Form 990 Return of Organization Exempt From Income Tax Under section 501(c), 527, or 4947(a)(1) of the Internal Revenue Code (except black lung benefit trust or private foundation) Department of the Treasury-- Intemal Revenue Service The organization may have to use a copy of this retum to satisfy state reporting requirements. one No 1515-0047 Open to Public Inspection A For the 20.09 calendar year, or tax year beginning 2009, and ending "apphw mus, Name of ROCKEFELLER PHILANTI-IROPY ADVISOR5, INC. Employer identification number Doing Business Nam 'mm print or Number and street (or 0 box if mail is not delivered to street address) Roomlsuite Telephone number 322 6 WEST 48TH STREET, 10TH FLOOR (212) 812-4330 City or town, state or country, and ZIP 4 NEW YORK, NY 10036 Grossreceipts 44,003,773. Name and address of pnncipal officer STUART . DAVIDSON Hlal return for yes IEI No 6 WEST 48TH STREET, 10TH FL. NEW YORK, NY 10036 Areallaffiliatesincluded? Yes No I Tax--exempt status I 501(c)( 3 4 (insen no) 4947(a)(1) or I Website: ROCKPA. ORG E27 It We.' attach a list (see instructions) H(c) Group exemption numbei' Fonn of organization I Xicorporation I I TnistI I Association I I Other Tl. Year of formation 1 9 91I State of legal domicile DE Summary 1 Briefly describe the organization's mission or most significant activities. HELP DONORS CREATE THOUIGHTFUL EFFECTIVE PHILANTHROPY THROUGHOUT THE 3 EIEDKLEJZ: KPES Iiti?ifi @1552: El". 2 Check this box if the organization discontinued its operations or disposed of more than 25% of its net assets .3 3 Number of voting members of the goveming body (Part VI, line 1a) 3 17 4 Number of independent voting members of the governing body (Part VI, line 1b) . 4 1 5 5 T?1a' "umber ?femP'?Vee$ (Part Total number of volunteers (estimate if necessary) 6 0 Ta Total gross unrelated business revenue from Part column (C). line 12 7a 0 Net unrelated business taxable income from Form 990-T. line Prior Year Current Year a 8 Contributions and grants Iine1")_ I 41, 387, 115- 29, 507, 357- 9 Program 5:394: 547- 5, 521: 901- 5: 10 lnvestment income (Part Vl||,column (ALE16 3, 4, and 7d) 2, 084: 575- 300: 537 - 11 Other revenue (Part column (A), lin . d, EgafigfihkTotal revenue-add Iines8through11 (nIgtpquaI PartVlIl, column $312): 50, 955:237- 35, 503: 089- 3 13 Grants and similar amounts paid (Part IX. lumn I . 27, 550: 510- 17: 505: 951- 14 Benefits paid to or for members (Part IX, 0 - 3 15 Salaries, other compensation, employee benefits (Part IX16:1 Professional fundraising fees (Part IX, column (A). line 11e) A i 7 1 2- Total fundraising expenses, Part IX, column (D). line 25) 5 I 17 Other expenses (Part IX, column (A), lines11a-11d,11f-24f) 21,553: 497- 5: 439: 440- 13 Total expenses Add lines 13-17 (must equal Part IX. column (A), line 25Revenue less expenses. Subtractline 18from Iine12 . . -5, 036, 494 . 3, 962, 003. 3 3 Beginning of Year End of Year 2- .. 21 Total Iiabilities(PartX,line26) 5,155:297- 5: 581.249- 22 Net assets or fund balances. Subtract line 21 from line Sig nature Block Under penalties periury, I declare that I have, examined this retum, including accompanying schedules and statements. and to the best of my knowledge and belief. it true. ect, and complet eclaration of preparer (other than officer) is based on all information of which preparer has any knowledge Sign Zn Here Signatu of Date . (are via o_ "vow 14!! Type or name and title I Preparers Date if number signature NOV 1 2 2010 employed 5 I I 5" '"sPo5"f 837 69 0' MEARA MZGI DONNELLY Em 13-3628255 address. and one BATTERY PARK PLAZA, NEW yoe\,\ 1oo\4-1405 "0 212'551-7777 May the IRS discuss this return with the preparer shown above'? (see in??FctionsFor Privacy Act and Paperwork Reduction Act Notice, see the separate instructions? JSA 3K M2 61 Form 990 (2009) PAGE 1 I7 Fonnsso?oos; 13--36l5533 l.?age2 Statement of Program Service Accomplishments 1 Briefly describe the organization's mission - SEE SCHEDULE 2 Did the organization undertake any significant program services during the year which were not listed on the prlor Form 990 EYES N0 If "Yes," describe these new services on Schedule 0 3 Did the organization cease conducting, or make significant changes in how it conducts, any program sew-esEves no If "Yes," describe these changes on Schedule 0 4 Descnbe the exempt purpose achievements for each of the organization's three largest program services by expenses Section 501(c)(3) and 501 (4) organizations and section 4947(a)(1) trusts are required to report the amount of grants and allocations to others, the total expenses, and revenue, if any, for each program service reported 4a (Code )(Expenses$ 13,245,559. inc|udinggrantsof$ 13,119,539 )(Revenue$ 0. DONOR-ADVISED FUND - SERVES AS A GRANT-MAKING VEHICLE THAT ENABLES A DONOR TO MAKE RECOMMENDATIONS WITH RESPECT TO HIS OR HER PHILANTHROPIC OBJECTIVES. 4b(Code )(Expenses$ 10,115,431. Including grantsof$ 4,397,292. )(Revenue$ 505,000. SPECIAL PROJECT FUND - DESIGNED TO ENABLE INDIVIDUALS OR GROUPS TO PURSUE A VARIETY OF SPECIALIZED CHARITABLE GRANT-MAKING PROJECTS AND ACTIVITIES CONSISTENT WITH THE GENERAL MISSION OF RPA. 4c (Code. (Expenses 6,800,279. including grants of 0. )(Revenue 5, 115, 901. GENERAL FUND -- TO FACILITATE PHILANTHROPY AND TO SUPPORT THE GROWTH OF A VITAL, CREATIVE, NOT--FOR--PROFIT SECTOR. 4d Other program services (Descnbe in Schedule 0 (Expenses including grants of (Revenue 4e Total program service expenses Form 990 (2009) JSA 9E1020 2 000 K4HO3K M261 PAGE 2 Form 990 (2009) l3--35l5533 'Page 3 Checklist of Required Schedules Yes No 1 Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)? If "Yes," complete Schedule the organization required to complete Schedule B, Schedule of ContributorsDid the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates for public office'? If "Yes, complete Schedule C, Partl . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 4 Section 501(c)(3) organizations. Did the organization engage in lobbying activities'? If "Yes," complete Schedule C, Part Sections 501(c)(4), 501(c)(5), and 501(c)(6) organizations. Is the organization subject to the section 6033(e) notice and reporting requirement and proxy tax'? If "Yes," complete Schedule C, Part Ill . . . . . . . . . . . . . . . 5 6 Did the organization maintain any donor advised funds or any similar funds or accounts where donors have the right to provide advice on the distribution or investment of amounts in such funds or accounts'? If "Yes," complete Schedule D, PartDid the organization receive or hold a conservation easement, including easements to preserve open space, the environment, historic land areas, or historic structures? If "Yes," complete Schedule D, Part Did the organization maintain collections of works of art, historical treasures, or other similar assets'? If "Yes," complete Schedule D, Part . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 9 Did the organization report an amount in Part X, line 21, serve as a custodian for amounts not listed in Part X, or provide credit counseling, debt management, credit repair, or debt negotiation services'? If "Yes," complete Schedule D, Part Did the organization, directly or through a related organization, hold assets in term, permanent, or quasi-endowments'? If" Yes," complete Schedule D, Part . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 11 Is the organization's answer to any of the following questions lf so, complete Schedule D, Parts Vl, I/ll, IX, orX as applicable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 0 Did the organization report an amount for land, buildings, and equipment in Part X, line 10'? If "Yes," complete Schedule D, Part VI 0 Did the organization report an amount for investments--other--securities in Part X, line 12 that is 5% or more 3% "b ,3 of its total assets reported in Part X, line 16'? If "Yes, complete Schedule D, Pan' VII ,5 0 Did the organization report an amount for investments--program related in Part X, line 13 that is 5% or more of its total assets reported in Part X, line 16'? If "Yes,"complete Schedule D, Pan' 0 Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets 7 reported in Part X, line 16'? If "Yes, complete Schedule D, Pan' IX . 0 Did the organization report an amount for other liabilities in Part X, line 25'? If "Yes, "complete Schedule D, Pan'X 0 Did the organization's separate or consolidated financial statements for the tax year include a footnote that addresses 4' . the organization's liability for uncertain tax positions under FIN 48'? If "Yes," complete Schedule D, PartX 12 Did the organization obtain separate, independent audited financial statements for the tax yeai'? If 15 3: complete Schedule D, Parts Xl, XllWas the organization included in consolidated, independent audited financial statement for the tax year'? Yes N0 g? If "Yes," completing Schedule D, Parts Xl, Xll, and is optional . . . . . . . . . . . . . . . . . . . . . . 2 A - 1 3 Is the organization a school described in section lf "Yes, complete Schedule . . . . . . . . . . . 1 3 14a Did the organization maintain an office, em ployees, or agents outside of the United States143 Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraising, business, and program service activities outside the United States'? If "Yes, complete Schedule F, Paitl . . . . . . 14b 15 Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or assistance to any organization or entity located outside the United States'? If "Yes," complete Schedule F, Part Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or assistance to individuals located outside the United States'? If "Yes," complete Schedule F, Part . . . . . . . . . . . . . . . 1 5 17 Did the organization report a total of more than $15,000 of expenses for professional fundraising services on Part IX, column (A), lines 6 and 11e'? If "Yes," complete Schedule G, Partl . . . . . . . . . . . . . . . . . . . . 17 18 Did the organization report more than $15,000 total of fundraising event gross income and contributions on Part lines 1c and 8a'? lf "Yes,"complete Schedule G, Part Did the organization report more than $15,000 of gross income from gaming activities on Part line 9a'? If "Yes," complete Schedule G, Part . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 20 Did the organization operate one or more hospitals'? If "Yes, complete Schedule . . . . . . . . . . . . . . . . . 20 Form 990 (2009) JSA K4HO3K M261 PAGE 3 Form 990 (2009Part l3--3615533 page4 Checklist of Required Schedules (continued) Yes No Did the organization report more than $5,000 of grants and other assistance to governments and organizations in the United States on Part IX, column (A), line If "Yes," complete Schedule I, Parts Did the organization report more than $5,000 of grants and other assistance to individuals in the United States on Part IX, column (A), line If "Yes," complete Schedule I, Parts Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the organization's current and former officers, directors, trustees, key employees, and highest compensated employees'? If "Yes," complete ScheduleJ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Did the organization have a tax--exempt bond issue with an outstanding principal amount of more than $100,000 as of the last day of the year, that was issued after December 31, 2002'? If "Yes," answer lines 24b through 24d and complete Schedule If go to question 24a Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception24b Did the organization maintain an escrow account other than a refunding escrow at any time during the year to defease any tax--exempt bonds246 Did the organization act as an "on behalf of" issuer for bonds outstanding at any time during the year2-4d Section 501(c)(3) and 501(c)(4) organizations. Did the organization engage in an excess benefit transaction with a disqualified person during the year'? If "Yes," complete Schedule Partl . . . . . . . . . . . . . . . . . . . 253 Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, and that the transaction has not been reported on any of the organization's prior Forms 990 or If "Yes," complete Schedule L, Partl . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25b Was a loan to or by a current or former officer, director, trustee, key employee, highly compensated employee, or disqualified person outstanding as of the end of the organization's tax year'? If "Yes," complete Schedule Part II . 26 Did the organization provide a grant or other assistance to an officer, director, trustee, key employee, substantial contributor, or a grant selection committee member, or to a person related to such an individual? If "Yes, complete Schedule Part . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 Was the organization a party to a business transaction with one of the following parties (see Schedule Part IV instructions for applicable filing thresholds, conditions, and exceptions) 3* A current or former officer, director, trustee, or key employee'? If "Yes, complete Schedule L, Part family member of a current or former officer, director, trustee, or key employee'? If "Yes," complete Schedule Part entity of which a current or former officer, director, trustee, or key employee of the organization (or a family member) was an officer, director, trustee, or direct or indirect owner'? If "Yes," complete Schedule Partlv . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28c Did the organization receive more than $25,000 in non--cash contributions'? If "Yes," complete Schedule 29 Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions'? If "Yes, "complete Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 Did the organization liquidate, terminate, or dissolve and cease operations'? If "Yes," complete Schedule N, Partl . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If "Yes," complete Schedule IV, Part Did the organization own 100% of an entity disregarded as separate from the organization under Regulations sections 301 77012 and 301 7701-3'? If "Yes, "complete Schedule Partl . . . . . . . . . . . . . . . . . . . . . 33 Was the organization related to any tax--exempt or taxable entity'? If "Yes," complete Schedule Parts II, and V, lrne any related organization a controlled entity within the meaning of section If "Yes," complete Schedule R, Pan' V, line Section 501(c)(3) organizations. Did the organization make any transfers to an exempt non-charitable related organization'? If "Yes, complete Schedule Part V, line Did the organization conduct more than 5% of its activities through an entity that is not a related organization and that is treated as a partnership for federal income tax purposes'? If "Yes," complete Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 Did the organization complete Schedule 0 and provide explanations in Schedule 0 for Part lines 11 and 19'? Note. All Form 990 filers are required to complete Schedule JSA 9E1030 2 000 K41-103K M261 Form 990 (2009) PAGE 4 Form 99o'(2oo9) l3--36l5533 Page 5 Statements Regarding Other IRS Filings and Tax Compliance 1a Enter the number reported in Box 3 of Form 1096, Annual Summary and Transmittal of US Information Retums Enter-0-if not applicable 1a Enter the number of Forms W-2G included in line 1a Enter -0- if not applicable 1 Did the organization comply with backup withholding rules for reportable payments to vendors and reportable 9amlTl9 Prize WinnersEnter the number of employees reported on Fonn W-3, Transmittal of Wage and Tax Statements, filed for the calendar year ending with or within the year covered by this return If at least one is reported on line 2a, did the organization file all required federal employment tax retums'? Note. If the sum of lines 1a and 2a is greater than 250, you may be required to e-file this return (see instructions) 3a Did the organization have unrelated business gross income of $1,000 or more during the year covered by this return"Yes," has it filed a Form 990--T for this year'? If "No, "provide an explanation in Schedule 0 3b 4a At any time during the calendar year, did the organization have an interest in, or a signature or other authority over, a financial account in a foreign country (such as a bank account, securities account, or other financial account"Yes," enter the name of the foreign country' IRELAND See the instructions for exceptions and filing requirements for Fonn TD 90-221, Report of Foreign Bank and Financial Accounts 5a Was the organization a party to a prohibited tax shelter transaction at any time during the tax yeaf? 5a Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction'? 5b If "Yes," to question 5a or 5b, did the organization file Fonn 8886--T, Disclosure by Tax-Exempt Entity Regarding PTOh|b|Ted TEX She|ie|'Tl'anS3Ctl0nDoes the organization have annual gross receipts that are normally greater than $100,000, and did the organization solicit any contributions that were not tax deductible'? 6a If "Yes," did the organization include with every solicitation an express statement that such contributions or gifts were not tax deductibleOrganizations that may receive deductible contributions under section 170(c). a Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods and Se|'Vl0eS PT0V|ded t0 the PaY0f"Yes," did the organization notify the donor of the value of the goods or services provided'? Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required to file Fonn 8282"Yes," indicate the number of Forms 8282 filed during the year Did the organization, during the year, receive any funds, directly or indirectly, to pay premiums on a personal benefit contractDid the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract'? 71' 9 For all contributions of qualified intellectual property, did the organization file Form 8899 as required'? For contributions of cars, boats, airplanes, and other vehicles, did the organization file a Fonn 1098--C as requiredSponsoring organizations maintaining donor advised funds and section 509(a)(3) supporting . organizations. Did the supporting organization, or a donor advised fund maintained by a sponsoring organization, have excess business holdings at any time during the yeaf? 9 Sponsoring organizations maintaining donor advised funds. :1 Did the organization make any taxable distributions under section 4966'? Did the organization make a distribution to a donor, donor advisor, or related person? 10 Section 501(c)(7) organizations. Enter a Initiation fees and capital contributions included on Part line 12 10a Gross receipts, included on Form 990, Part line 12, for public use of club facilities 10b 11 Section 501(c)(12) organizations. Enter a Gross income from members or shareholders Gross income from other sources (Do not net amounts due or paid to other sources against amounts due or received from them 11 12a Section 4947(a)(1) non-exempt charitable trusts. Is the organization filing Fonn 990 in lieu of Fonn 1041'? If "Yes," enter the amount of tax-exempt interest received or accrued dunng the year . . . . .i12bI 11a Form 990 (2009) JSA 9510402000 K4H03K M261 PAGE 5 Form 99oi2oo9) 13-3615533 'pages Governance, Management, and Disclosure For each "Yes" response to lines 2 through 7b below, and fora "No" response to line 8a, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule 0. See instructions. Section A. Governing Body and Management 1a Enter the number of voting members of the governing body . . . . . . . . . . . . . . . . . . . 13 17 7' Enter the number of voting members that are independent . . . . . . . . . . . . . . . . . . . . 1b 1 6 I 2 Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other officer, director, trustee, or key employeeDid the organization delegate control over management duties customarily performed by or under the direct supervision of officers, directors or trustees, or key employees to a management company or other person'? . . . 3 4 Did the organization make any significant changes to its organizational documents since the pnor Form 990 was filedDid the organization become aware during the year of a material diversion of the organization's assetsDoes the organization have members or stockholdersDoes the organization have members, stockholders, or other persons who may elect one or more members of the governing bodyAre any decisions of the governing body subject to approval by members, stockholders, or other persons'? . . . . 8 Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following: a The governing bodyEach committee with authority to act on behalf of the governing bodythere any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at the organization's mailing address'? if "Yes, "provide the names and addresses in Schedule Section B. Policies (This Section requests information about policies not required by the lntemal Revenue Code.) Yes No 1 0a Does the organization have local chapters, branches, or affi|iates"Yes," does the organization have written policies and procedures governing the activities of such chapters, affiliates, and branches to ensure their operations are consistent with those of the organizationHas the organization provided a copy of this Form 990 to all members of its governing body before filing the formDescribe in Schedule 0 the process, if any, used by the organization to review this Form 990 5 1 2a Does the organization have a written conflict of interest policy'? If go to line 123 Are officers, directors or trustees, and key employees required to disclose annually interests that could give rise to confiicts12b Does the organization regularly and consistently monitor and enforce compliance with the policy? If "Yes, describe in Schedule 0 how this is done . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12? 13 Does the organization have a written whistleblower policyDoes the organization have a written document retention and destruction policyDid the process for determining compensation of the following persons include a review and approval by independent persons, comparability data, and contemporaneous substantiation of the deliberation and decision? a The organization's CEO, Executive Director, or top management official . . . . . . . . . . . . . . . . . . . . . . . 15a Other officers or key employees of the organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . if "Yes" to line 15a or 15b, describe the process in Schedule 0 (See instructions) 16a Did the organization invest in, contribute assets to, or participate in a Joint venture or similar arrangement .. with a taxable entity during the year"Yes," has the organization adopted a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangements under applicable federal tax law, and taken steps to safeguard the organization's exempt status with respect to such arrangements16b Section C. Disclosure 1 7 List the states with which a copy of this Form 990 is required to be filed 1 8 Section 6104 requires an organization to make its Forms 1023 (or 1024 if applicable), 990, and 990-T (501(c)(3)s only) available for public ins ection Indicate how you make these available Check all that apply Own website IE Another's website Upon request 19 Describe in Schedule 0 whether (and if so, how), the organization makes its governing documents, conflict of interest policy, and financial statements available to the public 20 State the name, physical address, and telephone number of the person who possesses the books and records of me orgamzatlm ORGANIZATION, 6 WEST 48TH STREET, 10TH FL. NY, NY 10036 212-812-4330 JSA Fm" 990 (2009) K41-103K M261 PAGE 6 I .I 9 Form 990 (2003) 13-3615533 Compensation of Officers, Directors, Trustees, Key Employees, Highest Compensated Employees, and Independent Contractors Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Erimloyees 1a Complete this table for all persons required to be listed Report compensation for the calendar year ending with or within the organization's tax year Use Schedule J-2 if additional space is needed 0 List all of the organization's current officers, directors, trustees (whether individuals or organizations), regardless of amount of compensation Enter -0- in columns (D), (E), and (F) if no compensation was paid List all of the organization's current key employees See instructions for definition of "key employee List the organization's five current highest compensated employees (other than an officer, director, trustee, or key employee) who received reportable compensation (Box 5 of F0l'lTl W-2 and/or Box 7 of Fonri of more than $100,000 from the organization and any related organizations 0 List all of the organization's former officers, key employees, and highest compensated employees who received more than $100,000 of reportable compensation from the organization and any related organizations List all of the organization's former directors or trustees that received, in the capacity as a former director or trustee of the organization, more than $10,000 of reportable compensation from the organization and any related organizations. Page 7 List persons in the following order' individual trustees or directors, institutional trustees; officers; compensated employees, and former such persons I: check this box if the organization did not compensate any current officer, director, or trustee. key employees, highest (A) (B) (C) (D) (E) (F) Name and Title Average Position (checkallthatapply) Reportable Reportable Estimated hours per 9, 5 g; 3 55!: 3 compensation compensation amount of week 9 2 3 5 :r 3 from from related other 9 5- 2 3 12 3 the organizations compensation E, i organization from the 5 3 -3 (W-211099-MISC) organization a, 3 and related 0 5; organizations MELISSA A. BERMAN 35.00 350,005. 0 59,715. KEVIN P.A. BRODERICK 1.00 0. 0 0. STUART P. DAVIDSON 1.00 0. 0 0. ANNE BARTLEY "fifiifi?f?fi 1.00 0. 0 0. RIEN VAN GENDT 1.00 0. 0 0. CATHY FRANK HALSTEAD 'i3fiiEURc"f6fi 1.00 0. 0 0. JESSE D. JOHNSON '6friEE=E6? 1.00 0. 0 0. DIRECTOR 1.00 0. 0 O. SHARON KING 1.00 0. 0 0. ABBY M. 1.00 0. 0 0. MARNIE S. PILLBURY Bffifi?f?fi 1.00 0. 0 0. CLAYTON A. ROCKEFELLER "fiffifi?f?fi 1.00 0. 0 0. MICHAEL ROCKEFELLER 1.00 0. 0 0. SHARON P. ROCKEFELLER 'iifiifi?f?fi 1.00 0. 0 0. STUART ROCKEFELLER 1.00 0. 0 0. ROBERT K. ROSS 'i5fpTETEf6ii 1.00 0. 0 0. 45,; Form 990 (2009) 9E1041 3 000 K4H03K M261 PAGE 7 Form 990 (2069) l3--36l5533 P3938 Section A. Officers, Directors, Trustees. Ke Employees, and Highest Compensated Employees (continued) (A) (B) (C) (D) (E) (F) Name and title Average Position (check all that apply) Reportable Reportable Estimated hours per 9, gt 3 6; 31 compensation compensation amount of week 3 3 7; 2 5; from from related other 3 3 -g 9, 9; the organizations compensation 9. 3' organization from the 3 (w-2/1099-Misc) E, organizations Q. VALERIE . WAYNE '0'fi>TE'c'T'o'DOUGLAS . BAUER 35.00 101,438. 0. 44,951. CHRIS PAGE 35 . 00 213, 4 13. 0. 54 322. JUDY BELK-PEEKS 35.00 214, 095. 0. 54, 769. YOLANDA ARIAS-BROWNELL 35.00 107,807. 0. 32,274. DONNA L. CHRISTIE 35.00 102,500. 0. 31,737. TRAVIS CAREY 35. 00 60, 692. 0. 9, 578. MARJORIE MCANDREWS 35. 00 40, 462. 0. 442. JESSICA CHAO 35.00 178, 915. 0. 50, 518. ANNE SLOANE 35.00 148, 625. 0. 20, 392. MICHAEL SHELLENBERGER 35.00 140,000. 0. 1,528. RICH MCKEON 35.00 123,000. 0. 42,686. WALTER SWEET 35.00 123,000. 0. 35,285. 1bT0ta1r903r952- 0- 439r197- 2 Total number of individuals (including but not limited to those listed above) who received more than $100,000 in reportable compensation from the organization 5 3 Did the organization list any former officer, director or trustee, key employee, or highest compensated employee on line 1a'? If "Yes, "complete Schedule for such individual . . . . . . . . . . . . . . . . . . . 4 For any individual listed on line 1a, is the sum of reportable compensation and other compensation from the organization and related organizations greater than $150,000'? If "Yes," complete Schedule for such individual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Did any person listed on line 1a receive or accrue compensation from any unrelated organization for services rendered to the organization? If "Yes," complete Schedule for such person . . . . . . . . . . . . . . . . . . Section B. Independent Contractors 1 Complete this table for your five highest compensated independent contractors that received more than $100.000 of compensation from the organization (0) Name and business address Description of services Compensation ATTACHMENT 3 2 Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 in compensation from the organization 1 5 JSA Fonn 990 (2009) 9510502000 K4HO3K M261 PAGE 8 Fonn 990 (2009) Page9 I Statement of Revenue 13-3 615533 (Al (3) (C) (D) I Tetai revenue Related or Unrelated Revenue exempt busrness excluded from tax 4 - 1 function revenue under sectlons revenue 512. 513, or 514 gs 1a Federatedcampa1gnsFundraising events . . . . . . . . . 1C 'Eng 11 Related organizations . . . . . . . . 1d Government grants (contnbutions). . 16 2-155-179 3 All other contnbutions, grits, grants. Q3 33 and similar amounts notinduded above . 1' 27'351'"3 53 Noncash contnbutions induded in lines1a-1f' ._41 5 Tota|.Add lines 1a-29,507,357 _g Business Code 5 -. F4 23 ADVISORY FEES 5,116,901 5,116,901. 1: SPONSORSHIP FEES 505,000 505,000. In E, 1' All other program service revenue . . . . . 5 . . n. 9 Total. Add lines 2a-5,621,901. mg 3 Investment income (including dividends, interest, and othersimilaramounts315r529- 915:5"- 4 lncome from investment of tax-exempt bond proceeds . . . 0- 5 N0. luv' '4 G)Rem m)Pmsonm w'N' -R: 3 Ba Gross RentsLess rentalexpenses . . . fi wP_ .mjg;; 11., . 1: Rental income or (lossgnome 2. ji 7a Gross amount from sales of 1, r, - . 7,385,693. 29- 33;' assets other than inventory . gin' Less: cost or other basis 1 and sales expenses . . . . 7-400159" -- [ti Gain or(loss-1-1,991 44,99? .r?1 .. 8a Gross Income from fundraising i?f - - - 1- 5 events (not including 3 of contributions reported on line1cSee PartlV,l1ne18 . . . . . . . . . . . a 5 - 0 Net income or (loss) from fundraising events . . . . . . . . 0 9a Gross income from gaming activities. ME. SeePartIV.IIne19 . . . . . . . . . .. a if Net income or (loss) from gaming actiwties10a Gross sales of inventory, less ,1 retums and allowances a Less'costofgoodssom .. .. . .. .. Net income or (loss) from sales of inventoryMiscellaneous Revenue Business Code 7' -4 113 CANCELLED GRANTS 141,000 141,000. uxsc. INCOME 532,294 532,294 Total.Addlines11a-11d - - - - - - - - - - - - - - - - - 5 573129" I 12 Total Revenue. See instructaons36,603,089. 6,295,195 300,531 Form 990 (2009) EA 9510511 000 M261 9 Fonn 99o"(2oo9) 13--3615533 Page10 Statement of Functional Expenses Section 501(c)(3) and 501(c)(4) organizations must complete all columns. All other organizations must complete column (A) but are not required to complete columns (B), (C Do not include amounts reported on lines Gb, (B) (C3 if'! 71Grants and other assistance to governments and organizations in the See Part IV, line 21 Grants and other assistance to individuals in the See Part N, line 22 Grants and other assistance to governments. organizations, and individuals outside the US SeePartlV.|ines15and16 Benefits paid to or for members Compensation of current officers, directors. trustees, and key employees Compensation not included above. to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) Other salanes and wages . . . . . . . . Pension plan contnbutions (include section 401(k) and section 403(b) employer contributions) . . . Other employee benefits . . . . . . . . . . . . Payroll taxes . . . . . . . . . . . . . . . . . . Fees for senzices (non-employees) Management . . . . . . . . . . . . . . . . . Legal . . . . . . . . . . . . . . . . . . . . . Accounting . . . . . . . . . . . . . . . . . . Lobbying . . . . . . . . . . . . . . . . . . . Professional fundraising services See Part IV. line 17 Investment management fees . . . . . . . . . Other . . . . . . . . . . . . . . . . . . . . . Advertising and promotion . . . . . . . . . . . Office expenses . . . . . . . . . . . . . . . . Information technologyRoyalties . . . . . . . . . . . . . . . . . . . . Occupancy . . . . . . . . . . . . . . . . . . Travel . . . . . . . . . . . . . . . . . . . . . Payments of travel or entertainment expenses for any federal, state. or local public officials Conferences, conventions, and meetings . Interest . . . . . . . . . . . . . . . . . . . . Payments to affiliates . . . . . . . . . . . . . Depreciation, depletion, and amortization . . . . Insurance . . . . . . . . . . . . . . . . . . . Other expenses itemize expenses not covered above (Expenses grouped together and labeled miscellaneous may not exceed 5% of total expenses shown on line 25 below) a 13, 684,589. 13, 684,589. 0. 3,821,392. 3,821,392. 0- 1,478,200. 1,217,023. 205,402. 55,775 0. 3,934,902. 3,256,131. 534,360. 144,411. 265,810. 214,243. 40,403. 11,164. 665,621. 536,490. 101,175. 27,956. 351,132. 283,012. 53,372. 14,748. 0. 208,143. 156,107. 52,036. 104,744. 78,558. 26,186. 0. 0 . :5 20,000. 18,070. 1,930. 3,052,830. 2,744,959. 307,871. 0. 990,960. 748,470. 196,805. 45,685. 126,369. 94,777. 25,274. 6,318. 0. 1,467,078. 1,132,584. 267,008. 67,486. 182,053. 141,091. 40,962. 0. 0. 124,374. 93,280. 24,876. 6,218 397,723. 106,060. . . . 4 51,212. i,4?1,7921 31,481,792. - All other eiqaenses 25 Total functional expenses. Add lines 1 through 24f 26 Joint Costs. Check here I I if following SOP 98-2. Complete this line only if the organization reported in column (B) joint costs from a combined educational campaign and fundraising solicitation 5,104. 3,828. 1,276 69,495. 69,495. 7,918. 5,938. 1,980. 32,641,086. 30,161,269. 2,000,632. 479,185. JSA QE1052 1 000 K4H03K M261 Fonri 990 (2009) PAGE 10 Fomi 99012009) 13-3615533 Balance Sheet (A) (3) Beginning of year End of year 1 C350 - . . . . . . . . . . . . . . . . . . . . . . . . . . . Savings and temporary cash investments . . 15,515,751- 2 18,282,776. 3 Pledges and grants receivableAccounts receivable393- 034- 4 5 Receivables from current and former officers, directors, trustees, key 'ff 7 "5 employees, and highest compensated employees Complete Part II of Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Receivables from other disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B). Complete Part 1| of Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13;' 7 Notes and loans receivable||'iVent0FieS10F 3-319 Prepaid expenses and deferred charges 10a Land, buildings, and equipment cost or 10a 3, 489, 703- - 3 other basis. Complete Part VI of Schedule L, Less:accumulateddepreciation 10b 1,099,792. 2,607,795-10c 2,389,911- 11 Investments - publicly traded securities . . . . . . . . . . . . . . . . . . . . . 1 9: 833Investments - other securities See Part N, line Investments - program-related. See Part IV, line Intangible assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 15 Other assets See Part N, line Total assets. Add lines1through 15(must equal line 34) . . . . 42,365,149- 16 48,792,085- 1 7 Accounts payable and accrued expenses Grantspayable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 3-715-205-18 2-004-005- 19 Deferred revenue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 bond liabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 21 Escrow or custodial account liability Complete Part of Schedule 22 Payables to current and former officers, directors, trustees, key employees, highest compensated employees, and disqualified -4 persons. Complete Part II of Schedule 23 Secured mortgages and notes payable to unrelated third parties Unsecured notes and loans payable to unrelated third parties 24 25 Other liabilities Complete Part of Schedule 1 153 7 59- 25 805, 7 47 - 26 Total liabilities. Add lines 17 through 25 8 155 2 97 - Organizations that follow SFAS 117, check here EJ and 3 complete lines 27 through 29, and lines 33 and 34. 27 Unrestricted net assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 Temporarily restricted net assets 'g 29 Permanently restricted net assets Organizations that do not follow SFAS 117, check here *5 and complete lines 30 through 34. .3 30 Capital stock or trust principal, or current funds 3 31 Paid-in or capital surplus. or land, building, or equipment fund 32 Retained earnings, endowment, accumulated income, or other funds 33 Total netassetsorfundbalances 34,2l0,852- 33 43,110,836- 34 Total liabilities and net assetslfund balances Fonn 990 (2009) JSA 9E1053 1 000 K41-103K M261 PAGE 11 Form 990 '(2ou9) Schedule 0. Page 1 2 Financial Statements and Reporting Yes No 1 Accounting method used to prepare the Form 990' [3 Cash Accrual Other "ff! If the organization changed its method of accounting from a prior year or checked "Other," explain in 2a Were the organization's financial statements compiled or reviewed by an independent accountant'? 23 Were the organization's financial statements audited by an independent accountant'? 21, If "Yes" to line 2a or 2b, does the organization have a committee that assumes responsibility for oversight of the audit, review, or compilation of its financial statements and selection of an independent accountant'? If the organization changed either its oversight process or selection process during the tax year, explain in Schedule 0 If "Yes" to line 2a or 2b, check a box below to indicate whether the financial statements for the year were issued on a consolidated basis, separate basis, or both Separate basis Consolidated basis I: Both consolidated and separate basis 3a As a result of a federal award, was the organization required to undergo an audit or audits as set forth in the Single Audit Act and OMB . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . If "Yes," did the organization undergo the required audit or audits'? If the organization did not undergo the required audit or audits, explain why in Schedule 0 and describe any steps taken to undergo such audits 3bX JSA 9E10542000 K41-IO 3K M2 61 Form 9 90 (2009) PAGE 1 2 SCHEDULE A . . . CBMB No 1545-0047 (mm 990 0, Public Charity Status and Public Support Complete if the organization is a section 501(c)(3) organization or a section 4947(a)(1) nonexempt charitable trust. Open to Public of th Attach to Form 990 or Form 990-E2. See separate if'I5trUCI'lOl'!S. Inspection Name of the organization Employer identification number ROCKEFELLER PHILANTHROPY ADVISORS, INC. 13-3615533 Part I Reason for Public Charity Status (All organizations must complete this part.) See instructions. The organization is not a private foundation because it IS (For lines 1 through 11. check only one box) A church, convention of churches, or association of churches descnbed in section A school described in section (Attach Schedule E) A hospital or a cooperative hospital service organization descnbed in section A medical research organization operated in with a hospital described in section Enter the hospital's name, city. and state An organization operated for the benefit of a college or university oi/vned--o--r operated by a governmental unit described in section (Complete Part II) A federal, state, or local government or governmental unit descnbed in section An organization that normally receives a substantial part of its support from a governmental unit or from the general public described in section (Complete Part ll) A community trust described in section (Complete Part II An organization that normally receives' (1) more than of its support from contributions, membership fees, and gross receipts from activities related to its exempt functions - subject to certain exceptions, and (2) no more than 331/395 of its support from gross investment income and unrelated business taxable income (less section 511 tax) from businesses acquired by the organization after June 30, 1975 See section 509(a)(2). (Complete Part An organization organized and operated exclusively to test for public safety See section 509(a)(4). An organization organized and operated exclusively for the benefit of, to perform the functions of, or to carry out the purposes of one or more publicly supported organizations described in section 509(a)(1) or section 509(a)(2). See section 509(a)(3). Check the box that describes the type of supporting organization and complete lines 11e through 1 1h. a Type I Type II Type - Functionally integrated Type - Other By checking this box, I certify that the organization IS not controlled directly or indirectly by one or more disqualified persons other than foundation managers and other than one or more publicly supported organizations described in section 509(a)(1) or section 509(a)(2). D: 10 11 If the organization received a written determination from the that it is a Type I, Type II, or Type supporting organization. Check this . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Since August 17, 2006, has the organization accepted any gift or contribution from any of the following persons? A person who directly or indirectly controls, either alone or together with persons described in (ii) Yes No and below, the governing body of the supported organization'? Hell) (ii) A family member of a person descnbed in above'? 'I19(ii) A 35% controlled entity of a person described in or (ii) above'? Provide the following information about the supported organization(s) Name of supported (ii) Type of organization (iv) Is the organization Did you notify (vi) Is the (vii) Amount of organization (descnbed on lines 1-9 in col listed in your the organization in organization in col support above or IRC section governing document'? col of your organized in the (see instructions)) supportan-IS' Total a .2 For Privacy Act and Paperwork Reduction Act Notice. see the Instructions for Schedule A (Form 990 or 990-EZ) 2009 Form 990 or 990-EZ. JSA 9E12102000 K41-103K M261 PAGE. 13 Schedule-A (Form 990 or 990-EZ) 2009 13-3615533 Support Schedule for Organizations Described in Sections 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi) (Complete only if you checked the box on line 5, 7, or 8 of Part I) 'Page2 Section A. Public Support 1 Gifts, grants, contnbutions, and membership fees received (Do not Include any--unusualgrams--) 35,637,539 47,103,370. 59,934,792 41,337,115 29,507,357. 214,175,173. 2 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf . . . . . . . . . . . . . . . . 3 The value of services or facilities furnished by a governmental unit to the organization without charge . . . . . . . 4 3 35. 687,539 4,103,370. 9,934,792. 41,37,115. 9,507.3. 214,175,173 5 The portion of total contributions by each In 0 person (other than a governmental unit or 1 publicly supported organization) included 3 on line 1 that exceeds 2% of the amount shown on |ine11, column . . 63-930-509- 6 Public support. Subtract line 5 from line 4 150, 194. 664. Section B. Total Support Calendar year (or fiscal year beginning In) 5 2005 2006 2007 2008 2009 Total 7 Amounts 35,537,539. 47,103,370. 59,934,792 41,337,115 29,507,357 214,175,173. 8 Gross income from interest, dividends, payments received on secunties loans, rents, royalties and income from similar sources 1,573,931. 2,012,253. 2,190,331 1,432,939. 315,523. 3,075,065. 9 Net income from unrelated business activities, whether or not the business is regularly carried Other income Do not include gain or loss from the sale of capital assets (Explain in Part 203059 L?_5v991- 453-0 7 :34 1 1 Total 5'-'PPort. Add lines 7 through 10. . 12 Gross receipts from related activities, etc. (see instructions224 713' 3 9 5- 13 First five years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501(c)(3) organization, check this box and stop here . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . pl Section C. Computation of Public Support Percentage 14 Public support percentage for 2009 (iine 6, column (1) divided byline 11, column (0) 14 66 - 82 15 Public support percentage from 2008 Schedule A, Part II, line 14 15 67 - 09 16a 331I3?/o support test - 2009. If the organization did not check the box on line 13, and line 14 is 331r3% or more, check this box and stop here. The organization qualifies as a publicly supported organization . . 331i:i% support test - 2008. If the organization did not check a box on line 13 or 16a, and line 15 is 33173% or more, check this box and stop here. The organization qualifies as a supported organization . 17a 10%-facts-and-circumstances test -2009. If the organization did not check a box on line 13, 16a or 16b, and line 14 is 10% or more, and if the organization meets the "facts-and-circumstances" test, check this box and stop here. Explain in Part how the organization meets the "facts-and-circumstances" test. The organization qualifies as a publicly supported Ofganization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10%-facts-and-circumstances test - 2008. If the organization did not check a box on line 13, 16a, 16b, or 17a, and line 15 IS 10% or more, and if the organization meets the "facts-and-circumstances" test, check this box and stop here. Explain in Part IV how the organzation meets the "facts<Attach to Form 990 or Form 990-EZ. >See separate instructions Inspection If the organization answered "Yes," to Form 990, Part IV, line 3, or Form 990-Fl. Part VI, line 4-6 (Political Campaign Activities), then 0 organizations. Complete Parts I-A and Do not complete Part I-C 0 Section 501(c) (other than section 501(c)(3)) organizations Complete Parts I-A and below Do not complete Part I-B 0 Section 527 organizations Complete Part I-A only If the organization answered "Yes." to Form 990. Part IV, line 4, or Form 990-EZ. Part VI, line 47 (Lobbying Activities), then 0 Section 501(c)(3) organizations that have filed Form 5768 (election under section 501(h)) Complete Part ll--A Do not complete Part ll-B 0 Section 501(c)(3) organizations that have NOT filed orrn 5768 (election under section 501(h)). Complete Part II-B Do not complete Part ll-A If the organization answered "Yes." to Fonn 990. Part IV, line 5 (Proxy Tax), then 9 Section 501(c)(4), (5). or (6) organizations Complete Part Name of organization Employer identification number ROCKEFELLER PHILANTHROPY ADVISORS INC . 13-3 615533 Complete if the organization is exempt under section 501(c) or is a section 527 organization. 1 Provide a description of the organization's direct and indirect political campaign activities in Part 2 Political expenditures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 3 Volunteer hours Department of the Treasury Intemal Revenue Service Part Complete if the organization is exempt under section 501(c)(3). 1 Enter the amount of any excise tax incurred by the organization under section 4955 . . . . . 5 2 Enter the amount of any excise tax incurred by organization managers under section 4955 . . 3 If the organization incurred a section 4955 tax, did it file Form 4720 for this yearcorrection made"Yes." descnbe in Part Complete if the organization is exempt under section 501(c), except section 501(c)(3). 1 Enter the amount directly expended by the filing organization for section 527 exempt function activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Enter the amount of the filing organization's funds contributed to other organizations for section 527 exempt function activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 3 Total exempt function expenditures Add lines 1 and 2 Enter here and on Form 1120-POL, line 17b . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 4 Did the filing organization file Form 1120-POL for this year'? Yes No 5 Enter the names, addresses and employer identification number (EIN) of all section 52? political organizations to which payments were made. For each organization listed. enter the amount paid from the filing organization's funds. Also enter the amount of political contributions received that were and directly delivered to a separate political organization, such as a separate segregated fund or a political action committee (PAC) If additional space is needed, provide information in Part Name Address Amount paid from filing organization's funds If none, enter -0-. Amount of political contributions received and and directly delivered to a separate political organization If none, enter -0-. For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. 5ChedU|B 990 Of 990-51) 2009 JSA 9E1264 2 000 M261 PAGE 21 Schedule 0 (Fomi 990 or 990-EZ) 2009 Page 2 Complete if the organization is exempt under section 501(c)(3) and filed Form 5768 (election under section 501(h)). A Check if the filing organization belongs to an affiliated group Check if the filing organization checked boxA and ''limited control" provisions apply Limits on Lobbying Expenditures (3) Affihated (The term "expenditures" means amounts paid or incurred.) organization's totals group totals Total lobbying expenditures to influence public opinion (grass roots lobbying) 93 00 0 - Total lobbying expenditures to influence a legislative body (direct lobbying) 7 50 82 0 - Total lobbying expenditures (add lines 1a and 1b) 353 820 - Other exempt purpose expenditures . . . . . . . . . . . . . . . . . . . . . . . . . . . . Total exempt purpose expenditures (add lines Lobbying nontaxable amount Enter the amount from the follovinng table in both columns If the amount on line 1e, column or is: The lobbying nontaxable amount is: Not over $500,000 20% of the amount on line 1e Over $500,000 but not over $1,000,000 $100,000 plus 15% of the excess over $500,000 Over $1,000,000 but not over $1,500,000 $175,000 plus 10% of the excess over $1,000,000 133-'- Over $1,500,000 but not over $17,000,000 $225,000 plus 5% of the excess over $1,500,000 Over $17,000,000 $1,000,000 Grassroots nontaxable amount (enter 25% of line 1f) Subtract line 1g from line 1a If zero or less, enter-0- Subtract line 1f from line 1c If zero or less, enter-0- If these is an amount other than zero on either line 1h or line 1i, did the organization file Form 4720 reporting section 4911 tax for this year4-Year Averaging Period Under Section 501(h) (Some organizations that made a section 501(h) election do not have to complete all of the five columns below. See the instructions for lines 2a through 2f on page 4.) Lobbying Expenditures During 4-Year Averaging Period Calendar year (or fiscal year 2006 2007 beginning in) 2008 2009 Total 2a Lobbying non-taxable amount 1,000,000. 1,000,000. 1,000,000. 4,000,000. Lobbying ceiling amount .. :1 . (150% of line 2a, column 564,300. 438,000. 587,500. 853,820. 2,443,620. 250,000. 250,000. 250,000. 250,000. 1,000,000. Grassroots ceiling amount (150% of line 2d, column 61,000. 15,000. 130,000. 93,000. 299,000. Schedule (Form 990 or 990-52) 2009 JSA 9E1265 1 000 K4H03K M261 PAGE 22 Schedule (Form 990 or 990-EZ) 2009 Page 3 Part ll-B Complete if the organization is exempt under section 501(c)(3) and has NOT filed Form 5768 (election under section 501(h)). (3) lb) Yes No Amount 1 During the year, did the filing organization attempt to influence foreign, national, state or local legislation, including any attempt to influence public opinion on a legislative matter or referendum, through the use of a Volunteers'? Paid staff or 'cornp'ehsation'iri' expenses 're'porte'cl 'oh lines 'l'c'throi.'iglti . - . . . . - . . - - - . - - . . - . - . - - - . . - - . . - - . - - - - . Mailings to members, legislators, or the public? Publications, or published or broadcast statements'? I I I Grants to other organizations for lobbying purposes'?'_ Direct contact with legislators, their staffs, government officials, or a legislative body? Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means'?_ i Other activities'? If "Yes," describe in Part 1 Total Add llnes Did the activities in line 1 cause the organization to be not described in section 501(c)(3)? if "Yes," enter the amount of any tax incurred under section 4912 If "Yes," enter the amount of any tax incurred by organization managers under section 4912 If the filing organization incurred a section 4912 tax, did it file Form 4720 for this year? . . . . . Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 5o1ici(?L Yes No 1 Were substantially all (90% or more) dues received nondeductible by members? 1 2 Did the organization make only in-house lobbying expenditures of $2,000 or less?' I I I 3 Did the organization agree to carryover lobbying and political expenditures from th'e'prior'yeai"? . . 3 Part Ill-B Complete if the organization is exempt under section 501(c)(4), section 501(c)(5). or section 501(c)(6) if BOTH Part lines 1 and 2 are answered "No" OR it Part line 3 is answered "Yes." 1 Dues, assessments and similar amounts from members 1 2 Section 162(e) nondeductible lobbying and political expenditures (do not include amounts of political expenses for which the section 527(f) tax was paid). a Cuttelltyeal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 Carryover from last year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2b 6 Total . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 3 Aggregate amount reported in section 6033(e)(1)(A) notices of nondeductible section 162(e) dues 3 4 If notices were sent and the amount on line 2c exceeds the amount on line 3, what portion of the excess does the organization agree to carryover to the reasonable estimate of nondeductible lobbying and political expenditure next . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 5 Taxable amount of lobbying and political expenditures (see instructionsSupplemental information Complete this part to provide the descriptions required for Part l--A line 1; Part l-B, line 4; Part l-C, line 5, and Part ll-B, line 1i Also, complete this part for any additional information -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- . -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- --.. -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- -- JSA Schedule (Form 990 or 9930-52) 2009 9E12661DO0 K4H03K M261 23 Schedule (Form 990 or990-EZ) 2009 13--3615533 page 4 Part IV Supplemental Information (continued) JSA Schedule (Form 990 or 990-EZ) 2009 9E126T1000 K4H03K M261 PAGE 24 SCHEDULE Supplemental Financial Statements (Form 990) Complete if the organization answered "Yes," to Fonn 990, Part IV, line 6, 7,8, 9, 10, 11, or 12. Department of the Treasury Open to Public mama, Revenue Senfice Attach to Form 990. See separate instructions. Name of the organization Einplciyer identification number ROCKE FELLER PI-IILANTHROPY ADVI SORS INC . 1 3-3 61 5 533 Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete if the organization answered "Yes" to Form 990, Part IV, line 6 Donor advised funds Funds and other accounts 1 Total number at end of year . . . . . . . . . . . 104 2 Aggregate contributions to (during yearAggregate grants from (dunng yearAggregate value at end of year . . . . . . . . . Did the organization inform all donors and donor advisors in writing that the assets held in donor advised funds are the organization's property, subject to the organization's exclusive legal controlDid the organization inform all grantees, donors, and donor advisors in writing that grant funds can be used only for charitable purposes and not for the benefit of the donor or donor advisor, or for any other PUFPOSB impermissible b9nefiTConservation Easements. Complete if the oLqanization answered "Yes" to Form 990, Part IV, line 7. 1 Pur ose(s) of conservation easements held by the organization (check all that apply) Preservation of land for public use (e recreation or pleasure) Preservation of an historically important land area Protection of natural habitat Preservation of a certified historic structure Preservation of open space 2 Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last day of the tax year Held at the End of the Year a Total number of conservation easements . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2a Total acreage restricted by conservation easements . . . . . . . . . . . . . . . . . . . . . . 2b Number of conservation easements on a certified historic structure included Number of conservation easements included in acquired after 8/17/Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization dunng the tax year 4 Number of states where property subject to conservation easement is located 5 Does the organization have a written policy regarding the periodic monitoring, inspection, handling of violations, and enforcement of the conservation easements it holdsStaff and volunteer hours devoted to monitoring, inspecting, and enforcing conservation easements dunng the year 7 Amount of expenses incurred in monitoring, inspecting, and enforcing conservation easements dunng the year 8 Does each conservation easement reported on line 2(d) above satisfy the requirements of section and . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I: Yes No 9 In Part XIV, describe how the organization reports conservation easements in its revenue and expense statement, and balance sheet, and include, if applicable, the text of the footnote to the organization's financial statements that descnbes the or anization's accountin for conservation easements Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets. Complete if the organization answered "Yes" to Form 990, Part IV, line 8. 1a If the organization elected, as permitted under SFAS 116, not to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for ublic exhibition, education, or research in furtherance of public service, provide, in Part XIV, the text of the footnote to its financia statements that descnbes these items If the organization elected, as permitted under SFAS 116, to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide the following amounts relating to these items Revenues included in Form 990, Part line (ii) Assets included in Form 990, Partthe organization received or held works of art, historical treasures, or other similar assets for financial gain, provide the following amounts required to be reported under SFAS 1 16 relating to these items a Revenues included in Form 990, Part line Assets included in Form 990, PartX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Fonn 990. Schedule (Fonn 990) 2009 JSA QE1268 2 K41-103K M261 25 ScheduIe"D (Form 990) 2009 Part Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued) Page2 Loan or exchange programs Other Using the organization's acquisition, accession, and other records, check any of the following that are a significant use of its collection items (check all that apply) Public exhibition Scholarly research Preservation for future generations Provide a description of the organization's collections and explain how they further the organization's exempt purpose in Part XIV During the year, did the organization solicit or receive donations of art, historical treasures, or other similar assets to be sold to raise funds rather than to be maintained as part of the organization's collectionYes Escrow and Custodial Arrangements. Complete if the organization answered "Yes" to Form 990, Part IV, line 9, or reported an amount on Form 990, Part X, line 21 l--lNo 1a is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not included on Form 990, Part "Yes," explain the arrangement in Part XN and complete the following table: Amount Beginning balance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Additions during the year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1d Distributions during the year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1e Ending balance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1f 2a Did the organization include an amount on Form 990, Part X, line 21'? If "Yes," explain the arrangement in Part XN. Endowment Funds. Complete if organization answered "Yes" to Form 990, Part IV, line 10 Current Year Pnor year Two years back Three years back Four years back 1a Beginning of year balance . . . . 3, 025, 535_ 5, 831, 04513,531, 22' 320,4g6_ K: x, Net investment earnings, gains, ""3531, gig': - and IOSSES . . . . . . . . . . . . . 329, 154 -1, 303 533 3' V-5 flak', - Grants or scholarships . . . . . . 5 ,3 I Other expenditures for facilities . 'r 3 5 .- fr; and programs . . . . . . . . . . . 10, 571, 545_ 24_ 3,2, 312_ ,3 Administrative expenses . . . . . 3 7: 3 3 3, 3 End ofyear balance . . . . . . . . 11,754,734_ 3,025,595 3 r_ 2 Provide the estimated percentage of the year end balance held as a Board designated or quasi-endowment Permanent endowment 6 Term endowment 5 100 . 0000 3a Are there endowment funds not in the possession of the organization that are held and administered for the organization by Yes No unrelated organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3a(i) (ii) related organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3a(ii) If "Yes" to 3a(ii), are the related organizations listed as required on Schedule . . . . . . . . . . . . . . . . . . 3b 4 Describe in Part XIV the intended uses of the organization's endowment funds Investments - Land, Buildings, and Equipment. See Form 990, Part X, line 10 of investment (at) Cost or other basis Cost or other Accumulated Book value (investment) basis (other) depreciation 1a Land . . . . . . . . . . . . . . . . . . . . . Buildings . . . . . . . . . . . . . . . . . . Leasehold improvements . . . . . . . . .. 1,509,967. 188,279. 1,321,688. Equipment . . . . . . . . . . . . . . . .. 1,979,736. 911,513. 1,068,223. Other . . . . . . . . . . . . . . . . . . . . Total. Add lines 'la through 1e (Column must equal Form 990, Pan' X, column (B), line 10(Schedule (Fon11 990) zoos JSA 9E12691 000 K4HO3K M261 PAGE 26 Scheduleb (Form 960) 2009 13--3615533 Page 3 Part VII Investments - Other Securities. See Form 990. Part X, line 12. Description of security or category Book value Method of valuation (including name of secunty) Cost or end-of-year market value Financial derivatives Closely-held, equity interests Other Total. (Column must equal Form 990, Partx, cor (Bjline 12) 1 7 Part Investments - Program Related. See Form 990. Part X, line 13. Description of investment type Book value Method of valuation Cost or end-of-year market value Total. (Column must equai'Form 99o, PartX, cor (B) fine13) Other Assets. See Form 990, Part X, line 15 Description Book value Total. (Column must equal Fon'n 990, Partx, ool (B) line 15 . . . . Part Other Liabilities. See Form 990, Part X, line 25 1 . Description of liability Amount . fig Federal income taxes DEFERRED RENT 805,747.,' *5~3 E: . -- .- 53Total. (Column rnust equal Form 990, ParfX, col (e)iine 25'zit 57;- - 2. FIN 48 Footnote In Part XIV, provide the text of the footnote to the organization's financial statements that reports the organization's liability for uncertain tax positions under FIN 48 951%", 000 Schedule in (Form 990) zoos K4H03K M261 PAGE 27 scheduieo (Form ?9o)2oo9 13-3615533 Reconciliation of Change in Net Assets from Form 990 to Audited Financial Statements Page 4 1 Total revenue (Form 990, Part column (A), line 12) 1 36; 603. 089. 2 Total expenses (Form 990, Part IX, column (A), line 25Excess or'(deficit) for the year. Subtract line 2 from line Net _unreaIized gains (losses) on investments Donated services and use of facilities 5 5 l"Ve5tm em expensePrior period adiustrrierits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 8 Other (Describe in Part XIV385i 7 2 5- 9 Total adjustments (net) Add lines 4 through Excess or (deficit) for the year per audited financial statements Combine lines Reconciliation of Revenue per Audited Financial Statements With Revenue per Return 1 Total revenue, gains, and other support per audited financial statements Amounts included on line 1 but not on Form 990, Part line 12: a Net unrealized gains on investments 2a 4 551 827 - Donated services and use of facilities 2b '3 Re??Ve"e5 Of Year Qrente . . . . . . . . . . . . . . . . . . . . . . . . . . 20 ci other (Describe in Part xiv385: 726 9 23"'"0UQh2d . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 4r937i553- 3 Subtract line 2e from line 36. 603. 089- 4 Amounts included on Form 990, Part line 12, but not on line 1: 1, a Investment expenses not included on Form 990, Part line 7b 4a Other (Describe in Part XIVAdd ""95 43 andTotal revenue Add lines 3 and 4c. 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ScheduIe'F (Form 99o)2oo9 13-3 615533 Page 4 Part IV Supplemental Information Complete this part to provide the information required in Part I, line 2, and any addmonal Information STATEMENT OF ACTIVITIES OUTSIDE THE UNITED STATES ACCOUNTABILITY AND SOUND GOVERNANCE, AS EXPRESSED IN ITS BY-LAWS AND BOARD OF POLICIES BY ROCKEFELLER PHILANTHROPY ADVISORS, INC., INCLUDING THOSE DISTRIBUTED THROUGH ITS DONOR-ADVISED FUND (THE PHILANTHROPIC COLLABORATIVE OR TPC), WILL BE DIVERTED FOR INAPPROPRIATE PURPOSES, THE ORGANIZATION HAS ADOPTED JSA Schedule (Fom1 990) 2009 9512771 K4H03K M261 PAGE 34 mm mwfim Hem: mmomwx 52. Son 83 dam .5. 2: man .9502 uu< cozusuom ucm zom mum moofi 5.3 ..EmE.m =92. emu: .L oucflmamm oucfimamw o_nao=nEm EoEEm>ou .6 38:5 .5 .3 3. .0 5 Ema EUR86 2m 3. 2..2uE om: cm? m._oE um>_mom. 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Trustees, Key Employees. and Highest (Form 990) Compensated Employees Complete if the organization answered "Yes" to Fomi 990. Department of the Treasury Part WI 23- mteme; semee - 5 Attach to Fon'n 990. See separate instructions. Compensation Information Name of the organization ROCKEFELLER PHILANTHROPY ADVISORS, INC. Questions Regarding Compensation OMB No 154510047 Open to Public Inspection Employer iden'l:ifical:ion number Check the appropriate box(es) if the organization provided any of the following to or for a person listed in Fonn 990, Part VII, Section A, line 1a Complete Part to provide any relevant information regarding these items First-class or charter travel Housing allowance or residence for personal use Travel for companions Payments for business use of personal residence Tax indemnification and gross-up payments Health or social club dues or initiation fees Discretionary spending account Personal services (e maid, chauffeur, chef) If any of the boxes on line 1a IS checked. did the organization follow a written policy regarding payment or reimbursement or provision of all of the expenses described above'? If complete Part to explain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all officers, directors, trustees, and the CEO/Executive Director. regarding the items checked in line 1a? . 3 Indicate which, if any, of the following the organization uses to establish the compensation of the organization's CEOIExecutive Director. Check all that apply Compensation committee - Written employment contract Independent compensation consultant Compensation survey or study Form 990 of other organizations Approval by the board or compensation committee 4 During the year, did any person listed in Form 990, Part VII, Section A, line 1a. with respect to the filing organization or a related organization' a Receive a severance payment or change-of-control payment'? Participate in, or receive payment from, a supplemental nonqualified retirement plan'? Participate in, or receive payment from. an equity-based compensation arrangement? If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part Only section 501(c)(3) and 501(c)(4) organizations must complete lines 5-9. 5 For persons listed in Form 990, Part VII. Section A, line 1a, did the organization pay or aocrue any compensation contingent on the revenues of: 1: . . . it 511:3>> .1 Ii" 'gt. Ila} fluEli': 3 The OrganizationAny related organization"Yes" to line 5a or 5b, describe in Part 5' 6 For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any compensation contingent on the net earnings of it The 0r9antZatI0nAny related organization"Yes" to line 6a or 6b, descnbe in Part 7 For persons listed in Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixed payments not described in lines 5 and If "Yes," descnbe in Part 7 8 Were any amounts reported in Form 990, Part VII, paid or accrued pursuant to a contract that was subject to the initial contract exception described in Regs section 53 lf"Yes,"desci1be in Part . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 9 If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. 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Im moon 8% usiness Transactions Involving Interested Persons. OMB No 1545-0047 SCHEDULE Transactions With Interested Persons (Form 990 or 990-EZ) . Com Iete if the organization answered "Yes" on Fonn 99 Part IV, line 25a, 25b, 26, 27, 28a, 28b, or 28c, Deparfl'ne|'|toffl1eTrea5ury or Form 990-EZ, Part V, line 38a or 40b. 009" T0 Public lntemal Revenue Service Attach to Form 990 or Form 990-EZ. See separate instructions. Inspection Name of the organization Employer identification number ROCKEFELLER PHILANTHROPY ADVISORS, INC. Excess Benefit Transacations (section 501(c)(3) and section 501(c)(4) organizations only) Complete if the organization answered "Yes" on Form 990, Part IV, line 25a or 25b, or Form 990-EZ, Part V, line 40b 13-3615533 1 Name of disqualified person Description of transaction 2 Enter the amount of tax imposed on the organization managers or disqualified persons dunng the year under section 4958 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Enter the amount of tax, if any, on line 2, above, reimbursed by the organization . . . . . . . . . . . . . . Loans to andlor From Interested Persons. Complete if the organization answered "Yes" on Form 990, Part N, line 26, or Form 990-EZ. Part V, line 38a Name of interested person and purpose Loan to orfrorn Original Balance due in default? Approved Wntten the organization? principal amount by board or agreement'? committee? To From Yes No Yes No Yes No Total . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 3-135 an -3 Grants or Assistance Benefitting Interested Persons. Complete if the organization answered "Yes" on Form 990, Part IV, line 27. Name of interested person Relationship between interested person and the Amount and type of assistance organization Complete if the organization answered "Yes" on Form 990, Part IV, line 28a, 28b. or 28c Name of interested person Relationship between Amount of Description of transaction (0) Sharing of interested person and the transaction organization's organization revenues'? Yes No CHRIS PAGE SENIOR paeszpzur 1, MANAGE FUNDS For Privacy Act and Paperwork Reduction Act Notice. see the Instructions for Form 990 or 990-EZ. JSA 9512972000 K4 H0 3K M2 61 Schedule (Forn-i 990 or 990-E2) 2009 PAGE 42 OMB l:Io 1545-0047 - - (Form 990) Noncash Contributions Complete if the organizations answered "Yes" on Fomi 9 Departmemofme Treasury 990, Part IV. lines 29 or 30. Open To Public Intemal Revenue Service >Attach to Form 990. Inspection Name of the organization Employer identification number PHILANTHROPY ADVISORS, INC. 13-3615533 mypes of Property la) (C) Id) Check if Number of contributions Revenues reported on Method of determining applicable Form 990. Part line 1g revenues Art-Works Art-Historical treasures . . . . . . Art-Fractional interests . . . . . . Books and publications . . . . . . if Clothing and household Qoods . . . . . . . . . . . . . . Cars and other vehicles . . . . . . Boats and planes . . . . . . . . . Intellectual property . . . . . . . . 20 l, 864, 282 . FAIR MARKET VALUE Securities-Closely held stock . . . Secur'rties--Partnership, LLC, or trust interests . . . . . . . . . . 12 Securities-Miscellaneous . . . . . 13 Qualified conservation contribution-Historic A-3 JOIDMNIO3 14 Qualified conservation 15 Real estate-Residential . . . . . . 16 Real estate--CommerciaI . . . . . . 17 Real estate-Other . . . . . . . . . 18 Collectibles . . . . . . . . . . . . 19 Food inventory . . . . . . . . . . . 20 Drugs and medical supplies. . . . 21 Taxidermy . . . . . . . . . . . . . 22 Historical artifacts . . . . . . . . . 23 Scientific specimens . . . . . . . . 24 Archeological artifacts . . . . . . . 25 Other 26 Other 27 Other 28 Other 29 Number of Forms 8283 received by the organization during the tax year for contributions for which the organization completed Form 8283, Part IV, Donee Acknowledgement . . . . . . . . . . 29 30a During the year. did the organization receive by contribution any property reported in Part I, line 1-28 that it must hold for at least three years from the date of the initial contribution. and which is not required to be used for exempt purposes for the entire holding penod"Yes," describe the arrangement in Part II 31 Does the organization have a gift acceptance policy that requires the review of any non-standard contributions32a Does the organization hire or use third parties or related organizations to solicit, process, or sell noncash contributions"Yes," descnbe in Part II. 33 If the organization did not report revenues in column for a type of property for which column is checked, describe in Partll 3:532:51 For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule (Form 990) 2009 JSA 9512932000 M261 PAGE 43 Schedule (Form 990) zoos 13-3 615533 - 'page 2 Supplemental Information. Complete this part to provide the Information required by Part I, lines 30b, 32b, and 33. Also complete this part for any additional Information. .1. WHICH RESERVES THE RIGHT TO DECLINE ANY CONTRIBUTIONS, VERIFY THE SOURCE OF ANY FUNDS, AND IN THE CASE OF ASSETS REQUIRE AN PART 1 -- QUESTION 32A Schedule (Form 990) 2009 9E12991000 K4I-103K M261 PAGE 44 SCHEDULE 0 (Form 990) Form 990 or to provide any additional infonnation. Attach to Form 990 Inlemal Revenue Service Supplemental Information to Form 990 Complete to provide information for responses to specific questions on Open to Public Inspection Name of the organization ROCKEFELLER PHILANTHROPY ADVISORS, INC. STATEMENT OF PROGRAM SERVICE ACCOMPLISHMENTS PART - LINE 1 Employer identification number 13-3615533 ATTACHMENT 1 MISSION IS TO HELP DONORS CREATE THOUGHTFUL, EFFECTIVE PHILANTHROPY THROUGHOUT THE WORLD. RPA ASSISTS INDIVIDUALS, INSTITUTIONS, GOVERNMENT AGENCIES AND GROUPS IN ACHIEVING THEIR PHILANTHROPIC GOALS BY OFFERING ADMINISTRATIVE, FINANCIAL, GRANT- MAKING AND PROGRAM DEVELOPMENT SUPPORT. GOVERNANCE, MANAGEMENT, AND DISCLOSURE PART VI, SECTION A. - QUESTION 2 ROCKEFELLER PHILANTHROPY ADVISORS, INC. BOARD OF DIRECTORS RELATIONSHIPS - 2009 KEVIN P.A. BRODERICK: SON-IN-LAW OF ABBY M. DIRECTOR NEPHEW BY MARRIAGE OF SHARON PERCY ROCKEFELLER, DIRECTOR COUSIN BY MARRIAGE OF MICHAEL ROCKEFELLER, DIRECTOR COUSIN BY MARRIAGE OF VALERIE R. WAYNE, DIRECTOR COUSIN BY MARRIAGE OF CLAYTON A. ROCKEFELLER, DIRECTOR COUSIN BY MARRIAGE OF DAVID KAISER, DIRECTOR COUSIN BY MARRIAGE OF STUART ROCKEFELLER, DIRECTOR For Privacy Act and Paperwork Reduction Act Notice, see the Instructions for Fonn 990. JSA 951227 2 000 K4H03K M261 Schedule 0 (Fon11 990) 2009 PAGE 45 DAVID KAISER: NEPHEW OF ABBY M. DIRECTOR NEPHEW BY MARRIAGE OF SHARON PERCY ROCKEFELLER, DIRECTOR COUSIN BY MARRIAGE OF KEVIN P.A. BRODERICK, DIRECTOR COUSIN OF MICHAEL ROCKEFELLER, DIRECTOR COUSIN OF VALERIE R. WAYNE, DIRECTOR COUSIN OF CLAYTON A. ROCKEFELLER, DIRECTOR COUSIN OF STUART ROCKEFELLER, DIRECTOR ABBY M. MOTHER-IN-LAW OF KEVIN P.A. BRODERICK, DIRECTOR COUSIN BY MARRIAGE OF SHARON PERCY ROCKEFELLER, DIRECTOR AUNT OF CLAYTON A. ROCKEFELLER, DIRECTOR AUNT OF MICHAEL ROCKEFELLER, DIRECTOR AUNT OF VALERIE R. WAYNE, DIRECTOR AUNT OF DAVID KAISER, DIRECTOR AUNT OF STUART ROCKEFELLER, DIRECTOR CLAYTON ROCKEFELLER: NEPHEW OF ABBY M. DIRECTOR NEPHEW BY MARRIAGE OF SHARON PERCY ROCKEFELLER, DIRECTOR COUSIN BY MARRIAGE OF KEVIN P.A. BRODERICK, DIRECTOR COUSIN OF MICHAEL ROCKEFELLER, DIRECTOR COUSIN OF VALERIE R. WAYNE, DIRECTOR COUSIN OF DAVID KAISER, DIRECTOR Schedule (Fonn 990) 2009 'page 2 Name of the organization Empiayer Identification number ROCKEFELLER PHILANTHROPY ADVISORS, INC. 13-3615533 ATTACHMENT 1 (CONT D) JSA 9E122B 2 000 K4HO3K M261 Schedule 0 (Fon'n 990) 2009 PAGE 46 Schedule 0 (Form 9250) 2009 'page 2 Name of the orgamzatlon Employer idenhficafion number ROCKEFELLER PHILANTHROPY ADVISORS, INC. 13-3615533 ATTACHMENT 1 COUSIN OF STUART ROCKEFELLER, DIRECTOR MICHAEL ROCKEFELLER: BROTHER OF STUART ROCKEFELLER, DIRECTOR NEPHEW OF ABBY M. DIRECTOR NEPHEW BY MARRIAGE OF SHARON PERCY ROCKEFELLER, DIRECTOR COUSIN BY MARRIAGE OF KEVIN P.A. BRODERICK, DIRECTOR COUSIN OF VALERIE R. WAYNE, DIRECTOR COUSIN OF CLAYTON A. ROCKEFELLER, DIRECTOR COUSIN OF DAVID KAISER, DIRECTOR SHARON PERCY ROCKEFELLER: MOTHER OF VALERIE R. WAYNE, DIRECTOR COUSIN BY MARRIAGE OF ABBY M. DIRECTOR AUNT BY MARRIAGE OF KEVIN P.A. BRODERICK, DIRECTOR AUNT BY MARRIAGE OF MICHAEL ROCKEFELLER, DIRECTOR AUNT BY MARRIAGE OF CLAYTON A. ROCKEFELLER, DIRECTOR AUNT BY MARRIAGE OF DAVID KAISER, DIRECTOR AUNT BY MARRIAGE OF STUART ROCKEFELLER, DIRECTOR STUART ROCKEFELLER: BROTHER OF MICHAEL ROCKEFELLER, DIRECTOR NEPHEW OF ABBY M. DIRECTOR NEPHEW BY MARRIAGE OF SHARON PERCY ROCKEFELLER, DIRECTOR COUSIN BY MARRIAGE OF KEVIN P.A. BRODERICK, DIRECTOR JSA Schedule 0 (Form 990) 2009 9512202000 K4H03K M261 PAGE 47 Schedul? 0 (Form'99o) 2009 Page 2 Name of the organization Employer identification number ROCKEFELLER PHILANTHROPY ADVISORS, INC. 13-3615533 ATTACHMENT 1 COUSIN R. WAYNE, DIRECTOR COUSIN OF CLAYTON A. ROCKEFELLER, DIRECTOR COUSIN OF DAVID KAISER, DIRECTOR VALERIE R. WAYNE: DAUGHTER OF SHARON PERCY ROCKEFELLER, DIRECTOR NIECE OF ABBY M. DIRECTOR COUSIN BY MARRIAGE OF KEVIN P.A. BRODERICK, DIRECTOR COUSIN OF MICHAEL ROCKEFELLER, DIRECTOR COUSIN OF CLAYTON A. ROCKEFELLER, DIRECTOR COUSIN OF DAVID KAISER, DIRECTOR COUSIN OF STUART ROCKEFELLER, DIRECTOR GOVERNANCE, MANAGEMENT, AND DISCLOSURE PART VI, SECTION B. - QUESTION 11A THE FORM 990 WILL BE DISTRIBUTED TO THE BOARD CHAIR, TREASURER, AND AUDIT COMMITTEE CHAIR PRIOR TO FILING FOR THEIR REVIEW AND COMMENT. GOVERNANCE, MANAGEMENT, AND DISCLOSURE PART VI, SECTION B. -- QUESTION 12C THE SECRETARY OF RPA ANNUALLY CIRCULATES A DISCLOSURE FORM FOR DIRECTORS AND STAFF TO LIST ORGANIZATIONS IN WHICH THE DIRECTOR OR STAFF MEMBER OR A SPOUSE OR CHILD PLAYS A FIDUCIARY OR LEADING ROLE. IN ADDITION, DIRECTORS AND STAFF WILL LIST THOSE ORGANIZATIONS IN WHICH THEY, A SPOUSE OR A CHILD HOLD A SIGNIFICANT FINANCIAL INTEREST AND WHICH HAVE A JSA Schedule 0 (Fon11 990) 2009 9512232 K4H03K M261 PAGE 48 scheduIe'o (Form 25190) 2009 Page 2 Name of the orgamzahon Employer idenuficafion number ROCKEFELLER PHILANTHROPY ADVISORS, INC. 13-3615533 7 ATTACHMENT 1 BUSINESS RELATIONSHIP WITH RPA. ON THE SAME FORM, DIRECTORS AND STAFF ACKNOWLEDGE THAT THEY UNDERSTAND AND ADHERE TO THE CONFLICT OF INTEREST POLICY AND PROCEDURE. DIRECTORS AND STAFF WILL INFORM THE SECRETARY OF RPA OF ANY CHANGES OR NEW RELATIONSHIPS. IF A POTENTIAL CONFLICT EXISTS, INVOLVED PARTIES WILL DISCLOSE THE POTENTIAL CONFLICT AND EXCUSE THEMSELVES FROM DISCUSSION OR ANY VOTE RELATED TO THE MATTER. GOVERNANCE, MANAGEMENT, AND DISCLOSURE PART VI, SECTION B. - QUESTIONS 15A 15B PHILOSOPHY: ROCKEFELLER PHILANTHROPY ADVISORS IS COMMITTED TO RECRUITING, RETAINING, AND MOTIVATING HIGHLY QUALIFIED AND HIGH-PERFORMING STAFF, AND PROVIDING A MARKET-COMPETITIVE COMPENSATION AND BENEFITS PACKAGE, LINKED TO THE SUCCESS OF THE INDIVIDUAL, THE ORGANIZATION AND ITS MISSION-DRIVEN OUTCOMES. RPA PRIMARILY COMPARES ITS COMPENSATION TO THE LARGER FOUNDATIONS IN THE NEW YORK CITY REGION AS WELL AS TO SMALL TO MID-SIZE CONSULTING ORGANIZATIONS NATIONWIDE, WHILE ALSO MONITORING PRACTICES AND TRENDS IN THE BROADER NONPROFIT AND GENERAL EMPLOYMENT MARKETS. RPA IS COMMITTED TO BOTH EXTERNAL COMPETITIVENESS AND INTERNAL EQUITY FOR ITS COMPENSATION PROGRAM PRACTICES. EMPLOYEE POLICIES: JSA Schedule 0 (Form 990) 2009 9E122B2000 K4H03K M261 PAGE 49 schedufe 0 (Fan-n'99o) 2009 Page 2 Name of the orgamzahon Employer idenfificafion number ROCKEFELLER PHILANTHROPY ADVISORS, INC. 13-3615533 ATTACHMENT 1 (CONT D) PERFORMANCE AND COMPENSATION PLANS, INCLUDING BUDGETS ARE APPROVED ANNUALLY BY THE BOARD OF DIRECTORS. THE FOLLOWING IS A SUMMARY OF THE GENERAL PRINCIPLES ON WHICH PERFORMANCE ASSESSMENT AND COMPENSATION PROCESSES ARE BASED. PERFORMANCE REVIEW AND COMPENSATION DECISIONS AT RPA ARE MADE ON THE BASIS OF A BOARD-APPROVED PERFORMANCE APPRAISAL FORM, WHICH ESTABLISHES PERFORMANCE STANDARDS AND IMPORTANT VALUES THAT ARE EXPECTED OF ALL EMPLOYEES. AT THE BEGINNING OF EACH CALENDAR YEAR, EACH RPA EMPLOYEE DEVELOPS A PERFORMANCE PLAN THAT SUPERVISOR AND THE PRESIDENT OF RPA MUST APPROVE. ELIGIBLE EMPLOYEES ALSO ESTABLISH SPECIFIC GOALS FOR INCENTIVE COMPENSATION (BONUS) PAYMENTS. AT THE END OF THE CALENDAR YEAR, AN EMPLOYEE AND SUPERVISOR REVIEW HOW THE EMPLOYEE HAS PERFORMED AGAINST THIS PLAN AND THE PERFORMANCE STANDARDS. SUPERVISORS COMPLETE THE PERFORMANCE APPRAISAL FORM IN WRITING, AND RECOMMEND SALARY INCREASES (AS WELL AS INCENTIVE PAYMENTS FOR ELIGIBLE EMPLOYEES) BASED ON PERFORMANCE. BOTH SUPERVISOR AND EMPLOYEE MUST SIGN THE PERFORMANCE APPRAISAL FORM. SALARY ADJUSTMENTS AND BONUS PAYMENTS MUST BE APPROVED BY THE PRESIDENT OF RPA. GOVERNANCE, MANAGEMENT, AND DISCLOSURE PART VI, SECTION C. - QUESTION 19 RPA MAKES GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS AVAILABLE TO THE GENERAL PUBLIC UPON REQUEST. JSA Schedule 0 (Form 990) 2009 951223 2 K4HO3K M261 PAGE 50 scheduIe'o (Form 990) 2009 I Page 2 Name of the orgamzatuon Employer Identification number ROCKEFELLER PHILANTHROPY ADVISORS, INC. 13-3615533 ATTACHMENT 2 FORM VI, LINE 17 - STATES ATTACHMENT 3 990, PART VII- COMPENSATION OF THE FIVE HIGHEST PAID IND. CONTRACTORS NAME AND ADDRESS DESCRIPTION OF SERVICES COMPENSATION WINOKER REALTY COMPANY REALTOR 837,353. 462 SEVENTH AVENUE, FLOOR 12A NEW YORK, NY 10018 KIWI PARTNERS, INC. HUMAN RESOURCES 391,119. 381 PARK AVENUE SOUTH, SUITE 820 NEW YORK, NY 10016 QUINN GILLESPIE ASSOCIATES LLC PUBLIC RELATIONS SVC 310,601. P.O. BOX 933170 ATLANTA, GA 31193-3170 VANGUARD COMMUNICATIONS COMMUNICATION 305,008. 2121 STREET, NW SUITE 300 WASHINGTON, DC 20037 LINK MEDIA, INC. 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I u.I.,mn.umium 4.5.6 .32 m_.u.n.I.mI.Im_sImI4Iw.n I II I 42 I :Iomn.I4I_._a_4: I 9.2.4: .2235 52:4442.2 E._.4u._uu 32 _o -in I D520 So 4 5.2.8 5m4n3I.u 243 3.2 an 2 32 2.. Ian csuntm. I I Disuzao 4 4 3.. 3.6. I _o 3.45.. 8: 33 (Rev Apnl 2009) Application for Extension of Time To File an Exempt Organization Return Department ofthe Treasury mama. Revenue Samoa File a separate application for each retum. 0 If you are filing for an Automatic 3-Month Extension, complete only Part I and check this box |x 0 If you are filing for an Additional (Not Automatic) 3-Month Extension, complete only Part II (on page 2 of this form). Do not comptetePartll unless you have already been granted an automatic 3-month extension on a previously filed Fonn 8868. Automatic 3-Month Extension of Time. Only submit original (no copies needed). A corporation required to file Form 990-T and requesting an automatic 6-month extension - check this box and complete Partlonly . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..P All other corporations (including 1120-C filers), partnerships, REMICS, and trusts must use Form 7004 to request an extension of time to file income tax retums. Electronic Filing (e-tile). Generally, you can electronically file Fonn 8868 if you want a 3-month automatic extension of time to file one of the returns noted below (6 months for a corporation required to file Form 990-T) However, you cannot file 8868 electronically if (1) you want the additional (not automatic) 3-month extension or (2) you file Fonns 990-BL, 6069, or 8870, group returns, or a composite or consolidated From 990-T Instead, you must submit the fully completed and signed page 2 (Part II) of Fon'n 8868 For more details on the electronic filing of this form, visit irs.gov/efile and click on e-file for Chanties Nonprofits Type or Print ROCKEFELLER PHILANTHROPY ADVISORS. INC . He by the Number, street, and room or suite no. If a P.O. box, see instructions. dt fo :03, 6 WEST 48TH STREET. 10TH FLOOR mum See City, town or post office, state, and ZIP code For a foreign address, see instructions NEW YORK. NY 10036 Check type of return to be filed (file a se arate application for each retum)' Form 990 Form 990-T (corporation) Fomi 990-BL Form 990-T (sec. 401(a) or 408(3) trust) Form 990-EZ Form 990-T (trust other than above) Form 990-PF Form 1041 -A OMB No 1545-1709 Name of Exempt Organization Employer Identification number 13-3615533 Form 4720 Form 5227 Form 6069 Form 8870 The books are in the care of THE ORGANIZATION Te|ephoneNo. 212 812-4330 FAXNO 212 812-4335 0 If the organization does not have an office or place of business in the United States, check this box El 0 If this is for a Group Retum, enter the or anization's four digit Group Exemption Number (GEN) If this is for the whole group, check this box . . If it is for part of the group, check this box. - and attach a list with the will cover. 1 I request an automatic 3-mont (6 months for a corporation required to file Fomi 990-T) extension of time until . 10' .to file the exempt organization return for the organization named above. The extension is for the organization's return for calendar yearimq or I tax year beginning . and ending . 2 If this tax year is for less than 12 months, check reason: Initial return Final return I: Change in accounting period 3a If this application is for Form 990-BL, 990-PF, 990-T, 4720, or 6069, enter the tentative tax, less any nonrefundable credits. See instructions. 3a If this application is for FOl'lTl 990-PF or 990-T, enter any refundable credits and estimated tax payments made Include any prior year overpayment allowed as a credit 5 Balance Due. Subtract line 3b from line 3a. Include your payment with this form, or, if required, deposit with FTD coupon or, if required. by using EFTPS (Electronic Federal Tax Payment System). See instructions 3c 5 Caution. If you are going to make an electronic fund withdrawal with this Form 8868, see Form 8453-EO and Fonn 8879-EO mpayment instructions. For Privacy Act and Paperwork Reduction Act Notice, see Instructions. Fonn 8868 (Rev 4-2009) JSA BF805-4 3 000 M261 V08-8.3 1 I -1 Font: (Rev 4.2009) Page 2 0 if you are filing for an Additional (Not Automatic) 3-Month Extension. complete only Part II and check this box . Ly Note. Only complete Part II if you have already been granted an automatic 3-month extension on a previously filed Fon'n 8868. 0 If ou are filing for an Automatic 3-Month Extension, complete only Part I (on page 1) mAdditional (Not Automatic) 3-Month Extension of Time. Only file the original (no copies needed). Name of Exempt Organization Employer identification number ROCKEFELLER PHILANTHROPY ADVISORS INC 13--36l5533 print I - -1 He by me Number, street. and room or suite no If a 0. box. see instructions For IRS use only gfitgrgiafig for 6 WEST 48TH STREET 10TH FLOOR City. town or post office. state. and ZIP code. For a foreign address. see instructions. jglfifi' NEW YORKCheck type of return to be filed (File a separate application for each retum): Form 990 Form 990-PF Form 1041-A Form 6069 Form 990-BL Form 990-T (sec. 401(a) or 408(a) trust) Form 4720 Form 8870 Form 990-E2 Form 990-T (trust other than aboveL Form 5227 Do not complete Part II if you were not already granted an automatic 3-month extension on a previously filed Fori11 8868. The books are in the care of THE ORGANIZATION Te|ephoneNo 212 812-4330 212 812-4335 0 if the organization does not have an office or place of business in the United States, check this box . . . . . I: 0 if this is for a Group Retum, enter the organization's four digit Group Exemption Number (GEN) . If this is for the whole group, check this box If it is for part of the group. check this box land attach a list with the names and ElNs of all members the extension is for 4 I request an additional 3-month extension of time until For calendar year 2 0 0 9 . or other tax year beginning _and ending . 6 If this tax year is for less than 12 months. check reason:T__] Initial return I I Final return Change in accounting period 7 State in deta" you need the extensmn RETURN IS NOT AND WILL NOT BE AVAILABLE BY THE DUE DATE . THEREFORE WE RESPECTFULLY REQUEST ADDITIONAL TIME TO COMPLETE THE RETURN. 8a If this application is for Fonn 990-BL. 990-PF, 990-T, 4720. or 6069. enter the tentative tax, less any nonrefundable credits See instructions 8a 35 If this application is for Fonn 990-PF, 990-T, 4720, or 6069, enter any refundable credits and estimated tax payments made Include any prior year overpayment allowed as a credit and any amount paid previously with Form 8868 8b Balance Due. Subtract line 8b from line 8a. Include your payment with this form, or, if required, deposit with FTD cogion or, if required, by using E-TPS (Electronic Federal Tax Payment System) See instructions 8c 5 Signature and Verification Under penalties of perjury, I declare that I have examined this form, including accompanying schedules and statements. and to the best of my knowledge and belief. it is two. correct, and complete, and that I am authonzed to prepare this form AQ_39gmmsAwHonmnrosiaNnq;ims AUG "9 201" Form 8868 (Rev 4-2009) Signature 5 CONDON MCGINTY DONNELLY ONE BATTERY PARK PLAZA NEW YORK, NY 10004-1405 JSA 9i=ao55 2 PAGE 1