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Form 990-PF turn of Private Foundation. or Section 4947(a)(1) Nonexempt Charitable Trust DprunenIMMSTiae,ury Treated as a Private Foundation Internal Rswwe S~cs Note The organization may be able m use a copy of this return to satisfy state reporting n
-or calendar year 2000, or tax year beginning , 2000, and ending
OMB No 7545 0052
2
20
G Check all that apply 0 initial return E] Final return 0 Amended return Address change [] Name change A Employer identification number
61-0729060 B Telephone number (see page 10 0l the instructions
502-896-2990
USe Lh0 IRS .... .. . rgamrauon
label JAMES GRAHAM BROWN FOUNDATION, INC . Otherwise, Number and street (or PO box number d magi is nor aeinrered to street address) Roomisuite
print ortype 9350 BROWNSBORO ROAD 200 See Specific an or town sure, and ZIP code Instructions. LOUISVILLE, KY 90207 1 Check type of organization Dfl Section 501(c)(3) exempt private foundation ] Section 4947(a)(1) nonexempt charitable trust 0 Other taxable private foundation
Fair market value of all assets at end J Accounting method Dfl Cash E] Accrual of year (from Part 1l, cot (c), ~ Other (specify) line 161 . $ 445,710,284 (Part l, column (d) must be on` cash bass )
C n ewnoum rophceum is vadinp cnxa oars i- El D 1 Foreign organizations check here 1 2 Foreign Organizations meeting the 85 % test
check here and attach computation Ii E II private foundation status was terminated under section 507(C)(1)(A) check here 0.
F h the foundations in a 60-month ierminauon under section 507(C)(1)(B) check here " 0
(d) Disbursements (a) Revenue end epenaes per
books
(h) Net im,esnent (c) Adjusted net for Charitable income income purposes
1 CoMnbulions, gifts, grants, etc, received (attach schedule) 2 Distributions from split-interest trusts 3 Interest on sarongs and temporary cash investments 4 Dividends and interest from securities Sa Gross rents
) b (Net rental income or (loss) 35, 444 6a Net gain or (loss) from sale of assets not on line 10 b Gross sales price for all assets on line Ba
d 7 Capital gain net income (from Part IV, line 2) 8 Net short-term capital gain 9 Income modifications
10a Grass sales less returns and allowances b Less Cost of goods sold c Gross profit or (loss) (attach schedule)
11 Other income (attach schedule) 12 Total Add lines 1 throug h 111 13 Compensation of officers, directors, trustees, etc 14 Other employee salaries and wages
Irs 15 Pension plans, employee benefits 16a Legal fees (attach schedule) STMT 6 b Accounting tees (attach schedule) STMT 7
c Other professional fees (attach schedule)STMT 8
17 Interest 18 Tames (attach schedule) (see page 14 of the instrucUOns)sTMi
co 19 Depreciation (attach schedule) and depletion o 20 Occupancy 21 Travel, conferences, and meetings 22 Printing and publications
o, 23 Other expenses (attach schedule) STMT 10 24 Total operating and administrative expenses
d Add lines 13 through 23 0 25 Contributions, gifts, grants paid
26 Total expenses and disbursements. Add lines 24 and 25
27 Subtract line 26 from line 12 a Excess of revenue over expenses and disbursements b NM investment income (if negative, enter -0-)
21 .390 .671132 .012 .083116 .956
70 .50211 .17
For Paperwork Reduction Act Nonce, see the instructions ISA PRO-FORMA STF FEDPQ77F 1
V
Analysis of Revenue and Expenses (The torif of eimm m mime (b), fcl, and(c) mfi'notnaoessariN swat me emarYS m m'um (e) (sae pop 10 d thensmrbas) J
9 343 STATEMENT 1 332 STATEMENT 2 444 STATEMENT 3
STATEMENT 9
N/A
7 .77
Form 990-PF (saoo)
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Form9so-PF(zaoo) JAMES GRAHAM BROWN FOUNDATION, INC " 61-0724060 Page 2
1 Cash-non-interest-bearing 2 Savings and temporary cash investments 3 Accounts receivable ji~ 9,285,865
Less allowance for doubtful accounts jl~ 4 Pledges receivable *
Less allowance for doubtful accounts jl~ 5 Grants receivable 6 Recervables due from officers, directors, trustees and other
disqualified persons (attach schedule) (see page 15 of the instructions)
7 Other rates and loans receivable (attach schedule) Less allowance for doubtful accounts
8 Inventories for sale or use 9 Prepaid expenses and deferred charges 10a Investments-U S and state government obligations (attach SCIIEdUI2)STMT b Investments -corporate stock (attach schedule) STMT 12
c Investments-corporate bonds (attach schedule) STMT 13
11 Investments - land, buildings, and equipment basis, Less accumulated depreciation (attach schedule) jl~
12 Investments - mortgage loans 13 Investments-other (attach schedule) STMT 19 14 Land, buildings, and equipment basis 0. 253, 663
Less accumulated deprecation (attach schedule) il~ 15 Other assets (describe " ) 16 Total assets (to be completed by all filers - see page 16 of the
instructions Also, see page 1, item I 17 Accounts payable and accrued expenses 18 Grants payable
d 19 Deferred revenue 20 Loans from officers, directors, trustees and other disqualified persons 21 Mortgages and other notes payable (attach schedule) 22 Other liabilities (describe il STATEMENT 15 )
431,061,8821995,710
23 Total liabilities add hoes 17 through 22 1 , 2 1
Organizations that follow SFAS 117, check here and complete lines 24 through 26 and lines 30 and 31 .
24 Unrestricted 423 , `° 25 Temporarily restricted
26 Permanently restricted Organizations that do not follow SFAS 117, check here il~ and complete lines 27 through 31
`p 27 Capital stock, trust principal, or current funds 28 Paid-in or capital surplus, or land, bldg , and equipment fund
`~ 29 Retained earnings, accumulated income, endowment, a other funds a 30 Total net assets or fund balances (see page 17 of the
instructions) 923 8 31 Total liabilities and net assets/fund balances (see page 17
of the instructions) 431 , C
Part III Analysis of Changes in Net Assets or Fund Balances
8219
STFFED7W7F 2
AWdW ardamwr~mtheda~nPEma~lurn PaRll BalanceShS ~Ja
shald be la end-yav Moults only (See insfitnas ) Beginning of year End of year
(e) Book Value (D) Book Value (c) Fav Market Value
961,939 52,636 52,636 6 , 767 , 358 22 , 497 , 012 22 , 497 , 012
9,170,775 4 , 285,865 4,285,865
95 , 259 2 , 163 , 2 , 163 61 , 470 , 298 152 168 108 152 , 168 , 108 86 , 740 , 502 206 , 913 , 865 206 , 913 , 865 5 , 799 , 006 46 , 285 , 194 46 , 285 , 194
5 , 254 , 019 13 , 251 , 778 13 , 251 , 778
302 , 731 253 663 253 , 663
1 Total net assets or fund balances at beginning of year - Part II, column (a), line 30 (must agree with end-of-year figure reported on poor year's return) 1 923 801 6
2 Enter amount from Part I, line 27a 2 6 0 26 , 3 3Other increases notincluded inline 2(itemize)il UNREALIZED GAIN ON SECURITIES 3 1 12 , 737 , 9 4 Add lines 1, 2, and 3 4 942 565 3 5 Decreases not included in line 2 (itemize) ii,~ 5
4 minus line 51 - Part Form 990-PF (zooo)
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0 61-0724060 Page 3 ON, INC Farm 990-PF (]000) JA14E$ Part IV Capital G
(e) List and describe tie kind(s) of property sold (e g read estate 2 story brick warehouse or common stock 200 shs MLC Cc )
SECURITIE LAND SECU
bSEE ATTACHE cCURRENT YEA d e
(e) Gross sales price
a b c d e
(g) Cast or other oasis Plus expense of sale
7
Complete only for assets shawng gain in column (h) and arced by the foundation on 12/31169
(I)FMVasol771J1I69 0IAdjusted basis (k)Excess olcol 0) as of t]Idt/ss over w1 Q) it any
(I) Gains (Col (h) gain minus Col (k) but not less than -0 ) or
Losses (from col (h))
2 Total of line 1, column (d) 2 3 Average distribution ratio for the 5-year base period - divide the total on line 2 by 5, or by the
number of years the foundation has been in existence if less than 5 years 3
4 Enter the net value of nonchantable-use assets for 2000 from Part X, line 5 4
2
9 7 Add lines 5 and 6
8 Enter qualifying distributions from Part XII,line 4 1 8 1 17,770,182 If line 8 is equal to or greater than line 7, check the box in Part VI, line 1b, and complete that part using a 1% tax rate See the Part VI instructions on page 18
KU- Form 990-PF (zooo) STF FED2037F 3
(b) How acquired P - Purchase D - Donation
P
a b
d e 2 Capital gain net income or (net capital loss) If gain, also enter in Part I, line 7
If (loss), enter-0- in Part I, line 7 } 2 15 555 96. 3 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6)
I( gain, also enter in Part I, line 8, column (c) (see pages 13 and 17 of the instructions) ,y If loss , enter -0- in Part I, line 8 J 3 734 , 75
Part V Qualification Under Section 4940(e) for Reduced Tax on Net Investment Income
For optional use by domestic private foundations subbed to the section 4940(a) tax on net investment income )
I( section 4940(d)(2) applies, leave this part blank
Was the organization liable for the section 4942 tax on the distnbutable amount of any year in the base periods E] Yes [0 No If "Yes," the organization does not qualify under section 4940(e) Do not complete this part
1 Enter the appropriate amount in each column for each year, see page 18 of the instructions before making any entries
Base peno0 years (b) (c) Distribution on ratio Calendar year (or tax year peainnina in) Adjusted qualiMnB CistnbubOns Net slue of noncharitablo-use assets lopi (b) GiHGeA W cot (c)1
0 .
5 Multiply line 4 by line 3
6 Enter 1% of net investment income (1% of Part I, line 27b)
(c) Dale acquired (E) Dare soda (mo day Yr ) I (mo day p )
ARIOUS I V
(h) Gain or (loss) :) plus (f) minus G
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Form 9BaPF(2000) JAMES GRAHAM BROWN FOUNDATION INC " ei-o7zaoso
PY b Exempt foreign organizations-tax withheld at source 6b c Tax paid with application for extension of time to file (Form 8868) tic d Backup withholding erroneously withheld 6d 7 Total credits and payments Add lines 6a through 6d 8 Enter any penalty for underpayment of estimated tax Check here F~ it Form 2220 is attached 9 Tax due. It the total of lines 5 and 8 is more than line 7, enter amount owed
10 Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid
By language in the governing instrument or " By state legislation that effectively amends the governing instrument so that no mandatory directions that
conflict with the state law remain in the governing instrument? 6 X 7 Did the organization have at least $5,000 in assets al any time dunng the year? M'Yes,"complete Part II, cot (c), and Part XV 7 X Ba Enter the states to which the foundation reports or with which it is registered (see page 19 of the
instructions) li~ KENTUCKY AND ALABAMA b If the answer is "Yes" la line 7, has the organization furnished a copy of Form 990-PF to the Attorney General
(or designate) of each state as required by General Instruction G? 1l 'NO,"attach explanation 8b X 9 Is the organization claiming status as a private operating foundation within the meaning of section 49420(3) or
4942Q)(5) for calendar year 2000 or the taxable year beginning in 2000 (see instructions for Part XIV on page 25)? Il'Yes,"complete Part XIV 9 X
10 Did arty persons become substantial coMnbutors dunrg the tic year? H'Yes,"attach a schedule listing then names and addresses 10 X 11 Did the organization comply with the public inspection requirements for its annual returns and exemption
applications 11 X 12 The books are in careo(o, JOAN DUDLEY, ASSISTANT TREASURER Telephone no po (502) 896-2990
Locatedatip, 9350 BROWNSBORO ROAD, SUITE 200 LOUISVILLE, KY ZIP+4 40207
13 Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Forth 1041 -Check here t and enter the amount of tax-exempt interest received or accrued during the year ti~ 1 13 ~ N/A
Form 990-PF (zooo) STF FEDt077F
Part VI Excise Tax Based on Investment Income Section 4940(a) , 4940 (b) , 4940(e) , or 4948 -see page 18 of the
1a Exempt operating foundations described m section 4940(d)(2) cherlc hae " E] and enter 'NIA' m line 1 Date of ruling letter (attach copy of ruling letter if necessary -see instructions)
b Domestic organizations that meet the section 4940(e) requirements in Part V, check here t 0 and enter 1% of Part 1, line 27b
c All other domestic organizations enter 2% of line 27b Exempt foreign organizations enter 4% of Pan I, line 12, cd (b) 2 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only Others enter -0-) 3 Add tines 1 and 2 4 Subtitle A (income) tax (domestic section 4947(a)(1) trusts and table foundations only Others sofa -0-) 5 Tax based on investment income Subtract line 4 from line 3 If zero or less, enter -0-6 Credits/Payments a 2000 estimated tax a menu and 1999 overpayment credited to 2000 6a 1, 107, 367
11 Enter the amount of line 10 to be Credited to 2001 estimated tax ji~ 3 61 59 6 Refunded " 11 128 , 98S Part VII-A Statements Regarding Activities
Yes Na 1a During the tax year, did the organization attempt to influence any national, state, or local legislation or did it
participate or intervene in any political campaigns 1a b Did it spend more than $100 during the year (either directly or indirectly) for political purposes (see page 19 of
the instructions for definition) 1 b X 11 the answer is "Yes" to 1a or 1b, attach a detailed description of the activities and copies of any materials published or distributed by the organization m connection with the activities
c Did the organization file Forth 1120-POL for this year? 1c d Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year
(1) On the organization * $ Q (2) On organization managers t $ e Enter the reimbursement (if any) paid by the organization during the year for political expenditure tax imposed
on organization managers ~ $a 2 Has the organization engaged in any activities that have not previously been reported to the IRS 2 X
11'Yes,"attach a detailed description of the activities 3 Has the organization made any changes, not previously reported to the IRS, in its governing instrument, articles
of incorporation, or bylaws, or other similar instruments 11'Yes,"attach a conformed copy of the changes 3 4a Did the organization have unrelated business gross income of $1,000 or more during the year? 4a b If "Yes," has it filed a tax return on Forth 990-T for this year? N/A 4b
5 Was there a liquidation, termination, dissolution, or substantial contraction during the year? 5 X If 'Yes,"attach the statement required by General Instruction T
6 Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either
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Form 990.PF(2oo0) JAMES GRAHAM BROWN FOUNDATION, INC 0 61-0724060 Page 5 ;eqwred
File Forth 4720 if any item is checked in the "Yes" column, unless an exception applies 1a During the year did the organization (either directly or indirectly)
(1) Engage in the sale or exchange, or leasing of property with a disqualified persons ~ Yes ~ No (2) Barrow money from, lend money to, or otherwise extend credit to (or accept it from) a
disqualified persons ~ Yes ~ No (3) Furnish goods, services, or facilities to (or accept them from) a disqualified persons ~ Yes ~ No (4) Pay compensation to, or pay or reimburse the expenses of, a disqualified persons ~ Yes ~ No (5) Transfer any income or assets to a disqualified person (or make any of either available
for the benefit or use of a disqualified person) E] Yes 0 No (6) Agree to pay money or property to a government official? (Exception Check ̀ NO' ii the
organization agreed to make a grant to or to employ the official for a period after termination of government service, if terminating within 90 days ) [:] Yes [Z] No
b Ii any answer is 'Yes' to 1a(1) - (6), did any of the acts (ail to qualify under the exceptions described in Regulations section 53 4941(d)-3 a in a current notice regarding disaster assistance (see page 20 of the instructions)? Organizations relying on a current notice regarding disaster assistance check here t
c Did the organization engage in a prior year in any of the acts described in 1a, other than excepted acts, that were not corrected before the first day of the tax year beginning in 2000
2 Taxes on failure to distribute income (section 4942) (does not apply for years the organization was a private operating foundation defined in section 49420(3) or 4942Q)(5))
a At the end of tax year 2000, did the organization have any undistributed income (lines 6d and Se, Part XIII) for tax year(s) beginning before 2000 0 Yes 0 No If'Yes,'list theyears " 19-,19- 19-,19-
b Are there any years listed in 2a for which the organization is not applying the provisions of section 4942(a)(2) (relating to incorrect valuation of assets) to the year's undistnbuted incomes (If applying section 4942(a)A2) to all years listed answer "No" and attach statement - see page 20 of the instructions )
c If the provisions of section 4942(a)(2) are being applied to any of the years listed in 2a, list the years here " 19-, 19-, 19-, 19-
3a Did the organization hold more than a 2% direct or indirect interest m any business enterprise at any time during the years E] Yes 2] No
b If "Yes,' did it have excess business holdings in 2000 as a result of (1) any purchase by the organization or disqualified persons after May 26, 1969, (2) the lapse of the 5-year period (or longer period approved by the Commissioner under section 4943(c)(7)) to dispose of holdings acquired by gift or bequest, or (3) the lapse of the 10-, 15-, or 20-year first phase holding periods (Use Schedule C, Form 4720, to determine d the
N organization had excess business holdings in 2000 ) / A
4a Did the organization invest during the year arty amount in a manner that would jeopardize its charitable purposes b Did the organization make arty investment in a prior year (but after December 31, 1969) that could jeopardize its charitable purpose that
had not been removed from jeopardy before the first day of the tax year beginning m 2000 5a During the year did the organization pay or incur any amount to
(1) Carry on propaganda, or otherwise attempt to influence legislation (section 4945(e))? 0 Yes ~ No (2) Influence the outcome of any speafic public election (see section 4955), or to carry on,
directly or indirectly, any voter registration drive? Yes No (3) Provide a grant to an individual for travel, study, or other similar purposes ~ Yes ~ No (4) Provide a grant to an organization other than a charitable, etc , organization described in
section 509(a)(1), (2), or (3), or section 4940(d)(2)? 0 Yes E] No (5) Provide for any purpose other than religious, charitable, scientific, literary, or educational
purposes, or for the prevention of cruelty to children or animals E] Yes ~X No b If any answer is 'Yes" to 5a(l) - (5), did airy of the transactions (al to qualify under the exceptions described m Regulations section
53 4945 a m a current notice regarding disaster assistance (see page 20 of the insinxtions)? N/A
Organizations relying on a current notice regarding disaster assistance check here c Ii the answer is "Yes" to question 5a(4), does the organization claim exemption from the tax
because it maintained expenditure responsibility for the grants NBA EJ Yes E] No 1( "Yes, "attach the statement required 6y Regulations section 53 49455(d)
6a Did the organization, during the year, receive any funds, directly or indirectly, to pay premiums an a personal benefit contracts [:] Yes 0 No
b Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract? 11 you answered "Yes" to 66. also file Form 8870
X
PRO-FORMA Form 990-PF (2000) STF FED20J7F 5
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Form99o~PF(YOOo)JAMES GRAHAM BROWN FOUNDATION, INC " 61-07240G0 Page 6 Part VIII Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees,
and Contractors i managers and their compensation see e 20 0f the instructions (6) Title and average (C) Compensation (C) Contributions to
hours per week (Ii not pall, employee beneGl plans (e) Expense account devoted to position enter-0 -) and deterred comce~sanon other allowances
(a) Name and address
SEE ATTACHED SCHEDULE
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2 Compensation of five highest-paid employees (other than those included on line 1 -see page 21 of the instructions) ~r .. .. .. .. ,. .. . . . . ~~unuc n
b) Title and average I Id) Contributions to hours per week (c) Compensation employee benefit (e) Expense account
devoted to position Duns and deterred other allowances
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Total number of others receiving over $50,000 for professional services
Part IX-A Summary of Direct Charitable Activities
List the IounCauon a rout largest direct Charitable ecliHUes during the tax year Include relevant statistical information such as tie number I Expenses of organizations and other beneficiaries served conferences Converted research papers produced ett
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
Form 990-PF (zooo) STF FED]N7F 6
(a) Name and address of each employee paid more than $50 000
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
3 Five highest-paid independent contractors for professional services see page 21 of the instructions) If none, enter "NONE"
(e) Name and address of each person paid more than 550 000 (b) Type of service (c) Compensation
THERMORETEC ENVIRONMENTAL 9 DAMONMILL SQUARE CONCORD, MA 01792 CONSULTING 158,999 NATIONAL ASSET MANAGEMENT INVESTMENT
KY 40202 IMRNAGEMENT 1 426,869 ----------------------------------------
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3
4
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Form 990.PF(x0oo)JAMES GRAHAM BROWFOUNDATION, INC " 61-0724060 Page?
Part IX-B Summary of Program-Related Investments (see page 22 of the instructions)
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1 Amounts paid (including administrative expenses) to accomplish charitable, etc , purposes a Expenses, contributions, gifts, etc -total from Part I, column (d), line 26 1a 17 , 770, 182
b Program-related investments -total of lines 1 - 3 of Part IX-B 1b 0
2 Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc , purposes 2
3 Amounts set aside for specific charitable projects that satisfy the a Suitability test (prior IRS approval required) 3a b Cash distribution test (attach the required schedule) 3b 4 Qualifying distributions Add tints 1a through 3b Enter here and on Part V, lire 8, and Part XIII, line 4 4 17 , 770 , 182 5 Organizations that quality under section 4940(e) for the reduced rate of tax on net investment income
Enter 1% of Part I, line 27b (see page 24 of the instructions) 5 6 Adjusted qualifying distributions Subtract line 5 from line 4 ~ 6 ~ 17,770, 182
Note . The amount on line 6 will be used m Part V, column (b), m subsequent years when calculating whether the foundation qualifies for the section 4940(e) reduction of fax m those years
PRO-FORMA Form 990-PF (zooo) $TF FE020.77F 7
1 NONE
2
All other program-related investments See page 22 of the instructions 3
Part X Minimum Investment Return (All domestic foundations must complete this part Foreign foundations, see page 22 of the instructions
1 Fair market value of assets not used (or held for use) directly in carrying out charitable, etc , purposes
a Average monthly fair market value of securities to 403, 893, 159 b Average of monthly cash balances tb 19, 099 396 c Fair market value of all other assets (see page 23 of the instructions) 1c 17, 468, 380 d Total (add lines 1a, b, and c) 1d 490 460, 935 e Reduction claimed for blockage or other factors reported on lines 1a and
1c (attach detailed explanation) 1e 0 2 Acquisition indebtedness applicable to line 1 assets 2 0 3 Subtract line 2from line ld 3 940 960 935 4 Cash deemed held for charitable activities Enter 1'/z% of line 3 (for greater amount, see page 23 of
the instructions) 4 6 606, 919 5 Net value of noncharrtable-use assets Subtract line 4 from line 3 Enter here and on Part V, line 4 433, 854, 021 6 Minimum investment return . Enter 5% of line 5 6 21, 692,701
Part XI Distnbutable Amount (see page 23 of the instructions) (Section 4942Q)(3) and 0)(5) private operating foundations and certain foreign organizations check here li and do not complete this part )
1 Minimum investment return from Part X, line 6 1 21 , 692 , 701 2a Tax on investment income for 2000 from Part VI, line 5 2a 616 , 832 b Income tax for 2000 (This does not include the tax from Part VI ) 2b c Add lines 2a and 2b 2c 616,832 3 Distribulable amount before adjustments Subtract line 2c from line 1 3 21 075 , 869 4a Recoveries of amounts treated as qualifying distributions 4a 0 b Income distributions from section 4947(a)(2) trusts 4b 0 c Add lines 4a and 4b 4c 4 5 Addlines 3and4c 5 21,075,869 6 Deduction from distnbutable amount (see page 23 of the instructions) 6 7 Distnbutable amount as adjusted Subtract line 6 from line 5 Enter here and on Part XIII, line 1 7 21,075,8 69
Part XII Qualifying Distributions (see page 24 of the instructions)
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Form 990PF(2000)JAF1cS GRAHAM BROW"OUNDATION, INC " 01-07240n0 Page B
Part XIII Undistributed Income (see page 24 of the instructions)
(a) (b) (c) (d)
7 Distribulable amount for 2000 from Part XI, Corpus rams prior to less isss zoao
line? 2-1- , 0-7-5 , 8-6-9-
2 Undistributed income, d arty, as of the end of 1999 a Enter amount for 1999 only 8- , 9-6-4 , 5-6-6-
to Totat for prior years 19 - , 19 - , 19 - 3 Excess distributions carryover, if any, to 2000 a From 1995 b From 1996 c From 1997 d From 1998 e From 1999 i Total of lines 3a through e
4 qualifying distributions for 2000 from Part XII, tine 4fi~ S 17,770, 182
a Applied to 1999, but not more than line 2a 8 , 964, 566
b Applied to undistributed income of poor years (Election required - see page 25 of the instructions)
c Treated as distributions out of corpus (Election required - see page 25 of the instructions)
d Applied to 2000 distribulable amount 8 , 805 , 616
e Remaining amount distributed out of corpus 5 Excess distributions carryover applied l0 2000 0 0
(if an amount appears in column (d), the same amount must be shown m column (a) )
6 Enter the net total of each column a5 indicated belovr
a Corpus Add lines 31, 4c, and 4e Subtract line 5 b Prior years' undistributed income Subtract line
4b from line 2b c Enter the amount of poor years' undistributed
income for which a nonce of deficiency has been issued or on which the section 4942(a) tax has been previously assessed
d Subtract line tic from line 6b Taxable amount - see page 25 of the instructions
e Undistributed income for 1999 Subtract line 4a p from line 2a Taxable amount - see page 25 of
the instructions f Undistributed income for 2000 Subtract lines 4d and 5 from line t This amount must be distributed in 2001 12, 270, 253
7 Amounts treated as distributions out of corpus to satisfy requirements imposed by section 170(b)(1)(E) or 4942(8)(3) (see page 25 of the instructions)
8 Excess distributions carryover from 1995 not applied on line 5 or tine 7 (see page 25 of the instructions)
9 Excess distributions carryover to 2001 Subtract lines 7 and 8 from line 6a
10 Analysis of line 9 a Excess from 1996 b Excess from 1997 c Excess from 1998 d Excess from 1999 e Excess from 2000
PRO-FORMA Form 990-PF (zooo) StF FE02077F 8
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Form B9aPF(2000)JF.MES GRAHAM BROWFOUNDATION, INC " 6 .-072 ;060 Page g
Part )UV Private Operating Foundations see page 25 of the instructions and Part VI
1a If the foundation has received a ruling or determination letter that it is a private operating foundation, and the ruling is effective for 2000, enter the date of the ruling I. I
b Check box to indicate whether the organization is a private operating foundation described in section [] 4942( 2a Enter the lesser of the adjusted net lax year Prior 3 years
income from Part I or the minimum investment return from Part X for
lei zooo ~c~ isss ~c~ ~sse
each year listed b 85% of line 2a c Qualifying distributions from Part XII,
line 4 for each year listed d Amounts included in line 2c not used directly
for active conduct of exempt activities e Qualifying distributions made directly for active
conduct of exempt activities Subtract line 2d from line 2c
3 Complete 3a, b, or c for the alternative test relied upon
a "Assets" alternative test - enter (1) Value of all assets (2) Value of assets qualifying under
section 49420)(3)(B)(i) b 'EndavmenPaltemabm test - Enter 2/3 of
minimum investment return shown in Part X, hoe 6 (or each year listed
c; 'Support" alternative test - enter (1) Total support other than gross
investment income (interest . dividends, rents, payments on securities loans (section 512(a)(5)), or royalties)
(2) Support from general public and 5 or more exempt organizations as provided in section 49420)(3)(e)(u)
(3) Largest amount of support from an exempt organization
or
1997 1 (a) Total
a The name, address, and telephone number of the person to whom applications should be addressed
SEE ATTACHED SCHEDULE b The form in which applications should be submitted and information and materials they should include
SEE ATTACHED APPLICATION FORM c My submission deadlines
SEE ATTACHED d Any restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other factors
SEE ATTACHED -PKV- Form 990-PF (sooo)
STF FEDYOJ7F 9
Part XV Supplementary Information (Complete this part only if the organization had $5,000 or more in assets at any time during the year-see page 26 of the instructions )
1 Information Regarding Foundation Managers . a List any managers of the foundation who have contributed more than 2% of the total contributions received by the foundation
before the close of any tax year (but only d they have contributed more than $5 000) (See section 507(d)(2) )
NONE b List any managers of the foundation who own 10% or more of the stock of a corporation (or an equally large portion of the
ownership of a partnership or other entity) of which the foundation has a 10% or greater interest
NONE 2 Information Regarding ContnbuGon, Grant, Gait, Loan, Scholarship, etc , Programs "
Check here * [] d the organization only makes contributions to preselected charitable organizations and does not accept unsolicited requests for funds If the organization makes gifts, grants, etc (see page 26 of the instructions) to individuals or organizations under other conditions, complete items 2a, b, c, and d
-
Form 990-PF (2000) JAMES GRAHAM BROWN FOUNDATION 61-0724060 vase 10 INC
STF FED10J7F 10
-
Form e9oPF(2ooo)JAMES GRAHAM BROWN FOUNDATION, INC Part XVI-A Analysis of Income-Producing Activities Enter gross amounts unless otherwise indicated Unrelated business incame Excwded t serum 512, 513 or 514 (e)
Relat20 0r exempt IunCiion income Ire page 26 of the instructions I
la) I (b) I Icl I Id1 Business cope Amount Exclusion cafe Amount
1 Program service revenue a S b c d
STFFED20.77F 11
61-o7zaoso 71
e f g Few, and contracts from government ages
2 Membership dues and assessments 3 Interest on savings and temporary cash investments 14 1 4 65 , 343 4 Dividends and interest from securities 19 14 578 196 5 Net rental income or (loss) from real estate
a Debt-financed property b Not debt-financed property 16 35 , 444
6 Net rental income or (loss) from personal property 7 Other investment income 8 Gam or (loss) from sales of assets other than inventory 18 5 . 199, 686 9 Net income or (loss) from special events 70 Gross profit or (loss) from sales of inventory 11 Other revenue aSEE ATTACHED SCHEDULE 15 62 , 002
b c d - e r
12 Subtotal Add columns (b), (d), and (e) I - 21 . 390 . 671 13 Total Add line 12, columns (b), (d), and (e) " 13 21, 340 . 671 (See worksheet in line 13 instructions on page 27 to verify calculations ) Part XVI- Relationship of Activities to the Accomplishment of Exempt Purposes Line No Explain below how each activity for which income is reported in column (e) of Part XVI-A contributed importantly to
the accomplishment of the organizations exempt purposes (other than by providing funds for such purposes) (See page
A
Foam 990-PF (zooo)
-
Form BBO-PF (2000) Page 12
Part XVII Information Regarding Transfers To and Transactions and Relationships With Nonchantable Exempt
7 Did the organization directly or indirectly engage in any of the fdlovnrg with any other organization described in section 501(c) of the Code Yes No (other than section 501(c)(3) organizations) or in section 527, relating to political organizations)
a Transfers from the reporting organization to a noncharitable exempt organization of (1) Cash 1a 1 (2) Other assets la(2)
b Other Transactions (1) Sales of assets to a noncharitable exempt organization 1 1 X (2) Purchases of assets from a noncharitable exempt organization 1b(2) }; (3) Rental of facilities equipment, or other assets 1 3 (4) Reimbursement arrangements 1 4 h (5) Loans or loan guarantees 1b(S) X (6) Performance of services or membership or fundraising solicitations 1b(6) h
c Sharing of facilities, equipment, marling lists, other assets, or paid employees 1c h d It the answer to any of the above is "Yes," complete the following schedule Column (b) should always show the fair market value
of the goods, other assets, or services given by the reporting organization Ii the organization received less than fair market value m any transaction or sharing arrangement, show in column (d) the value of the goods, other assets, or services received
2a Is the organization directly or indirectly affiliated with, or related to, one or more tax-exempt organizations described in section 501(c) of the Code (other than section 501(c)(3)) or in section 5279 E] Yes Z No
b If'Yes .' complete the following schedule Name
STF FE02077F 12
N/A
Under penalties al penury I declare that I have examined this return inch true Correct and complete Declaration of preparer (other than taxpayer
y ' -Signature of oIG r
.
trustee d 2
F
q ~ p Pf2PJfC(5 a e q signature d D Firm s name (or yours if
sell-employed) address and ZIP code
-
9
990-PF 1 20M Emplvnr OeMIMiUOn number J1M
JAMES GRAHAM BROWN FOUNDATION, INC . ! 61-0724060 NOW b rtpst rise: the corporation doe not nem to hle Form 2220 (5a Put i oebw Por e¢eonons ) The IRS +nn hquie my penalty owed anc nil the Corporation u
the corporation Gas not need to file form 7270 R army still use t to tquq the penalty Enter the amount from line ]t on the KtlrtlihOIJa penalty mo of One
~to raDpn s income tax return , but gout ~mrn Form 7110
Erah I"~ lieasons For Fllinp - Cneu Me boxes below that apply to the eorooonon a my boxes an crocked the corporation must file Form 2120
own n n does not owe the penalty n 1110 D0: M line 1 Or firm 2 applies W corporation may M able la lover or eliminate N@ platy Sw Dips 1
1 ~ 7M CurWnLon is us,np the annualized swarm Indialbrafird Method
2 ~ The corporation is using the adiusted seasonal 1 ~ TnearDOntonk+Lrpeeommtion'ipurlnphsllrslnpwnooxtaIlmeMWSeAOntneorioryearshz
0 701 Add lines Sa through 5c Subtract line 5d from line 4 it the resuq u less Man $500 de net comWeG or fill this form 7M corporabon does not owe the penalty
7 Enter the tai sawn on the corporation s 1999 ircomi, ha return Gdlon See page 2 at the instructions before completing this line
745,821 .
438 .826 .
438,826 . fit)
2/15/00
77 fsUmrtea tax paid or cnGitea for each penod (see page 3 0}fM YISlNC1i0nf) For column (j)onty enter
the smoimt tram me > I on line 15 Creep me lima 17 wcu0e to of one colvarkin before go hq to the nourt column
12 Enter amount if any from farm IS at the preceding ODIUM
13 Add Cma 11 and 12 1! Add amoura an lines 16 and 17 at the P
oowinm 15 Subtract llml4 homline t3 it nroor less enter 4
11 If CielmWnlon6ne156aro subtract line 13 from line 14 OIMnnse,enter -0-
t 7 Underpayment if fine 15 is less man of equal to I= 10 subtract line 15 tram line 10 Then go to me 12 of
tneneriColumn QIIIOIW6! QUlOlure 18
10 0vlrpsymlnl if Una 10 is Less than line 15 subtract On
D
359
p~~~ ~~~,,~p Form a20 (7000) 27000 072'80720 099807 JAMESGBF 2000 .OSOSOFJAMES GRAHAM BROWN FOUNDATI JAMESGHI
Farm i=0 Underpayment of Estimated Tax by Cc �,n " rsvocucm an aR__ u .s u o+7e 4 for Imperative Reduction gn,_ ..-----_. . ._.. .,. . . . . .
(WPM 7N7-0117
1 Tohl 1u (rye page 2 of the Instructions)
51 P1rsaul holding cortpany to (Schedule PH (FOim 1 t7D), line 76) metuCW on she 4
p Interest inducted on brie 0 due under the i0ok-baCk method at section 460(b)(2) far
completed lonp-term contacts or of section 167(g) toy property aepreaitaa under the
Income forecast methoo
c Craft for Federal tax paid on fuels
d Emer fie smaller of Ine 6 or line? If me corporation mull 61 i in stallments OYe dotes Enter b columns is) through (d)
the 1 SN day of Me 4M (Form 990-PF Ilbn Enter 5th
mom), 6(n, 9th and 112M moots: of the corporation t 9
tax Year D.
- 70 Required hslallmen4i it the Doe on line I and/or line Z Cow R checked enter the amounts from Schedule A line 41 It the box on rift 3 (but not 1 or 2) a cnoc4E tee page 3 of ttr hsln¢tlons for Ins amounts to enter h none of those boxes ate checked enter 25% at line 8 above in each column
/15/00 06/15/00
09 , 707 . 263 , 204
12 , 3767 . j 215 , 000
186,455
354 .4
-
29, or the comparable ene got other income tax wurns 1 34 1 f 0 . *Far underpayments paid aver N4rcn 1t 2001' fog lines 26, 28 30 ma )Z use the density imerest late for each caiindur quarter trial the IRS will determine during the first month m (he preceding Quarter 1roesr rates an Published Quarterly m in IRS News Release and in a revenue ruling m the IMem3l Revenue Ifulielin 10 obtain this information on the Internet access the IRS Web 54e at m Lm gov You an also ca ll 1-8M29-1040 to got interest rate inform ation
.1WA Form ZOO (2000)
m7xv p~(~ ~~q 17 20.00 07280720 099807 JAMESGBF 2000 .05050F~APIES"GRAHAM BROWN FOUNDATI JANESGHI
FORM 990-PF Form 2lt0(200of JAMES GRAHAM BROWN FOUNDATION, INC . 61-0729060 y,4, 2
Pe 1 Fpunnp the Penalty
19 Enter find data at payment or the 15th day of the 3rd month after Me close of the tax year whichever is earner
(we Nqe 3 of the instructions) (FOrm990 PF Ana form 99D-7 glees Use 51h month instead of 3rd month )
YO Number W days from due axle of Installment on line 9 to Me date snows an Late 19
27 ynsaOn+mrr7o �ruiwor~ee,a~inm
Tl ~n~lo~iwt7~MUnee.erernenew2~ ~91e
23
~y,e~�a~~mur~7 . Ilume.wemenin~.tJ ~sM 24
?S MY"we~ or ei..70 .nw YJ~N~ Ana ew7n~
Zb Unapy~~w~ "s~7 . N~ewaO~nonun2f ~ % b]
NuTO~O1Cq"Onln")0.11~Y.IOVINCO~iOA1P~t/Jl 27
U~l~~O^~~~r~7"NY~CPNOManurr$7 i 25 % ya
29 w�me~aiM.u.~n.7o.~ri7un~waelw~~nA7
30 tva~.mq~~s~~.r~~ . wu+ewdew+e~uwA .'x
31 v,w
32
33 Add lmes 22 2e 26 28 30 and 32
u PenfOr Ma columns 1+) through (a) of Ine 17 Enter the total sera and an Forts 1120 line 31 form t txPA use
-
FORM 990-PF DIVIDENDS AND INTEREST FROM SECURITIES STATEMENT 2
CAPITAL GAINS COLUMN (A) GROSS AMOUNT DIVIDENDS AMOUNT
14,578,196 . 0 . 19,578,196 .
14,578,196 . 0 . 14,578,196 .
SOURCE
DETAIL MAINTAINED
TOTAL TO FM 990-PF, PART I, LN 4
FORM 990-PF RENTAL INCOME
ACTIVITY GROSS NUMBER RENTAL INCOME
1 35,444 .
35,444 .
7 3 AND LOCATION OF PROPERTY
DETAIL MAINTAINED
TOTAL TO FORM 990-PF, PART I, LINE SA
PRO-FORMA STATEMENT S) 1, 2, 3 10430719 099807 JAMESGBF 2000 .05050 JAMES GRAHAM BROWN FOUNDATT JAMESGBI
i JAMES GRAHAM BROWN FOUNDATION INC . 61-0724060
I F_ . .d 996-P£ INTEREST ON SAVINGS AND TEMPORARY CASH INVESTMENTS STATEMENT 1
SOURCE AMOUNT
DETAIL MAINTAINED 1,465,343 .
TOTAL TO FORM 990-PF, PART I, LINE 3, COLUMN A 1,465,343 .
STATEMENT 3
-
JAMES GRAHAM BROWN FOUNDATIONS INC . 61-0729060
F-r! 990-PF GAIN OR (LOSS) FROM SALE OF ASSETS STATEMENT 9
(A) DESCRIPTION OF PROPERTY
SEE ATTACHED SCHEDULE
(H) GROSS
SALES PRICE
0 .
(C) COST OR
OTHER BASIS
0 .
5,199,686 .
D .
5,199,686 .
NET GAIN OR LOSS FROM SALE OF ASSETS
CAPITAL GAINS DIVIDENDS FROM PART IV
TOTAL TO FORM 990-PF, PART I, LINE 6A
FORM 990-PF LEGAL FEES STATEMENT 6
(C) (D) ADJUSTED CHARITABLE
NET INCOME PURPOSES
4,754 . 1,585 .
4,754 . 2,585 .
(A) (B) EXPENSES NET INVEST-PER BOORS MENT INCOME
6,263 . 4,754 .
6,263 . 4,754 .
PRO-FORMA STATEMENT S) 4, 5, 6 2000 .05050 JAMES GRAHAM BROWN FOUNDATT JAMESGel 10430719 099807 JAMESGBF
MANNER DATE ACQUIRED ACQUIRED DATE SOLD
PURCHASED
(D) (E) (F) EXPENSE OF
SALE DEPREC . GAIN OR LOSS
0 . 0 . 5,199 .686 .
FORM 990-PF OTHER INCOME STATEMENT 5
L :RIPTION AMOUNT
SEE ATTACHED SCHEDULE 62,002 .
TOTAL TO FORM 99D-PF, PART I, LINE 11, COLUMN A 62,002 .
DESCRIPTION
LEGAL FEES
TD FM 99D-PF, PG 1, IN 16A
-
0
JAMES GRAHAM BROWN FOUNDATION, INC . 61-0724060
F_ ..M 990-PF ACCOUNTING FEES STATEMENT 7
(C) (D) ADJUSTED CHARITABLE NET INCOME PURPOSES
29,530 . 0 .
29,530 . 0 .
(A) (B) EXPENSES NET INVEST-PER BOOKS RENT INCOME
34,980 . 29,530 .
34,980 . 29,530 .
DESCRIPTION
ACCOUNTING FEES
TO FORM 990-PF, PG 1, LN 16B
FORM 990-PF OTHER PROFESSIONAL FEES STATEMENT B
(A) (B) EXPENSES NET INVEST-PER BOOKS MENT INCOME
71,029 . 119,270 .
71,029 . 119,270 .
(C) (D) ADJUSTED CHARITABLE
NET INCOME PURPOSES
124,050 . 29,316 .
124,050 . 29,316 .
PRO-AORMA STATEMENT S) 7, 8, 9, 10 ?nnn .(15l15(1 7AHFC (:RLHLM PRr1WN Fn11NhATT 7AMFS(:R1 1n410719 099R07 7aMVCrRc
DESCRIPTION
OTHER
TO FORM 990-PF, PG 1, LN 16C
F^°M 990-PF
DESCRIPTION
SEE ATTACHED SCHEDULE
TO FORM 990-PF, PG 1, LN 18
FORM 990-PF
DESCRIPTION
SEE ATTACHED SCHEDULE
TO FORM 990-PF, PG 1, LN 23
(A) (B) EXPENSES NET INVEST-PER BOOKS MENT INCOME
443,570 . 931,609 .
443,570 . 431,609 .
TAXES
(A) (B) EXPENSES NET INVEST-PER BOOKS MENT INCOME
352,794 . 47,177 .
352,744 . 47,177 .
OTHER EXPENSES
(C) (D) ADJUSTED CHARITABLE
NET INCOME PURPOSES
431 609 . 0 .
431,609 . 0 .
STATEMENT 9
(C) (D) ADJUSTED CHARITABLE
NET INCOME PURPOSES
97,177 . 8,880 .
47,177 . 8,880 .
STATEMENT 10
-
FORM 990-PF OTHER INVESTMENTS STATEMENT 14
FAIR MARKET VALUE
13,251,778 .
13,251,778 .
DESCRIPTION
OTHER
TOTAL TO FORM 990-PF, PART II, LINE 13
BOOR VALUE
13,251,778 .
13,251,778 .
PRO-WRMA STATEMENT S) 11, 12, 13, 19 7n0n .05(15n .IAMFE GRAHAM AR(1WN FOUNnAT7 JAMESGBI 1f1430779 099807 IAMFSC:RF
JAMES GRAHAM BROWN FOUNDATION, INC . 61-0724060
P~.,H 990-PF U .S . AND STATE/CITY GOVERNMENT OBLIGATIONS STATEMENT 11
U .S . OTHER FAIR MARKET DESCRIPTION GOVT GOVT BOOK VALUE VALUE
U .S . GOVERNMENT OBLIGATIONS X 152,168,108 . 152,168,108 .
TOTAL U .S . GOVERNMENT OBLIGATIONS 152,168,108, 152,168,108 .
TOTAL STATE AND MUNICIPAL GOVERNMENT OBLIGATIONS
TOTAL TO FORM 990-PF, PART II, LINE 10A 152,168,108, 152,168,108 .
FORM 990-PF CORPORATE STOCK STATEMENT 12
FAIR MARKET DESCRIPTION BOOK VALUE VALUE
CORPORATE STOCK 206,913,865 . 206,913,865 .
TOTAL TO FORK 990-PF, PART II, LINE lOH 206,913,865 . 206,913,865 .
FORM 990-PF CORPORATE BONDS STATEMENT 13
FAIR MARKET DESCRIPTION BOOK VALUE VALUE
CORPORATE BONDS 46,285,194 . 46,285,194 .
TOTAL TO FORM 990-PF, PART II, LINE lOC 46,285,199 . 46,285,194 .
-
PRO-FORMA STATEMENT ( S ) 15 ina'4n'rlo nqoan7 TnMCCnar )nnn ncncn 7DML`C (_AhIJDN ppfli.7n7 FnIINnGTT TAMFCrRI
JAMES GRAHAM BROWN FOUNDATION, INC . 61-0724060
FU.cM 990-PF OTHER LIABILITIES STATEMENT 15
DESCRIPTION AMOUNT
SEE ATTACHED SCHEDULE 3,000,870 .
TOTAL TO FORM 990-PF, PART II, LINE 22, COLUMN B 3,000,870 .
-
LINE 0 COL (A) COL (6) COL (C) COL (0)
1t OTHER INCOME PRIOR YEAR TALC REFUND 4319 4,379 4,3119 0 OIL ROYALTY REVENUES 8 BONUSES 52 160 52 180 52,160 0 ROAD BASE MATERIAL REVENUES 5 523 5,523 5 523 0
71,029 119,770 1124,050 29,116 TOTAL-OTHER DEDUCTIONS, LINE t]
("~CHARGED TO ACCRUAL ON BOOKS ACCRUED IN PRIOR YEARS BUT DEDUCTIBLE ONLY AS PAID COLUMNS B C AND D REFLECT AMOUNTS ON CASH BASIS (NET OF EM MATTERS)
TOTAL TAXES " LINE 10 337,744 41,177 47,177 8,610
(1) BOOK TAX = 335 474
DEFERRED TAX= (65,355)
TAX FOR CAL A = 738,
-
JAMES GRAHAM BROWN FOUNDATION INC (iS-072apW) ALLOCATION W4/ESTMEMIEXEMPT DEPRECIATION
"O-PP FOR IZr3VW
LINE
50,300 " 18,631 .60 coo
PRO-FORMA
DEPRECIATION EXPENSE
7191 LEASFHOLD IMPROVEMENTS SUMMT f BUILDING LEASEHOLD IMPROVEMENTS FURNIITURE,`EQ(JIPMENT.LESS EM'
FURNITURE 8 FIXTURES
AUTO d EOUIPMEHT
TOTAL INVESTMENT PURPOSE DEPRECIATION UNF, 10
NOTE .
TAX EXEMPT DEPRECIATION-
lEASEMOID IMPROVEMENTS 1 147 1E
SUMAItTIBLDG LFASEHOLDWVRW,FURN7EQUI7A 794055
FURNITURE 6 FUTURES 000
AUTO& EQUIPMENT 155120
TOTAL TAX EXEMPT DEPRECIATION 10 76494
BOOK OEPR TAX D0. COL I A) coy c eu(c) eon (DI
2547507 342955 coo 16,77911 628891 coo
Goo 000 000 69" 30 E913 13 000
-
fill I e
8 8
"a 8
B
k
e O
8 B
r 8 8
eeieaa~~a~~fa
~ G 8 ~ ~ B b y d ` ~ k 8
P P P p R F P P M p A p YdIGf6rCYCLrgY
r
ro
5
8 B 6 8 e e a 8
6 sg xa
e
y ! B 8 ` ~ 8 B
kRpr l'pr RN u O J O u Y P r Y F
A
!S 0 8 8 6 0 8 8 8 8 d 8 8 9 6 8 8 8 8 8 8 r , q p p %1 ~1 ~1 N M '1 N Nr N G h N N N N
u i u P U Y 4 V V v V Y P . " v P Y Y Y 4
e ~ S 9 b 8 9 8 0 ~ b 8 8 ~ 6 8 8 8 8 ~ 8
A Q
r
s t 8 8 . B c .~ B ~ x
8 B g B C 6 . 0 Y
r r r~9 ~ :ypene~ een :~ :__ .,sea
C ~ 1 .gG ~ R~A~ p 'JeB=tZICOBId~'.
a e to I : z E~$3
r » ;a xk -gar
I~'y~5pte arcnAd ! e ry e y v C Y a a y V e 6 0 o P P o P o e e e A °s°aa a-8 e8 8 8 ee8 e8 8 ea3 sa
k : a :eeesar8 e2 s8 8 e8 9 x
v C , C. y y Z T y o ~ b G K b o e e o 0 0 0 f ~S 8 R 8 L 8 $ 8 0 8 8 8 8 8 8 B 8 8 8 8 B
!f : S ~ L B 8 8 C 8 C 8 8 8 9 8 8 8 B 8 9
0 0 ~. C . G t ~~'. Q. aeoeeee :e F
f Y . I Y t 6 ~ ~. o C aeenrtei caa e
C
-
COST OF 2000 2000 TIIXIBOON
ASSET BOOK DEPR TAX DEPR DIFFERENCE
FURNISHINGS & FIXTURES-Gray St
Shredder & stand, 04/01194
Panaht UF550I O71D1l97
Additional computer equipment-( 77fl119B
MicroSOR Office licenses (5), 0901199
Total OMci Equipment d Autos before Exempt
Less 50'b Far E "emvt Use
99D pt Part I, Line 19, cal b3c
PRO-FORMA
JAMES GRAHAM BROWN FOUNDATION, INC
TAX DEPRECIATION NOTES
72q1(00
tFLQEMOLDIMPROVEMENTS
Total LsasaholC Improvements $178,33671 32547667 S4.57274 (S2090394)
Lees 25% For Ecempt Use (8,389 17) (t 14 318) 5.22598
990plPart l L= 19 wID6e St9,70750 f342955 (ft5677 95)
FURNITURE 8 EQUIPMENT EXPENSE PER MARKED
Bellsouth phone equipment d installation' $1266632 $253326 S2 53326 so 0c
Oriental rugs " Fir 6 mor offres, 882500 1 26071 126071 C JC
sown oox for iSan i~~~~ 1,113 62 22 272 zzz n c 00 wee fum4ure (all DEC) 1 82 684 60 11 783 51 1 t,787 51 coo
Be'IS:.v:4 pnz,ne e~_ ; r: "" L iis alla'ion' S7;, : y BO ?f H= 5J C JC
Taut Furniture 6 Equipment before exemption 15 881 13 15,881 12 coo
Less SOX For Exempt Use (794056) (784056) 0 00
990 p! Par, I Line 19 cod bbc $794056 $794056 $0 DO
Furnishings, Carpet & Draperies
Less SOX For Exempt Use
990 pf Pan I Line 79 col D8c
OFFICE EQUIPMENT 6 AUTOS
514,97500 $000 5000 5000
OUO OQD L00
$000 $000 SO DO
521]533 5000 SO OD $000
1 41000 28200 28200 000
55200 13040 13040 000
235000 47000 470 00 000
88240
(4
-
$0 00 SO DO $0 00
$10,764 94 ($S.22598) Total Exwnpt Depreciation
PRO-FORMA
IAmEd9e Grants Suflvrue Pmg 03N1199
Less t00% For Exempt Use
g90 p! Part I one 19, Col bbc
S6 200 DD 31 240 OD $1 24000 S000 (1 240001 (1 24000) 000
f75,990 B]
-
PRO-FORMA
JAMES ORAHMI BROWN FOUNDATION, INC (61-072"D60)
ElliENSESRE ENVIRONMENTAL MATTERS (ACCRUAL& CASH BASIS)
"0PF 131718000
GO- ACCRUAL 99 PAYABLE 00 PAYABLE 00 CASH
MANAGEMENT FEES 6 ALLOCATED EXEC, 31 V.'°_S
Slanby F HupenOerp 5 34 193 0 6925 $ 27 265
qtr EwpdM $apriss 70490 70190
LEGAL FEES
Tall, SEetGnus and HaYrster 70 706 7 316 2 t 10 i 15934
PROFESS10MAL FEES
Brad KnA 377 777
FLEn Tire Inc. 0 0
Alabama Power ) K7 7 44'+
AUTSeartny C 0
Loulsvdk Gas 6 Etec 0 0
Mdwrst ComWdion 0 0
Roqere Group 0 0
SdianDUrp Slope Co 0 0
Louisville Water Co 251 251
429 ADEM 429
TnermoRetec 158449 61 675 13945 206 +78
Enmtrol. Inc 23454 23454
7M Apprawl Company 0 0
$y5I[ch ErnvotmieflW C'.ayaribOn D 0
TRAVEL 1690 7690
TELEPHONE EXPENSE 189 189
OFFICE SUPPLIES 6 POSTAGE 1 ]87 198 7 19]
TOTAL 709.0166 68,021 23,170 354.e97
LESS INSURANCE REFUNDS (28J 029) (787029)
TD7AL NET 176,0.77 f69,021 52 3,190 77 060
RECON OF ABOVE 2000 ACCRUAL BASIS 70 EM FIGURE SHOWN IN LINE 23 PG I Cal (A)
PER ABOVE S 26 017
LESS REClA55 TO OFFICERS COMP, LINE 17 PG t (70490)
LESS RECLASS 70 OTHER SALARIES, LINE 71 PG t
LESS STANLEY HUGENBERG EM FEES (3t 193)
AMOUNT REPORTED LINE 23 PG 1 COL (4) f (7E,EK)
-
t i ! 1 - ~ ~ ! 1 ! $ 1 .. A .. _ _
e e s D E t 5 D t - 5 6
5 6 - 1 C ! R ~ E - 5 - fi
0 t E 6 fi
? a ~ i a B c a 5 H k
~ 4 4 4 r e a a s R i
e a d ! ! ! A ~e [ R L
$s~ `1 c
V
p :~ ~P~d
4 ! A
w
F ~ ~ s~ 4 Y ,^a c ;~ 'Ey
PRO-FORMA
-
JAMES GRAHAM BROWN FOUNG4TON,INC (67-072!060)
BALANCE SHEET STATEMENTS. PART p
BBDPF For 7 N71100
PRO-FORMA
LIrro1 1=1199 BOOK 77p1100 B001( 1L711DOFAfV
COL (A) COL (B) COL (C)
PRINCIPAL CASH 0 0 0
=TEMPORARY INVESTMENTS 16,767 758 72197 012 22,697 012
F,0 INVESTMENTS
e US GOVERNEMENT 6 AGENCIES 161,
-
171]1n BOOK 1L]1NOBOOK 12131100 FYN COL (A) COL (B) COL (C)
192,318 192,718 192318 52,000 52,000 52 000
15009,700 17,007,460 13007 460
TOTAL INVESTMENTS " OTHER LIRE 71 15,261 .01E 13,251,778 13.2S1 778
=LAND, SLOGS & EQUIPMENT (LESS ACC DEPREC)
LEASEHOLD IMPROVEMENTS-SUMMIT 178 737 178,377 178337 ACCUM DEPREGLATIONLEASEHOLDIMPRO (669) (31,8A6) (31 546) FURNISHINGS FROM GRAY ST 14935 14 935 14 975 ACCUM DEPRECIATION-FURNISHINGS (1,975) (1,935) (14C35) FURNITURE 6 EQUIPMENT 179111 180 3" 180 Su ACCUM DEPRECIA710N "F6EQUIP 1483481 (73 171) (7J 171)
TOTAL OTHER LIABILITIES. LINE 22
PRO-FORMA
time
S INVESTMENTS-OTHER. MINERAL RIGHTS MUSEUM DISPLAY T7MBER
JAMES GRAHAM BROWN FOUHDATIpN,ING(67-07210E0) BALANCE SHEET STATEMENTS, PART 11
"0 -A$ FOR 17131100
TOTAL LAND . SLOGS & EQUIP- LINE 14
22 _~OTKER LIABILITIES ALABAMA INCOME TAX WITHHELD
KY INCOME TAX WITHHELD
FICA WITHHELD LOUISVILLE OCCUPATIONAL TAX PENSION CONTRACTS
GRANTS PAYABLE DEFFERED FEDERAL TAXES PAYABLE
702.975 253,661 257 667
(35) (J3)
6 6
319 319
700 (78)
321 800 717,019
4000,000 0
2748.933 2683579
7071.723 3,000,870
-
Kentucky
b
`n 0
a
7011" l bowls = I /9g,4,-,5.So3 C3) Zul~d .J ; ., S'(ocki -(vc ~e~fsr{~.y Pu,pulaS
1
~~,,~~ ~ I~ 1 ~Qh~eSG0, .h4,1~YDW1\f;t~P!`~n'~'10~1 , -++1C, 9`~i11166~ .AY46eC0V.y" ~VW~ "r ~ 4V'r'~! National city Ben
lol- nqaao&o 01
STATEMENT OF ASSETS AHO IIADiLIT1E5 ACCOUNT NUMBER l0-0213-01-9 ADM OFFICER Y76 As of 12131100 JAMES GRAHAM BROIM FOR TR VIA SR INV OFFICER 726
;UIINARY S7AiCNrNT CARRY VALUE DACE 1
i YIELD SN111APY CATEGORY Y OF INVENTORY MARWIT AT ESTIMATED
TOTAL VALUE VALUE MARKET INCOME
C011MON AND CONVERTIBLE PRFFEYPE9 STOCK 9E .55 {117,691,!62 .46 .20,113,663,44 1 .0 112,147,446
6W0; DUE BEYOND OIIC YEAR `I) 02 .26 $177,6661456 .42 6160,043 .150 .87 6 .0 .1,925 .501
OBI ICATf0115 DUE YITIIIM ONE YEAR 9 .57 $39,443,679 40 140,097,103.37 E .9 .2,5lS .062
MISCELLANEOUS kSSET5(1) .00 42 .00 .2 .10 0.0
CASH 00 "I0,059 !6 .19,0b1,05 0 4
TOTAL ASSETS 100 00 0536,819,560 .73 9427,E64,179,55 3 6 915,606,00 .0 ---------------------------------------------------------------------------------------------------------------------------
IIICOHE CASH ! 00 t .0"
-
STATEMENT Of ASSETS AND LIABILITIES ACCOUNT M1EE11 10-0215-00-9 ADM OFFICER Y76 AS OF 1L31/00 JAMES GRAHAM BROH TOM TN U/A SR INV OFFICER T26
VALUATION STATEMENT PACE
YIELD AT FACE AMOUNT / N0 . SHARES DESCRIPTION OF ASSET ICN % OF I OF INVEMOIIY MARKET VALUE/ MARKET/ ESTIMATED FIRST/LAST ACQIISITION [ATECORV TOTAL VALUE UNIT PAIGE MATURITY INCOME
COMMON AND CONVERTIBLE PREFERRED STOCK
17,!92 TIIAl60CEAH SEDCO fORE% INC .IS .19 1696,062 .15 .7!5,4S2.00 0 .2 .2,075 05i1e - 03/00 [q7 06.00
6,100 AfLAt INC COM .20 .14 760,217.51 5E9,722.E0 0.4 1,754 02/00 - 03/00 72.19
24,400 ACCO CORP .14 .07 297,2E2.2E 295,E50.00 0 .3 976 03/00 - 03/00 COM 12 13
.9 06,000 ALCOA INC 1 .39 .67 1,50L,C07 00 2,EE1,000.00 1 .0 41,000 12/97 - 12/97 CQf 33 .60
O 52,000 ALLEGHENY ENERGY INC 1 21 .51 1 .010,580 .00 2,505,776 .00 1 .5 67,440 12/75 - 32/95 Ca 48 .19
5,000 ALLERGAN INC CR1 2; .11 274,675 00 4M ,065 00 0 3 1 .400 03/00 - 03/00 96 dl
111,560 JIIfEM CORP COM 144 70 1,160.156 01 2,9EE,104 .25 0 .0 0 05/90 - 07/98 26 .51
29,000 AMERICAN GENERAL CORP 1 .14 .55 1,9.2,963.60 2,313,500 .00 2 1 61 .040 05/98 - 05/95 [q1 E1 .50
78,145 AMERICAN IML GROUP INC [OM 3 .72 1 .00 421,032 03 7,709,176 .01 0 1 31,560 09/EE - 07/90 78 56
5,470 AMOqX GROUP .15 .07 452,7X1 02 316,576 .t5 0.0 0 00/00 - 11/10 COM (N/C FROM YIG11X CORY DEL) 57 .00
5,100 APACHE COMP tQ1 .17 .08 201,200 .76 357,321 .30 0 .7 2 .e56 11/00 - 11/00 70 .06
38,600 APPLIED MICRO CIRCUITS CORP 1 40 .i0 3 .007,500 63 21816,814 .20 0 .0 0 03/00 - 11/00 COM 75.05
61_ -Lyo4,o
-
(a)_ 07 40(c0
STATEMENT OF ASSETS AHD LIABILITIES ACCOUNT NUMBER 36-0213-00-7 At" OFFICER V76 AS OF 1L]LOO JAMES GRAHAM BROW iDN TA U/A SF ilN OFFICER T2L
VALUATION STATEMENT GAGE 3
YIELD AT FACE AMOUNT / NO . SHARES DESCRIPTION OF ASSFT man % OF % OF INVEN'roly MARKET VALUE/ MARKET/ ESTIMATED FIRST/LAST ACQUISITION CATEGORY TOTAL VALUE UNIT PRICE MATURITY INCOrl
300,500 AUTOMATIC DATA PROCESSING INC CUM 332 1 .61 445,999 74 ",E69,C60.50 0.6 9q,965 10/E9 - 10/09 67 .31
15,600 6E0 BATH L BEYOND INC C41 .17 .OS 239,050.00 341,050.00 0 .0 0 03i00 - 03/00 2e.3e
36,400 6ELLSOUfH CORP CQ1 .7; .35 502,690 .5E 1 .490,143 .20 1.6 17,669 08/69 - 03/96 40 .94
15.ll50 BIOMET INC COM .30 .14 3EE,ili .7t 613,171.60 0.0 2,471 03/00 - 03/00 31.69
ro 7~ 63.800 BRISTOL mans swiea CO CON 2.2a 1 10 109.270 .00 4.717,t" .40 1 .4 70.120
73.94 O av72 - 03i79 41
3,900 BROCADE COMMUNICATIONS SYSTEMS INC .1) .OE 300,645.E1 356,070 .70 0 .0 0 00/00 - 0E/00 con 91 .61
S 64,600 tV5 CORPORATION ICEU 1 .E8 .11 2,600,191 43 3.6E3 .9E2 .40 0 3 34 .704 07/90 - 03/00 COM 59 90
10,230 C790T CORP COI 1S 06 105,543 52 269,E16 .ib 1 .6 4,601 03/00 - OS/00 26.30
5 .257 CABOT MICROELECTRONICS COMP .1S .06 119,411 !1 273,1" L .KI 0.0 0 03/00 - 11/00 [OM 51 .94
55,100 CATERPILLAR INC COM 1 .21 .59 2,739,342 80 2,512,720 .30 ! .0 72r216 09/11 - 12/99 47 .51
42,000 CHASE MANHATTAN CORP INENI COM 92 .45 1,534,56e 00 1,900,31 .00 2.8 63,70 1L97 - 11/17 4S.M
30,000 CHEVRON CORD tQ1 1 .22 .59 2,67E,E6E .00 2,553,1.0 .00 3 0 7E,000 12/99 - 12/99 64 .44
191 .750 CHURCHILL 00if6 INC MM 2 76 1 34 113,921 14 5,716,64t 75 1 6 75 .e76 0E/69 - 06/69 29 61
-
STATEMENT OF ASSET'S AND LIABILITIES ACCOUNT NUMBER 50-0213-OD-9 ADM OFFICER Y76 AS OF 1L31/00 JAMES GYIHiM BROWN ION TN U/!1 SO INV OFFICER T26
VALUATION STATEMENT PACE
YIELD AT FACE MOUNT / 10, SHINES DESCRIPTION OF ASSET MCp '/. OF V OF INVENTORY MARKET VALUE/ MARKET/ ESTIMATED FIPST/U'.T A[WI'.ITION CATEOONY TOTAL VALUE UNIT PLAICE IIRTUpITY INCOME
127,720 [ISCO SYS INC cam 2 36 1 14 664,11.3 30 4,ees,290 00 0 .0 O 01/96 - 04/97 3a .26
104 .000 CITICIIOUP INC CUM 2 57 1 . i4 2.122,716 00 6,310,552 .00 1 .0 5E,200 04/97 - 02/98 51 .06
11,200 CITY NRTL CORP COM .IX .10 402,77 .07 431,706 .60 1 .6 7,E40 03/00 - 09i00 3e .81
6,100 COASTAL COMP COW .96 .13 251,440 .95 530,709 .30 0 .9 1,575 03/00 - 03/00 08,31
32r000 COCA-COLA CO CC" .14 .46 2.009,731 .20 1,950,01 .00 1.1 21,760 07/79 - 03/99 60 .10
61,E70 COMPUTER SCIENCES CORP COM 1 BO .d7 2,20,222 OO 5,721,1S6 .f5 0.0 O 12/95 - 12/95 60 .13
5 I1,f100 COlNERCYS COMP 26 .li 45,570 1! 534,1!7 .40 0.0 0 03/00 - 03/00 COM "5.11
45,160 [OSiLO MHSL COMP NEW .01 .42 2 .121,572 .34 1,E03,600 .00 0 .0 0 03/00 - 05/00 CON 39,94
571 CYSEAR GROUP NEW 1 .111 .81 214 .12 0 .0 0 06/00 - 01/00
,316,100 OVL INC CQ1 27 .13 345,976 00 560,E77 .20 2.e 15,866 03/00 - 03/00 33 19
41,600 DEERE t CO COM .92 45 1,569,044 64 1,906,E20 .s0 1 1 36,00 03/00 - 03/00 45 O1
9,100 DIAMOND OFFSHORE ORILLIIC INC CQ1 10 0! 341,2 :7.25 ]6" ,000 .00 1 .2 0,560 03/00 - 03/00 .0 .00
39,"5 DU PONT f I DE NEIflU0.5 A CO COW 72 OS 1,795 .565 54 1 .906 .1!9 .41 2 e 55,217 10/91 - 12/99 4p 31
~o/ - ,~'7 Z ~l D (v0
-
-, i240(o0
STATEMENT OF ASSETS ANC LIABILITIES ACCOUNT NUMBER ]E-0211-00-1 ACH OFFICER Y76 AS OF 1V31/00 JAMES GRAHAM BROW FON TII WA SR INN OFFICER T26
VALUATION STATEMENT PACE b
YIELD A7 FACE AMOI'R / !q SHARES DESCRIPTION OF ASSET Mcll % OF % OF INVENTORY MARKET VALUE/ MARKET/ ESTIMATED FIRST/LAST ACQUISITION CATEGORY TOTAL VALUE UNIT PRICE MATURITY IKq1E
22 .000 EMC CORY M155 COM .)1 .74 2,103,310 00 1,463,000 .00 0.0 0 08/00 - 00/00 66 .50
11 .500 ENERGY EAST COMP .11 OS 232,409.25 226,412.00 4 .4 10.1L0 03/00 - 03/00 CON 11 .69
2,740 Ef(TREME MEi1010f+ 7110 .OS .OS 214,175 .06 107,i0i .50 0 .0 0 OD/00 - 00/00 CON 39 .13
60,965 E)Oml1 MOBIL [0117 i .10 1 .90 1,909,996 .79 5,995,679.17 2.0 121,370 OE/L9 - 0'J98 con 86 .94
50,000 FNEODIE MRt [p1 1 .66 .00 2 .090,5.0 .00 3,443r760.00 0,9 34,000 46 .86 asiao - 0ei00 O
56,)70 FAMlIE f1AE C01 L .]0 115 1 .062,070 06 4,920,717 .50 1 .2 63 .56! 1L75 - 01/99 16 .75
67,500 FISENV INC COM 1 .55 .75 2,309,332 .50 3,202,065.00 0 0 0 09/19 - 04/99 97 .44
2,700 FOREST LABS INC CL R CO" .17 .08 217,119.50 356,762.50 0 .0 0 03/00 - 03/00 132 "88
1 .490 FOll10RY HET1O11R5 INC .0i .O1 219.346 .69 37,150.00 0 .0 0 08/00 - 00/00 ED" 15.00
154,000 GENERAL ELEC CO CQ1 3 .34 1 .61 99,044.36 6,103,072 .00 1 .3 92,160 0E/69 - 0974 4 " 74
13,40 GEORGIA GULF COMP CON PAR 1 .001 .11 .05 272 .991 .50 32!,644 .20 1 .0 O,isE 03/00 - OS/00 17.06
95,000 IIOfQ DEPOT INC COM 2 OS 91 1,47",607 50 4,146064 .00 G 1 14 .660 00/97 - 0E/97 45 69
52,700 IHGERSOLL RAN0 CO CQ1 1 07 52 2,611,190 70 2,206,012 60 1 6 55,03 07/97 - 12/91 41 68
-
STATEMENT OF ASSETS AND LIABILITIES ACCOUNT !1lBEp SB-021S-00-9 QOM OFFICER Y76 AS OF 1L31/00 JAMES GRAHAM BROW FON TR WA SR INV OFFICER T26
VALUATION STATEMENT PACE 6
YIELD A7 FACE AMOUNT / NO . SHARES DESCRIPTION OF ASSET MR /. OF % OF INVENTORY MARKET VALUE/ IfARICEt/ ESTIMATED F1R5T/L15T ACQUISITION CATEGORY TOTAL VALUE LIMIT PRICE MATURITY INCOME
93,600 INTEL CORY tOM 1 36 .66 1,012,379.70 2,B13,E96 .00 0 .2 - .468 12/95 - 03/97 30 .06
51,200 3NfEI1R8L1C GROUP COS 11t [q1 1 .22 .59 2.380,190 .00 2,51",729.0 0 .0 !2.49f 11/99 - 05/00 42 .56
7 .740 IVA% CORP 101 .14 .07 313,422 .64 216,442 .00 0.2 774 08/00 - 09/00 30 .30
20,900 JOS WSVIUSE CORY .50 .L0 2,302,131 32 1,204,7E3 .20 0 .0 0 11/00 - 1L00 C01 41 .61
'C7 23,300 JOHNSON t JOHNSON 1.1E .57 =,17e,216 15 2,447,967 .90 1 .i 29 .E24 O 00/79 - 1L00 CO" 105 .06
3,400 JOHNSON CTLS INC CON .0! 04 IEE,291 66 17,000 .00 2 .3 4,216 47 62 .00 03/00 - 03/00
39,200 KIfOfRLYtLhRll COMP t01 1 .14 .45 2,567,E46 96 2.01,048.00 1 5 02,336 1L00 - 11/00 70 .49
7,000 ROHL4 CORP CQ1 21 10 525.5 .1 35 427,000 .00 0.0 0 03/00 - 03/00 61.00
44,740 LINEAR TECHNOLOGY COMP CON 1.00 .4E "5e,221 .60 2,06f,L=b .00 0.2 5,561 04/76 - 0300 46 .6
56,100 MCIt IINT CORP His 1 .84 .09 2.026,640,10 3,E16,990 .E0 0 .1 5,660 03/99 - 05/00 CON 67 .44
21,500 HARSH t MCLE1fUN COS INC 1 .22 .59 2,039,791 .00 !,515,500 .00 1 .7 45 .000 03/00 - 03/00 COH 117 .00
81840 MARTIN MARIETTA MATIS INC .ld .07 451,192 74 374,TTE .00 1 .3 G,16! 04/00 - 04/00 CON 42 34
103,800 MASCO CORP 1 .29 .62 2,056,087 62 2 .666,014 .40 2 O 61,976 11/99 - 05/00 cc" 25 69
~nl-c ,z4~~a
-
1 7zvo~0 o
STATEMENT OF ASSETS ANC LIABILITIES ACCOUNT Ix11BEp 10-021]-00-9 ADM OFFICER Y76 AS OF It/31/00 JAMES GRIMM BROWN FON TR V/4 SR INY OFFICER T26
VALUATION STATEMENT PACE 7
MELD AT FACE Al1U1R7T / N0 . SHARES DESCRIPTION OF ASSET MR / OF '/. OF INVENTORY MARKET VALUFj' MARKET/ ESTIMATED FIRST/LAST ACGU25ITIOM CATEGORY TOTAL VALUE UNIT PRICE MATURITY INCOME
35,330 MAXIM INTEGRATED PRODS INC .02 .39 "!7,272 .19 1.4e7,L3I .t9 0 .0 O 04/97 - 04/77 CO" .7.63
63,418 IFOTRONIt INC 2 .03 1 .10 3,020,049 E5 5,037,569.2b 0 .3 16,6E8 09/9a - 1VU0 COlI "0.34
50,000 MERCK 1 CO INC 2 .26 1.07 69!,503 .33 4,601.00.00 1 .4 .0,000 03/90 - 03/70 cc" '13"
5,000 MERCURY INTERACTIVE CORD .13 .06 576,653 .e! !77,170.00 0 .0 0 OE/00 - 06/00 [q4 ~~~ta
b 7,310 MEiTLER TOLEDO tNTLIRlATIONAI .19 .09 256,S1E.32 400,200.00 0.0 O ;n osi00 - 06/00 can
'O
54.38
60,000 MICROSOFT CORP 1 .26 .61 669,679.b0 2,602,500 .00 0.0 0 43 .55 1!95 - 1!95 cam
4,7E0 MINIMED INC COM .10 .05 3t9,473 .93 200,900 .10 0 0 O 00/00 - 08/00 42 "0;
69 .000 NATIONAL CITY CORY 1 17 56 25.75E 62 2 .015,000 00 3 1 95,7.0 0E/61 - 08/69 CON Z8.75
10,320 NATIONAL COMM 611KORP Cd7 .22 .11 SS",4lS E1 453,920.00 2 .1 9,526 03/00 - 12/00 24.75
90,000 ORACLE CORP .67 .13 2,115,E76 .00 1,375,024 .00 0 .0 0 08/00 - 00/00 COl1 L9.06
70,500 PMI CROUP INC 1 .13 .55 1,240,085 .00 2,335,236 .00 0.2 6,620 02/97 - 03/97 COM 67 .9
47,000 P!i FINANCIAL SVGS CRWP 1 64 .00 17,771 .15 3,433,761 .00 2 .6 10.240 OE/67 - OB/69 Co" MANE CHANGED FROM iNC SK CORP) 73 .06
E,400 PARKER HAMIIFIN LOIN .10 .09 117,591.40 170, 50 .00 1 .5 5,712 03/00 ^ 03/00 cam 44 .13
-
A9M OFFICER Y76 INV OFFICER TZ6
PACE r
YIELD AT MARKET VALUE/ MARKET/ ESTIMATED UNIT PRICE MATURITY INCOME
3,312,000 .00 0 .9 31,6E0 " 6.00
271.139 .00 3.0 30,36 38.19
3 .908,760.00 3.3 21,0E0 44 .36
369,216.7s 0.0 0 06.E6
2 .176627.00 0 .1 3 .4E0 75 .0
L20,115.08 0 .5 1,135 62 .61
3,167,066 .50 2 .1 67,321 97 75
1,947,384 .00 0.3 7,100 108 .19
3,543,750 .00 0.0 0 62 .50
3,217,5Q" .50 0.1 SO .lEE 7 .94
1,7p6,312 .60 0 0 0 67 .5
947,7b0 00 0 .0 0 27 86
275,400 .00 0 0 151 3 .00
.11 .09 316.233 .1e
1 .53 70 803,E53 36
94 .46 1,10,992 60
1 .71 .61 l,947,E77 00
1 .55 75 2,23,421 55
67 32 2,407 .374 95
.46 .22 2 .13E .625 .50
.13 06 46o,105 S3
r1 U
STATEMENT OF ASSETS AND LIABILITIES RS OF 1L3L00
VALUATION SrATEMENT
FACE &IOII.T / !O . SHIRES DESCRIPTION Of ASSET FIRST/LA'T ACQUISITION
7t .000 PFIZER INC 11/99 - 11/99 CON
7,100 PIEDMONT HAT GAS INC 05/00 - 03/00 can
34,000 VNAXAIR INC 12/17 - 12/97 CON
8,250 PROTEIN DESIGN LABS INC CUM OE/00 - 09/00
b r'd 29,000 RADIAN GROUP Ilk'
04/19 - 04/19 cc" ISTOCK MERGER)
,R7 5 .160 RAOXOSHACK CORP 08/00 - 05/00 cc"
66,126 SBC COMMUNICATIONS INC CON Ol/90 - 11/90
10 .000 SPX CONY [OM 05/00 - 05/00
56,700 SJ1FE11AY INC Cpl NEW 01119e - 06i00
40 .250 SCHLUMBERGER LTD CON 05/!0 - OL99
20.500 SIEBEL SYS INC 11/00 - 11/00 CON
34,000 SUN MICROSYSTEMS INC CON oeioo - oeioo
7,650 SYMBOL TECHNOLOGIES INC CON OSi00 - Ol/00
/- 07Zq0loD
ACCOUNT NUMBER 38-0213-00-9 JAMES CRfXAM BROWN fON TA U/A 50.
MR ' DF 7 OF INVENTORY CATEGORY TOi11L VALUE
1 60 .77 2,521 .006 00
.13 .06 1E7,062 .77
.73 .35 1 .504,61b.60
.10 .07 754,644 .87
1 .05 .51 l,tll1e51 .l0
-
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% * 94b 090,19 LIT 010,161,21,011
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19*140 (10111T 1*0 081SWU61f
ST I fS D"Ift 010 00,00055L613
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00/10 - 00/10 SCIMIS&I 50' oT* ND3 03 simam w3w 009410
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00/50 - 96/21 19 %119SSIZ tv 19*1 dd03 13WAVI 004-96
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THE FOLLOWING 2000 STOCK SALES ARE OF THIS MATURE
$19914so
PRO-FORMA
James Graham Brown Foundation Inc (61-0724060) Sehaduie Re Adjustment To National City Bank CapiLal Gain Schedule
99OPF For 12131=00
- FOR THOSE STOCKS SOLD AT A GAIN THAT WERE HELD AT MR BROWN's DATE OF DEATH (3130159) WE ARE ABLE TO DETERMINE GAIN USING THE FhKV AT IV31159 IF IT IS GREATER THAN THE OLD BOOK BASIS NCTCOETERMINESGAIN USING OLD BOOK BASIS
PER SHARE NO.SNARES
SOLD BOOK 12131169 ORGANIZATION IN 200 BASIS FMV
LGE(100% Sold) 39000 677
ADRI TMENT TO NATIONAL CITY TRUST CAPITAL GAIN SCHEDULE
NET BASIS INCREASE DIFF & GAIN DECREASE
952 S275 $109450
-
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PRO-FORMA
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61-0724060 JAMES GRAHAM BROWN FOUNDATION, INC.
SUPPLEMENTAL INFORMATION, PART XV, LINE 2,990-PF, 2000
Applications received by James Graham Brown Foundation . Inc, 4350 Browsborci Road, Suite 200 LouisvIlle, Kentucky, 40207, (502)896-2440
Grant requests are initiated by the submission of a one to two page letter which describes (1) the background and work of the organization making the request, (2) the specific project for which the grant request is being made, (3) the total cost of the project, and (4) that amount of the project which the Brown Foundation is being requested to fund A determination by the I R S that a group is a 501(c)(3) tax exempt organization . must accompany this letter A preliminary review of the above materials, will generally provide sufficient detail for a determination by the Trustees as to whether a grant request will be considered Submission of a formal application will follow
In accordance with the terms of Mr James Graham Brown's Will, a very substantial part of the Foundation's available funds and assets are used to make grants to projects that will promote the well-being of the citizens of the City of Louisville and the citizens of the State of Kentucky in matters of business education, health and general welfare and advancement
The Foundation gives grants only to organizations that hold a current 501(c)(3) exemption letter from the Treasury Department
Further information contained in schedule attached, item 3, Part XV
-
PRO-FORMA
JAMES GRAHAM BROWN FOUNDATION, INC. 61-0724060
Organization Approved in Paid in Paid After 2000 2000 2000
HUMAN SERVICES
Boys'Haven 500 500 Cabbage Patch Settlement House, Inc . 300,000 300,000 Diocesan Catholic ChildreWs Home 100.000 100,000 Family and Children's Counseling Centers 450,000 450,000 Home of the Innocents 750,000 750,000 Metro United Way 700.000 700,000 Society of St Vincent de Paul, Council of Louisville 1 00,000 100,000 Volunteers of America oCKentucky, Inc Soo 500 Women's Crisis Center, Inc 35,000 35,000
Total Human Services 2 .436,000 2~436,006
HEALTH
Alabama Institute for Deaf and Blind Foundation, Inc 50,000 50.000 American Lung Association of Kentucky 500 500 Children's Hospital Foundation, Inc (Kosair) 4 .000 4,000 Day Spring 100,000 100,000 Hospice of Louisville, Inc 50,000 50,000 Kentucktana Interfaith Community 30,000 30,000 Kentucky Easter Sea] Society, Inc 4.000 4,000 Leukemia Society of America, Inc 1 .000 1,000 March of Dimes Binh Defects Foundation 500 500 Wendell Foster Center 50.000 50,000
Tot2i Health 290,000 290,000
EDUCATION
Alice Lloyd College 500,000 500.000 American Printing House for the Blind, Inc 2,000 2,000 Bellarmine College 750,000 750,000 Birmingham Southern College 50,000 50,000 Brescia University 300,000 300,000
-
0 0
CIVIC AFFAIRSIPUBLIC BENEFIT ,
(approved in 1999)
PRO-FORMA
Organization Approved in Paid in Paid After 2000 2000 2000
EDUCATION continued
Campbellsville University 300,000 300,000 Centre College 750,000 750,000 Centre College 21,000 21,000 Cerebral Palsy K I D.S Center 500 500 Georgetown College 350,000 350,000 Georgetown College 3,600 3,600 Govemor's Scholars Program, Inc 25,000 25,000 Junior Achievement of Kentucktana, Inc. 500 500 Kentucky Wesleyan College 950,000 950,000 Lindsey Wilson College 300.000 300,000 Spalding University 691,394 691,394 The David School 65 .000 65,000 The Lincoln Foundation, Inc 1,000 1,000 Thomas More College 500.000 500,000 Thomas More College 20,000 20,000 Transylvania University 500,000 500,000 Union College 500,000 500,000 Visually Impaired Preschool Services 45,749 45,749
Total Education 6,625743 6,625,743
Boy Scouts of America, Lincoln Heritage Council 5,()00 5,000 Center for Nonprofit Excellence 25,000 25.000 Kentuckiana Girl Scout Council 50,000 50,000 Kentucky Derby Museum 4.000.000 Kentucky Natural Lands Trust 500,000 500,000 Leadership Louisville Foundation, Inc 150,000 150,000 Louisville Zoological Foundation 1,000,000 1 .000,000 National Conference of Christians and Jews, Inc 1,000 1,000 New Vision Enterprises, Inc 125,000 125,000 Salvation Army of Louisville 2,000 2,000 The Jewish Community Federation 5,000 5,000 Transit Authority of River City 10,000 10,000 Wood Hudson Cancer Research Laboratory, Inc 99,000 99,000 Y M C A ofGreat