2e0 • '(2 1HAR5oo \) NYS Annual Filing for Charitable Organizations www.CharitiesNYS.com \ For Fiscal Year Address Change Name Change Initial Filing Final Filing Amended Filing I Reg ID Pending 2015 Send with fee and attachments to NYS Office of the Attorney General Charities Bureau Registration Section 120 Broadway New York, NY 10271 Open to Public Inspection 31 j2015 12 01 / 01 I 2015 and mm/dd/yyyy) Name of Organization: THE RUTH MULAN C Employer Identification Number (EIN): Mailing Address: NY Registration Number: 26-6762017 41-46-96 C/O BERDON LLP; 360 MADISON AVE Telephone: City / State I Zip: (212) 832-0400 NEW YORK,NY, 10017 Website: Check your organizations registration category: 7A only EPTL only EXEMPT Confirm your Registration Category in the Charities Registry at www.CharitiesNYS.c DUAL (7A & EPTL) 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 knowledge and belief, they are true, correct and complete in accordance with the laws of the State of New York applicable to this report. President or Authorized Officer: atur Chief Financial Officer or Treasurer: 61141110 Signature Print Name and Title Date Print Name and Title Date Check the exemption(s) that apply to your filing. If your organization is claiming an exemption under one category (7A or 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. 3a. 7A filin g exemption: 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 filin g 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. MW See the checklist on the No 4a. Did your organization use a professional fund raiser, fund raising counsel or commercial co-ventun for fund raising activity in NY State? If yes, complete Schedule 4a. Yes Yes 7X No 4b. Did the organization receive government grants? If yes, complete Schedule 4b. I 7A filing fee: next page I fee(s). Indicate fee(s) you I $ are submitting here: I Total fee: EPTL filing fee: Make a single check or money order to calculate your I payable to: 250. 250. Department of Law $ $ CHAR500 Annual Filing for Charitable Organizations (Updated December 2015) 5.13550 1.000 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F Page 1 PAGE 33 it lk C HAR500 Annual Filin q Checklist Simply submit the certified CHAR500 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: 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: IRS Form 990, 990-EZ, or 990-PF, and 990-T if applicable All additional IRS Form 990 Schedules, including Schedule B (Schedule of Contributors). LII Our organization was eligible for and filed an IRS 990-N e-postcard. We have included an IRS Form 990-EZ for state purposes only. If you are a 7A only or DUAL filer, submit the applicable independent Certified Public Accountant's Review or Audit Report: 1111 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 [II We are a DUAL filer and checked box 3a, no Review Report or Audit Report is required IsmyRegisbtion Cateq osv7A, EPTL, DUAL or EXEMPT? Organizations are assigned a Registration Category upon registration with the NY Charities Bureau: For 7A and DUAL filers, calculate the 7A fee: $0, if you checked the 7A exemption in Part 3a $25, if you did not check the 7A exemption in Part 3a 7A filers are registered to solicit contributions in New York under Article 7-A of the Executive Law (7A") For EPTL and DUAL filers, calculate the EPTL fee: LII EPTL filers are registered under the Estates, Powers & Trusts Law ("EPTL") because they hold assets and/or conduct activites for charitable purposes in NY. $0, if you checked the EPTL exemption in Part 3b $25, if the NET WORTH is less than $50,000 DUAL filers are registered under both 7A and EPTL. Eli $50, if the NET WORTH is $50,000 or more but less than $250,000 EXEMPT filers have registered with the NY Charities Bureau and meet conditions in Schedule E - Registration Exem ption for Charitable Organizations. These organizations are not required to file annual financial reports but may do so voluntarily. $100, if the NET WORTH is $250,000 or more but less than $1,000,000 j $250, if the NET WORTH is $1,000,000 or more but less than $10,000,000 Eli $750, if the NET WORTH is $10,000,000 or more but less than $50,000,000 Confirm your Registration Category and learn more about NY law at www.CharitiesNYS.com . $1500, if the NET WORTH is $50,000,000 or more t4Them do! find my organization's NET WORTH? NET WORTH for fee purposes is calculated on: - IRS From 990 Part I, line 22 - IRS Form 990 EZ Part I line 21 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 - 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)). CHAR500 Annual Filing for Charitable Organizations (Updated December 2015) 5J3551 1.000 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F Page 2 PAGE 34 c 2015 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. The PFR or FRC should provide its NY Registration Number to you. include this schedule with your certified CHAR500 NYS Annual Filing for Charitable Organizations and use additional pages if necessary. Name of Organization: NY Registration Number: THE RUTH MULAN CHU CHAO FOUNDATION Fund Raising Professional type: El I Name of FRP: Professional Fund Raiser Mailing Address: Fund Raising Counsel Commercial Co-Venturer 1 City / State I Zip: Contract Start Date: I Contract End Date: Services provided by FRP: Compensation arrangement with FRP: Yes Amount Paid to 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-a9). 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 December 2015) Page 1 5J35521.000 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F PAGE 35 C HAR500 2015 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. Name of Organization: CI,1YL] 111111:] I NY Registration Number: iiICiTT Amount of Grant Name of Government Agency 11. 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 December 2015) Page 1 5.13553 1.000 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F PAGE 36 I St Form OMB No. 1545-01 Return of Private Foundation GQfl D ©15 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 Information about Form 990-PF and its separate instructions is at wwwJrs.gov/forn Internal Revenue Service 201 For calendar year 2015 or tax year beginning A Employer Identification number Name of foundation 20 26-6762017 THE RUTH MULAN CHU CHAO FOUNDATION Room/suite Number and street (or P.O. box number If mail is not delivered to street address) I B Telephone number (see Instructions) (212) 832-0400 C/O BERDON LLP; 360 MADISON AVE City or town, state or province, country, and ZIP or foreign postal code exemption application is pending, check here..... C if NEW YORK, NY 10017 G Check all that apply: Initial return Initial return of a former public charity Final return Amended return [J — - (b) Net investment income (c) Adjusted net income (d) Disbursements for charitable purposes (cash basis only) 10,000,000. 3 Interest on savings and temporary cash investments. 4 Dividends and interest from securities . 4) 11 E if private foundation status was terminated under section 507(b)(1)(A), check here . F lithe foundation is in a 60-month termination under section 507(b)(1)(B), check here . 10. [III] Li (a) Revenue and expenses per books 11111 Foreign organizations meeting the 85% test, check here and attach computation ......... 2. Name change Address change Section 501(c)(3) exempt private foundation H Check type of organization: Other taxable private foundation ri Section 4947(a)(1) nonexempt charitable trust Accrual I Fair market value of all assets at J Accounting method:[j Cash Other (specify) end of year (from Part II, col. (c), line 8,732, 949. (Part column (d) must be on cash basis.) 16) $ I1'IIlAnalysis of Revenue and Expenses (The total of amounts in columns (b), (c), and (d) may not necessarily equal the amounts in column (a) (see instructions).) - I Contributions, ifts, grants etc., received (attach schedule) if the foundation is not required to 2 Check D 1. Foreign organizatIons, check here. . 224,771. - 224,771. 5a Gross rents ..................____________________ b Net rental income or (loss) —229,562. 6a Net gain or (loss) from sale of assets not on line 10 b Gross sales price for all 7,449,088. assets on line 6a 0. 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 c Gross profit or (loss) (attach schedule) . . . . 2,615. 11 Other income (attach schedule) DrZCH. 2 9,997,824. 12 Total. Add lines 1 through 11 ATCH1 -i - 2,615. 227, 386. - 0. 13 Compensation of officers, directors, trustees, etc 14 Other employee salaries and wages ......___________________ 15 Pension plans, employee benefits .......__________________ x 16a Legal fees (attach schedule) ..........__________________ 4,208. b Accounting fees (attach schedule)IT)j-i .? c Other professional fees (attach schedule). . 4,208. - 17 Interest ....................__________________ 2 18 Taxes (attach schedule) (see instructions). . 19 Depreciation (attach schedule) and depletion 20 Occupancy ..................___________________ . 21 Travel, conferences, and meetings .......___________________ 01 22 Printing and publications ...........____________________ 970. 23 Other expenses (attach schedule)2TCH .4. 24 Total operating and administrative expenses. Add lines l3 through 23 ...........5,178. 25 Contributions, gifts, grants paid ....... .1, 161,290. 1,166,468. 26 Total exoenses and disbursements. Add lines 24 and 25 Subtract line 26 from line 12: .. a Excess of revenue over expenses and disbursements b Net investment income (if negative, enter -0-) - c Adjusted net income (if negative, enter -0-). JSA For Paperwork Reduction Act Notice, see Instructions. 5E1410 1.000 49088 970. 5,178. 1,161, 29U. 5,178. 1,161,290. 27 1608 5/10/2016 8,831,356. 2:05:20 PM 222, 208. Form 990-PF (2015) V 15-4.5F PAGE 3 I Form gg O-PF(2015) THE RUTH NOLAN CR0 CHAO FOUNDATION Attached schedules and amounts in the Beginning of year Balance Sheets description column should be for end-of-year (a) Book Value amounts only (See instructions.) I Cash - non-interest-bearing .................. 16,213.1 2 Savings and temporary cash investments ........... 3 Accounts receivable 33,259. Less: allowance for doubtful accounts 4 Pledges receivable 0, Less: allowance for doubtful accounts 5 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 Op. 8 Inventories for sale or use................... 9 Prepaid expenses and deferred charges ............ < IDa Investments - U.S. and state government obligations (attach schedule). C•H 119,750. b Investments - corporate stock (attach schedule) c Investments - corporate bends (attach schedule) ........ 11 Investments - land, buildings, and equipment: basis Less: accumulated depreciation (attach schedule) 12 Investments - mortgage loans ................. 13 Investments - other (attach schedule) .....2T.CJi 596,669.1 14 Land, buildings, and equipment: basis Less: accumulated depreciation . (attach schedule) 15 Other assets (describe 16 Total assets (to be completed by all filers - see the instructions. Also, see page 1, item I) ............. 765,891 17 18 19 = 20 21 22 Accounts payable and accrued expenses ........... Grants payable ........................ Deferred revenue....................... Loans from officers, directors, trustees, and other disqualified persons. Mortgages and other notes payable (attach schedule) ..... Other liabilities (describe 23 Total liabilities (add lines 17 through 22) Foundations that follow SFAS 117, check here. pr-Li and complete lines 24 through 26 and lines 30 and 31. 26-6762017 Page End of year Book Value I (c) Fair Market Value 239,077. 8,493,872.1 8,732,949 239,077. 8,493,872. 8,732,949. 24 25 26 Unrestricted ......................... Temporarily restricted .................... Permanently restricted .................... o. LXII Foundations that do not follow SFAS 117, check here and complete lines 27 through 31. 765, 891. 8,732, 949. 27 Capital stock, trust principal, or current funds .......... 28 Paid-In or capital surplus, or land, bldg., and equipment fund ...... 29 Retained earnings, accumulated income, endowment, or other funds 765,891. 8,732, 949. 30 Total net assets or fund balances (see instructions) ...... 31 Total liabilities and net assets/fund balances (see instructions) 765,891.1 8,732,949. I iTh11l1 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) ............................... _L 2 Enter amount from Part I, line 27a .......................................2 3 Other increases not included in line 2 (itemize) ATCH 7 3 4 Add lines l,2, and 3 ..............................................4 5 Decreases not included in line 2 (itemize) 5 6 Total net assets or fund balances at end of year (line 4 minus line 5) - Part II, column (b), line 30 . . . 6 765,891. 8,831,356. —864,298. 8,732,949. 8,732,949. Form 990-PF (2015) JSA 501420 1.000 4908ev 1608 5/10/2016 2:05:20 PM V 15-4.5F PAGE 4 26-6762017 THE RUTH MULAN CHU CHAO FOUNDATION Form 990-PF (2015) 3 •mu'i Capital Gains and Losses for Tax on Investment Income (c) Date Date sold acquired I d)mo., day, yr.) (mo., day, yr.) (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 b C (e) Gross sales price (or allowable) (h) Gain or (loss) (e) plus (f) minus (g) (g) Cost or other basis Depreciation allowed I plus expense of sale d Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69 U) Adjusted basis (k) Excess of col. (i) I (i) F.M.V. as of 12/31/69 over col. Q), if any as of 12/31/69 (I) Gains (Col. (h) gain minus col. (k), but not less than -0-) or Losses (from col. (h)) b If gain, also enter in Part I, line 7 f 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 Part I, line 2 Capital gain net income or (net capital loss) loss) 2 -229,562. .......................................... 3 I1ThY1 Qualification Under Section 4940(e) for Reduced Tax on Net Investment Income (For optional use by domestic private foundations subject to the section 4940(a) tax on net investment income.) If section 4940(d)(2) applies, leave this part blank. Was the foundation liable for the section 4942 tax on the distributable amount of any year in the base period? Lii Yes FX I 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) Base period years ' . Distribution ratio Adjusted qualifying distributions Net value of nonthantable-use assets Calendar year (or tax year beginning in) (col. (b) divided by col. (c)) 2014 2013 2012 2011 2010 10,017,115. 34,291. 9,992,069. 31,103. 4,846,539. 7,555,493. 11,593,180. 15,854,966. 697,716. 2.066859 0.004539 0.861892 0.001962 2.935252 ..................................... 3 Average distribution ratio for the 5-year base period - divide the total online 2 by 5, or by the 0.587050 ........... 7,100,636. .......... L 4,168,428. ...................................... 2,222. ................... 4,170,650. ......................................... 1 ........................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 2 Total of line 1, column (d) number of years the foundation has been in existence if less than 5 years 4 Enter the net value of noncharitable-use assets for 2015 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 8 1, 161, 290. Part VI instructions. JSA 5E1430 1.000 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F Form 990-PF (2015) PAGE 5 Form 990-PF THE RUTH MULAN CHU CHAO FOUNDATION Excise Tax Based on Investment Income n 4940(a). 4940(b Li 26-6762017 Page or 4948 - see instructions) la Exempt operating foundations described in section 4940(d)(2), check here and enter "N/A" on line l. Date of ruling or determination letter:(attach copy of letter if necessary - see Instructions) b Domestic foundations that meet the section 4940(e) requirements in Part V, check 4,444. .............................. here and enter 1% of Part I, line 27b c All other domestic foundations enter 2% of line 27b. Exempt foreign organizations enter 4% of Part I, line 12, col. (b). 2 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) 3 Add lines 1 and 2 4 Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) S Tax based on investment income. Subtract line 4 from line 3. If zero or less, enter -06 Credits/Payments: 7,115. 6a a 2015 estimated tax payments and 2014 overpayment credited to 2015. . . .............................................. ............. .............. . ................... ............................. ................ .......... 6b b Exempt foreign organizations - tax withheld at source 6c c Tax paid with application for extension of time to file (Form 8868)....... 6d d Backup withholding erroneously withheld 7 Total credits and payments. Add lines 6a through 6d 8 Enter any penalty for underpayment of estimated tax. Check here if Form 2220 is attached ....... 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 11 Enter the amount of line 10 to be: Credited to 2016 estimated tax 2, 671 Refunded Statements Re la 2 4,444. 0. 4.444. 7,115. 7 2,671. Activities 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 ...................................... ............................................... published or distributed by the foundation in connection with the activities. c Did the foundation file Form I 120-POL for this year" d Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year: (I) On the foundation, (2) On foundation managers. $ $ .................................... la Yes No X lb X Ic X e Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed on foundation managers. 00, $ ................ 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, articlesof 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? If 'Yes," attach the statement required by Genera! 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) !L1 6 X 7 x 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 Genera! Instruction G?If "No, "attach explanation ................. 8b X 9 Is the foundation claiming status as a private operating foundation within the meaning of section 49420)(3) or 49420)(5) for calendar year 2015 or the taxable year beginning in 2015 (see instructions for Part XIV)? If "Yes," completePart XIV . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Did any persons become substantial contributors during the tax year? If 'Yes," attach a schedule listing their namesand addresses ................................................... 9 liol X IX Form 990-PF (2015) J5A 5E1440 1.000 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F PAGE 6 Form 990-PF (2015) THE RUTH MULAN CHU CHAO FOUNDATION Y.1l!1 Statements Regarding Activities 11 12 13 14 15 16 Page 5 26-6762017 (continued) At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the meaning of section 512(b)(13)? If 'Yes" attach schedule (see instructions) Did the foundation make a distribution to a donor advised fund over which the foundation or a disqualified person had advisory privileges? If 'Yes," attach statement (see instructions) ............................ ........................... 11 Yes No X X 12 Did the foundation comply with the public inspection requirements for its annual returns and exemption application? 13 N/A Website address The books are in care of Oo. C/O BERDON LLP Telephone no. lo. 2128320400 10017 Located at ,.360 MADISON AVENUE NEW YORK, NY ZIP+4 X ............ ................... Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041 - Check here Li and enter the amount of tax-exempt interest received or accrued during the year I 15 I At any time during calendar year 2015, did the foundation have an interest in or a signature or other authority....._4 Yes No X over a bank, securities, or other financial account in a foreign country ? ..............................16 I See the instructions for exceptions and filing requirements for FinCEN Form 114. If "Yes," enter the name of the foreign country lo. i Y1l : I Statements Regarding Activities for Which Form 4720 May Be Required File Form 4720 if any item is checked in the "Yes" column, unless an exception applies. la During the year did the foundation (either directly or indirectly): (1) Engage in the sale or exchange, or leasing of property with a disqualified person? ......... (2) Borrow money from, lend money to, or otherwise extend credit to (or accept it from) a No . ........................................ . ........... ............................. disqualified person? (3) Furnish goods, services, or facilities to (or accept them from) a disqualified person? ......... (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 the benefit or use of a disqualified person)? (6) Agree to pay money or property to a government official? (Exception. Check 'No" if the Yes EIII No Yes X No Yes Yes X No X No Yes No foundation agreed to make a grant to or to employ the official for a period after termination of government service, if terminating within 90 days.) Yes No b If any answer is "Yes" to la(1)-(6), did any of the acts fail to qualify under the exceptions described in Regulations section 53.4941 (d)-3 or in a current notice regarding disaster assistance (see instructions)? Organizations relying on a current notice regarding disaster assistance check here Lii .................. .................. ................ c Did the foundation engage in a prior year in any of the acts described in la, other than excepted acts, that were not corrected before the first day of the tax year beginning in 2015'? ........................... 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 2015, did the foundation have any undistributed income (lines 6d and 6e, Part XIII) for tax year(s) beginning before 2015'? ........................... Yes [XI] No If "Yes," list the years b Are there any years listed in 2a for which the foundation is not applying the provisions of section 4942(a)(2) (relating to incorrect valuation of assets) to the year's undistributed income? (If applying section 4942(a)(2) to all years listed, answer "No" and attach statement - see instructions.) c If the provisions of section 4942(a)(2) are being applied to any of the years listed in 2a, list the years here. ............................. X 2b 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 2015 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 2015.) ...................................... RRI X 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 charitable purpose that had not been removed from jeopardy before the first da y of the tax year beainnina in 2015? I 4b I I X Form 990-PF (2015) JSA 5E1450 1.000 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F PAGE 7 Form 990-PF(2015) THE RUTH MULAN CHU CHAO FOUNDATION 26-6762017 liT hYAI:U 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))? ...... Yes L1 No (2) Influence the outcome of any specific public election (see section 4955); or to carry on, directly or indirectly, any voter registration drive? Yes X No (3) Provide a grant to an individual for travel, study, or other similar purposes? Yes No (4) Provide a grant to an organization other than a charitable, etc., organization described in Yes section 4945(d)(4)(A)? (see instructions) No (5) Provide for any purpose other than religious, charitable, scientific, literary, or educational purposes, or for the prevention of cruelty to children or animals? Yes 7 X No b If any answer is "Yes' to 5a(1)-(5), did any of the transactions fail to qualify under the exceptions described in Regulations section 53.4945 or in a current notice regarding disaster assistance (see instructions)? . ......................... ............ I X1 ............................. ................. ............ .................. .................... El Organizations relying on a current notice regarding disaster assistance check here Yes No ................................... .......... Yes No Ta At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction? . LIII Yes 7X No b If "Yes," did the foundation receive any proceeds or have any net income attributable to the transaction? . . . . . . . . . . cers, X 6b I 7b oyees, manaaers (a) Name and address ATCH B 5b Do- c If the answer is 'Yes' to question 5a(4), does the foundation claim exemption from the tax because it maintained expenditure responsibility for the grant' 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? b Did the foundation, during the year, pay premiums, directly or indirectly, on a personal benefit contract' If "Yes" to 6b, file Form 8870. all Page 6 average week (d) Contributions to employee benefit plans and deterred comoensation [I] (e) Expense account, other allowances [I Compensation of five highest-paid employees (other than those included on line I - see Instructions). If none, enter NONE. Contributions to I (b) Title, and average I I (d) employee benefit I (a) Expense account, (a) Name and address of each employee paid more than $50,000 hours per week I (c) Compensation plans and deferred I other allowances I devoted to position I NONE I number of other em Form 990-PF (2015) JSA 5E1460 1.000 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F PAGE 8 THE RUTH NOLAN CHU CHAO FOUNDATION 26-6762017 Form 990-PF (2015) Page 7 ITh&YAllI 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." T (a) Name and address of each person paid more than $50000 (b) Type of service I (c) Compensation NONE Total number of others receiving over $50,000 for professional services •. Summary of Direct Charitable Activities List the foundations four largest direct charitable activities during the tax year. Include relevant statistical information such as the number organizations and other beneficiaries served, conferences convened, research papers produced, etc. 1 expenses I N/A 2 3 4 flIKI Summary of Program-Related Investments (see instructions) Describe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2. Amount I NONE 2 All other program-related investments. See Instructions. 3 NONE Total. Add lines I throu 3 Form 990-P F (2015) JSA 5E1465 1.000 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F PAGE 9 'I THE RUTH MULAN CHU CHAO FOUNDATION 26-6762017 Form 990-PF (2015) 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: a Average monthly fair market value of securities .............................. la b Average of monthly cash balances..................................... lb 1 C Fair market value of all other assets (see instructions)........................... Id d Total (add lines la, b, and c) ........................................ e Reduction claimed for blockage or other factors reported on lines la and .le Ic (attach detailed explanation) 2 2 Acquisition indebtedness applicable to line I assets 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 4 instructions) 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 Distributable Amount (see instructions) (Section 49420)(3) and (j)(5) private operating foundations and certain foreign organizations check here lo. El and do not complete this part.) I Minimum investment return from Part X, line 6 .............................. 4,444. 2a Tax on investment income for 2015 from Part VI, line 5 ....... .2a 2b b Income tax for 2015. (This does not include the tax from Part VI.) c Add lines 2a and 2b ............................................ 3 Distributable amount before adjustments. Subtract line 2c from line I ................. 4 Recoveries of amounts treated as qualifying distributions ........................ ............................................ 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, line .................................................... Page 8 7,037,691. 171,077. 7,208,768. 7,208,768. 108, 132. 7,100,636. 355,032. 355,032. 4,444. 350,588. 350,588. 350,588. IThEIlI Qualifying Distributions (see instructions) I Amounts paid (including administrative expenses) to accomplish charitable, etc., purposes: 161, 290. a Expenses, contributions, gifts, etc. - total from Part I, column (d), line 26 ................. Ia 1, b Program-related investments - total from Part IX-B .lb 2 Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, 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) .3b 4 Qualifying distributions. Add lines la through 3b. Enter here and on Part V, line 8, and Part XIII, line 44 1,161,290. 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 0. .6 6 Adjusted qualifying distributions. Subtract line 5 from line 4 1,161,290. 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 (2015) JSA 5E1470 1.000 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F PAGE 10 C THE RUTH NOLAN CHU CHAO FOUNDATION 26-6762017 Form 990-PF (2015) Page 9 iThillli Undistributed Income (see instructions) (a) Corpus I Distributable amount for 2015 from Part X, line ......................2 Undistributed income, if any, as of the end of 2015: a Enter amount for 2014 only ............____________________ b Total for prior years: 2013,2012 3 Excess distributions carryover, if any, to 2015: a From 2010 .......__________________ b From 2011 ......._______________ 8,305,569. c From 2012 d From 2013 .......________________ 9,780,558. e From 2Ol4 f Total of lines 3a through e ............ 18, 086, 127. 4 Qualifying distributions for 2015 from Part Xli, 1,161,290. line 4: $ a Applied to 2014, but not more than line 2a . (b) Years prior to 2014 (c) 2014 (d) 2015 350,588. b Applied to undistributed income of prior years (Election required - see instructions) ........____________________ c Treated as distributions out of corpus (Election required - see instructions) ............____________________ d Applied to 2015 distributable amount .......__________________ 810,702. e Remaining amount distributed out of corpus. . . 5 Excess distributions carryover applied to 2015 350,588. (If an amount appears in column (d), the same amount must be shown in column (a).) 6 Enter the net total of each column as indicated below: 18, 896, 829. a Corpus. Add lines 3f, 4c, and 4e. Subtract line 5 b Prior years' undistributed income. Subtract line 4b from line 2b .............. ..___________________ c Enter the amount of prior years' undistributed income for which a notice of deficiency has been issued, or on which the section 4942(a) tax has been previously assessed .........____________________ d Subtract line 6c from line Gb. Taxable amount - see instructions .............____________________ e Undistributed income for 2014. Subtract line 4a from line 2a. Taxable amount - see instructions ...................____________________ f Undistributed income for 2015. Subtract lines 4d and 5 from line 1. This amount must be distributed in 2016 ................__________________ 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 Excess distributions carryover from 2010 not applied on line 5 or line 7 (see instructions) 9 Excess distributions carryover to 2016. Subtract lines 7 and 8 from line 6a ....... .18,896,829. 10 Analysis of line 9: a Excess from 2011 . 8,305,569. b Excess from 2ol2 . . . c Excess from 2013 d Excess from 2ol4 . . e Excess from 2015 . . . 9,780,558. 810,702. Form 990-PF (2015) JSA 5E1480 1.000 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F PAGE 11 ', C Form 990-PF (2015) p THE RUTH MULAN CHU CHAO FOUNDATION 17997 ,0- rivate Operating Foundations (see instructions and Part Vu-A, question 9) 26-6762017 Page 10 NOT APPLICABLE 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 2015, enter the date of the ruling ..............._________ b Check box to indicate whether the foundation is a private operating foundation described in section [_J 4942(j)(3) or Prior 3 years Tax year 2a Enter the lesser of the ad(d) 2012 (a) 2015 fbI 2014 (c) 2013 lusted net income from Part 1 I I I or the minimum Investment return from Part X for each year listed [J 4942(j)(5) (a) Total b 85% of line 2a ...... Qualifying distributions from Part XII. line 4 for each year listed . d Amounts included in tine 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. (1) value of all assets (2) value of assets qualifying under section 49420)(3)(B)(i) ......_______________________ b 'Endowment" alternative testenter 2/3 of minimum investment return shown In Part X, line 6 for each year listed C "Support' alternative test - enter. (I) 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 C (3) Largest amount of support from an exempt organization. ......_________________________ (4) Gross investment income I1E4YA 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 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 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 5E14901.000 Form 990-PF (2015) 49088V 1608 5/10/2016 2:05:20 PM V 15-4,5F PAGE 12 THE RUTH MULAN CHU CHAO FOUNDATION 26-6762017 Page Form 990-PF (2015) 11 •n4'A Supplementary Information (continued) Form 990-PF (2015) JSA 501491 1.000 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F PAGE 13 26-6762017 THE RUTH MULAN CHU CHAO FOUNDATION Page 12 Form 990-PF (2015) ui4'A!i Analysis of Income-Producing Activities Excluded by section 512, 513, or 514 Unrelated business income Enter gross amounts unless otherwise indicated. I Program service revenue: a b 'a' 'b U (c) (d) Business code MII1VUF1t Exclusion Code FiIiUUiiI (e) Related or exempt function income (See instructions.) 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. 14 224, 771. 7 Other investment income ...........________ __________________ 18 18 _______________________ 8 Gain or (loss) from sales of assets other than inventory -232,014. 9 Net income or (loss) from special events 10 Gross profit or (loss) from sales of inventory. 11 Other revenue: a ATCH b 10 2,615. 10,000,000. C d e 9,995,372.1 12 Subtotal. Add columns (b), (d), and (a) . . . . 13 Total. Add line 12, columns (b), (d), and (e) ...................................13 (See worksheet in line 13 instructions to verify calculations.) •flEY1!:1 RelationshiD Line No. I V of 9,995,372. Activities to the Accomnlishment of Exemøt Purooses Explain below how each activity for which income is reported in column (e) of Part XVJ-A contributed importantly to the accomplishment of the foundation's exempt purposes (other than by providing funds for such purposes). (See instructions.) JSA 5E1492 1.000 49088V 1608 5/10/2016 Form 990-PF (2015) 2:05:20 PM V 15-4.5F PAGE 14 THE RUTH MULAN CHU CHAO FOUNDATION Form 99O-PF(2015) I1W4V1lI 26-6762017 Page 13 Information Regarding Transfers To and Transactions and Relationships With Noncharitable Exemrt Oraanizations Did the organization directly or indirectly engage in any of the following with any other organization described . Yes No 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: X (I) Cash ...........................................................la(i) X (2) Other assets .......................................................la(2) b Other transactions: - - X (I) Sales of assets to a noncharitable exempt organization ................................ lb(1) X (2) Purchases of assets from a noncharitable exempt organization ............................ I b(2) X (3) Rental of facilities, equipment, or other assets .................................... I b(3) X (4) Reimbursement arrangements ............................................. lb(4) X (5) Loans or loan guarantees ................................................ I b(5) X (6) Performance of services or membership or fundraising solicitations ......................... I b(6) X c Sharing of facilities, equipment, mailing lists, other assets, or paid employees .....................Ic 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. (a) Line no. (b) Amount involved (c) Name of noncharitable exempt organization (d) Description of transfers, transactions, and sharing arrangements I N/A N/A 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." comolete the followina schedule. (a) Name of organization of Ei1 No of Under penalties of perjury, 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 ANGELA CHAO 1May the IRS discuss this return' MEMBER ___________________________________ with the preparer shown below' 104/29/2016 Signature of officer or trustee Date I Print/Type preparer's name I Preparers signature Title (see instructions)? Date I Paid IMARCO SVAGNA I Preparer I Firm's name BERDON LLP Use Only Firm's address 10- 360 MADISON AVE if PTIN Check self-employed P00217291 IFirm'sEIN 10017 [I] NI L.J 04/29/2016 NEW YORK, NY Yes Phone no. .13-0485070 212-832-0400 Form 990-PF (2015) JSA 5E1493 1.000 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F PAGE 15 THE RUTH NOLAN CHU CHAO FOUNDATION 26-6762017 FORM 990-PF - PART IV CAPITAL GAINS AND LOSSES FOR TAX ON INVESTMENT INCOME Kind of Property Gross sale price less expenses of sale Description ____ EI Excess of Depreciation Cost or FMV Adj. basis FMV over allowed/ other as of as of 12/31/69 1 2/31/69 basis ad* basis allowable TOTAL LONG—TERM COMMON TRUST FUND AND PARTNERSHIP, S CORPORATION, AND OTHER ESTATES OR TRUST GAIN OR LOSS TOTAL CAPITAL GAIN DISTRIBUTIONS 6,870,938. SHORT TERM COVERED - 445199 7,161,017. Date acquired Gain or (loss) Date sold 2,452. 86,887. VAR —290,079. VAR 199,545. 8857.396 555 LORD ABBET GROWTH 201,645. 288,581. 10000 SHS CARLYLE GROUP 316,216. 05/05/2015 06/09/2015 —27,635. PTP CAPITAL GAIN ADJUSTMENT 05/05/2015 06/09/2015 685. 685 TOTAL GAIN(L )SS) VAR 10/08/2015 —1,872. ........-229,562. 5E1730 1.000 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F PAGE 16 THE RUTH MULAN CHU CHAO FOUNDATION 26-6762017 ATTACHMENT 1 FORM 990PF, PART I - DIVIDENDS AND INTEREST FROM SECURITIES REVENUE AND EXPENSES PER BOOKS DESCRIPTION THRU CREDIT SUISSE TOTAL 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F NET INVESTMENT INCOME 224,771 224,771. 224,771. 224,771. ATTACHMENT 1 PAGE 21 26-6762017 THE RUTH MULAN CHU CHAO FOUNDATION ATTACHMENT 2 FORM 990PF, PART I - OTHER INCOME DESCRIPTION OTHER PORTFOLIO INCOME TOTALS 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F REVENUE AND EXPENSES PER BOOKS 2,615. NET INVESTMENT INCOME 2,615. 2,615. 2,615. ATTACHMENT 2 PAGE 22 26-6762017 THE RUTH MULAN CHU CHAO FOUNDATION ATTACHMENT 3 ia FORM 990PF, PART I - ACCOUNTING FEES REVENUE AND EXPENSES PER BOOKS DESCRIPTION ACCOUNTING FEES TOTALS 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F NET INVESTMENT INCOME 4,208. 4,208. 4,208. 4,208. ADJUSTED NET INCOME CHARITABLE PURPOSES ATTACHMENT 3 PAGE 23 THE RUTH MULAN CHU CHAO FOUNDATION 26-6762017 ATTACHMENT 4 FORM 990PF, PART I - OTHER EXPENSES REVENUE AND EXPENSES PER BOOKS 96. 400. 274. 145. 55. DESCRIPTION INVESTMENT FEE NYS FILING FEES CT CORPORATE FEES ADVERTISING FEES MISC. FEES TOTALS 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F 970. NET INVESTMENT INCOME 96. 400. 274. 145. 55. 970. ATTACHMENT 4 PAGE 24 THE RUTH MULAN CHU Cl-LAO FOUNDATION 26-6762017 ATTACHMENT 5 FORM 990FF, PART II - CORPORATE STOCK DESCRIPTION ENDING BOOK VALUE ENDING FMV CORPRORATE STOCKS TOTALS 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F ATTACHMENT 5 PAGE 25 THE RUTH MULAN CHU CHAO FOUNDATION 26-6762017 ATTACHMENT 6 FORM 990FF, FART II - OTHER INVESTMENTS DESCRIPTION ENDING BOOK VALUE MUTUAL FUNDS/CLOSED END FUNDS TOTALS 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F ENDING F'MV 8,493,872. 8,493,872. 8,493,872. 8, 493, 872. ATTACHMENT 6 PAGE 26 If THE RUTH MULAN CHU CHAO FOUNDATION 26-6762017 ATTACHMENT 7 FORM 990PF, PART III - OTHER INCREASES IN NET WORTH OR FUND BALANCES DESCRIPTION AMOUNT BOOK/TAX DIFFERENCES -864,298. TOTAL 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F -864,298. 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 JAMES SC CHAO C/O BERDON LLP 360 MADISON AVENUE NEW YORK, NY 10017 JAMES MING-CHI CHU C/O BERDON LLP 360 MADISON AVENUE NEW YORK, NY 10017 TRUSTEE TRUSTEE TRUSTEE ATTACHMENT S CONTRIBUTIONS EXPENSE ACCT TO EMPLOYEE AND OTHER BENEFIT PLANS ALLOWANCES COMPENSATION ml 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F No 'p am GRAND TOTALS Lip LiP RE LiP 0. 0. 0. ATTACHMENT 8 PAGE 28 THE RUTH MULAN CHU CHAO FOUNDATION P'(M qq nPR PART )(V - rPAJ'rc Am p 2 6-67 620 17 rntjT g T g rrTTnm q PAM flT1RT( TUG' VV\R RELATIONSHIP TO SUBSTANTIAL CONTRIBUTOR AND RECIPIENT NAME AND ADDRESS FOUNDATION STATUS OF RECIPIENT LAIAN COUNTY DEPARTMENT OF EDUCATION HONE LAIAN COUNTY GOV PURPOSE OF GRANT OR CONTRIBUTION FOR THE FURTHURANCE OF EDUCATION AMOUNT 1,000,000. CHINA SHANGHAI CHARITY FOUNDATION NONE 88 ZHIZAOJU ROAD GOV FOR THE FURTHURANCE OF PHILANTHROPIC AWARENESS 161,290. LU WAN QU SHANGHAI CHINA TOTAL CONTRIBUTIONS PAID ATTACHMENT 9 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F PAGE 29 THE RUTH MULAN CHU CHAO FOUNDATION 26-6762017 FORM 990-PF, PART XVI-A - ANALYSIS OF OTHER REVENUE ATTACHMENT 10 BUSINESS CODE DESCRIPTION FOREMOST BULKERS GROUP LLC EXCLUSION CODE 24 TOTALS 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F AMOUNT AMOUNT RELATED OR EXEMPT FUNCTION INCOME 10, 000, 000. 10, 000, 000. ATTACHMENT 10 PAGE 30 SCHEDULED (Form 1041) Department of the Treasury Internal Revenue Service 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 I b, 2, 3, 8b, 9 and 10. Information about Schedule D and its separate instructions is at www.irs.gov110rm1041. Name of estate or trust ©15 Employer Identification number THE RUTH NOLAN CHU CHAO FOUNDATION Note: Form 5227 filers need to complete only Parts I and Ii. 26-6762017 IThII Short-Term Capital Gains and Losses - Assets Held One Year or See instructions for how to figure the amounts to enter on the lines below. This form may be easier to complete if you round off cents to whole dollars. 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. (g) Adjustments to gain or loss from Form(s) 8949, Part I, line 2, column (g) Cost (or other basis) 6,870,938.1 7,161,017. -290,079. 288,581.1 316,216. -27,635. lb Totals for all transactions reported on Form(s) 8949 with Box checked ................... 2 Totals for all transactions reported on Form(s) 8949 with Box Bchecked ................... 3 Totals for all transactions reported on Form(s) 8949 with Box C checked (0) 685 685. 4 Short-term capital gain or (loss) from Forms 4684, 6252, 6781, and 8824 .................I 5 6 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 2014 Capital Loss Carryover Worksheet................................................ 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 iniii (h) Gain or (loss) Subtract column (e) from column (d) and combine the result with column (g) (d) Proceeds (sales price) 7 -317,029. Adjustments to gain or loss from Form(s) 8949, Part II line 2, column (g) (h) Gain or (loss) Subtract column (e) from column (d) and combine the result with column (g) Long-Term Capital Gains and Losses - Assets Held More Than One Year See instructions for how to figure the amounts to enter on the lines below. This form may be easier to complete if you round off cents to whole dollars. (d) Proceeds (sales price) (g) (e) Cost (or other basis) 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. 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 Echecked ................... 10 Totals for all transactions reported on Form(s) 8949 with Box F checked ................... 11 199,545.1 201,645.1 -1,872. Long-term capital gain or (loss) from Forms 2439, 4684, 6252, 6781, and 8824 ..............I ii 12 Net long-term gain or (loss) from partnerships, S corporations and other estates or trusts.......... 13 228. I Capital gain distributions............................................ ii 2,452. 86,887. 14 Gain from Form 4797, Part I.............................................._______________ 14 15 Long-term capital loss carryover. Enter the amount, if any, from line 14 of the 2014 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 18a, column (3)on the back ...................................116 ...... I 87,467. For Paperwork Reduction Act Notice, see the Instructions for Form 1041. JSA Schedule D (Form 1041) 2015 5F1210 1.000 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F PAGE 31 *) Schedule D (Form 1041) 2015 Summary of Parts I and II (1) Beneficiaries Caution: Read the instructions before completing this part. (see instr.) 17 Net short-term gain or (loss) . . . . . . . . . . . . . . . . . . . . . 17 18 Net long-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........ 19 Page 2 (2) Estates or trusts Total -317,029. 87,467. -229,562. 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 Ca'ryover Worksheet, as 20 I Loss Limitation 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 ............................... 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 Loss Canyover Worksheet in the instructions to figure your capital loss carryover. a I01YI 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 Il 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 D Tax Worksheet in the instructions if • Either line lab, 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, line 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 18c, col. (2) is more than zero. 21 Enter taxable income from Form 1041, line 22 (or orm 990-T, line 34). . 22 Enter the smaller of line 1 8a 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). . 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 -0-. . . lo. 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- ............_________________ 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% ........... 30 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 $12,300 .....................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%........................................... 37 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% .......................................... 41 42 Figure the tax on the amount on line 27. Use the 2015 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 2015 Tax Rate Schedule for Estates and Trusts (see the Schedule G instructions in the instructions for Form 1041) . . . . 44 45 Tax on all taxable income. Enter the smaller of line 43 or line 44 here and on Form 1041, Schedule G, line la (or Form 990-T, line 36) ..................................... 45 I Schedule D (Form 1041) 2015 JSA 5F1220 1.000 49088V 1608 5/10/2016 2:05:20 PM V 15-4.5F PAGE 32 r: Fom,8949 Sales and Other Dispositions of Capital Assets OMB No. 1545-0074 ©15 Information about Form 8949 and its separate Instructions is at www.irs.gov/form8949. Department of the Treasury Internal Revenue Service 10-Filewith your Schedule D to list your transactions for lines Ib, 2, 3, 8b, 9, and 10 of Schedule D. Name(s) shown on retur Attachment Sequence No. 12A Social security number or taxpayer 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 will show whether your basis (usually your cost) was reported to the IRS by your broker and may even tell you which box to check. iThIi 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 totals directly on Schedule D, line 1 a; you aren't required to report these transactions on Form 8949 (see instructions). You must check Box A, B, or 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 (a) Description of property (Example: 100 sh. XYZ Co.) I I (c) (d) I I (b) Proceeds Date acquired Date sold or disposed of (sales price) (Mo., day, yr.) I (Mo., day, yr.) II (see instructions) 10000 SHS CARLYLE GROU 1 05/05/2015 1 06/09/2015 I 288,581 2 Totals. Add the amounts in columns (d), (e), (9), 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 One 3 (if Box C above is checked) (a) Cost or other basIs, See the Note below and see Column (a) In the separate instructions 316,216. 288,581.1 316,216. Adjustment, If any, to gain or loss. If you enter an amount in column (g) enter a code in column (. See the separate Instructions. (f) Code(s) from instructions (g) Amount of adjustment (h) Gain or (loss). Subtract column (e) from column (d) and combine the result with column (g) —27,635. —27,635. 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. J5A 5x2615 2.000 Form 8949 (2015) Form8949 Sales and Other Dispositions of Capital Assets OMB No. 1545-0074 ©15 Information about Form 8949 and Its separate Instructions is at www.irs.gov11orm8949. Department or the Treasury Internal Revenue Service File with your Schedule D to list your transactions for lines 1b, 2, 3, 8b, 9, and 10 of Schedule D. Name(s) shown on return THE RUTH MULAN CHU CHAO FOUNDATION ,chment luence No. 12A ecurlty number or taxpayer Identification number 26-6762017 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 will show whether your basis (usually your cost) was reported to the IRS by your broker and may even tell you which box to check. 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 totals directly on Schedule D, line 1 a; you aren't 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 (d) Proceeds (sales price) (see Instructions) Adjustment, If any, to gain or loss. f you enter an amount in column (g) (h) enter a code In column (I). Cost or other basis. Gain or (loss). See the separate Instructions. Sea the Note below Subtract column (e) and see Column (e) rrom column (d) and in the separate combine the result instructions code(s) from (0(g) Amount of with column (g) Instructions I adjustment 685. 685. (e) (a) Description of property (Example: 100 sh. XYZ Co.) FTP CAPITAL GAIN ADJUSTMENT (C) (b) Date acquired Date sold or disposed of (Mo., day, yr.) (Mo., day, yr.) 05/05/2015 06/09/2015 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) ' 685. 685. 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. JSA 5X2615 2.000 Form 8949 (2015) Form 8949 (2015) Attachment Sequence No. 1 on return. Name and SSN or taxpayer identification no. not required it shown on other side THE RUTH MULAN CHU CHAO FOUNDATION 2A Page or taxpayer Identification num 26-6762017 Before you check Box D, E, or F 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 will show whether your basis (usually your cost) was reported to the IRS by your broker and may even tell you which box to check. •TIIII Long-Term. Transactions involving capital assets you held more than 1 year are long term. For short-term transactions, see page 1. Note: You may aggregate all long-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 totals directly on Schedule D, line 8a; you aren't required to report these transactions on Form 8949 (see instructions). You must check Box D, E, or F below. Check only one box. If more than one box applies for your long-term transactions, complete a separate Form 8949, page 2, for each applicable box. If you have more long-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 (D) Long-term transactions reported on Form(s) 1099-B showing basis was reported to the IRS (see Note above) (E) Long-term transactions reported on Form(s) 1099-B showing basis was not reported to the IRS (F) Long-term transactions not reported to you on Form 1099-B (a) Description of property (example: 100 sh. XYZ Co.) 8857.396 SHS LORD ABBE GROWTH 2 (b) I Date acquired (Mo., day, yr.) (c) Date sold or disposed (Mo., day, yr.) 10/08/2015 (d) Proceeds (sales price) (see instructions) I Adjustment, If any, to gain or loss. (h) (you enter an amount in column (g), Gain or (loss). enter a code In column (0. Cost or other basis, Subtract column (e) See the separate Instructions. See the Note below from column (d) and and see column (a) combine the result (I) (g) in the separate with column (g) Code(s) from Amount of instructions instructions I adjustment 199,545.1 201,645.1 W 228.1 —1,872. 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 8b (if Box 0 above is checked), line 9 (if Box E above Is checked), or line 10 (if Box F above is checked) . 199,545 201,645. 228. —1,872. Note: If you checked Box D 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. JSA 5X2616 2.000 Form 8949 (2015) COPY OF WITHIN PAPER RECEIVED MAY 16 2015 NYS OFFICE OF THE ATTORNEY GENERAL CHARITIES BUREAU