Return of Private Foundation

Transcription

1 Form Department of the Treasury Internal Revenue Service For calendar year 2009, or tax year beginning G OMB No Use the IRS Name of foundation A Employer identification number label. Otherwise, THE ROCKEFELLER FOUNDATION print Number and street (or P.O. box number if mail is not delivered to street address) Room/suite B Telephone number or type. 420 FIFTH AVENUE See Specific City or town, state, and ZIP code C If exemption application is pending, check here~ Instructions. NEW YORK, NY D 1. Foreign organizations, check here ~~ H Check type of organization: X Section 501(c)(3) exempt private foundation 2. Foreign organizations meeting the 85% test, check here and attach computation ~~~~ Section 4947(a)(1) nonexempt charitable trust Other taxable private foundation E If private foundation status was terminated I Fair market value of all assets at end of year J Accounting method: Cash X Accrual under section 507(b)(1)(A), check here ~ (from Part II, col. (c), line 16) Other (specify) F If the foundation is in a 60-month termination $ 3,317,100,678. (Part I, column (d) must be on cash basis.) under section 507(b)(1)(B), check here~ Part I Analysis of Revenue and Expenses (a) Revenue and (b) Net investment (c) Adjusted net (d) Disbursements (The total of amounts in columns (b), (c), and (d) may not for charitable purposes necessarily equal the amounts in column (a).) expenses per books income income (cash basis only) Revenue Operating and Administrative Expenses a Gross rents ~~~~~~~~~~~~~~~~ b Net rental income or (loss) 6a Net gain or (loss) from sale of assets not on line 10 ~~ Gross sales price for all b assets on line 6a ~~ Capital gain net income (from Part IV, line 2) ~~~~~ 8 Net short-term capital gain ~~~~~~~~~ 9 Income modifications~~~~~~~~~~~~ Gross sales less returns 10a and allowances ~~~~ 11 b Less: Cost of goods sold ~ c Gross profit or (loss) ~~~~~~~~~~~~ 12 Total. Add lines 1 through PF 14 or Section 4947(a)(1) Nonexempt Charitable Trust Treated as a Private Foundation Note. The foundation may be able to use a copy of this return to satisfy state reporting requirements. Compensation of officers, directors, trustees, etc. ~~~ 15 Pension plans, employee benefits ~~~~~~ 16a Legal fees~~~~~~~~~~~~~~~~~ STMT 4 b Accounting fees ~~~~~~~~~~~~~~ STMT 5 c Other professional fees ~~~~~~~~~~~ STMT Total operating and administrative expenses. Add lines 13 through 23 ~~~~~ Total expenses and disbursements., and ending Check all that apply: Initial return Initial return of a former public charity Final return Amended return Address change Name change Contributions, gifts, grants, etc., received ~~~ Check X if the foundation is not required to attach Sch. B Interest on savings and temporary cash investments ~~~~~~~~~~~~~~ Dividends and interest from securities~~~~~ Other income ~~~~~~~~~~~~~~~ Other employee salaries and wages~~~~~~ Interest ~~~~~~~~~~~~~~~~~~ Taxes~~~~~~~~~~~~~~~~~~~ STMT 7 Depreciation and depletion ~~~~~~~~~ Occupancy ~~~~~~~~~~~~~~~~ Travel, conferences, and meetings ~~~~~~ Printing and publications ~~~~~~~~~~ Other expenses ~~~~~~~~~~~~~~ STMT 8 Contributions, gifts, grants paid ~~~~~~~ Add lines 24 and 25 Return of Private Foundation 1,575,170. 1,575, ,121, ,675,610. 6,778, N/A 2009 STATEMENT 1 STATEMENT 2 2,486,529. 2,341,879. STATEMENT 3 33,961, ,592,659. 3,033, ,991. 2,468, ,029,864. 2,953, ,051, ,110, ,585. 5,621, , , , , , ,073. 9,919,615. 6,937,851. 2,922,700. 1,223,102. 4,108,677. 1,205, ,510. 1,605, ,281. 2,223, ,318. 2,146,751. 2,425, ,533. 2,065, , , ,084. 2,961, ,719,865. 2,601, ,900, ,870, ,973, ,870, Subtract line 26 from line 12: a Excess of revenue over expenses and disbursements ~ -150,524,619. b Net investment income (if negative, enter -0-) ~~~ 4,722,341. c Adjusted net income (if negative, enter -0-) N/A LHA For Privacy Act and Paperwork Reduction Act Notice, see the instructions. Form 990-PF (2009) 1

2 Form 990-PF (2009) Assets Liabilities Net Assets or Fund Balances Part II Other notes and loans receivable ~~~~~~~~ 8 Attached schedules and amounts in the description column should be for end-of-year amounts only. 9 Prepaid expenses and deferred charges ~~~~~~~~~~~~~ 10a Investments - U.S. and state government obligations ~~~~~~~ STMT 11 b Investments - corporate stock ~~~~~~~~~~~~~~~~~ STMT 12 c Investments - corporate bonds ~~~~~~~~~~~~~~~~~ STMT Investments - land, buildings, and equipment: basis ~~ Total assets (to be completed by all filers) Loans from officers, directors, trustees, and other disqualified persons 23 Total liabilities (add lines 17 through 22) Foundations that follow SFAS 117, check here X Part III Balance Sheets Cash - non-interest-bearing~~~~~~~~~~~~~~~~~~~ Savings and temporary cash investments Accounts receivable Less: allowance for doubtful accounts Pledges receivable Less: allowance for doubtful accounts and complete lines 24 through 26 and lines 30 and 31. Foundations that do not follow SFAS 117, check here and complete lines 27 through 31. ~~~~~~~~~~~~ Grants receivable ~~~~~~~~~~~~~~~~~~~~~~~ Receivables due from officers, directors, trustees, and other disqualified persons ~~~~~~~~~~~~~~~~~~~~~~ Less: allowance for doubtful accounts Inventories for sale or use ~~~~~~~~~~~~~~~~~~~ Total net assets or fund balances~~~~~~~~~~~~~~~~ Total liabilities and net assets/fund balances Beginning of year End of year Page 2 (a) Book Value (b) Book Value (c) Fair Market Value 15,184,366. 3,139,463. 3,139, ,971, ,310, ,310,000. Less: accumulated depreciation ~~~~~~~~ Investments - mortgage loans ~~~~~~~~~~~~~~~~~ Investments - other ~~~~~~~~~~~~~~~~~~~~~~ STMT 14 1,923,166,671. 1,847,126,024. 1,847,126,024. Land, buildings, and equipment: basis 33,610, Less: accumulated depreciation ~~~~~~~~ Other assets (describe 9 12,034, ,071, ,576, ,576,405. STATEMENT 15 ) 89,652, ,487, ,487,939. Accounts payable and accrued expenses ~~~~~~~~~~~~~ Grants payable ~~~~~~~~~~~~~~~~~~~~~~~~ Deferred revenue ~~~~~~~~~~~~~~~~~~~~~~~ ~~~~ Mortgages and other notes payable ~~~~~~~~~~~~~~~ Other liabilities (describe STATEMENT 16 ) Unrestricted THE ROCKEFELLER FOUNDATION ~~~~~~~~~~~~~~~~~~~~~~~~~ Temporarily restricted ~~~~~~~~~~~~~~~~~~~~~ Permanently restricted~~~~~~~~~~~~~~~~~~~~~ Capital stock, trust principal, or current funds ~~~~~~~~~~~ Paid-in or capital surplus, or land, bldg., and equipment fund ~~~~ Retained earnings, accumulated income, endowment, or other funds~ Analysis of Changes in Net Assets or Fund Balances , , ,736. 1,271, ,910, ,910, ,688,839. 1,151,837,171. 1,151,837, , , ,625. 3,053,944,733. 3,317,100,678. 3,317,100,678. 7,610,772. 8,521, ,565, ,800, ,318, ,923, ,495, ,244,735. 2,853,449,174. 3,220,855,943. 2,853,449,174. 3,220,855,943. 3,053,944,733. 3,317,100, Total net assets or fund balances at beginning of year - Part II, column (a), line 30 (must agree with end-of-year figure reported on prior year s return) ~~~~~~~~~~~~~~~~~~~~~~~~~~~ 1 2,853,449, Enter amount from Part I, line 27a ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Other increases not included in line 2 (itemize) SEE STATEMENT ,060, Add lines 1, 2, and 3 ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 4 3,222,985, Decreases not included in line 2 (itemize) SEE STATEMENT ,129, Total net assets or fund balances at end of year (line 4 minus line 5) - Part II, column (b), line ,220,855,943. Form 990-PF (2009)

3 Form 990-PF (2009) THE ROCKEFELLER FOUNDATION Page 3 Part IV Capital Gains and Losses for Tax on Investment Income (a) List and describe the kind(s) of property sold (e.g., real estate, (b) How acquired (c) Date acquired (d) Date sold P - Purchase 2-story brick warehouse; or common stock, 200 shs. MLC Co.) D - Donation (mo., day, yr.) (mo., day, yr.) 1a b c d e a b c d e a b c d e SEE ATTACHED STATEMENTS (e) Gross sales price (f) Depreciation allowed (g) Cost or other basis (h) Gain or (loss) (or allowable) plus expense of sale (e) plus (f) minus (g) 683,930, ,705, ,924,452. Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69 (l) Gains (Col. (h) gain minus (j) Adjusted basis (k) Excess of col. (i) col. (k), but not less than -0-) or (i) F.M.V. as of 12/31/69 Losses (from col. (h)) as of 12/31/69 over col. (j), if any If gain, also enter in Part I, line 7 2 Capital gain net income or (net capital loss) If (loss), enter -0- in Part I, line 7 ~~~~~~ 2 3 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6): If gain, also enter in Part I, line 8, column (c). If (loss), enter -0- in Part I, line 8 3 Part V Qualification Under Section 4940(e) for Reduced Tax on Net Investment Income (For optional use by domestic private foundations subject to the section 4940(a) tax on net investment income.) If section 4940(d)(2) applies, leave this part blank. Was the foundation liable for the section 4942 tax on the distributable amount of any year in the base period? If "Yes," the foundation does not qualify under section 4940(e). Do not complete this part. 1 Enter the appropriate amount in each column for each year; see instructions before making any entries. (a) (b) (c) Base period years Calendar year (or tax year beginning in) Adjusted qualifying distributions Net value of noncharitable-use assets rqs pmo pmo N/A -4,924, ,924,452. ~~~~~~~~~~~~~~~~ Yes X No (d) Distribution ratio (col. (b) divided by col. (c)) 181,791,285. 3,705,828, ,037,622. 3,907,395, ,543,866. 3,450,686, ,240,608. 3,134,571, ,058,770. 2,950,492, Total of line 1, column (d) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 2 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~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Enter the net value of noncharitable-use assets for 2009 from Part X, line 5 ~~~~~~~~~~~~~~~~~~~~~ 4 3,021,756, Multiply line 4 by line 3 ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 5 155,278, Enter 1% of net investment income (1% of Part I, line 27b) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 6 47, Add lines 5 and 6 ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 7 155,326, Enter qualifying distributions from Part XII, line 4~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 8 177,816,198. 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 Form 990-PF (2009) 3

4 Form 990-PF (2009) THE ROCKEFELLER FOUNDATION Page 4 Part VI Excise Tax Based on Investment Income (Section 4940(a), 4940(b), 4940(e), or see instructions) 1a Exempt operating foundations described in section 4940(d)(2), check here and enter "N/A" on line 1. Date of ruling or determination letter: (attach copy of letter if necessary-see instructions) b Domestic foundations that meet the section 4940(e) requirements in Part V, check here X and enter 1% 1 47, c All other domestic foundations enter 2% of line 27b. Exempt foreign organizations enter 4% of Part I, line 12, col. (b) Tax based on investment income. Subtract line 4 from line 3. If zero or less, enter -0- ~~~~~~~~~~~~~~~~~ a 2009 estimated tax payments and 2008 overpayment credited to 2009 ~~~~~~~~ b Exempt foreign organizations - tax withheld at source ~~~~~~~~~~~~~~~~ c Tax paid with application for extension of time to file (Form 8868) ~~~~~~~~~~~ d Backup withholding erroneously withheld ~~~~~~~~~~~~~~~~~~~~~ Total credits and payments. Add lines 6a through 6d ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Enter any penalty for underpayment of estimated tax. Check here X if Form 2220 is attached ~~~~~~~~~~~~~ 9 Tax due. If the total of lines 5 and 8 is more than line 7, enter amount owed ~~~~~~~~~~~~~~~~~~~~ 9 10 Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid ~~~~~~~~~~~~~~ 10 1,952, Enter the amount of line 10 to be: Credited to 2010 estimated tax 1,952,777. Refunded Part VII-A Statements Regarding Activities 1a During the tax year, did the foundation attempt to influence any national, state, or local legislation or did it participate or intervene in Yes No any political campaign? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 1a X b Did it spend more than $100 during the year (either directly or indirectly) for political purposes (see instructions for definition)? ~~~~~~ 1b X If 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 foundation in connection with the activities. c Did the foundation file Form 1120-POL for this year? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 1c X 2 3 d Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year: (1) On the foundation. $ 0. (2) On foundation managers. $ 0. e Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed on foundation managers. $ 0. 4a Did the foundation have unrelated business gross income of $1,000 or more during the year? ~~~~~~~~~~~~~~~~~~~~~ of Part I, line 27b~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) ~~~~~~~~~ Add lines 1 and 2 ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) ~~~~~~~~ Credits/Payments: Has the foundation engaged in any activities that have not previously been reported to the IRS? ~~~~~~~~~~~~~~~~~~~~ If "Yes," attach a detailed description of the activities. Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles of incorporation, or bylaws, or other similar instruments? If "Yes," attach a conformed copy of the changes ~~~~~~~~~~~~~~~~~~~~~ b If "Yes," has it filed a tax return on Form 990-T for this year? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Was there a liquidation, termination, dissolution, or substantial contraction during the year? ~~~~~~~~~~~~~~~~~~~~~~ If "Yes," attach the statement required by General Instruction T. Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either: By language in the governing instrument, or By state legislation that effectively amends the governing instrument so that no mandatory directions that conflict with the state law remain in the governing instrument? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Did the foundation have at least $5,000 in assets at any time during the year? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~ If "Yes," complete Part II, col. (c), and Part XV. 8a Enter the states to which the foundation reports or with which it is registered (see instructions) NY,CA b If the answer is "Yes" to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney General (or designate) of each state as required by General Instruction G? If "No," attach explanation ~~~~~~~~~~~~~~~~~~~~~~~~~ 9 Is the foundation claiming status as a private operating foundation within the meaning of section 4942(j)(3) or 4942(j)(5) for calendar year 2009 or the taxable year beginning in 2009 (see instructions for Part XIV)? If "Yes," complete Part XIV~~~~~~~~~~~~~~ 9 X 10 Did any persons become substantial contributors during the tax year? If "Yes," attach a schedule listing their names and addresses 10 X Form 990-PF (2009) 6a 6b 6c 6d 9 pnmno 2,000, a 4b b 0. 47, ,223. 2,000,000. X X X X X X X X

5 Form 990-PF (2009) THE ROCKEFELLER FOUNDATION Part VII-A Statements Regarding Activities (continued) Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form Check here ~~~~~~~~~~~~~~~~~~~~~~~ and enter the amount of tax-exempt interest received or accrued during the year 15 N/A Part VII-B Statements Regarding Activities for Which Form 4720 May Be Required File Form 4720 if any item is checked in the "Yes" column, unless an exception applies. Yes No 1a During the year did the foundation (either directly or indirectly): (1) Engage in the sale or exchange, or leasing of property with a disqualified person? ~~~~~~~~~~~~~~ Yes X No 2 (2) (3) (4) (5) (6) Agree to pay money or property to a government official? ( Exception. Check "No" b If any answer is "Yes" to 1a(1)-(6), did any of the acts fail to qualify under the exceptions described in Regulations c Did the foundation engage in a prior year in any of the acts described in 1a, other than excepted acts, that were not corrected a At the end of tax year 2009, did the foundation have any undistributed income (lines 6d and 6e, Part XIII) for tax year(s) beginning b Are there any years listed in 2a for which the foundation is not applying the provisions of section 4942(a)(2) (relating to incorrect c If the provisions of section 4942(a)(2) are being applied to any of the years listed in 2a, list the years here. 3a At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the meaning of section 512(b)(13)? If "Yes," attach schedule (see instructions)~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Did the foundation acquire a direct or indirect interest in any applicable insurance contract before August 17, 2008? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 12 X Did the foundation comply with the public inspection requirements for its annual returns and exemption application? ~~~~~~~~~~~ 13 X Website address The books are in care of ELLEN TAUS, CFO Telephone no Located at 420 FIFTH AVENUE, NEW YORK, NY ZIP Borrow money from, lend money to, or otherwise extend credit to (or accept it from) a disqualified person? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Furnish goods, services, or facilities to (or accept them from) a disqualified person? Pay compensation to, or pay or reimburse the expenses of, a disqualified person? Transfer any income or assets to a disqualified person (or make any of either available ~~~~~~~~~~~~~ ~~~~~~~~~~~~~~ for the benefit or use of a disqualified person)?~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ if the foundation agreed to make a grant to or to employ the official for a period after termination of government service, if terminating within 90 days.) ~~~~~~~~~~~~~~~~~~~~~ section (d)-3 or in a current notice regarding disaster assistance (see page 20 of the instructions)? ~~~~~~~~~~~~~~~ Organizations relying on a current notice regarding disaster assistance check here ~~~~~~~~~~~~~~~~~~~~~~ before the first day of the tax year beginning in 2009?~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Taxes on failure to distribute income (section 4942) (does not apply for years the foundation was a private operating foundation defined in section 4942(j)(3) or 4942(j)(5)): before 2009? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ If "Yes," list the years,,, valuation of assets) to the year s undistributed income? (If applying section 4942(a)(2) to all years listed, answer "No" and attach statement - see instructions.) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ N/A,,, Did the foundation hold more than a 2% direct or indirect interest in any business enterprise at any time during the year? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ b If "Yes," did it have excess business holdings in 2009 as a result of (1) any purchase by the foundation or disqualified persons after May 26, 1969; (2) the lapse of the 5-year period (or longer period approved by the Commissioner under section 4943(c)(7)) to dispose of holdings acquired by gift or bequest; or (3) the lapse of the 10-, 15-, or 20-year first phase holding period? (Use Schedule C, Form 4720, to determine if the foundation had excess business holdings in 2009.) ~~~~~~~~~~~~~~~~~~~~~~ 4a Did the foundation invest during the year any amount in a manner that would jeopardize its charitable purposes? ~~~~~~~~~~~~~ b Did the foundation make any investment in a prior year (but after December 31, 1969) that could jeopardize its charitable purpose that had not been removed from jeopardy before the first day of the tax year beginning in 2009? 4b X Form 990-PF (2009) X X X Yes Yes Yes Yes Yes Yes Yes X X X X No No No No No No No 11 1b 1c 2b 3b 4a Page 5 X X X X X

6 Form 990-PF (2009) THE ROCKEFELLER FOUNDATION Part VII-B Statements Regarding Activities for Which Form 4720 May Be Required (continued) 5a During the year did the foundation pay or incur any amount to: (1) (2) (3) (4) (5) Carry on propaganda, or otherwise attempt to influence legislation (section 4945(e))? ~~~~~~~~~~~~~ Influence the outcome of any specific public election (see section 4955); or to carry on, directly or indirectly, any voter registration drive? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Provide a grant to an individual for travel, study, or other similar purposes? ~~~~~~~~~~~~~~~~~ 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)? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Provide for any purpose other than religious, charitable, scientific, literary, or educational purposes, or for the prevention of cruelty to children or animals? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ b If any answer is "Yes" to 5a(1)-(5), did any of the transactions fail to qualify under the exceptions described in Regulations section or in a current notice regarding disaster assistance (see instructions)? ~~~~~~~~~~~~~~~~~~~~~~~~ Organizations relying on a current notice regarding disaster assistance check here ~~~~~~~~~~~~~~~~~~~~~ c If the answer is "Yes" to question 5a(4), does the foundation claim exemption from the tax because it maintained expenditure responsibility for the grant?~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ SEE STATEMENT 18 If "Yes," attach the statement required by Regulations section (d). 6a Did the foundation, during the year, receive any funds, directly or indirectly, to pay premiums on a personal benefit contract? ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes X No b Did the foundation, during the year, pay premiums, directly or indirectly, on a personal benefit contract? ~~~~~~~~~~~~~~~~ 6b X If "Yes" to 6b, file Form a At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction? ~~~~~~~~~ Yes X No b If yes, did the foundation receive any proceeds or have any net income attributable to the transaction? N/A 7b Part VIII Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees, and Contractors 1 List all officers, directors, trustees, foundation managers and their compensation. (a) Name and address (b) Title, and average (c) Compensation (d) Contributions to (e) Expense hours per week devoted employee benefit plans (If not paid, and deferred account, other to position enter -0-) compensation allowances X X X Yes Yes Yes Yes Yes Yes X X X No No No No No No 5b Page 6 X SEE STATEMENT 17 3,033, Compensation of five highest-paid employees (other than those included on line 1). If none, enter "NE." (a) Name and address of each employee paid more than $50,000 (b) Title, and average (d) Contributions to (e) Expense hours per week employee benefit plans (c) Compensation and deferred account, other devoted to position compensation allowances CHUN LAI MANAGING DIRECTOR OF INVESTMENTS 420 FIFTH AVENUE, NEW YORK, NY , , ARIEL PABLOS-MENDEZ MANAGING DIRECTOR 420 FIFTH AVENUE, NEW YORK, NY , , SAMANTHA GILBERT CHIEF HUMAN RESOURCES OFFICER 420 FIFTH AVENUE, NEW YORK, NY , , VICTORIA VYSOTINA ASSOCIATE DIRECTOR OF INVESTMENTS 420 FIFTH AVENUE, NEW YORK, NY , , DOUGLASS COYLE ASSOCIATE DIRECTOR OF INVESTMENTS 420 FIFTH AVENUE, NEW YORK, NY , , Total number of other employees paid over $50, Form 990-PF (2009)

7 Form 990-PF (2009) THE ROCKEFELLER FOUNDATION Part VIII Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees, and Contractors (continued) 3 Five highest-paid independent contractors for professional services. If none, enter "NE." (a) Name and address of each person paid more than $50,000 (b) Type of service (c) Compensation STATE STREET BANK AND TRUST 2 AVENUE DE LAFAYETTE, BOSTON, MA CUSTODIAL SERVICES 1,250,231. GENERATION INVESTMENT MANAGEMENT U.S., LLP INVESTMENT ONE BRYANT PARK 48TH FL., NEW YORK, NY MANAGEMENT 654,276. MARATHON ASSET MANAGEMENT, LP INVESTMENT ONE BRYANT PARK 38TH FL., NEW YORK, NY MANAGEMENT 622,117. EMERGING MARKETS MANAGEMENT, LLC TH INVESTMENT STREET RTH, 17TH FL., ARLINGTON, VA MANAGEMENT 614,080. SOUTHEASTERN ASSET MANAGEMENT INVESTMENT 6410 POPLAR AVE, STE. 900, MEMPHIS, TN MANAGEMENT 533,339. Total number of others receiving over $50,000 for professional services Part IX-A Summary of Direct Charitable Activities List the foundation s four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of organizations and other beneficiaries served, conferences convened, research papers produced, etc. 1SEE STATEMENTS 27 AND 28 9 Expenses Page ,055, Part IX-B Summary of Program-Related Investments Describe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2. 1 Amount SEE STATEMENT , SEE STATEMENT ,000. All other program-related investments. See instructions. 3SEE STATEMENTS 31 AND 32 Total. Add lines 1 through 3 J 146, ,960. Form 990-PF (2009)

8 Form 990-PF (2009) THE ROCKEFELLER FOUNDATION Part X Minimum Investment Return (All domestic foundations must complete this part. Foreign foundations, see instructions.) Page a b c d e Total (add lines 1a, b, and c) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 5 Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4 ~~~~~~~~~~ 6 Minimum investment return. Enter 5% of line 5 6 Distributable Amount (see instructions) (Section 4942(j)(3) and (j)(5) private operating foundations and certain Part XI foreign organizations check here and do not complete this part.) 1 2a b c Fair market value of assets not used (or held for use) directly in carrying out charitable, etc., purposes: Average monthly fair market value of securities ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Average of monthly cash balances ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Fair market value of all other assets ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Reduction claimed for blockage or other factors reported on lines 1a and 1c (attach detailed explanation) ~~~~~~~~~~~~~~~~~~~~~~ Acquisition indebtedness applicable to line 1 assets ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Subtract line 2 from line 1d~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see instructions) ~~~~~~~~ Minimum investment return from Part X, line 6 ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Tax on investment income for 2009 from Part VI, line 5 ~~~~~~~~~~~ 2a 47,223. Income tax for (This does not include the tax from Part VI.) ~~~~~~~ Add lines 2a and 2b ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Distributable amount before adjustments. Subtract line 2c from line 1 7 Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII, line 1 1e 2b ~~~~~~~~~~~~~~~~~~~~~~~ Recoveries of amounts treated as qualifying distributions~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Add lines 3 and 4 ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Deduction from distributable amount (see instructions) Part XII 9 Qualifying Distributions (see instructions) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 0. 1a 1b 1c 1d c ,052,319, ,784,315. 3,668,930. 3,067,772, ,067,772, ,016,591. 3,021,756, ,087, ,087, , ,040,585. 2,750, ,791, ,791, a b 2 3 a b Amounts paid (including administrative expenses) to accomplish charitable, etc., purposes: Expenses, contributions, gifts, etc. - total from Part I, column (d), line 26 ~~~~~~~~~~~~~~~~~~~~~~ Program-related investments - total from Part IX-B Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc., purposes~~~~~~~~~ Amounts set aside for specific charitable projects that satisfy the: Qualifying distributions. Add lines 1a through 3b. Enter here and on Part V, line 8, and Part XIII, line 4~~~~~~~~~ Adjusted qualifying distributions. Subtract line 5 from line 4 ~~~~~~~~~~~~~~~~~~~~~~~~~~~ Note. ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Suitability test (prior IRS approval required) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Cash distribution test (attach the required schedule) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Foundations that qualify under section 4940(e) for the reduced rate of tax on net investment income. Enter 1% of Part I, line 27b ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ The amount on line 6 will be used in Part V, column (b), in subsequent years when calculating whether the foundation qualifies for the section 4940(e) reduction of tax in those years. Form 990-PF (2009) 1a 1b 2 3a 3b ,103, ,960. 1,005, ,816, , ,768,

9 Form 990-PF (2009) THE ROCKEFELLER FOUNDATION Page 9 Part XIII Undistributed Income (see instructions) 1 2 Undistributed income, if any, as of the end of 2009: 3 4 a Enter amount for 2008 only ~~~~~~~ b Total for prior years: afrom 2004 bfrom 2005 c From 2006 dfrom 2007 efrom 2008 f Total of lines 3a through e ~~~~~~~~ aapplied to 2008, but not more than line 2a ~ bapplied to undistributed income of prior c Treated as distributions out of corpus eremaining amount distributed out of corpus 5 Excess distributions carryover applied to 2009 ~~ (If an amount appears in column (d), the same amount must be shown in column (a).) 6 Enter the net total of each column as indicated below: a Corpus. Add lines 3f, 4c, and 4e. Subtract line 5~~ bprior years undistributed income. Subtract c Enter the amount of prior years undistributed income for which a notice of deficiency has been issued, or on which the section 4942(a) tax has been previously assessed ~~~~~~~~~~~~~~~ dsubtract line 6c from line 6b. Taxable eundistributed income for Subtract line f Undistributed income for Subtract Distributable amount for 2009 from Part XI, line 7 ~~~~~~~~~~~~~~~~~,, Excess distributions carryover, if any, to 2009: ~~~ ~~~ ~~~ ~~~ ~~~ Qualifying distributions for 2009 from Part XII, line 4: $ years (Election required - see instructions) ~ (Election required - see instructions) Excess distributions carryover to aexcess from 2005~ bexcess from 2006~ c Excess from 2007~ dexcess from 2008~ eexcess from 2009 ~~~ dapplied to 2009 distributable amount ~~~ line 4b from line 2b ~~~~~~~~~~~ amount - see instructions ~~~~~~~~ 4a from line 2a. Taxable amount - see instr.~ lines 4d and 5 from line 1. This amount must be distributed in 2010 ~~~~~~~~~~ Amounts treated as distributions out of corpus to satisfy requirements imposed by section 170(b)(1)(F) or 4942(g)(3) ~~~~ Excess distributions carryover from 2004 not applied on line 5 or line 7 ~~~~~~~ Subtract lines 7 and 8 from line 6a ~~~~ Analysis of line 9: 134,627, ,627, (a) (b) (c) (d) Corpus Years prior to ,075, ,791, ,791, ,024, ,100, ,100, Form 990-PF (2009) 9

10 Form 990-PF (2009) THE ROCKEFELLER FOUNDATION Part XIV Private Operating Foundations (see instructions and Part VII-A, question 9) N/A 1 a If the foundation has received a ruling or determination letter that it is a private operating foundation, and the ruling is effective for 2009, enter the date of the ruling ~~~~~~~~~~~ b Check box to indicate whether the foundation is a private operating foundation described in section ~~~ 4942(j)(3) or 4942(j)(5) 2 a Enter the lesser of the adjusted net Tax year Prior 3 years income from Part I or the minimum (a) 2009 (b) 2008 (c) 2007 (d) 2006 (e) Total b 85% of line 2a ~~~~~~~~~~ c Qualifying distributions from Part XII, d Amounts included in line 2c not e Qualifying distributions made directly 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 ~~~~~~ b c "Support" alternative test - enter: (1) (2) (3) (4) Gross investment income Part XV Supplementary Information (Complete this part only if the foundation had $5,000 or more in assets at any time during the year-see 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 if they have contributed more than $5,000). (See section 507(d)(2).) NE 2 investment return from Part X for each year listed ~~~~~~~~~ line 4 for each year listed ~~~~~ used directly for active conduct of exempt activities ~~~~~~~~~ for active conduct of exempt activities. (2) Value of assets qualifying under section 4942(j)(3)(B)(i) ~ "Endowment" alternative test - enter 2/3 of minimum investment return shown in Part X, line 6 for each year listed ~~~~~~~~~~~~~~ Total support other than gross investment income (interest, dividends, rents, payments on securities loans (section 512(a)(5)), or royalties)~~~~ Support from general public and 5 or more exempt organizations as provided in section 4942(j)(3)(B)(iii) ~~~ Largest amount of support from an exempt organization ~~~~ 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. NE Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc., Programs: Check here9 if the foundation only makes contributions to preselected charitable organizations and does not accept unsolicited requests for funds. If the foundation makes gifts, grants, etc. (see instructions) to individuals or organizations under other conditions, complete items 2a, b, c, and d. a The name, address, and telephone number of the person to whom applications should be addressed: OFFICE OF GRANTS MANAGEMENT, FIFTH AVENUE, NEW YORK, NY b The form in which applications should be submitted and information and materials they should include: SEE STATEMENTS 25 AND 26 c Any submission deadlines: SEE STATEMENTS 25 AND 26 d Any restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other factors: SEE STATEMENTS 25 AND 26 9 Page Form 990-PF (2009) 10

11 Form 990-PF (2009) THE ROCKEFELLER FOUNDATION Part XV Supplementary Information (continued) 3 a Grants and Contributions Paid During the Year or Approved for Future Payment Recipient If recipient is an individual, show any relationship to Foundation any foundation manager status of Name and address (home or business) or substantial contributor recipient Paid during the year Purpose of grant or contribution Amount Page 11 b SEE STATEMENT 21 Total Approved for future payment 9 3a 145,129,900. Total SEE STATEMENT 22 3b 42,800, Form 990-PF (2009) 11 9

12 Form 990-PF (2009) Part XVI-A Enter gross amounts unless otherwise indicated. 1 Program service revenue: a b c d e f g 3 Interest on savings and temporary cash 4 Dividends and interest from securities 5 Net rental income or (loss) from real estate: a b 6 Net rental income or (loss) from personal 7 Other investment income ~~~~~~~~~~~~~~ 8 Gain or (loss) from sales of assets other 10 Gross profit or (loss) from sales of inventory Unrelated business income Excluded by section 512, 513, or 514 (a) (c) (b) Exclusion (d) Business code Amount code Amount 11 Other revenue: a SEE STATEMENT 23-5,216,548. 7,703,077. b c d Fees and contracts from government agencies ~~~ 2 Membership dues and assessments ~~~~~~~~~ investments ~~~~~~~~~~~~~~~~~~~~ Debt-financed property ~~~~~~~~ ~~~~~~~~~~~~~ Not debt-financed property ~~~~~~~~~~~~ property ~~~~~~~~~~~~~~~~~~~~~ than inventory ~~~~~~~~~~~~~~~~~~~ 9 Net income or (loss) from special events ~~~~~~~ ~~~~~ (See worksheet in line 13 instructions to verify calculations.) Part XVI-B THE ROCKEFELLER FOUNDATION Analysis of Income-Producing Activities 14 1,575, ,367, ,754,057. Relationship of Activities to the Accomplishment of Exempt Purposes (e) Related or exempt function income Page , ,664,229. e 12 Subtotal. Add columns (b), (d), and (e) ~~~~~~~~ -2,735, ,696, Total. Add line 12, columns (b), (d), and (e) ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ 13 33,961,359. 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 foundation s exempt purposes (other than by providing funds for such purposes) Form 990-PF (2009) 12

13 Form 990-PF (2009) THE ROCKEFELLER FOUNDATION Page 13 Part XVII Information Regarding Transfers To and Transactions and Relationships With Noncharitable Exempt Organizations 1 Did the organization directly or indirectly engage in any of the following with any other organization described in section 501(c) of Yes No the Code (other than section 501(c)(3) organizations) or in section 527, relating to political organizations? a b c Transfers from the reporting foundation to a noncharitable exempt organization of: (1) (2) (1) (2) (3) (4) (5) (6) Cash ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Other assets~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Other transactions: Sales of assets to a noncharitable exempt organization ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Purchases of assets from a noncharitable exempt organization ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Rental of facilities, equipment, or other assets ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Reimbursement arrangements ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Loans or loan guarantees ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Performance of services or membership or fundraising solicitations ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Sharing of facilities, equipment, mailing lists, other assets, or paid employees ~~~~~~~~~~~~~~~~~~~~~~~~~~~~ d If the answer to any of the above is "Yes," complete the following schedule. Column (b) should always show the fair market value of the goods, other assets, or services given by the reporting foundation. If the foundation received less than fair market value in any transaction or sharing arrangement, show in column (d) the value of the goods, other assets, or services received. (a) Line no. (b) Amount involved (c) Name of noncharitable exempt organization (d) Description of transfers, transactions, and sharing arrangements A1 A1 A1 A1 500,000.BUILDING AMERICA S FUTURE 75,000.AMERICAN VET. MEDICAL ASSOC. 200,000.MYLIFE, INC. DBA QVISORY 30,000.INVESTORS CIRCLE NETWORK SEE STATEMENT 24 1a(1) 1a(2) 1b(1) 1b(2) 1b(3) 1b(4) 1b(5) 1b(6) 1c X X X X X X X X X 2a b Is the foundation directly or indirectly affiliated with, or related to, one or more tax-exempt organizations described in section 501(c) of the Code (other than section 501(c)(3)) or in section 527? ~~~~~~~~~~~~~~~~~~~~~~~~~~ Yes X No If "Yes," complete the following schedule. (a) Name of organization (b) Type of organization (c) Description of relationship N/A Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, it is true, correct, and complete. Declaration of preparer (other than taxpayer or fiduciary) is based on all information of which preparer has any knowledge. CHIEF FINANCIAL OFFICER = Signature of officer or trustee Date = Title Preparer s identifying number Preparer s Date Check if selfemployed signature = 9 O CONR DAVIES MUNNS & DOBBINS, LLP Firm s name (or yours EIN if self-employed), 60 EAST 42ND STREET, 36TH FL. 9 address, and ZIP code= NEW YORK, NY Phone no. (212) Form 990-PF (2009) Sign Here Paid Preparer s Use Only

14 CONTINUATION FOR 990-PF, PART IV THE ROCKEFELLER FOUNDATION PAGE 1 OF 8 Part IV Capital Gains and Losses for Tax on Investment Income (a) List and describe the kind(s) of property sold, e.g., real estate, (b) How acquired (c) Date acquired (d) Date sold P - Purchase 2-story brick warehouse; or common stock, 200 shs. MLC Co. D - Donation (mo., day, yr.) (mo., day, yr.) 1a EQUITY b FIXED INCOME c MISCELLANEOUS d BROOKDALE INVESTORS FIVE, LP e COPLEY INSTITUTIONAL INV FUND II LP f FREMONT STRATEGIC PROPERTY PARTNERS, L.P. g HIGHCROSS REGIONAL U.K. PARTNERS, LP h HIGHCROSS REGIONAL U.K. PARTNERS III LP i K.G. REDDING WELLS STREET OFFSHORE j M & H REALTY PARTNERS V L.P. k ORION FUND II INVESTORS LIMITED PARTNERSHIP l ORION FUND III INVESTORS LIMITED PARTNERSHIP m PHOENIX ASIA REAL ESTATE INVESTMENTS III L.P. n NAT L CAPITAL PROP TRUST II o RS PARTNERS I LP a b c d e f g h i j k l m n o a b c d e f g h i j k l m n o (e) Gross sales price (f) Depreciation allowed (g) Cost or other basis (h) Gain or (loss) (or allowable) plus expense of sale (e) plus (f) minus (g) 683,436, ,249, ,813, , , , ,178, , , , ,951. 4,673, , , , , , ,570. (i) F.M.V. as of 12/31/69 (j) Adjusted basis as of 12/31/69 (k) Excess of col. (i) over col. (j), if any If gain, also enter in Part I, line 7 2 Capital gain net income or (net capital loss) ~~ ~~~~~~ If (loss), enter "-0-" in Part I, line Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6): If gain, also enter in Part I, line 8, column (c). If (loss), enter "-0-" in Part I, line 8 i j p m o 3 (l) Losses (from col. (h)) Gains (excess of col. (h) gain over col. (k), but not less than "-0-") -7,813, , ,178, , , , ,951. 4,673, , , , , , ,

15 CONTINUATION FOR 990-PF, PART IV THE ROCKEFELLER FOUNDATION PAGE 2 OF 8 Part IV Capital Gains and Losses for Tax on Investment Income (a) List and describe the kind(s) of property sold, e.g., real estate, (b) How acquired (c) Date acquired (d) Date sold P - Purchase 2-story brick warehouse; or common stock, 200 shs. MLC Co. D - Donation (mo., day, yr.) (mo., day, yr.) 1a ACACIA CREDIT FUND III L.P. b CROW HOLDINGS REALTY PARTNERS II LP c CROW HOLDINGS REALTY PARTNERS III-A, L.P. d TRANSEUROPEAN EUROPEAN PROPERTIES LP e ARCLIGHT ENERGY PARTNERS FUND IV LP f ARCLIGHT ENERGY PARTNERS FUND III, LP g CADENT ENERGY PARTNERS II, L.P. h LATIN POWER III, LP i LIME ROCK RESOURCES C, L.P. j ACCEL X L.P. k BATTERY VENTURES VI, LP l BATTERY VENTURES VII, LP m BENCHMARK CAPITAL PARTNERS IV, LP n BENCHMARK CAPITAL PARTNERS V, LP o BENCHMARK CAPITAL PARTNERS VI, LP a b c d e f g h i j k l m n o a b c d e f g h i j k l m n o (e) Gross sales price (i) F.M.V. as of 12/31/69 (f) Depreciation allowed (g) Cost or other basis (h) Gain or (loss) (or allowable) plus expense of sale (e) plus (f) minus (g) (j) Adjusted basis as of 12/31/69 (k) Excess of col. (i) over col. (j), if any If gain, also enter in Part I, line 7 2 Capital gain net income or (net capital loss) ~~ ~~~~~~ If (loss), enter "-0-" in Part I, line Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6): If gain, also enter in Part I, line 8, column (c). If (loss), enter "-0-" in Part I, line 8 i j p m o 3 7,445. 9, , , , , ,535. 1, , , , , , , ,516. (l) Losses (from col. (h)) Gains (excess of col. (h) gain over col. (k), but not less than "-0-") 7,445. 9, , , , , ,535. 1, , , , , , , ,

16 CONTINUATION FOR 990-PF, PART IV THE ROCKEFELLER FOUNDATION PAGE 3 OF 8 Part IV Capital Gains and Losses for Tax on Investment Income (a) List and describe the kind(s) of property sold, e.g., real estate, (b) How acquired (c) Date acquired (d) Date sold P - Purchase 2-story brick warehouse; or common stock, 200 shs. MLC Co. D - Donation (mo., day, yr.) (mo., day, yr.) 1a CHARLES RIVER PARTNERSHIP XI, LP b CRP XI ANNEX FUND, L.P. c CROSSPOINT VENTURE PARTNERS 1999, L.P. d CROSSPOINT VENTURE PARTNERS 2000, L.P. e GENERAL CATALYST GROUP III, L.P. f HIGHLAND CAPITAL PARTNERS V L.P. g NEW ENTERPRISE ASSOCIATES 10 LIMITED PARTNERSHIP h NEW ENTERPRISE ASSOCIATES 12 LP i NEW ENTERPRISE ASSOCIATES 9 LIMITED PARTNERSHIP j REDPOINT VENTURES II, L.P. k SB ASIA INVESTMENT FUND II, L.P. l SEQUOIA CAPITAL IX, L.P. m SEQUOIA CAPITAL X, L.P. n SEQUOIA CAPITAL CHINA I, L.P. o SEQUOIA CAPITAL CHINA GROWTH FUND I, L.P. a b c d e f g h i j k l m n o a b c d e f g h i j k l m n o (e) Gross sales price (i) F.M.V. as of 12/31/69 (f) Depreciation allowed (g) Cost or other basis (h) Gain or (loss) (or allowable) plus expense of sale (e) plus (f) minus (g) 17, , , , , , , , ,738. 1,062,654. 3,589, , , , ,858. (j) Adjusted basis as of 12/31/69 (k) Excess of col. (i) over col. (j), if any If gain, also enter in Part I, line 7 2 Capital gain net income or (net capital loss) ~~ ~~~~~~ If (loss), enter "-0-" in Part I, line Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6): If gain, also enter in Part I, line 8, column (c). If (loss), enter "-0-" in Part I, line 8 i j p m o 3 (l) Losses (from col. (h)) Gains (excess of col. (h) gain over col. (k), but not less than "-0-") 17, , , , , , , , ,738. 1,062,654. 3,589, , , , ,

17 CONTINUATION FOR 990-PF, PART IV THE ROCKEFELLER FOUNDATION PAGE 4 OF 8 Part IV Capital Gains and Losses for Tax on Investment Income (a) List and describe the kind(s) of property sold, e.g., real estate, (b) How acquired (c) Date acquired (d) Date sold P - Purchase 2-story brick warehouse; or common stock, 200 shs. MLC Co. D - Donation (mo., day, yr.) (mo., day, yr.) 1a SEQUOIA CAPITAL GROWTH FUND III, L.P. b SEQUOIA CAPITAL INDIA GROWTH FUND I, L.P. c SEQUOIA CAPITAL ISRAEL IV, L.P. d U.S. VENTURE PARTNERS V, L.P. e U.S. VENTURE PARTNERS VI, L.P. f U.S. VENTURE PARTNERS VII, L.P. g U.S. VENTURE PARTNERS VIII, L.P. h U.S. VENTURE PARTNERS IV, L.P. i ABRY PARTNERS VI, L.P. j ALTOR FUND II LIMITED PARTNERSHIP k ALTOR FUND III LIMITED PARTNERSHIP l AMERICAN SECURITIES PARTNERS IV, L.P. m AMERICAN SECURITIES PARTNERS V, L.P. n AP CAYMAN PARTNERS II, L.P. o BC EUROPEAN CAPITAL VIII-9 a b c d e f g h i j k l m n o a b c d e f g h i j k l m n o (e) Gross sales price (i) F.M.V. as of 12/31/69 (f) Depreciation allowed (g) Cost or other basis (h) Gain or (loss) (or allowable) plus expense of sale (e) plus (f) minus (g) 2,394, , , ,545. 1,055, , , , , , ,769. 6,283. 2,980. (j) Adjusted basis as of 12/31/69 (k) Excess of col. (i) over col. (j), if any If gain, also enter in Part I, line 7 2 Capital gain net income or (net capital loss) ~~ ~~~~~~ If (loss), enter "-0-" in Part I, line Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6): If gain, also enter in Part I, line 8, column (c). If (loss), enter "-0-" in Part I, line 8 i j p m o 3 (l) Losses (from col. (h)) Gains (excess of col. (h) gain over col. (k), but not less than "-0-") 2,394, , , ,545. 1,055, , , , , , ,769. 6,283. 2,

18 CONTINUATION FOR 990-PF, PART IV THE ROCKEFELLER FOUNDATION PAGE 5 OF 8 Part IV Capital Gains and Losses for Tax on Investment Income (a) List and describe the kind(s) of property sold, e.g., real estate, (b) How acquired (c) Date acquired (d) Date sold P - Purchase 2-story brick warehouse; or common stock, 200 shs. MLC Co. D - Donation (mo., day, yr.) (mo., day, yr.) 1a BERKSHIRE FUND VI, LP b BERKSHIRE FUND VII, L.P. c CAPITAL RESOURCE PARTNERS IV, LP d CAPITAL RESOURCE PARTNERS V, LP e CHRYSCAPITAL IV, LLC f GOLDER, THOMA, CRESSEY FUND III, LP g GRAHAM PARTNERS II, LP h LITTLEJOHN FUND III, L.P. i MORGAN STANLEY PRIVATE EQUITY ASIA, L.P. j SUMMIT PARTNERS EUROPE PRIVATE EQUITY FUND, L.P. k SUMMIT VENTURES IV, LP l SUMMIT PARTNERS PRIVATE EQUITY FUND VII-A, L.P. m SUMMIT VENTURES V, LP n SUMMIT VENTURES VI, LP o THOMA CRESSEY FUND VII, LP a b c d e f g h i j k l m n o a b c d e f g h i j k l m n o (e) Gross sales price (i) F.M.V. as of 12/31/69 (f) Depreciation allowed (g) Cost or other basis (h) Gain or (loss) (or allowable) plus expense of sale (e) plus (f) minus (g) 227, , , , , ,091. 6, ,408. 5,617, , , , , ,230,128. (j) Adjusted basis as of 12/31/69 (k) Excess of col. (i) over col. (j), if any If gain, also enter in Part I, line 7 2 Capital gain net income or (net capital loss) ~~ ~~~~~~ If (loss), enter "-0-" in Part I, line Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6): If gain, also enter in Part I, line 8, column (c). If (loss), enter "-0-" in Part I, line 8 i j p m o 3 (l) Losses (from col. (h)) Gains (excess of col. (h) gain over col. (k), but not less than "-0-") 227, , , , , ,091. 6, ,408. 5,617, , , , , ,230,