, line la; you are not required to report these transactions on Form 8949 (see instructions). You must check Box A, B, orC below. Check only one box. If more than one box applies for your short-term transactions, complete a separate Form 8949, page 1, for each applicable box. If you have more short-term transactions than will fit on this page for one or more of the boxes, complete as many forms with the same box checked as you need. X (A) Short-term transactions reported on Form(s) 1099-B showing basis was reported to the IRS (see Note above) (B) Short-term transactions reported on Form(s) 1099-B showing basis was not reported to the IRS (C) Short-term transactions not reported to you on Form 1099-B Adjustment, if any, to gain or loss. If you enter an amount in column (g) (e) (h) enter a code in column (I). Cost or other (d) (c) (a) (b) Gain or (loss). See the separate instructions. basis. See the Proceeds Date sold or Description of properly Dale acquired Subtract column (e) Note below and disposed (sales price) (Example: 100 sh. XYZ Co.) (Mo., day, yr.) rom column (d) and see Column (e) (I) (g) (Mo., day, yr.) (see instructions) combine the result in the separate Code(s) from Amount of instructions with column (g) instructions adjustment SEE STATEMENT A ATTACHED 1007 SHS ERICSSON LM TEL CO ADR 18414833. 18443192. N 09/20/2013 1 06 / 19 / 2014 I 12,438.1 13,967.1 W 2 Totals. Add the amounts in columns (d), (e), (g), and (h) (subtract negative amounts). Enter each total here and include on your Schedule D, line lb (if Box A above is checked), line 2 (if Box B above is checked), or line 3 (if Box C above is checked)l o-18427271. 18457159. 38,547. I 1,096. 39,643. 10,188. I —433. 9,755. Note. If you checked Box A above but the basis reported to the IRS was incorrect, enter in column (e) the basis as reported to the IRS, and enter an adjustment in column (g) to correct the basis. See Column (g) in the separate instructions for how to figure the amount of the adjustment. For Paperwork Reduction Act Notice, see your tax return instructions. Form 8949 (2014) JSA 4X2615 2.000 Form8949 Sales and Other Dispositions of Capital Assets Information about Form 8949 and its separate instructions is at www.irs.gov/f0rm8949. Department of the Treasury Internal Revenue Service OMB No. 1545-0074 ©14 Attachment File with your Schedule D to list your transactions for lines Ib, 2, 3, 8b, 9, and 10 of Schedule D. Sequence No. 1 2 A Name(s) shown on return Social security number or taxpayer identification number 26-6762017 THE RUTH MULAN CHU CHAO FOUNDATION Before you check Box A, B, or C below, see whether you received any Form(s) 1099-B or substitute statement(s) from your broker. A substitute statement will have the same information as Form 1099-B. Either may show your basis (usually your cost) even if your broker did not report it to the IRS. Brokers must report basis to the IRS for most stock you bought in 2011 or later (and for certain debt instruments your bought in 2014 or later). IflhI Short-Term. Transactions involving capital assets you held 1 year or less are short-term. For long-term transactions, see page 2. Note. You may aggregate all short-term transactions reported on Form(s) 1099-B showing basis was reported to the IRS and for which no adjustments or codes are required. Enter the total directly on Schedule D, line I a; you are not required to report these transactions on Form 8949 (see instructions). You must check Box A, B, orC below. Check only one box. If more than one box applies for your short-term transactions, complete a separate Form 8949, page 1, for each applicable box. If you have more short-term transactions than will fit on this page for one or more of the boxes, complete as many forms with the same box checked as you need. (A) Short-term transactions reported on Form(s) 1099-B showing basis was reported to the IRS (see Note above) (B) Short-term transactions reported on Form(s) 1099-B showing basis was not reported to the IRS (C) Short-term transactions not reported to you on Form 1099-B Adjustment, if any, to gain or loss. If you enter an amount in column (g) (e) (h) enter a code in column (t). Cost or other (c) (d) (a) (b) Gain or (loss). See the separate instructions. basis. See the Proce eds Description of property Date acquired I Date sold or Subtract column (e) Note below and disposed (sales price) (Example: 100 sh. XYZ Co.) I (Mo., day, yr.) from column (d) and see Column (e) (f) (g) (Mo., day, yr.) i (see instructions) combine the result in the separate Code(s) from Amount of instructions with column (9) instructions adjustment I SEE STATEMENT B ATTACHED 2 Totals. Add the amounts in columns (d), (e), (g), and (h) (subtract negative amounts). Enter each total here and include on your Schedule 0, line lb (if Box A above is checked), line 2 (if Box B above is checked), or line 3 (if Box C above is checked)lo- 2,676,862. I 2708566. 2,676,862. 2708566. —31.704. —31,704. Note. If you checked Box A above but the basis reported to the IRS was incorrect, enter in column (e) the basis as reported to the IRS, and enter an adjustment in column (g) to correct the basis. See Column (g) in the separate instructions for how to figure the amount of the adjustment. For Paperwork Reduction Act Notice, see your tax return instructions. Form 8949 (2014) JSA 4X2615 2.000 STATEMENT A - RUTH MULAN CHU CHAO FOUNDATION EIN 26-6762017 2014 Form 1099-B Proceeds From Broker and Barter Exchange Transactions 0M6 No. 1545-0115 (For lndivduals, report details on Form 0949) .s is important tax information and is being furnished to the Internal Revenue Service (except as indicated). If you are required to file a return, a negligence penalty or other sanction may be imposed on you if this income is taxable and the IRS determines that it has not been reported. QuiIy Qispssi1i.n InEmdics (tax Iu) t)ispesitio MetJwd Dee Ac5ired (hxib) DiiecMer Dispesed (Yx Id (ist.r Proce1s (sax hi Otker hsis (lax he) D=Mthett1&sit 0..00.a fteEkin W=Waslr Sde Lass (Lass) Short-Term Transactions for Which Basis Is Reported to the IRS - Report on Form 8949, Part I with Box A checked. Covered (Box 3) Oaiption (Box la): SEASPAN CORP CUM RED EEMABLE PERPETUAl. PR F SER E 8.25% lSlN#M SELL FIRST IN FIRST OUT SELL FIRST IN FIRST OUT ' CUSIP; Y75638133 14,257 02/0712014 02/18/2014 356,56135 355,425,00 135.35 5,743 02/0712014 02/18/2314 143,687.36 14.3,575.00 11236 .ea.ft (24 414/ ?qclaf22 TEFRA-ROLL pperless AJc about e-deliveiy STATEMENT A - RUTH MULAN CHU CHAO FOUNDATION EIN 26-6762017 2014 Form 1099-0 Proceeds From Broker and Barter Exchange Transactions 0MB No. 1545-0715 (Continued) (For Individuals, report details on Form 8949) D4msi1 Trumaki Diii AcqikJ (hi b) Q.iy (hi 11) Dispeslilon dditiml 0* Sild or Di3pssc IBox It) 1,00MA (hi 14) (a1 it D=hi Oiscaiit 0icr Bob0=0ldli. ?reài flex le) W=Wish Sck kss Gda it 'rt-Term Transactions for Which Basis is Reported to the IRS - Report on Form 8949, Part I, with Box A checked. Covered (Box 3) (Continued) Desciiplioa (Box J): SEASPAN CORP -C" UM RED EEMABLE PERPEtUAL PR FSER E 8.25i ISIN#M SALE DATE TOTAL 2.0.001) VARIOUS CUSLP: 175638133 (Continued) 02118/2014 500,248.71 500,000.00 Descnptiun (Box 1a) ALIBABA GRP SHS ADR ISIN#tJS0l609Wl027 SELL FIRST IN FIRST OUT CUSIP 01609W102 2,600 09/18/2014 09/19/2014 240,68967 Description (Box Ia): ALLSTATE CORP LEOPARDS REPSTG 1/1 000TH I NTPERP PFD SER 0 176,30000 63,839.67 cusIp; 020002804 SELL FRSTIN FIRSIOUT 5,000 12/09/2013 01/06/7014 125,247.82 125,000.00 SELL FIRST IN FIRST OUr 5,000 12/09/2013 01/06/2014 125,197.81 125,000.00 SELL PRSTIN FIRST OUT 5,000 12/09/2013 01106/2014 125,292.82 125,00000 29232 15,000 VARIOUS 01106/2014 375,738.45 375,000.00 738.45 SALE DATE TOTAL .nptioo (Box la): AMERICAN CAP SR FLOATING LTD COM 247.82 CUSIP: 025040108 SELL FIRST IN FIRST OUT 8,376 01/1512014 04108/2014 115,687.58 125,640.00 (9952.42) SELL FIRST IN FIRST OUT 16,375 01115/2014 04/09/2014 226,133.74 245,625.00 (19,491.26) SELL FIRST IN FIRST OUT 5,249 01115/2014 04/I012014 72,487.08 78,735.00 (6,247.92) SECURITY TOTAL I 241371 414,308. .40 450,000.00 ........... Description (Box Ia); AMERICAN HOMES 4 RENT PART PFD SF15 OF BE N (NT SER B 5.00% SELL FIRST IN FIRST OUT 10,000 12120/2013 (35,691.60) CIJSIP; 026651504 01/13/2014 248,195.67 250,000.00 Se.4 (214 14714) (1,804.33) ?ce3.ffl TEFRAROEL .- go- -papertess _______ kk aboute.delivery ___ _______ . .,... STATEMENT A - RUTH MULAN CHU CHAO FOUNDATION EIN 26-6762017 014 Form 1099-8 Proceeds From Broke; and Barter Exchange Tiansacfions 0MB No, 1545-0115 (Continued) (For individual;, report details on Form 8949) Dii. Se.r Bib Dspsse4 osectoe Dositon Melked (Eat In) Short-Term Transactions for Which Basis (tax it) (hz Ib) AjosenIs D=Mwkei Dwust (psi Sr (Rex Id) 01tIIEk 0= on Premiva Will K (Rex a) W=Wesh Salt toss (Loss) Is Reported to the IRS - Report on Form 8949 Part N, with Box A checked. Covered (Rex 3) (Continued) Desuptiou (Box 1); SELL ARBOR RLTY TR INC7. 375 FIRST IN FIRST SR NIS EXP 05/15/21 or 5,000 CUSIP; 038923884 05/07/2014 05/27/2014 124,227.74 Description (Box Ia): ARLINGTON ASSET IN NV --V - F-CORP CL A NEW (77226) 125,000.00 CIJSIP: 041356205 SELL FIRST IN FIRST OUT 10,000 03/2512014 04/02 12014 265,211.13 272,505.00 7293.87) SELL FIRST IN FIRSI OUT 10,000 09/04/2014 09/09/2014 276,405.88 276,100.00 305.88 541,617.01 548,605.00 SECLJRfIV TOTAL Description (Box la); CENTRAL FO CDA LTD CIA CUSIP: 153501101 FIRST IN FIRST OUT 34,700 FIRST IN FIRST OUT - (6,901.99) 10,000 02/13/2014 02125/2014 10,352.47 02/14/2014 512,593.33 502,240.86 03/03/2014. 15026738 151,654.00 05/19/2014 I .2, 156.85 151,654,00 9,497.15) 06/19/2014 142,156.85 149,960.62 (7,803.77) 1,386.62' 0.00 SELL FIRST IN FIRST OUT 10,000 SELL FIRST IN F I RST OUT 10,000 02/25/2014 03/18/2014 15,003 03/18/2014 05/19/2014 2 3,23528 222861.00 (9,625.72) 35,000 VARIOUS 06119/2014 497,5.18.99 524,475.62 (26,926.64) 18,003 11/11/2014 11/17/2014 208,383.18 203,392.80 4,990.38 1,368,792.87 1,381,76328 Wash sale: 6 day(s) added to holding period FIRST IN FIRST OUT SELL SALE DATE TOTAL SELL FIRST IN FIRST OUT SECURITY TOTAL 1,386.62 (2 i414 (11,583.79) Pqe 4 if TEFFA-ROLL gQpess Ask about e-dvey fl STATEMENT A - RUTH MULAN CHU CHAO FOUNDATION EIN 26-6762017 2014 Form 10998 Proceeds From Broker and Barter Exchange Transactions 01VIB No.' o 1545-0115 (Continued) (For indMduas, report-details on Form 8949) 0* 01s.. 0* 51k it WK O=M*et Mspssd Oi&uksis (hi Id) Ir.ci.. 1h, 1!q flax Id rt-Term Transactions for Which Basis Is Reported to the IRS - Report on Form 8949, Past I, with Box A checked. Qity (Box 141) k (kxlL) Distesit 0--Vpkw W=W.skSeton (Lss) Covered (Box 3) (Continued) Description (Box Ia): FIRST TR EXCHANGE TRADED FL) DOW JONES IN TERNET INDEX Fl) CLISIP: 33T33E302 SELL FIRST IN FIRS OUT 8,003 02/1312014 0212012014 504,031.21 497,19040 6,840.81 SELL FIRST IN FIRST OUT 5,000 04/101201 4 0411512014 282,358.74 280,900.00 1,458.74 SELL FIRST IN FIRST OUT 12,500 0412812014 688,939.75 664,352.50 05101/2014 SECURITY TOTAl. 1,415,339.70 Descriptiom (Box la): INTRAWEST RESORTS HL 065 INC COM SELL Description (Box la): ISHARES SILVERTR IS HARES SELL ription (Box la): ISUARES INC MSClSIN GAPORE ETF C '0 0 1,123.79 240,000.00 0418(2014 418,192.71 08/1312014 7,792.71 09/04/2014 38,936.92 (1,246.08) 140,183.00 CUSIP: 464286843 01/0612014 35,000 35,000 FIRST IN FIRST OUT 410,400.00 CLJSIP; 464286673 35,000 FIRST IN FIRST OUT SELL 02114/2014 FIRST IN FIRST 01ff SELL C U- 241,123.79 02104/2014 10,000 FIRST IN FIRST OUT SELL 01/31/2014 CUSIP: 46428Q109 20Q00 Description (Box Ia): ISUARES INCMSCI JAPAN ETF 32,896.130 CUSIP: 46090K109 FIRST IN FIRST OUT SELL 1,442,44190 20,000 FIRST IN FIRST OUT 24,587.25 01/23/2014 01/2212014 03/0412014 02/12/2014 05/29/2014 03/04/2014 05/29/2014 422,498.63 401,509.49 2,453.13 420,04530 40,917.09 417,882.50 427,602.01 172,250.18 175,241.00 16,373.01 0.00 (25684.92) Wash sale: 20 day(s) added to holding period C SELL Seq.,' 1214 15,000 FIRST IN FIRST OUT 7C4) (3,990.82) P.e5sf22 TFRA-ROLL gq pperIess Ask about e.cftlIvery STATEMENT A - RUTH MULAN CHU CHAO FOUNDATION EIN 26-6762017 2014 Form 1099-8 Proceeds From Broker and Barter Exchange Transactions OMB No, 1545O715 (Continued) (For individual;, report details on Form 8949) QtaI1y Acrw BteSM OF ohpmd frome& odw 115b D=MgrketDrscount OOthon Premium Gais or (Hiz lu) (fox I b) (8011 C) (Box 1d7 111611c) W=Wh Sdo toss (tuss) Dite is1is Irousodiog DispQsitho Mt63 Short-Tenn Transactions for Which Basis Is Reported to the IRS - Report on Form 8949, Part I, with Box A checked Covered _(Box 3) (Continued) RE S INC MSCI JAP AN -E T" CUP: Deccnption (Box Ia): ISHA — SALL DATE TOTAL SELL FIRST IN FIRST OUT 464286848 (Continued) 50,000 VARIOUS 05/2912014 574,16721 603,843.01 (29,61534) 25,000 09/02/2014 1211012014 2134,706.17 300,250.00 (15,543.83) 1,682,881.56 1,742,021.01 SECURITY TOTAL 10,000 FIRST IN FIRST OUT 0/18f204 08/19/2014 Z3,51 1.04 1,911.04 221,600,00 CUSIP: 464287234 Description (Box Ia): 151-fARES IR MSCI EMER GING MKTS EF 12/18/2013 6,100 FIRST IN FIRST OUT (42,766A4) CUSIP: 464286871 Description (Box Ia): ISHARES INC MSCI HON G KONG ETF SELL 16,373.01 w 02112/2014 258,383.84 (10,771.27) 249,155.11 CUSIP; 464287556 Dscñption (Box la): ISHARES TR NASDAQ RI OTECHNOLOGY EF SELL FIRST IN FIRST OUT 1,000 04/08/2014 04/09/2014 229,912.41 226,42260 3,489.81 SELL FIRST IN FIRS TOUT 1,000 04/11/2014 04/1112014 222,122.58 218128.00 3,994.58 SELL FIRST IN FIRST OUT 1,000 04/14/2014 04/15/2014 219,086.85 219,545.00 541.85 SELL FIRST IN FIRST 0111 1,000 04/15/2014 04116/2014 220,270.12 , 216,244.00 4,026.12 8(11,391.96 879,339.60 12,052.36 SECURITY TOTAL Description (Box la): ISHARES TR US HOME C ONSTRUCTI1ON ETF FD SELL 15,000 FIRST IN FIRST OUT CUSIP 464288752 - 03/04/2014 06/19/2014 363,206.46 (32,79104) 395,998,50 PW fi of 22 (224 24714) TEFRA-ROLL gcppedess k at,oute.eIIvey STATEMENT A - RUTH MULAN CHU CHAO FOUNDATION EIN 26-6762017 2014 Form 1099-8 Proceeds From Broker and Barter Exchange Transactions OMB No 1545-0115 (Continued) (For lndMduals, report details on Form 8949) Owe Ohiti QisaIy (lule) rt-Tenn Transactions for W1ilCII Acçire4 (hxlb) A401meits Owe ScM.r Uispesed (hilt) ?rsceeé flex Al (astsi O&er Bob (hue) 0=00ca Ptcmum W=WosL Sale ton (Less) Is Reported to the IRS - Report on Farm 8949, Part I, with Box A checked. Basis Covered (Box 3) (Continued) Descnplfoe (Box Ia): JP MORGAN U.S. EQUIT V FUND CLASS A SELL 53,534 FIRST IN FIRST OUT Description (Box Ia): CUSIP: 4812A1 183 01/17/2014 05/ 2 7120 1 4 770,348.91 20,337 57 750,01134 MARKET VECTORS ETFTR GOLD MINERS ETFFD CUSIP 51060U100 SELL FIRST IN FIRST OUT' 20,000 03/11/2014 03112/2014 533,966.68 527,000.00 SELL FIRST IN FIRST OUT 5,000 08118/2014 09/04/2014 127,266.18 134,350.00 SELL FIRST IN FIRST OUT 5,000 09/23/2014 10/14/2014 105,919.15 119,622.82 09/23/2014 10/14/2014 105,919.15 126,242.68 (20,323.53) 5,000 09/2312014 10/14/2014 105,919.15 112,539.01 (6,619.86) 15,000 VARIOUS 1011412014 317,751.45 358,404.51 13,703.67 w 978,990.31 1,019,754.51 20,187.49 w 6,966.68 7,083.82w 0.00 13,703.67w 0.00 Wash sale: 17 day(s) added to holding period SELL 5,000 FIRSr IN FIRST OUT Wash sale: 21 day(s) added to holding period FIRST IN FIRST OUT SALE DATE TOTAL SECURITY TOTAL Descriptios(Boxia); MARKET VECTORS EFTR OIL SVCS ETF SELL 2,900 FIRST IN FIRST OUT (26,943.39) (19,976.71) CUSIP: 51060W 91 04117/2014 04121/2014 149,263.75 Oescñploi (Box Ia): MARKET VECTORS EWTR COAL EFF 147,639.58 1,624.17 CUSIP 57060U837 SELL - FIRST IN FIRST OUT 8,600 03/06/2014 04/0412014 161,03917 160,882.78 156.39 SELL FIRST IN FIRST OUT 11,400 03/06/2014 0410712014 213,40327 213,263.22 140.05 (224 1424? Iffl TEFRA-ROLL gQppeIess Ask about e.detiseiy STATEMENT A - RUTH MULAN CHU CHAO FOUNDATION EIN 26-6762017 2014 Form 1099-B Proceeds From Broker and Barter Exchange Transactions 01VIB No. 1545-0115 (Continued) (For individuals, report details on Form 8949) Disiiu. iIetho nasodiom (lix 1.) Use Aa1ácd (l.a IN U- file sw i Dispsseil (ink) fist ur D=U.ket D&iset Pracee&s Olin Disk O=Oii?riàii (Box JJ) (lix le) W=WL Sá Lzcs -(Less) Short-Term Transactions for Which Basis Is Reported to the IRS - Report on Form 8949, Part I, with Box A checked. Covered(Box 3) (Continued) Description (Box Ia): MARKET VECTORS ETFT R COAL E7F CtJSW: 57060U837 (Continued) 374,146.00 314,44144 SECURITY TOTAL Description (Box la): MEDICAL PPTYS TR INC COM SELL CUS1P: 58463,1304 16,00C ARSTIN FIRST OUT 0310612016 03/C6/2014 212,47629 CU51p 58503F105 FIRST IN FIRST OUT 50,00D 04/23/2014 06/1912014 317,625.63 CLJSIP: 549504501 901.24 FIRST IN FIRST OUT 45,332 01/0712014 01/0812014 309,612.16 308,71092 FIRST IN FIRST OUT 4,668 01/0712014 01J09/204 :51881.88 31,79908 92.80 05/13/2014 16,00431 75,900.00 104.31 417,498.35 416,400.00 10,000 FIRST IN FIRST OUT 04/02/2014 SECURITY TOTAL Description (Box la); SPDRSERTRS&P RETA IL ETF 1,098.35 CUSIP: 78454A714 7,500 FIRST IN FIRST OUT SELL (19,874.37) 397,500.00 Uesciipliou (Box Ia): NEW YORK MIG TR INC COM PAR SELL 476.29 212,000.00 Description (Box la): MEDLEY CAP CORP COM SELL 296A4 02125/2014 02/26/2014 637,002.14 Description (Box Ia): SPDRSERTRS&P OIL & GAS EXPI & PRODTN ETF 13,095.14 623,907.00 CIJS1P: 78464A730 SELL FiRST IN F:R5T 0131 3,000 04129/20 -, 4 05/02/2014 232,394.86 233,397.90 (1,003.04) SELL FIRST IN FIRSTOUT 3,000 04/29/2014 0512912014 231,316.13 233,397.90 (2,081.77) 43,7 10.99 466,795.80 (3,084.81) SECURITY TOTAL (2. 147.4) top i.f22 1EFIRAROLL g2pAskboutedeliveTy -I STATEMENT A - RUTH MULAN CHU CHAO FOUNDATION EIN 26-6762017 2014 Form 1099-0 Proceeds From Broker and Barter Exchange Transactions 0MB No. 1545-0715 (Continued) (For individuals, report details on Form 8949) Dispssa Trenscaul Usga jjgl flex Ii) Dift Dde StM a flex Ib) DhWei (lax It) Pr.cees floi U) Cast si OikrIi flex It) O=N*h, D&aat O=tJaPrà W=Wxs Wr. Less (lass) it-Term Transations for Which Basis Is Reported to the IRS - Report on Form 8949, Part I with Box A checked. Covered (Box 3) (Continued) Description(Box la): SPDR SER TR S&P HOME BUILDERS ETF SELL 10,000 FIRST IN F I RST OUT Description (Box la): SELECT SECTOR SPDR SELL CUSIP: 78464A888 02/25/2014 02126/2014 337,644.10 r R MATLS 02/03/2014 02/07/2014 459567.99 Description (Box la) SELECT SECTOR SPDR T R HEALTH CARE SELL 10,000 FIRST IN FIRST OUT 10,000 FIRST IN FIRST OUT 02/25/2014 07/28/2014 596,948.59 25,000 FIRST IN FIRST OUT 0411712014 04/2812014 437,398.32 02103(2014 02107/2014 526,740.80 02/03/2014 0210712014 458,612.01 Description (Box la): SELECT SECTOR SPDRT RIECHNOLOGY m >( 3,815.59 435,953.00 1,44532 519,750.00 6,990.80 CUSIP: 81369Y704 9,200 FIRST IN FIRST OUT 53, 133.00 CUSIP: 81369Y605 Description (Box Ta): SELECT SECTOR SPDRT — '— RIND INDL L — SELL 7,27927 CEJSIP: 81369508 Description (Box la): SELECT SECTOR SPDR T R FINANCIAL L 452,28872 0511k 81369Y209 Descriplio&i (Box Ta): SELECT SECTOR SPORT R CONSUMER STAPLES SELL 6,891.10 CUSIP; 81369Y1 00 10,400 FIRST IN FIRST OUT 330,753.00 451,996.00 5,61601 CUSIP 81369Y803 SELL FIRST IN FIRST OUT 13,100 0210312014 02/07(2014 454,955.06 449,723.00 5,232.06 SELL FIRST IN FIRST OUT 8,400 10/14f2014 10/2112014 322,258.86 317,815.68 4,443.18 117,213.92 767,538.68 9,615.24 SECURITY TOTAL (22'; 24714) Psesffl TEFRA-ROft gQ p.perless Ask about ederivery - STATEMENT A - RUTH MULAN CHU CHAO FOUNDATION EIN 26-6762017 2014 Form 1099-B Proceeds From Broker and Barter Exchange Transactions - (For individuals report details on Form 8949) nine msitrn frarisucrimDispasitiuu method • Qun1ity Acquired (3x Jo) (&x U)) - Dote SuM or Disposed (Box It) Proceeds (gox Id) OMB No. 1545-0715 Cost or Other h5ts (fox Jo) (Continued) AJjisbneats D=Merket Discount O=Opion ?temium Gain or W=WBA Sale loss (Loss) Short-Term Transactions for Which Basis Is Reported to the IRS - Report on Form 8949, Part I with Box A checked. Covered (Box 3) (Continued) Description (Box Ia): SELECT SECTOR SPDRT R UTILS SELL FIRST IN FIRS T 01St CUSIP: 813691886 65:0 04/17/2314 04/2E/2014 29.363 81 IN 11. INC ADR ISIN#US8751 081012 Description (Box 13). TARENA — SELL FIRST IN FIRST OUT 2CICO CLJSIP: 876108101 04/03/2014 04/21/2014 13791 69 FIRST IN FIRST 0U 7,2C0 03/05/2014 03/OE/2014 I )8,790.10 Description (Box Ia): VANGUARD INDEX FDS VANGUARD REIT ETF VERSUS PURCHASE 7,50 FIRST IN F I RST OUT Short-Term Covered Total 830 /90 0 108,00003 CUSIP; 922908553 03/04/2014 04/06/2014 537,700 61 Description (Box Ia); WEIBO CORP SPONS ADRISIN#US9485961018 SELL (4,208 31 18,00000 CUSIP: 896771100 Description (Box la): TRIPLEPOINT VENTURE GROWTH BDC CORP COM SELL 278,437.25 42130 537,279.31 CUSIP: 948596101 04/1712014 04117/2014 12,91571 13,60000 18,414,83296 18,443,191.59 (684.29) 38,547J2w 10,188.49 I STATEMENT B - RUTH MULAN CHU CHAO FOUNDATION EIN 26-6762017 2014 Farm 1099-13 Proceeds From Broker and Barter Exchange Transactions 0MB Ho. 1545-0715 (Continued) (For individuals, report details on Form 8949) Triitsodi9u Uste kçkci 19611h) Qei1ty (Box lo) DbIllearm Disp9siliui Uetli, Dite Sill it Disprcc4 (Box It) Pr,cè (lax Jd) Cast it Oiker Basis flax It) D=Mkct Distaul O=Optla ?teeàsi W=WasL S1e [ass (Less) Short-Term Transactions for Which Basis Is Not Reported to the IRS - Report on Form 8949, Part I, with Box B checked Noncovered (Box 5) Descriptioi (Box la): RABO8ANK NEDERLAND N V EURO MED 1RM NTS S ENIOR ISIN#XS0703303 FIRST IN FIRST OUT SELL 250,000 11119/2013 CUSIP; N727AXPAI 02/04/2014 277,312.50 277,500.00 (187.50) Original Cost Basis: 277,500.00 Uescnptlon (Box Ta): SELL CUS!P P6625CA57 UNITED MEX STATES 8 1/2% BONDS DE DESARR 0110 ISIN#MXOMG00000 FIRST IN FIRST OUT 32,500 11/2012013 06/19/2014 288,972.86 292,143.62 (3,170.76) Original cost Basis: 292,143.62 Description (Box Ta): ANGLOGOLI) ASUANTI HI DGS INC GTD NT ISIN# US03512TAD37 8.500% FIRST IN FIRST OUT L 300,000 11/21/2013 CLISIP: 03512TAD3 02103/2014 315,000.00 318,953.59 (3,953.59) Original Cost Basis: 319500.00 Desoiptioc (Box la) , BARCLAYS PLC RESET1I NG PERP SUB CONTINGE NT CONV SECS ISIN#tJS SELL FIRST IN FIRST OUT 250,000 11/ 19/2013 cusu 06138EAA3 02/0312014 258,125,00 02103/2014 267,325.00 259,68750 (1,562.50) Original Cost Basis: 259,687.50 Desaiption (Box la): BEAZER HOMES USA INC SR SECD NI FULLY EX CHANGED FROM SELL FIRST IN FIRST OUT 250,000 07556QB 11/19/2013 CUSIP 07555QBB0 269,869.10 (2,544.10) Original Cost Basis: 270,750.00 Seq. (2--,4 ?qeIl if 22 TEFRA-ROLL gQ Ask about e.deflv,y 3 STATEMENT B - RUTH MULAN CHU CHAO FOUNDATION EIN 26-6762017 2014 Form 1099-8 Proceeds From Broker and Barter Exchange Ttransactons. 0MB No. 1545 . 0115 (Continued) (For individuaLs, report details on Form 8949) D=1lcet D&id Ode SOU . O=Opk2 Prtáw Oôr hSis DispiseJ hKeeh Acçrhed batly W=Wsk We Loss tool id (lox Id) (lox le) lb) 2isl1in Methui ('ox lrmsodios (B Short-Term Transactions for Which Basis Is Not Reported to the IRS - Report on Form 8949, Part I, with Box B checked. OF Sam GdV (Loss) OF Noocovered (Box 5) (Continued) Dscciptioe (Box la): EV ENERGY PARTNERS L P EV ENERGY PARTN ERS FIN CORP SR NT FIRST IN FI RST OUT SELL 250,000 11119/2013 CUSP 26926C4B9 0403/2014 253,905.00 (3136) 253,936.36 Original Cost Basis: 254,062.50 Description (Box la): ELL1NCON FINL LLC C OM SELL FIRST iN FIRST OUT CIJSIP: 288522303 4,000 09/03/2014 09/10/2014 91,93036 Description (Box la): FORTRESS INVT GROUP LLC DEL CIA SELL FIRST IN FIRST OUT 50,000 CUSIP 349588106 03/13/2014 06/0912014 391,791.30 P'iiplio (Box Ia); HCA I NC NT 6375% 0 1/15/15 8/E DTI) 11/1 9/04 FIRST IN FIRST OUT 250,000 (3,749.64) 95,680.00 (14,148.70) 405,940.00 C851P 40411 9AP4 11/19/2013 02103/2014 259,68750. (2,45.22) 26263232 Original Cost Basis: 265,375.00 '-T-"- CUSIP FULLY EXCHANGED FROM OIL) C ANESBRANDS INC GM --,S—R'N Desaiphos (Box Ia): HA -N ,, SELL FIRST IN FIRSTOUT 250,000 11/19/2013 CUSIP: 410345AG7 02/03/2014 272.81250 272,223.14 2,676,862.02 2,708,566.03 58936 Original Cost Basis: 273,750.00 Short-Tenn Noicovered Total seq-t 2I 147 1 41 (31,704.01) ?ceJ2offl ppede5s Askabout.deIivey + Là 4. ,, + IN COPY OF WITHIN PAPER RECEIVED MAY 27 2015 NYS OFFICE OF THE ATTORNEY GENERAL CHARITIES BUREAU U