for 990-pf return of private foundation...omb no 1545-0052 2@ 02 and g check all that apply initial...

OMB No 1545-0052

2@ 02 and

G Check all that apply Initial return Final return Amended return Address change Name change

Name of organization A Employer Identification number

Use the IRS label THE AOCI(EFELLEA BROTHERS FUND , INC 13-1760106

Otherwise, Number and street (or P O box number d mail is not delivered to street address) Room/suite e iele0hrne number (see page 10 d print

437 MADISON AVENUE the instructions)

or type Sae Specific 37TH FLOOR 212 812-4200

C 11 uompum eppimom la Instructions City or town, slate, and ZIP code p�,a~nv ~~ ham u

D f Forego vpanzeoma NM Mn ~ LJ

NEW YORK NY 10022-7001 z cor.ip. meeting In. esx Mt a.c* hem and area

H Check type of organization Section 501(c ~q exempt private foundation comp�� u� "~

Section 4947 (a)( 1) nononexempt charitable trust Other taxable ovate foundation E it private iounaaem .ian~.~; ~ +i.m .nai.a I Fair market value of all assets at end J Accounting method Cash x Accrual una . . . .mmso~ceNIxA> N.c*n.m

of year (from Part fl, cot (c), line ~ Other (specify) . . . . . . . . . . . . . . . . . . . F � ,n . fo.ha ..on . . .n a samonm t .nnnelia, 16 . 622 , 583 , 676 (Part 1, column (d) must be on cash basis) una.~ ..e~mmi(eyixe) a.a~n .,. ie~ F-1

Malysis of Revenue and Expenses (d) Disbursements

(The foal of amounts in cdumns (6), (c) and (a) Revenue and (b) Net investment (<) Adjusted net for charitable

(~ may not necessarily equal the amounts in expenses per income income purposes

books column (a) (see page 10 of the Instructions)

1 comneww~~ugren u . m ~.rvw(etlaaacn .aW.) 293 , 544 SCHEDULE 11

Check

0,

u if the foundation u not required to attach Sch B

2 Distributions from split-interest trusts

7 Interest on saongs and temporary cash investments 653 , 028 653 . 02

fi 4 Dividends and interest from securities 10 , 514 , 068 14 , 655 . 68

5 a Gross rents

m b (Net rental insane or (loss)

" 6 e Net gain or (loss) from sale d assets na m line 70 -90 450 , 012 b Gross sales price la all

m assets on line 6a

7 Capital gain net income (from Part IV line 2)

B Net short-term capital gain

S 9 Income modifications P 10a Gas sales less returns

and allwrantes b Less cost d goods sold

c Gross profit or (lass) (attach schedule)

71 Other income (attach sC SCHEDULE 1 659 687 -1 , 662 , 581

3

1 , 009 , 594 2 , 434 , 720 1 , 600 , 575

96 301 58 , 000

1 , 942 , 397

820 , 119 760 , 908 163 , 734 876 , 959

9 , 763 , 307 22 , 950 , 390 32 , 713 , 697

Fam990-PF(zooz) \

1 3 Compensation of officers diaclas irusleg etc

m 14 Other employee salaries and wages

15 m 16a Legalrees (a

W m a A ITU r 17 Intere M C

E is a 20

9 Occupancy

(=5 c..)

Travel, conferences and meetings

Printing and publicaUoniii

Other expenses (attach SCHEDULE 2

Total operating and administrative expenses

Add lines 13 through 23

Contributions, gifts grants paid

c 21 A

7

For Paperwork Reduction Act Nonce, see the instructions 2E1410 i ooa

For�,990-PF Return of Private Foundation Department I or Section 4947(a)(1) Nonexempt Charitable Trust Treated as a Private Foundation internal Revenue Sarnce Note The Organization maybe able to use a ropy d this return to saGSly state reporting reqwremenl

2 2 z

27 Subtract line 26 from line 12

e e.ce. of m.inu . o... ..n .n.., .oe eh .e.R.�.nft

b Net investment income (if negative, enter -0-)

Beginning of u

e Book Value

617 , 060 29 , 946 , 182

3,506 007 ~

Book Value c Fair Market Value 2 203 471 2 203, 471

22 186 599 22 186 599

17,967,577 V 17 967 '577'

NONE NONF

17 Accounts payable and accrued expenses

18 Grants payable 1 9 Deferred revenue

20 Loans from officers dnactars, trustees and deer disqualified persons

21 Mortgages and other notes payable (attach schedule)

22 Other liabilities (describe 1 )

Organizations that follow SFAS 117, check here " I and complete lines 24 through 26 and finds 30 and 31

24 Unrestricted 651 , 593, 567 571,511,335

25 Temporarily restricted

26 Permanently restricted

Organizations that do not follow SFAS 117, check here and complete lines 27 through 31 jl~

27 Capital stock, trust principal, a current funds 28 Paid-in orrapilalsurplus,aland bldg and equipment fund 29 Retained earnings accumulated income, endw~ment or other funds

30 Total net assets or fund balances (see page 16 0l the instructions) 651 , 593 , 567 571 , 511 , 335

31 Total liabilities end net usets/fund balances (see page 16 0(

JSA

2E1420 f 000

TX2526 2532 10/29/2003 10 30 42 V02-8 1 7

Attached schedules and amounts in the Balance Sheets description column should DalQ

1 Cash - non-interest-bearing 2 Savings and temporary cash investments

3 Accounts receivable 1-__---_--___17,967,577_

Less allowance for doubtful accounts 01

4 Pledges receivable Less allowance for doubtful accounts

5 Grants receivable

6 Recervables due from officers, directors, trustees, and other

disqualified persons (attach schedule) (sea papa 15 of the instructions)

7 Other notes and loans receivable (attach schedule) 1

Less allowance for doubtful accounts t

8 Inventories for sale a use

9 Prepaid expenses and deferred charges

1 0 e Investments -U S and stale government obligations (aftac SCH

b Investments -corporate stack (attach schedule) SCH 4

c Investments - corporate bonds (attach schedule) SCH 4 11 investments . land, buildings

and equipment basis ___________~____ Less accumulated depreciation (attach schedule) -------------------

12 Investments - mortgage loans 13 Investments -other (auachschedule) SCHEDULE 5 14 Land buildings and

equipment bass ~ 20 X213 i978-Less accumulated depreciation ~ SCjj 6 (attach schedule) _ _ _ _ _ _ _ _ _ 10 114 X058

1 s Other assets (PROGRAM RELATED LOANS 6 ) 16 Total assets (lo be completed by all filers -seMORTGAGES

z

the instructions) L 684,464,383 ~ 622,583,676

Analysis of Changes in Net Assets or Fund Balances

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 pnor year's return) 1 651 , 593 , 567

2 Enter amount from Part I, line 27a 2 -61 , 374 , 117 3 Other increases not included in line 2 (itemize) " ____---____ 3 4 Add lines 1, 2, and 3 4 590 , 219 , 450 5 Decreases not included in tine 2 (itemize) "_ SCHEDULE _ 7_ _--_---_ _----- 5 ~ 1-8-70-8,115 6 Total net assets or fund balances al end of year (line 4 minus line 5) - Part II, column (b), line 30 6 571 , 511 , 335

Form 990-PF (zooz)

13-1760106

SCHEDULE 8

(I) Gains (Cot (h) pain minus cot (k), but not less then -0-) or

Lenses (from cot (h))

b

Was the organization liable (or the section 4942 lax on the distribulable amount of any year in the base period? F]Yes a No If 'Yes .' the organization does not qualify under section 4940(e) Do not complete this part

1

7 Add lines 5 and 6 1 7 1 30,0

B Enter qualifying distributions from Part XII, line 4 1 8 I 33,355,673 If line 8 is equal to or greater Ihan line 7 check the bax in Pan VI line 1 b and complete that pan using a 1 °'e Tax 21e See the Pan VI insiruclions on page 17

iEiaao, 000 Form 990-PF (2002)

1a

d

(a) Gross sales price (f) Depreciation allowed (9) Cosh or other basis (or allowable) plus expense of sale

a

6

c

d

:;om late onl y for assets showing gain in column h and owned b the foundation on 1e

() F M V as of 12/31/69 0) Adjusted basis (k) Excess of cot (i) as of 12/31/69 over cot Q) if any

31 Cialfl5 af10 L05585 for i ax on investment in

(e) List and describe the kind(s) of properly sold (e g , real estate, 2-slow brick warehouse . a common slack, 200 shs MLC Co

acquired I

((d) Date sold (ma , day yr ) mo , day, yr )

(h) Gain v (loss) (e) plus (I) minus (g)

e 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) (see pages 12 and 77 of the instructions) 1r If loss , enter -0. in Part I, line 8 / 3

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) lax on net investment income )

I( section 4940(d)(2) applies, leave this part blank

1 Enter the appropriate amount in each column for each year, see page 17 of the instructions before making any entries

Base a lax penal

ear years

beginning Calendar

in) Adjusted qualifying Oatnbulians Net value c! nmc(hanfablause assets oizi~o~a~m ratio

cot b divided cd

2001 34,944,722680,759,604 0 05133

2000 40,065,977 764,665,413 0 05239 1999 35 .293 .239 665 .716 .992 0 05301

1997 26 .786,531 1 570 .237 .851

2 Total of line 1, column (d) I 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 d less than 5 years

4 Enter the net value of noncharitable-use assets for 2002 from Part X, line 5 1 4 1 589

5 Multiply line 4 byline 3

6 Enter 1 % of net investment income (11% of Part I, line 27b)

e 17 of the instructions)

'' 93 , 91

7 93 , 91 4 NO 5 93 91

Excise Tax Bayed on Investment Income (Section 4940(a), 4940(b), 4940(e), or 4948 " sae pa

1 e Exempt operating foundations described in section 4940(d)(2), check here ~ u and enter 'N/A' on line 1

Date of ruling letter _ _ _ _ _ _ _ _ - (attach copy of ruling letter If necessary -see Instructions)

b Domestic or anizatians that meet the section 4940(e) requirements in Part V, check

here " X and enter 1 % al Part I, line 27b

c All other domestic organizations enter 2% of line 27b Exempt foreign organizations enter 4% of Part I, line 12, cd (b)

2 Tax under section 511 (domestic section 4947(a)(7) trusts and taxable foundations only Others enter -0-)

7 Add lines 1 and 2 4 Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable (oundaUOns only Others enter -0-)

5 Tax based on investment income Subtract line 4 from line 3 If zero a less, enter-0-

6 Credits/Payments

e 2002 estimated lax payments and 2001 overpayment credited l0 2002 tie 100 , 200

b Exempt foreign organizations - tax withheld at source 6b NONE

c Tax paid with application for extension of time to file (Form 8868) tic NONE

d Backup withholding erroneously withheld 6d

7 Tout cretins and payments Add lines 6a through 6d

8 Enter any penalty for underpayment of estimated lax. Check here F] if Farm 2220 is attached 9 Tax due 11 the total of lines 5 and 8 is more than line 7, enter amount owed

10 Overpayment If line 7 is more than the total of lines 5 and 8, enter the amount overpaid 11.

11 Enter the amount of line 10 to be Credited to 2003 estimated tax " 6,286 Refunded 11,

1 e During the tax year did the organization attempt to influence any national state or local legislation or did Yes No

it participate or intervene in any political campaign? 1 e X b Did it spend more than E700 during the year (either directly or indirectly) for political purposes (see page

18 of the instructions for definition)? 1 b X

1l the answer is 'Yes'to 1a of 1b attach a detailed description of the activities and copes d any materials published or distributed by the organization in connector, with the activities

c Did the organization file Form 1120-POL (or this year? _ 1 c N A

d Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year (t) On the organization fl~ 5 (2) On organization managers " E

e Enter the reimbursement (if any) paid by the organization during the year for poli0cal expenditure lax imposed

on organization managers ji~ E 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? If 'Yes,'attach a conformed copy d (he changes 3 X

4 e Did the organization have unrelated business grass income of $1,000 or more during the year? 4a X b II 'Yes ' has it filed a lax return on Form 990-T for this year? 4b X

5 Was there a liquidation, termination, dissolution or substantial contraction during the year? 5 X

I( "Yes,' attach the statement required by General Instruction T

6 Are the requirements of section 508(e) (relating to sections 4941 Through 4945) satisfied either

By language in the governing instrument or

By stale legislation that effectively amends the governing instrument so that no mandatory directions

that conflict wild the state law remain in the governing instrument? 6 X

7 Did the organization have al least $5,000 in assets at any Ume during the year? I( Yes,' canplefe Part 11 cd (c) and Part XV 7 X

8 e Enter the states to which the foundation reports or with which it is registered (see page 19 of the

instruclions) 1, NEW YORK_ _ _ _ _ _ _---_

b II the answer is 'Yes' to line 7, has the organization furnished a copy of Form 990-PF to the Attorney

General (or designate) of each state as requited by General Instruction G? If 'No,' attach explanation 8b X 9 Is the organization claiming status as a private operating foundation within the meaning of section 4942Q)(3)

or 09420(5) for calendar year 2002 or the taxable year beginning in 2002 (see instructions for Part XIV on

page 25)? 11 'Yes 'complete Part XN 9 X 10 Did any persons become substantial conVibulas during the tan year? 11 Yes,'attach a schedule listing then names and addresses 10 X 11 Did the organization comply with the public inspection requirements !or its annual returns and exemption application? t t X

Web site address " fIFIW RBF ORG

12 The books are in care of "_Gf'par.n lD7g-WATSON ___ -_____-_----__________ Telephone no ~_(2;gj .P.;,2_n420P

Located at X437 MADISON AVE _NEW YORK, NY ____-----________-___ ZIP-4 ~____ 10022 _____---___--

13 Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041 -Check here "~ and enter the amount o! tax-exempt interest received a accrued during the year 0- 1 17 I

iSik Form 990-PF (2002) 3Etaao 1 000

Form 990-PF Statements Form 4720 Mav Be

JsA 3EtA50 t 000

10 TX2526 2532 10/29/2003 10 30 42 V02-8 1

File Form 4720 if any item Is checked In the "Yes' column, unless en exception applies Yes No

1 e During the year did the organization (either directly a indirectly)

(1) Engage in the sale or exchange, or leasing of property with a disqualified persons . EJ Yes OX No , ,

(2) Borrow money from, lend money to, or otherwise extend credit to (a accept it from)

adisqualified perwn? Yes X No

(7) Furnish goads, services, or facilities to (a accept them from) a disqualified person? " X 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 (a make any of either available

for the benefit or use o/ a disqualified person) ~ Yes aX No

(6) Agree to pay money or property to a government official? (Exception Check 'No"

if 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 ) 0 Yes MNo

b II any answer is "Yes' l0 1x(1)-(6), did any a( the acts tail to qualify under the exceptions described in Regulations

section 53 4941(d)-3 or in a current notice regarding disaster assistance (see page 19 0l the Instructions)? ~ 1 b X

Organizations relying on a current notice regarding disaster assistance check here - 0. 1-I

c Did the organization engage m a prior year in any of the acts described in la, other than excepted acts,

that were not corrected before the first day of the lax year beginning in 20027 . ~ C y X

2 Taxes on tenure to distribute income (section 4942) (does not apply for years the organization was a private operating foundation defined in section 49420(3) a 49420(5))

e A1 the end of tax year 2002, did the organization have any undistributed income (lines 6d

and 6e, Park XIII) for tax year(s) beginning before 2002 El Yes ~X No

If 'Yes," list iheyears " __________ . _________ . ________ . ________

b Are there any years listed in 2a for which we organization is not applying the provisions of section 4942(x)(2)

(relating to incorrect valuation of assets) to the year's undistributed income? (If applying section 4942(x)(2)

to ell years listed, answer "No* and attach statement-see page 19 of the instructions ) 2 b N

c II the provisions of section 4942(x)(2) are being applied to any of the years lisped in 2a, list the years here

7 e Did the organization hold more than a 2% direct or indirect interest in any business

enterprise al any time during the years E] Yes M No

b If 'Yes,' did it have excess business holdings in 2002 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 pill a bequest, or (7) the lapse of the 10-, 15-, a 20-year first phase holding period? (Use Schedule C, Fmn 1720, to determine

if the organization had excess business holdings m 2002) 7b , ' N

4 e Did the organization invest during the year any amount in a manner that would jeopardize its charitable purposes'! 4e X

b Did the organization make any investment in a prior year (but alter December 31, 1969) that could )eopardia its charitable

purpose that had not been removed from jeopardy before the first day of the tax year beginning in 2002 46 X

5 e 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))7 ~ Yes ~X No

(2) Influence the outcome of any specific public election (see section 4955), or to carry on, directly or indirectly, any voter registration drive? Yes X No

(7) Provide a grant to an individual for travel study, or other similar purposes'! BX Yes B No

(4) Provide a grant to an organization other than a charitable, etc , organization described in section 509(x)(1), (2), a (3) w secOm 4940(d)(2)? ~X Yes ~ No

(5) Provide far any purpose other than religious, charitable scientific, literary, a , educational purposes or for the prevention of cruelty to children a animals E]Yes ~X No

b If any answer is 'Yes'to 5x(1)-(5), did any of the transactions fail to qualify under the exceptions described in

Regulations section 53 4945 or in a current nonce regarding disaster assistance (see page 20 of the instructions)? "~ Sb^ X

Organizations relying on a current notice regarding disaster assistance check here

c If the answer is 'Yes' to question Sa(d), does the organization claim exemotion from the tax because it maintained expenditure responsibility for we grant? SCHEDULE 9 ~X Yes [D No

If 'Yes,' attach we statement required by Regulations seem 59 4945-5(d)

6 e Did the organization, during the year, receive any hinds directly or indirectly, to pay premiums on a personal benefit contract? Dyes a No

b Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract? fi'b X II you answered 'Yes'to 66, also file Form 8870

Farm 990-PF (2002)

----------------------------------------------------

Total number of others receiving over $50,000 (or professional services

Summary of Direct Charitable Activities

List [he foundation s lour largest direct charitable acliHlias dunng the lax year Include relevant statistical information such as Ire number o! organizations and other beneficiaries served conferences convened research papers produced etc

1 SEE SCHEDULE 13

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2

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3

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4

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Js+ 3Etasa I ODD

13-1760106 Form 990-PF(2002) ~~f Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees, and Contractor 7 List all officers, directors, trustees, foundation managers and their compensation (see page 20 of the instructions )

(b) Tills and average (c) compensation (a) Comnbuuon+to (a) Expense account (a) Name and address hours per, sek (I! not paid, enter ~mplqw b~n~N pane

older ellvwances CBVOIEd IO ~IIIOfI -0 and Ea1.mE vDenwi4m

SEE SCHEDULE- 10

--------------------------------------------------------------------------

2 Compensation of five highest-paid employees (other than those Included on line 1 - see page 20 of the instructions) If none, enter "NONE"

fib) Title and average ~a~ conineuuuu ~o (o) Expense account, (a) Name and address of each employee paid more than 550,000 hours per veek (c) Compertsalan ~mpiqw

it, pw

other allowances devoted to position ard a .f.md mnp~.um

SEE-SCHEDULE-11 657 .302 157 .461 NC

-------------------------------------

----------------------------------

--------------------------------

-------------------------------------1 I I I Total number of other employees paid over $50,000 I 3 Five highest-paid Independent contractors for professional services - (see page 20 of the Instructions) If none, enter

(e) Name and address of each person paid more than $50,000

SEE SCREDULE 12

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----------------------------------------------------

----------------------------------------------------

E~a~ses

Farm 990-PF (2002)

2 ------------------------ ----------------------

--------------------------------------------

1 lines t through 3 Minimum Investment Return (All domestic see page 21 of the instructions )

must complete this part

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 b Average of monthly cash balances c Fair market value of all other assets (see page 22 of the instructions) d Total (add lines 1a, b, and c) e Reduction claimed for blockage or other factors reported on lines to and

1c (attach detailed explanation) I to I Acquisition indebtedness applicable to line 7 assets Subtract line 2 from line 1d . . Cash deemed held for charitable activities Enter 1 1/2% of line 3 (for greater amount, see page 22 of the instructions) Net value of noncharrtable-use assets Subtract line 4 from line 3 Enter here and on Part V, line 4 Minimum Investment return Enter 5% of line 5

lal 597 .835 .395

2

4 5 6

471

4c

OraM Qualifying Distributions (see page 23 of the instructions)

Amounts paid (including administrative expenses) to accomplish charitable, etc , purposes Expenses, contributions, gifts, etc - total from Part I, column (d), line 26 1 a 32 Program-related investments - Total from Part IX-B 1 b Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc , purposes 2 Amounts set aside for specific charitable projects that satisfy the

Suitability test (prior IRS approval required) 3a Cash distribution test (attach the required schedule) 3b Qualifying distributions Add lines to through 3b Enter here and on Part V, line 8, and Part XIII, line 4 4 3 . Organizations that qualify under section 4940(e) for the reduced rate of lax on net investment ~I income Enter 1 % of Part I, line 27b (see page 24 of the instructions) ~ 5 Adjusted qualifying distributions Subtract line 5 from line 4 6 3' Note The amount on line 6 will be used m Part V, column (6), in subsequent years when calculating whether the foundation

qualifies for the section 4940(e) reduction of tax m those years

1 a b

2

3 a b

4 5

6

NONE

355 .673

Fam 990 "PF (2002) JSA 3E1470 1 000

1 NONE

-----------------------

-------------------------

-------------------------

------------------------------------------------

All other pmgram+elaled investments See page 21 of the inttnslions

NONE

----------------------------------------------------

2 3 4

Distnbutable Amount (see page 23 of the instructions) foundations and certain foreign organizations check here j,

1 Minimum investment return from Part X, line 6 2 a Tax on investment income for 2002 from Part VI, line 5 2a b Income tax (or 2002 (This does not include the tax from Part vi ) 2b c Add lines 2a and 2b

3 Distribulable amount before adjustments Subtract line 2c from line 1 4 a Recoveries of amounts treated as qualifying distributions 4a b Income distributions from section 4947(a)(2) trusts 4b

c Add lines 4a and 4b 5 Add lines 3 and 4c 6 Deduction from dislributable amount (see page 23 of the instructions)

i 49420(3) and 0)(5) private and do not complete this pal

2c

JSA 2E7"!0 1 p00

13-1760106 Forth 990-PF (2002)

Undistributed Income (see page 24 of the instructions)

(e) (b) (c) (d)

1 DisUibuta6le amount for 2002 from Part XI, Corpus Years prior l0 2001 2001 2002

line 7 _ 29 . 604 - 086

2 Undistributed income, ilany as dine end d 7001

e Enter amount for 2001 only NONE '

b 7otallorpwyears NONE

3 Excess distributions car . .ov er, if any, to 2002 , ,

e From 1997 NO ~ ,

b From 1998 1 , 430 , 873

c From 1999 2 , 7B2 , 094 .. . ..

d From 2000 4 , 011 , 147

-- e From 2001 1 , 012 , 828

1 Total of lines 3a through e 9 , 236 . 942

4 Qualifying distributions for 2002 from Part

XII,line 4 " E 33,355,673

e Applied to 2001, but not more than line 2a NONE

b Applied to undistributed income of prior years (Election required -see page 24 d the in5lNClians) NONE

c Treated as distributions out of corpus (Election required - see page 24 of the instructions) NONE

d Applied l0 2002 dislributable amount 29 , 604 , 086

e Remaining amount distributed out of corpus 3 , 751 , 587 5 Excess distributions carryover applied l0 2002 NO NONE

(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

e Corpus Add lines 3( 4c, and 4e Subtract line 5 12 , 988 , 529

b Prior years' undistributed income Subtract line bb from line 2b NONE

c Enter the amount of prior years' undisinbuted income for which a notice of deficiency has been issued, or on which the sedan 4942(a) fax has been previously assessed NONE

d Subtract line 6c from line 6b Taxable amount - see page 24 0l we instructions NONE

e Undistributed income for 2001 Subtract line as from line 2a Taxable amount see page 2< o! the instructions NONE

' f Undistributed income for 2002 Subtract lines 4d and 5 from line 1 This amount must be distributed m 2003 NONE

7 Amounts treated as distributions out of corpus to satisfy requirements imposed by section 170(b)(1)(E) or 4942(g)(3) (see page 24 0l the instructions) NO

e Excess distributions carryover from 1997 not applied on line 5 or line 7 (see page 25 " of the instructions) NO

9 Excess distributions carryover to 2007

Subtract lines 7 and 8 from line fia 12 , 988 , 529

10 Analysis of line 9

a Excess from 1998 1 , 430 , 873

b Excess from 1999 2 782 0-94-

c Excess from 2000 4 011 147 + ,

e Excess from 2002 3 .7551 , 587 I I Form 990-PF (zoo2)

2 e Enter the Irser d the Tax year Prior 3 years

adjusted net incane from (a) 2002 (b) 2001 (c) 7000 (d) 7999 (o) Total ___t Part I or the minimum investment velum from Pan X for each year failed

C OueLfYlnp RsInbu4wu Imn Pan

X11 line 4 for each year failed d Amount . . .d.dW in line 2 . act

mid amNr fm ~dw cmeua Of " ~ " Tpl at

e oudunnoadmewo.,made directly for .a .. m,aua d exempt d0b,W. subtract line 2d It= line 2c

7 camoi" t" U e a, i. m. en.mev.. an rallied! u,pan

0 '/web' dhemeun,a ies, anier

(1) veiu.aenev.u (2) vei..am.daueoiMnp

under sudti. 4947UN3X5N)

b Enao,.m.m dl.mew. eat Enter 20 0l minimum Tvulmiinl slum shown in Peg % line 6 fu ead, year IMeE

C Support Warrut" I., enter

(1) TdalauPPiet dMrllun gross inwstmtim in.. (ml.., Nwamm rims p.ymmts m s.cunun tuna laecum SRUMsp iii- ra,mili .)

(2) SuDVOrt(mn0enumi1 public ,n0 5 a mon . . . . pt dr,imt .ticns

s provided! in section a s

(3) LeN .si .mam a auocW Imm an exempt oryenceum

JSA 2E1490 1 000

Private Operating Foundations (see page 1-') of the instructions and Part VII-A, question 1 e I( the foundation has received a ruling or delerminaUOn letter that it is a pmate operating

foundation, and the ruling is effective for 2002, enter the date of the ruling

b Check box to indicate whether the organization is a private operating foundahon descnbed in section 494211)(3) a

b 85% of line 2a

FUUM M. Supplementary Information (Complete this part only if the organization had $5,000 or more in assets at any time during the year - see page 25 of the instructions.)

1 Information Regarding Foundation Managers a List any managers of the foundation who have contributed more than 2°.6 of the total conVi6utfons received by the founclabon

before the close of any lax year (but only if they have contributed more wan E5,000) (See section 507(d)(2) )

NONE

b List any managers of the foundation who own 10°.6 or more of the stock of a corporaUon (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 Contribution, Grant, Gift, Loan, Scholarship, etc , Programs Check here 1110' F-1 If X119 organization only makes contributions to pRSGlecied charitable organizations and does not accept unSdictlec! requests for funds

If the organization makes gills qranls etc (see page 25 d the instructions) to Individuals a organizations under other conditions complete items 2a l b, and 0

a The name, address and telephone number of the person to whom applications should be addressed

SEE SCHEDULE 14 b The form in which applications should be submitted and information and materials they should include

SEE SCHEDULE 14

c Any submission deadlines

SEE SCHEDULE 14

d Any restrictions or limitations an awards such as by geographical areas charitable fields kinds of insutuums, a ocher

lactws SEE SCHEDULE 14

Information (continued) ~s Paid During the Year or

II mamenl s an in

3 Grants a proved for F ,al Foundation to sialusd

IL' recipient

Purpose of grant or conlnbuiim

Name and address i a Paid during the year SEE SCHEDULE 15

or

Form 990-PF (2002) JSA

2E1491 1 000

Form 990-PF

Recipient

13-1760106

Total b Approved (or future payment

SEE SCHEDULE 15

Amount

22,950,390

15,377,693

NOV 16 2003 23'12 FR PWC 212 596 8999 TO 912128124299 13-1760106

P . 02/02

page 11

14 T Uated a erernPi

(uMan ,ncemc sea pft. zs a

UmaWed badness mcane IFa¢luded W section 512, 573, a

to~ Artowrt

1 Program service revenue a b c d e t g Fees and contracts bum government agencies

2 Membership dues and assessments 3 Interest on sannpe end temporary cash investments 4 Dividends and Interest from Securities 5 Net rental income or (loss) from reel estate

a Debt-financed property b Not debt-financed property

8 Net rental income or Ooss) from personal property 7 Other investment income . . . 8 Gam or (lass) from sales of assets other than inventory 9 Net income or pou) from special events 10 Gross profit or (loss) from sales of inventory 17 Other revenue a

b c d e

12 Subtotal Add columns (b), (d), and (e) 13 Total . Add line 12, columns (b), (d), and (e) lCan werksl,eel in line 13 instructions on 02q0 2(

13 (28.62 . .2291

TOTAL PRGE .02 kr

Fum BB0.CF

Enter gross amounts unless otherwise indicated (a) I (b) I lcl

BuainasemEe Nnaunl Edusimw0e

Une No I Explain below how each activity for which income is reported in column (e) of Part %VI-A contributed importantly to she accomplishment of the organization's exempt purposes (other than by providing funds for such purposes) (See page 26

F~ S90-PF pco.) s,s ~oam7r i+

1 Did the organization directly or indirectly engage in any of the following with any other organization described in section

507(c) of the Code (other than section 501(c)(3) organizations) or in section 527, relating to political organizations? e Transfers from the reporting organization to a nonchantable exempt organization of

(1) Cash

(2) Other assets

b Ocher Transactions

(1) Sales of assets to a noncharilable exempt organization

(2) Purchases of asses (ram a noncharitahle exempt organization

(3) Rental of facilities, equipment, a other assets

(4) Reimbursement arrangements

(5) Loans or loan guarantees , ,

(6) Performance of services or membership a fundraising solicitations c Sharing of facilities, equipment, mailing lists, other assets, or paid employees

d II 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 wan lair market value in any transaction or sharing arrangement, show in column (d) the value of the goods other assets a services

2 e Is the organization directly or indirectly affiliated with, or related to, we or more tax-exempt organizations described in section 501(c) of the Code (other than section 501(c)(3)) or in section 5277 F]Yes 7X No

JsA 2E1493 1 000

Form 990-PF 2007 13-1760106 Information Regarding Transfers To and Transactions and Relationships With Noncharitabte

Forr5:Pe68 (72 2000) Page 2 " If5i:Rare filing for an Additional knot automatic) 3-Month Extension, complete only Par[ II and check this box lil-0 Nag ;Only complete Part 11 if you have already been granted an automatic 3-month extension on a previously fled Form 8868 V are filing for an Automatic 3-Month Extension, complete only Part I (on page 1)

Additional (not automatic) 3-Month Extension of Time-Must File Onainal and One Copy Ty e or Name of Exempt organization

P"~ ROCKEFELLER BROTHERS FUND FueCFtne Number street, and room or suite no If a PO box see instructions etteppea cuennaieior 937 MADISON AVENUE, FLOOR 37 UhAgyhe City, town or post office stage and ZIP code For a foreign address see msfmctwns retu[Q,See insC=ans NEW YORK, N .Y 10022 CtMk type of return to be filed (File a separate application for each return) [] Form 990 n Form 990-EZ 0 Form 990-T (sec 401(a) or 408(a) trust) ~ Form 1041-A

Form 990-BL N Form 990-PF ~ Form 990-T (trust other than above) ~ Form 4720 Form 5227 0 Form 8870 Form 6069

Signature and Verification Under penalties of perju declare that I have examined this form including accompanying schedules and statements and to the best of my knowledge and belief, it is true correct and tomplet and t I am authorized to prepare this form

i 61~144-

f Signature" Title).

Notice to Applicant-To Be Completed by the IRS We have appr d this application Please attach this form to the organization s return We have not approved this application However we have granted a 70-day grace period from the later of the dat organization s return (including any poor extensions) This grace penal is considered to be a valid extension of lime made on a timely return Please attach this toxin to the organization s return W e have not approved this application After considering the reasons stated in item 7 we cannot grant your request not granting a 10-day grace period We cannot consider this application because rt was filed after the due date of the return for which an extension w: Other

octet 08/05/2003

I

By Director Date

Alternate Mailing Address - Enter the address if you want the copy of this application for an additional 3-month extension returned to an address different than the one entered above

PPICEWATERHOUSECOOPERS, LLP, ATTN N b I d

ROBERT TORTORELLA Type or pant

um er and street (inc u e suite room o . apt no ) Or a PO box number 300 P.TLPNTIC STREET, 10TH FLOG? Coy or town, province or state, and country (including postal or ZIP code STAMFORD, CT 06901

Form 8868 b12 2000) 57F FED90561` 2

Employer identification number 13-1760106 For IRS use only

STOP Do not complete Part 11 if you were not already granted an automatic 3-month extension on a previously fled Form 8868

" If the organization does not have an office or place of business in the United States, check this box ). [I " If this is for a Group Return, enter the organization's four digit Group Exemption Number (GEN) If this is for the whole group, check this box li~ 0 If it is for part of the group, check this box I, M and attach a list with the names and EINs of all members the extension is for 4 I request an additional 3-month extension of time until NOVEMBER 15 , 20D-3 5 For calendar year 2002 , or other tax year beginning , 20 - and ending , 20 -6 If this tax year is for less than 12 months, check reason E] Initial return E] Final return Ej Change in accounting period 7 State in detail why you need the extension ADDITIONAL INFORMATION I S NEEDED IN ORDER TO

PILE A COMPLETE AND ACCURATE TAY. RETURN

8a If this application is for Form 990-BL 990-PF, 990-T, 4720, or 6069, enter the tentative tax, less any nonrefundable credits See instructions $

b If this application is for Form 990-PF, 990-T, 4720, or 6069, enter any refundable credits and estimated tax payments made Include any prior year overpayment allowed as a credit and any amount paid previously with Form 8868 $

c Balance Due Subtract tine 8b from line 8a Include your payment with this form, or, if required, deposit with FfD coupon or, if required, by using EF'fPS (Electronic Federal Tax Payment System) See instructions $

of the .!o be

,e9~~ioo o6m25~jf_le ~e . are

Part I . line 1

E 50,000

50,000

10,000

5 000

5,000

49,529

100,000

5,000

5,000

5,000

5,000

4,015

E 293,544

Sascha M Rockefeller 610 Fifth Avenue New York, New York 10020

Neva Goodwin 30 Rockefeller Plaza, Room 5600 New York, New York 10112

Steven 8 Barbara Rockefeller 30 Rockefeller Plaza, Room 5600 New York, New York 10112

Mr 8 Mrs John D Rockefeller V 30 Rockefeller Plaza, Room 5600 New York, New York 10112

John D Rockefeller N 30 Rockefeller Plaza, Room 5600 New York, New York 10112

Lucy R Waletsky 30 Rockefeller Plaza, Room 5600 New York, New York 10112

Clare Pierson 30 Rockefeller Plaza, Room 5600 New York, New York 10112

Joseph Pierson 8 Julie Robbins 30 Rockefeller Plaza, Room 5600 New York, New York 10112

Rachel 8 George Gumina 30 Rockefeller Plaza, Room 5600 New York, New York 10112

Ingnd Rockefeller Wrkland 30 Rockefeller Plaza, Room 5600 New York, New York 10112

Contributions less than $5,000

Page 1 of 1

ROCKEFEILER BROTHERS FUND, INC 13-1760106 SCHEDULE 1A 437 Madison Avenue FORM 990-PF New York, New York 10022 YEAR 2002

Schedule of Contnbu4ons Gifts, Grants, etc . Received

Hope Aldnch Millstream Fund 25 West 43rd Street, Suite 1202 New York, New York 10036

Total Part I, line 1

Income from Subleases

151,662,5871

Partnership income booked on cash receipts basis

ROCKEFELLER BROTHERS FUND, INC 13-1760106 437 Madison Avenue New York, New York 10022

Schedule of Other Income

Part I . line 11

Miscellaneous Investment Income

Total line 11, col (a)

Add Other Income per Limited Partnerships K-1s (See attached schedule)

Total line 11, col (b)

SCHEDULEI FORM 990-PF YEAR 2002

103,330

556,357

$659,687

(2,322,274)

Partnership income reported for investment income tax purposes on basis of Schedules K 7

ROCNEFELLEfl BROTHERS FUND INC

73 1760106 SCHEDULE I

437 Medisan Avanus FORM 990 PF

New York Now York 70072 YEAR 2002

S chedule n

~

1 O~-=11'1 Income

Part I . fine 11 . col . Ibl

Net Income received from the following Partnerships

Deductions Related to Nat

Other Portfolio Other Income Income Income

Fir Tee Institutional Value Fund 69 962 1394 7061 4 1344 7441

Prospect Venture Partners 175 7751 175 7251

Ampersand V 1102 2681 1102 1881

Three Arch Capital 1126 7711 1 126 7771

New Enterprise Associates 10 137 9311 137 9311

TCV IV 1204 834 1204 8341

Baltic Fund 70 111 7891 117,7191

Sequoia Capital 12321 17721

Conuanan Capital 17 1661 193 1521 194318)

MaWiela VI 18 4601 I6,4fi01

Mavfie10 VII 116 246) (16246)

TIFF Paitnes I 68840 (86411) 117 5711

TIFF Partners II 11 809 1134 0871 (122 773)

TIFF Partners IV 1 006 (90543) 189 5771

Lexington Capital II 12701 1179 5651 1179 7951

Lexington Capital IV 6 772 1201 6941 1196 9601

Wesson Presidia Capital III 1130,4901 1170 4801

Wesson Presidia Capital IV (149 577) (149 531)

J H Whitney III 179 5051 179 5051

J H Whitney IV 84 181 429) 181 3451

Trinity Ventures VI 164 9841 184 984)

Trinity Ventures VII 195 6881 195,6881

Trinity Ventures VIII 191 7551 191 7551

I818 Mezzanine 180,6921 180,6921

SiICnesteiinternauonal 640 775 X204 0771 436 298

Cypress Merchant Banking (117 0041 1117 7041

Palamon European Equity 4 571 1188 1741 183 7231

DU Strategic Partners 1 010 178 4751 177 4251

Blacks one Park Ave 11861 11 0701 II 2561

5 782 8 1 7 3 1 7 105 091 1

Other income from Umited Partnerships $ 12 ]22 27 4 1

119,805 S

Total line 23 $932,017


SCHEDULE OF EXPENDITURES

Part I . lines 161a .b .c1 . 78 and 23

Legal Fees (Patterson . Belknao . Webb & Tyler),

Total line 16a

Accounting Fees (PricewaterhouseCoooers LLP)

Total line 16b

Other Professional Fees

Investment Management Fees $2,971,697 Other Investment Services 82,555 Custody Fees 195,161 Consultants' Fees 335,297 Facilities Maintenance 1,389,850

Total line 16c

Taxes Provision for Federal Excise Taxes 237,331

Total line 18

Other Exoenses

Telephone $104,274 Postage 11,034 Equipment Leases 74,514 Maintenance & Repairs 24,753 Office Supplies 53,537 General Insurance 217,476 Messenger 3,911 Temporary Help & Employment Agency Fees 124,823 Staff Development 50,699 Printing & Stationary 29,149 Collections Maintenance 36,896 Fellowship Program Miscellaneous Expenses 16,222 Leadership Program Miscellaneous Expenses 1,000 Subscriptions & Dues 26,404 Management of Employee Benefit Plans 53,433 Miscellaneous General Office Expenses 103,892

SCHEDULE 2 FORM 990-PF YEAR 2002

$ 58,000

$ 4,974,560

$ 237,331

Beginning 2002 2002 of Year Acquisitions Dispositions

956,608 45,279 -

988,575 103,485 -

3,028,683 14,148 -14,558,280 518,920 -

19,532,146 681,832 0

End of Year

1,001,887

1,092,060

3,042,831 15,077,200

20,213,978

788,489 127,404 915,893

408,255 215,619 623,874 6,984,104 824,567 7,808,671

8,865,454 1,248 ,604 10,1 14,058

Leasehold Improvements-New Office Space Leasehold Improvements


SCHEDULE OF DEPRECIATION

Bart 1 . line 19

Description

Office Equipment

Computer Equipment & Software

ASSETS

SCHEDULE 3 FORM 990~PF YEAR 2002

ACCUMULATED DEPRECIATION Reserve, 2002 Reserve, beginning Depreciation end of Year (Pert 1, line 191 0( Year

684,606 81,014 765,620

line 10b Corporate Stock

$ 9,158

1,135,292

27,903,649

37,901,691

27,614,662

25,517,166

29,642,834

40,223,929

23,194,112

12,130,437

25,348,390

59,677,880

44 132 651 37,070,816

917,188

$ 38,010,362

604,404

$ 44,732,651 $ 370,903,604 Totals


Schedule of Investments

Part II . lines 10 fa .b .cl . col . Ibl

Operating Reserve

Warburg Pincus

Security Capital Research

Indian Asset Management

Southern Asset Management

MFS Institutional Advisors

Frontier Capital

Westport Asset Management

GMG Seneca Capital

Capital International

Capital Guardian

Silchester International

Dennison Associates

Audit Adjustment

line 10a U S & State

Govt Obligations

S -


line tOc Corporate Bonds

$ 22,358

Manner Select 7 705,764

Blackstone Filth Ave 3 020 970

Blackstone Park Ave 4,529 780

PIMCO Total Return 50829 258

DU Strategic Equity 2 3<3,698

Prospect Ventures Partners II 509 788

Ampersand V 1,067 698

Fu Tree Institutional 18 672 580

TIFF Absolute Return Pool 21 146 432

New Enterprise Assoc 1 501 715

Three Arch Capital 1,343 916

Technology Crossover Ventures 7 762 977

TIFF Partners I 4 714 548

TIFF Partners II 4 777 177

TIFF Partners IV 767 859

Realty Associates Fund I V 5 474 219

Contmnan Capital 8 394,294

Maytield VII 434 948

Baltic Fund 125 000

J H Whitney 111 2 444 473

Lexington Capital II 5 177 979

Lexington Capital IV a 564,606

Trinicu Ventures VI 1 171 512

Westan Presidio Capital 111 3 653 446

Wesson Presid .o Capital IV 1 410 225

Cypress Associates 2 900 378

Palamon European Equity 2 714 779

JMB II 4 938

JMB 111 144 014

JMB IV 2 382 839

1818 Mezzanine 1 843 277

Trinity Ventures VII 1 867,009

Trinity Ventures VIII 476,972

J H Whitney IV 1 605 661

Audit Adjustment 0 239 8701

Total We 13 cal bbl 5173,247,809

ROCKEFEILER BROTHERS FUND INC

73 1760106 SCHEDULE 5

437 Madnon Avenue FORM 990-PF

New York New York 10022 YEAR 3002

hn~l .ar~ flnL

Pert II . line licoL Ihl

Part II . line 14, col Ibl

Leasehold Improvements

$10,099,920 Total line 14

ROCKEFELLER BROTHERS FUND, INC. 13-1760106 437 Madison Avenue New York, New York 10022

SCHEDULE OF LAND BUILDINGS & EQUIPMENT

Description

Office Equipment

Computer Equipment & Software

Accumulated Cost Depreciation

$1,001,887 $765,620

1,092,060 915,893

18,120,031 8,432, 545

$20,213,978 $10,114,058


Net Basis

$236,267

176,167

9,687,486

Decrease in Unrealized Appreciation

$ 18, 708,115 Total Part III, line 5


Analysis of Chances in Net Assets or Fund Balances

Part III, line 5

Change In Unrealized Appreciation/(Depreciation)

Unrealized Appreciation/(Depreciation) Beginning of Year

Unrealized Appreciation/(Depreciation) End of Year

$ 12,893,126

(5,814,989)

SCHEDULE? FORM 990 PF YEAR 2002

$ 18,708,115

Schedule of Capital Gains and Losses

Part IV, line 2

Realized Gains recorded during the year from Venture Capital Accounts

Gains per Limited Partnerships (See attached schedule) (1,699,644)

Total tine 2 (42,t49,656)

ROCI(EFELLER BROTHERS FUND, INC. 73-1760106 SCHEDULE 8 437 Madison Avenue FORM 990-PF New York, New York 10022 YEAR 2002

MFS

Frontier Capital Management

OKtbank

Rockefeller & Company

Westport Asset Management

GMG Seneca Capital Management

Silchester International

Capital Guardian

Dennison Associates

Southern Asset Management

Indian Asset Management

Warburg Pincus

Fir Tree Institutional Value Fund

Security Capital

Operating Reserve Fund

Pimco Total Return Fund

Blackstone Park Ave Fund

Gross Sales Gain or Price Cost (Loss)

57,707,728 93,288,783 (35,581,055)

14,110,179 15,926,194 (1,816,015)

108,672,846 110,616,691 (1,943,845)

2,512 2,512

9,431,876 8,956,734 475,142

80,763,890 89,000,408 (8,236,518)

4,457,037 3,205,281 1,251,756

74,000,000 13,552,595 447,405

250,392,577 248,125,315 2,267,262

18,592,792 18,965,769 (372,977)

44,132,036 43,463,301 668,735

1,871,585 2,410,772 (539,187)

1,860,654 0 1,860,654

24,292,125 24,340,276 (48,151)

49,044,349 49,020,697 23,652

6,108,778 4,421,126 1,687,652

29,380 29,380

(626,414) (626,414)

684,843,929 725,293,942

Net Gains per Books (40,450,012)

FORM 990-PF YEAR 2002

Fir Tree Institutional Value Fund $ (2,085)

Prospect Venture Partners 0

Ampersand V 0

Three Arch Capital 6,246

New Enterprise Associates 10 (44,852)

TCV IV (421,065)

Baltic Fund 2 660

Sequoia Capital 43,511

Contrarian Capital 171 7,1351

Mayfield VI (194,866)

Mayfield VII 139,968)

TIFF Partners I (170,502)

TIFF Partners II 188,664

TIFF Partners IV (5 611)

Lexington Capital II 99,394

Lexington Capital IV 159,770

Weston Presidio Capital 111 (141,509)

Weston Presidia Capital IV 508

J H Whitney III 1261,8851

J H Whitney IV (437,195)

Trinity Ventures VI (749,268)

Trinity Ventures VII (201,526)

Trinity Ventures VIII 0

1818 Mezzanine 142,360

Silchester International 7,205,004

Cypress Merchant Banking 0

Palamon European Equity (101 131)

DLJ Strategic Partners (32,487)

Blackstone Park Ave (32 676)

S 11,699,6441

ROCKEFELLER BROTHERS FUND. INC 13-1760106 437 Madison Avenue New York, New York 10022

Schedule of Limited Partnersh o5' Gams and Losses oer Schedules K-1

Part IV

PRIGRANT Name and Address of Recipient

$ 468,061 00 1,020,230 00 183,13000 429,017 25 169,432 00 217,273 75 101,969 IS 410 .886 85

$3,000,000 00

July 28, 1994 July 29, 1994 November 4, 1994 January 12, 1995 March 15, 1995 May 10, 1995 October 13, 1995 December 20, 1995

Not required

ROCICEFEI.I .EIi BROTHERS FUND, INC

GItA\T SUISJEC'1 TO EXPEND 17URE RESPONSIBILITY-2002

RAMON MAGSAYSAY 1680 Roxas Boulevard 1004, Manila PHILIPPINES

Date and Amount of Loan

AWARD FOUNDATION

Loan Re-payment through 12/31/02 <1,035,000 00>

3 Purpose of Loan

For the renovation and upgrading of the Magsaysay Center

4 Amount Expended by the Borrower

The Lender has received from Borrower narrative and financial reports certifying that the entire amount of the loan was expended for the purpose for which it was made

5 Whether the Grantee--to the knowledge of the Grantor--made any diversions of funds from the pumose of the Grant

No

6 Date of Reyorts received from the Grantee

On November 7, 1994, and May 4, 1995, Lender received narrative and expenditure reports from Borrower certifying that the entire amount of the loan was expended for the purpose for which it was made Pursuant to the loan agreement, the Lender receives quarterly unaudited financial statements from the Borrower, as well as annual audited financial statements Such financial statements have been received for each quarter and year since the loan was made

Dates and Results of the Verification of Grantee's Report(s)

#99-69

ROCIiEFELLER BROTHERS FUND. INC

GRANT SUBJECT TO EXPENDITURE RESPONSIBILITY -2002

(Remaining open from 2000 and 2001)

Name and Address of Recipient

EUROPEAN ROMA RIGHTS CENTER Post Office Box 10/24 1525 Budapest 114 HUNGARY

2 Date and Amount of Grant

12/18/00 $20,000

3 Purpose of Grant

For maintaining and enhancing the Center's research and information services

4 Amount Expended by Grantee

The entire amount Grantor has received from grantee narrative and financial reports certifying that the entire amount of the grant was expended for the purpose in which it was made

5 Whether the Grantee--to the knowledge of the Grantor--made any diversions of funds from the purpose of the Grant

No

6 Date of Reports received from the Grantee

On November 27, 2002, grantor received from grantee narrative and expenditure reports certifying that the entire amount of the grant was expended for the purpose for which it was made

7 Dates and Results of the Verification of Grantee's Report(s)

Not required

#99-173

ROCIiEFELLER BROTHERS FUND, INC


(Remaining open from 2001)

1 Name and Address of Recipient

KHAO KWAN FOUNDATION 21 Nane-Kaew Road Muang Dtsmct Suphanbun Province 72000 THAILAND


11/19/01 $30,000

3 Pumose of Grant

For its GreenNet Organic Competency Project


Not currently (mown Grantor is awaiting an updated report and has made efforts to secure same from grantee Future payments to grantees who are delinquent m subrruttmg satisfactory reports will be withheld


No


See number 4 above

7 Dates and Results of the Venfication of Grantee's Report(s)

Not required

#99-214

ROCKFFCIIER BROTHERS FLND . INC

GRANT SUBJECT TO EXPENDITURE RESPONSIBILITS -2002


I Name and Address of Recipient

VIRTUAL FOUNDATION JAPAN 3-12-6, Nukuimmamicho Koganei City, Tokyo 184-0014 JAPAN


9/14/00 $50,000

3 Purvose of Grant

Toward its core activities


Not currently (mown Grantor terminated grantee relationship on June 7, 2002 after repeated attempts to secure grant reporting


No


See number 4 above


Not required

#99-214

ROCICEFL:LLER BROTHERS FUND, INC


(Remaining open from 1999, 2000, and 2001 reports)

I Name and Address of Reciment

VIRTUAL FOUNDATION JAPAN 3-12-6, Nukuiminamicho Koganei City, Tokyo 184-0014 JAPAN


12/22/99 $50,000

3 Purpose of Grant

Toward it core activities


Not currently known Grantor terminated grantee relationship on June 7, 2002 after repeated attempts to secure grant reporting


No


See number 4 above


Not required

#99-229

ROCKEFELLEIi BROTHERS FUND, INC



1 Name and Address of Recioient

ART 21, INC 225 Lafayette Street, Suite 902 New York, New York 10012


6/11/01 $100,000

3 Purpose of Grant

Toward the production of a television series focusing on contemporary American visual arts


The entire amount Grantor has received from grantee narrative and financial reports certifying that the entire amount of the grant was expended for the purpose m which it was made


No


On October 29, 2003, grantor received from grantee narrative and expenditure reports certifying that the entire amount of the grant was expended for the purpose for which it was made

7 Dates and Results of the Verification of Grantee's Reports)

Not required

999-25l

ROCF.FFFLLeR BROTHERS FUND, INC.




JALA FOUNDATION JI Pasar Bare No 29 Padang Bulan Melon - Sumatera Utara INDONESIA


1214/00 $2,000

3 Purpose of Grant

For it work m community organizing and paralegal trauung among fishing communities of Sumatra


Not currently known $18,493 reported m 2001 Grantor has received from grantee narrative and financial reports certifying $18,493 of the grant was expended for the purpose for which it was made

5 Whether the Grantee--to the I.nowledee of the Grantor--made any diversions of funds from the purpose of the Grant

No


On November 22, 2001, grantor received from grantee narrative and expenditure reports certifjmg $18,493 of the grant was expended for the purpose for which it was made A report on the expenditure of the balance ($6,507) will be tunely" next year

7 Dates and Results of the Venficauon of Grantee's Report(s)

Not requved

#99-267

ROCIiEFELLGR BROTHERS FUND, INC

GRANT SUBJECT TO EXPENDITURE RESPONSIFSILI'IY-2002



CITIZENS ACTION - CENTER FOR COMMUNITY ORGANIZING Smebome nam 2 97401 Banska Bysmca SLOVAKIA


12/15/00 $40,000

3 Purpose of Grant

Toward general operating expenses




No


On December 5, 2002, grantor received from grantee narrative and expenditure reports certifying t hat the entire amount of the grant was expended for the purpose for which it was made


Not required

#99-284

ROCKEFELLER BROTHERS FUND. INC

GRANT SUBJECT TO EXPENDITURE RESPONSIBILITY-2002



D G MURRAY TRUST Post Office Box 23893 Claremont 7735 SOUTH AFRICA


12/13/00 $60,000

3 Purpose of Grant

For its GET INSET teacher development project m the Western Cape Province




No




Not required

499-311

ROCAFRL'.1 1 FR BROTHERS FUND, WC.

GRANT SUBJECT TO EXPENDITURE RESPONSIBILITY " 2002



RAMON MAGSAYSAY AWARD FOUNDATION 1680 Roras Boulevard 1004, Macula PHILIPPINES


7/24/00 $5,000

3 Purpose of Grant

As a contribution for continuing publication of The Magsaysay Awardee


$1,113.32 Grantor has received from grantee narrative and financial reports certifying $1, 113 32 of the grant was expended for the purpose for which it was made

5 Whether the Grantee--to the knowledge of the Grantor--made anv diversions of funds from the purpose of the Grant

No


On October 22, 2003, grantor received from grantee narrative and expenditure reports certifyuig that $1,113 32 of the grant was expended for the purpose m which it was made A report on the balance of $3,886 68 will be timely next year


Not required

#00-69

ROCKEFEI..I.ER BROTHERS FUND, INC



CLEAN AIR ACTION GROUP 1465 Budapest, pf 1676 Hungary


9/19/02 $30,000

3 Purpose of Grant

As a conmbution to its transportation and sprawl program in Hungary


The entire amount Grantor has received from grantee narrative and financial reports certifying that the entve amount of the grant was expended for the purpose m which it was made


No


On March 2, 2003, grantor received from grantee narrative and expenditure reports certifying that the entire amount of the grant was expended for the purpose for which it was made

7 Dates and Results of the Venfication of Grantee's Reports)

Not required

#00-70

ROCKEFCLLER BROTHERS FUND. INC

CRAFT SUBJECT TO EXPENDITURE RESPONSIBILITY -2002


Name and Address of Recioient

GREEN FEDERATION u Slawkowska 12 31-014 Cracow POLAND


9/13/01 $17,700

3 Purpose of Grant

To it transportation and sprawl program in Poland




No


On September 9, 2003, grantor received from grantee narrative and expenditure reports certifying that the entire amount of the grant was expended for the purpose for which it was made

7 Dates and Results of the Verification of Grantee's Reoort(s)

Not required

#00-70

ROCK£.M.I .ER pROTHERS FUND. INC

GRAFT SUBJECT TO EXPENDITURE RESPONSIBILITY-2002



GREEN FEDERATION 31-014 Cracow u1 Slawkowska 12 POLAND


8/1/00 $17,700

3 Purpose of Grant

Toward its transportation and sprawl program m Poland


The entire amount. Grantor has received Bom grantee narrative and financial reports certifying that the entire amount of the grant was expended for the purpose in which it was made

5 Whether the Grantee--to the knowledge of the Grantor--made any diversions of funds from the pumose of the Grant

No


On February 12, 2002, grantor received from grantee narrative and expenditure reports certifying that the entire amount of the grant was expended for the purpose for which it was made


Not required

#00-70

ROCKF.F'.i .F.R BROTHERS FUND . INC



GREEN FEDERATION u Slawkowska 12 31-014 Cracow POLAND


9/19/02 $17,700

3 Purpose of Grant

As a contribution to it transportation and sprawl program m Poland




No



7 Dates and Results of the Verification of Grantee's Reports)

Not required

X00-72

ROCICEFELLER BROTHERS FUND, INC



Name and Address of Redolent

RURAL ORGANfZAT10N FOR COMMUNITY ACTIVITIES (VOKA) Dolna 4 974 00 Banska Bysmca SLOVAKIA


7/11/00 $20,000

3 Purpose of Grant

Toward a project to enhance its community capacity building




No

6 Date of Reports received from the Gradtee

On December 21, 2003, grantor received from grantee narrative and expenditure reports certifying that the entire amount of the grant was expended for the purpose for which it was made


Not required

#00-72

ROCKEFFI .1 FR BROTHERS FUND, INC




RURAL ORGANIZATION FOR COMMUNITY ACTIVITIES (VOKA) Dolna 4 974 00 Banska Bysmca SLOVAKIA


12/21/01 $20,000

3 Purpose of Grant

Toward a project to enhance its community capacity building




No


On January 22, 2003, grantor received from grantee narrative and expenditure reports certifying that the entire amount of the grant was expended for the purpose for which it was made

7 Dates and Results of the Venfication of Grantee's Report(s

Not required

#00-77

ROCIiEFELLCR BROTHERS FUND, INC

CRAY'I SUBJECT TO EXPENDITURE RESPONSIBILITY-2002



NATURAL RESOURCES AND DEVELOPMENT INSTITUTE (YAYASAN NADI) Jl Rawajati Timur V/no IOA Jakarta 12750 INDONESIA


12/21/00 $40,000

3 Purpose of Grant

Toward its work on the role of export credit agencies m Indonesia's development




No


On June 5, 2003, grantor received from grantee narrative and expenditure reports certifying that the entire amount of the grant was expended for the purpose to which it was made


Not required

#00-77

ROCIiEFEf.1.ER BROTHERS FUND, INC




NATURAL RESOURCES AND DEVELOPMENT INSTITUTE (YAYASAN NAD[) JI Rawajati Timur V/no I OA Jakarta 12750 INDONESIA


12/20/01 $40,000

3 Purpose of Grant

Toward its work on the role of export credit agencies m Indonesia=s development



5 Whether the Grantee--to the Imowlede of the Grantor--made any diversions of funds from the purpose of the Grant

No


On July 30, 2003, grantor received from grantee narrative and expenditure reports certifying that the entire amount of the grant was expended for the purpose for which it was made


Not required

#00-80

ROCKEFEI.LEIi BROTHERS FUND, INC




T.4MBUYOG DEVELOPMENT CENTER Room 108-A, PSSC Building Commonwealth Avenue, Dilliman Quezon City I 101 PHILIPPINES


10/17/01 $50,000

3 Purpose of Grant

Toward support for its sustainable water area management project


$8,100. Grantor has received from grantee narrative and financial reports certifying $8,100 of the grant was expended for the purpose for which it was made


No


On May 29, 2002, grantor received from grantee narrative and expenditure reports certifying that $8,100 of the grant was expended for the purpose in which it was made A report on the balance of $41,900 will be timely next year


Not required

#00-123

ROCKEFEI .1 FR BROTHERS FUND . INC

GRANT SUBJECT TO EXPENDITURE RESPONSIBILITS -2002



THE TEACHER TRUST Post Office Box 43998 Scarborough 7974 SOUTH AFRICA

Date and Amount of Grant

7/11/00 $40,000

Purpose of Grant

Toward a project of its Institute for Leadership m Education entitled A Reclaiming the Professional Status of Teachers Training for Management of Curriculum Change for Individual Teachers @



5 Whether the Grantee--to the knowledge of the Grantor--made any diversions of funds from the pose of the Grant

No




Not required

#00-195

ROCKl":FELLFR BROTHERS FUND, INC

GRANT SUBJECT 70 EXPENDITURE RESPONSIBILITY-2002



SOUTH CENTRE Ch Du Champ d'Amer 17 Post Office Box 228 1211 Geneva 19 S WITZERLAND


12/27/00 $100,000

3 Purpose of Grant

To support capacity building and engagement by developing country NGOs and governments on trade and global governance issues


The entire amount. Grantor has received from grantee narrative and financial reports certifying that the entire amount of the grant was expended for the purpose m which it was made

5 Whether the Grantee--to the Imowled2e of the Grantor--made any diversions of funds from the purpose of the Grant

No


On November 19, 2002, grantor received financial reports from grantee certifying that the entire amount of the grant was expended for the purpose for which it was made


Not required

#00-195

ROCKFFEI .LER BROTHERS FUND, INC



Name and Address of Recinient

SOUTH CENTRE Ch Du Champ d'Anier 17 Post Office Box 228 1211 Geneva 19 S WICZERLAND


11/19/01 $100,000

Purpose of Grant

To its efforts to support capacity building and engagement by developing country NGOs and governments on trade and global governance issues

Amount Expended by Grantee

$77,656 Grantor has received from grantee narrative and financial reports certifying that the $77,656 of the grant was expended for the purpose in which it was made

Whether the Grantee--to the knowledge of the Grantor--made any diversions of funds from the purpose of the Grant

No

Date of Reports received from the Grantee

On October 27, 2003, grantor received from grantee narrative and expenditure reports certifying that $77,656 of the grant was expended for the purpose in which it was made A report on the balance of $22,344 will be timely next year


Not required

#00-199




ROZMBERK SOCIETY, The Post Office Box 41 CZ 379 01 Trebon CZECH REPUBLIC


12/30/02 $40,000

3 Purpose of Grant

As a contribution to us project to promote strategies for achieving economic and social development in rural South Bohemia (Kojakovice Peasant Museum and Cultural Center project)


This grant was made for expenditures during the year following its payment Accordingly, a report with respect to expenditure of the grant will not be timely until after that period


No


See number 4 above


Not required

#00-201

ROCKEFELLER BROTHERS FUND, INC

GRANT SUBJECT TO EXPENDIIURE RESPONSIBILITY -2002



PRAGUE MOTHERS Lublanska 18 Praha 2, 120 00 CZECH REPUBLIC


4/3/01 $30,000

3 Purvose of Grant

To its project, SOS Prague




No




Not required

#00-201

ROCKFr'F'.i .eR BROTHERS FUND, INC

CRAFT SUBJECT TO EXPENDITURE RESPONSIBILITY-2002


PRAGUE MOTHERS 120 00 Praha 2 Lublanska 18 CZECH REPUBLIC


3/14/02 30,000

3 Purpose of Grant

As a contribution for the project SOS Prague



5 Whether the Grantee--to the laiowledize of the Grantor--made any diversions of funds from the nuroose of the Grant

No




Not required

#00-215

xocxFFEUFa BROTHERS Form, INC

GRAFT SUBJECT TO EXPENDITURE RESPONSIBILITY -2002



MAGADAN CENTER FOR THE ENVIRONMENT Gorky St 3"B" Magadan, 685000 RUSSIA


6/26/01 $20,000

3 Pumose of Grant

For it project, "The Okhotsk Shelf It's Our Choice (A Public Information Program) "




No


On August 21, 2003, grantor received from grantee narrative and expenditure reports certifying that the entire amount of the grant was expended for the purpose for which it was made


Not required

#00-220


GRANT SUBJECT TO EXPENDITURE RESPONSIBILITY-`LOOP



FRIENDS OF THE EARTH - JAPAN 801 Shibuya Mansion 7-l Uguisudani-cho Shibuya-ku Tokyo 150 JAPAN


11/19/01 $100,000

3 Purpose of Grant

To its work on reform of Japanese development assistance and for organizational development


The entire amount Grantor has received from grantee narrative and financial reports certfymg that the entire amount of the grant was expended for the purpose in which it was made


No




Not required

#00-226

ROCY.FFEiLFR BROTHERS FUND, INC




THE DEVELOPMENT SCHOOL 147 Godshuizeniaan 9000 Gent BELGIUM


11/10/00 $60,000

3 Purpose of Grant

Toward establishing an advanced capacity building program for nonprofit trainers and consultants m Central and Eastern Europe



5 Whether the Grantee-to the knowledge of the Grantor--made any diversions of funds from the puroose of the Grant

No




Not required


Not required

#00-249

ROCKFFTLLER BROTHERS FUND, INC




ENGLISH RESOURCE UNIT Post Office Box 52041 Berea 4007 SOUTH AFRICA


12/27/01 $58,500

3 Purpose of Grant

Toward a project to link literacy training with practical skills training and income generation projects in South Africa


Not currently known Grantor is awaiting an updated report and has made efforts to secure same from grantee Future payments to grantees who are delinquent to submitting satisfactory reports will be withheld


No


See number 4 above

#00-253


CRAFT SUBJECT TO EXPENDITUNF. RESPONSIBILITY-2002



VIA FOUNDATION FOR LOCAL INITIATIVES Jeleni 200/3 118 00 Prague I CZECH REPUBLIC


12/27/00 $30,000

3 Purpose of Grant

Toward its institutional development



5 Whether the Grantee--to the Imowledee of the Grantor--made any diversions of funds from the purpose of the Grant

No


On April 2, 2003, grantor received from grantee narrative and expenditure reports certifying that the entire amount of the grant was expended for the purpose for which it was made


Not required

Not required

#00-273





RAMON MAGSAYSAY AWARD FOUNDATION 1680 Roxas Boulevard 1004, Manila PHILPPINES


5/21/01 $5,000

Purpose of Grant

For the continued publication of 77ie Magsuysoy Awordee


No further amount has been expended on this grant. Grantor has received from grantee narrative and financial reports certifying $293 33 of the grant was expended for the purpose for which a was made from the previous year


No


On October 31, 2002, grantor received expenditure and narrative reports certifying that $293 33 of the grant was expended for the purpose for which it was made A report on the expenditure of the balance ($4 706 67) will be timely next year

Dates and Results of the Verification of Grantee's Reports)


Not required

#00-274

ROCKEFELI.ER BROTHERS FUND. INC




RAMON MAGSAYSAY AWARD FOUNDATION 1680 Roxas Boulevard 1004, Manila PHILIPPINES


5/21/01 $25,000

3 Pumose of Grant

To its "Issues and Trends in Asian Development Seminar"


No further portion of grant funds were expended. Grantor received a check from grantee for unused portion of the grant


No


On May 6, 2003, grantor received a check from grantee m the amount of $9,37168 for unused funds from this grant

Not required #00-289

ROCKEFELLGR BROTHERS FUND, INC




INSI'CI'UTE for ENVIRONMENTAL POLICY Hradebni3 110 000 Prague 1 CZECH REPUBLIC


2/13/01 $70,000 12/28/01 $75,000

Purpose of Grant

To current operating needs and longer term financial planning


$70,000 . Grantor has received from grantee narrative and financial reports certifying that the 2/l3/O1 payment was expended for the purpose for which it was made, the balance of $75,000 will be timely next year

$75,000 . Grantor has received from grantee narrative and financial reports certifying that the 12/28/01 payment was expended for the purpose for which it was made


No


On February 28, 2003, grantor received from grantee narrative and expenditure reports certifying that the payment made on 12/23/01 was expended for the purpose for which it was made

Dates and Results of the Venfication of Grantee's Report(s)

#00-293

ROCICEFELLER BROTHERS FUND . INC

GRANT SUBJECT TO EXPENDITURE RESPONSIHILI I'Y -2002



CARPA71ilAN FOUNDATION Hlavna 70 040 Ol Kosice SLOVAK REPUBLIC


2/13/01 $50,000

3 Purpose of Grant

For the further development of the Integrated Rural Community Development Program



5 Whether the Grantee--to the lmowledize of the Grantor--made any diversions of funds from the purpose of the Grant

No




Not required


Not required

#00-293

ROCKCPCLLCR BROTHERS FUND, INC



CARPATHIAN FOUNDATION Hlavna 70 040 01 Kosice SLOVAK REPUBLIC


4/19/02 $50,000

3 Purpose of Grant

As a contribution for the further development of the Integrated Rural Community Development Program


The entire amount Grantor has received from grantee narrative and financial reports certifying that the entire amount of the grant was expended for the purpose to which it was made


No



#01-29

ROCKEFELLER BROTHERS IFIJtiD . INC



Name and Address of Reciaient

ASSOCIATION for TRAINING and RESOURCES m EARLY EDUCATION Emthonjem Tree Centre 69 Knshna Road Bnardene SOUTH AFRICA


5/4/01 $60,000

3 Purpose of Grant

For its project, "Meeting the Needs of Young Children Affected by the HN/AIDS Pandemic "



5 Whether the Grantee-to the knowledge of the Grantor--made any diversions of funds from the purpose of the Grant

No


On February 28, 2003, grantor received from grantee narrative and expenditure reports certifying that the ensue amount of the grant was expended for the purpose for which it was made


Not required

#01-29

ROCIiEFELLER llROTHEILS FUND, INC



ASSOCIATION FOR TRAINING AND RESOURCES IN EARLY EDUCATION Emthonjeni Tree Centre 69 Knshna Road Bnardene, Durban SOUTH AFRICA


5/16/02 $60,000

3 Purpose of Grant

As a contribution to it project "Meeting the Needs of Young Children Affected by the HN/A1DS Panderruc "


$32,697 Grantor has received from grantee narrative and financial reports certifying $32,697 of the grant was expended for the purpose for which it was made

5 Whether the Grantee--to the Imowledpe of the Grantor--made any diversions of funds from the purpose of the Grant

No


On March 3, 2003, grantor received from grantee narrative and expenditure reports certifying that $32,697 of the grant was expended for the purpose m which it was made A report on the balance of $27,303 will be timely next year


Not required

Not required

#011

ROCKEFI:LLEFt BROTHERS FUND, INC




EUROPEAN CENTRE FOR ECOLOGICAL AGRICULTURE & TOURISM - POLAND Stryszow 34-146 56 POLAND


3/22/01 $50,000

Purpose of Grant

To a new international coalition to protect the Polish countryside




No




#O1-100

RnCICEFELLER BROTHERS FUND. INC




RADIO TELEVISION B92 Makedonska 22NI Beograd 11000 YUGOSLAVIA


5/31/01 $15,000

3 Purpose of Grant

For a conference, "In Search of Truth and Responsibility Toward a Democratic Future "


Not currently (mown Grantor is awaiting an updated report and has made efforts to secure same from grantee Future payments to grantees who are delinquent m subrruttmg satisfactory reports will be withheld

5 Whether the Grantee--to the knowledge of the Grantor--made any diversions of funds from the purpose of [he Grant

No


See number 4 above


Not required

#0 1-107

ROCIik:FELLER BROTHERS FUND, INC




PUTER FOUNDATION Pertnata Cimanggu Blok A No 4 R T /R W 008/007 Kedung Badak - Tanah Sareal Bogor 16710 INDONESIA


10/1/01 $35,000

3 Purpose of Grant

To the Indonesian Network of Coastal and Manne NGOs (Jaruig Pela)


Not currently }mown Grantor is awaiting an updated report and has made efforts to secure same from grantee Future payments to grantees who are delinquent m submitting satisfactory reports will be withheld

5 Whether the Grantee--to the knowledge of the Grantor--made any diversions of funds from the oumose of the Grant

No


See number 4 above


Not required

#01-107

ROCICEFEI.I FR BROTHERS FUND, INC



PUTER FOUNDATION Permata Cimanggu Blok A No 4 R T /R W 008/007 Kedung Badak - Tanah Sareal Bogor 16710 INDONESIA


8/1/02 $35,000

3 Purpose of Grant

As a contribution to the Indonesian Network of Coastal and Marine NGOs (Janng Pela)


Not currently known Grantor is awaiting an updated report and has made efforts to secure same from grantee Future payments to grantees who are delinquent in submitting satisfactory reports will be withheld


No


See number 4 above


Not required

#01-108





INTERNATIONAL MARINELEFE ALLIANCE 119 Merchant Street, Suite 610 Honolulu, Hawaii 96813


7/5/01 $75,000

3 Purpose of Grant

To its efforts to combat destructive fishing in Southeast Asia




No




Not required

#O1-108




INTERNATIONAL MARINELIFE ALLIANCE, INC Stangenwald Bldg 119 Merchant Sheet #610 Honolulu, HAWAII 96813


1/31/02 $75,000

3 purpose of Grant

To its efforts to combat destructive fishing m Southeast Asia




No


On July 29, 2003, grantor received from grantee narrative and expenditure reports certifying that the ensue amount of the grant was expended for the purpose for which it was made


Not required

#01-108

ROCIiEFELLCR BROTHERS FUND, INC

CRAFT SUBJECT TO EXPENDITURE RESPONSIBILITY -2002



INTERNATIONAL IvIARfNELIFE ALLIANCE, INC Stangenwald Bldg 119 Merchant Street #610 Honolulu, HAWAII 96813


7/5/01 $75,000

3 Purpose of Grant

To it efforts to combat destructive fishing m Southeast Asia




No




Not required

#O1-109

ROCKEFEllER BROTHERS FUND, INC



TELAPAK JI Sempur Kaler No 16 Bogor 16129 INDONESIA


9/25/01 $60,000

3 Purpose of Grant

To its participation in the Promula program and its work on a project on traditional manne resource tenure in Indonesia's Maluku province




No


On April 30, 2002, grantor received from grantee narrative and expenditure reports certifying that $56,362 of the grant was expended for the purpose in which it was made A report on the balance of $3,638 will be timely next year

Dates and Results of the Venfication of Grantee's Report(s)

Not required

7 Dates and Results of the Venficahon of Grantee's Report(s)

Not required

#01-139

ROCICLFCLLER BROTHERS FUND, INC

(;RANT SUBJECT TO EXPENDITURE RESPONSIBILITY-2002

1 Name and Address of Redolent

ENVIRONMENTAL LEGAL ASSISTANCE CENTER No I I H Mendoza Street Puerto Princesa City 5300 Palawan PHILIPPINES


10/3/02 $75,000

3 Purpose of Grant

As a contribution to its Paralegal Education and Training program


Not currently known Grantor is awaiting an updated report and has made efforts to secure same from grantee Future payments to grantees who are delinquent m submitting satisfactory reports will be withheld


No


See number 4 above

#01-139

ROCKrFLLLER BROTHERS FUND, INC

GRANT SUBJECT TO EXPENDITURE NF:SPONSIBILITY-2002



ENVIRONMENTAL LEGAL ASSISTANCE CENTER No 271-E Malvar Street Puerto Pnncesa5300 5300 Palawan PHILIPPINES


8/1/01 $75,000

3 Purpose of Grant

To support its Paralegal Education and Training program


$56,474 . Grantor has received from grantee narrative and financial reports certifying $56,474 of the grant was expended for the purpose for which it was made

8 Whether the Grantee--to the lmowledae of the Grantor--made any diversions of funds from the purpose of the Grant

No


On June 30, 2002, grantor received expenditure and narrative reports certifying that $6,474 of the grant was expended for the purpose for which it was made A report on the expenditure of the balance ($18,826) will be timely next year


Not required


Not required

#O1-140





COUNCIL ON RENEWABLE ENERGY IN THE MEKONG REGION c/o Solar Energy Research & Training Center Naresuan University Phiuanulok THAILAND


8/1/01 $40,000

3 Purpose of Grant

To teaching, research, and outreach programs




No


See number 4 above


Not required

#01-144

ROCKF.FEI1 .t R BROTHERS FUND. INC

GRANT SUBJECT 1'O EXPENDITURE RESPONSIBILITY-2002



VIRTUAL FOUNDATION JAPAN 3-12-6, Nukuiminamicho Koganei City Tokyo, 184-0014 JAPAN


7/5/01 $80,000

3 Purpose of Grant

To its work in promoting new approaches to philanthropy and globalization education in Japan


Not currently (mown Grantor terminated grantee relationship on June 7, 2002 after repeated attempts to secure grant reporting

5 Whether the Grantee--to the ImowIedQe of the Grantor--made any diversions of funds from the purpose of the Grant

No


See number 4 above

t!01-145

ROChEFELLER BROTHERS FUND, WC




CHIC EXCHANGE LIMITED Cheung Kong Centre, l6/F 2 Queen's Road Central Hong Kong PEOPLE'S REPUBLIC OF CHINA


7/24/01 $40,000

3 Pwroose of Grant

To its work on improving the quality of government-civil society consultations m Hong Kong and southern Clam


The entire amount Grantor has received from grantee narrative and financial reports certif~ng that the entire amount of the grant was expended for the purpose m which it was made

5 Whether the Grantee--to the F,no«ledee of the Grantor--made any diversions of funds from the purpose of the Grant

No



7 Dates and Results of the Venfication of Grantee's Report(s

Not required

#O1-181

R(1CRFFFI 1 FR BROTHERS FUND, INC




HIND FOR AN OPEN SOCIETY Zmaj lovma 34 Belgrade, 11000 YUGOSLAVIA


10/15/01 $25,000

3 Purpose of Grant

To the opening of a sub-office m Bujanovac of the Federal Republic of Yugoslavia's Ministry of National and Ethnic Communities


Not currently known Grantor is awaiting an updated report and has made efforts to secure same from grantee Future payments to grantees who are delinquent m subrtutting satisfactory reports will be withheld

5 Whether the Grantee--to the knowledge of the Grantor--made any diversions of funds from the ourvose of the Grant

No


See number 4 above


Not required

#0t-182

ROCIiEFEI1,ER BROTHERS FUND, INC




COUNCIL OF EUROPE Avenue de L'Europe 67000 Strasbourg FRANCE


10/4/01 $10,000

Purpose of Grant

Toward the costs of a conference, held on July 5-6, 2001 m Belgrade to the "Regional Conference on National and Ethnic Communities and Minorities m Southeast Europe Domestic and Regional Confidence Building," held m that addressed domestic and regional confidence building related to issues of identifying minorities m Southeast Europe




No




Not required

#01-198

ROCICEFELLER BROTHERS FUND, INC




FORUM FOR ETHNIC RELATIONS Narodnog fronts 45/VII Belgrade l 1000 YUGOSLAVIA


12/4/01 $38,500

3 Purpose of Grant

To an analysis of organized crime, terrorism, and illicit trade in the Federal Republic of Yugoslavia



5 Whether the Grantee--to the knowledge of the Grantor--made any diversions of funds from the ourvose of the Grant

No


See number 4 above


Not required

#01-214




ENVIRONMENTAL ABORIGINAL GUARDIANSHIP THROUGH LAW AND EDUCATION Semiahmoo Reserve 16541 Beach Road Surrey, British Columbia V3S9R7


2/26/02 $50,000

3 Purpose of Grant

To it legal work with coastal First Nations



5 Whether the Grantee--to the knowledge of the Grantor--made any diversions of funds from the uurvose of the Grant

No




Not required

#01-221

ROCKFFFI i FR BROTHERS FUND, INC




CENTER FOR BIODNERSITY AND INDIGENOUS KNOWLEDGE Zhonghuandasha, Yaniiadi Kunming Yunnan PEOPLE'S REPUBLIC OF CHINA


12/18/01 $52,200

3 Puruose of Grant

To its work on solid waste management, resource tenure research and advocacy, and watershed governance in southern China



5 Whether the Grantee--to the knowledge of the Grantor--made any diversions of funds from the Purpose of the Grant

No


See number 4 above


Not required

#O1-228

ROCKEFELI FR BROTFICRS FUND, INC




OZNEM - BOHEIvt1AN GREENWAYS Lublanska 18 120 00 Praha 2 - V mohrady CZECH REPUBLIC


12/21/01 $12,500

3 Purpose of Grant

To establish the Iron Curtain Greenway


Not currently (mown Grantor is awaiting an updated report and has made efforts to secure same from grantee Future payments to grantees who are delinquent m submitting satisfactory reports will be withheld

5 Whether the Grantee--to the knowledge of the Grantor--made any diversions of funds from the puroose of the Grant

No


See number 4 above


Not required

#01-231


(',RANT SUBJECT TO EXPENDITURE RESPONSIBILITY -2002


NATAL ADULT BASIC EDUCATION SUPPORT TRUST Post Office Box 18127 Dalbndge, 4014 SOUTH AFRICA


3/14/02 $30,000

3 Purpose of Grant

As a contribution to it capacity building project aimed at strengthening community-based organizations m the adult basic education and training field m KwaZulu-Natal




No


On March 5, 2003, grantor received from grantee narrative and expenditure reports certifying that $25,919 of the grant was expended for the purpose in which it was made A report on the balance of $4,081 vnll be timely next year

Dates and Results of the Verification of Grantee's Reports)

Not required

#01-234

ROCKEFCLLER BROTHERS FUND, INC




COOPERATIVE ORGANIZATION FOR UPGRADING OF NUMERACY TRAINING 4 Pim Street Newton SOUTH AFRICA


12/18/01 $60,000

I Purpose of Grant

For a collaborative project to develop an in-service teacher-[mining model that integrates literacy, numeracy, and AIDS prevention and care information

2 Amount Emended by Grantee



No




Not required

7 Dates and Results of the Venficauon of Grantee's Reoort(s)

Not required

#01-234

ROCKEMI-ER BROTHERS FUND. INC



COOPERATIVE ORGANIZATION FOR THE UPGRADING OF NUMERACY TRAINING Post Office Box 55072 Northlands 2116 Johannesburg North Office SOUTH AFRICA


11/26/02 $60,000

3 Purpose of Grant

As a contribution to a collaborative project to develop an in-service teacher training model that integrates literacy, numeracy, and AmS prevention and care information


This grant was made for expenditures during the year following it payment Accordingly, a report with respect to expenditure of the grant will not be timely until after that period


No


See number 4 above

#01-279

ROCI:F.FELFu BROTHERS FUND, INC



NGO FORUM ON ADB Room 402, 107-A Kalayaan Avenue I 101 Quezon City, PHILIPPINES


2/13/02 $50,000

3 Purpose of Grant

As a contribution to its project on water resources governance and privatization




No


On May 5, 2003, grantor received from grantee narrative and expenditure reports certifying that $39,928 of the grant was expended for the purpose in which it was made A report on the balance of $10,072 will be timely next year

Dates and Results of the Venficauon of Grantee's Report(s)

Not required

#01-280

R()CKEFELLER BROTHERS FUND, WC



TP.MBUYOG DEVELOPMENT CENTER No 91 V Luna Road cor Manlmgning Street Bgy Malaya, Sikatuna Village Quezon City, Metro Manila PHILIPPINES


2/11/02 $35,000

3 Purpose of Grant

As a contribution to support a meeting of Asian civil society on water resource governance


$26,515 Grantor has rcceived from grantee narrative and financial reports certifying $26 515 of the grant was expended for the purpose for which a was made


No


On May 13, 2003, grantor received from grantee narrative and expenditure reports certifying that $26,515 of the grant was expended for the purpose m which a was made A report on the balance of $8,485 will be timely next year

Dates and Results of the Verification of Grantee's Reoort(s)

Not required

#0I-282

ROCREFELLER BROTHERS FUND . INC



MAGADAN CENTER FOR THE ENVIRONMENT Gorky St 3"B" Magadan, 685000 RUSSIA


2/27/02 $20,000

3 Purpose of Grant

To a project on mining and offshore oil and gas development


$19,767.46 Grantor has received from grantee narrative and financial reports certifying $19,767 47 of the grant was expended for the purpose for which it was made


No


On August 21, 2003, grantor received from grantee narrative and expenditure reports certifying that $19,767 46 of the grant was expended for the purpose in which it was made A report on the balance of $232 54 will be timely next year


Not required

#O1-283

ROCICEFELI ER BROTHERS FUND, WC



KAMCHAT'KA LEAGUE of INDEPENDENT EXPERTS Post Office Box 273 683000 Petropavlovsk - Kamchatsky RUSSIA


2/11/03 $25,000

3 Purpose of Grant

As a contribution to the organization's general operating budget



5 Whether the Grantee--to the knowledge of the Grantor--made any diversions of funds from the pucvose of the Grant

No


See number 4 above


Not required

#01-284

ROCICEFELLER 6ROTHFRS FfJND. INC



SAKHALIN ENVIRONMENT WATCH 27 Admirals Makarova st Yuzhno-Sakhalinsk 693020 RUSSIA


2/11/02 $25,000

3 Puroose of Grant

As a contribution to the organization's general operating budget




No


On January 15, 2003, grantor received from grantee narrative and expenditure reports certifying that $7,178 of the grant was expended for the purpose in which it was made A report on the balance of $17,822 will be timely next year

Dates and Results of the Verification of Grantee's Revort(s)

Not required

#01-285

ROCICEFELLER BROTHFRS FUND, INC

GHA\7 SUBJECT TO EXPENDITURE RESPONSIBILITY-2002


TAIGA RANGERS Komshosse, 59 Komsomolsk-on-Amut Khabarovsky Region 681000 RUSSIA


2/21/02 $20,000

3 Purpose of Grant

As a contribution to a project on sustainable forestry and designation of protected areas




No




Not required

#01-287

ROCKEFELI.Ex BROTHERS FUND, INC



ECODAL Post Office Box 95/3 Khabarovsk 68006 RUSSIA


2/11/02 $15,000

3 Purpose of Grant

As a contribution to it work on land rights, sustainable forestry, and legal support to civil society groups in the Russian Far East



5 Whether the Grantee--to the knowledge of the Grantor--made any diversions of funds from the ournose of the Grant

No


On January 3l, 2003, grantor received from grantee narrative and expenditure reports certifying that $6 820 of the grant was expended for the purpose in which it was made A report on the balance of $8,180 will be timely next year


Not required

#OI-300

RoCKEFELLER aROTIiCRS FUND, INC

GRANT SUBJECT TO EXPENDITURE RESPONSIBILIT7 -2002



CITIZENS ACTION - CENTER FOR COMMUNITY ORGANIZING Stnebome nam 2 97401 Banska Bystnca SLOVAKIA


12/27/01 $40,000

3 Purpose ofGran

Toward core support




No



7 Dates and Results of the Venficauon of Grantee's Report(s)

Not required

#01-300



1 Name and Address of Recioient

CITIZENS ACTION - CENTER FOR COMMUNITY ORGANIZING Kaprtulska 13 974 Ol Banska Bystnca SLOVAKIA


12/23/02 $40,000

3 Purpose of Grant

As a contribution for core support




No


See number 4 above


Not required

#01-306

ROCKEFIII.ER BROTHENS FIND. INC

(;RANT SUBJECT TO EXPENDITURE RESPONSIBILITY -2002



PRO EXCELLENTIA 1138 Budapest XIII Vizafogo setany 6 HUNGARY


12/21/01 $35,000

3 Purpose of Grant

Toward its project to development management training programs for nonprofit leaders




No




Not required

#01-307

ROCKEFELLER BROTHERS MAID, INC

GRAIN SUBJECT TO EXPENDITURE RESPONSIBILITY-2002



STEFAN BATORY FOUNDATION IOa Sapiezynska Street 00-215 Warszawa POLAND


12/28/01 $50,000

Purpose of Grant

To strengthen its endowment campaign


No portion of the grant was spent Grantor has received from grantee narrative and financial reports certifying that no portion of the grant has been expended for the purpose for which it was made


No


On April 3, 2003, grantor received from grantee narrative and expenditure reports certifying that no portion of the grant has been expended for the purpose for which is was made A report on the expenditure of the grant will be timely next year


Not required

#01-316

ROCKEFI.LLER BROTHERS FUND, INC



GLOBAL WI"INESS LQv11TED Hamlyn House, 4'" Floor Macdonald Road London N19 SPG ENGLAND


12/30/02 $50,000

3 Purpose of Grant

As a contribution to its Angola Project


This grant was made for expenditures dunng the year following its payment Accordingly, a report with respect to expenditure of the grant will not be timely until after that period


No


See number 4 above


Not required

#01-328

ROCKEFk.LLER BROTHERS FUND, INC





4/16/02 $5,000

3 Purpose of Grant

As a contribution to continued publication of The Magsoysay Awardee


No amount of the grant has been spent.


No


On October 22, 2003, grantor received from grantee narrative and expenditure reports certifying that no amount of the grant was expended for the purpose for which it was made


Not required

#01-329

RocKEreLLEa BaOTfteas MiNp, INC

GRANT SUBJECT TO E7(P6hDITURE RESPONSIBILITY-2002




4/16/02 $15,000

Purpose of Grant

As a contribution to its annual "Asian Issues and Trends for Development" seminar


$14,308.66 Grantor has received from grantee narrative and financial reports certifying $14,308 66 of the grant was expended for the purpose for which it was made


No


On October 22, 2003, grantor received from grantee narrative and expenditure reports certifying that $14,308 66 of the grant was expended for the purpose in which it was made A report on the balance of $691 34 will be timely next year


Not required

#01-330

ROCKEFELLER 13ROTIIERS FWD, IBC

GRANT SUBJECT TO ECPF.NDITURE RESPONSIBILITY-2002




4/16/02 $10,000

3 Purpose of Grant

As a contribution to a project to develop the Asian Living Heroes Poster Series that will profile Ramon Magsaysay Awardees as role models for Asian youth


No amount of the grant has been spent


No


On October 22, 2003, grantor received from grantee narrative and expenditure reports certifying that no amount of the grant was expended for the purpose for which it was made


Not required

#01-331

ROCKEFELLER BROT]II]ERS FUND, INC



RAMON MAGSAYSAY AWARD FOUNDATION 1680 Roxas Boulevard 1004, Manila PHII.IPPMS


4/16/02 $10,000

3 Purpose of Grant

As a contribution to a project to enhance the Foundation's web site for greater exchange of ideas and information among Awardees and between them and interested public audiences


$7,382 .49 Grantor has received from grantee narrative and financial reports certifying $7,382 49 of the grant was expended for the purpose for which it was made


No


On October 22, 2003, grantor received from grantee narrative and expenditure reports certifying that $7,382 49 of the grant was expended for the purpose m which it was made A report on the balance of $2,617 51 will be timely next year

Dates and Results of the Verification of Grantee's ReooR(s)

Not required

#01-333

ROChEFELLER BROTHERS FUND, INC




ADULT LITERACY BASIC EDUCATION AND DEVELOPMENT FOUNDATION P O Box 32174 Braamfontem 2017 SOUTH AFRICA


12/27/01 $16,000

3 Purpose of Grant

Start-up costs




No


On June 30, 2003, grantor received from grantee narrative and expenditure reports certifying that the entire amount of the grant was expended for the purpose for which it was made


Not required

#01-338

ROCIiEFELLER BROTHERS FUND, INC




PHIPPS COMMUNITY DEVELOPMENT CORPORATION 43 West 23'd Street New York, New York 10010


12/21/01 $25,000

Purpose of Grant

As a contribution toward a project to increase its capacity to engage m policy relevant analytic work related to its mission



Whether the Grantee--to the knowledge of the Grantor--made any diversions of funds from the Purpose of the Grant

No


See number 4 above


Not required

k02-12





CIVIC EXCHANGE LIIvIITED Cheung Kong Centre, 16/F 2 Queen's Road Central Hong Kong PEOPLE'S REPUBLIC OF CHINA


4/16/02 $40,000

3 Purpose of Grant

To its work on unprovmg the quality of public consultations for urban development m southern China


The entire amount Grantor has received from grantee narrative and financial reports certifying that the entire amount of the grant was expended for the purpose In %%hich it was made

Whether the Grantee--to the I<nowledee of the Grantor--made am d+versions of funds from the purnose of the Grant

No


On January 27, 2003, grantor received from grantee narrative and expenditure reports certifying that the entUe amount of the grant was expended for the purpose for which it was made


Not required

#02-38




GLOBAL WI"INESS TRUST Post Office Box 6042 London N 19 5 WP ENGLAND


4/2/02 $25,000525,000

3 Purpose of Grant

To it work on reform of the Cambodian forestry sector




No




Not required

#02-41

ROCIiCrCLLCR BROTHERS FUND, INC



A ROCHA-CHRISTIANS m CONSERVATION Kosmicka str 85 CZ - 384 21 Husinec CZECH REPUBLIC


4/4/02 $12,500

3 Purpose of Grant

As a contribution for general budgetary purposes




No


On June 29, 2003, grantor received from grantee narrative and expenditure reports certifying that the entire amount of the grant was expended for the purpose for which it was made

7 Dates and Results of the Verification of Grantee's ReuoR(s)

Nat required

tF02112

ROChEFFLLFA BROTHERS FUND . INC



INTERNATIONAL COALITION TO PROTECT THE POLISH COUNTRYSIDE 34-146 Shyszow 156 POLAND


3/14/02 $40,000

3 Puruose of Grant

As a contribution for general budgetary purposes




No




Not required

#02-59

ROCI+EFELLER BROTHERS FWD. INC



INDEPENDENCE COMMUNITY FOUNDATION 182 Atlantic Avenue Brooklyn, New York 11201


5/9/02 $5,000

3 Purpose of Grant

As a contnbuhon to it Independence 9/11 Fund




No


See number 4 above


Not required

#02-110

ROCKCFCLLER BROTHERS FUND, IBC



WALTER LINK FOUNDATION 1901 Momll Street Sarasota, Florida 34236


11/6/02 $25,000

3 Purpose of Grant

As a contribution to its primary educational initiative, the Global Academy, for the academy's project, The Genome Institute



5 Whether the Grantee-to the knowledge of the Grantor--made any diversions of funds from the purpose of the Grant

No


See number 4 above


Not required

#02-147

ROCI+EFELLER BROTHERS FUND, INC.



AMERICAN CONSERVATION ASSOCIATION, INC 30 Rockefeller Plaza New York, New York I0112


6/13/02 $25,000

3 Purpose of Grant

As a contribution to its Save A Barrel Campaign which appeals to individual households to reduce greenhouse gas emissions


Not currently known Grantor is awaiting an updated report and has made efforts to secure same from grantee Future payments to grantees «ho are delinquent in submitting satisfactory reports will be withheld

5 Whether the Grantee--to the knowledge of the Grantor--made am diversions of funds from the purpose of the Grant

No


See number 4 above


Not required

X02-153




TAMBUYOG DEVELOPMENT CENTER No 91 V Luna Road cor Manlmgnmg Street Bgy Malaya, Sikatuna Village Quezon City, Metro Manila PHII.LPPINES


7/25/02 $40,000

Pucnose of Grant

As a contribution to it Sustainable Water Areas Management Project


No amount of the grant has been spent. Grantor has received from grantee narrative and financial reports certifying that no amount of the grant was expended for the purpose in which it was made


No


On May 13, 2003, grantor received from grantee narrative and expenditure reports certifyuig that no amount of the grant was expended for the purpose for which it was made


Not required

#02-157

ROCICEfF.UF.R BROTHERS FUND, IN(;



ADULT BASIC EDUCATION DEVELOPMENT SERVICES TRUST Post Office Box 23002 Claremont Cape Town 7735 SOUTH AFRICA


6/27/02 $24,000

3 Purpose of Grant

As a contribution to it Linking Leammg to Livelihoods Project




No


On July l, 2003, grantor received from grantee narrative and expenditure reports certifying that $18,096 of the grant was expended for the purpose m which it was made A report on the balance of $5,904 will be timely next year

Dates and Results of the Venficanon of Grantee's Report(s)

Not required

#02-163

ROCKEFELLER BROTHERS FUND, INC;



FOUNDATIONS, INC Moorestown West Corporate Center 10 l Executive Dnve, Suite Two Moorestown, New Jersey 08057


7/23/02 $100,000

3 Purpose of Grant

As a contnbuuon to a new after-school program tailored to pre-kindergarteners m several schools m New York City




No




Not required

#02-180

ROChEFE11F.R BROTHERS FUND. INC





8/8/02 $150,000

3 Purpose of Grant

As a conmbuuon to the stipend for the 2002 Ramon Magsaysay Awards




No


On May 16, 2003, grantor received from grantee narrative and expenditure reports certifying that the entire amount of the grant was expended for the purpose for which it was made

7 Dates and Results of the Venficahon of Grantee's Report(sl

Not required

#02-213

ROChEFELLER BROTHERS FUND. INC



INDONESIA FORUM ON GLOBALIZATION P Sanglvak no 28 Kelurahan SangIQah-Pasar Kliwon Surakarta, Central lava 57122 INDONESIA


12/3/02 $10,000

3 Purpose of Grant

As a contribution to its work on water sector issues m Indonesia


This grant was made for expenditures during the year following its payment Accordingly, a report with respect to expenditure of the grant will not be timely until after that penod

5 Whether the Grantee-to the knowledge of the Grantor-made any diversions of funds from the purpose of the Grant

No


See number 4 above


Not required

#02-214

ROCKEFELLF:R BROTHERS FUND . INC



JALA FOUNDATION Jl Pasar Baru No 29 Padang Bulan Medan - Sumatera Utara INDONESIA


10/24/02 $15,000

3 Purpose of Grant

As a contribution for its work in combating destructive fishing m Indonesia



5 Whether the Grantee--to the knowledge of the Grantor--made any diversions of funds from the tiuroose of the Grant

No




Not required

#02-226




EARLY CHILDHOOD INITIATIVE, INC 3250 S W Third Avenue Miami, Florida 33129


11/5/02 $50,000

3 Purpose of Grant

As a contribution to general support




No




Not required

#02-270

ROCKa-ELLFR BROMERS FUND, INC


I Name and Address of Recivien

CHILDREN IN DISTRESS NETWORK Post Office Box 1659 Pietermaritzburg 3200 SOUTH AFFJCA


12/19/02 $25,000

3 Purpose of Grant

As a contnbution to its capacity building project



5 Whether the Graritee--to the knowledge of the Grantor-made any diversions of funds from the purpose of the Grant

No


See number 4 above


Not required

#02-271

ROCKEFEU.FR BROT-HERS FUND, INC


Name and Address of Recipien

FAMILY LITERACY PROJECT 3 Achadhu 337 Montpelier Road Durban 4001 KwaZulu-Natal SOUTH AFRICA


12/19/02 $24,000

3 Purpose of Grant

As a contribution to the expansion of its program in KwaZulu-Natal



5 Whether the Grantee-to the knowledge of the Grantor-made any diversions of funds from the pumose of the Grant

No


See number 4 above


Not required

402-276



Name and Address of Recipien

CENTER FOR MULTICULTURAL EDUCATION Bore Vukmm.Lrovica n n Presevo YUGOSLAVIA


12/30/02 $6,000

3 PgMose of Grant

As a contribution for a children's uitereLhmc music program

4 Amount Expended by Grante


5 Whether the Grantee-to the knowledpe of the Grantor-made any diversions of fiinds from the pumose of the Grant

No


See number 4 above


Not required

#02-278



I Name and Address of Recipten

RADIO TELEVISION B92 Makedonska 22NI 11000 Belgrade YUGOSLAVIA


12/30/02 $25,000

3 Pumose of Grant

As a contribution to its project the Documentation Center of Wars, 1991-1999




No


See number 4 above


Not required

#02-279

ROCKa-ELLER BROTHERS FUND, INC


I Name and Address of Recipien

GREEN NETWORK OF VOJVODINA Heroja Pinkija 32 2 1000 Novi Sad Vojvodina YUGOSLAVIA


12/30/02 $52,000

3 Purpose of Grant

As a contnbution for general operating support in 2003 and 2004




No


See number 4 above

7 Dates and Results of the Venfication of Grantee's Revort(s)

Not required

#02-304


GRANT SUBJEC-1 TO EXPENDITURE RESPONSIBILITY -2002

I Name and Address of Recipien

PROJECT UNDERGROUND 1916a Marlin Luther King, Jr Way Berkeley, Califor-ma 94704


12/24/02 $5,000

3 Purpose of Grant

As a contnbution to support the publication of an updated version of the 1998 report Drilling to the Ends of the Earth



5 Whether the Grantee--to the knowledge of the Grantor-made any diversions of funds from the purpose of the Grant

No


See number 4 above

7 Dates and Results of the Verification of Grantee's Revort(s)

Not required


Not required

901-160

ROCKEFELLER BROTHEM FJND, INC


(Remaining open 2001)

Name and Address of ReciRien

RAMON MAGSAYSAY AWARD FOUNDATION 1680 Roxas Boulevard 1004, Marula PHILIPPINE


8/16/01 $150,000

3 PMosc of Grant

Toward the stipend for the 2001 Magsaysay Awards


The entire amount Grantor has received from grantee narrative and financial reports certif~,ing that the entire amount of the grant was expended for the purpose In which it was made

5 Whether the Grantce--to the knowledge of the Grantor--made any diversions of funds from the pmMose of the Grant

No


On December 2, 2002, grantor received from grantee narrative and expenditure reports of NoNember 26, 2002, cert6wg that the entire amount of the grant was expended for the purpose for N%hich it was made

Compensation of Officers, Directors, and Trustees

Part VI I 1, (1)

Name and Address

Abby M O'Neill Room 5600, 30 Rockefeller Plaza New York, N Y 101 12

Steven C Rockefeller Post Office Box 648 Middlebury, Vermont 05753

David Rockefeller Jr Room 5600, 30 Rockefeller Plaza New York, N Y 101 12

Joseph A Pierson Cypress Films Suite 41 5, 630 Ninth Avenue New York, N Y 10036

Richard G Rockefeller 71 Foreside Road Falmouth, Maine 04105

Neva Goodwin 11 Lowell Street Cambridge, Massachusetts 02138

Trustee, Vice Chairman 1 hr None None

1 of 6

ROCKEFELLER BROTHERS FUND, INC 13-1760106 SCHEDULE10 437 Madison Avenue FORM 990-PF New York, New York 10022 YEAR 2002

Position

Advisory Trustee

Trustee, Chairman

Trustee

Trustee

Trustee

Time per Week Devoted to Position

1 hr

1 hr

I hr

I hr

I hr

Contributions to Employee Benefit Plans

None

None

None

None

None

Expense Account and

Other Allowances

None

None

None

None

None

Compensation

0

0

0

0

0

0-

ROCKEFELLER BROTHERS FUND, INC. 13-1760106 SCHEDULE10 437 Madison Avenue FORM 990-PF New York, New York 10022 YEAR 2002


Part VI 11 . (1) Time Expense

per Week Contributions Account and Devoted to to Employee Other

Name and Address Position Position Benefit Plans Allowances Compensation David J Callard Wand Partners Inc Suite 2435, 630 Fifth Avenue New York, N Y 10111 Trustee I hr None None $ 4,000

William H Luers Metropolitan Museum of Art Fifth Avenue at 82nd Street Advisory New York, N Y 10028 Trustee 1 hr None None 0

Richard D Parsons AOL Time Warner Inc 75 Rockefeller Plaza Advisory New York, N Y 10019 Trustee 1 hr None None 0

Jessica P Einhorn 2861 Brandywine Street Washington D C 20008 Trustee 1 hr None None 0

Robert B Oxnam Asia Society & Museum 725 Park Avenue New York, N Y 10021 Trustee 1 hr None None 0

Frank G Wisner American International Group, Inc 70 Pine Street, 18th Floor New York, N Y 10270 Trustee 1 hr None None 0

2 of 6

John Morning John Morning Design, Inc 333 East 45th Street New York, N Y 100 17 Trustee 1 hr None None 0

3of 6



Part Vill, (I Time Expense

per Week Contributions Account and Devoted to to Employee Other

Name and Address Position Position Benefit Plans Allowances Compensation

Jonathan F Fanton The John D and Catherine T MacArthur Foundation 140 South Dearborn Street Advisory Chicago, Illinois 60603 Trustee 1 hr None None 0

Richard Chasin 2 Appleton Street Cambridge, MA 02138 Trustee 1 hr None None 0

Peggy Dulany Rockefeller & Co , Inc 30 Rockefeller Plaza, Room 5600 New York, N Y 10 1 12 Trustee I hr None None 0

Hunter Lewis Cambridge Associates, Inc 1110 North Glebe Road, Suite 1100 Arlington, VA 22201 4795 Trustee (j) 1 hr None None 0

James Moltz International Strategy and Investment, Inc 535 Madison Avenue, 30th Floor New York, N Y 10022 Trustee 1 hr None None 3,500

Com@ensation of Officers, Directors, and Trustees

Part V111, (I

Russell E Train World Wildlife Fund 1250 24th Street, NW Washington, D C 20037

Edmond D Villani Deutsche Asset Management 345 Park Avenue New York, N Y 10 1 54

Stephen 8 Heintz 437 Madison Avenue New York, N Y 10022

Trustee, President 42,439 40 hrs None

4 of 6


Name and Address Tadataka Yamada Glaxo Smith Kline Pharmaceuticals P 0 Box 1539 King of Prussia, PA 19406

David Rockefeller Room 5600 30 Rockefeller Plaza New York, N Y 101 12

Laurance S Rockefeller Room 5600 30 Rockefeller Plaza New York, N Y 101 12

Posi

Trustee

Advisory Trustee

Advisory Trustee

Advisory Trustee

Trustee


1 hr

1 hr

1 hr

I hr

I hr


None

None

None

None

None

Expense Account and

Other Allowances

None

None

None

None

None

Compensation

0

0

0

0

6,000

310,000


Part Vill, (1)

19,077 12 hrs None 35,588

Comptroller 21 hrs 23,959 None 84,589

$ 216,724 Part 1, line 3.3 (a) $ 1 ~165 002

5 of 6 (1) Until June 6 , 2002 (2) Until October 31,2002

ROCKEFELLER BROTHERS FUND, INC . 13-1760106 437 Madison Avenue New York . New York 10022

Name and Address William F McCalpin 437 Madison Avenue New York, N Y 10022

Linda E Jacobs 437 Madison Avenue New York, N Y 10022

Benjamin R Shute, Jr 437 Madison Avenue New York, N Y 10022

Boris A Wessely 437 Madison Avenue New York, N Y 10022

Leah A D'Angelo 437 Madison Avenue New York, N Y 10022

Geraldine F Watson 437 Madison Avenue New York, N Y 10022

Position Executive Vice President &

Chief Operating Officer

Vice President p

Secretary

Treasurer

Assistant Treasurer


40 hrs

40 hrs

40 hrs

40 hrs


41 .286

26 .943

38,495

24,525

Expense Account and

Other Allowances

None

None

None

None

SCHEDULE10 FORM 990-PF YEAR 2002

Compensation

236,900

188,101

176,306

120,018

657,302 $ 157,461_


Compensation of Five Highest Paid Employees For 2002

Part V111, line 2 (b) (b) (c) (d) (e)

Expense Time Contributions Account and

Devoted to to Employee Other Name and Address Position Position Compensation Benefit Plans Allowances

William S Moody 437 Madison Avenue Program New York, N Y 10022 Associate 35 hrs $ 164,574 $ 37,489 None

Charles L Granquist 437 Madison Avenue Director of New York, N Y 10022 Pocantico Programs 35 hrs 137,519 34,633 None

Annette Rickel 437 Madison Avenue Program New York, N Y 10022 Associate 35 hrs 123,600 28,757 None

Michael F Northrop 437 Madison Avenue Program New York, N Y 10022 Associate 35 hrs 117,511 32,620 None

Priscilla Lewis 437 Madison Avenue Director of New York, N Y 10022 Communications 35 hrs 114,098 23,962 None

$ 2,840,116

ROCKEFELLER BROTHERS FUND, INC 13-1760106 SCHEDULE12 437 Madison Avenue FORM 990-PF New York, New York 10022 YEAR 2002

Five Highest Paid Persons For Professional Services

Part VIII, (3)

Type of Name and Address Service Compensation

Greenrock Corporation 30 Rockefeller Plaza Facilities New York . N Y 10 1 12 Maintenance $ 1,274,567

Silchester International Investors 780 Third Avenue, 42nd Floor Investment New York, NY 10017 Management 518,676

Indian Asset Management 276 Post Road West Investment Westport, Connecticut 06880 Management 374,759

Frontier Capital Management 99 Summer Street Investment Boston, Massachusetts 02110 Management 358,442

Westport Asset Management 253 Riverside Avenue Investment Westport, Vonnecticut 06880 Management 313,672

Amount $335,151

ROCKEFELLER BROTHERS FUND, INC 13-1760106 Schedulel3 437 Madison Avenue - 37" Floor FORM 990-PF New York, NY 10022 Year 2002

PART fX-A - Page I of 2

Line I Pocantico Historic Area

In 199 1, the Rockefeller Brothers Fund entered into an agreement with the National Trust for Historic Preservation in the United States under which the Fund is responsible for the renovation, maintenance, and operation of this historic site which is to be used both for a program of public visitation and for a philanthropic program In 2002, the public visitation program, organized by Historic Hudson Valley, hosted 42,226 visitors In its capacity as steward of the Pocantico Historic Area, in 2002 the Rockefeller Brothers Fund continued its efforts to preserve and conserve the collections and buildings in its care

Amount S2,731,508

Line 2 Assistance to Charitable Organizations

During 2002, 9 members of the staff of Rockefeller Brothers Fund provided technical assistance to charitable organizations, governmental bodies and committees, and 9 members of the staff served on 30 charitable organizations' boards, public commissions or task forces

Amount $876,300

Line 3 Fellowship and Leadership Programs for Minority Students Entering the Teaching Profession

During 2002, the Rockefeller Brothers Fund continued to administer and award its Fellowships for Minority Students Entering the Teaching Profession Activities included monitoring of fellowship grants previously paid and approval of subsequent payments, maintaining contact with and reviewing the progress of fellows appointed in 1992 through 1997, organizing and convening a four-day residential conference for the existing fellows and mentors, reviewing the involvement to date of the participating institutions, collecting and organizing data for use in evaluation of the fellowship program An additional 25 new fellows were selected in 2002 In 1997, the Rockefeller Brothers Fund established the Leadership Program for selected fellows to support the leadership development of minority teachers In 2002, the Rockefeller Brothers Fund continued its support for the 15 fellows and 6 mentors participating in the Leadership Program

Schedule13 FORM 990-PF

Year 2002

Line 4 Pocantico Conference Center

Amount $260,351

ROCKEFELLER BROTHERS FUND, INC. 13-1760106 437 Madison Avenue - 37" Floor New York, N`Y 10022

PART IX-A - Page 2 of 2

The Pocantico Conference Center of the Rockefeller Brothers Fund, located within the Pocantico Historic Area (see Line 1, above), began operations in April of 1994 The purpose of the Pocantico Conference Center is to provide a setting where nonprofit organizations and public sector institutions can bring together people of diverse backgrounds and perspectives to engage in discussions of critical issues related to the Fund's philanthropic program, leading to new levels of understanding and creative resolution of problems In 2002, 65 conferences were hosted at the Conference Center Pocantico Conferences, usually multi-day events, are designed by RBF staff, grantees and/or outside groups whose objectives are consistent with the program interests of the Fund

Shedule 14 FORM 990-PF

Year2002

PART XV, Line 2b

To qualify for a grant from the RBF, as from most other foundations, a prospective grantee in the United States must be either a tax-exempt organization or an organization seeking support for a project that would qualify as educational or chantable A prospective foreign grantee must satisfy an RBF determination that it would qualify, if incorporated in the United States, as a tax-exempt organization or that a project for which support is sought would qualify in the United States as educational or charitable A grantee must

ROCKEFELLER BROTHERS FUND, INC 13-1760106 437 Madison Avenue New York, NY 10022-7001 PART XV. Line 2

Letters of inquiry or proposals should be addressed to Benjamin R Shute, Jr, Secretary Rockefeller Brothers Fund 437 Madison Avenue New York, New York 10022-7001 Telephone (212) 812-4200

A preliminary letter of inquiry is recommended for an initial approach to the Fund Such a letter, which need not be more than two or three pages in length, should include a succinct description of the project or organization for which support is being sought and its relationship to the Fund's program, information about the principal staff members involved, a synopsis of the budget, and an indication of the amount requested from the Fund

A detailed proposal, when requested, is expected to include a complete description of the purpose of the project or organization, the background and the research that have led to the development of the proposal, the methods by which the project is to be carried out, the qualifications and experience of the project's or organization's principal staff members, a detailed, carefully prepared, and realistic budget, and a list of those who serve as board members or advisors to the project Attached to each proposal must be a copy of the organization's tax exemption notice and classification from the Internal Revenue Service, dated after 1969, and a copy of its most recent financial statements, preferably audited Proposals from former grantees of the Fund will be considered only after earlier grants have been evaluated and grantees have submitted necessary reports of expenditures of those grants

Grants are awarded by the trustees, who meet regularly throughout the year

PART XV, Line 2c

Charles E. Culpeper Scholarships in Medical Science - The application deadline and application materials for Medical Science Scholarship awards to begin in 2004 was August 19, 2003 Rockefeller Brothers Fund FelloAship Program for Students of Color Entering the Teaching Profession -ne application deadline for this program will be December 31, 2003 PLEASENOTEthat fellowship candidates must attend and be nominated by one of 28 colleges and universities that participate in this program The Fund does not accept direct applications for fellowships A list olparticipating colleges and universities is available at the Fund's site on the World Wide Web (www rbf org Charles E. Culpeper Arts and Culture program - Proposals accepted annually from January 15-March 15 for consideration in the same calendar year PLEASE NOTE this applies only to the Supporting Core Operations and Strengthening Long-term Financial Viability strategies of this program

PART XV, Line 2d

R_BF Program Statement The Rockefeller Brothers Fund promotes social change that contributes to a more just, sustainable, and peaceful world Through its grantmaking, the Fund supports efforts to expand knowledge, clarify values and critical choices, nurture creative expression, and shape public policy The Fund's programs are intended to develop leaders, strengthen institutions, engage citizens, build community, and foster partnerships that include government, business, and civil society Respect for cultural diversity and ecological integrity pervades the Fund's activities As an institutional citizen of an interdependent world, the Fund is active globally, nationally, and locally in its home city of New York Grant programs are organized around four themes Democratic Practice, Sustainable Development, Peace and Secunty, and Human Advancement T'he Fund recognizes that achievement of progress in each of these program areas is often interconnected with developments in the others As a private foundation, the Fund stnves to promote philanthropic excellence and to enhance the effectiveness of the nonprofit sector As specified in the guidelines for each grant program, the Fund supports activities at the global level and in North America and East Asia In addition, the Fund pursues cross-programmatic grantmaking in several RBF "pivotal places," selected for their extraordinary regional or global significance and for their special importance with regard to the Fund's substantive concerns In these RBF pivotal places, the Fund pursues strategies that advance two or more of its progranimatic interests, as determined by a careful assessment of local needs and priorities The Fund currently focuses on three pivotal places New York City, South Africa, and Serbia/Montenegro Dunng 2003, Fund staff and trustees will consider designating an RBF pivotal place in Asia The Pocantico Conference Center of the Rockefeller Brothers Fund is located at the heart of the Rockefeller estate outside New York City and was created when the Fund leased the area from the National Trust for Historic Preservation in 1991 The conference center provides a unique setting where the RBF and other nonprofit organizations and public sector institutions can bring together people of diverse backgrounds and perspectives to engage critical issues, reach new le,~els of understanding, and develop creative solutions to pressing problems Ln the years since its founding in 1940, the Fund has developed a distinctive style of grantmaking that is reflected in the following characteristics " Long View Grantmaking is primarily concerned with fundamental problems and is designed to

contribute to the achievement of long-term goals and to make a lasting impact " Commitment Extended commitments are frequently made to specific issues and geographic regions

and even to particular grantees

ROCKEFELLER BROTHERS FUND, INC. 13-1760106 Shedule 14 437 Madison Avenue FORM 990-PF New York, NY 10022-7001 Year2002 also be engaged in work that fits generally within the Fund's guidelines

In addition, please note the following general and geographic restrictions

General Restrictions The Fund does not support building projects or land acquisition Neither, as a general rule, does the Fund make grants to individuals nor does it support research, graduate study, or the writing of books or dissertations by individuals

Geographic Restrictions The Fund's Sustainable Development program focuses on North America and East Asia, the Peace and Security program focuses on he United States, and is seeking to establish goals for the Muslim world, The Arts and Culture, Health, and Education programs are active only in the United States Geographic restrictions for the New York City, Serbia and Montenegro, and South Africa programs are self-evident

Although the RBF has made substantial gifts to organizations and programs in which it has considerable interest, most grants are between $25,000 and $300,000, often payable over more than one year but typically not more than three

STRATEGIES " Improving the capacities and performance of selected state and local governments " Supporting exemplary programs that enhance the effectiveness and responsiveness of the federal government

Goal I Enhancing Access and Promoting Inclusive Participation Globally, the Fund aims to expand participation and effective representation in the political and policymaking processes of transnational institutions

STRATEGIES - Broadening the inclusiveness of transnational organizations by increasing the involvement of those communities, nongovernmental organizations, and governments that have a legitimate interest in their decision making - Enhancing the capacity of individuals, nongovernmental organizations, and governments to participate effectively in the decision-making processes of transnational organizations The Fund is particularly interested in ensuring that voices representing developing countnes can make themselves heard in transnational fora

Goal I Ensuring Transparency and Accountabili Globally, the RBF seeks to increase transparency and accountability in transnational decision making that

ROCKEFELLER BROTHERS FUND, INC 13-1760106 Shedule 14 437 Madison Avenue FORM 990-PF New York, NY 10022-7001 Year2002 " Synergy Rather than considering opportunities on a stand-alone basis, the Fund looks for connections

among the activities it supports and the themes it pursues, both within and across program areas and in specific geographic locations

" Initiative T'he Fund initiates or participates in the development of many of the projects that it supports " Engagement In addition to providing financial support, the Fund often works closely with grantee

organizations to help strengthen their capacity and advance their work " Collaboration 'ne Fund actively seeks opportunities to collaborate with other fianders " Convening The Fund devotes time and resources, including the use of its Pocantico Conference

Center, to convening groups of diverse stakeholders and encouraging collaboration among government agencies, corporations, and nongovernmental organizations

PART XV, Line 2d (continued PROGRAMS Democratic Practice Program Guidelines

Goal I Encouraging Civic Engagement In the United States, the Fund seeks to empower individuals and encourage nonprofit and other civil society organizations, including philanthropy, to advance constructive social change ftough participation in democratic decision making and social movements

STRATEGIES - Identifying and supporting new ways to foster civic engagement, including innovative models and programs that catalyze the civic energy of young people - Encouraging and assisting a broad range of civil society organizations to move toward a stronger and more explicit engagement with public policy related to constructive social change

Goal I Fostenng Effective Governanc In the United States, the RBF works to strengthen the institutions and practices of democratic governance, with special concern for leadership and public administration that is informed, responsive and honest and that delivers sustainable social improvement

STRATEGIES - Advancing cost-effective energy efficiency and renewable-energy-based approaches to reducing greenhouse gas emissions - Building public and policyrnaker understanding of the threat of global warming and support for a range of actions to address this problem . Supporting efforts to strengthen and advance coordinated international action and policy, which are particularly critical to the mitigation of global warming

Goal I Protecting Ecosystems and Conserving Biodiversi The Fund seeks to conserve terrestrial and marine biodiversity by protecting and restoring ecosystems and by fostering sustainable communities that pursue locally appropriate development strategies

STRATEGIES - Supporting the conservation and sustainable use of remaining blocks of coastal temperate rain forest lands, especially in British Columbia - Globally, promoting sustainable forest management practices that maintain healthy forest ecosystems and protect communities that are culturally and economically dependent on them - In the United States and British Columbia, supporting the reform ofunsustainable fishery management practices - In the Russian Far East, supporting efforts to protect Pacific salmon, a "keynote species," by encouraging terrestrial and marine conservation programs that link the health of open ocean ecosystems to that of forest watersheds - Assisting communities in East Asia in their efforts to define and pursue locally appropriate development strategies, with particular attention to organic agriculture, sustainable fisheries, and integrated river basin management planning

Peace and Security Program Guidelines

gagemen Goal I Promotin Responsible U S Global Env The R-BF supports efforts to articulate and implement a positive new vision of the United States' role in creating a better and safer world for all people and for the diversity of life on Earth

STRATEGIES - Encouraging broad public dialogue and debate on America's role in the world and on the values and principles that should shape it - Facilitating the development and adoption of a foreign policy framework for the United States that addresses the per-ils and promise of interdependence in a manner that is farsighted and integrated,

ROCKEFELLER BROTHERS FUND, INC. 13-1760106 Shedule ̀ 14 437 Madison Avenue FORM 990-PF New York, NY 10022-7001 Year2002 affects the quality of people's lives and the integrity of the natural environment

STRATEGIES " Advancing efforts to conceptualize and implement a vision for democratic transnational decision making

" Encouraging reforms within specific transnational institutions " Promoting open and candid exchange of information and perspectives among the growing number of actors who participate in the development and implementation of transnational policy

Sustainable Development Program Guidelines

Goal I Combating Global Warmin In the United States and globally, the Fund supports strategies to combat global warming and seeks to

contribute to international cooperation on this issue

ROCKEFELLER BROTHERS FUND, INC 13-1760106 437 Madison Avenue New York, NY 10022-7001 principled and constructive, consultative and collaborative

Shedule 14 FORM 990-PF

Year2002

Education T'he role of education in human advancement is universally recognized Good schools and inspiring teachers bring meaning and value to students' lives, nurture their aspirations, and help them acquire the skills they need to achieve their goals and realize their potential Good schools teach respect for all people and for the diversity of life on Earth, they develop young people's confidence and their capacity for civic leadership and are an essential component of strong communities Inspiring teachers are catalysts for improvement in their schools and often become leaders for change in the larger community as well Based

Goal I Contributing to Greater Understanding Between Muslim and Western Societies The long history of the relationship between Islam and the West has included eras of fruitful interaction as well as periods of conflict The tensions that currently characterize this relationship seem to be rooted, at least in part, in profound misunderstanding and lack of communication Such tensions, while not unprecedented, are made particularly dangerous by features of today's interdependent world-the rapid pace of change, the interconnectedness of issues, the complex impact of globalization, and the juxtaposition of great wealth and extreme poverty Left unaddressed, this strained relationship will undermine international attempts to resolve conflicts and ameliorate conditions that threaten regional and global security Progress toward a relationship of mutual respect and understanding, on the other hand, would enhance the prospects for identifying shared goals and pursuing cooperative endeavors

The Fund is beginning to explore and support a smal I number of efforts to contribute to the improvement of communication and understanding between Muslim and Western societies, including the United States Such efforts may involve facilitating the direct and candid exchange of views among opinion leaders, promoting dialogue among policymakers, and educating policyrnakers and the public about tbemes and issues that have a significant hearing on Muslim-Westem relationships

STRATEGIES - The RBF is developing specific strategies to advance this goal

Charles E. Culpeper Human Advancement Program Guidelines

Arts and Culture Art creates beauty, invites discovery, stimulates reflection, and generates self-knowledge Engagement with the arts promotes deeper understanding of human experience among diverse communities The Fund's support for arts and culture currently takes the following forms

- In New York City, one of the R-BF's pivotal places, the Fund seeks to foster an environment in which artists can flourish and to help sustain small and midsize cultural organizations, particularly those that are community based and/or culturally specific

- In Serbia and Montenegro, another RBF pivotal place, the Fund uses a variety of strategies, including support of cultural activities to advance efforts to grapple with issues of identity and nationality as a prerequisite for ethnic and national reconciliation

- The RBF provides annual support to the Asian Cultural Council (ACC), which funds cultural exchange in the visual and performing arts between the United States and the countries of Asia The ACC funds individual fellowships to artists, scholars, and specialists from Asia who are under-taking research, study, or creative exploration in the United States Grants are also made to Americans pursuing similar work in Asia, to cultural institutions involved in particularly significant exchange projects, and to activities that encourage regional dialogue and cooperation within Asia (To learn more about the ACC's programs and application procedures, please visit www astanculturalcouncil org )

- In the United States, the Charles E Culpeper Scholarships in Medical Science work to provide medical schools or equivalent U S educational institutions with up to three years of support, including salary and core research expenses, on behalf of carefully selected physicians of high potential achievement who are

ROCKEFELLER BROTHERS FUND, INC 13-1760106 Shedule 14 437 Madison Avenue FORM 990-PF New York, NY 10022-7001 Year2002 on these convictions, the RBF seeks to improve education in the following ways

- In New York City, one of the RBF's designated pivotal places, the Fund seeks to promote civic

responsibility for school improvement, strengthen constituencies for effective public education, and create

opportunities for young people to grow through active engagement with their cornmunities

- At a time of profound demographic shifts in communities and classrooms, the Rockefeller Brothers Fund Fellowships for Students of Color Entering the Teaching Profession assist outstanding students of color from selected U S colleges and universities to pursue graduate studies and begin teaching in public schools The RBF also furthers the professional development of Fellows after they have begun their careers in teaching Note The fellowships program is open only to students who attend one of the participating higher education institutions The list of participating institutions may be found on the Fund's web site at www rbf org

- In South Africa, another RBF pivotal place, the Fund seeks to improve the quality and accessibility of basic education for children and adults in the areas of early childhood development and primary education

Leadership No government, acting alone, can solve the problems or enhance the opportunities that globalization creates Much the same may be said of individuals Teamwork and partnership are essential to building social movements and promoting systemic change But the role of individual leaders in imagining alternatives, inspinng hope, and galvanizing collective action is also crucial This belief informs all of the RBF's grantmaking and is the specific impetus for the Fund's involvement with the Ramon Magsaysay Awards program in Asia

- The Ramon Magsaysay Awards were established in the late 1950s by members of the Rockefeller family to honor individuals and organizations in Asia whose civic contributions and leadership "exemplify the greamess of spirit, integrity, and devotion to freedom of Ramon Magsaysay," former president of the Philippines who died tragically in an airplane crash Often regarded as the Nobel prizes of Asia, these awards are presented in six categories government service, public service, community leadership, international understanding, journalism, literature, and creative communication arts, and emergent leadership Up to six awards of $50,000 each are given annually by the board of trustees of the Ramon Magsaysay Award Foundation, which is headquartered in Manila and receives significant support from the RB F

- The Rockefeller Brothers Fund Fellowships for Students of Color Entering the Teaching Profession, while primarily designed to improve public education, also nurture individual leadership

Health In some regions of the world, infectious disease prevents the realization of individual potential and undermines the family, community, and institutional supports on which human advancement depends At the same time, positive change cannot occur at the ground level unless we encourage the professional development of medical practitioners and support new approaches to medicine 'Me RBF is actively engaged on both counts

- In South Africa, an R-BF pivotal place, the Fund has responded to the HIV/AIDS pandemic by supporting efforts to assist orphans and vulnerable children in achieving their full potential as individuals and as constructive members of society

STR-ATEGIES - Supporting core operations by providing non-renewable, two-year general operating grants of up to $50,000 per year as a source of stable funding and added vitality in the immediate term - Strengthening long-term financial viability by providing endowment grants and cash reserve grants of up to $250,000 to organizations that demonstrate the potential for long-term leadership and excellence in the presentation of creative work to the broadest possible audiences - Enhancing institutional leadership through competitive awards to arts and cultural organizations for

ROCKEFELLER BROTHERS FUND, INC 13-1760106 Shedule 14 437 Madison Avenue FORM 990-PF New York, NY 10022-7001 Year2002 committed to careers in academic medicine The Charles E Culpeper Biomedical Pilot Initiative seeks to encourage the creation ofpromising new approaches to the challenges facing the health care field

Please note, the RBF will no longer maintain a separate grants program in the field of health The Fund's interest in this area will be addressed within the framework of other programs

R_BF Pivotal Places The Fund currently works in three RBF pivotal places New York City, South Africa, and Serbia and Montenegro In 2003, the Fund will be reviewing opportunities to designate a pivotal place in Asia

New York City Program Guidelines

Democratic Practice

Goal I The Fund seeks to improve the quality of life in disadvantaged neighborhoods

STRATEGIES " Supporting initiatives that address locally identified pnonties and build local leadership " Encouraging collaboration among local institutions and across sectors

Sustainable Development

Goal I The RBF assists community-based initiatives that encourage respect and care for the natural and built environment and that enhance or reclaim public space in order to improve the safety, the aesthetic quality, and the spintual and conu-nunity life of New York City neighborhoods

Human Advancement I Education

Goal I The Fund seeks to promote civic responsibility for school improvement, strengthen constituencies for effective public education, and create opportunities for young people to grow through active engagement with their communities

Human Advancement I Arts and Culture

Goal I The Fund fosters an environment in which artists and the creative process can flourish

STRATEGY - Supporting organizations that assist individual artists and the creative process, providing infrastructure to sustain the artistic life, and offenng additional opportunities to artists for developing skills complementary to their creative talents

Goal I The RBF works to sustain and advance small and midsize cultural organizations, particularly those that are community based and/or culturally specific

Human Advancement

Goal I The Fund seeks to improve the quality and accessibility of basic education for children in the areas of early childhood development and primary learning

ST'RATEGIES " Supporting the introduction and evaluation of promising basic education models " Advancing the development of primary school teachers " Strengthening the institutional capacity of nonprofit organizations, university programs, and government agencies in the field of basic education - Assisting nonprofit organizations with basic education projects to integrate a concern for HIV/AIDS within their work

Goal I In response to the HIV/AIDS pandemic, the PBF supports efforts to assist orphans and vulnerable children in achieving their full potential as individuals and as members of society

STR-ATEGIES - Encouraging the development and evaluation of innovative models of care, education, and support for orphans and vulnerable children - Strengthening the institutional capacity of nonprofit organizations, university programs, and government agencies working with orphans and vulnerable children . Supporting targeted social science research that will improve the understanding and effectiveness of work related to orphans and vulnerable children

Sustainable Development I Democratic Practice I Peace and Security

Goal I The Fund will support a small number of efforts to improve understanding of the linkages between HrV/AD)S and sustainable development, democratic practice, and peace and security issues in South Affica, and promote integrated responses to the broad societal impacts of the H[V/AJ[DS pandernic

STP,ATEGIES - Supporting and disseminating research to improve understanding of linkages between HIV/AIDS and sustainable development, democratic practice, and peace and security - Strengthening the capacity of nonprofit organizations, university programs, and government agencies working on linkages between HIV/AIDS and these three issues, including the facilitation of cross-sectoral communication and collaboration - In a limited way, facilitating the introduction and evaluation of promising models of responses to the linkages between HIV/AIDS and these three core issues of PBF concern

Serbia and Nlontenegro Program Guidelines

Democratic Practice

ROCKEFELLER BROTHERS FUND, INC. 13-1760106 Shedule 14 437 Madison Avenue FORM 990-PF New York, NY 10022-7001 Year2002 innovative team-based leadership conferences designed to strengthen long-range organizational management and governance The Fund's Pocantico Conference Center will host representatives from selected organizations for conferences on issues of institutional advancement Each selected organization will receive a grant of up to $15,000 to cover the costs of the leadership conference, including the participation of professional consultants, advisors, or facilitators Following completion of a conference, the Fund may make an additional award of up to $25,000 to support the participating organization's efforts to implement some aspect(s) of what was learned through the conference

South Africa Program Guidelines

TTie Rockefeller Brothers Fund submits grants information on a regular basis to the Foundation Center for inclusion in its publications, including The Foundation Grants Index Quarterly and The Foundation 1000 The Foundation Center maintains reference libraries and Cooperating Collections in more than 200 locations nationwide Information about the location of Cooperating Collections can be obtained from the Foundation Center by calling 1-800-424-9836

ROCKEFELLER BROTHERS FUND, INC 13.1760`106 Shedule 14 437 Madison Avenue FORM 990-PF New York, NY 10022-7001 Year 2002

Goal I The RBF works to strengthen the institutions of effective governance

STRATEGIES " Supporting the capacities and performance of governmental institutions " Promoting understanding of the role of nongovernmental organizations in democratic society " Creating conditions for effective relationships between government and civil society institutions

Sustainable Development

Goal I The RBF supports efforts to build sustainable communities

STRATEGIES " Encouraging local economic development that is environmentally sustainable " Promoting transparent and inclusive decision making about community development " Fostering the growth of indigenous philanthropy

Peace and Security I Human Advancement

Goal I Using a variety of strategies, including support of cultural activities, the RBF advances efforts to grapple with issues of identity and nationality as a prerequisite for ethnic and national reconciliation and an essential foundation for democracy and sustained peace

STRATEGY - The RBF is developing specific strategies to advance this goal

ADDITIONAL INFORMATION The Rockefeller Brothers Fund maintains a website at www rbf org that includes information about the Fund's program guidelines, descriptions of recent grants, and a list of publications, many of which are available online

For additional general information, annual reports, and publication requests, please e-mail info@rbf org To obtain a copy of our program guidelines, please visit www rbf org or e-mail guidelines@rbf org For grant-related inquiries only, please e-mail gmritsCivi-bf org

Rockefeller Brothers Fund, Inc 13-1760106 437 Madison Avenue New York, New York 10022-7001 Page 1

NOTE There are no relationships between any individual grantee and any foundation manager or any substantial oontnbutor

Alston, Nicole Lynn SI,148 so SI,148 so

23811 SE 132nd Avenue 4WI0 Kent, WA 98042 Leadership Development, Cohort 2 Ari)aratne, Ahangamage Tudor so $10,000 so $10,000

Sarvodaya Central Off-ice "Damsak Mandira" No 98 Ra%kaLawatte Road Moratuwa SRI LANKA for support of his project, "Impacting Poverty through Community Empo"criment in MaLale District, Sri Lanka" Arteaga, Sonia S19,600 so so $19,600

8146 Evergreen Avenue South Gate, CA 90280 Fellov~ship for Minority Students Entering the Teaching Profession Banks, Lauren $3,600 so so $3,600

1303 Sawbridge Way Reston, VA 22094 Fellov.ship for Minority Students Entering the Teaching Profession Bauerie,Phenocia $19,600 so so $19,600

421 W Mendenhall #4 Bozeman, MT 59715 Fello%Nship for lvhnoriL~ Students Entering the Teaching Profession Bhant, Chandi Prasad so $10,000 so $10,000

Dashoh Gram Swarajya Mandal Gopeshwar-Chamoh Uttarakhand 246401 Uttar Pradesh FINDIA fbr support of his project, "Eco-Restoration of Barren Village Land" in the Himala~an foothills The Board of Trustees of the University of Illinois so S25,000 $25,000 so

University of Illinois at Chicago 833 South Wood Street Chicago, IL 60612-7231 for the research of Richard A Gemeinhart, PhD, entitled "Microscale Defined Molecular Gradients for Determination of Cellular Actj% itv~ Bond, Charmelia so $22,100 S2,500 S19,600

5347 Florence Avenue Philadelphia, PA 19143 Fellowships for Students of Color Entering the Teaching Profession

Form 990-PF Year 2002

PART XV lines 3(a) and 3(b) Grants and Coninbutions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO INDIVIDUALS Recipient Name Beginning Balance Grants Approved Amount Paid Ending Balance

Recipient Address In 2002 in 2002 Project Description


Brantley, Michelle R- S1,200 so $1,200 so 1200 Massachusetts Avenue Apt 3E Cambridge, MA 02138 Fellowship for Minority Students Entering the Teaching Profession Braxton, Julian K $1,990 so $1,990 so 99 Brattie Street Cambridge, MA 02138-6307 Leadership Development, Cohort 2 Bristol, Travis so $22,100 S2,500 $19,600 418 Elton Street Brooklyn, NY 11208 Fellowships [or Students of Color Entenng the Teaching Profession Brown, Thabin S3,600 $0 $1,200 $2,400 440 Lenox Road Apt 4 D Brooklyn, NY 11203 Fellowship for Minority Students Entering the Teaching Profession Regents of the University of California $324,000 so $108,000 $2 1 6,000 9500 Gilman Drive La Jolla, CA 92093-0602 to the research of Benhur Lee, MD concerning the onset and de%elopment of HIV Regents of the University of California so $24,964 $24,964 so 9500 Gilman Drive La Jolla, CA 92093-0602 to support the research of Abdul I Barakat, PhD, entitled "Regulation of Vascular Endothelial Cell Wound Healing ky Fluid Mechanical Shear Stress" Canard, Tracy L S3,600 so so $3,600 1233 N Colorado Street Salt Lake City, UT 84116 Fellowship for Minority Students Entering the Teaching Profession Carde, Dorian $19,600 so $0 $19,600 1404 North LaNkler Chicago, IL 60651 Fellowship for Minonty Students Entering the Teaching Profession Chave7, Emily so $22,100 S2,500 $19,600 3304 Ashwood Drive Cincinnati, OH 45213 Fellowships far Students of Color Entering the Teaching Profession

Fonn 990-PF Year 2002

PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCH EDULE OF G RANTS TO INDIVI DUALS Recipient Name Beginning Balance Grants Approved Amount Paid Ending Balance Recipient Address in 2002 in 2002 Project Description


PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCH EDU LE OF G RANTS TO I NDIVIDUALS Recipient Name Beginning Balance Grants Approved Amount Paid Ending Balance Recipient Address in 2002 in 2002 Project Description

so $1,200

so so

Columbia University in the City or New York, Trustees of PO Box 29789 General Post Office New York, NY 10087-9789 for the research of Marija Dokmano%ic, entitled "Identification of Novel Genes and Pathways in Type 2 Diabetes Using ENU Ntutagenesis in Mice" Columbia University in the City of New York, Trustees of PO Box 29789 General Post OfEce New York, NY 10087-9789 to support the research of Stanislav Zakharenko vfD, PhD, entitled "Learriing and Memory, in the Striaturn Pres)-napuc Mechanisms"

$24,948 $24,948 so so

Form 990-PF Year2002

Cheng, Margaret S 1917 Ernest Avenue B Redondo Beach, CA 90278 Fello%ship forNfirionty, Students Entering the Teaching Profession Chemer, Spencer 2919 Laurel Street New Orleans, LA 70115 Fellowships for Students of Color Entering the Teaching Profession Chin, Lynda 2441 East 14th Street Brooklyn, NY 11235 Fellowship for Minority Students Entering the Teaching Profession Clayton, Jr , Wellesley 2251 Sherman Avenue Apt 835E Washington, DC 20001 Fellowship for Minority Students Entering the Teaching Profession Cleveland Clinic Foundation, The Lemer Research Institute 9500 Euclid Avenue Cleveland, Ohio 44195

to support the research of Shuvo Roy, Ph D , entitled "A Novel Approach to the [dentiFication of Ligands That Can Regulate Metabotropic Glutarnate Receptors Panning a Phage Display Peptide Library "

S2,400

so

$1,200

$3,600

so

so

so S2,400

$22,100 $2,500

$25,000

$14,015

$25,000

$14,015

so

$19,600

so

S3,600

so

so


Columbia Unmersity in the City of New York, so $324,000 so $324,000 Trustees of PO Box 29789 General Post Office New York, NY 10087-9789 to the research of C Daniel Salzman, MD, PhD, concerning the neural mechanisms that underlie emotional behavior Columbia Universit) in the City of New York, $216,000 so S108,000 $108,000 Trustees of PO Bo\ 29789 General Post Office New York, NY 10087-9789 for the research of Asa Abehovich, Md, PhD, concerning the genetics of Parkinson's Disease Cornell University S216,000 $0 $108,000 $108,000 Ithaca, NY 14853 for the research of Jay M Edelberg, MD, PhD, at the Joan and Stanford Weill Medical College of Cornell University, concerning cardiac microvascular communication Conn, Robert Jr so $22,100 $2,500 $19,600

750 Oxford Street Wethersfield, CT 06109 Fellowships for Students of Color Entering the Teaching Profession Daly, John V. so $10,000 so $10,000 Urban Poor Research Crar Inst Sojung University Smssoo-clong 1, Mapo-ku Seoul 121-600 SOUTH KOREA for support of his project, "Utilizing Street Vending as a Job for Low Income Strata in Urban Korea" Davalos, Eva $19,600 $0 S6,000 $13,600

1213 10th Street Colton CA 692324 Fellowship for Minority Students Entering the Teaching Profession Davenport-Harris, Crystal $0 $22,100 S2,500 S19,600

432 West Clapier Street Philadelphia PA 19144 Fellowships for Students ofColor Entering the Teaching Profession Davis, Elyse so $22,100 $2,500 $19,600

875 Hank Aaron Drive Apt 601 Atlanta, GA 30315 Fellowships for Students of Color Entering the Teaching Profession


PART XV lines 3(a) and 3(b) Grants and Contnbut~ons Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO IN DIVI DUALS Recipient Name Beginning Balance Grants Approved Amount Paid Ending Balance Recipient Address in 2002 in 2002 Project Description

Rockefeller Brothers Fund, Inc 131760106 437 Madison Avenue New York, New York 10022-7001 Page 5

Be Los Santos, Ana $3,600 so $3,600 so 200 Palmetto Street Apt 3B Brooklyn, NY 11221 Fellowship for Minority Students Entering the Teaching Profession Dozono, Tod $19,600 so $6,000 S13,600 2580 SW 83rd A%enue Portland, OR 97225 Fello%%ship for Minority Students Entering the Teaching Profession Duenas, Angelica $19,600 so $6,000 S13,600 14133 La Rue Street San Fernando, CA 91340 FelloN%ship for Minority Students Entering the Teaching Profession Emory University S216,000 so S108,000 $108,000 Dept of Psychiatry, Woodruff Memorial Building 1739 Pierce Drive, Ste 4000 Atlanta, GA 30322 for the research of Kerry James Ressler, MD, PhD, concerning the molecular neurobiology of fear in mammals Ferguson, Kelly S19,600 so S6,000 $13,600 14511 S Kimbark Avenue Dolton, IL 60419 Fellowship for Minority Students Entering the Teaching Profession Fisher, Danetta F S9,600 $0 $3,000 $6,600 PO Box 47 Busby, MT 59016 Fello%%ship for MmonLN Students Entering the Teaching Profession Garcia, Araceli so S22,100 S2500 $19,600 1341 East 23rd Street Los Angeles. CA 90011 Fellowship for Students of Color Entering the Teaching Profession Garrett, Jeffrey $19,600 $0 so $19,600 1199 Lafond Avenue St Paul, NfN 55104 Fellowship for MinoritN Students Entering the Teaching Profession

Forim 990-PF Year 2002

PART XV lines 3(a) and 3(b) Grants and Contnbutions Paid During the Year and Approyed for Future Payment SCHEDULE OF GRANTS TO IN DIVI DUALS Recipient Name Beginning Balance Grants Approved Amount Paid Ending Balance Recipient Address in 2002 in 2002 Project Description


Georgia Tech Research Corporation so $25,000 $25,000 so Administration Building - Georgia Tech Atlanta. GA 30332 for the research of J Carson Meredith, Phl), entitled "Combinatorial Characterization of Cell-Polymer Interactions Effects of Chemistry, Microstmcture, and Roughness " Gomes, Angela $0 $10,000 so $10,000 Banchte Shekha Shaheed Mashiur Rahman Road Jessore BANGLADESH for support of her project . "Development Program for Female Physically Handicapped and Street Children in Jessore, Bangladesh" Gomez, Nancy so $22,100 $2,500 $19,600 650 E D Street Ontario, CA 91764 Fellowships for Students of Color Entering the Teaching Profession Hamilton, Qeona S19,600 so so S19,600 3711 South Hallclale Avenue Los Angeles. CA 90018 Fellowship for Minority Students Entering the Teaching Profession Harris, Natasha $19,600 so so $19,600 206 Oregon, Apt E Durham, NC 27705 Fellowship tor Minority Students Entering the Teaching Profession Hathaway, Kara L $3,828 $0 $3,828 $0 2 Townsend Street 91-805 San Francisco, CA 94107 Leadership Development, Cohort 2 Hralima, Salome $19,600 so so $19,600 1166 Barbara Ct Seaside, CA 93955 Fello"ship for Minority Students Entering the Teaching Profession Ivey, Raymond $19,600 $0 $4,000 S15,600 1505 Washington Heights Little 2432 Fellowship for MinontN Students Entering the Teaching Profession Jain, Lakshrm C so $10,000 so $10,000 M- 1, Kanchenjunga, 18 Barakhamba Road New Delhi 110001 INDIA for support of his project, "Towards Self-Governing and Self-Contained Villages Preconditions for the Assured Eradication of PovertN"


PART XV lines 3(a) and 3(b) Grants and Contributions Paid Dunng the Year and Approved for Future Payrnent SCHEDULE OF GRANTS TO IN DIVI DUALS Recipient Name Beginning Balance Grants Approved Amount Paid Ending Balance Recipient Address in 2002 in 2002 Project Description


Jefferson, Lisa so S22,100 $2,500 $19,600 1404 Stratford Drive Killeen TX 76549 Fellowships for Students of Color Entering the Teaching Profession Joan and Sanford I Weill Medical College of

$108,000 so $108,000 so Cornell Univ 1300 York Avenue, A- 131 New York, NY 10021 to the research of Jacqueline Bromberg, M-D, PhD, concerning ocogenesis Joclum Arputham S10,000 so $10,000 so National Slum D"ellers Federation of India SPARC Office, Meghraj Sethi Marg Municipal Dispensary Byculla, Mumbai India To a project to help provide land tenure and cyclone- proof housing to urban poor in the state of Orissa in eastern India Johns Hopkins University so $25,000 $25,000 so 600 North Wol re Street Blablock 1408 Baltimore, MD 212874961 to support the research of Kevin J Yarema, PhD, entitled "Applications of GINcosylation Engineering in Stem Cell Research " Johns Hopkins University so $324,000 so $324,000 600 North Wolfe Street Blablock 1408 Baltimore, ME) 21287-4961 to the research of Guo-li Ming, MID, PhD, concerning repair and regeneration oraxons following injury or damage to the central nervous s) stem Johnson, Traci $19,600 so so $19,600 2610 International Drive Ypsilanti, MI 48197 Fellowship for Minority Students Entering the Teaching Profession Khan, Shoaib Sultan and Jahangur, Aston $20,000 so $20,000 so National Rural Support Program No 8 Aga Khan Road Islamabad F-6/4 PAKISTAN To Shoaib Sultan Khan and Asma Jahangir, as a contribution to a joint project to see the development of additional community-based schools in the North West Frontier Province of Pakistan


PART XV lines 3(a) and 3(b) Grants and Contributions Pad During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO IN DIVI DUALS Recipient Name Beginning Balance Grants Approved Amount Paid Ending Balance Recipient Address in 2002 In 2002 Project Description


Killsback, Leo $19,600 so so $19,600 P 0 Box 84 Busby, MT 59016 Fellowship for Minority Students Entering the Teaching Profession Kim, Im-soon $10,000 so $10,000 $0 Koje-do AikAvangv~on -- 521-4 Changseungpo-dong, Changseungpo City Kyung Nam Pro~ ince 657-170 KOR-EA To a project to establish a horticultural therapy program at a rehabilitation center for the mentally and physically challenged in Korea Laud, Nikhil $0 $22,100 $2,500 $19,600 123 Shrubhollow Road Roslyn, NY 11576 Fellowships for Students of Color Entering the Teaching Profession Lee, Celeste so $22,100 $2,500 S19,600 225 Canal Place Fayetteville, GA 30215 Fellowships for Students of Color Entering the Teaching Profession Legacy Emanuel Hospital and Health Center so $25,000 $25,000 so Legacy Clinical Research & Technology Center 1225 NE 2nd Avenue Box 3950 Portland, OR 97208-3950 to support the research of Carol D Farr, PhD, entitled "A Novel Approach to the Identification of Ligands that Can Regulate Metabotropic Glutamate Receptors Panning a Phage Display Peptide Librai-," Leon, Veronica $0 $22,100 $2,500 $19,600 1 140 G Street Orange Grove, CA 93646 Fellowships for Students of Color Entering the Teaching Profession LIANG Congpe $10,000 so $10,000 so Rm 3201, #11 Dong-luo-quang Hutong, Eastern District Beijing CHINA To a project to train elementary and secondary school teachers in China's "estern provinces in the basics of environmental education


PART XV lines 3(a) and 3(b) Grants and Contributions Paid Dunng the Year and Approved for Future Payment SCHEDULE OF GRANTS TO IN DIVI DUALS Recipient Name Beginning Balance Grants Approved Amount Paid Ending Balance Recipient Address in 2002 in 2002 Project Description


Mars, Jane S19,600 so S6,000 $13,600 P 0 Box 12 Dorchester,, N4A 02122-0001 Fellowship for Minority Students Entering the Teaching Profession Massachusetts, University of so $25,000 $25,000 so 364 Plantation Street Worcester MA01605 to support the research of Craig C Mello, PhD, entitled "C elegans RNAi Pathways Genes as Tools for Targeted Gene Silencing in Vertebrate Cells Michigan State University $324,000 so $108,000 $216,000 A341 East Free Hall East Lansing, MI 48824-1316

to the research of Gretchen L Birbcck, M D , MPH concerning the relationship betvveen recurrent febrile Seizures and epilepsy rates in developing countries

Muriam Hospital, The so $25,000 $25,000 so Office of Research Administration 164Summit Avenue Providence, R] 02906 to support the research of Bharat Ramratnam, MD, entitled "Engineering Mucosal Resistance to Cr)ptosporidiosis" Mitcbell, Merrin $19,600 so $4,000 $15,600 815 Lynnhurst Drive, S W Atlanta, GA 30311 Fellowship for Minority Students Entering the Teaching Profession Mitchell, Valerie $1,200 so SI,200 so 5744 Gaskill Street Oakland, CA 94608 Fellowship for Minority Students Entering the Teaching Profession Montana State University so S25,000 $25,000 so 211 Montana Hall Bozeman, Montana 59717-2420 to support the research of Mark E Shiriliff, PhD, entitled "Discovery and Testing of Biofilm Proteins as Vaccines" Nforel2nd, Nadurah S3,828 so $3,828 so 516 Wesley Avenue Apt I Oakland, CA 94606-1027 Leadership Development, Cohort 2


PART XV lines 3(a) and 3(b) Grants and Contributions Pad During the Year and Approyed for Future Payment SCH EDU LE OF G RANTS TO I N DIVI DUALS Recipient Name Beginning Balance Grants Approved Amount Paid Ending Balance Recipient Address in 2002 in 2002 Project Description


Murillo, Nlarisela $1,200 so so $1,200 1273 S McBride Avenue Los Angeles, CA 90022 Fellowship for Minority Students Entering the Teaching Profession Nguyen,Jonathan so S22,100 $2,500 $19,600 33 Milton Road Sparta NJ 07871 Fellowships for Students of Color Entering the Teaching Profession Norena, Lina so $22,100 S2,500 S 19,600 190 Marc) Avenue, Apt 19D Brooklyn, NY 11211 Fellowships for Students of Color Entering the Teaching Profession Old Coyote, Jackie $0 S22,100 $2,500 $19,600 PO Box 238 Crow Agency, MT 59022 Fellowships for Students of Color Entering the Teaching Profession Pennsylvania, University of, Trustees or the so S24,969 $24,969 so B501 Richards Building Philadelphia, PA 19104 to support the research of David M Eckmann Md, PhD, entitled "Bubble and Drop Adhesion to a Biornimetic GI)cocalyX Pinckney, Kim $19,600 so so S19,600 500 College Avenue Swarthmore, PA 19081 Fellowship for Minority Students Entering the Teaching Profession Pipestem, Veronica $19,600 so $0 $19,600 1911 Westbrooke Terrace Normal, OK 73072 Fellowship for Minority Students Entering the Teaching Profession Pittsburgh, University of $108,000 so $108,000 so Joseph M Katz Graduate School of Business Pittsburgh, PA 15260 to the research of Charleen T Chu, 1vtD, PhD, concerning oxidative stress and neurotrophic signaling in Parkinson's Disease President and Fellows of Harvard College S324,000 so $108,000 $216,000 25 Shattuck Street Boston MA 02114 to the research of David Matthew AlLshuler, MD, PhD, concerning the genetics of type 2 diabetes


PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCH EDU LE OF G RANTS TO IN DIVI DUALS Recipient Name Beginning Balance Grants Approved Amount Paid Ending Balance Recipient Address in 2002 in 2002 Project Description

PART XV lines 3(a) and 3(b) Grants and Contributions Pad During the Year and Approved for Future Payment SCHEDU LE OF G RANTS TO INDIVI DUALS Recipient Name Beginning Balance Grants Approved Amount Paid Ending Balance Recipient Address in 2002 In 2002 Project Description

President and Fellows of Harvard College so $324,000 $0 $324,000 25 Shattuck Street Boston, MA 02114 to the research of Evan D Rosen, MD, PhD, concerning fat cell gene expression President and Fellows of Harvard College S216,000 so $108,000 $108,000 25 Shattuck Street Boston, MA 02114 for the research of Lynda Chin, MD, concerning the P.enetics of Melanoma QmgWU so $10,000 so $10,000 Unit 34-4 Professors Bldg Central Um~ersity for Nationalities Beijing, CHINA to support her project, "Assisting Rural Female School Dropouts with Life Skills" in Beijing, China Quintero, Leticia $1,121 so so $1,121 844 East 79th Street Apt 2 Los Angeles, CA 90001 Fellowship for Minority Students Entering the Teaching Profession Rajendra Singh $10,000 so $10,000 so Secretary -General Tarim Bharat Sangh 34/46 Kiran Path Mansarovar, Jaipur 302020, Rajasthan India To a project to establish nver parliaments for conservation and rational use of water resources in poor farming communities in and regions of northern India Reese, Patrece so $22,100 S29500 S19,600 3040 Indigo Trail Round Rock, TX 78664 Fellowships for Students of Color Entering the Teaching Profession Refuge, Michelle so $22,100 S2,500 S19,600 141 5 East 2 l4th Street Carson, CA 90745 Fellowships for Students of Color Entenng the Teaching Profession Renard, Rebecca H S9,600 so S3,000 S6,600 1252 Talbert Street, NE Washington, DC 20020 Fellov~ship for Mmonty Students Entering the Teaching Profession

Rockefeller Brothers Fund, Inc Form 990-PF 13-1760106 Year 2002 437 Madison Avenue New York, New York 10022-7001 Page 11


Re) es-Tengan, Gilberta $3,600 so so $3,600 PO Box 24 Kaunakakaj, HI 96748 Fellowship for Minority Students Entenng the Teaching Profession Ross, Akil $19,600 so so $19,600 1600 Anderson Street Apt E-8 Durham, NC 27707 Fellowship for Minority Students Entering the Teaching Profession Samar, Surna so $10,000 so $10,000 Managing Director Shuhada Organization & Clinic Alamclar Road, Naseer Abad Quetta, Baluchistan PAKISTAN for support of her project to reopen schools in Bamyan District, Afghanistan Siddiqui, Sahar $19,600 so $6,000 $13,600 7341 Gold Ring Terrace Demood, NID 20855 Fellowship for Minonty Students Entering the Teaching Profession Sierra, Stephanie $0 $22,100 $2,500 $19,600 241 I-Nman Drive San Antonio, TX 78209 Fellowships for Students of Color Entering the Teaching Profession Simmons, Michael L $6,600 so $6,600 $0 885 Grand Avenue Apt 2 St Paul, NfN 55105 Fellowship for Minority Students Entering the Teaching Profession Siordia, Veronica so S22,100 $2,500 S19,600 1020 Linden Street, Apt 16 Riverside. CA 92507 Fellowships for Students of Color Entering the Teaching Profession Solis, Griselda $19,600 so $6,000 S13,600 42 0 Zanng Street Los Angeles, CA 90063 Fellowship for Minority Students Entering the Teaching Profession Spicer, Katrina so S22,100 S2,500 $19,600 P 0 Box 812124 Wellesley, M.A 02482 Fellov,ships for Students of Color Entenng the Teaching Profession


PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCH EDU LE OF G RANTS TO I N DIVI DUALS Recipient Name Beginning Balance Grants Approved Amount Paid Ending Balance Recipient Address in 2002 in 2002 Project Description

Rockefeller Brothers Fund, Inc 13-1760106 437 Madison Avenue New York, New York 10022-7001 Page `13

Leland Stanford Junior University, Board of $108,000 so $ 1 08,000 so

Trustees of Stanford, CA 94305 to the research of Anthony E Oro, MD, PhD, concerning the stromal regulation of basal cell carcinoma formation Subbanna, K V so $10,000 so S10,000 The Nmasam Theatre Institute Heggodu, Sagara, Shimoga Dist Karnataka 577417 SOUTH FfrDIA for support of his project, "Incorporating Arts and Culture in Education" in Kerela, India Suycyasu, Katherine Shizuko $3,828 so $3,828 so 5229 Shafter Avenue Oakland, CA 94618 Leadership Development, Cohort 2 Tetteh, Nii-Adzei so S22,100 $2,500 $19,600 8586 Mendota Detroit, MI 48204 fellowships for Students of Color, Entering the Teaching Profession Tmajero, Maria $19,600 so so $19,600 1006 Lipan Trail Austin, TX 78733 Fellowship for Minority Students Entering the Teaching Profession Torres-Rangel, Jasou so $22,100 $2,500 $19,600 137 Orange Street San Gabriel CA 91776 Fellowships for Students of Color Entering the Teaching Profession Ummat, Neha $19,600 so so S19,600 4303 Twin Elms Ct Austin, TX 78733 Fellowship for Nfirionry Students Entering the Teaching Profession University of Miami so S25,000 $252000 so Department of Microbiolop and Immunology PO Bo\ 0 16960 (R 13 8) Miami, FL 33101 to support the research of Danislov Spassov, MS, entitled "Pumilio Genes and Self-Renewal Hematopoictic Stem Cells"


PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO IN DIVI DUALS Recipient Name Beginning Balance Grants Approved Amount Paid Ending Balance Recipient Address in 2002 in 2002 Project Description


University of Miami so S25,000 S25,000 so Department of Microbiology and Immunology PO Box 016960 (R138) Miami, FL 33 101 to support the research of Richard VoellmN, PhD, entitled "A Novel Approach to the Prevention of Chemotherapy-induced Hair Loss " Vanderbilt University $324,000 so $108,000 S216,000 1161 21st Avenue, South D-3300 MCN Nashville, TIN 37232-2279 to the research of Christopher D Ferr is, M D , Ph D concerning the regulation of blood iron levels by the heme o%)genase protein Vinson, Catara $19,600 $0 $4,000 $15,600 8 Thames Drive SchenectadN, NY 12309 Fellowship for Minority Students Entering the Teaching Profession von Vacano, Claudia S5,100 so so S5,100 639 Crother Memorial Stanford, CA 94305 Fello"ship for Minority Students Entering the Teaching Profession Washington University so S324,000 so S324,000 660 South Euclid Avenue Campus Box 8121 St Louis, MO 63110-1093 to the research of Russell Van Gelder, MD. PhD, concerning an important light-sensing system in the e)e Washington University $108,000 so S108,000 so 660 South Euclid Avenue Campus Box 8121 St Louis, MO 63110-1093 to the research of Thomas J Baranski, MD, PhD concerning the roles of receptor structure in G protein signaling Washington, University of so S24,871 $24,871 so 3935 University Way, NE Seattle, WA 98105-6613 to support the research of Blake Hannaford, PhD, entitled "Exploration of Opportunities in Telemedicine for Surgery Access for Rural Areas" Wilborne, Christine $19,600 so so $19,600 98-15 Horace Harding Expressway # 17K Rego Park. NY 11368 Fellowship for Minority Students Entering the Teaching Profession


PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO IN DIVI DUALS Recipient Name Beginning Balance Grants Approved Amount Paid Ending Balance Recipient Address in 2002 in 2002 Project Description


Subtotal Grants to Individuals $2,327,267 $1,900,489 S3,649,021


PART XV lines 3(a) and 3(b) Grants and Contributions Pad During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO IN DIVI DUALS Recipient Name Beginning Balance Grants Approved Amount Paid Ending Balance Recipient Address in 2002 in 2002 Project Description

Williams, Cherwanda R. $1,200 so $1,200 so 5294 Kelleyls Mill Circle Stone Mountain, GA 30088 Fellowship for Minont) Students Entering the Teaching Profession Wysong, Nora $3,600 so so S3,600 PO Box D Freer, TX 78357 Fellowship for Minority Students Entering the Teaching Profession Xiong, Kathy so $22,100 $2,500 $19,600 2619 East Lourdes Dnve Appleton, W1 54915 Fellowships for Students of Color Entering the Teaching Profession Yale University so S25,000 S25,000 so Office of Grants and Contracts New Haven, CT 06520 to support the research of Priscilla S Dannies PhD, entitled "Reversible Aggregation of Prohormones in Cells as an Important Step in Secretory Granule Formation Yi, John $0 $22,100 $2,500 $19,600 1546 12th Street Fort Lee, NJ 07024 Fellowship for Students ofColor Entering the Teaching Profession Yuan Longping so S10,000 so S10,000 China National H~brtd Rice R & D Center Changsha 410125 Hunan Province CHINA for support or his project, "Extending Hybnd Rice Technologies to Asia"


Aaron Davis Hall, Inc 2 $50,000 so S50,000 so

West 135th Street and Convent Avenue New York, NY 10031 To efforts to engage its Harlem community in the planning process for renovation, and redevelopment of the Gatchouse and surrounding areas CAB International 2 so $84,000 $42,000 S42,000

Wallingford Oxfordshire, OX 10 8 DE UNITED KINGDOM to its work on harmonizing provisions of the rules of the World Trade Organization with the Cartegena Biosafety Protocol Action Against Crime and Violence Education Fund 2 so S55,000 $55,000 so

2000 P Street, N W Suite 240 Washington, D C 20036 to its Early Childhood Initiative Adobe Theatre Company, Inc 2 $0 $15,000 S15,000 so

2 1 East 22nd Street, #217 New York, New York 100 10 for general operating support Adult Basic Education Development Services Trust 8 so S46,000 S24,000 $22,000

PO Box 23002 Claremont Cape Town, 7700 SOUTH AFRJCA Linking Learning to Livelihoods Project Agrarian Reform Consortium 7 so $25,000 $25,000 so

JI Kacapi No 3 Turangga Bandung 40264 INDONESIA to its "ork on implementation ofthe 2001 Indonesian Agrarian Reform Law AIDAVATCH, Inc 7 $30,000 so $30,000 so

PO Bo% 652 WoollahraNSW2025 AUSTRALIA to its Export Credit Agency Reform Project Alaska 1%larme Conservation Council 2 $0 $100,000 so S100,000

Box 10 1 145 Anchorage, AK 995 10 to fishery management reform efforts in the Northern Pacific Alliance for Children and Families, Inc 2 S60,000 so $60,000 so

11700 W Lake Park Drive Milwaukee, )Xq 53224-3021 To Phase 11 of ift Resource Development Initiative America Speaks, Inc 2 so $30,000 $30,000 so

1612 U Street, NW Suite 408 Washington, DC 20009 for its "Citizen Summit" project


PART XV lines 3(a) and 3(b) Grants and Continbutions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Descirption


PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 BaJance Project Descnpbon

so S25,000 S25,000 $0

$0 S25,000 S25,000 $0 American Council for Renewable Energy 1825 1 Street, NW Suite 400 Washington, DC 20006 to a kick-off conrerence for this organization, which hopes to become the umbrella organization for renewable energy interests in the U S American Group Psychotherapy Association, Inc 25 East 2 1 st Street New York, NY 100 10 to its Filial Training project American Jewish Committee 165 East 56th Street New York, Ne%k York 10022-2746 for its Harold W Rosenthal Fellowship in International Relations American Littoral Society, Inc Sandy Hook Highlands, NJ 07732 to its Reefkeeper International project for its fisheries management reform work in the South Atlantic, Cambean, and Gulf of Mexico American Littoral Society, Inc Sandy Hook Highlands, NJ 07732 to its project, the Marine Fish Conservation Nemork, which acts as a national clearinghouse for fishenes management reform efforts American Littoral Society, Inc Sandy Hook Highlands, NJ 07732 for a new Fisheries Management Council Program Coordinator American Symphony Orchestra, Inc. 333 West 39th Street, Suite 1101 New York, New York 100 18 to endowment in the name of Charles E Culpeper Amigos del %luseo del Barrio, Inc 1230 Fifth Avenue New York, New York 10029 for general operating support

so $75,000 $75,000

so $10,000 $10,000

$150,000 $100,000 so S250,000

so S100,000

$0 S150,000

so S100,000

S75,000 $75,000

$35,000 S35,000 so $70,000 2


American Conservation Association, Inc 30 Rockefeller Plaza New York, NY 10 1 12

to its Sa%e A Barrel Campaign %Nhich appeals to individual households to reduce greenhouse gas emissions

3

2

2

2

2

2

2

2

so $50,000 $25,000

so

so

S25,000

A-Projekt 7 $40,000 so S40,000 so Moyzesov a 176 PO Box 60 Liptovsky Hradok 033 01 SLOVAKIA For general operating support Arts & Business Council, Inc 2 so $15,000 $15,000 so 520 Eighth Avenue 3rd floor, suite 3 19 New York, New York 100 18 to cover the costs for your Leadership Conference at the Pocamico Conference Arts & Business Council, Inc 2 so $25,000 $25,000 so 520 Eighth Avenue 3rd floor, suite 319 New York, New York 100 18 to the creation of a finance officer position Art in General, Inc 2 so S50,000 $25,000 $25,000 79 Walker Street New York, New York 10013-3523 for general operating support Arts International, Inc 2 so $100,000 S50,000 $50,000 251 Park Avenue South New York, New York 10010-7302

to support the creative and professional development of New York City-based artists through international touring

Asian American Writers Workshop, Inc 2 so $50,000 S25,000 $25,000 16 West 32nd Street, Suite 10A New York, NY 10001-3808 United States for general operating support Asian Cultural Council, Inc. 2 so $200,000 S200,000 so 437 Madison Avenue 37th Floor New York, NY 10022 contribution to the organization's unrestricted grants program in 2002 Asian Institute of Management 6 $10,000 $0 S10,000 so Makatt City PHILIPPINES To a project to develop case study learning materials that document the leadership experiences of Ramon Magsaysay A"ardees for use in degree and non-degree courses offered by the Institute's Center for development Management Aspen Institute, Inc 2 so S50000 S50,000 so One Dupont Circle, NW Suite 700 Washington, DC 20036 to its project, the Global Interdependence Initiative Aspen institute, Inc 2 so S200,000 so $200,000 One Dupont Circle, NW Suite 700 Washington, DC 20036 to its project, the Global Interdependence Initiative

Rockefeller Brothers Fund, Inc Form 990-PF 13-1760106 Year2002 437 Madison Avenue New York . New York 10022-7001 Page 18

PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Description

Forim 990-PF Year2002

Page 19

Rockefeller Brothers Fund, Inc 13-1760106 437 Madison Avenue New York, New York 10022-7001

Aspen Institute, Inc 2 $25,000 so $25,000 so One Dupont Circle NW Suite 700 Washington, DC 20036 to its State of the Nonprofit Sector report Aspen Institute, Inc 2 S250,000 $0 $250,000 so One Dupont Circle . NW Suite 700 Washington, DC 20036 to its project, the Global Interdependence Initiative Association for Training and Resources in Early

8 S60,000 so $60,000 so Education P 0 Box 3 5173 Northway 4065 SOUTH AFRICA to its project entitled "Meeting the Needs of Young Children Affected by the HIV/AIDS Pandemic" Balkan Community Initiatives Fund 7 so $100,000 S50,000 S50,000 70 Bellenden Road London SE 15 4RQ UNITED KINGDOM to its community-based small grants program in Serbia, Montenegro, and Kosovo Bank Street College of Education I so S50,000 S25,000 S25,000 610 West 112Lh Street New York, NY 10025 for planning and implementation of a program to train mentors for new teachers in community-based and Board of Education-5ponsored early care and education programs in New York City Bank Information Center 2 so $120,000 S60000 S60,000 733 15th Street, NW Suite 1126 Washington, DC 20005 to its work on Multilateral development bank relbrin in Asia Bayanihan Folk Arts Foundation, Inc 7 so $10,000 so S10,000 Manila PHILIPPINES A contribution to its project the Bayanihan Philippine Dance Company for a research project to document native theatre and dance traditions in the Philippines Bridgespan Group 2 $150,000 so S150,000 so 13 1 Clarendon Street, 7th Floor Boston, MA 02116 For start-up support The Brookings Institution 2 so S25000 S25,000 so 1775 Massachusetts Avenue, NW Washington, DC 20036- for its project on American Foreign Policy in an Age of Globalization



Brooklyn Academy Local Development Corporation 2 $0 S50,000 S50,000 $0 240 Ashland Place Brooklvn, New York 11217 to support community outreach in connection with planning for the Brooklyn Cultural District Brooklyn Academy of Music 2 $150000 so $150,000 so 30 Lafayette Avenue Brooklyn, NY 11217 United States to endowment in the name of Charles E Culpeper, to recognize cultural organizations with a record of excellence in programming, a history of sound financial management and a commitment to public access

Brooklyn Bridge Park Coalition, Inc 2 so S90,000 $45,000 $45,000 334 Furman Street Brooklyn, NY 11 201 to its efforts to maintain and expand political, financial, and community support for the Brooklyn Bridge Park Brooklyn Bureau of Community Semice (BBCS) 2 so $10,000 S10,000 so 285 Schermerhorn Street Brooklyn, New York 11217 to its relief efforts associated with the disaster of September I Ith Brooklyn Philharmonic Symphony Orchestra, Inc 2 so S70,000 S35,000 S35,000 One Hanson Place, Suite 1806 Brooklyn, New York 11243 for general operating support Regents of the University of California 1 $100000 so $100,000 so 9500 Gilman Dri%e La Jolla, CA 92093-0602 To a project at the University of California, Los Angeles, to design and implement a new curriculum for the final year of study in the university's medical school Campaign for Fiscal Equity, Inc 2 $75,000 so $75,000 so 6 East 43rd Street New York, NY 10017 to establish the New York City Schools Accountability Project Cape Cod Commercial Hook Fishermen's Association 2 so $100,000 $50,000 S50,000 2 10 Orleans Road, Box 2 North Chatham, MA 02650-1152 to its Fisheries Reform Campaign in New England Cape Educational Trust 7 so S80000 540,000 S40,000 19 Flamingo Crescent Lansdowit 7780 South Africa PO Box 36353 Glosdem 7702 SOUTH AFRJCA for the Early Learning Resource Unit's sustainabilitN project


PART XV lines 3(a) and 3(b) Grants and Conmbutions Paid Dunng the Year and Approyed for Future Payment SCH EDU LE OF G RANTS TO ORGAN CATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Description

PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Descnpbon

S22,000 so $22,000

so $97,515 so

so 8 $50,000 so $50000

$50,000 so

$38,000 $38,000

2 S50,000 so

6 so $76,000

S80,000 $80,000 7 $160,000 so CEE Bankwatch Network ul Krov%oderska 5/3 31-141 Krakow POLAND as a final contribution to general support

Rockefeller Brothers Fund, Inc Form 990 .PF 13-1760106 Year2002 437 Madison Avenue New York, New York ̀ 10022-70011 Page 21

Cape Educational Trust 19 Flamingo Crescent Lansdo~n 7780 South Africa PO Bo% 36353 Glosdem 7702 SOUTH AFRICA for four projects of its Early Learning Resource Unit related to evaluation Cape Town, University of School of Education Private Bag Rondebosch 7700 Cape Town SOUTH AFRICA for the development of national pohc~ guidelines for health and social sen ice provision for orphans and children at risk of becoming orphans Carleton College One North College Street Northfield, N/N 55057-4010 United States to support faculty and course development for a new interdisciplinary program "Asia in Comparative Perspective " Carpathian Foundation Hlavna 70 Kosice04001 SLOVAKIA $100,000 over two years for the further development of the foundation's Integrated Rural Community Development Program Casita Nlaria, Inc 928 Simpson Street Bronx, NY 10459 to establish the Hunts Pomt/Longv%ood Youth Needs Assessment Partnership Catholic Archdiocese of Durban AIDS Care Commission P 0 Box 489 HNper by the Sea 4051 (60 Detroit Street, Bawiew, Chatsworth) KwaZuIu Natal SOUTH AFRICA

for its Smosizo Project to develop a model program to assist orphans and vulnerable children in K"aZulu-Natal and to strengthen the project's institutional capacity

7

6

S39,000

so

$97,515

so $39,000 $0



S120,000 S180,000 $60,000 $0

$40,000 so

$50,000 so

so S40,000

$50,000 so

2

to support capacity building for southern countries and civil society groups seeking more transparent, democratic, and balanced international trade policyrnaking

$75,000 $75,000 so so Center for Media and Public Affairs 2 210OLStrect,NW Suitc3O Washington, DC 20037 as a contribution for a content analysis of American media coverage of foreign and international ne%%s after the terronst attacks of September I I Lh


Center for Clean Air Policy 750 First Street, NE Suite 940 Washington, DC 20002

to do analysis and modeling of the impact of a mandated carbon cap on the electricity sector combined "ith a package ofrenek%able energy and energy efficient policies

Center for Community Development Studies Yunnan Academy of Social Sciences No 133, Qixiang Road Kunming, Yunnan 650032 P R of CHINA for support of its %%ork on property rights and land tenure in southern China Center for Economic and Environmental Partnership, Inc 126 State Street Third Floor Albany, NY 12207 for its "High-Performance Buildings Initiative" Center for Economic and Policy Research 10 15 18th Street, NW Suite 200 Washington, DC 20036 To its research on global economic development trends Center for Effective Philanthropy, Inc., The 678 Massachusetts Avenue Suite 903 Cambridge, MA 02139 to general support Center for Environmental Studies Foundation Angyal u 15fB, fszt 4-5 Budapest IX 1094 HUNGARY to institutional capacity building and longer term financial plarming Center For International Environmental Law 1367 Connecticut Avenue, N W Suite 300 Washington, DC 20036-1860

2

7

2

2

2

7

so S10,000

so $40,000

S100,000 so

so S150,000

$10,000 so

$40,000 so

$100,000 so

$75,000 $75,000


PART XV lines 3(a) and 3(b) Grants and Contributions Rad During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Description

$75,000 S125,000

S50,000 so

so $200,000

$0 $50,000

so $50,000 so

so $50,000 S50,000 so

$75,000 $75000

$6,000 so

$0 $150,000

$0 S6,000 9

2 $30,000 $0 $15,000 $15,000

$15,000

S25,000

S50,000

so $15,000 so

so S50,000 S25,000

Chiang Mai 50200 THAILAND to the conference, ,Politics or the Commons" Children in Distress Network Post Office Box 1659 Pietennantzburg 3200 SOUTH AFRICA for its capaca~ building project Children's Rights Centre First Floor 480 Smith Street Durban SOUTH AFRICA for its Alliance for Children's Entitlement to Social Security (ACESS) project

so $100,000 $50,000 7


Center for Policy Alternatives 1875 Connecticut Avenue N W Suni:710 Washington, DC 20009-5728 to the Eleanor Roose%elt Global Leadership Institute Center for Public Interest Research, Inc 29 Temple Place Boston, MA 021 11 to its New England Climate Action Project to reduce greenhouse gas emissions Center for Regionalism 35 Zeljeznicka No%i Sad SERBIA for general budgetary purposes H John Heinz [if Center for Science, Economics and the Environment 1001 Pennsylvania Avenue, N W, Suite 735 South Washington, DC 20004

For its project "Alerting Americans to Global Challenges "

Center for Traditional Music and Dance, Inc 200 Church Street, Room 303 New York, New York 10013-3831 to its New York Cultural Heritage Fund in the name of Charles E Culpeper Centre for Multicultural Education Bore Vukumirovica Presevo SERBIA for a children's interethnic music program Consultative Group on Biological Diversity Presido Building 10 16 PO Box 29361 San Francisco, CA 94129-0361 To general operating support Chiang Mai University

Resource Mgt & Dev Center Faculty of Social Sciences

2

2

7

2

2

$50,000

6

8


PART XV lines 3(a) and 3(b) Grants and Contnbutions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Descnption

S75,000 $50,000 so S125,000 The Circle Foundation, Inc 2 1779 Massachusetts Avenue, N W , Suite 5 10 Washington, DC 20036 to a project entitled "Improving Policyrnakers' Understanding of U S Public Opinion on America's Role in the Post-September I I th World" Citizens Action - Center far Community Organizing 8 Kapitulska 13 Banska Bystrica. 974 01 SLOVAKIA to core support Citizens Union Foundation, Inc of the City of New 2 York 198 Broadwav New York, N"Y 10038 in support of the the Gotham Gazette online daily newspaper The City College 21st Century Foundation, Inc 2 City College Architectural Center Convent Avenue at 138th Street New York, NY 10031 To enable the City College Architectural Center to better meet the planning, development, and design needs of low-income communities City Lore, Inc The New York Center for Urban Folk 2 Culture 72 East First Street New York NY 10003 for general operating support City Parks Foundation 2 The Arsenal, Central Park New York, NY 10021 to its Partnerships for Parks initiative

$40,000 so

$25,000 so

$40,000 so

so $25,000

$150,000 $150.000 $300,000 so

$25,000 so

$45,000 $0

so $25,000

so S45,000


Chinese Univenity of Hong Kong, The 6 Shatin, New Territories . HKSAR, CHINA to its planning and facilitating a four-day "urban ecological design charrette" in Guangzhou City, Guangdong Pro~mce, PRC Chinese University of Hong Kong, The 6 Shatin, New Territories - HKSAR,CHFNA

to its School of Architecture's hosting and reporting of an Ecological Design Charrette in the inner city district of Yuexiu, in Guangzhou City, Guangzhou Province, China

so

so

$20,000

$20,000

$20,000

$20,000

so

so


Civic Exchange Limited 8 so S40000 $40,000 Cheung Kong Centre, 161F 2 Queen's Road Central Hong Kong P R OF CHINA to its v,ork on improving the quality of public constultations for urban development in southern China Clean Air Action Croup 9 $30000 so S30,000 Le%ego Munkacsoport Budapest, Pf 1676, HU -1465 Hungary Budapest, Pf 1676 H-1465 HUNGARY to its transportation and sprawl program in Hungary Clean Air-Cool Planet, Inc , A Northeast Alliance 2 $50,000 so S50,000 100 Market Street, Suite 204 Portsmouth, NH 03831 To its Northeast Climate Initiative Clean Energy Group 2 $27,000 so $27,000 50 State Street Montpelier, VT 05602 To a feasibility study on how best to accelerate the commercialization of clean energy options in the U S Coalition for Women's Economic De%elopment and

2 so $8,500 $8,500 Global Equality, Inc, The 1825 Connecticut Avenue, NW Suite 800 Washington, DC 20009 to its public and policyrnaker education efforts to advance fair and accountable U S trade policies Colgate Univenity 1 $57,015 so S57,015 Hamilton, NY 13346 United States to support t"o new educational technology staff positions that will provide support to faculty for the incorporation of technology across the curriculum Committee to Encourage Corporate Philanthropy, Inc 2 S50,000 so $50,000 110 Wall Street Suite 2 1 New York, NY 10005 for core support of it's efforts to increase corporate philanthropy Community Action Project, Inc 2 so S10,000 $10,000 890 Flalbush A%enue Brooklyn, NY 11226 for developing a university-community partnership program to train leaders and develop community capacit) in neighborhoods of Brooklyn and Queens in collaboration with the Pacific Institute for Community Organizations, and Central Brooklyn Churches Concord Community Development Corporation 2 so S15,000 $15000 for support of a community leadership initiative, "Leadership in Neighborhoods" program

so



so

so

so

so

so

so

so

so


Conference Board, Inc , The 2 $0 S120,000 S60,000 $60,000

845 Third Avenue New York, NY 10022-6679 to the "Promoting Community Tourism in New York City" project of the Conference Board's Business Enterprises for Sustainable Travel initiative Connecticut Public Broadcasting, Inc 2 so $7,500 $7,500 so

240 New Britain Avenue Hartford, CT 06106 as a contribution to a planning meeting for a communications campaign to generate support from parents and policymakers for primary prevention strategies to benefit young children in Connecticut Conse"ation Law Foundation 2 so $100,000 $50,000 $50000

62 Summer Street Boston, MA 021 10 to fisheries management reform efforts in New England Cooper Union for the Advancement of Science and Art I so $65000 $65,000 so

30 Cooper Square New York, NY 10003-7120 to support community engagement programs related to the re-development of the Cooper Square area Cooperative Organization for the Upgrading of 8 $120,000 so $60,000 S60,000 Numeracy Training 41 Pim Street Newton SOUTH AFPJCA to a collaborative project to develop an in-service teacher training model that integrates literacy, numerac~, and AIDS prevention and care information Cornerstone Theater Company, Inc 2 S225,000 so $225,000 $0

708 Traction A%enue Los Angeles, CA 90013 to endowment in the name of Charles E Culpeper Coro Eastern Center, Inc 2 so $100,000 $100,000 so

42 Broad"ay Suite 18-2735 New York, NY 10004 to implement a joint project with the Center for Excellence in Nev, York City Governance to create a regular program of seminars policy briefings, and meetings with diverse experts and leaders for City Council members and their staffs Corporation for Enterprise Development 2 so $100,000 S50,000 $50,000

777 N Capitol Street NF Suite 800 Washington DC 20002 to their joint project with Georgetown University on Local Governance and Trade


PART XV lines 3(a) and 3(b) Grants and ContrIbutions Paid Dunng the Year and Approyed for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Description


PART XV lines 3(a) and 3(b) Grants and Contnbutions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Description

so $39,600 S39,600

so S15,000 S15,000 so

$125,000 $125,000 so $250,000

so $10,000 $10,000 so 2

Culture and Environment Preservation Association 940E, Street 352 Sangkat Beung Kengkang I Khan Chamkar Mon, PO Box 1486 Phnom Penh CANIBODIA To its training and outreach program, and for staff development Czech Environmental Partnership Foundation Panska 7 Bmo 602 00 CZECH PEPUBLIC As a final contribution to core support for the Czech Greenways and the Partnership for Public Spaces programs Dance Theater Workshop, Inc 219 West 19th Street New York, NY 100 1 1-4079 to enclowment in the name of Charles E Culpeper to recognize cultural organizations with a record of excellence in programming, a history of sound financial management, and a commitment to public access David Suzuki Foundation 9219 221 1 W 4th Avenue Vancouver V61K 4S2, B C CANADA To its work organizing First Nations along the coast of British Columbia Democracy Project 523 Sixth Avenue Third Floor New York, NY 10011 to general support

7 $30,000 so $30,000 $0

$150,000 so 2 $150,000 so

7 $100,000 so

2 so $30,000

so S100000

S30.000 so


Council on Foundations, Inc 1828 L Street, N W Washmeton, DC 20036-5168 to general support for 2003 Council on Foundations, Inc 1828 L Street, N W Washmeton, DC 20036-5168 for a project to examine the needs and potential of the nonprofit sector infrastructure organizations Creative Capital Foundation 65 Bleecker Street, 7th floor New York, New York 10012 to endowment in the name ol-Charles E Culpeper Cuban Artists Fund, Inc 666 Fifth Avenue Suite 366 New York, New York 10 103

to a publication of a report on its conference, U S /Cuba Cultural Exchanges in the New Millemum, which took place April 5-7, 2001, at the Pocantico Conference Center

2

2

2

so

7 S20,000 $0 $20,000 $0


PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Recipient Address Status Balance in 2002 in 2002 Project Description

Demos A Network for Ideas & Action, Ltd 2 $300,000 so $300,000 220 Fifth Avenue Fifth Floor New York, NY 10001 A final contribution to general support Early Childhood Initiative, Inc 3 so $50,000 $50,000 3250 S W Third Avenue Miami, FL 33129 for general support Earth Share 2 so $80,000 $40,000 7735 Old Georgetown Road Suite 900 Bethesda, Mar)land 20814 as a contribution to the implementation of the partnerships bet"cen Earth Share and its afl-iliated state and regional environmental federations EarthPights International 2 $60,000 so S60,000 2012 Massachusetts Avenue NW Washington, DC 20036 to its Frontier Forests Project East-West Center Foundation 2 so $30,000 so 1601 East-West Road Honolulu, HI 96848-1601 to its work on the ethical and methodological dimensions ofusing spatial information to support resource tenure claims Ecodal 8 $30,000 so S15,000 PO Box 95/3 Khabarovsk 68006 RUSSIA

To its work on land rights, sustainable forestry, and legal support to civil society groups in the Russian Far East

Ecologists Linked for Organizing Grassroots I S40,000 so S40,000 Initiatives and Action PO Box 268 4 Mill Street MiddlebuD, VT 05753 To its efforts to help small and medium-sized mclusinal enterprises in Guangdong province and southern China improve environmental management planning Ecologists Linked for Organizing Grassroots so S10,000 S10,000 Initiatives and Action PO Box 268 4 Mill Street Middlebury, VT 05753 for a strategic assessment of work to reform standard setting processes


Page 28

r-nuing Balance

so

so

so

$40,000

so

$30,000

$15,000

so


Ecotrust Canada 7 $200,000 so S200,000 so 9200 1238 Homer Street Vancouver, V613 2Y5, B C CANADA to its efforts to create a conservation economy along the British Columbia coast Ecotrust Canada 7 so S2,500 S2,500 so #200 1238 Homer Street Vancouver, V613 2Y5, B C CANADA for e~penses related to the participation of a member of its staff in a field trip of the Carpathian Foundation Education Trust, Inc 2 $0 $50,000 $50,000 so 1725 K Street, N W Suite 200 Washington, D C 20006 to the creation of a ne%N ch~ision within the organization that will implement a national communications campaign to promote the expansion of federal investments in high qualitN early education, and support advocacy campaigns in six states Educational Broadcasting Corporation 2 so $50,000 $50,000 so 356 West 58th Street New York, NY 10019-1804 for its program, Wide Angle, a new, international public affairs documentary senes Ellison Youth, Inc 2 so $17,750 $17,750 so 679 Lafayette Avenue Brooklyn, NY 11216 for their "EYI Art Therapy Project" Environmental Aboriginal Guardianship Through

8 $100000 so S50,000 $50000 Law and Education Sermahmoo Reserve, 16541 Beach Road Surrey, BC CANADA To its legal "ork with coastal First Nations Eris tronmental Advocates of New York, Inc 2 so $50,000 S50,000 so 353 Hamilton Street Albany, NY 122 10 to increase public interest in New York State's Climate Action Plan Environmental Advocates of New York, Inc. 2 S60,000 so $60,000 so 353 Hamilton Street Albany, NY 122 10 To its Brownfields Regulatory Watch program Environmental Legal Assistance Ceuter 7 $75,000 so $75,000 so No 271-E Malvar Street Puerto Pnncesa 5300 Palawan PHILIPPINES to its Paralegal Education and Training program


PART XV lines 3(a) and 3(b) Grants and Contribulhons Paid During the Year and Approyed for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Description


PART XV lines 3(a) and 3(b) Grants and Contributions Pad During the Year and Approyed for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Description

$100,000 so

so $3,000

$50,000 $50,000

$3,000 so

$45,000 $45,000 $90,000 so

$50,000 $0

$24,000 $28,000

so $50,000

so $52,000

$25,000 S25,000 so

S10,000 S10,000 so

$0

$0

$100,000

$75,000

Film Video Arts, Inc 2 462 Broadway, Suite 520 New York, NY 100 13 for the post production costs of A Normal Life Food for Sui-vival, Inc 2 355 Food Center Drive Bronx, NY 10474 to flartif

' v is food network in the aftermath of September

I Ith Forest Ethics 2 PO Box 3418 Berkeley, CA 94703-0418 To its efforts to encourage corporate demand for sustainab[N-rnanaged forest products in North America Forest Ethics 2 PO Box 3418 Berkele) CA 94703-0418 To its effort to encourage corporate consumers to purchase Chilean forest products that come from sustainably managed sources

so so

so $75,000 so


Environmental Management and Law Association 7 Garay u 29-31 Ul Budapest 1076 HUNGARY as a final contribution to general support Environmental Media Semees 2 1320 18th Street. NW Suite 500 Washington DC 20036 For its media efforts on behalf of the Ark of Hope European Natural Heritage Fund 7 Koblenzer Strasse 9 Buro Bonn RheinbackfBonn D-53359 GER1,tANY to its project to integrate Polish environmental, consumer, and other organizations into a broader European discussion about the reform of European Union agriculture and rural development policies Every Child Matters Education Fund, The 2 440 First Street, N W Suite 548 Washington, D C 20001-2085 to general support Family Literacy Project 8 3 Achadhu 337 Montpelier Road Durban 4001 SOUTH AFRJCA

to help expand the impact of the Family Literacy Project with communit)-based literacy projects in KwaZulu-Natai

$100,000


Forest Stewardship Council, A C 7 S500,000 so $250,000 $250,000 Avenida Hidalgo 502 Oaxaca, 68000 MEXICO For general support Forest Trends Association 2 $200,000 so S100,000 S100,000 1050 Potomac Street, NW Washington, DC 20007 To its project to document the berieficial social impacts of FSC- certified forestry operations Forest Trust 2 $50,000 so S50000 so PO Bo\ 519 Santa Fe, NM 87504 to its Forest Stewards Guild Foundation Center 2 so $60,000 $30,000 $30,000 79 Fifth Avenue, 8th Floor New York, NY 10003 to general support for 2003 and 2004 Foundation Center 2 so S25,000 $25,000 so 79 Fifth Avenue, 8th Floor New York, NY 10003 to its project The Philanthropic Response to 9/11 Creating the Record and Telling the Story Foundation for A Civil Society, Ltd 2 $0 $10,000 $10,000 so PO Box 2235 New York, NY 10021 to its Czech flood relief program Foundation for A Civil Society, Ltd 2 so S15,000 S15,000 so PO Box 2235 New York, NY 10021 for a )oung ~isual artists award program in Serbia Foundation for Dance Promotion 2 so S100,000 $50,000 $50,000 Bill T Jones/Anme Zane Dance Company 853 Broadway. Suite 1706 New York, New York 10003 ror general operating support The Foundation I CP PC- International Coalition to

8 so S75,000 S40,000 S35,000 Protect the Polish Countryside 34-146 Stryszow 156 POLAND as a contnbtuton for general budgeLarv purposes Foundations, Inc 3 so $100,000 S100,000 so Mooresto%%n West Corporate Center 101 Executive Dnve, Suite 2 Moorestown, NJ 08057 to a new after-school program tailored to pre- kindergarteners in several schools in New York City

Form 990.13F Year 2002

PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDU LE OF G RANTS TO ORGAN IZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Description


PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approyed Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Description

so S250,000

so $200,000

so $250,000

so S200,000

so I $25,000 so $25,000

so $75,000 $75,000

S101,000 S101,000 so

2 $150,000

so

S100,000 $100,000

$159,863 S50,137

so S200000

so $210,000

President and Directors of Georgetown College 600 New Jersey Avenue, N W Washington, DC 20001-2022 to its project on Local Governance and Trade, a joint project "ith the Corporation for Enterprise Development German Marshall Fund of the U S 1744 R Street, NW Washinaton DC 20009 to the core costs of the Romanian Enviromental Partnership German Marshall Fund of the U S 1744 R Street, NW Washington, DC 20009 to its Environmental Partnership for Central Europe Germ2n,Nlarshall Fund of the U S 1744 R Street, NW Washington, DC 20009 For its project, the Trust for Civil Society in Central and Eastern Europe

2

2 S100,000 so $100,000 so

2 $1,200,000 so S300,000 S900,000


Frameworks Institute 1776 1 Street, N W Sith Floor Washington, DC 20006 to the development of communications materials that are based on FrameWorks' research for the GII lmtiati~e Friends of the E2rih-Japan 801 Shibuya Mansion 7-1 Uguisudam-cho Shibu~a-ku Tokyo 150 JAPAN

to the work of its Export Credit Agency Reform Campaign

Friends of World Federation of United Nations Associations, Inc One UN Plaza, Room DCI-l 177 New York, Nev, York 100 17 for an annual progress report to the UN Secretary-General on the role of civil society in implementing the United National Millennium Declaration The Fund for Independent Publishing, Inc 38 Greene Street Ne%% York, NY 100 13 to its cash reserve fund Fund for Public Schools, Inc , The 110 Livingston Street Room 826 Brooklyn, NY 11 201

to an effort to give special attention to pre-K programs during the New York City Board of Education's Principal's Institute of the New York City Board of Education

2

8

2


Global Justice, Inc 2 so S25,000 $25,000 so c/o E Cabot & Associates 32 Schermerhom Street Brooklyn, New York 11201 Support of its Student Campaign for Child Survival Global Kids, Inc 2 so $15,000 $15,000 so 561 Broadway 6th Floor Ne%N York . NY 100 12 to support its efforts to prepare a group of teens for Listening To The City 11, a forum scheduled to take place in July %%here several thousand people "ill gather to discuss and evaluate specific rebuilding plans and proposals G lobal Legislators Organization for a Balanced 2 so S200,000 so S200,000 Environment U S A 1636 R Street, NW Third FLoor Washington, DC 20009 to its %%ork on the reform or export credit agencies Global Witness Limited 9 S50,000 so $50,000 so P 0 Box 6042 4th Floor, Hamlyn House Macdonald Road London N]95PG United Kingdom to its Angola Project Global Witness Trust 8 so S100,000 $50,000 $50,000 P 0 Box 6042 4th Floor, Hamlyn House Macdonald Road London N 19 5PG UNITED KINGDOM to its "ork on reform of the Cambodian forestry sector Grantmakers for Education 2 $0 $500 $500 so 720 S W Washington Street Suite 605 Portland, OR 97205 for membership in 2002 Grantmakers in the Arts 2 so S1,000 S1,000 so 604 West Geier Street Seattle, Washington 98119-3253 for general operating support Grassroots Educare Trust 7 $50,000 so $50,000 so PO Box 38055 Gatesville 7766 SOUTH AFPJCA to its Partners in Bridging the Educare Gap Project Greater Jamaica Development Corporation 2 so $125000 S65,000 S60.000 90-04 161 Street Jamaica, New York to develop the Neighborhood Bro%%rifields Pilot- Reclaiming Jamaica's Bro%%nfieids




Green Federation 8 S17,700 so $17,700 so

ul Slawko"ska 12 Cracow, 31-014 POLAND to its transportation and sprawl program in Poland Green Network of Vojvodina 8 so S96,000 S52,000 S44,000

Heroja Pinkija 32 Vojvodina Novi Sad, 2 1000 YUGOSLAVIA for general operating support Greenpeace Fund 2 S150,000 so S75,000 S75,000

702 H Street, NW Suite 300 Washington, DC 20001 To its work on sustainable agriculture in China Gulf Restoration Network 2 so $70,000 $35,000 S35,000

P 0 Box 2245 New Orleans, Louisiana 70176 to its fishenes management reform in the Gulf of Mexico Harition Foundation For the Consei-vation of Natural 7 $30,000 $0 $30,000 so Resources 28 Quezon Avenue Third Floor, AM Bldg Quezon City 1100 PHILIPPINES To its strengthening of the PAMANA network of manne protected area managers Harlem Educational Activities 2 so $25,000 S25,000 so

2090 Seventh Avenue, 10th Floor New York, New York 10027 to the Harlem Educational Activities Fund Inc , as a contribution to its Ten-Year Continuum program Hawaii Audubon Society 2 so $120,000 S60,000 S60,000

850 Richards St Suite 505 Honolulu, HI 96813-4709 to its fisheries management reform eflorts; in the Western Pacific Highbridge Community Life Center, Inc 2 $100000 so S100,000 so

979 Ogden Avenue Bronx, NY 10452 To its Community Collaborative to Improve DisLnct 9 Schools Hispanics in Philanthropy 2 S100,000 so $100,000 so

88 Keam% Street Suite 1850 San Francisco, CA 94108 to its project ne Funders Collaborative for Strong Latino Communities Hong Kong Baptist University 6 $30,000 so so S30.000

Dept of Biology Kowloon Tong Hong Kong P R OF CHINA To its work on solid waste management and large-scale municipal composting in southern China


PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approyed Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 BaJance Project Description


Page 35

Ending Balance

so

PART XV lines 3(a) and 3(b) Grants and Contributions Paid Dunnq the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGAN1ZATIONS

in 2002 in 2002

$0 $25,000 S25,000 2 Human Rights in China, Inc 350 Fifth Avenue. Room 3309 New York, NY 10 118 for general support for its Hong Kong research office Independence Community Foundation 182 Atlantic A%enue Brooklyn, New York 11 201 to its I ndependence 9/11 Fund Independent Sector 1200 Eighteenth Street, NW Suite 200 Washington, DC 20036 to general support for 2003 Indonesian Forum on Globalization A Sangkrah no 28 Kelurahan Sangkrah-Pasar Klmon Surakarta, Central Java 57122 INDONESIA to its %%ork on water sector issues in Indonesia Institute for Agriculture and Trade Policy 2105 First Avenue South Minneapolis, NfN 55404-2505 To efforts to reform standard setting processes Institute for Agriculture and Trade Policy 2105 First Avenue South Minneapolis, MN 55404-2505 to support information exchange and capacity building for Southern governments and civil society groups seeking more transparent, democratic, and balanced international trade policyrnaking Institute for Agriculture and Trade Policy 2105 First A% enue South Minneapolis, MIN 55404-2505 To its efforts to certify private forest lands Institute for Civil Society, Inc 42 Glen Avenue Newton Centre, MA 02459 to a project of its EarIN Childhood Funders Collaborative to strengthen sLate-based early childhood cue and education programs Institute for Environmental Policy Hradebm 3 110 00 Praha I CZECH R-EPU-BLIC to current operating needs and longer term financial plamung institute ror Human Sciences A- 1090 Wien Sputelaucrl-aride3 AUSTRIA To its program, Social Costs of Economic Transformation in Central Europe

7 S100,000 so S100,000 so


Recipient Name Recipient Address Project Description

Status Balance

4 $0 $5,000 S5,000 so

2 so $12 200 S12,200 $0

8 so $60,000 S10,000 $50,000

2 $200,000 so $100,000 $100,000

2 so $150,000 $75,000 $75,000

2 S75,000 so $75,000 $0

2 so $100000 $100,000 $0

8 $55,000 so so $55,000


Institute for Policy Studies 2 so $25,000 $25,000 so 733 15th Street NW Suite 1020 Washington, D C 20005 to its project, The Chesapeake Climate Action Network, to build public support in Man land for a state greenhouse gas action plan Institute for Policy Studies 2 so $150,000 S75,000 $75,000 733 15th Street NW Suite 1020 Washington, D C 20005 to its "ork on evort credit agencies Institute for Sustainable Communities 2 so $50,000 S50,000 so 56 College Street Montpelier VT 05602 to its community and youth action project in Serbia Institute for Sustainable Communities 2 $75,000 so $75,000 so 56 College Street Montpelier, VT 05602 As a final contribution to the Madeleine M Kunin Special Opportunities Fund Institute for Sustainable Development 7 S100,000 so so $100000 Lowicka Street 31 Warsaw 02-525 POLAND As a final core grant Institute for Sustainable Natural Resource Use 7 S50,000 so $25,000 $25,000 Radio Street, 7 Vladirostok, 690041 RUSSIA To its work on communit)-led conservation and rural development in the coastal watersheds of Primone Institute for Transportation and Development Policy 2 $35,000 so $35000 so 115 West 30th Street Suite 1205 New York, NY 10001 to its work on transportation policy in Guangdong province, China Institute for Transportation and Development Policy 2 $140,000 so $140000 so 115 West 30th Street Suite 1205 New York, NY 10001 to its initiative to integrate real estate, transportation, and natural resources planning to make cities in Central and Eastern Europe more livable Institute of Training and Education for Capacity-

7 $114,000 so S33,000 S61 .000 Building PO Box 549 East London, 5200 SOUTH AFRICA to its in-service teacher development program for primary school teachers in the Eastern Cape, with a special focus on AIDS


PART XV lines 3(a) and 3(b) Grants and Contributions Pad During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Descirption


Page 37


International Center for Transitional Justice 2 so $60,000 S60,000 so 20 Exchange Place, 33rd Floor New York, NY 10005 as a contribution for its Balkans Program International Council for Local Environmental 2 so S50,000 $0 $50,000 Initiatives USA Inc 15 Shattuck Square Suite 215 Berkeley, CA 94704 for its efforts to encourage more cities and counties to adopt greenhouse gas reduction plans International Council for Local Environmental 2 S50,000 so S50,000 so Initiatives USA Inc 15 Shattuck Square Suite 215 Berkeley, CA 94704 to its efforts to help municipal governments reduce greenhouse gas emissions International De~clopmcnt Research Centre 6 $60.000 so $15,000 $45,000 PO Box 8500 Otia"a~ Ontano CANADA, KIG 3H9 To its Learning and Research Net"ork International Institute or Rural Reconstruction 2 so $10,000 so $10,000 475 Riverside Dnve Room 1270 New York, NY 10 115 to its project, "Strengthening Local Capacities for Community-based Integrated Watershed Management in the Bicol Region, Philippines" International Marmehre Alliance, Inc 2 $75,000 $0 S75,000 so Stangenwald Bldg 119 Merchant Street #610 Honolulu, HI 96813 to its efforts to combat destructive fishing in Southeast Asia International Network of Resource Information 1 $50,000 $0 S50000 so Centers P 0 Box 844 Durham, NE 03824 For the Donella Meadows Fellowship International Peace Academy, Inc 2 so $25000 $25,000 so 777 United Nations Plaza New York, NY 100 17-3521 for its State Failure and the Crisis of Go%emance Making States Work project International Rivers Network 2 $200000 so S100,000 $10000.0 1847 Berkeley Way Berkelev, CA 94703 to its work on the sustainable development of water resources in East Asia

PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Manr-e in 2002 in 2002 Balance Project Description

Rockefeller Brothers Fund, Inc Form 990-PF 13-11760106 Year 2002 437 Madison Avenue New York, New York 110022-7001 Page 38


ISAR, Inc 1601 Connecticut Avenue Suite 301 Washington, DC 20009- For support of its "Living Seas" campaign Jala Foundation A Pasar Baru No 29 Padang Bulan Medan, Sumatera Utara INDONESIA for its work in combating destructive fishing practices in Indonesia Jamaica Center for Arts & Learning, Inc 161-04 Jamaica Avenue Jamaica, NY 11432 to the Jamaica Center for Arts & Learning Jamaica Center for Arts & Learning, Inc 161-04 Jamaica Avenue Jamaica, NY 11432 to the development of a strategic plan Japan Center for a Sustainable Environment and Society 2F, 932 Kowa Bldg 5-2-32 Minami Azabu, Minato-Ku Tokyo 106 JAPAN To its Sustainable Development and Aid Program Jc"ish Fund for Justice, Inc. 260 Fifth Avenue Suite 701 New York, NY 10001-6408 to its Funders' Collaborative on Youth Organizing Johns Hopkins University - Paul H Nitze School of Advanced International Studies 1700 Massachusetts Avenue, NW Washington, DC 20036-1984

for a law reform program focusing on Serbia and Montenegro of the Center for Constitutional Studies and Democratic Development of the Bologna Center of its Paul H Nitze School of Advanced International Studies

so S15,000

so $25,000

S15,000 so

S25,000 so 2

7 $40,000 $0 $0 $40,000

$75,000 so

$35,000 so

2 $75,000 $0

1 $0 $35 .000

S33,000 so $33,000 so Johns Hopkins University-institute for Policy Studies I

Wyman Building 3400 N Charles Street Baltimore, MO 21218-2696 To the International Fellows in Philambrop~ program of its Institute for Policy Studies

2

8

2

so $150,000

so $75,000

so $150,000

S15,000 $60,000


Page 39

Ending Balance

so

PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OFGRANTSTO ORGANIZATIONS

Status Balance in 2002

2 $150,000 so S150,000

so $50,000

$50,000 so

S50,000 so

$25,000 S25,000 8

2 so $60,000 S30,000

1 $47,145 $0 $47,145

so S50,000 so $50,000 Learning Leaders, Inc 352 Park Avenue South New York, NY 10010-1709 to support the Pre-Kindergarten Fami ly Literacy Project which trains parents to engage in literacy activities with their children and to then become literacy volunteers in New York City public pre-K programs Legal Services for Children, Inc 271 Madison Avenue, Suite 1007 New York, NY 10016 To implement the Educational Guidance Project Link Media, Inc. 705 Mission Avenue San Rafael, CA 94901 to its public interest television channel, World Link TV

2

$75,000 so

$25000 $125,000

2 S75 000 so

2 $150,000 so



Jo) cc Theatre Foundation, Inc 175 Eighth Avenue New York NY 10011 UnnedSLates to endowment in the name of Charles E Culpeper to recognize cultural organizations with a record of excellence in programming, a lustor~ of sound financial management and a commitment to public access Jumpstart for Young Children, Inc . 93 Summer Street, 2nd Floor Boston, NIA 021 10 to general support Kamchatka League of Independent Experts PO Box 273 Petropavlovsk-Kamchatsky RUSSIA To the organization's general operating budget Kings Majestic Corporation c/o 651 ARTS program 651 Fulton Street Brookivn, New York 11217 to general operating support Knox College Office or Advancement Campus Box K-233 2 East South Street Galesburg, IL 61401

for facult~ and curriculum development, student research opportunities, and infrastructure enhancements to support the launch of an environmental studies major

2

in 2002

$30,000

so

PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS

so $100,000 $100,000 $0 2 Local Initiatives Support Corporation 733 Third Avenue 9th Floor New York, NY 100 17 to its Community Investment Collaborative for Kids to assist in the accreditation of Five early childhood centers in New York City London School of Economics and Political Science Houghton Street London WC2 2AE UNITED KINGDOM to a series of issue development seminars in preparation for the editions of the Global Civil Society Yearbook Long Island Pine Barrens Society P 0 Box 429 Manorville, NY 11949-9801 to a program of communications fellowships Magadan Center for the Environment Gorky St 3"B" Magadan, 685000 RUSSIA To a project on mining and offshore oil and gas development Manhattan Youth Recreation and Resources, Inc 55 Warren Street New York, New York 10007 For its community center teen project

S20,000 $20.000

$22,250 so

9 S40,000 so

2 so $22,250

Maryland Association of Nonprofit Organizations, Inc 2

190 West Ostend Street Suite 201 Baltimore, N413 21230 to continued dissemination and replication of its "Standards for Excellence An Ethics and Accountability Code for the Nonprofit Sector" Mekong Watch Japan 7 5 F Maruko-bldg 1-20-6 Higashi-Ueno Taito-ku Tokyo, 110-8605 JAPAN to its work On promoting sustainable development in the Mekong basin

$120,000 so W,000 $60,000




Link Media, Inc 705 Mission Avenue San Rafacl, CA 94901

to provide videotaping of an R.BF-supported conference, "Clash of Civilizations or Clash of Perceptions," N%luch took place in Granada, Spain, October 28-3 1, 2002

Status Balance

2

g Approved Amount maa Lnding in 2002 in 2002 Balance

so $5,000 S5,000 so

6 $30,000 so

2 S35,000 so

so $35,000

$30,000 so

$35,000 so

$35,000 so

Rockefeller Brothers Fund, Inc '13.1760106 437 Madison Avenue New York, New York 10022-7001 Page 41

PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Arnount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Description

2 $100,000 so S100,000 so

Metafore, Inc 16071 SW Waxwing Way Bea% erton, OR 97007-8364 to general support Metafore, Inc 16071 S W W&x%k ing Way Beaverton, OR 97007-8364 To its efforts to build corporate demand for FSC-certified forest products Municipal Art Society of New York 457 Madison Avenue New York, New York 10022 for the Imagine New York initiative Municipal Art Society of New York 457 Madison Avenue New York, New York 10022 for its Metropolitan Waterfront Alliance project MUSE Film and Television I East 53rd Streect, 10th Floor New York, New York 10022-4201 for general operating support Museum of Chinese in the Americas 70 Mulberry Street New York, New York 100 13 for general operating support Nanakila Institute Box 1039, 230 Owekeno Street Kitamaat Village, BC VOT 2130 CANADA To its "Ork with First Nations to build planning and development capacity Natal Adult Basic Education Support Trust PO Box 18127 Dalbndge 4014 K%kaZulu-Natal SOUTH AFRICA capacity building project aimed at strengthening community-based organizations in the adult basic education and training field in KwaZulu-NaLal

$50,000 so

S50,000 so

so $50,000

$0 $50~000

so $50,000 S25,000

so S70,000 S35,000

$25,000

$35,000

S25,000

so

2

7 $50,000 so $25000

7 $60,000 so $60,000

Forim 990-PF Year2002

Meridian Institute PO Bo\ 1829 105 Village Place Dillon, CO 80433

To its efforts to create an independent global certification system for greenhouse gas emission reductions

2

2

2

2

2

so $200,000

$10,000 so

$100,000 S100,000

S10,000 $0

PART XV lines 3(a) and 3(b) Grants and Contributions Pad During the Year and Approved for Future PEr/ment SCHEDULE OF GRANTS TO ORGANIZATIONS

Natal, University of Education Building Private Bag X01 Scottsville Pietermaritzburg 3201 Durban SOUTH AFPJCA for a project of iLs School of Education, Training, and Development to develop a program for rapid teacher training Natal, University of Education Building Private Bag X01 Scottsville, Pietermaritzburg 3201 Durban SOUTH AFRICA for the Orphans Project of its HIV/AIDS Networking Centre Natal, University of Education Building PnvateBagX01 Scottsville, Pietermaritzburg 3201 Durban SOUTH AFRICA to an evaluation and strategic planning exercise for its New Readers Project National Academy of Sciences Institute of Medicine 500 5th Street, NW Room 760 Washington, DC 20001 to a study that ~ill examine the current roles of academic health centers in American society and suggest a range of options for how these roles should be supported and monitored National Black Child Development Institute, Inc 1101 15th Street, NW Suite 900 Washington, DC 20005 To its Parent Empo~kerrnent Project National Center for Black Philanthropy, Inc 1828 L Street, N W Suite 300 Washington, DC 20036-5168 to core support National Center on Nonprofit Enterprise, Inc 3401 North Fairfax Drive MS 3B I Arlington, VA 22201-4498 for general support during the implementation of the center's plan for growth and long-term stability

2 so S150,000 S73,900 S76,100




Natal, University or Education Building Private Bag X01 Scottsville, Pietermaritzburg 320 1 Durban SOUTH AFRICA

to the Geographic Information SNstem Project of its Health Economirs and HIV/AIDS Research Division that is intended to assist orphans and vulnerable children

Status Balance in 2002 in 2002 Balance

6 $0 S40,000 $20,000 $20,000

6 so $120,000 $60,000 $60,000

6 so S52,000 $13,000 S39,000

6 $60,000 so S60000 so

2 $279,000 so $279,000 so

2 $100,000 $0 $100,000 so

2 S40,000 so S40,000 so


National Center on Philanthropy and the Low 2 $150,000 so S75,000 $75,000 New York University 110 West 3rd Street, 2nd FI New York, NY 100 1 2-1074 to the Rockefeller Brothers Fund Fellowship in Nonprofit La%k program National Committee for Responsive Philanthropy 2 so S12,000 S12,000 so 2001 S Street NW, 9620 Washington, D C 20009 to its conser~ative foundations project National Council of Nonprofit Associations 2 so S2,500 S2500 so 1030 15th Street, N W , Suite 870 Washington, DC 20005 for costs related to funders' briefings to be held in Chicago, New York City, and San Francisco in 2002 National Environmental Trust 2 $0 $300,000 so S300,000 1200 18th Street, N-W 5th Floor Washington, DC 20036 For two complementary projects creating a positive vision for U S trade policyrnaking, and developing a communications strategy that can e ffectively highlight areas of concern about current trade policynnaking National Environmental Trust 2 $200,000 so S200,000 so 1200 18th Street, NW 5th Floor Washington, DC 20036 to its Global Warming Public Education Campaign National Executive Service Corps 2 $0 $25,000 $25,000 so 120 Wall Street l6th Floor New York, NY 10005 to plan and implement the revitalization of its Affiliates Network National Hospice and Palliative Care Organization 2 so $10,000 $10000 so (NHPCO) 1700 Diagonal Road Suite 625 Alexandria. Virginia 22314 for its 9/11 Mental Health Services projeLt National Peace Corps Association 2 S75,000 so $75.000 so 1900 L Street, NW Suite 205 Washington, DC 20036 For its public polic) education programs National Public Radio, Inc. 2 so $50,000 S50,000 so 635 Massachusetts Avenue, NW Washington, DC 20036 For support of its coverage or the aftermath of September I I th and the continuing war on terrorism


PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approyed Amount Pad Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Description


National Trust for Historic Preservation in the United 2 so S150,000 $50,000 S100,000 States 1785 Massachusetts Avenue NW Washington, DC 20036- to its Associate Sites Program Natural Resources Defense Council, Inc 2 S75,000 so $75,000 so

40 West 20th Street New York, NY 10011 To its efforts to build consumer awareness and demand for FSC-certified forest products Nature Conser~ancy, Inc 2 $120,000 so S40000 S80,000 4245 Fairfax Drive 9100 Arlington, VA 22203-1637 to its project to develop in-house capacity to do Forest Stewardship Council certifictions of The Nature Conservancy's forest lands across the U S New England Aquarium Corporation 2 so S60,000 $30,000 S30,000

Central Wharf Boston, MA 02110-3399 to its New England Fishing Conumunities Organizing Project New Jersey Hospice Organization (NJHO) 2 so $10,000 $10,000 so

175 Glenside Avenue Scotch Plains, NJ 07076 to its Fund for September I ILh Bereavement Counseling Program New School University I so S125,000 $125,000 so

66 West 12th Street New York, NY 100 11 for its World Polic) Institute's project, Dialogues -Islamic World, the United States and the West New York Academy or Medicine, The 2 $35,000 so S35,000 so

1216 Fifth Avenue New York, NY 10029-5293 to its Project on the Future of Nonprofit Health Care New York City Environmental Justice Alliance, Inc. 2 S50,000 so $50,000 so

115 West 3 Oth Street Room 709 New York, NY 1000 1 To its Brownfields Advocacy and Technical Support Program New York City Organizing Support Center 2 S60,000 $0 $60,000 so 180 Varick Streeet 12th Floor New York, NY 100 14 to its TechnoloK Project for Youth Organizing Groups and to its Train the Trainer Program


PART XV lines 3(a) and 3(b) Grants and Contributions Pad During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Pad Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Description


Page 45


PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Recipient Address Status Balance in 2002 in 2002 Project Descripbon

New York Community Trust, The 2 so S100,000 $100,000 2 Park Avenue, 24th Floor New York, NY 100 16- to the New York Community Trust for the Neighborhood 2000 Fund New York Community Trust, The 2 so S200,000 $100,000 2 Park Avenue 241h Floor New York, NY 100 16- to its Donors' Education Collaborati~c New York Hall of Science 2 $75,000 so $75000 47-01 11 Ith Street Flushing Meadows Corona Park, NY 11368 To the Early Childhood Science Initiative New York Historical Society, The 2 $125,000 so S125,000 Two West 77th Street New York, NY 10024-5194 To a National Teachers Institute and related dissemination activities designed to help educators enhance the teaching of histor) New York Regional Association of Gr2ntmakers 2 so S12,450 S12450 505 Eighth Ave Suite 1805 New York, NY 100 18-6505 to general support for 2003 New York University Institute for Education and I S55,000 so $55,000 Social Policy 726 Broadway 5th Floor New York, NY 10003-9580 to the Community School Review inittatme of its Institute for Education and Social Policy New York University Robert F Wagner School of I so S75,000 $75,000 Public Service 269 Mercer Street Room 203 New York, NY 10003-6687 For its "Con%ersations with the City" project NGO Forum on ADB, Inc 8 S100,000 so S50,000 4th Floor - Room 402 107-A Kalayaan Avenue Quezon CitN PHILIPPINES 1101 To its project on water resources Povernance and privatization Ntataise Trust 7 S15,000 so S15,000 P 0 Box 41 Viljoenskroon 9520 SOUTH AFRICA to its Parent Involvement Program

rnoing Balance

so

so

$100,000

so

so

so

so

so

S50,000

Rockefeller Brothers Fund, Inc Form 990-PF 13-1760106 Year2002 437 Madison Avenue New York, New York 10022-7001 Page 46

PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATlONS

Ocean Conservancy, Inc , The 1725 DeSales Street, NW Suite 600 Washington DC 20036 to its work coordinating Fisheries management reform efforts in the Pacific Oceana,lnc 2501 M Street NW Suite 300 Washington, DC 20037-1311 to three related marine conser~ation projects to monitor two national Ocean Commissions, to analyze proposals to establish ownership rights within fisheries, and to anal~ze proposals for restricting and changing the use of destructive trawling gear OXFAM Great Britain 274 Banbury Road Oxford, OX2 7DZ UNITED KINGDOM for its Non-Timber Forest Products project (NTFP) in Rattanakin, Cambodia OXFAM America 26 West Street Boston, MA 02111-1206 to its OXFA_M Mekong Initiative Ozivem Lublanska 18 Praha 2 12000 CZECH REPUBLIC To establishing the Iron Curtain Greenway Pacific Environment and Resources Center 1440 Broadway Suite 306 Oakland, CA 94612 to its work on protecting the environment in the Russian Far East Pacific Institute for Studies in Development, Environment, and Security 654 13th Street Suite 104 Oakland, CA 94612 To efforts to reform standard setting processes Pacific Marine Conservation Council PO Box 59 Astoria, OR 97103

to its Fisheries management reform efforts in the Pacific

Parks Council, Inc The Urban Center 457 Madison Avenue New York, NY 10022 to surengthen its capacity to lead citywide advocacy efforts for improNed and more equitable delivery of parks and recreation services

2 so S75,000 S75,000 so


Tax Beginning Approved Amount Paid Ending Status Balance in 2002 in 2002 Balance

2 so $60,000 $30,000 $30,000

2 so $100,000 S100,000 so

7 so $90,000 $30,000 $60,000

2 $0 $80,000 $40,000 $40,000

9 S12,500 $0 so S12,500

2 so $315,000 $150,000 $165,000

1 $150,000 so S75,000 $75,000

2 so S100,000 $50,000 $50,000


PART XV lines 3(a) and 3(b) Grants and Contributions Pad During the Year and Approved for Future Pa~ment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Recipient Address Status Balance in 2002 in 2002 Project Description

Balance

for its %%ork on reducing pesiticide use in Southern China

Philanthropic Research, Inc 2 $250,000 so S150,000 $100000 427 Scotland Street Williamsburg, VA 23185 For general support of its GuideStar ~cbsite Philippine Council for Aquatic and Marine Research

6 S26,000 so S26,000 so and Development Don Alfonso Evsebio Bldg BPI Economic Garden Los Banos, Laguna PHILIPPINES To its training programs in coastal management Pierpont Morgan Library 2 S250,000 so S250000 so 29 East 36th Street New York, NY 100 16-3403 to endo"ment (a Charles E Culpeper Endowment in Arts and Culture grant) Pinchot Institute for Conservation 2 so $30,00-0 $30,000 so 1616 P Street, NW Washington, DC 20036 to its pilot Forest Stewardship Council certification assessment of Idaho forest lands owned and managed bN the Potlach Corporation Ploughshares Fund, Inc 2 so S20,000 $20,000 so Fort Mason Center B-330 San Francisco, CA 94123 to support the activities of the Peace and Security Funders Group a nemork or foundations and other funders that share an interest in internatinal peace and security concerns


Parsons Dance Foundation Inc 2 $0 S50,000 S50,000 so 229 West 42nd Street, Suite 800 New York, New York 10036 for general operating support People's Parliament 7 so S25,000 $12,500 $12,500 Djordja Lesnjaka 7 P 0 Box 186 Lesko%as, 16000 SER-BIA for general budgetary purposes Pesticide Action Nemork-North America Regional

2 $60,000 $0 $60,000 $0 Center 49 Po~ell Street Suite 500 San Francisco, CA 94102 to efforts to promote ecological agriculture in China Pesticide Eco-Alternatives Center Yunnan Thoughtful

8 $0 S89,000 so $89,000 Action Room 30 E Chang Chun Garden Grand Bldg 22 Ren Min Zhong Lu Road 650021 Kunming, Yunnan Province P R of CHINA


Plowshares institute, Inc 2 $60,000 so $60,000 so PO Box 243 809 Hoperneadow Street Simsbury, CT 06070 to its work on national reconciliation in Indonesia Polish Environmental Partnership Foundation 7 S21 1,873 so $105,937 S105,936 Ul Bracka 6/6 Krakow, 31-005 POLAND core support for the Amber Trail Grcenv~ay Prague Mothers 9 $30,000 so S30,000 $0 Lublanska 18 Praha 2, 120 00 CZECH R EPUBLIC To its project, SOS Prague Pratt Institute I so $50,000 $50,000 $0 379 DeKalb Avenue, 2nd Floor Steuben Hall Brooklyn, NY 11205- to the efforts of your Center for Community and Environmental Development for support of its ongoing contribution to coalition efforts to incorporate inclusive dialogue, principles of social and economic equity, and environmental principles and Pratt Institute 1 $50,000 so S50,000 so 379 DeKalb Avenue, 2nd Floor Steuben Hall Brooklyn, NY 11205- to the efforts of its Center for Community and Environmental Development to establish the New Partners for Community Revitalization program Premiere Commission, Inc 2 so S15,000 S15,000 so 222 West 23rd Street, Suite 102 New York, New York 100 11 to its work in commissioning and premiering the new music oremerging composers Project for Public Spaces, Inc 2 $5,000 so $5,000 so 153 Waverly Place New York, NY 100 14 to its Czech Public Spaces Institute Project Literacy Trust Fund 7 $60,000 so S60,000 so PO Box 57280 Arcadia Pretoria, 0007 SOLFFH AFRICA for a project to develop a course on AIDS for adult educators and to include information on AIDS in its literacy courses Project on Ethnic Relations, Inc 2 so S42,500 S42.500 so 15 Chambers Street Princeton, NJ 08542-3707 to its Serbian and Montenegrin programs


PART XV lines 3(a) and 3(b) Grants and Contributions Pad During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Description


Project Underground 4 so S5,000 S5,000 so 1916a Martin Luther King, Jr WaN Berkeley, CA 94704 to support the publication of an updated version of their 1998 report Drilling to the Ends of the Earth Public Allies, Inc. 2 $50,000 so $50,000 so 633 West Wisconsin Avenue Suite 610 Milwaukee, WI 53203 to the design and implementation of its Alumni Leadership Initiative Public Citizen Foundation, Inc 2 so $100,000 so $100,000 215 Pennsvlvania Avenue, SE Washington, DC 20003 to efforts to reform standard setting processes Public Nlecha Center 2 so $66,000 $33000 S33,000 466 Green Street San Francisco, CA 94133-4067 to its China Development Brief project Public Radio International, Inc 2 S200,000 $0 $200,OGO so 100 North Sixth Street Suite 900A Minneapolis, NIN 55403 to its daily international news program, The World Puter Foundation 9 $35,000 so S35,000 so Permata Cimanggu Blok A No 4 R T IR W 008/007 Kedung Badak - Tanah Sareal Bogor 16710 INDONESIA To the Indonesian Network of Coastal and Marine NGOs (laring Pela) Quebec-Labrador Foundation, Inc 2 S20,000 so $20,000 so 55 South Main Street Ipswich MA01938 To its Central European Stewardship Program of its Atlantic Center for the Environment Queens Legal Sei-vices Corporation 2 $60,000 so $60,000 so 89-00 Sutphin Boulevard Jamaica. NY 11435 To its Title I Initiative Radio Television B 92 9 so $50,000 $25,000 S25,000 Makedonska 22NI Beluad I 1000 YUGOSLAVIA to its project, the Documentation Center of Wars, 1991- 1999


PART X\/ lines 3(a) and 3(b) Grants and Coninbutions Pad During the Year and Approved for Future Payment SCH EDU LE OF G RANTS TO ORGAN IZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status BaJance in 2002 in 2002 Balance Project Descnpfion

PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS

Ramon Magsaysay Award Foundation 1680 Roxas Boule%ard Manila 1004, - PHILIPPINES To its annual "Asian Issues and Trends for Development" seminar Ramon Magsaysay Award Foundation 1680 Roxas Boulevard Manila 1004, - PHILIPPINES To a project to develop the Asian Living Heroes Poster Series that will profile Ramon Magsaysay Awardees as role models for Asian youth Ramon Nlagsaysay Award Foundation 1680 Roxas Boule%ard Manila 1004, - PHILIPPI[NES To a project to enhance the Foundation's web site for greater exchange of ideas and information among Awardees and between them and interested public audiences Ramon Magsaysay Award Foundation 1680 Roxas Boulevard Manila 1004, - PHILIPPINES for documentation and dissemination of information about the recipients of the Ramon Magsay say Awards Ramon Nlagsaysay Award Foundation 1680 Roxas Boulevard Manila 1004 - PHILIPPINES contribution to the stipends for the 2002 Ramon Magsaysay Awards

8 so $150,000 $150,000 so



Recipient Name Recipient Address Project Descripbon

Rainforest Alliance, Inc 65 Bleecker Street New York NY 100 12-2420 to its efforts to address se%eral critical challenges related to the future growth of the Forest Stewardship Council in the U S Ramrorest Action Network 221 Pine Street Suite 500 San Francisco, CA 94104 To general support Ramon Magsaysay A%ard Foundation 1680 Ro\as Boulevard Manila 1004, - PHILIPPFNES

to continued publication of The Magsavsav Awardee, a newsletter about Ramon Magsa)say Awardees and their contributions to economic and social development in Asia

lax beginning Approyeo Amount Faid Ending Status Balance in 2002 in 2002 Baiance

2 so S50,000 S25,000 S25,000

2 $100,000 so $100,000 so

8 $5,000 so $5,000 so

8 $15,000 $0 $15,000 $0

8 $10,000 so $10,000 so

8 $10,000 so $10000 so

8 so S31,000 so $31 000

Rockefeller Brothers Fund, Inc 13-1760`106 437 Madison Avenue New York, New York 10022-7001 Page 51

Ramon Nlagsa~say Award Foundation 8 so $25,000 so S25,000 1680 Roxas Boulevard Manila 1004, - PHILIPPINES for support of the "Issues and Trends in Asian Development" seminar, to take place in Beijing, China in October 2003 Reading is Fundamental, Inc 2 $0 $100,000 $100,000 so 1825 Connecticut Avenue, N W Suite 400 Washington, D C 20009-5726 to the first phase of its Care to Read program Regional Plan Association, Inc 2 so $300,000 $300,000 so 4 Irvine Place 7th Floor New York- NY 10003 for the work of the Civic Alliance and the Listening to the City 11 program in collaboration with New York UmversityEl Ds Center for Excellence in New York City Governance and D C -based America Speaks Regional Plan Association, Inc 2 so S16,000 $16,000 so 4 Irvine Place 7th Floor New York, NY 10003 for costs related to the production of the Listening to the City report Regional Plan Association, Inc 2 $0 $300,000 so $300,000 4 Irvine Place 7th Floor New York, NY 10003 to its Campaign for Regional Leadership project Regional Plan Association, Inc 2 so S60,000 $60,000 so 4 Irvine Place 7th Floor New York, NY 10003 to its Civic Alliance to Rebuild Downtown initiative Research Foundation of the City University of New

2 so $50,000 S50,000 so York to a pre-K intervention program for Hispanic immigrant children of its Graduate Center's Research institute for the Study of Language in Urban Society Research Foundation of the City University of New 2 so $75,000 S75,000 so York to implement the Leadership Training Institute for Community Organizations program at Queens College Research' America 2 S25.000 so S25,000 so 110 1 King Street Suite 520 Alexandria, VA 22314-2944 to support the expansion of its nationwide, community- based initiative to promote public understanding of the incentives for medical and health research


PART XV. lines 3(a) and 3(b) Grants and ContrIbutions Paid Dunng the Year and Approved for Future Payment SCH EDU LE OF G RANTS TO ORGAN LZATIONS Recipient Name Tax Beginning Approyed Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Descnption


PART XV lines 3(a) and 3(b)G rants and Contributions Paid During the Year and Approyedf or Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Pad Ending Recipient Address Status BaJance in 2002 in 2002 Balance Project Description

so $25,000 $25000

$25,000 $12,500 $12,500

2 $50,000

$0

so 560,000

$75,000 $0

$30,000 $30,000

$75,000 so

Rockefeller Family Fund 437 Madison Avenue 36th Floor New York, NY 10022-7001 to the Funders Network on Trade and Global intion project of the Environmental Grantmakers Association Rockefeller Family Fund 437 Madison Avenue 36th Floor New York, NY 10022-7001 To its Environmental Enforcement Project Rockefeller University, The 1230 York A~enue New York, NY 10021-6399 For research on "A Stratified Method For the identification of Mouse QTLs Controlling Sensorimotor Gating An Animal Model for Testing Drug Efficacy in Schizophrenia " Round Rj% er Conservation Studies 4301 Emigration CanNon Road Salt Lake City, UT 84108 To its efforts to support science-based decision making in upcoming land use planning processes along the British Columbia coast Rozmberk Society PO Box 41 Trebon CZ37901 CZECH REPUBLIC to its project the Kajakovice Peasent Museum and Cultural Center Sakhalin Environment Watch Kommunistichnesk~ st , 27a Off 301, 207 Yuzhno-Sakhalinsk693007 RUSSIA To the organization's general operating budget

2

$113,232 so

so 2 $50,000 so

$0 $40,000

so $25,000

8 $40000

8 S50000 $25,000


Residents' Committee to Protect the Adirondacks PO Box 27 North Creek, NY 12853-0027 To its efforts to certify private forest lands A Rocha-Christians in Conservation Kostmcka ul 85 Husinec CZ-384 21 CZECH REPUBLIC

to help launch the nature protection and sustainable development programs of A Rocha in the Czech Republic

8

2

S113,232 so

$50,000

so


San Francisco Foundation Community Initiative 2 so $9,000 $9,000 so Funds, The 225 Bush Street, Suite 500 San Francisco, CA 94104 to support its project the Democracy Center in its work to a) promote global education and organizing related to the issue of "ater privatization, and b) to ad%ance policy and project lending transparency at the World Bank Scenic Hudson, Inc 2 $125,000 so $125,000 so One Civic Center Plaza Suite 200 Poughkeepsie, NY 12601 To support community im,olvement in planning and redevelopment of the former General Motors manufacturing site on the Hudson River, in the Village of Sleepy Hollow, New York SeaWeb 2 $100,000 so $100,000 so 1731 Connecticut A~enue, NW 4th Floor Washington DC 20009 to efforts to coordinate and enlarge the constituencies for a sustainable salmon aquaculture industry Silva Forest Foundation 7 $75,000 so $75,000 so PO Box 9 Slocan Park VOG 2EO . B C CANADA To its work certif~ing sustainable forestry practices in British Columbia SmartPower Connecticut, Inc 2 $200,000 so so $200000 100 Pearl Street 14th Floor Hartrord, CT 06103 to its Connecticut Cares project Snug Harbor Cultural Center 2 so $50,000 $25,000 S25,000 1000 Richmond Terrace Staten Island . Nev~ York 10301 to the Newhouse Center for Contemorary Art Solar Development Foundation 2 $1,228,000 $0 S300,000 S928,000 1655 North Fort Meyer Drive Suite 520 Arlington, VA 22209 To its general program South Africa, Unnersity or 6 $49000 so $49,000 so PO Box 57280 Pretoria, 0007 SOUTH AFRICA to its family literacy project South African Institute of International Affairs 7 S75,000 so S75,000 so PO Bo% 31590 Bratunfontein 2017 SOUTH AFR1CA To itsjoint project %%iLh the Institute for Security Studies to investigate the links between war and organized crime in Southern Africa


PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Desorption


for faculty development initiatives and technical support to help integrate Geographic Information S%stem (GIs) technology into the global studies and sciences curricula

St Lukes Chamber Ensemble, Inc 2 S104,000 so S104,000 so 330 West 42nd Street 9Lh Floor New York, NY 10036 To develop long-term residency programs with a number of performing arts centers and universities outside of New York City St Mark's Historic Landmark Fund 2 so S90,000 S45,000 S45,000 232 East I Ith Street New York, NY 10003 to its Neighborhood Preservation Center St Olaf College 1 $113,098 so S113,098 so Northfield, lvfN 55057 United States for initiatives to foster innovative use of technologies in foreign language teaching and learning Henry L Stimson Center, The 2 $75,000 so S75,000 so IIDupontCircIe,NW NinthlFloor Washington DC 20036 for the Cemer's "Secuntv for a Ncv~ Century" project


PART XV lines 3(a) and 3(b) Grants and Contributions Pad During the Year and Approyedf or Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Description

South China Agricultural University 6 so S158,000 $54,000 $104,000

Guangzhou P R of CHINA to its project, Cooperative Program on Community Supported Organic Agriculture on Degraded Slope Lands in South China Southeast Asia Rivers Network - Thailand Chapter 7 so S90,000 $10,000 $80,000

78 Moo 10 Suthep Road Muang, Chiang Mai 50200 THAILAND to its Southeast Asia Rivers Netvork project Southern and Eastern African Trade Information and 7 $100,000 so $100,000 so Negotiations Initiative Trust, The Takura House, 67-69 Union Ave P 0 Box 4775 Harare ZIMBABWE to build the capacity of African nations to participate more effectively in international trade negotiations The St Ann Center for Restoration and the Arts, Inc 2 so $70,000 S35,000 $35,000

70 Washington Street, 2nd Floor Brookl)n, New York 11201 to general operating support St Lawrence University I S97,500 so $97,500 so

Canton, NY 13617 United States


Strategies for the Global Environment, Inc 2 so S25,000 S25,000 so c/o Pew Oceans Commission 2 101 Wilson Blvd, Suite 550 Arlington, VA 22201 For its project, the Pew Oceans Commission, as support for a report on the establishment and operation of a nation%%ide nemork ofManne Reserves in U S "aters Studio Museum in Harlem, Inc 2 so $100,000 S50000 $50,000 144 West 125th Street New York, NY 10027- to its Artists-in-Residence program Summer Institute of Linguistics (Philippines) 2 $7,150 so S7,150 so Philippine Branch Director PO Box 2270 CPO Manila 1099 PHILIPPINES To a project to develop Bambam language reading materials and train Bambam literacy trainers in Sula"esi, Indonesia Support Office for the Mo~ement of Social Initiatives 7 so $50,000 $25,000 $25,000 Association-BORIS Association ul No"olipic25B,01-011 Warsaw POLAND for its Local Activities Centers program and for its reserve food Sydney, University of 6 so $140,000 S70,000 S70,000 Depariment of Geography NSW 2006 AUSTRALIA for its Australian Mekong Resource Centre Taiga Rangers 8 S40,000 so S20,000 $20,000 Komshosse, 59 Komsomolsk-on-Amut Khabaro%sk) region 68 1000 RUSSIA To a project on sustainable forestry and designation of protected areas Tambuyog Development Center 9 S35,000 so $35,000 so No 91 V Luna Rd Extension Sikatuna Village Diliman Quezon CaN PHILIPPINES To a meeting of Asian civil societ) on water resource governance Tambuyog Development Center 9 so S100,000 $40,000 $60,000 No 91 V Luna Rd Extension Sikatuna Village Diliman Quezon City PHILIPPINES to its Sustainable Water Areas Management Project Target Margin Theater, Inc 2 so $15,000 S15,000 so 138 South Oxford Street, Room 5A Brooklyn, New York 11217 for general operating support


PART XV lines 3(a) and 3(b) Grants and Contnbutions Paid During the Year and Approyed for Future Payment SCH EDULE OF G RANTS TO ORGAN IZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Descnption


TechRocks 2 so $50,000 $50,000 so

1617 John F Kennedy Boulevard Suite 620 Philadelphia, Pennsyl vania 19103 for general support Tectonic Theater Project, Inc 2 so S15,000 $15,000 so

204 West 84th Street 2nd floor New York, New York 10024 for general operating support Telapak Foundation 7 S60,000 so S60,000 so Jalan Sempur Kaler No 16 Bogor 16154 INDONESIA to its participation in the Promula program and its work on a project on traditional marine resource tenure in Indonesia's Maluku province Tembaletu Trust 7 $34,000 $0 $34,000 so Tembaletu Comm Edu Centre 206 Burger Street Pietermaritzburg 3201 SOUTH AFRICA to a policy dialogue among nonprofit and community- based organizations in the adult basic education and training field in KwaZulu-Natal and to assist the Trust nsel f " ith capacity building and income generation Texas Fund for Energy and Environmental Education 2 so $10,000 $10,000 $0

Campaign Ex-xonlviobil 611 South Compass, Ste 200 Austin, TX 78704 for a scholarship fund to ensure broader NGO participation at the 2002 Empo~cnng Democracy conference Thalia Spanish Theatre, Inc 2 $0 $70,000 $35,000 $35,000

41-17 Greenpoint Avenue Sunnyside, New York 11 104 for general operating support Thanclanam Childrens Foundation 7 S50,000 so S50,000 so Thanclanam House 46 Longinarket Street Pietermaritzburg 3200 SOUTH AFIUCA for capacity building and for evaluation and dissemination of lessons learned in developing models of care and education for AIDS orphans Third World Net"ork. 7 so $300,000 so S300,000 12 1 -S Jalan Utama 10450 Penang MALAYSIA to its work to support developing country contributions to the multilateral trading system Tides Canada Foundation 7 so $100,000 $50,000 S50,000 #680-220 Cambie Street Vancouver, BC V6B 2M9 CANADA to the next phase of "ork on conservation of the Great Bear Rainforest in British Columbia

Form 990.PF Year2002

PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approyed for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status BaJance in 2002 in 2002 Balance Project Description



so $50,000 $0

so $75,000 $0

to a project of its Global Development and Environment Institute on trade and globalization issues

US Working Group Inc 2 dba Forest Ste%%ardship Council U S 1155 30th Street N1W Suite 300 Washington, DC 20007 For general support US Working Group Inc 2 dba Forest Stewardship Council U S 1155 30th Street NW Suite 300 Washington, DC 20007 for targeted ad% ertising in support of sustainable forest management

so $100,000

so S50,000 so $50,000


Tides Center 2 The Presidio P 0 Box 29907 San Francisco, CA 94129-0907 to its Globalization Challenge Initiative Tides Center 2 The Presidio P 0 Box 29907 San Francisco, CA 94129-0907 to its Vote Solar Initiative in Cali forma to encourage cities to develop solar energy imtiati~es Tides Center 2 The Presidia P 0 Box 29907 San Francisco, CA 94129-0907 to the efforts of its Regeneration Project to encourage places of worship and members of those congregations to reduce greenhouse gas emissions Tides Center 2 The Presidto P 0 Box 29907 San Francisco, CA 94129-0907 to its Africa Grantmakers'Aff-inity Group project Tides Center 2 The Presidio P 0 Box 29907 San Francisco, CA 94129-0907 to its Asia Pacific Environmental Exchange project Tides Foundation 2 Presidio Main Post, Bldg #37 PO Box 29903 San Francisco, CA 94129-0903 To the Forest Stewardship Council B C Regional Initiative Tufts College, Trustees of 1 108 Bromfield Medford, MA 02155

S75,000

so

so

$25,000

$70,000

$50,000

$75,000

$100,000

so $75,000 so

S50,000 S50,000 so

$50,000 $50,000 so

so $25,000 so

so $70,000 so

so


Ulster, University of 6 so $67,000 $27,000 S40,000 School of Psycholopv Cromore Road Coleraine, BT521SA NORTHERN IRELAND to its project in Emmaus, KwaZulu-Natal, to link home and school in early childhood education Union Settlement Association, Inc 2 so S15,000 S15,000 so 237 East 104th Street New York, NY 10029 for their Immigrant EmergencN Fund program United Nations 2 so $100,000 $100,000 so One UN Plaza Room 2060 New York, NY 100 17 to the United Nations Development Programme's Trade and Sustainable Human Development project United Nations 2 so $52,000 $52,000 so One LIN Plaza Room 2060 New York NY 10017 to two projects of the United Nations development Programme in Montenegro to promote an "ecological state" United Nations 2 so S25,000 $25,000 so One U-N Plaza Room 2060 New York, NY 100 17 to support a high level expert mission to Montenegro to advance efforts to create an "Ecological State" United Nations Association of the United States of 2 so $100,000 S50,000 S50,000 America, Inc 801 Second Avenue New York, NY 10017-4706 to its Global Health Initiative United Nations Association of the United States of 2 so $70,200 S70,200 so America, Inc 801 Second Avenue New York, NY 100 17-4706 for explorator~ work on a U S -Iran Dialogue on Multilateral Issues United Nations Foundation 2 $150,000 so $150,000 so 1225 Connecticut Avenue NW Suite 400 Washin2ton . DC 20036 to the Global Reporting Initiative of CERES, Inc United Way of New York City 2 $50,000 so S50,000 so 2 Park Avenue, 2nd Floor New York- NY 10016 to its project, The Child Care and Early Education Fund


PART XV lines 3(a) and 3(b)G rants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Descnpton

PART XV lines 3(a) and 3(b) Grants and Contributions Paid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Descnpton

S28,750 $28,750 so

so S64,000 so

$65,000 so S65,000 so

Visual Arts Research and Resource Center Relating to 2 the Caribbean 408 West 58th Street New York, New York 100 19 for general operating support Volunteer Consulting Group, Inc 2 6 East 39th Street Suite 602 Ne%N York, NY 100 16 To the expansion of its boardnetUSA service Walter Link Foundation, lac 3 1901 Morrill Street Sarasota, FL 34236 to its program, the Global Academ%, for the academ%'s project, the Genome institute Western Cape, University of the 6 Teacher [nservice Project Faculty of the Western Cape Private Bag X17 Beliville 7535 SOUTH AFRICA to its Teacher Inservice Project to build the capacity of the Western Cape Education Department

so $25000

S60,000 so

$25,000 so

$60,000 so

Rockefeller Brothers Fund, Inc Form 990.PF 13-1760106 Year2002 437 Madison Avenue New York, New York 10022-7001 Page 59

University of North Carolina at Chapel Hill I Frank Porter Graham Child Development Ctr CB 8040 Chapel Hill, NC 27599-8040 to fund a study of farml% predictors of early childhood outcomes, to be linked to a national study of pre- kindergarten experiences University of the South, The 1 735 University A% enue Sewanee, TN 37383-1000 for the creation of an environmental studies model curriculum that utilizes faculty-student research, hands-on field experience, and real life problem solving The Urban Institute 2

Center on Nonprofits & Philanthropy 2100 M Street, NW

Washington, DC 20037 To a study of fundratsing and administrative costs for nonprofit organizations by its Center on Nonprofits and Philanthropy Via Foundation for Local Initiatives 7 Jeleni 200/3 Prague, 118 00 1 CZECH REPUBLIC

as a final contribution to core support and a contribution to to the reserve fund of the program, People and Places

so

$64,000

$30,000 $0

so $70,000

$50,000 so

$30,000 so

$35,000 $35,000

$50,000 so


PART XV lines 3(a) and 3(b) Grants and Contnbutions Plaid During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Pad Ending Recipient Address Status BaJance in 2002 in 2002 Balance Project Description

2 $150,000 so

2 so S100,000

so S25,000

$80,000 $0 2

Winrock International Institute for Agricultural Development, Inc 38 Winrock Drive Morrilton, AR 72110-9537 To its clean-ener&V countries inniatne Witwatersrand Foundation, University of P 0 Box 107 Wits 2050 Johannesburg SOUTH AFRICA to its project to facilitate adoption and healthcare of oprhaned children i n Gauteng Womens Project and Productions Inc , The 55 West End Avenue New York, New York 10023 for general operating support Working Theatre Company, Inc, The 128 East Broad"a) Box 892 New York, NY 10002-0892 for general operating support Works and Process, Inc. 545 L'Aachson A%enue, 10th Floor New N ork, New York 10022 to general operating support Yale University Office of Grants and Contracts New Ha%en. CT 06520 To the initial costs of bnnging on a tenured professor who will focus on sustainable forestry

2 $100,000 so

7 so $80,000

so S70,000

so $15,000 2

$35,000 so

$50,000 S100000

2 so $35000

1 $150,000 so


Wild Salmon Center 813 Southwest Alder Street Suite 702 Portland, OR 97205 To its Western Pacific salmon conservation programs Wildlife Conservation Society 2300 Southern Blvd Bronx, NY 10460 to its Wild Achievements Wildlife Integrated for Language Development and Achievement program William J Brennan, Jr , Center for Justice, Inc 161 A~enuc of the Americas 5th Floor New York, NY 100 13 to its Dobbins Litigation and Public Education project Winrock International Institute for Agricultural Development, Inc. 38 Winrock Drive Morrilton, AR 72110-9537

to its Renewable Energy Project Support Office in Nepal

2

2

S75,000 S75,000

S100,000 so

S25,000 so

so $80,000

$100,000 so

$40,000 S40,000

$35,000 $35,000

$15,000 so


PART XV lines 3(a) and 3(b) Grants and Contributions Pad During the Year and Approved for Future Payment SCHEDULE OF GRANTS TO ORGANIZATIONS Recipient Name Tax Beginning Approved Amount Paid Ending Recipient Address Status Balance in 2002 in 2002 Balance Project Description

$18,365,467 $22,916,744 $15,377,694 TOTAL

1 U S church, school, hospital, government agency 509(a)(1) and 170(b)(1)(A)(i-ni, v)

2 U S publicly supported organization 509(a)(1) and 170(b)(1)(A)(iv, vi), 509(a)(2), 509(a)(3), including 4940(d)(2) (exempt operating foundation)

3 U S private operating foundation

4 U S private non-operating foundation

5 US non 501 (c)(3)

6 foreign church, school, hospital, government agency

7 foreign organization equivalent to publicly supported 501 (c)(3)

8 foreign organization equivalent to private foundation

9 foreign organization not equivalent to 501 (c)(3)


Yale University Office of Grants and Contracts New Haven CT 06520 to its Bush Center in Child Development and Social PolicN for the development of a language and literacy component for its School of the 21st Century Program

Subtotal Grants to Organizations Subtotal Grants to Individuals (From P 13)

so $67,000 S67,000 so

$16,038200 S21,016,255 SII,728 673 $2,327,267 $1,900,489 $3,649,021

Key to Tax Status

Donor Total 1,5 15 00 Matching Total 1,515 00

October 30, 2003 page

Donation Matching Gift Amount Date Amount Date Orpanization

10000 12/23/01 10000 1/11/02 Family YMCA at Tarrytown

25000 12/23/01 25000 2/11/02 Educational Broadcasting Corp

50000 12/23/01 50000 2/14/02 Ossining Food Pantry

25000 12/23/01 25000 2/19/02 WNYC Radio 225 00 2/16/02 20000 2/27/02 Metropolitan Museum ofArt 17000 2/4/02 125 00 2/27/02 Japan Society, Inc 50000 12/23/01 1,00000 3/12/02 Georgetown University

Donor Total 1,995 00 Matching Total 2,425 00

75 00 5/28/02 75 00 7/30/02 Educational Broadcasting Corp

Donor Total 75 00 Matching Total 75 00

10000 12/3/01 10000 1/23/02 God's Love We Deliver 40 00 12/3/01 4000 2/l/02 Educational Broadcasting Corp

25 00 12/3/01 25 00 2/4/02 Miracle House of New York

75 00 3/19/02 75 00 4/30/02 Gay Men's Health Crisis, Inc 10000 4/23/02 10000 5/9/02 Food for Survival, Incorporated 250 00 3/19/02 25000 5/10/02 San Francisco AIDS Foundation

10000 6/14/02 10000 7/22/02 Natural Resources Defense Council

50 00 5/21/02 5000 8/9/02 Gay Men's Health Crisis, Inc

10000 8/20/02 10000 9/10/02 Planned Parenthood of New York City, Inc 10000 8/20/02 10000 9/10/02 Alley Cat Allies, Inc

10000 8/20/02 10000 10/2/02 Miracle House of New York

75 00 3/5/02 75 00 10/25/02 Alvin Ailey Dance Foundation 10000 9/30/02 10000 11/4/02 The Wetlands Institute 5000 10/233/02 5000 11/13/02 WNYC Radio 5000 9/30/02 50 00 1 1/27/02 The Nature Conservancy

5000 9/30/02 5000 12/13/02 Society for Progressive Supranuclear Palsy

10000 12/9/02 10000 12/23/02 Holy Apostles Soup Kitchen

5000 12/9/02 5000 12/30/02 Planned Parenthood of New York City, Inc

10000 1/10/02 10000 1/23/02 Cuban Committee for Democracy 17500 3/2/02 175 00 4/5/02 New York Foundation for the Arts 50000 6/3/02 50000 6/17/02 Cuban Artists Fund 65000 10/7/02 65000 10/25/02 Casita Maria, Inc 10000 10/21/02 10000 12/17/02 Global Action Project

Ocrober 30, 2003 page 2

Donation Matching Gift Amount ate Amount Date Organization

2500 5/9/02 25 00 8/9/02 Gay Men's Health Crisis, Inc

Donor Total 25 00 Matching Total 2500

10000 12/5/01 10000 1/11/02 Oxfam America, Inc 5000 11/2/01 5000 1/11/02 God's Love We Deliver 10000 2/16/02 10000 3/12/02 New Jersey Performing Arts Center 5000 2/23/02 5000 4/5/02 Gay Men's Health Crisis, Inc

37500 3/11/02 37500 4/5/02 New Life of New York City, Inc 5000 4/8/02 5000 4/30/02 The Sentencing Project 5000 3/26/02 5000 4/30/02 Port Deposit Heritage Corporation 5000 4/21/02 5000 5/10/02 Heritage Home for Women 375 00 6/3/02 37500 6/20/02 New Life of New York City, Inc 20000 6/8/02 40000 7/22/02 College of Wooster 20000 6/13/02 20000 7/22/02 Heifer Project International 15000 4/8/02 15000 8/9/02 The Legal Aid Society 115 00 5/19/02 11500 8/9/02 Gay Men's Health Crisis, Inc 20000 8/7/02 40000 9/3/02 Cecil County Community College Foundation 375 00 9/7/02 375 00 10/' 2/02 New Life of New York City, Inc 10000 8/5/02 10000 10/11/02 Educational Broadcasting Corp 25 00 12/13/02 25 00 12/23/02 Cathedral Community Cares

25 00 11/16/02 25 00 12/23/02 Heifer Project International

Donor Total 2,590 00 Matching Total 2,99000

5000 12/3/02 5000 12/16/02 Christodara, Inc


Donation Matching Gift Amount -~a t -e -Amount Date Orpanization

Donor Total 1,525 00 Matching Total 1,525 00

6/18/02 Foote School 6/24/02 Taft School 8/8/02 Potomac School

8/13/02 Madeira School

9/30/02 Shelburne Museum

tO/24/02 Bates College 11/4/02 Bard College

9/27/02 Municipal Art Society

10/2/02 WNYC Radio

10/9/02 Yale University

12/23/02 DEMOS

page 3 October 30, 2003

50000 10/21/02 1,00000

Donor Total 500 00 Matching Total 1,00000

25 00 3/14/02 25 00


1000 5/9/02 1000

Donor Total 1000 MatchingTotal 1000

20000 1/3/02 20000

2000 4/l/02 4000

5000 9/3/02 5000


10000 6/11/02 20000

25000 6/11/02 50000

5000 7/22/02 10000

5000 7/22/02 10000

1,00000 9/11/02 1,00000

25 00 10/15/02 5000

25 00 10/15/02 5000

Donor Total 1,50000 MatchmgTotal 2,00000

25000 9/9/02 25000

10000 9/16/02 10000

50000 9/16/02 1,00000

25000 12/23/02 25000

Donor Total 1,10000 MatchingTotal 1,60000

11/4/02 St John Villa Academy

5/2/02 Wellfleet Harbor Actors Theater, Inc

8/9/02 Gay Men's Health Crisis, Inc

1/11/02 Tides Foundation 4/30/02 The Roxbury Latin School

9/10/02 International Women's Health Coalition

50000 12/4/02 1,00000 12/18/02 Columbia University

Donor Total 50000 MatchingTotal 1,00000

6/20/02 W-NYC Radio

7/30/02 Educational Broadcasting Corp


page 4 Ociober 30, 2003

Donation Matching Gift -bate -Amount Date Orp Amount ganization

1000 5/9/02 1000 8/9/02 Gay Men's Health Crisis, Inc


5000 8/25/02 5000 9/27/02 Avon Breast Cancer 3 Day N Y

Donor Total 5000 Matching-Total 5000

25 00 12/31/01 5000

15 00 12/31/01 3000

1500 8/29/01 1500

5000 5/1/02 5000

6000 5/16/02 6000

1500 6/24/02 1500

2000 12/31/01 2000

5000 5/30/02 5000


20000 4/1/02 20000

12000 4/19/02 12000

20000 5/21/02 20000


5000 4/27/02 5000

5000 4/27/02 5000

50 00 5/9/02 so 00


1/31/02 Ohio University Foundation

1/31/02 National Humane Education Society

3/14/02 Alley Cat Rescue Inc

5/23/02 Int'l Fund for Animal Welfare

6/4/02 Ber.-en County Housing Coalition

7/30/02 Environmental Defense Fund

8/9/02 National Audubon Society 9/10/02 Ga~ iklen's Health Crisis, Inc

5/23/02 Interfaith Nutrition Network

5/23/02 Pioneers for Animal Welfare Society


2500 5/10/02 25 00 8/9/02 Gay Men's Health Crisis, Inc

5000 9/18/02 5000 10/25/02 Juvenile Diabetes Research Foundation

Donor Total 7500 Matching Total 75 00

7500 7/12/02 15000 7/30/02 Barnard College


5000 12/15/01 5000 1/11/02 DEMOS

35 00 II/l/01 '35 00 1/11/02 West Michigan Environmental Action Council

10000 12/21/01 10000 1/11/02 Partners ofthe Americas

5000 12/30/01 5000 1/29/02 Cuban Artists Fund

20000 11/30/01 40000 2/4/02 PS 87PA,Inc

5000 12/30/01 10000 2/14/02 University Of Michigan

5000 11/30/01 10000 2/15/02 American University in Bulgaria

5000 12/30/01 5000 4/5/02 Lawyers Committee for Human Rights

75 00 3/30/02 75 00 4/30/02 Educational Broadcasting Corp

15000 6/10/02 15000 6/24/02 International House

20000 6/23/02 20000 7/22/02 International House

5000 12/19/02 5000 12/30/02 Resource Foundation

10000 12/19/02 20000 12/31/02 Belgian American Educational Foundation

5000 12/19/02 5000 12/31/02 Council on Foreign Relations


page j October 30, 2003

Donation Matching Gift Amount -Date Amount Date Organization

10000 12/29/01 20000 1/23/02 Williams College

5000 12/29/01 10000 1/23/02 St Louis University High School

25 00 12/29/01 2500 1/28/02 Wilton Land Conservation Trust

25000 12/29/01 50000 1/31/02 The Montesson School

25 00 12129/01 25 00 12/23/02 Fresh Air Fund

5000 12/29/02 5000 12/31/02 Fresh Air Fund

50000 12/29/02 50000 12/31/02 Association Montessori InternationallUSA


Donation Matching Gift Amount -15-a-te Amount Date Organization



National Symphony Orchestra

The Children's Center

Reading Is Fundamental

2,50000 9/27/02

50000 11/14/02

50000 11/27/02

3,50000 Donor Total 10,50000 MatchingTotal

page 6 October 30, 2003


75 00 12/22/01 7500 1/11/02 DEMOS

25000 12/30/01 25000 2/4/02 Commonweal

25000 12/30/01 25000 2/19/02 VrNYC Radio

50000 4/20/02 1,00000 4/30/02 Princeton University

250 00 5/29/02 250 00 6/17/02 Pan Massachusetts Challenge

10000 12/13/02 10000 12/20/02 Positive Futures Network

10,00000 7/29/02

25000 10/30/02

250 00 10/30/02

10000 1/7/02 10000 1/28/02 New York Theatre Workshop

15000 12/17/01 15000 2/14/02 People for Puget Sound

10000 4/1/02 10000 4/30/02 Land Trust Alliance

125 00 4/1/02 25000 5/10/02 Oberlin College Development Office

15000 6/3/02 15000 6/18/02 Northwest Environment Watch

1,00000 7/19/02 1,00000 8/9/02 Capitol Land Trust

10000 9/2/0-2 10000 10/25/02 Just Food Inc

10000 12/1/02 10000 12/27/02 Pacific Rivers Council

25000 12/1/02 25000 12/31/02 Land Institute


50000 12/9/02 1,00000 12/17/02 Trinity School

25000 12/9/02 25000 12/17/02 Trinity School

250 00 12/9/02 25000 12/17/02 Hartford Food System

1,00000 12/11/02 1,00000 12/20/02 Allen County Historical Society

October 30 2003

Donation Matching Gift Amount Date Amount Date Organization

1,00000 12/9/02 1,00000 12/20/02 Bowdom College


7500 12/10/01 7500 1/28/02 Children's Chorus of Washington

5000 4/8/02 5000 5/10/02 Servicemembers Legal Defense Network


15000 7/15/02 15000 9/3/02 Chester Theatre Group

2,67500 7/15/02 2,675 00 9/20/02 Stone Educational Systems, Inc


10000 1/15/02 10000 1/31/02 Main Street Mission

3000 3/5/02 3000 4/5/02 Int'l Fund for Animal Welfare

2000 11/14/01 2000 4/5/02 Amnesty International

2000 3/30/02 2000 4/30/02 United Cancer Research Society

1500 5/3/02 15 00 6/18/02 Physician's Cte for Responsible Medicine

15 00 8/27/02 15 00 9/20/02 ASPCA

85 00 12/18/02 85 00 12/23/02 Cathedral Community Cares


5000 12/26/01 5000 1/11/02 U S Lacrosse

5000 12/26/0) 10000 2/14/02 Johns Hopkins University

10000 12/31/01 20000 3/6/02 Johns Hopkins University

5000 11/27/01 5000 3/6/02 UFA Widows and Children's Fund

25 00 7/22/02 25 00 8/9/02 Food For The Poor, Inc


GrAnA -ro4al

for 990-pf return of private foundation...omb no 1545-0052 2@ 02 and g check all that apply initial...

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