returnofprivate foundation mb laura and john arnold...

Return of Private Foundation OMB N o. 1545-0052

16Form 990-PF or Section 4947(axl) Trust Treated as Private Foundation

2016Department of the Treasury ► Do not enter social security numbers on this form as it may be made public.

Internal Revenue Service ► Information about Form 990-PF and Its separate Instructions Is at WWW-1rs.Bov/fonn990pf.

For calendar year 2016 or tax year beginning , and ending

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Name of foundation

LAURA AND JOHN ARNOLD FOUNDATION

A Employer Identification number

26-3241764

Number and street (or P O. box number if mall Is not delivered to street address) Room/sulte B Telephone number

1717 WEST LOOP SOUTH 800 713 - 554-1349

City or town, state or province , country, and ZIP or foreign postal code C if exemption application Is pending , check here ►

HOUSTON , TX 77027-3048

G Check all that apply. L_J Initial return Initial return of a former public charity D 1. Foreign organizations , check here .

Final return L1 Amended return

AddresschangeName change2. Foreign organizations meeting the 85% test

check here and attach computation -

H Check type of organization : X Section 501 (c)(3) exempt private foundation E If private foundation status was terminated0 Section 4947(a)(1) nonexempt charitable trust 0 Other taxable private foundation under section 507(b)(1)(A), check here

I Fair market value of all assets at end of year J Accounting method : L_J Cash Accrual F If the foundation is In a 60-month termination(from Part 11, col. (c), line 16) ^ Other ( specify ) MODIFIED CASH under section 507(b)(1)(B), check here . Ill-0

► $ 1,964 , 280, 0 84 , (Part 1, column (d) must be on cash basis.)

Part I Ana l ys i s o f Revenue an d Expenses (a) Revenue and (b ) Net investment (C)Adjusted net (d) Disbursements(The total of amounts in columns (b). (c), and (d) may notnecessarily equal the amounts In column (a).) expenses per books income income for charitable purposes

(cash basis only)

1 Contributions , gifts, grants , etc., received 183,054 , 864. N/A

2 Check►Q If the foundation is not required to attach Sch 83 Interest on savings and temporary

cash Investments 24,490. 24,446.

4 Dividends and interest from securities . 66,335 , 014. 75 , 586,985, e

5a Gross rents - . . 255,438 . 198,131,

b Net rental income or (loss) -23,906.

6a Net gai n or (loss ) from sale of assets not on line 10 . 23,695 , 127. Ltmaiiiiiiiii^%JI)CN (ITC

Gross sales price for all 159,690,261.b its on line 6a

id 7 Capital gain net income (hoar Part N, line 2) 45,933 , 940. _

cc 8 Net short-term capital gain

9 Income modificationsGross sales less returns

10a and allowances

b Less Cost of goods sold

c Gross profit or (loss) .

11 Other income 10,570 , 464. 7,469,769 . EE STATEMENT1

12 Total . Add lines 1 through 11 283,935 , 397. 129 , 213,271. -

13 Compensation of officers . directors , trustees , etc. 2 , 7 2 0 , 718. 38 , 813. 2,681,906.

14 Other employee salaries and wages 3,666 , 738. 0 . 3,666,738.

15 Pension plans, employee benefits . 679 , 541. 3 , 845. 675,696.

mN

STMT216aLegal fees 172,857. 1,345. 171,512.

b Accounting fees STMT 3 281 , 475. 71 , 182. 172,834.

ul cOtherprofessionalfees STMT4 - 5,497 , 005. 1 , 830,825. 3 , 666,180.

17 Interest . . . . 1,342 , 618. 1 , 342,618. 0.

m 18 Taxes , STMT5 454,655. 967,686. 5,035.

y 19 Depreciation and depletion 175,893. 417,359.

20 Occupancy 1,139 , 477. 210 , 025. 929,452.

Q 21 Travel , conferences , and meetings ,,,,,,,,,,,,,,,,,, 903,633 . 0. 903, 633.

22 Printing and publications 31,527. 0. 31,527.

I 23 Other expenses -• ,, STMT6 470,591. 13 , 345,555 . 461,681.

24 Total operating and administrative

a expenses. Addlines 13through 23 - • 17,536 , 728. 18,229,253 . 13,366,194.

0 25 Contributions , gifts, grants paid . .. -- . .. 176,840 , 978. 176 , 840,978.

26 Total expenses and disbursements.

Add Ones 24 and 25 194,377 , 706. 18 , 229,253. 190,207,172.

27 Subtract line 26 from line 12:

a Excess of revenue over expenses and disbusements - 89,557,691.

b Net investment income sr negative , enter -o-) 110,984,018.

c Adjusted net income cd negative. enter -0-) N/A

623501 11-23-1e LHA For Paperwork Reduction Act Notice , see instructions. rorm vvu-rr tcu to)

G,rm oon-P[/9n1R1 LAURA AND JOHN ARNOLD FOUNDATION 26-3241764 Dsna 9

Balance SheetsAttached schedules and amounts in the description Beginning of year End of year

Part II column should beforendof-year amounts only . ( a) Book Value ( b) Book Value (c) Fair Market Value

I Cash - non-interest-bearing 0.

2 Savings and temporary cash investments 168,210 , 577. 59,876 , 204. 59,876,204.

3 Accounts rece ivable ►Less: allowance for doubtful accounts ►

4 Pledges receivable ►Less: allowance for doubtful accounts ►

5 Grants receivable

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

disqualified persons

7 Othernotesand loans receivable ► ^

Less: allowance for doubtful accounts ►__ _^ , • _____ __ _ ___

8 Inventories for sale or use

y 9 Prepaid expenses and deferred charges

a 10a Investments - U.S. and state government obligations

b Investments - corporate stock STMT 7 464,655 , 269. 532,634 , 521. 532,634,521.

c Investments - corporate bonds STMT 8 185 , 584,388. 305 , 051, 644 . 305,051,644.

11 Investments - land, buildings , and equipment basis ► _ _ __

Less accumulated depreciation ►

_

12 Investments - mortgage loans

13 Investments - other STMT 9 956, 595 , 251. 1 ,055,381,630. 1,055,381,630.

14 Land, buildings, and equipment basis ► 1,226 ,306.

Less accumulated depreciation ► 411,784 . 1,091 , 342. 814,522. 814,522.

15 Other assets (describe 0, SEE STATEMENT 1 0 ) 9,167,503. 10,521 , 563. 10,521,563.

16 Total assets (to be completed by all filers - see the

instructions . Also see p ag e 1 item l 1,785,304,330. 1 , 964,280 , 084, 1,964,280,084.

17 Accounts payable and accrued expenses 664,373. 659,199.

18 Grants payable

o 19 Deferred revenue

20 Loans from officers . directors , trustees , and other disqualified persons

25 21 Mortgages and other notes payable

22 Other liabiliti es (describe ►

23 Total liabilities ( add lines 17 throu g h 22 ) 664 , 373. 659,199.

Foundations that follow SFAS 117 , check here ►and complete lines 24 through 26 and lines 30 and 31.

24 Unrestricted

m 25 Temporarily restricted

m 26 Permanently restricted

cLL

y

Foundations that do not follow SFAS 117 , check here ► LI

and complete lines 27 through 31.

27 Capital stock , trust principal , or current funds 0. 0.

to 28 Paid-in or capital surplus, or land , bldg., and equipment fund 0. 0 .

1 29 Retained earnings, accumulated Income, endowment, or other funds ,,, 1,784 , 639 , 957. 1,963 , 620,885.

Z 30 Total net assets or fund balances 1,784 , 639,957. 1,963,620,885.

31 Total liabilities and net assetstfund balances ... ... .............. 1,785 , 304 , 330 . 1,964,280,084.

Part III Analysis of Changes in Net Assets or Fund Balances

I Total net assets or fund balances at beginning of year - Part II, column (a), One 30

(must agree with end-of-year figure reported on prior year's return) 1 1,784,639,957.

2 Enter amount from Part I, line 27a 2 89,557,691.

3 Other increases not included in line 2 (itemize) ► UNREALIZED GAIN 3 91,974,146.

4 Add lines 1, 2, and3 4 1,966,171,794.

5 Decreases not included in line 2 (itemize) ► PRIOR PERIOD ADJUSTMENT 5 2,550,909.

6 Total net assets or fund balances at end of year (line 4 minus line 5) - Part 11, column (b ) , line 30 ..... 6 1,963, 620,885.

Form 990-PF (2016)

623511 11-23-16

Form 990-PF(2016) LAURA AND JOHN ARNOLD FOUNDATION 26-3241764

Part IV I Capita l Gains and Losses forTa-x on Investment Income(a) List and describe the kind(s) of property sold (e.g., real estate,2-story brick warehouse; or common stock, 200 shs. MLC Co.)

ow acgwre- Pu

D- Donationrchase

(c) Date acquired(mo., day, yr.)

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

la PUBLICLY TRADED SECURITIES (DONATED) D

b PUBLICLY TRADED SECURITIES P

c ALTERNATIVE INVESTMENTS P VARIOUS VARIOUS

d DISPOSAL OF CHARITABLE USE ASSETS P VARIOUS VARIOUS

e FOREIGN CAPITAL GAIN DISTRIBUTIONS P VARIOUS VARIOUS

(e) Gross sales price (f) Depreciation allowed(or allowable)

(g) Cost or other basisplus expense of sale

(h) Gain or (loss)(e) plus (f) minus (g)

a 26,292,440. 24,998,610. 1,293,830.

b 119,827,231. 108,070,511. 11,756,720.

c 20,700,505. 207,909. 20,492,596.

d 317,872. -317,872.

a 12,708,666. 12,708,666.

Complete only for assets showing gain In column (h) and owned by the foundation on 12/31/69 (I) Gains (Col. (h) gain minus

(1) F.M.V. as of 12/31/69(j) Adjusted basisas of 12/31/69

(k) Excess of col. (i)over col. (j), if any

col. (k), but not less than -0-) orLosses (from cal. (h))

a 1,293,830.

b 11,756,720.

c 20,492,596.

d -317,872.

e 12,708,666.

If gain, also enter in Part I, line 72 Capital gain net income or (net capital loss) 1 If (loss), enter -0- in Part I, line 7 2 45,933,940.

3 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6):If gain, also enter in Part I, line 8, column (c).If ( loss ), enter -0- in Part I line 8 3 N/A

Part V Vuaftricat ( on under Section 4tKu(e) Tor Reaucea fi ax on Net investment income

(For optional use by domestic private foundations subject to the section 4940(a) tax on net investment income.)

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

Was the foundation liable for the section 4942 tax on the distributable amount of any year in the base period? _ . _ [] Yes El No

If 'Yes' the foundation does not aualdv under section 4940(e). Do not comDlete this Dart1 Enter the appropriate amount in each column for each year, see the instructions before making any entries.

Base period yearsCalendar year (or tax year beginning in)

(b)Adjusted qualifying distributions

(c)Net value of noncharitable-use assets

Distribution ratio(col. (b) divided by col. (c))

2015 120,073,022. 1,754,542,691. .068436

2014 93,974,871. 1,671,688,368. .056216

2013 92,025,804. 1,436,461,461. .064064

2012 40,232,564. 935,508,759. .043006

2011 43,955,046. 738,335,584. .059533

2 Total of line 1, column (d), 2 .291255

3 Average distribution ratio for the 5-year base period - divide the total on line 2 by 5,

the foundation has been In existence If less than 5 years ...................... .........

or by the number of years

............ ..... .......................... 3 .058251

4 Enter the net value of noncharitable-use assets for 2016 from Part X, fine 5 ...... „ , ,.. ............ .......... 4 11796,108,530.

5 Multiply line 4 by line 3 . . . ... .... 5 104,625,118.

6 Enter 1% of net investment income (1% of Part I, line 27b) .. ... „ 8 1,109 , 840.

7 Addlines5and6 7 105,734,958.

8 Enter qualifying distributions from Part XII, One 4 . „ .... ... ,_ .. „ . .. . . . ....... ............ 8 191,444,687o

If line 8 is equal to or greater than One 7, check the box in Part VI, fine 1b, and complete that part using a 1% tax rate.See the Part VI instructions.

623521 11-23-16 Form 990-PF (2016)

Form 990-PF ( 2016 ) LAURA AND JOHN ARNOLD FOUNDATION 26-3241764 Pa g e 4Part I cise Tax Based on investment Income (Section 4940(a) , 4940(e) , or 4948 - see instructionsto Exempt operating foundations described in section 4940(d)(2), check here ► L_I and enter "N/A' on line 1.

Date of ruling or determination letter. (attach copy of letter If necessary-see Instructions)

b Domestic foundations that meet the section 4940(e) requirements in Part V, check here ►0 and enter 1%

of Part I, line 27b.

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

2 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-)

3 Add lines 1 and 2

4 Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-)

5 Tax based on Investment Income . Subtract line 4 from line 3. If zero or less, enter -0-

6 Credits/Payments:

a 2016 estimated tax payments and 2015 overpayment credited to 2016 6a 1,314,724.

b Exempt foreign organizations - tax withheld at source 6b

c Tax paid with application for extension of time to file (Form 8868) . . . 6c

d Backup withholding erroneously withheld . . 6d

7 Total credits and payments. Add lines 6a through 6d

8 Enter any penalty for underpayment of estimated tax. Check here 0 if Form 2220 is attached

9 Tax due . If the total of lines 5 and 8 is more than line 7, enter amount owed .

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

11 Enter the amount of line 10 to be: Credited to 2017 estimated tax ► 450, 000.1 Re

430,000.

►

1,109,840.

2 0.

3 1,109,840.

4 0.

5 1,109,840.

Is During the tax year, did the foundation attempt to influence any national, state, or local legislation or did it participate or intervene in

any political campaign? . .

b Did it spend more than $ 100 during the year (either directly or indirectly) for political purposes ( see instructions for the definition)?

If the answer is 'Yes ' to 1a or 1b , attach a detailed description of the activities and copies of any materials published or

distributed by the foundation in connection with the activities.

c Did the foundation file Form 1120 -POL for this year? . .

d Enter the amount ( if any) of tax on political expenditures ( section 4955 ) imposed during the year.

( 1) On the foundation . ► $ 0. (2) On foundation managers. No- $ 0.

e Enter the reimbursement ( if any) paid by the foundation during the year for political expenditure tax imposed on foundation

managers. ► $ 0.

2 Has the foundation engaged in any activities that have not previously been reported to the IRS?

If 'Yes,' attach a detailed description of the activities.

3 Has the foundation made any changes , not previously reported to the IRS , in its governing instrument, articles of incorporation, or

bylaws, or other similar instruments? If 'Yes,' attach a conformed copy of the changes ATTACHMENT C

4a Did the foundation have unrelated business gross income of $ 1,000 or more during the year?

b If 'Yes; has it filed a tax return on Form 990 -T for this year?

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

If 'Yes,' attach the statement required by 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 state legislation that effectively amends the governing instrument so that no mandatory directions that conflict with the state law

remain in the governing instrument?

7 Did the foundation have at least $5,000 in assets at any time during the year? If 'Yes,' complete Part ll, col. (c), and Part XV

8a Enter the states to which the foundation reports or with which It Is registered (see Instructions) ►CA, NY, TX, DC, OK

b If the answer is 'Yes' to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney General (or designate)

of each state as required by General Instruction G? If'No,' attach explanation ATTACHMENT B

9 Is the foundation claiming status as a private operating foundation within the meaning of section 4942(j)(3) or 4942(j)(5) for calendar

year 2016 or the taxable year beginning in 2016 (see instructions for Part XIV)? If 'Yes,' complete Part YJV

10 Did any persons become substantial contributors during the tax year? it ryes.' attach a schedule listing their names and addresses

1,744,724.

59.

634 ,825.

184,825.

Yes No

Is X

lb X

Ic X

2 X

3 X

I& X

lb

5

.... 8b x

9 X

10 x

Form 990-PF (2016)

623531 11-23-1e

990-PF (2016) LAURA AND JOHN ARNOLD FOUNDATION 26-3241764

(continued)

11 At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the meaning of

section 512(b)(13)? If *Yes, attach schedule (see instructions)SEE STATEMENT 11 SEE STATEMENT 12 STMT 13

12 Did the foundation make a distribution to a donor advised fund over which the foundation or a disqualified person had advisory privileges?

No

If 'Yes, attach statement (see instructions) _ 12 x

13 Did the foundation comply with the public Inspection requirements for its annual returns and exemption application? 13 X

Website address ► WWW. ARNOLDFOUNDATION. ORG

14 The books are in care of ► ELIZABETH BANKS Telephone 713-554-1349

Located at ► 1717 WEST LOOP SOUTH, SUITE 1800, HOUSTON, TX ZIP+4

15 Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041 - Check here ►and enter the amount of tax-exempt interest received or accrued during the year ► 15 N/A

16 At any time during calendar year 2016, did the foundation have an interest in or a signature or other authority over a bank, No

securities, or other financial account in a foreign country? _101

x

See the instructions for exceptions and filing requirements for FinCEN Form 114. If 'Yes," enter the name of the

File Form 4720 If any item Is checked In the "Yes" column , unless an exception applies.

Is During the year did the foundation (either directly or indirectly):

(1) Engage in the sale or exchange , or leasing of property with a disqualified person? Yes 0 No

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

a disqualified person? 0 Yes E No

(3) Furnish goods , services , or facilities to (or accept them from ) a disqualified person? El Yes EJ No

(4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person? 0 Yes E1 No

(5) Transfer any income or assets to a disqualified person (or make any of either available

for the benefit or use of a disqualified person)? _ O Yes No

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

if the foundation agreed to make a grant to or to employ the official for a period after

termination of government service , if terminating within 90 days .) . 0 Yes No

b If any answer is' Yes' to la ( 1)-(6), did any of the acts fail to qualify under the exceptions described in Regulations

section 53 .4941(d )-3 or in a current notice regarding disaster assistance ( see instructions)? .

Organizations relying on a current notice regarding disaster assistance check here ►0c Did the foundation engage in a prior year in any of the acts described in la, other than excepted acts , that were not corrected

before the first day of the tax year beginning in 2016? .. .

2 Taxes on failure to distribute income ( section 4942 ) ( does not apply for years the foundation was a private operating foundation

defined in section 4942 (j)(3) or 4942 (1)(5)):

a At the end of tax year 2016 , did the foundation have any undistributed income (lines 6d and 6e, Part XIII) for tax year(s) beginning

before 2016? Q Yes No

If 'Yes, list the years►b Are there any years listed in 2a for which the foundation is not applying the provisions of section 4942 (a)(2) (relating to incorrect

valuation of assets ) to the year's undistributed income? ( If apptpng section 4942 (a)(2) to all years listed , answer 'No* and attach

statement - see instructions.) N/A

c If the provisions of section 4942 (a)(2) are being applied to any of the years listed in 2a, list the years here.

► ,

3a Did the foundation hold more than a 2% direct or Indirect Interest In any business enterprise at any time

during the year? .................... .................................................. ...................................................... 0 Yes 0 No

b If 'Yes, did It have excess business holdings In 2016 as a result of (1)any purchase by the foundation or disqualified persons after

May 26, 1969; (2) the lapse of the 5-year period (or longer period approved by the Commissioner under section 4943(c)(7)) to dispose

of holdings acquired by gift or bequest; or (3) the lapse of the 10-, 15-, or 20-year first phase holding period? (Use Schedule C,

Form 4720, to determine if the foundation had excess business holdings in 2016.) . „ . ,

4a Did the foundation invest during the year any amount in a manner that would jeopardize its charitable purposes? ., ....

b Did the foundation make any investment in a prior year (but after December 31, 1969) that could jeopardize its charitable purpose that

had not been removed from jeopardy before the first day of the tax year beginning in 2016?

X

1 lcI IX

q]

..13b I-I_XJ

Form 990-PF (2016)

623541 11-23-16

Form 990-PF(2016) LAURA AND JOHN ARNOLD FOUNDATION 2 6-3241 764

5a During the year did the foundation pay or incur any amount to:

(1) Carry on propaganda , or otherwise attempt to influence legislation (section 4945 (e))?. _ E] Yes El No

(2) Influence the outcome of any specific public election ( see section 4955 ); or to carry on , directly or indirectly,

any voter registration drive? . . . . 0 Yes 0 No

(3) Provide a grant to an individual for travel, study, or other similar purposes ? . El Yes 0 No

(4) Provide a grant to an organization other than a charitable , etc., organization described in section

4945 (d)(4)(A)? (see instructions ) 0 Yes El No(5) Provide for any purpose other than religious , charitable , scientific, literary, or educational purposes, or for

the prevention of cruelty to children or animals? 0 Yes Nob If any answer is 'Yes' to 5a(1)-(5 ), did any of the transactions fail to qualify under the exceptions described in Regulations

section 53 .4945 or in a current notice regarding disaster assistance ( see instructions)?

Organizations relying on a current notice regarding disaster assistance check here .. _ ►0c If the answer is'Yes' to question 5a(4), does the foundation claim exemption from the tax because it maintained

x

expenditure responsibility for the grant? SEE STATEMENT 15 Yes El No

If 'Yes,' attach the statement required by Regulations section 53.4945-5(d).

6a Did the foundation , during the year, receive any funds, directly or indirectly, to pay premiums on

a personal benefit contract? 0 Yes No _

b Did the foundation, during the year, pay premiums, directly or indirectly, on a personal benefit contract? . . .. 6b x

If 'Yes' to 6b, file Form 8870.

7a At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction? _ O Yes 0 No

:::Pb If 'Yes' did the foundation receive any proceeds or have any net income attributable to the transaction? N/A 7b

art Information About Officers , Directors , Trustees, Foundation Managers, HighlyPaid Employees , and Contractors

1 List all officers , directors , trustees, foundation managers and their compensation.

(a) Name and addressb) Title, and average

hours per week devotedto position

(c) Compensation(If not paid ,onto r-0-)

Conetbutlons toemployee benefit Diana

coin erredanddnsabn

(e) Ex enseaccount, otherallowances--

SEE STATEMENT 14 2,720,718, 144, 294, 0.

2 Compensation of five hiahest-paid emDlovees (other than those included on line 1 ). If none . enter " NONE.-

(a) Name and address of each employee paid more than $50,000 (b)hoursaperr weekgedevoted to position

(c) Compensation ampW)Contnbubonsto

dd n ifit i Btom ensaoan

account,otherallowances

PETER KATZ - 3 COLUMBUS CIRCLE , DIRECTOR - CRIMINAL JUSTICE

SUITE 1601 , NEW YORK , NY 10019 40.00 257,500. 12 , 866. 0.

NEERAV KINOSLAND - 133 NOE STREET , SENIOR FELLOW - EDUCATION

SAN FRANCISCO , CA 94114 40 . 00 215 , 625, 15 , 768. 0,

JOANNA WEISS - 3 COLUMBUS CIRCLE , D IRECTOR - CRIMINAL JUSTICE

SUITE 1601 , NEW YORK, NY 10019 40 . 00 168 , 000. 16 , 046. 0,

ROSEMARY NIDIRY - 3 COLUMBUS CIRCLE , D IRECTOR - CRIMINAL JUSTICE

SUITE 1601 , NEW YORK, NY 10019 40.00 164 , 840. 8 , 085, 0.

VIRGINIA BERSCH - 3 COLUMBUS CIRCLE, IRECTOR - CRIMINAL JUSTICE

SUITE 1601 , NEW YORK , NY 10019 40.00 145,600. 15,641. 0.

Total number of other emp loyees paid over $50,000 ► 28

Form 990-PF (2016)

623551 11-23-16

Form 990-PF ( 2016 ) LAURA AND JOHN ARNOLD FOUNDATION 26-3241764 Pa ge 7art Vill Information About Officers, Directors , Trustees, Foundation Managers, Highly

Paid Employees , and Contractors (continued)

3 Five highest -paid Independent contractors for professional services. If none , enter "NONE."

(a) Name and address of each person paid more than $50,000 (b) Type of service (c) Compensation

LUMINOSITY, INC. - 1767 TANGLEWOOD DRIVE NE,

ST. PETERSBURG, FL 33702 CONSULTING - CRIMINAL JUSTICE 1,209,871.

MORGAN STANLEY INVESTMENT MANAGEMENT

522 5TH AVENUE, NEW YORK, NY 10036 CONSULTING - INV. MANAGEMENT 798,405.

MORGAN CREEK CAPITAL MANAGEMENT, LLC - 301 W.

BARBEE CHAPEL RD, CHAPEL HILL, NC 27517 CONSULTING - INV. MANAGEMENT 591,733.

THE INCITE AGENCY - 1140 CONNECTICUT AVE NW,

SUITE 800, WASHINGTON, DC 20036 CONSULTING - COMMUNICATIONS 502,946.

FIDELITY INSTITUTIONAL ASSET MANAGEMENT LLC

24671 NETWORK PLACE, CHICAGO, IL 60673 ONSULTING - INV. MANAGEMENT 208,994.

Total number of others receivin g over $50,000 for p rofessional services ► 12

Part IA-A Summary of Direct tinantaoue Activities

List the foundation's four largest direct charitable activities during the tax year. Include relevant statistical information such as thenumber of organizations and other beneficiaries served, conferences convened, research papers produced, etc. Expenses

SEE STATEMENT 16 2,209,235,

2

SEE STATEMENT 17 723,050.

3


4


I Part IA-15 Summary-of Program-Related InvestmentsDescribe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2. Amount

1


2 SOCIAL FINANCE CT: TO SUPPORT THE CONNECTICUT FAMILY

STABILITY PAY FOR SUCCESS PROJECT. THE PROGRAM-RELATED

INVESTMENT WAS MADE IN THE FORM OF A CREDIT AGREEMENT. 134,578.

All other program-related investments. See instructions.

3

Total. Add lines 1 through 3 ► 846 061.

Form 990-PF (2016)

623581 11-23-16

Form 990-PF (2016) LAURA AND JOHN ARNOLD FOUNDATION 26-3241764

Part X Minimum Investment Return (All domestic foundations must complete this part. Foreign foundations, see instructions.)

1 Fair market value of assets not used (or held for use) directly in carrying out charitable, etc., purposes: _

a Average monthly fair market value of securities 1a 776 ,141, 544.

b Average of monthly cash balances _ lb 74, 693, 573.

c Fair market value of all other assets 1c 972,625,320.

d Total (addlinesla,b,andc) 1d 1,823,460,437.

e Reduction claimed for blockage or other factors reported on lines la and

1c (attach detailed explanation) . le 0.

2 Acquisition indebtedness applicable to line 1 assets 2 0.

3 Subtract line 2 from line 1 d 3 1,823,460,437.

4 Cash deemed held for charitable activities. Enter 11/2% of line 3 (for greater amount, see instructions) _ 4 27,351,907.

5 Net value of noncharitable -use assets . Subtract line 4 from line 3. Enter here and on Part V, line 4 5 1,796,108,530.

6 Minimum Investment return . Enter 5% of line 5 6 89,805,427.

Part XI Distributable Amount (see instructions) (Section 4942(1)(3) and (1)(5) private operating foundations and certain

foreign organizations check here ► 0 and do not complete this part)

1 Minimum investment return from Part X, line 6 1 89,805,427.

2a Tax on investment income for 2016 from Part VI, line 5 . . . 2a 1,109,840 .

b Income tax for 2016. (This does not include the tax from Part VI.) 2b 398,341.

c Add lines 2a and 2b 2c 1,508,181.

3 Distributable amount before adjustments. Subtract line 2c from line 1 . . . .. 3 88,297,246.

4 Recoveries of amounts treated as qualifying distributions . . 4 1,686,477.

5 Addlines3and4 5 89,983,723,

6 Deduction from distributable amount (see instructions ) _ 6 0.

7 Distributable amount as ad justed. Subtract line 6 from line 5. Enter here and on PartXIII, line 1 7 89,983,723.

rP_ar_t_W Qualifying Distributions (see instructions)

1 Amounts paid (including administrative expenses) to accomplish charitable, etc., purposes:

a Expenses, contributions, gifts, etc. - total from Part I, column (d), line 26 1s 190,207,172.

b Program-related investments - total from Part IX-B lb 846,061.

2 Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc., purposes . . 2 391,454.

3 Amounts set aside for specific charitable projects that satisfy the:

a Suitability test (prior IRS approval required) 3a

b Cash distribution test (attach the required schedule) 3b

4 Qualifying distributions . Add lines la through 3b. Enter here and on Part V, line 8, and Part XIII, line 4 4 191, 444 , 687.

5 Foundations that quality under section 4940(e) for the reduced rate of tax on net investment

income. Enter 1% of Part 1, line 27b ., . .. _ 5 1,109,840.

6 Adjusted qualifying distributions . Subtract line 5 from line 4 6 190,334,847.

Note: The amount on line 6 will be used in Part V, column (b), in subsequent years when calculating whether the foundation q

4940(e) reduction of tax in those years.

ualities for the section

Form 990-PF (2016)

623571 11-23-16


Part XIII Undistributed Income (see instructions)

(a) (b) (c) (d)Corpus Years prior to 2015 2015 2016

1 Distributable amount for 2016 from Part XI,

line 7

2 Undistributed Income , if any , as of the and of 2018

a Enter amount for 2015 only

b Total for prior years:

3 Excess distributions carryover, if any, to 2016:

a From 2011 7,500.

b From 2012

cFrom 2013 23,761,103.

dFrom 2014 9,880,004.

a From 2015 33,614,593,

f Total of lines 3athroughe 67,263,200

4 Qualifying distributions for 2016 from

Part XII, line 4: ► $ 191, 444,687.

a Applied to 2015, but not more than line 2a

bApplied to undistributed income of prior

years (Election required - see Instructions)

c Treated as distributions out of corpus

(Election required - see Instructions) 0

d Applied to 2016 distributable amount

e Remaining amount distributed out of corpus 101,460,964

5 Excess distributions carryover applied to 2016 0(if an amount appears in column (d), the same amount

must be shown In column (a).)

6 Enter the net total of each column asindicated below:

a Corpus Add lines 3f , 4c, and 4e. Subtract line 5 168,724,164

b Prior years' undistributed income. Subtract

line 4b from line 2b

c Enter the amount of prior years'undistributed income for which a notice ofdeficiency has been issued, or on whichthe section 4942(a) tax has been previouslyassessed

d Subtract line 6c from line 6b. Taxable

amount - see Instructionse Undistributed income for 2015. Subtract line

4a from line 2a. Taxable amount - see instr.

f Undistributed income for 2016. Subtract

lines 4d and 5 from line 1. This amount must

be distributed In 2017

7 Amounts treated as distributions out of

corpus to satisfy requirements Imposed by

section 170(b)(1)(F) or 4942(g)(3) (Election

may be required - see Instructions) 0

8 Excess distributions carryover from 2011

not applied on line 5 or line 7 7,5W

9 Excess distributions carryover to 2017.

Subtract lines 7 and 8 from line 6a ... .,. 168,716,664,

10 Analysis of hne 9:

a Excess from 2012

b Excess from 2013 23,761,103.

c Excess from 2014 9,880,004.

dExcess from 2015„ 33,614 593.

e Excess from 2016 101,460,964.

623581 11-23-16

89,983,723,

0

0.

0.

89,983,723.

0

0.

0.

0.

0.

0.

Form 990-PF (2016)


art Private Operating Foundations (see instructions and Part VII-A, question 9) N/A

1 a If the foundation has received a ruling or determination letter that it is a private operating

foundation, and the ruling is effective for 2016, enter the date of the ruling ►b Check box to indicate whether the foundation is a private operating foundation described in section L_J 4942 ( j) (3 ) or 4942(j )(5 )

2 a Enter the lesser of the adjusted net Tax year Prior 3 years

income from Part I or the minimum ( a ) 201 6 0 ( c ) 20 14 20 13 (e) Total

investment return from Part X for

each year listed

b 85% of line 2a

c Qualifying distributions from Part XII,

line 4 for each year listed

d Amounts included in line 2c not

used directly for active conduct of

exempt activities _

a Qualifying distributions made directly

for active conduct of exempt activities.

Subtract line 2d from line 2cComplete 3a, b, or c for thealternative test relied upon:

a 'Assets' alternative test - enter.(1) Value of all assets

(2) Value of assets qualifyingunder section 4942(f)(3)(B)(i)

b 'Endowment' alternative test - enter2/3 of minimum investment returnshown in Part X, line 6 for each yearlisted

c 'Support' alternative test - enter.

(1) Total support other than grossinvestment income (interest,dividends, rents, payments onsecurities loans (section512(a)(5)), or royalties)

(2) Support from general publicand 5 or more exemptorganizations as provided insection 4942(j)(3)(B)(iii)

(3) Largest amount of support from

an exempt organization

( 4 ) Gross investment incomePart Xv Supplementary Information (Complete this part only if the foundation had $5,000 or more in assets

at any time during the year-see instructions.)

1 Information Regarding Foundation Managers:

a List any managers of the foundation who have contributed more than 2% of the total contributions received by the foundation before the close of any taxyear ( but only if they have contributed more than $5,000 ). (See section 507(d)(2).)

SEE STATEMENT 21

b List any managers of the foundation who own 10% or more of the stock of a corporation (or an equally large portion of the ownership of a partnership orother entity ) of which the foundation has a 10% or greater Interest.

SEE STATEMENT 22

2 Information R, e arding Contribution , Grant, Gift, Loan, Scholarship , etc., Programs:

Check here ► X If the foundation only makes contributions to preselected charitable organizations and does not accept unsolicited requests for funds. Ifthe foundation makes gifts, grants , etc. (see Instructions ) to Individuals o r o rga nizatio n s u nder o th er con d itio ns, complete item s 2a, b, c, and d.

a The name, address , and telephone number or e-mail address of the person to whom applications should be addressed:

b The form in which applications should be submitted and information and materials they should include:

c Any submission deadlines:

d Any restrictions or limitabons on awards, such as by geographical areas, charitable fields, kinds of institutions, or other factors:

623601 11 -23-16 Form 990-PF (2016)


3 Grants and Contributions Paid During the Year or ADDroved for Future Payment

Recipient If recipient is an individual,show any relationship to foundation Purpose of grant or

Name and address (home or business ) any foundation manageror substantial contributor

status ofrecipient

contribution Amount

a Paid during the year

SEE ATTACHMENT A

176,840,978.

Total 110- 3a 176,840,978.

b Approved for future payment

NONE

Total .. ... .. . ...... ..... ... ................... .... .... .. .... .. ► 3b 1 0.Form 990-PF (2016)

623611 11-23-16

Form 990-PF (2016) LAURA AND JOHN ARNOLD FOUNDATION 26-3241764

Part - Analysis of Income-Producing Activities

Enter gross amounts unless otherwise indicated. Unrelate d business income Exclu ded by section 512, 513, or 514 (a)

1 Program service revenue:

(a)Businesscode

(b)Amount

EX. .slO"code

(d )Amount

Related or exemptfunction income

ab

cd

ef

g Fees and contracts from government agencies

2 Membership dues and assessments

3 Interest on savings and temporary cash

investments 14 24,446. 44.

4 Dividends and interest from securities 14 66,335,014.

5 Net rental income or (loss) from real estate:

a Debt-financed property

b Not debt-financed property 16 -23,906.

6 Net rental income or (loss) from personal

property

7 Other investment income 18 8,883,987.

8 Gain or (loss) from sales of assets other

than inventory 18 23,695,127.

9 Net income or (loss) from special events

10 Gross profit or (loss) from sales of inventory

11 Other revenue:

a RETURNED GRANTS 1,686,477.

b

cd

e12 Subtotal. Add columns (b), (d), and (e) 0. 98,914,668. 1,686,5217

13 Total. Add line 12, columns (b), (d), and (e) 13 100,601,189.

(See worksheet in line 13 instructions to verify calculations.)

art -B Relationship of Activities to the Accomplishment of Exempt Purposes

Line No .y

Explain below how each activity for which income is reported in column (e) of Part XVI-A contributed importantly to the accomplishment ofthe foundation's exempt purposes (other than by providing funds for such purposes).

3 SECTION 103 TAX EXEMPT INTEREST INCOME

11A RETURNED GRANTS

62.1621 11-23-16 Form 990-PF (2016)

Form 990-PF (2016 LAURA AND JOHN ARNOLD FOUNDATION 26-3241764 Pag e 13

art XVII Information Regarding Transfers To and Transactions and Relationships With Noncharitable

1 Did the organ ization directly or indirectly engage in any of the following with any other organization described in section 501(c) of Yes No

the Code (other than section 501 (c)(3) organizations ) or in section 527, relating to political organizations?

a Transfers from the reporting foundation to a noncharitable exempt organization of.

(1) Cash 18 ( l ) x

(2) Other assets la ( 2 ) x

b Other transactions:

(1) Sales of assets to a noncharitable exempt organization lb ( l ) x

(2) Purchases of assets from a noncharltable exempt organization _ lb (2 )1 x

(3) Rental of facilities , equipment, or other assets _ b (3 ) X

(4) Reimbursement arrangements x

(5) Loans or loan guarantees

p

(6) Performance of services or membership or fundraising solicitations

c Sharing of facilities, equipment , mailing lists, other assets, or paid employees x

d If the answer to any of the above is 'Yes; complete the following schedule . Column ( b) should always show the fair market value of the goods, other assets,

or services given by the reporting foundation . If the foundation received less than fair market value in any transaction or sharing arrangement, show In

column (d) the value of the goods, other assets , or services received.

(a)Line no (b) Amount Involved (c) Name of noncnarltaule exempt organization (a) Description of transfers, transactions. and sharing wangaments

Al 250,000. RICAN SOCIETY OF CRIME LAB DIRECTORS SEE STATEMENT 23

Al 131,264. SSOCIATION FOR COMPETITIVE TECHNOLOGY

Al 119,300. ATIONAL ASSOCIATION FOR PUBLIC DEFENSE

C 0. CTION NOW INITIATIVE

2a Is the foundation directly or indirectly affiliated with, or related to, one or more tax-exempt organizations described

in section 501(c) of the Code (other than section 501(c)(3 )) or in section 527? Yes 0 No

h if 'Yac'rmmnlota thn fnllnwmn zr..hedule

(a) Name of organization (b) Type of organization (c) Description of relationship

ACTION NOW INITIATIVE 01(C)(4) SEE STATEMENT 24

signHere

Paid

Under pen lea I hedar e that I have e

and belief, It I. mpbte. Declm

Signature o o e or trustee

Prinufype preparer's name

JENNIFER BECKER HARRIS

Ined this return, Including accompanying ochedules and statements. and to the best of my knowledge

on of prepmer (other than taxpayer) Is based an all Information of which prepwer has any knowledge. return with eia paprorshown blew (ace lnelr,)9

-

Dat

Preparer's signature

1JENNIFER BECKER

Schedule B I Schedule of Contributors(Form 990, 990-EZ,or 990-PF) 1110- Attach to Form 990, Form 990-EZ, or Form 990-PF.

Department of the Treasury 11110- Information about Schedule B (Form 990, 990-EZ, or 990-PF) and

Internal Revenue Service Its Instructions Is at www.lrs.govlform990 . 2016Name of the organization


0MB No. 1545-0047

Employer Identification number

26-3241764

Organization type (check one):

Filers of Section:

Form 990 or 990-EZ = 501 (c)( ) (enter number) organization

4947(a)(1) nonexempt charitable trust not treated as a private foundation

527 political organization

Form 990•PF 501(c)(3) exempt private foundation

4947(a)(1) nonexempt charitable trust treated as a private foundation

0 501(c)(3) taxable private foundation

Check if your organization is covered by the General Rule or a Special Rule.

Note : Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.

General Rule

0 For an organization filing Form 990, 990•FZ, or 990-PF that received, during the year, contributions totaling $5,000 or more (in money orproperty) from any one contributor. Complete Parts I and II. See instructions for determining a contributor's total contributions.

Special Rules

O For an organization described in section 501 (c)(3) filing Form 990 or 990-EZ that met the 33 1/3% support test of the regulations undersections 509(a)(1) and 170 (b)(1)(A)(vi), that checked Schedule A (Form 990 or 990-FZ), Part II, line 13 , 16a, or 16b, and that received fromany one contributor , during the year, total contributions of the greater of (1) $5 ,000 or (2) 2% of the amount on () Form 990 , Part VIII, line 1h,or a Form 990•FZ, line 1. Complete Parts I and II.

For an organization described in section 501 (c)(7),(8), or (10) filing Form 990 or 990•EZ that rece ived from any one contributor , during theyear, total contributions of more than $ 1,000 exclusively for religious , charitable , scientific , literary , or educational purposes, or forthe prevention of cruelty to children or animals . Complete Parts I, II, and III.

a

Caution: An organization that isn't covered by the General Rule and/or the Special Rules doesn't file Schedule B (Form 990, 990-EZ, or 990.PF),

but it must answer 'No' on Part IV, line 2, of its Form 990; or check the box on line H of its Form 990-EZ or on its Form 990-PF, Part 1, line 2, to

certify that it doesn 't meet the filing requirements of Schedule B (Form 990 , 990-EZ, or 990-PF).

LHA For Paperwork Reduction Act Notice , see the Instructions for Form 990, 990-EZ, or 990-PF. Schedule B (Form 990, 990-EZ, or 990-PF ) (2016)

For an organization described in section 501 (c)(7), (8), or (10) filing Form 990 or 990•EZ that received from any one contributor, during theyear, contributions exclusively for religious, charitable, etc., purposes, but no such contributions totaled more than $1,000. If this box

Is checked, enter here the total contributions that were received during the year for an exclusively religious, charitable, etc.,

purpose. Don't complete any of the parts unless the General Rule applies to this organization because It received nonexcluslvety

religious, charitable, etc., contributions totaling $5,000 or more during the year ,,,,,,,,,, , .•„ ,•,,, ,,,,,•,,,,,,, 10. $

623451 10-18-16

Schedule B (Form 990, 990-EZ, or

Name of organization


Employer Identification number

26-3241764

Part 17 Contributors (See instructions). Use duplicate copies of Part I if additional space is needed.

(a)

No.

(b)

Name, address, and ZIP + 4

(c)

Total contributions(d)

Type of contribution

1 JOHN D. AND LAURA E. ARNOLD Person X

1717 WEST LOOP SOUTH, SUITE 1800 $ 183, 054 ,864 .

Payroll Q

Noncash El

HOUSTON, TX 77027- 3048(Complete Part II for

noncash contributions.)

(a)

No.(b)

Name, address , and ZIP + 4(c)



Person El

$

Payroll 0Noncash Q

(Complete Part II fornoncash contributions.)

(a)

No.

(b)

Name, address , and ZIP + 4(c)

Total contributions

(d)


Person 0

$

Payroll 0Noncash Q


(a)

No.

(b)

Name, address , and ZIP + 4

(c)



Person 0

$

Payroll ONoncash Q

(Complete Part II for

noncash contributions.)

(a)

No.

(b)

Name, address, and ZIP + 4(c)



Person 0

$

Payroll Q

Noncash Q


(a)

No.

(b)

Name, address, and ZIP + 4

(c)



Person El

$

Payroll 0Noncash Q


arus9 in_ I R-IR Schedule B (Form 990.990-EZ. or 990- FI12016

Schedule B (Form 990, 990-EZ, or 990-PF) (2016)N

Page 3en M

LAURA AND JOHN ARNOLD FOUNDATION 26-3241764

D^.4 11 kinnt. ch Drnnorty [Qeo ::ge.a,,:,-*e......ie^ ..f 0^,4 n h .+.+,,..n^: ve AsaL..._ .J ..................r.....^ ',,......^... ... ^^..,^ ...r...., r...... o..., .. ^...........o. pro. Q ,, „^^..^,..

(a)No.

from

Part I

(b)Description of noncash property given

(c)

FMV (or estimate)

(See instructions )

(d)Date received

INTERNATIONAL AND CORPORATE BONDS1

$ 133,054,8 64. VARIOUS

(a)

fromPart I

Description of noncash property given

(c)

FMV (or estimate)

(See Instructions)Date received

(a)No.

from

Part I

(b)Description of noncash property given

(c)

FMV (or estimate)(See Instructions)

(d)Date received

(a)

from

Part IDescription of noncash property given

(c)

FMV (or estimate)


(a)

from


(c)

FMV (or estimate )


(a)

from


(c)

FMV (or

(SeeIn)Instructions)Date received

arum in_^a_ ^a Schedule B (Form 990 . 990-Q. or 990-PA (20161

Schedule B (Form 990 , 990-EZ, or'Til


a ; Exclusively re l igious , C arl 8 e , e tc., Con I U ionorganizBones esin secti on ^r , , or tiu) 8 tota l more m an *1 , UUU or-_ -' the year from any one contributor . Complete columns (a) through ( e) and the following line entry. For organizations ► $

completing Part III, enter the total of exclusively religious , charitable , etc.. contributions of $1 ,000 or less for the year. (Enter this info once)Use duplicate conies of Part Ill if additional space is needed.

(a) No.fromPart

(b) Purpose of gift (c) Use of gift (d) Description of how gift is held

(e) Transfer of gift

Transferee's name, address , and ZIP + 4 Relationship of transferor to transferee

a No.from

IPart(b) Purpose of gift (c) Use of gift (d) Description of how gift Is held


Transferee's name, address, and ZIP + 4 Relationship of transferor to transferee

(a) No.fromPart

(b) Purpose of gift (c) Use of gift (d) Description of how gift is held


Transferee's name, address , and ZIP + 4 Relationship of transferor to transferee

7714o.fromPart I

(b) Purpose of gift (c) Use of gift (d) Description of how gift Is held


Transferee's name, address , and ZIP + 4 Relationshi of transferor to transferee

623454 10-18 - 16 Schedule B (Form 990 , 990-0, or 990PF ) (2016)


FORM 990-PF OTHER INCOME STATEMENT 1

DESCRIPTION

SEC 988 GAIN (LOSS)EQUITY PARTNERSHIP INVESTMENTSSUBPART F INCOMENON-DIVIDEND DISTRIBUTIONSRETURNED GRANTS

(A) (B)REVENUE NET INVEST-

PER BOOKS MENT INCOME

- 499,221. -499,221.

9,127, 368. 5 , 604,674.

0. 2,364,316.

255,840. 0.

1,686 ,477. 0.

TOTAL TO FORM 990-PF, PART I, LINE 11 10,570,464

(C)ADJUSTED

NET INCOME

7,469,769.

FORM 990-PF LEGAL FEES STATEMENT 2

(A) (B) (C) (D)EXPENSES NET INVEST- ADJUSTED CHARITABLE

DESCRIPTION PER BOOKS MENT INCOME NET INCOME PURPOSES

LEGAL FEES 172,857. 1,345. 171,512.

TO FM 990-PF, PG 1, LN 16A 172,857. 1,345. 171,512,

FORM 990-PF ACCOUNTING FEES STATEMENT 3

(A) (B) (C) (D)EXPENSES NET INVEST- ADJUSTED CHARITABLE

DESCRIPTION PER BOOKS MENT INCOME NET INCOME PURPOSES

TAX PREPARATION 261 ,166. 71,182. 152,525.

PAYROLL AND BENEFITSSERVICE 20,309. 0. 20,309.

TO FORM 990-PF, PG 1, LN 16B 281,475. 71,182. 172,834.

STATEMENT(S) 1, 2, 3


FORM 990-PF OTHER PROFESSIONAL FEES STATEMENT 4

(A)EXPENSES

DESCRIPTION PER BOOKS

CONSULTING FOR CHARITABLEACTIVITIES 3,482,608.

INVESTMENT MANAGEMENT FEES 1,821,349.

OTHER PROFESSIONAL FEES 192,988.

OTC BROKERAGE FEES 60.

TO FORM 990-PF, PG 1, LN 16C 5,497,005.

(B) (C)NET INVEST- ADJUSTEDMENT INCOME NET INCOME

0.

1,821,349.

9,416.

60.

1,830,825.

(C) (D)ADJUSTED CHARITABLE

NET INCOME PURPOSES

FORM 990-PF TAXES STATEMENT 5

DESCRIPTION

EXCISE TAXSTATE TAXFOREIGN TAXREAL ESTATE TAXES

(A) (B)EXPENSES NET INVEST-PER BOOKS MENT INCOME

296,985. 0.

83,315. 0.

0. 898,366.

74,355. 69,320.

TO FORM 990-PF, PG 1, LN 18 454, 655. 967,686.

0.

0.

0.

5,035.

5,035.

FORM 990-PF OTHER EXPENSES STATEMENT 6

(A) (B)EXPENSES NET INVEST-

DESCRIPTION PER BOOKS MENT INCOME

MEALS AND ENTERTAINMENT 61,704. 0.

OFFICE EXPENSE 164,412. 0.

DUES AND LICENSES 118,927. 8,910.

REPAIRS AND MAINTENANCE 523. 0.

INSURANCE 42,595. 0.

EQUIPMENT 82,430. 0.

EQUITY PARTNERSHIP EXPENSES 0. 13,336,645.

TO FORM 990-PF, PG 1, LN 23 470,591. 13,345,555.

(C)ADJUSTED

NET INCOME

(D)CHARITABLEPURPOSES

3,482,608.

0.

183,572.

0.

3,666,180.

(D)CHARITABLEPURPOSES

61,704.

164,412.

110,017.

523.

42,595.

82,430.

0.

461,681.



FORM 990-PF CORPORATE STOCK STATEMENT 7

DESCRIPTION

8,400 SHS - CHENIERE ENERGY PARTNERS LP200,000 SHS - CITIZENS FINANCIAL GROUP15 SHS - DEUTSCHE X-TRACKERS MSCI EAF3,768,945 SHS - DFA CONTINENTAL SMALL CO PTF3,344,052 SHS - DFA EMERGING MARKETS SML CAP19,120,595 SHS - DFA INTL REAL ESTATE SEC PTF882,966 SHS - GOLDMAN SACHS N-11 EQUITY21,700 SHS - GOOGLE INC-CL A21,759 SHS - GOOGLE INC-CL C40,000 SHS - MPLX LP57,000 SHS - STOXX EUR 6002,952,595 SHS - VANGUARD EUROPEAN STK IND227,732 SHS - VANGUARD MSCI EMERGING MARKE2,393,015 SHS - VANGUARD TAX MANAGED INT1,439,589 SHS - VANGUARD TOTL STK MKT IND

TOTAL TO FORM 990-PF, PART II, LINE 10B

FAIR MARKETBOOK VALUE VALUE

242,087. 242,087.

7,126,000. 7,126,000.

421. 421.

81,635,338. 81,635,338.

62,032,164. 62,032,164.

89,866 ,798. 89,866,798.

7,257,977. 7,257,977.

17,196,165. 17,196,165.

16,794,031. 16,794,031.

1,384,800. 1,384,800.

56,588,118. 56,588,118.

75,497,860. 75,497,860.

8,148,251. 8,148,251.

28,117,929. 28,117,929.

80,746,582. 80,746,582.

532,634,521. 532,634,521.

FORM 990-PF CORPORATE BONDS STATEMENT 8

DESCRIPTION

35,000,000 SHS15,000,000 SHS2,500,000 SHS1,000,000 SHS10,000,000 SHS15,000,000 SHS20,000,000 SHS29,000,000 SHS5,000,000 SHS15,000,000 SHS1,166,550 SHS2,000,000 SHS72,319,920 SHS8,370,000 SHS6,395,400 SHS9,918,071 SHS11,463,214 SHS21,086,832 SHS21,020,088 SHS0 SHS - ELIS MNOTES

- AMERICAN ENERGY - PERMIA- AMERICAN ENERGY/AEPB

- CHESAPEAKE MIDSTREAM PT- ENERGY TRANSFER EQUITY- JPMORGAN CHASE & CO- LINN ENERGY LLC- PET ACQUISITION MERGER

- SABINE PASS 5.625

- SABINE PASS 5.75- SOLARWINDS HOLDINGS, INC.

- UAL 2009- WELLS FARGO & COMPANY- REPUBLIC OF ARGENTINA

- CVS PASS-THROUGH TRUST

- KIPP QSCB, SERIES 2012

- KIPP QSCB, SERIES 2010A

- KIPP QZAB, SERIES 2010B- KIPP QZAB, SERIES 2012- FDIC COML MTG 2012-C1 CL BBZZANINE CO-INVESTORS SENIOR PIK

BOOK VALUE

41,125,000.

15,000,000.

2,578,575.

1,115,000.

10,355,000.

6,337,500.

19,600,000.

31,030,000.

5,362,500.

14,475,000.

1,170,271.

2,090,000.

75,574,316.

9,701,918.

6,395,400.

9,918,071.

11,463,214.

21,086,832.

20,673,047.

0.

FAIR MARKETVALUE

41,125,000.

15,000,000.

2,578,575.

1,115,000.

10,355,000.

6,337,500.

19,600,000.

31,030,000.

5,362,500.

14,475,000.

1,170,271.

2,090,000.

75,574,316.

9,701,918.

6,395,400.

9,918,071.

11,463,214.

21,086,832.

20,673,047.

0.

STATEMENT(S) 7, 8


0 SHS - KINDER MORGAN FIN CO LLC0 SHS - YPF SOCIEDAD ANONIMA SR NT REG S0 SHS - YPF SOCIEDAD ANONIMA SR NT REG S0 SHS - BALL 2009-FDG D

TOTAL TO FORM 990-PF, PART II, LINE 10C

26-3241764

0. 0.0. 0.0. 0.0. 0.

305,051,644. 305,051,644.

FORM 990-PF OTHER INVESTMENTS STATEMENT 9

DESCRIPTION

BLUE RIDGE TRUSTGLOBAL ATLANTIC COMPANYINSURITY, INC.PANDA POWER FUNDS - MOXIE LIBERTYSHD OIL AND GAS - DEBTSHD OIL AND GAS - EQUITYTRICORBRAUN HOLDINGS, INC.ROYALTY VENTURES, L.P.CUSTOM HEDGE FUND SOLUTIONS, L.P.GLOBAL STRATEGIES FUND, LTD.CREDIT OPPORTUNITIES ACCESS FUNDINTL, L.P.INTERNATIONAL LIMITED - CLASS BNET LEASE REALTY FUND II, L.P.CQP CO-INVEST, L.P.ENERGY PARTNERS, L.P.INSTITUTIONAL PARTNERS V, L.P.CAPITAL SOLUTIONS OVERSEAS FEEDERFUND II, L.P.ENERGY SELECT OPPORTUNITIES FUND,L.P.PRIVATE INVESTORS OFFSHORE, L.P.EMERGING MARKETS, L.P.REAL PROPERTY HOLDINGS IIIREAL PROPERTY HOLDINGS IVLOAN PARTNERS 2013 ONSHORE, L.P.CAPITAL PARTNERS VI OFFSHORE, L.P.GAMMA - INVESTORS B, L.P.MEZZANINE PARTNERS 2006 OFFSHORE,

L.P.MEZZANINE PARTNERS V OFFSHORE, L.P.MOUNT KELLETT CAPITAL PARTNERSACCESS FUND OFFSHORE, L.P.PIA MANAGED ACCOUNTPRIVATE EQUITY PARTNERS IXOFFSHORE, L.P.WLR RECOVERY IV & CO-INVEST ACCESSOFFSHORE, L.P.ILS PARTNERS, L.P.

VALUATION FAIR MARKETMETHOD BOOK VALUE VALUE

FMV 0. 0.FMV 20,000,000. 20,000,000.FMV 11,109,167. 11,109,167.

FMV 14,723,136. 14,723,136.

FMV 55,915,517. 55,915,517.

FMV 279,766. 279,766.

FMV 41 ,050,058. 41,050,058.

FMV 5, 890,000. 5,890,000.

FMV 26, 422,829. 26,422,829.

FMV 126,977,893. 126,977,893.

FMV3,040,605. 3, 040,605.

FMV 9,732,411. 9,732,411.

FMV 25,317,115. 25,317,115.

FMV 50,140,714. 50,140,714.

FMV 7,905,660. 7, 905,660.

FMV 129, 056,788. 129,056,788.

FMV35,609,239. 35,609,239.

FMV2,858 ,897. 2, 858,897.

FMV 7,252,627. 7,252,627.

FMV 30,028 ,432. 30,028,432.

FMV 145,020. 145,020.

FMV 1,733,202. 1,733,202.

FMV 58,147,952. 58,147,952.

FMV 3,993,744. 3,993,744.

FMV 135,887 ,524. 135,887,524.

FMV90,461 . 90,461.

FMV 274,411. 274,411.

FMV2,133 , 903. 2 , 133,903.

FMV 30,904,703. 30,904,703.

FMV6,234,442. 6,234,442.

FMV1,424, 453. 1,424,453.

FMV 580 ,657. 580,657.

STATEMENT(S) 8, 9


LIBERTY M&R SPV, L.P. FMV 19,151,068. 19,151,068.

BRIC PLUS PRIVATE FUND, L.P. FMV 394,064. 394,064.

MERCED PARTNERS III, L.P. FMV 24,307,478. 24,307,478.INTERNATIONAL EQUITY QP FUND, L.P. FMV 19,433,682. 19,433,682.

U.S. QP FUND, L.P. FMV 12,521,032. 12,521,032.MORGAN CREEK PARTNERS II, L.P. FMV 5,138,624. 5,138,624.

MORGAN CREEK PARTNERS III, L.P. FMV 5,818 ,645. 5,818,645.

MORGAN CREEK PARTNERS IV, L.P. FMV 17,307,328. 17,307,328.PALLADIAN PARTNERS V-A, L.L.C. FMV 457 ,833. 457,833.

PALLADIAN PARTNERS VI-A, L.P. FMV 4,008,009. 4,008,009.EMERGING MARKETS ALL CAP FUND, L.P. FMV 61,358,175. 61,358,175.

HOFFER CO-INVEST, L.P. FMV 6,825,777. 6,825,777.

INSTITUTIONAL PARTNERS VI FEEDER, FMVL.P. 9,388,346. 9,388,346,

CREDIT ALPHA ANNEX FUND, L.P. FMV 11,342,002. 11,342,002.TS IMPACT, INC. FMV 13,068,241. 13,068,241.

TOTAL TO FORM 990-PF, PART II, LINE 13 1,055 ,381,630. 1,055,381,630,

FORM 990-PF OTHER ASSETS STATEMENT 10

DESCRIPTION

PROGRAM RELATED INVESTMENTSACCRUED INTERESTINCOME RECEIVABLEFEDERAL AND STATE PAYROLL TAXESSECURITY DEPOSITS

BEGINNING OFYR BOOK VALUE

4,000,000.4,501,326,

10,138.

656,039.

0.

END OF YEARBOOK VALUE

4,846,061.

5,108,539.

10,138.

493,799.

63,026.

FAIR MARKETVALUE

4,846,061.

5,108,539.

10,138.

493,799.

63,026.

TO FORM 990-PF, PART II, LINE 15 9, 167,503. 10 , 521,563. 10 ,521,563.

STATEMENT(S) 9, 10


FORM 990-PF TRANSFERS TO CONTROLLED ENTITIES STATEMENT 11PART VII-A, LINE 11

NAME OF CONTROLLED ENTITY

TS IMPACT, INC.

ADDRESS

190 ELGIN AVENUEGEORGE TOWN, GRAND CAYMAN, CAYMAN ISLANDS KY1-9005

DESCRIPTION OF TRANSFER

CONTRIBUTION


CREDIT OPPORTUNITIES ACCESS FUND (INTERNATIONAL), LP

ADDRESS

P.O. BOX 2510GRAND CAYMAN, CAYMAN ISLANDS KY1-1104


CONTRIBUTION

TOTAL AMOUNT OF TRANSFERS TO CONTROLLED ENTITIES

EMPLOYER ID NO

98-1207798

AMOUNTOF TRANSFER

2,595.

EMPLOYER ID NO

FOREIGN

AMOUNTOF TRANSFER

149,868.

152,463.

STATEMENT(S) 11


FORM 990-PF TRANSFERS FROM CONTROLLED ENTITIES STATEMENT 12PART VII-A, LINE 11

NAME OF CONTROLLED ENTITY EMPLOYER ID NO

TS IMPACT, INC. 98-1207798

ADDRESS



DISTRIBUTION

AMOUNTOF TRANSFER

0


HOFFER CO-INVEST, LP

ADDRESS

301 COMMERCE STREET, SUITE 3300FORT WORTH, TX 76102


DISTRIBUTION

1,714,993,

EMPLOYER ID NO

46-3412190

AMOUNTOF TRANSFER

9,975,777,

STATEMENT(S) 12



CREDIT OPPORTUNITIES ACCESS FUND (INTERNATIONAL), LP

ADDRESS



DISTRIBUTION

TOTAL AMOUNT OF TRANSFERS FROM CONTROLLED ENTITIES

26-3241764

EMPLOYER ID NO

FOREIGN

AMOUNTOF TRANSFER

2,380,264.

7,071,034.

STATEMENT(S) 12


FORM 990-PF LIST OF CONTROLLED ENTITIES STATEMENT 13PART VII-A, LINE 11


TS IMPACT, INC.

ADDRESS

EMPLOYER ID NO

98-1207798

EXCESS BUSINESS HOLDING [ ] YES [x] NO



HOFFER CO-INVEST, LP

ADDRESS

EMPLOYER ID NO

46-3412190


301 COMMERCE STREET, SUITE 3300FORT WORTH, TX 76102


LAURA AND JOHN ARNOLD CHARITABLE TRUST

ADDRESS

EMPLOYER ID NO

46-5083705


1717 WEST LOOP SOUTH, SUITE 1800HOUSTON, TX 77027-3048

NAME OF CONTROLLED ENTITY EMPLOYER ID NO

CREDIT OPPORTUNITIES ACCESS FUND (INTERNATIONAL), LP FOREIGN

ADDRESS EXCESS BUSINESS HOLDING [ ] YES [x] NO


STATEMENT(S) 13


FORM 990-PF PART VIII - LIST OF OFFICERS, DIRECTORS STATEMENT 14TRUSTEES AND FOUNDATION MANAGERS

NAME AND ADDRESS

JOHN D. ARNOLD1717 WEST LOOP SOUTH, SUITE 1800HOUSTON, TX 77027-3048

LAURA E. ARNOLD1717 WEST LOOP SOUTH, SUITE 1800HOUSTON, TX 77027-3048

TITLE AND COMPEN-AVRG HRS/WK SATION

DIRECTOR/CO-CHAIR30.00 0.

DIRECTOR/CO-CHAIR40.00 0.

EMPLOYEEBEN PLAN EXPENSECONTRIB ACCOUNT

0. 0.

0. 0.

MATTHEW ALSDORF3 COLUMBUS CIRCLE, SUITE 1601NEW YORK, NY 10019

ELIZABETH BANKS1717 WEST LOOP SOUTH, SUITE 1800HOUSTON, TX 77027-3048

JONATHAN BARON1776 I STREET NW, SUITE 850WASHINGTON, DC 20006

LESLEY BRIONES1717 WEST LOOP SOUTH, SUITE 1800HOUSTON, TX 77027-3048

JEREMY STUART BUCK1717 WEST LOOP SOUTH, SUITE 1800HOUSTON, TX 77027-3048

DENIS CALABRESE1717 WEST LOOP SOUTH, SUITE 1800HOUSTON, TX 77027-3048

JOSH MCGEE1717 WEST LOOP SOUTH, SUITE 1800HOUSTON, TX 77027-3048

ANNE MILGRAM3 COLUMBUS CIRCLE, SUITE 1601NEW YORK, NY 10019

KELLI RHEE1717 WEST LOOP SOUTH, SUITE 1800HOUSTON , TX 77027-3048

VP - CRIMINAL JUSTICE45.00 230,624 14,487. 0.

TREASURER/CONTROLLER/DIR GRANTS MGMT55.00 155 ,250. 15,382.

VP - EVIDENCE-BASED POLICY60.00 253,000. 9,507.

EVP/COO & TALENT OFFICER/GEN COUNSEL60.00 267,209. 16,005.

0.

0.

0.

VP - RESEARCH INTEGRITY50.00 179, 200. 8,652. 0.

DIRECTOR/PRESIDENT45.00 736 , 000. 21,823. 0.

VP - PUBLIC ACCOUNTABILITY60.00 165 , 000. 15,650. 0.

VP - CRIMINAL JUSTICE32.00 35,417. 761. 0.

EVP/CHIEF STRATEGY OFFICER45.00 246,918 . 15,880. 0.

STATEMENT(S) 14


KATHRYN STACK VP - EVIDENCE-BASED INNOVATION1776 I STREET NW, SUITE 850 40.00 237,600 . 9,279.WASHINGTON , DC 20006

MICHAEL STEBBINS VP - SCIENCE & TECHNOLOGY1776 I STREET NW, SUITE 850 52.00 214,500.

WASHINGTON, DC 20006

TOTALS INCLUDED ON 990- PF, PAGE 6, PART VIII

0.

16,868. 0.

144,294. 0.2,720,718.

STATEMENT(S) 14


FORM 990-PF EXPENDITURE RESPONSIBILITY STATEMENT STATEMENT 15PART VII-B, LINE 5C

GRANTEE'S NAME

AMERICAN SOCIETY OF CRIME LAB DIRECTORS, INC.

GRANTEE'S ADDRESS

139A TECHNOLOGY DRIVEGARNER, NC 27529

GRANT AMOUNT DATE OF GRANT

250,000. 03/09/16

AMOUNT EXPENDED

149,729.

PURPOSE OF GRANT

TO DEVELOP FORENSIC LAB PERFORMANCE TRACKING FREEWARE THAT WILL HELP TOENSURE THAT LABS OPERATE EFFICIENTLY AND EFFECTIVELY.

DATES OF REPORTS BY GRANTEE

1/18/2017

ANY DIVERSION BY GRANTEE

NO

RESULTS OF VERIFICATION

THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OF RELIABILITY OF THEREPORT FROM THE GRANTEE ; THEREFORE, NO INDEPENDENT VERIFICATION OF THEREPORT WAS MADE.

STATEMENT(S) 15


GRANTEE'S NAME

AMIDA TECHNOLOGY SOLUTIONS

GRANTEE'S ADDRESS

1640 RHODE ISLAND AVENUE NW, SUITE 650WASHINGTON, DC 20036

GRANT AMOUNT DATE OF GRANT AMOUNT EXPENDED

150,000. 06/29/16 116,898.

PURPOSE OF GRANT

26-3241764

TO FACILITATE THE DEVELOPMENT OF A FREE, OPEN-SOURCE PLATFORM THAT WILLLINK DISEASE REGISTRIES FOR PATIENTS WITH CANCER AND ALZHEIMER'S DISEASE.


1/30/2017; 7/31/2017


NO


THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OF RELIABILITY OF THE

REPORT FROM THE GRANTEE ; THEREFORE , NO INDEPENDENT VERIFICATION OF THE

REPORT WAS MADE.

STATEMENT(S) 15


GRANTEE'S NAME

ASSOCIATION FOR COMPETITIVE TECHNOLOGY

GRANTEE'S ADDRESS

1401 K STREET NW , SUITE 501WASHINGTON , DC 20005


131,264 . 07/12/ 16 50,447.

PURPOSE OF GRANT

26-3241764

TO FUND A U.S. DEPARTMENT OF EDUCATION FELLOWSHIP TO SUPPORT EDUCATORS INUSING CLASSROOM TECHNOLOGY.


12/20/2016


NO



REPORT FROM THE GRANTEE ; THEREFORE , NO INDEPENDENT VERIFICATION OF THE

REPORT WAS MADE.

STATEMENT(S) 15


GRANTEE'S NAME

CHARTER FUND, INC.

GRANTEE'S ADDRESS

350 INTERLOCKEN BOULEVARD, SUITE 390BROOMFIELD, CO 80021


10,944,308. 12/22/12

PURPOSE OF GRANT

AMOUNT EXPENDED

5,746,331.

26-3241764

TO SUPPORT THE EXPANSION AND REPLICATION OF HIGH-QUALITY SCHOOLS IN NEWORLEANS, LOUISIANA.


SEMI-ANNUAL REPORTS FROM 7/1/13 THROUGH 12/15/16


NO


THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OF RELIABILITY OF THEREPORT FROM THE GRANTEE; THEREFORE , NO INDEPENDENT VERIFICATION OF THEREPORT WAS MADE.

STATEMENT(S) 15


GRANTEE'S NAME

CHARTER FUND, INC.

GRANTEE'S ADDRESS

350,INTERLOCKEN BOULEVARD, SUITE 390BROOMFIELD, CO 80021

GRANT AMOUNT

2,000,000.

DATE OF GRANT

02/10/15

AMOUNT EXPENDED

2,000,000.

26-3241764

PURPOSE OF GRANT

TO SUPPORT THE EXPANSION AND REPLICATION OF HIGH-QUALITY SCHOOLS IN CAMDEN,NEW JERSEY.


7/31/2015; 3/25/2016 ; AND 8 /24/2016


NO


THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OF RELIABILITY OF THEREPORT FROM THE GRANTEE; THEREFORE, NO INDEPENDENT VERIFICATION OF THEREPORT WAS MADE.

STATEMENT(S) 15


GRANTEE'S NAME

CHARTER FUND, INC.

GRANTEE'S ADDRESS



4,000 , 000. 07 /07/15 4,000,000.

PURPOSE OF GRANT

26-3241764

TO SUPPORT THE EXPANSION AND REPLICATION OF HIGH-QUALITY SCHOOLS IN CAMDEN,NEW JERSEY.


1/31/2016; 8/24/2016; 1 /31/2017; 4/24/2017


NO


THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OF RELIABILITY OF THEREPORT FROM THE GRANTEE ; THEREFORE , NO INDEPENDENT VERIFICATION OF THEREPORT WAS MADE.

STATEMENT(S) 15


GRANTEE'S NAME

CHARTER FUND, INC.

GRANTEE'S ADDRESS


GRANT AMOUNT

3,000,000.

PURPOSE OF GRANT

DATE OF GRANT AMOUNT EXPENDED

10/07/15 3,000,000.

TO SUPPORT THE EXPANSION AND REPLICATION OF HIGH-QUALITY SCHOOLS INMEMPHIS , TENNESSEE.


2/29/2016; 8/24/2016; 2/28/2017; 4/24/2017


NO


26-3241764


STATEMENT (S) 15


GRANTEE'S NAME

CHARTER FUND, INC.

GRANTEE'S ADDRESS


GRANT AMOUNT

1,500,000

PURPOSE OF GRANT

DATE OF GRANT

02/22/16

AMOUNT EXPENDED

1,147,724.

26-3241764

TO SUPPORT CONTINUED INVESTMENTS IN HIGH-PERFORMING CHARTER SCHOOLS.


4/24/2017; 6/30/2017


NO



REPORT FROM THE GRANTEE; THEREFORE, NO INDEPENDENT VERIFICATION OF THE

REPORT WAS MADE.

STATEMENT(S) 15


GRANTEE'S NAME

CHARTER FUND, INC.

GRANTEE'S ADDRESS



189,000. 02 / 22/16 189,000.

PURPOSE OF GRANT

26-3241764

TO SUBSIDIZE THE COST OF TUITION AND STIPENDS FOR FIRST-YEAR RELAY GRADUATESCHOOL OF EDUCATION RESIDENTS IN CAMDEN, NEW JERSEY.


2/16/2017


NO



STATEMENT(S) 15


GRANTEE'S NAME

DENVER PFS, LLC

GRANTEE ' S ADDRESS

11000 BROKEN LAND PARKWAY, SUITE-700COLUMBIA, MD 21044

GRANT AMOUNT

711,483.

PURPOSE OF GRANT


02/12 /16 673,776.

26-3241764

TO PROVIDE PERMANENT SUPPORTIVE HOUSING SERVICES TO APPROXIMATELY 250CHRONICALLY HOMELESS INDIVIDUALS.


3/31/16; 6/30/16; 9 /30/16; 12/31/16; 3/31/17; 6/30/17; 9/30/17


NO


THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OF RELIABILITY OF THEREPORT FROM THE GRANTEE; THEREFORE , NO INDEPENDENT VERIFICATION OF THEREPORT WAS MADE.

STATEMENT(S) 15


GRANTEE'S NAME

LAURA AND JOHN ARNOLD CHARITABLE TRUST

GRANTEE ' S ADDRESS

1717 WEST LOOP SOUTH , SUITE 1800HOUSTON , TX 77027-3048


1,350. 03 / 19/14 903.

PURPOSE OF GRANT

TO SUPPORT EVIDENCE-BASED , MULTI-DISCIPLINARY INITIATIVES.


12/31/2014; 12/31/2015; 12/31/2016


NO


26-3241764


STATEMENT(S) 15


GRANTEE'S NAME

MATHEMATICA POLICY RESEARCH, INC.

GRANTEE' S ADDRESS

505 14TH STREET, SUITE 800OAKLAND, CA 94612


580,948 . 06/13/16

PURPOSE OF GRANT

AMOUNT EXPENDED

574,605,

26-3241764

TO EVALUATE THE IMPACTS OF THE KIPP PREKINDERGARTEN PROGRAM AND WHETHERTHOSE IMPACTS PERSIST OVER TIME IN ELEMENTARY -AGED CHILDREN.


9/1/2016; 5/1/2017


NO



STATEMENT(S) 15


GRANTEE'S NAME

MATHEMATICA POLICY RESEARCH, INC.

GRANTEE'S ADDRESS

505 14TH STREET, SUITE 800OAKLAND, CA 94612


630,064 . 08/29 /16 137,109.

PURPOSE OF GRANT

TO FUND A RANDOMIZED CONTROLLED TRIAL OF THE BRONX FREEDOM FUND.


4/30/2017


NO


26-3241764


STATEMENT(S) 15


GRANTEE'S NAME

MEASURED DECISIONS, INC.

GRANTEE ' S ADDRESS

3006 SHADY OAK LANEVERONA, WI 53593

GRANT AMOUNT

126,350,

PURPOSE OF GRANT

DATE OF GRANT

09/12/16

AMOUNT EXPENDED

65,041.

26-3241764

TO FUND A REPLICATION RANDOMIZED CONTROLLED TRIAL OF AN INTERVENTIONDESIGNED TO IMPROVE ACADEMIC ACHIEVEMENT AND HELP STUDENTS SUCCESSFULLYTRANSITION TO MIDDLE SCHOOL.


12/31/2016


NO



STATEMENT(S) 15


GRANTEE'S NAME

NATIONAL ASSOCIATION FOR PUBLIC DEFENSE, INC.

GRANTEE'S ADDRESS

P.O. BOX 211FRANKFORT, KY 40602


119,300. 04/24/16

PURPOSE OF GRANT

AMOUNT EXPENDED

81,226.

26-3241764

TO DISSEMINATE THE FINDINGS OF A STUDY ANALYZING THE WORKLOADS OFLOUISIANA'S PUBLIC DEFENDERS AND TO PURSUE SIXTH AMENDMENT LITIGATION.


7/31/2017


NO



STATEMENT(S) 15


GRANTEE'S NAME

SENSE ABOUT SCIENCE

GRANTEE'S ADDRESS

14A CLERKENWELL GREENLONDON, UNITED KINGDOM, EC1R ODP


63,638. 07 / 09/15 63,638.

PURPOSE OF GRANT

26-3241764

TO HELP PRESERVE RIGOROUS REGULATORY STANDARDS DESIGNED TO ENSURE CLINICALTRIAL TRANSPARENCY.


12/17/ 2015 ; 1/9/2017


NO



STATEMENT(S) 15


GRANTEE'S NAME

SOCIAL FINANCE CT

GRANTEE ' S ADDRESS

10 MILK STREET, SUITE 1010BOSTON, MA 02108

GRANT AMOUNT

134,578.

PURPOSE OF GRANT


09/19/16 112,207.

TO SUPPORT THE CONNECTICUT FAMILY STABILITY PAY FOR SUCCESS PROJECT.


12/31/2016; 3/31/2017; 6/30/2017


NO


26-3241764


STATEMENT(S) 15


GRANTEE'S NAME

SOCIAL FINANCE NY STATE WORKFORCE RE-ENTRY 2013, LLC

GRANTEE'S ADDRESS

10 MILK STREET, SUITE 1010BOSTON, MA 02108


4,000 , 000. 12/16/13

PURPOSE OF GRANT

TO HELP ADVANCE PAY FOR SUCCESS FINANCING.

3,048,510.

26-3241764


QUARTERLY REPORTS FROM 3/31/14 THROUGH 9/30/17


NO



STATEMENT(S) 15


GRANTEE'S NAME

THE CENTURY FOUNDATION, INC.

GRANTEE'S ADDRESS

1 WHITEHALL STREET, 15TH FLOORNEW YORK, NY 10004


273,200. 01/19/16 188,306.

PURPOSE OF GRANT

TO IDENTIFY REFORMS THAT ADDRESS THE UNFAIR PRACTICES OF FOR-PROFITCOLLEGES.


11/15/2016; 6/30/2017


NO


26-3241764


STATEMENT(S) 15


GRANTEE'S NAME

UNIVERSITY COURT OF THE UNIVERSITY OF EDINBURGH

GRANTEE'S ADDRESS

OLD COLLEGE, SOUTH BRIDGEEDINBURG , UNITED KINGDOM, EH8 9Y1


45,000. 03 /17/15 45,000.

PURPOSE OF GRANT

TO EVALUATE THE IMPACT OF NATURE PUBLISHING GROUP'S NEW EDITORIALREQUIREMENTS FOR RESEARCH IN THE LIFE SCIENCES.


9/2/2015; 2/14/2017


NO


26-3241764


STATEMENT(S) 15


FORM 990-PF SUMMARY OF DIRECT CHARITABLE ACTIVITIES STATEMENT 16

ACTIVITY ONE

CRIMINAL JUSTICE ASSISTANCE -

THROUGH ITS CRIMINAL JUSTICE ASSISTANCE, LAURA AND JOHN

ARNOLD FOUNDATION AIMS TO REDUCE CRIME, INCREASE PUBLIC

SAFETY, AND ENSURE THE CRIMINAL JUSTICE SYSTEM OPERATES AS

FAIRLY AND COST-EFFECTIVELY AS POSSIBLE. IN ORDER TO ACHIEVE

THESE GOALS, WE DEVELOP, INCUBATE, TEST, AND SPREAD

EFFECTIVE INNOVATIVE SOLUTIONS TO CRIMINAL JUSTICE

CHALLENGES.

EXPENSES

TO FORM 990-PF, PART IX-A, LINE 1 2,209,235.


ACTIVITY TWO

PUBLIC ACCOUNTABILITY ASSISTANCE -

THROUGH ITS PUBLIC ACCOUNTABILITY ASSISTANCE, LAURA AND JOHN

ARNOLD FOUNDATION SUPPORTS INITIATIVES AIMED AT ADVANCING

EVIDENCE-BASED DECISION MAKING; PROMOTING TRANSPARENCY AND

DATA-SHARING; EXPLORING INNOVATIVE FINANCING MECHANISMS FOR

SOCIAL PROBLEM SOLVING; AND MAXIMIZING OVERALL GOVERNMENT

PERFORMANCE AND EFFICIENCIES.

EXPENSES

TO FORM 990-PF, PART IX-A, LINE 2 723,050.


ACTIVITY THREE

EVIDENCE-BASED POLICY AND INNOVATION ASSISTANCE -THROUGH ITS EVIDENCE-BASED POLICY AND INNOVATION ASSISTANCE,LAURA AND JOHN ARNOLD FOUNDATION WORKS TO DEVELOP AND

SUPPORT INITIATIVES THAT ENCOURAGE GOVERNMENTS AND NONPROFITORGANIZATIONS TO HELP BUILD THE EVIDENCE BASE FOR SOCIALINTERVENTIONS AND TO CONSIDER RELIABLE EVIDENCE AS ONE OF

STATEMENT (S) 16, 17, 18


THE PRIMARY FACTORS IN THEIR DECISIONS. THE GOAL IS TOENSURE THAT LIMITED RESOURCES ARE SPENT WISELY ON PROGRAMSTHAT PRODUCE MEANINGFUL, LASTING IMPROVEMENTS IN PEOPLE'SLIVES. WE FUND RIGOROUS EVALUATIONS TO DETERMINE WHETHERPROGRAMS ARE EFFECTIVE AND WORK TO INCENTIVIZE THEWIDESPREAD ADOPTION OF APPROACHES THAT HAVE BEEN SHOWN TOMAKE A DIFFERENCE.

EXPENSES

TO FORM 990-PF , PART IX-A, LINE 3 449,245.


ACTIVITY FOUR

EDUCATION -LAURA AND JOHN ARNOLD FOUNDATION'S INVESTMENTS IN K-12EDUCATION SEEK TO ADVANCE THE PORTFOLIO MODEL OF SCHOOLGOVERNANCE. THIS ALTERNATIVE STRUCTURE SEPARATES SCHOOLOVERSIGHT FROM CAMPUS OPERATIONS. IT IS BASED ON POLICIESTHAT PROMOTE A DECENTRALIZED ADMINISTRATION AND MORE SCHOOLCHOICE FOR FAMILIES AS WELL AS INCREASED FLEXIBILITY ANDACCOUNTABILITY FOR LEADERS AND EDUCATORS.

EXPENSES

TO FORM 990-PF, PART IX-A, LINE 4 322,326.

FORM 990-PF SUMMARY OF PROGRAM-RELATED INVESTMENTS STATEMENT 20

DESCRIPTION

DENVER PFS, LLC: TO PROVIDE PERMANENT SUPPORTIVE HOUSINGSERVICES TO APPROXIMATELY 250 CHRONICALLY HOMELESS

INDIVIDUALS. THE PROGRAM-RELATED INVESTMENT WAS MADE IN THE

FORM OF A LOAN.

AMOUNT

TO FORM 990-PF, PART IX-B, LINE 1 711,483.



FORM 990-PF PART XV - LINE 1A STATEMENT 21LIST OF FOUNDATION MANAGERS

NAME OF MANAGER

JOHN D. ARNOLDLAURA E. ARNOLD

FORM 990-PF PART XV - LINE 1B STATEMENT 22LIST OF FOUNDATION MANAGERS

NAME OF MANAGER

JOHN D. ARNOLDLAURA E. ARNOLD

STATEMENT(S) 21, 22


990-PF INVOLVEMENT WITH NONCHARITABLE ORGANIZATIONS STATEMENT 23PART XVII, LINE 1, COLUMN (D)

NAME OF NONCHARITABLE EXEMPT ORGANIZATION

AMERICAN SOCIETY OF CRIME LAB DIRECTORS

DESCRIPTION OF TRANSFERS, TRANSACTIONS, AND SHARING ARRANGEMENTS

AN EXPENDITURE RESPONSIBILITY GRANT TO DEVELOP FORENSIC LAB PERFORMANCETRACKING FREEWARE THAT WILL HELP TO ENSURE THAT LABS OPERATE EFFICIENTLYAND EFFECTIVELY.

STATEMENT(S) 23



ASSOCIATION FOR COMPETITIVE TECHNOLOGY


26-3241764

AN EXPENDITURE RESPONSIBILITY GRANT TO FUND A U.S. DEPARTMENT OF EDUCATIONFELLOWSHIP TO SUPPORT EDUCATORS IN USING CLASSROOM TECHNOLOGY.

STATEMENT(S) 23



NATIONAL ASSOCIATION FOR PUBLIC DEFENSE


AN EXPENDITURE RESPONSIBILITY GRANT TO DISSEMINATE THE FINDINGS OF A STUDYANALYZING THE WORKLOADS OF LOUISIANA'S PUBLIC DEFENDERS AND TO PURSUE SIXTHAMENDMENT LITIGATION.

STATEMENT(S) 23



ACTION NOW INITIATIVE


26-3241764

LAURA AND JOHN ARNOLD FOUNDATION AND ACTION NOW INITIATIVE HAVE A "HISTORICAND CONTINUING RELATIONSHIP" BECAUSE OF THEIR SHARED USE OF DONATEDFACILITIES AND EQUIPMENT. ALL EXPENSES RELATED TO THE SHARED FACILITIES ANDEQUIPMENT ARE DONATED BY AND ARE PERSONALLY PAID FOR BY LAURA AND JOHNARNOLD. THERE ARE NO DIRECT TRANSFERS OR TRANSACTIONS BETWEEN THE LAURA ANDJOHN ARNOLD FOUNDATION AND ACTION NOW INITIATIVE.

STATEMENT(S) 23


990-PF AFFILIATION WITH TAX-EXEMPT ORGANIZATIONS STATEMENT 24PART XVII, LINE 2, COLUMN (C)

NAME OF AFFILIATED OR RELATED ORGANIZATION

ACTION NOW INITIATIVE

DESCRIPTION OF RELATIONSHIP WITH AFFILIATED OR RELATED ORGANIZATION

LAURA AND JOHN ARNOLD FOUNDATION AND ACTION NOW INITIATIVE HAVE A "HISTORIC

AND CONTINUING RELATIONSHIP" BECAUSE OF THEIR SHARED USE OF DONATED

FACILITIES AND EQUIPMENT. ALL EXPENSES RELATED TO THE SHARED FACILITIES AND

EQUIPMENT ARE DONATED BY AND ARE PERSONALLY PAID FOR BY LAURA AND JOHN

ARNOLD. THERE ARE NO DIRECT TRANSFERS OR TRANSACTIONS BETWEEN THE LAURA AND

JOHN ARNOLD FOUNDATION AND ACTION NOW INITIATIVE.

STATEMENT(S) 24

LAURA AND JOHN ARNOLD

FOUNDATION

2016 FORM 990-PF

PART XV, LINE 3A - GRANTS PAID

Foundation Status

Grantee Address of Recipient Purpose Amount

40849 Fremont Boulevard To conduct a randomized controlled trial of a permanent supportive

Abode Services Fremont, CA 94538 PC housing program in Santa Clara County, California. $ 169,503

710 James Robertson Parkway To support the transformation of low-performing schools in

Achievement School District Nashville, TN 37243 GOV Memphis, Tennessee. $ 483,161

9540 Collins Avenue

Aleph Institute Surfside, FL 33154 PC To support the Alternative Sentencing Key Stakeholder Summit. $ 50,000

1460 Broadway, 8th Floor To support Results for America projects that advance government's

America Achieves New York, NY 10036 PC use of evidence and data. $ 2,612,000

American Academy of Forensic 410 N 21st Street

Sciences Colorado Springs, CO 80904 PC To help improve standards in the forensic science community. $ 350,000

American Civil Liberties Union 125 Broad Street, 18th Floor To help reduce the incarceration of indigent defendants detained

Foundation New York, NY 10004 PC solely because they are unable to pay court-imposed fines and fees. $ 260,000

American Enterprise Institute for 1150 17th Street NW

Public Policy Research Washington, D.C. 20036 PC To support educational efforts related to corporate tax reform. $ 23,970

American Enterprise Institute for 115017th Street NW To identify new philanthropic models for student aid and

Public Policy Research Washington, D.C. 20036 PC opportunities to address the rising cost of higher education. $ 45,500

American Institutes for Research in 1000 Thomas Jefferson Street NW To conduct research on teachers' pensions in an effort to identify

the Behavioral Sciences Washington, D.C. 20007 PC ways to improve fiscal sustainability of state pension systems $ 93,343

American Institutes for Research in 1000 Thomas Jefferson Street NW

the Behavioral Sciences Washington, D.C. 20007 PC To expand access to public sector retirement research. $ 206,041

8120 Woodmont Avenue, Suite 750 To support a working group of scientists and policymakers aimed at

American Society for Cell Biology Bethesda, MD 20814 PC improving the National Institutes of Health. $ 200,000

American Society for Public 1730 Rhode Island Ave NW, Suite 500 To fund an analysis of federal credit programs and identify ways toAdministration Washington, D.C. 20036 PC make them more efficient and effective. $ 250,000

American Society of Crime Lab 139A Technology Drive To develop forensic lab performance tracking freeware that will helpDirectors, Inc. Gamer, NC 27529 NC: 501(c)(6) to ensure that labs operate efficiently and effectively. $ 250,000

To facilitate the development of a free, open-source platform that1640 Rhode Island Avenue NW, Suite 650 will link disease registries for patients with cancer and Alzheimer's

Amida Technology Solutions Washington, D.C. 20036 NC disease $ 150,000

P.O. Box 876011

Arizona State University Tempe, AZ 85287 GOV To evaluate a tool for reducing repeat incidents of domestic violence. $ 100,421

Arizona State University Foundation P.O. BOX 2260

for a New American University Tempe, AZ 85280 PC To conduct research on police body-worn cameras. $ 124,394

Association for Competitive 1401 K Street NW, Suite 501 To fund a U.S. Department of Education fellowship to support

Technology Washington, D.C. 20005 NC- 501(c)(6) educators in using classroom technology. $ 131,264

Association of Prosecuting Attorneys, 1615 L Street NW, Suite 1100

Inc. Washington, D.C. 20036 PC To help establish the Major County Prosecutors Council. $ 150,000Association of Prosecuting Attorneys, 1615 L Street NW, Suite 1100 To develop investigation and prosecution protocols for the use of

Inc. Washington, D.C. 20036 PC force by law enforcement. $ 200,00080 Broad Street, 30th Floor To help advise jurisdictions on best practices for the use of the Public

Behavioral Ideas Lab, Inc. New York, NY 10004 PC Safety Assessment $ 40,000 ,

26-3241764 Page 1 of 21 ATTACHMENT A


FOUNDATION

2016 FORM 990-PF


Foundation StatusGrantee Address of Recipient Purpose Amount

80 Broad Street, 30th Floor To support evidence-based policymaking within the federalBehavioral Ideas Lab, Inc. New York, NY 10004 PC government. $ 68,759

80 Broad Street, 30th Floor To design a cognitive behavioral therapy curriculum to help reduceBehavioral Ideas Lab, Inc. New York, NY 10004 PC crime and violence. $ 133,331

80 Broad Street, 30th Floor

Behavioral Ideas Lab, Inc. New York, NY 10004 PC To support evidence-based policymaking within city governments. $ 536,30880 Broad Street, 30th Floor To leverage insights from behavioral science to ensure that federal,

Behavioral Ideas Lab, Inc. New York, NY 10004 PC state, and local policies are based on rigorous research $ 1,354,670517 Boston Post Road, Unit 171

Bellwether Education Partners Sudbury, MA 01776 PC To provide information about teachers' pension systems. $ 400,1441225 Eye Street NW, Suite 1000 To support research on retirement security and disability insurance

Bipartisan Policy Center Washington, D C. 20005 PC policies and programs. $ 150,0001225 Eye Street NW, Suite 1000 To identify and disseminate best practices for incorporating evidence-

Bipartisan Policy Center Washington, D C. 20005 PC based policymakmg into the federal budgeting process. $ 250,000To fund a low-cost randomized controlled trial of a program to

50 Milk Street, 16th Floor promote college enrollment and completion for disadvantagedBottom Line, Inc. Boston, MA 02109 PC students. $ 30,000

400 E Poe Road To develop statistical models that can be used to reduce the backlogBowling Green State University Bowling Green, OH 43403 GOV of untested sexual assault kits across the United States. $ 200,000

75 Francis Street

Brigham & Women's Hospital, Inc. Boston, MA 02115 PC To support the Program On Regulation, Therapeutics, And Law. $ 700,00075 Francis Street To support the planning process related to the creation of a clinical

Brigham and Women's Hospital, Inc Boston, MA 02115 PC trial data-sharing platform $ 300,00075 Francis Street To support the testing of various notification mechanisms intended

Brigham and Women's Hospital, Inc Boston, MA 02115 PC to increase flu vaccination rates among Medicare recipients. $ 40,0001775 Massachusetts Avenue NW To support a series of weekly reports about education and social

Brookings Institution Washington, D.C. 20036 PC policy research. $ 111,5001775 Massachusetts Avenue NW

Brookings Institution Washington, D.C. 20036 PC To fund grantee's visiting fellowship in economic studies. $ 292,6491775 Massachusetts Avenue NW

Brookings Institution Washington, D.C. 20036 PC To expand access to research about public sector retirement systems. $ 300,000164 Angell Street, Box 1877 To determine whether exposure to lead during early childhood can

Brown University Providence, 11102912 PC lead to juven ile crime. $ 19,874164 Angell Street, Box 1877

Brown University Providence, RI 02912 PC To help establish the Rhode Island Innovative Policy Lab. $ 1,570,445To develop and pilot Digital Democracy, a publicly available

One Grand Avenue technology platform that provides searchable transcripts ofCal Poly Corporation San Luis Obispo, CA 93407 PC statehouse video feeds. $ 113,628

One Grand Avenue

Cal Poly Corporation San Luis Obispo, CA 93407 PC To scale and enhance the Digital Democracy platform. $ 2,193,9631411 K Street NW, Suite 1400 To support strategic litigation that will help establish a constitutional

Campaign Legal Center Washington, D.C. 20005 PC standard for adjudicating gerrymandering cases in the United States. $ 394,275



FOUNDATION

2016 FORM 990-PF



1344 Oxford Street To design and pilot a scorecard that will assess alternative health

Catalyst for Payment Reform, Inc. Berkeley, CA 94709 PC care payment reform models. $ 205,000

To support a working group of state health policy experts and

10 Free Street, 2nd Floor stakeholders to examine emerging strategies for addressing the highCenter for Health Policy Development Portland, ME 04101 PC cost of prescription drugs. $ 136,271

575 Market Street, Suite 600 To improve the quality, transparency, and efficiency of the nation'sCenter for Healthcare Transparency San Francisco, CA 94105 PC health care system. $ 250,000Center for Open Data 1110 Vermont Avenue NW, Suite 500 To fund the development of a report on best practices for advancingEnterprise Washington, D.C. 20005 PC open data policies and practices within the federal government. $ 150,000

210 Ridge McIntire Road, Suite 500 To improve transparency by providing consultation on best practicesCenter for Open Science Charlottesville, VA 22903 PC in data analysis and research design. $ 182,953

210 Ridge McIntire Road, Suite 500

Center for Open Science Charlottesville, VA 22903 PC To support the creation of a new database of clinical trials. $ 200,000

To encourage preregistration of scientific studies by offering

210 Ridge McIntire Road, Suite 500 monetary awards to selected researchers who publish studies thatCenter for Open Science Charlottesville, VA 22903 PC have been preregistered on the Open Science Framework. $ 587,500

210 Ridge McIntire Road, Suite 500

Center for Open Science Charlottesville, VA 22903 PC To help foster open, reliable, and rigorous scientific research. $ 1,250,000210 Ridge McIntire Road, Suite 500

Center for Open Science Charlottesville, VA 22903 PC To provide general operating support. $ 3,500,000910 17th Street NW, 7th Floor To support grantee's reporting on the flow of money and influence in

Center for Public Integrity Washington, D.C. 20006 PC state-level politics. $ 900,000Center for Regional Economic P.O. Box 100127 To provide technical assistance to states interested in developingCompetitiveness Arlington, VA 22210 PC data-sharing agreements $ 400,000

1313 E 60th Street To demonstrate a new approach for researchers working with stateChapin Hall Center for Children Chicago, IL 60637 PC or local governments to access Census data for policy evaluation. $ 572,660

350 Interlocken Boulevard, Suite 390 To support continued investments in high-performing charterCharter Fund, Inc. Broomfield, CO 80021 POF schools. $ 1,500,000

350 Interlocken Boulevard, Suite 390 To support the expansion and replication of high-quality schools inCharter Fund, Inc. Broomfield, CO 80021 POF Camden, New Jersey. $ 2,000,000

350 Interlocken Boulevard, Suite 390 To subsidize the cost of tuition and stipends for first-year RelayCharter Fund, Inc. Broomfield, CO 80021 POF Graduate School of Education residents in Camden, New Jersey. $ 189,000

350 Interlocken Boulevard, Suite 390 To support the expansion and replication of high-quality schools inCharter Fund, Inc. Broomfield, CO 80021 POF New Orleans, Louisiana. $ 3,699,213

350 Interlocken Boulevard, Suite 390 To support the expansion and replication of high-quality schools inCharter Fund, Inc. Broomfield, CO 80021 POF Memphis, Tennessee $ 1,500,000Children's Trust Fund of South 1330 Lady Street, Suite 100

Carolina Columbia, SC 29201 PC To help advance Pay for Success financing $ 119,680114 State Street, 6th Floor To identify cost-effective solutions to meet the rising energy demand

Clean Air Task Force, Inc. Boston, MA 02109 PC while minimizing adverse climate effects. $ 200,000155 9th Street To develop, implement, and evaluate digital tools and services that

Code For America Labs, Inc. San Francisco, CA 94103 PC can help to reduce jail populations and improve policing practices. $ 1,320,000



FOUNDATION

2016 FORM 990-PF



Colorado Nonprofit Development 789 Sherman Street, Suite 250 To educate the public about how to provide a secure retirement forCenter Denver, CO 80203 PC Colorado's public employees. $ 90,000Committee for a Responsible Federal 1900 M Street NW, Suite 850 To support efforts to improve the Social Security Disability InsuranceBudget Washington, D.C. 20036 PC program. $ 90,000

P.O. Box 338 To support a common enrollment system for the Camden City SchoolCommunity Foundation of New Jersey Morristown, NJ 07963 PC District in New Jersey. $ 100,000

To develop a study design for a randomized controlled trial that will845 Third Avenue, 5th Floor test if competency-based hiring is an effective predictor of Job

Conference Board, Inc. New York, NY 10022 PC performance. $ 89,740 ,To develop a secure digital platform for individuals who are both

61 Broadway, 23rd Floor homeless and frequently involved with the criminal justice system inCorporation for Supportive Housing New York, NY 10006 PC order to aid this population. $ 246,000

2760 Research Park Drive To develop a risk assessment tool for defendants charged withCouncil of State Governments Lexington, KY 40511 PC driving under the influence. $ 14,841

To place a fellow within the U.S. Department of Education who will100 Smithfield Street help jurisdictions use privacy-protected data to measure programs'

County of Allegheny Pittsburgh, PA 15222 GOV performance. $ 134,926CUNY Graduate School of Journalism 219 W 40th Street

Foundation, Inc. New York, NY 10018 PC To support the Ravitch Fiscal Reporting Program. $ 100,0001341 G Street NW, Suite 700 To develop and distribute materials that capture the current growth

Data Quality Campaign, Inc. Washington, D.C. 20005 SO I of data systems in education and share lessons for other sectors. $ 48,000150 Court Street, 2nd Floor

DataKind, Inc. Brooklyn, NY 11201 PC To provide general operating support. $ 20,000P.O. Box 7162 To support the creation of online curricula and teaching tools for

Davidson College Davidson, NC 28035 PC Advanced Placement courses. $ 218,0001611 Telegraph Avenue, Suite 600 To educate the public about the use of monetary sanctions as a form

Dream Corps Oakland, CA 94612 PC of punishment in the criminal justice system $ 99,498To conduct an initial study of how medication-assisted treatment

2200 W Main Street, Suite 820 impacts recidivism and other outcomes in Wake County, NorthDuke University Durham, NC 27705 PC Carolina. $ 127,342

To support the Center for Health Policy in its efforts to create an2200 W Main Street, Suite 820 evaluation hub that will study the impact of reforms related to health

Duke University Durham, NC 27705 PC care payment, benefit, and delivery systems. $ 616,043P.O. Box 11547

Education Cities, Inc. Memphis, TN 38111 Sol To provide general operating and programmatic support. $ 650,0001805 7th Street NW, 6th Floor

Education Forward DC Washington, D.C. 20001 PC To promote high-quality school options in Washington, D.C. $ 600,0001250 H Street NW

Education Trust Washington, D.C. 20005 PC To provide general operating support. $ 1,000,000



FOUNDATION

2016 FORM 990-PF



To fund a randomized controlled trial to evaluate a placement

2300 N Street, Suite 3 method that uses students' high school achievement to assessEducational Results Partnership Sacramento, CA 95816 PC college readiness. $ 70,000

141 Portland Street, 9th Floor To help expand access to college by allowing students to take

edX, Inc. Cambridge, MA 02139 PC massive open online courses for credit $ 5,450,000

1200 18th Street NW, Suite 801 To identify cost-effective solutions to meet the rising energy demandEnergy Innovation Reform Project Washington, D.C. 20036 PC while minimizing adverse climate effects. $ 200,000

To produce reports on new drugs that include information about a

2 Liberty Square, 9th Floor drug's comparative effectiveness, cost effectiveness, and potentialEvidence for Healthcare Improvement Boston, MA 02109 PC budget impact $ 2,678,597

6930 Carroll Avenue, Suite 240 To educate residents of the state of Maine about ranked choiceFairVote Takoma Park, MD 20912 PC voting $ 15,000

6930 Carroll Avenue, Suite 240 To create a 50-state assessment of structural democracy reforms andFalrVote Takoma Park, MD 20912 PC obstacles associated with ranked choice voting. $ 18,500

6930 Carroll Avenue, Suite 240

FairVote Takoma Park, MD 20912 PC To provide general operating support. $ 20,0006930 Carroll Avenue, Suite 240 To conduct research and educate the public about ranked choice

FairVote Takoma Park, MD 20912 PC voting. $ 1,756,873P.O. Box 19440 To educate residents of the state of Maine about ranked choice

FalrVote Minnesota Foundation Minneapolis, MN 55419 PC voting. $ 17,180

Family Service Agency of Santa 123 W Gutierrez Street To conduct a pilot study of Adult Holistic Defense Case Management,Barbara Santa Barbara, CA 93101 PC a program to reduce recidivism. $ 216,553

35 E Wacker Drive, Suite 2000 To conduct a randomized controlled trial of a program designed toFeeding America Chicago, IL 60601 PC help food banks meet the needs of diabetic clients $ 350,000

35 E Wacker Drive, Suite 2000

Feeding America Chicago, IL 60601 PC To support the Collaborating for Clients initiative. $ 1,433,304To support an ongoing randomized controlled trial of three strategies

1040 Park Avenue, Suite 103 to reduce recidivism and relapse among inmates in the Baltimore cityFriends Research Institute Baltimore, MD 21201 PC jail. $ 230,392George Mason University Foundation, 4400 University Drive, MSN 1A3

Inc. Fairfax, VA 22030 PC To fund a judicial symposium on criminal justice reform. $ 46,800George Mason University Foundation, 4400 University Drive, MSN 1A3

Inc. Fairfax, VA 22030 PC To produce a research agenda on police body-worn cameras. $ 65,685George Mason University Foundation, 4400 University Drive, MSN 1A3 To establish the Proactive Policing Lab to conduct research onInc. Fairfax, VA 22030 PC proactive policing practices. $ 155,000George Mason University Foundation, 4400 University Drive, MSN 1A3 To identify policies and practices that will help law enforcementInc. Fairfax, VA 22030 PC agencies increase clearance rates for serious crimes. $ 200,000George Mason University Foundation, 4400 University Drive, MSN 1A3

Inc. Fairfax, VA 22030 PC To support symposia on public pension reform. $ 1,100,000



FOUNDATION

2016 FORM 990-PF


Foundation Status


37th & 0 Streets NW

Box 571168 To help the federal government structure, implement, and evaluate

Georgetown University Washington, D.C. 20007 PC performance-based contracting models. $ 40,000

Government of the District of 1350 Pennsylvania Avenue NW, Suite 513

Columbia Washington, D.C. 20004 GOV To fund the creation of The Lab @ DC. $ 696,490

725 S Fairfax Street

Health Care Cost Institute, Inc. Alexandria, VA 22314 PC To support the launch of the State Health Policy Grant Program. $ 13,662

To evaluate policies that are intended to reduce the consumption of

1200 12th Avenue S, Suite 710 sugar and to educate the public about those policies that are found

Healthy Food America Seattle, WA 98144 PC to be effective. $ 2,180,000

2400 Sand Hill Road To support Kaiser Health News in providing independent reporting on

Henry J. Kaiser Family Foundation Menlo Park, CA 94025 PC pharmaceutical drug development and pricing $ 500,000

535 Portwall Street

Houston Food Bank Houston, TX 77029 PC To develop and evaluate a food scholarship program for students. $ 500,000

To help support the Houston Independent School District's legal costs

Houston Independent School District 4400 W 18th Street in the matter of Houston Federation of Teachers v. Houston

Foundation Houston, TX 77092 PC Independent School District. $ 151,654

Indianapolis Public Schools Education 120 E Walnut Street

Foundation, Inc. Indianapolis, IN 46204 GOV To expand and replicate high-quality schools in Indianapolis, Indiana. $ 518,750

Initiative for Medicine, Access, & 16192 Coastal Highway To produce a report that will outline strategies to address

Knowledge, Inc. Lewes, DE 19958 PC pharmaceutical patents and pricing structures. $ 209,500

40 Worth Street, Suite 701 To provide operating support for the grantee's Strategic LitigationInnocence Project, Inc. New York, NY 10013 PC Unit. $ 200,000

105 Edinburgh Court To educate stakeholders about the importance of rigorously

Institute for Child Success, Inc. Greenville, SC 29607 PC evaluating Pay for Success projects. $ 66,644

901 N Glebe Road, Suite 900 To examine whether, and to what extent, citations are used to

Institute for Justice Arlington, VA 22203 PC generate revenue for municipal governments. $ 95,832

International Association of Chiefs of 44 Canal Center Plaza, Suite 200 To conduct research on law enforcement's use of citations in lieu of

Police, Inc. Alexandria, VA 22314 PC arrest. $ 51,041

To develop a blueprint to guide state and local law enforcement in

International Association of Chiefs of 44 Canal Center Plaza, Suite 200 the implementation of recommendations made by the President's

Police, Inc. Alexandria, VA 22314 PC Task Force on 21st Century Policing. $ 200,000

300 Funston Avenue To develop a robust search engine for the world's largest repository

Internet Archive San Francisco, CA 94118 PC of internet content. $ 579,146

Iowa State University of Science and 1138 Pearson Hall, 505 Morill Road To conduct research designed to improve understanding of

Technology Ames, IA 50011 PC eyewitness decision making. $ 130,812

1101 E 33rd Street, Suite 8001 To support efforts to improve transparency at the Food and Drug

Johns Hopkins University Baltimore, MD 21218 PC Administration. $ 100,000

26.3241764 Page 6 of 21 ATTACHMENT A


FOUNDATION

2016 FORM 990-PF


Foundation Status


To conduct observational research and planning that will inform the

1101 E 33rd Street, Suite B001 research design for the My Brother's Keeper School Success Mentor

Johns Hopkins University Baltimore, MD 21218 PC and Student Support Initiative. $ 130,000

1101 E 33rd Street, Suite 8001 To provide general operating support for the Center for Research and

Johns Hopkins University Baltimore, MD 21218 PC Reform in Education. $ 138,205

1101 E 33rd Street, Suite B001 To fund a randomized controlled trial of the Talent Development

Johns Hopkins University Baltimore, MD 21218 PC Secondary Diplomas Now program. $ 3,593,484

615 N Wolfe Street, W 1600 To increase the availability and affordability of life-saving drugs while

Johns Hopkins University Baltimore, MD 21205 PC maintaining incentives for innovation in drug development. $ 100,0001101 E 33rd Street, Suite 8001 To support efforts to increase the number of organ transplants and

Johns Hopkins University Baltimore, MD 21218 PC reduce the number of individuals on the waiting list. $ 139,524

1101 E 33rd Street, Suite B001 To fund a study to estimate the impacts of school-based vision

Johns Hopkins University Baltimore, MD 21218 PC services in Baltimore City Public Schools. $ 150,000

2006 NE 10th Avenue To analyze five new sites that plan to implement the Public Safety

Justice System Partners Portland, OR 97212 PC Assessment. . $ 75,000

2006 NE 10th Avenue To develop and test a web-based tool that can help ensure that jails

Justice System Partners Portland, OR 97212 PC are managed in a fair and efficient way. $ 200,000

2006 NE 10th Avenue

Justice System Partners Portland, OR 97212 PC To support the implementation of the Public Safety Assessment. $ 275,0001315 Walnut Street, Suite 400 To educate the public about the issue of fines and fees in the juvenile

Juvenile Law Center Philadelphia, PA 19107 PC justice system. $ 15,0001315 Walnut Street, Suite 400 To evaluate the impact of fines and fees on youth involved in the

Juvenile Law Center Philadelphia, PA 19107 PC juvenile justice system. $ 132,8001315 Walnut Street, Suite 400 To educate the public about the issue of fines and fees in the juvenile

Juvenile Law Center Philadelphia, PA 19107 PC justice system $ 10,000135 Main Street, Suite 1700

KIPP Foundation San Francisco, CA 94105 PC To provide general operating support. $ 2,000,0001824 Oretha Castle Haley Boulevard To help develop high-quality teachers and school leaders in New

Leading Educators, Inc. New Orleans, LA 70113 PC Orleans, Louisiana. $ 75,0001040 Avenue of the Americas, 17th Floor To host a convening to educate policymakers, university researchers,

Living Cities, Inc. New York, NY 10018 PC and other stakeholders about the policy lab model. $ 199,373

To study how health care coverage and the integration of long-term

1233 20th Street NW, Suite 303 services and supports impact medical spending, health outcomes,Long-Term Quality Alliance Washington, D.C. 20036 PC and quality of life for people with functional limitations. $ 375,000

300 Main Street, Suite 700 To analyze the workloads of the state of Louisiana's public defendersLouisiana Public Defender Board Baton Rouge, LA 70825 GOV to determine how those workloads impact legal representation. $ 100,000Louisville Jefferson County Metro 527 W Jefferson Street, Suite 400

Government Louisville, KY 40202 GOV To help reduce the amount of time it takes to process felony cases. $ 139,750P.O. Box 8717 To convene a national meeting to discuss the President's Task Force

Major Cities Chiefs Association Midvale, UT 84047 PC on 21st Century Policing. $ 13,146Manhattan Institute for Policy 52 Vanderbilt AvenueResearch, Inc. New York, NY 10017 PC To help enhance SchoolGrades.org. $ 180,000



FOUNDATION

2016 FORM 990-PF


Foundation Status


2223 Shattuck Avenue

MapLight Berkeley, CA 94704 PC To provide general operating support. $ 250,000

P.O. Box 195 To support educational efforts related to Maryland's public pension

Maryland Public Policy Institute, Inc. Germantown, MD 20875 PC system. $ 70,000

To support the State and Local Government Innovation Initiative at

Massachusetts Institute of 77 Massachusetts Avenue NE 49-4007 the Abdul Latif Jameel Poverty Action Lab's regional office in North

Technology Cambridge, MA 02139 PC America. $ 815,871

Massachusetts Institute of 77 Massachusetts Avenue NE 49-4007 To support the Abdul Latif Jameel Poverty Action Lab's regional office

Technology Cambridge, MA 02139 PC in North America $ 5,044,227

50514th Street, Suite 800 To evaluate the impacts of the KIPP prekindergarten program and

Mathematica Policy Research, Inc. Oakland, CA 94612 NC whether those impacts persist over time in elementary-aged children. $ 580,948

P.O. Box 2393

Mathematica Policy Research, Inc. Princeton, NJ 08543 NC To fund a randomized controlled trial of the Bronx Freedom Fund. $ 630,064

16th E 34th Street, 19th Floor

MDRC New York, NY 10016 PC To conduct research on Social Security Disability Insurance. $ 50,000

16th E 34th Street, 19th Floor To support the Improving Contraceptive Options Now research

MDRC New York, NY 10016 PC project. $ 450,000

16th E 34th Street, 19th Floor

MDRC New York, NY 10016 PC To support the Expanding Children's Early Learning Project. $ 1,100,000

To fund a replication randomized controlled trial of an intervention

3006 Shady Oak Lane designed to improve academic achievement and help students

Measured Decisions, Inc. Verona, WI 53593 NC successfully transition to middle school. $ 126,350

60 Park Avenue To improve an online tool that can be used to evaluate the criminal

Measures for Justice Institute Rochester, NY 14607 PC Justice process on a county-by-county basis. $ 740,685

Mental Health Services for Homeless 1744 Payne Avenue

Persons, Inc. Cleveland, OH 44114 PC To help advance Pay for Success Financing. $ 15,000

To build a web portal that outlines public records laws for all 50

states and commonly cited exemptions to the Freedom of

135 Mornssey Boulevard Information Act (FOIA), and to create a guide that can help the public

MuckRock Foundation, Inc. Dorchester, MA 02125 PC navigate the process for submitting a request under FOIA. $ 97,400

500 5th Street NW To support a meeting to develop a study on donor intervention

National Academy of Sciences Washington, D.C. 20001 PC research. $ 633

500 5th Street NW

National Academy of Sciences Washington, D.C 20001 PC To help improve eyewitness identification procedures. $ 40,000

To support the creation of an Institute of Medicine committee that

500 Sth Street NW will examine issues associated with research involving deceasedNational Academy of Sciences Washington, D C. 20001 PC organ donors $ 180,327

500 5th Street NW To improve economic research that relies on statistics collected by

National Academy of Sciences Washington, D.C. 20001 PC the federal government. $ 200,000



FOUNDATION

2016 FORM 990-PF


Foundation Status


To support the creation of an Institute of Medicine committee that

500 Sth Street NW will examine issues associated with research involving deceased

National Academy of Sciences Washington, D.C. 20001 PC organ donors. $ 200,000

National Alliance for Public Charter 1101 15th Street NW, Suite 1010 To conduct research and raise awareness about pension plans for

Schools Washington, D.C. 20005 PC teachers in charter schools $ 100,000

To disseminate the findings of a study analyzing the workloads ofNational Association for Public P.O. Box 211 Louisiana's public defenders and to pursue Sixth Amendment

Defense, Inc. Frankfort, KY 40602 NC: 501(c)(6) litigation. $ 119,300

To support the creation of an economic research consortium that willNational Bureau of Economic 1050 Massachusetts Avenue study the U.S. health care system and produce tools to improveResearch, Inc. Cambridge, MA 02138 PC efficiency and promote best practices. $ 245,000

To create and disseminate tools to estimate how much taxpayers

National Campaign to Prevent Teen 1776 Massachusetts Avenue NW, Suite 200 spend at the local, state, and national level in relation to teen

and Unplanned Pregnancy Washington, D.C. 20036 PC childbearing. $ 145,661

121 Sixth Avenue

National Center for Civic Innovation New York, NY 10013 PC To help criminal justice agencies more effectively share data. $ 601,600National Conference of State 7700 E First Place To track and summarize state legislation related to pretrial justice

Legislatures Denver, CO 80230 GOV and police body-worn cameras. $ 45,000National Conference of State 7700 E First Place To develop a collaborative, nonpartisan forum for policymakers toLegislatures Denver, CO 80230 GOV communicate about structural electoral reforms. $ 50,000National Council on Crime and 1970 Broadway, Suite 500 To establish a data-sharing platform that will help identify youth atDelinquency Oakland, CA 94612 PC risk of becoming involved in the juvenile justice system. $ 220,000National Council on Teacher Quality, 1120 G Street NW, Suite 800

Inc. Washington, D.C. 20005 PC To provide information about teachers' pension systems. $ 106,000National Council on Teacher Quality, 1120 G Street NW, Suite 800Inc. Washington, D.C. 20005 PC To help improve teacher traini ng programs. $ 350,000

720 7th Street NW, 3rd Floor To provide strategic planning assistance to states that use federal

National Criminal Justice Association Washington, D.C. 20001 PC funding to implement evidence-based criminal justice reforms. $ 570,000National Governors Association 444 N Capitol Street NW, Suite 267 To identify best practices in evidence-based policymaking and

Center for Best Practices Washington, D.C. 20001 PC educate state leaders about such practices. $ 350,000National Governors Association 444 N Capitol Street NW, Suite 267 To provide strategic planning assistance to states that use federalCenter for Best Practices Washington, D.C. 20001 PC funding to implement evidence-based criminal justice reforms. $ 560,000

To conduct an independent review of reports produced by the Center

for Medicare & Medicaid Innovation in order to identify best55 E Monroe Street, 20th Floor practices for alternative medical payment and service delivery

National Opinion Research Center Chicago, IL 60603 PC models $ 220,0001730 Rhode Island Avenue NW, Suite 712

National Skills Coalition Washington, D.C. 20036 PC To support the Workforce Data Quality Campaign. $ 134,000100 Lafayette Street, 2nd Floor

New Schools for Baton Rouge Baton Rouge, LA 70801 PC To promote high-quality school options in Baton Rouge, Louisiana. $ 3,025,8831555 Poydras Street, Suite 781

New Schools for New Orleans, Inc. New Orleans, LA 70112 PC To promote high-quality school options in New Orleans, Louisiana. $ 900,000



FOUNDATION

2016 FORM 990-PF



1555 Poydras Street, Suite 781

New Schools for New Orleans, Inc. New Orleans, LA 70112 PC To promote high-quality school options in New Orleans, Louisiana. $ 2,385,3701555 Poydras Street, Suite 781

New Schools for New Orleans, Inc. New Orleans, LA 70112 PC To promote high-quality school options in New Orleans, Louisiana $ 967,0001201 Connecticut Avenue NW, Suite 300 To fund the Scholarly Publishing and Academic Resources Coalition's

New Venture Fund Washington, D.C. 20036 PC OpenCon conference. $ 25,0001201 Connecticut Avenue NW, Suite 300 To provide planning support for the Scholarly Publishing and

New Venture Fund Washington, D C. 20036 PC Academic Resources Coalition. $ 140,000665 Broadway, Suite 801 To analyze and improve the quality of cost-benefit analyses in

New York University New York, NY 10012 PC policing. $ 51,524665 Broadway, Suite 801 To develop and evaluate a Swift-Certain-Fair prison discipline model

New York University New York, NY 10012 PC that provides alternatives to restrictive housing. $ 100,000

To develop a slate of nonpartisan reforms designed to improve

66S Broadway, Suite 801 reviews of federal agencies' rulemaking proposals to help ensure thatNew York University New York, NY 10012 PC new federal regulations increase social welfare. $ 100,000

665 Broadway, Suite 801 To develop a platform and learning process to advance the use ofNew York University New York, NY 10012 PC data in federal, state, and local decision making. $ 700,000

665 Broadway, Suite 801 To conduct a pilot of the Graduated Reintegration approach to re-New York University New York, NY 10012 PC entry. $ 810,000

1970 Broadway, Suite 350 To help develop and launch high-quality schools across the UnitedNewSchools Venture Fund Oakland, CA 94612 PC States. $ 1,600,000

5 Hanover Square, 9th FloorNonprofit Finance Fund New York, NY 10004 PC To support the Pay for Success Learning Hub. $ 325,000

5 Hanover Square, 9th Floor

Nonprofit Finance Fund New York, NY 10004 PC To advance Pay for Success Financing. $ 360,000Rigshospitalet, 7811

BlegdamsveJ 9

2100 Kobenhavn 0 To conduct meta-research on anti-depressants in order to promoteNordic Cochrane Center Denmark GOV transparency and openness in medical research. $ 117,322

Rigshospitalet, 7811

Blegdamsvej 9

2100 Kobenhavn 0 To conduct meta-research on clinical trial protocols in order toNordic Cochrane Centre Denmark GOV promote transparency and openness in medical research. $ 94,330

1801 Maple Avenue, Suite 2410 To identify school practices and policies that are promisingNorthwestern University Evanston, IL 60201 PC candidates for rigorous evaluation. $ 226,365

1900 Grant Street, Suite 400 To support three randomized controlled trials of a nurse homeNurse Family Partnership Denver, CO 80203 PC visiting program. $ 377,763

6020 Cornerstone Court W, Suite 240 To support a randomized controlled trial to assess whether a sugar-Nutrition Science Initiative San Diego, CA 92121 PC free diet can reverse the effects of nonalcoholic fatty liver disease. $ 281,906

6020 Cornerstone Court W, Suite 240Nutrition Science Initiative San Diego, CA 92121 PC To provide general operating support. $ 956,306



FOUNDATION

2016 FORM 990-PF


Foundation Status


To conduct a random assignment intervention that uses an

1960 Kenny Road integrated service delivery model to provide case management and

Ohio State University Foundation Columbus, OH 43210 PC employment services to low-income adults in Ohio. $ 267,267

To support the Donor Management Research Initiative in its efforts3181 SW Sam Jackson Park Road to maximize the quality and quantity of life-saving organs, and to

Oregon Health & Science University Portland, OR 97239 GOV build a national, web-based donor management data registry. $ 1,129,1953181 SW Sam Jackson Park Road To support efforts to improve the Medicaid drug purchasing process

Oregon Health & Science University Portland, OR 97239 GOV through research and design of value-based payment models. $ 1,532,837

242 W 30th Street, Suite 806 To help identify innovative solutions that will increase the number ofOrgan Alliance, Inc. New York, NY 10001 PC organ transplants and eliminate the wait list for donors. $ 19,566

To support efforts to increase the number of organ donors in the242 W 30th Street, Suite 806 United States and reduce the number of individuals on the waiting

Organ Alliance, Inc. New York, NY 10001 PC list. $ 500,000221 Main Street, Suite 1500 To identify and disseminate innovative alternative health care

Pacific Business Group on Health San Francisco, CA 94105 PC payment models. $ 582,079Parent Coalition for Excellent 570 Broad Street, Suite 530

Education, Inc. Newark, NJ 07102 PC To support the launch of grantee's office in Camden, New Jersey. $ 300,0001100 New York Avenue NW, Suite 200E

Partnership for Public Service, Inc. Washington, D.C. 20005 PC To advance Pay for Success Financing. $ 184,2231100 New York Avenue NW, Suite 200E To identify measures that can improve operations at the Office of

Partnership for Public Service, Inc. Washington, D.C. 20005 PC Management and Budget. $ 545,00024255 Pacific Coast Highway To fund BetaGov, a project that supports practitioner-led randomized

Pepperdine University Malibu, CA 90265 PC controlled trials related to criminal justice policies. $ 1,000,000901 E Street NW

Pew Charitable Trusts Washington, D.C. 20004 PC To support the Public Sector Retirement Systems project. $ 2,000,000901 E Street NW To support the development of common standards for gathering and

Pew Charitable Trusts Washington, D.C. 20004 PC reporting data on tax incentives for economic development. $ 201,639901 E Street NW

Pew Charitable Trusts Washington, D.C. 20004 PC To conduct research on electronic monitoring. $ 111,375Pew Charitable Trusts 901 E Street NW To support efforts to improve state economic development programs

Washington, D.C. 20004 PC by conducting research and providing technical assistance. $ 763,0001730 M Street NW, Suite 601 To create an alternative to the Veterans Disability Compensation

Philanthropy Roundtable Washington, D.C. 20036 PC system. $ 25,0001120 Connecticut Avenue NW, Suite 930

Police Executive Research Forum Washington, D.C. 20036 PC To conduct research on police body-worn cameras. $ 56,1961120 Connecticut Avenue NW, Suite 930

Police Executive Research Forum Washington, D.C. 20036 PC To conduct research on police body-worn cameras. $ 123,506



FOUNDATION

2016 FORM 990-PF


Foundation Status


1201 Connecticut Avenue NW, Suite 200 To collect and analyze data regarding officer-involved shootings from

Police Foundation Washington, D.C. 20036 PC major city police agencies. $ 130,000

1201 Connecticut Avenue NW, Suite 200 To fund a randomized controlled trial to evaluate procedural justicePolice Foundation Washington, D.C. 20036 PC training and "hot spot" policing. $ 580,000

President and Fellows of Harvard 1033 Massachusetts Avenue, 3rd Floor To conduct a randomized controlled trial of the Public SafetyCollege Cambridge, MA 02138 PC Assessment $ 73,759

President and Fellows of Harvard 1033 Massachusetts Avenue, 3rd Floor To develop ideas for future experimental interventions related to

College Cambridge, MA 02138 PC housing voucher programs. $ 5,000President and Fellows of Harvard 1033 Massachusetts Avenue, 3rd Floor

College Cambridge, MA 02138 PC To support the Equality of Opportunity project $ 20,000

President and Fellows of Harvard 1033 Massachusetts Avenue, 3rd Floor To promote evidence-based decision making at all levels of

College Cambridge, MA 02138 PC government $ 100,000

To help identify new payment models for Accountable Care

President and Fellows of Harvard 1033 Massachusetts Avenue, 3rd Floor Organizations and other entities and to develop research studies to

College Cambridge, MA 02138 PC evaluate those models. $ 139,688President and Fellows of Harvard 1033 Massachusetts Avenue, 3rd Floor

College Cambridge, MA 02138 PC To fund grantee's Criminal Justice Policy Program. $ 350,000

To fund the continuation of the Coding for Cancer initiative, the

development of a plan to support future open innovation challenges,President and Fellows of Harvard 1033 Massachusetts Avenue, 3rd Floor and the creation of a preliminary plan for an open innovation center

College Cambridge, MA 02138 PC that will coordinate future efforts across health care topics. $ 350,000President and Fellows of Harvard 1033 Massachusetts Avenue, 3rd Floor To provide general operating support to the Harvard Open Access

College Cambridge, MA 02138 PC Project $ 350,000President and Fellows of Harvard 1033 Massachusetts Avenue, 3rd Floor To support the Harvard Kennedy School's Government Performance

College Cambridge, MA 02138 PC Lab. $ 375,000President and Fellows of Harvard 1033 Massachusetts Avenue, 3rd Floor To support the Center for Public Leadership's efforts to evaluate a

College Cambridge, MA 02138 PC series of low-cost, high-yield interventions. $ 800,000President and Fellows of Harvard 1033 Massachusetts Avenue, 3rd Floor

College Cambridge, MA 02138 PC To develop and support a network of government chief data officers. $ 1,004,241President and Fellows of Harvard 1033 Massachusetts Avenue, 3rd Floor To help develop a litigation strategy focused on ending deceptive

College Cambridge, MA 02138 PC practices in the for-profit college industry. $ 1,168, 180President and Fellows of Harvard 1033 Massachusetts Avenue, 3rd Floor To help create the Access to Justice Lab, which will promote the use

College Cambridge, MA 02138 PC of rigorous evidence about what works in the legal system. $ 1,381,21 3President and Fellows of Harvard 1033 Massachusetts Avenue, 3rd Floor To support the development and operations of the HealthCare

College Cambridge, MA 02138 PC Markets and Regulation Lab. $ 3,736,375President and Fellows of Harvard 1033 Massachusetts Avenue, 3rd Floor To promote best practices that can help governments achieveCollege Cambridge, MA 02138 PC operational excellence in a cost-efficient manner. $ 75,319

15S Avenue of the Americas, 13th FloorPro Publica, Inc. New York, NY 10013 PC To support investigative journalism in the public interest. $ 1,000,000Public Health Management 1500 Market Street, Centre Square E To study the integration of trained "Peer Recovery Specialists" intoCorporation Philadelphia, PA 19102 PC Philadelphia's adult drug treatment court. $ 211,328



FOUNDATION

2016 FORM 990-PF


Foundation Status


To support programs aimed at placing edicts and works of

1005 Gravenstein Highway N government that have been erroneously assigned copyright

Public. Resource.Org, Inc. Sebastopol, CA 95472 PC protection into the public domain. $ 250,000

1776 Main Street

RAND Corporation Santa Monica, CA 90401 PC To analyze information about public pension systems. $ 64,139

5737 Mesmer Avenue To expand access to information about public sector retirement

Reason Foundation Los Angeles, CA 90230 PC systems. $ 500,000

To support a multifaceted research, technical assistance, policy, and

5737 Mesmer Avenue educational outreach project aimed at improving state and municipal

Reason Foundation Los Angeles, CA 90230 PC pension systems. $ 534,489

3100 Marine Street, Room 481

Regents of the University of Colorado Boulder, CO 80303 PC To expand the Blueprints for Healthy Youth Development initiative. $ 900,000

3100 Marine Street, Room 481 To research the long-term impacts of the Nurse Family Partnership

Regents of the University of Colorado Boulder, CO 80303 PC program. $ 66,238Regents of the University of 200 Oak Street SE, Suite 450 To help establish a center that will improve the quality of health careMinnesota Minneapolis, MN 55455 GOV news and information available to consumers. $ 643,147

Regents of the University of 200 Oak Street SE, Suite 450 To support efforts to improve the quality of health care news and

Minnesota Minneapolis, MN 55455 GOV information available to consumers. $ 826,984

Research Foundation of the City 230 W 41st Street, 7th Floor To develop a research agenda for pretrial criminal justice and

University of New York New York, NY 10036 PC evaluate research proposals. $ 76,513

Research Foundation of the City 230 W 41st Street, 7th Floor

University of New York New York, NY 10036 PC To create the Research Network on Misdemeanor Justice. $ 950,000


University of New York New York, NY 10036 PC To convene a roundtable on pretrial best practices. $ 25,000

Research Foundation of the City 230 W 41st Street, 7th FloorUniversity of New York New York, NY 10036 PC To fund the Misdemeanor Justice Project. $ 72,023


University of New York New York, NY 10036 PC To fund the Misdemeanor Justice Project. $ 300,000

Research Foundation of the City 230 W 41st Street, 7th Floor To study how to help individuals who are frequently involved withUniversity of New York New York, NY 10036 PC both the criminal justice and health care systems. $ 370,000

P.O. Box 12194 To evaluate two programs aimed at making the process used toResearch Triangle Institute Research Triangle Park, NC 27709 SO I analyze sexual assault kit evidence more efficient. $ 100,000

P.O. Box 12194

Research Triangle Institute Research Triangle Park, NC 27709 SO I To help establish a National Forensic Science Academy. $ 200,000

10 Laudholm Road To develop and implement a literacy tutoring program for at-riskSAGA Innovations Inc. Newton, MA 02458 PC students in elementary school. $ 295,400

1100 Fairview Avenue N To fund the digital mammography portion of the Coding for Cancer

Sage Blonetworks Seattle, WA 98109 PC challenge. $ 100,000

To evaluate the impact of Proposition B, a 2012 pension reformSan Diego Regional Chamber 401 W Broadway, Suite 1000 initiative in San Diego, in order to educate other cities and the

Foundation San Diego, CA 92101 PC general public. I s 50,000



FOUNDATION

2016 FORM 990-PF


Foundation Status


5858 Horton Street, Suite 451 To provide general operating support and help improve K-12

Silicon Schools Fund, Inc. Emeryville, CA 94608 PC education in the Bay Area of California. $ 1,000,000

5858 Horton Street, Suite 451

Silicon Schools Fund, Inc. Emeryville, CA 94608 PC To support blended learning. $ 1,000,000

10 Milk Street, Suite 1010

Social Finance, Inc. Boston, MA 02108 PC To advance Pay for Success Financing. $ 1,000,000

400 Washington Avenue To create a network that will help advocates and researchers

Southern Poverty Law Center, Inc. Montgomery, AL 36104 PC maximize court-debt reform efforts. $ 280,000

400 Washington Avenue To help reduce the incarceration of indigent defendants detained

Southern Poverty Law Center, Inc. Montgomery, AL 36104 PC solely because they are unable to pay court-imposed fines and fees. $ 341,600

2121 SW Broadway, Number 111 To provide general operating support and help improve K-12

Stand for Children Leadership Center Portland, OR 97201 PC education in the state of Louisiana. $ 500,000

933 N Kenmore Street, Suite 405 To inform the public about the value of greater transparency for

Statistical Assessment Service Arlington, VA 22201 PC clinical trials in medicine and other scientific domains. $ 400,000

315 W 36th Street, 7th Floor To recruit talented teachers and school leaders in Camden, New

Teach for America New York, NY 10018 PC Jersey. $ 290,000

477 S Main Street

Teacher Town USA, Inc. Memphis, TN 38103 50 I To promote high-quality school options in Memphis, Tennessee. $ 230,000

477 S Main Street

Teacher Town USA, Inc. Memphis, TN 38103 501 To promote high-quality school options in Memphis, Tennessee. $ 400,000

477 S Main Street

Teacher Town USA, Inc. Memphis, TN 38103 SO I To promote high-quality school options in Memphis, Tennessee $ 2,500,000

525 W 120th Street, Box 235 To support efforts to improve academic achievement for studentsTeachers College, Columbia Universi ty New York, NY 10027 PC from low-income families. $ 12,036

To develop a tool that provides targeted services to people who are

Temple University 1852 N 10th Street frequently involved with both the criminal justice and health carePhiladelphia, PA 19122 PC systems. $ 100,945901 Congress Avenue To expand access to information about public sector retirement

Texas Public Policy Foundation Austin, TX 78701 PC systems. $ 40,000

901 Congress Avenue To support educational efforts related to retirement security and

Texas Public Policy Foundation Austin, TX 78701 PC public pension policies in the state of Texas and across the nation. $ 44,758901 Congress Avenue To raise public awareness of reform efforts related to the criminal

Texas Public Policy Foundation Austin, TX 78701 PC justice pretrial process and court-imposed fines and fees. $ 200,000The Board of Trustees of the Leland 3160 Porter Drive, Suite 100 To support the development of a center that is focused on improving

Stanford Junior University Palo Alto, CA 94304 PC the quality of medical research. $ 2,426,979The Board of Trustees of the Leland 3160 Porter Drive, Suite 100 To support the Center for Education Policy Analysis in its evaluation

Stanford Junior University Palo Alto, CA 94304 PC of Ready4K. $ 138,565The Board of Trustees of the Leland 3160 Porter Drive, Suite 100 To expand the Stanford Institute for Economic Policy Research

Stanford Junior University Palo Alto, CA 94304 PC Pension Tracker. $ 144,470



FOUNDATION

2016 FORM 990-PF


Foundation Status


The Board of Trustees of the Leland 3160 Porter Drive, Suite 100

Stanford Junior University Palo Alto, CA 94304 PC To help establish the Center for Reproducible Neuroscience. $ 1,000,000


Stanford Junior University Palo Alto, CA 94304 PC To support the Center on Poverty and Inequality $ 40,000


Stanford Junior University Palo Alto, CA 94304 PC To support the Institute for Economic Policy Research. $ 145,000

The Board of Trustees of the 809 S Marshfield Avenue To fund a randomized controlled trial of Big Brothers Big Sisters ofUniversity of Illinois Chicago, IL 60612 PC America's community-based mentoring program. $ 380,874

To support the expansion of Retraction Watch, an online website and560 W 43rd Street, Apartment 20E database that promotes transparency and integrity in scientific

The Center for Scientific Integrity, Inc. New York, NY 10036 PC research. $ 150,000

1 Whitehall Street, 15th Floor To identify reforms that address the unfair practices of for-profit

The Century Foundation, Inc. New York, NY 10004 POF colleges $ 273,200

To support efforts to increase the number of successful organ

9500 Euclid Avenue, JJNS-01 transplants and reduce the number of people on the organ donor

The Cleveland Clinic Foundation Cleveland, OH 44195 PC wait list. $ 200,000

3031 Dollar Mark Way C To conduct research and educate the public about sugar and its

The CrossFit Foundation, Inc. Prescott, AZ 86305 PC impact on health. $ 400,000

156 W 56th Street, Suite 701 To support nonpartisan, online news coverage of the criminal justice

The Marshall Project New York, NY 10019 PC system. $ 750,000

1630 N Meridian Street, Suite 450

The Mind Trust, Inc. Indianapolis, IN 46202 PC To promote high-quality school options in Indianapolis, Indiana. $ 3,599,544

1651 Prince Street To support a convening to identify an evaluation and continuous

The National Head Start Association Alexandria, VA 22314 PC improvement strategy for Head Start. $ 39,0001664 N Virginia Street MS 358

The National Judicial College Reno, NV 89557 PC To help develop a forensic science education program for judges. $ 100,000

186 Joralemon Street, Suite 300

The New Teacher Project Brooklyn, NY 11201 PC To help develop high-quality teachers in New Orleans, Louisiana. $ 1,264,555

P.O. Box 27148 To develop a plan to increase the number of high-quality school

The Oakland Public Education Fund Oakland, CA 94602 PC options in Oakland, California. $ 55,000

To study how evidence-based programs for preventing youth

219 HHD substance abuse impact Medicaid costs and the utilization of healthThe Pennsylvania State University State College, PA 16801 GOV services. $ 35,000The Project on Government 1199 G Street NW, Suite 500 To enhance the ability of federal inspector generals to detect and

Oversight, Inc. Washington, D.C. 20005 PC recover improper payments made by government agencies. $ 368,985

236 W Portal 223The PubPeer Foundation San Francisco, CA 94127 PC To provide general operating support. $ 214,400The Rector and Visitors of the P.O. Box 400195 To investigate the impacts of behavioral nudge initiatives designed to

University of Virginia Charlottesville, VA 22904 PC improve college entry and completion rates for low-income students. $ 110,620



FOUNDATION

2016 FORM 990-PF


Foundation Status


To fund a randomized controlled trial of a cognitive behavioral

The Regents of the University of 2150 Shattuck Avenue, Suite 300 therapy program for individuals with mental illness who are involvedCalifornia, Berkeley Berkeley, CA 94704 GOV in the crim inal justice system. $ 361,725

The Regents of the University of 2150 Shattuck Avenue, Suite 300 To fund two meta-research projects submitted as part of the

California, Berkeley Berkeley, CA 94704 GOV Berkeley Initiative on Transparency in the Social Sciences' $ 50,530

To support the Berkeley Initiative on Transparency in the SocialThe Regents of the University of 2150 Shattuck Avenue, Suite 300 Sciences' competition to incentivize and encourage meta-research in

California, Berkeley Berkeley, CA 94704 GOV economics and political science. $ 350,000The Regents of the University of 2150 Shattuck Avenue, Suite 300 To perform qualitative research on the impacts of pretrial diversion

California, Berkeley Berkeley, CA 94704 GOV and detention. $ 366,326The Regents of the University of 2150 Shattuck Avenue, Suite 300 To help enhance the Internal Revenue Service data infrastructure and

California, Berkeley Berkeley, CA 94704 GOV to conduct research on topics related to inequality and opportunity. $ 80,000The Regents of the University of 2150 Shattuck Avenue, Suite 300 To fund outreach activities for the Berkeley Initiative on

California, Berkeley Berkeley, CA 94704 GOV Transparency in the Social Sciences. $ 190,006The Regents of the University of 5171 California Avenue, Suite 150

California, Irvine Irvine, CA 92697 GOV To support the Economic Self-Sufficiency Policy Research Institute. $ 549,558The Regents of the University of 11000 Kinross Avenue, Suite 211

California, Los Angeles Los Angeles, CA 90095 GOV To support the continued development of DeclareDesign. $ 327,521The Regents of the University of 9500 Gilman Drive To fund a randomized controlled trial of performance incentives for

California, San Diego La Jolla, CA 92092 GOV community college instructors and their students. $ 296,269The Regents of the University of 9500 Gilman Drive To help develop high-quality teachers in the Houston Independent

California, San Diego La Jolla, CA 92092 GOV School District in Texas. $ 1,500The Regents of the University of 9500 Gilman Drive To improve the statistical methodology used to evaluate theCalifornia, San Diego La Jolla, CA 92092 GOV reliability of eyewitness identification. $ 83,955The Regents of the University of 3333 California Street, Suite 315 To help develop a plan for increasing the use of preprints in the lifeCalifornia, San Francisco San Francisco, CA 94118 GOV sciences community. $ 50,000

To fund a randomized controlled trial of an intervention toThe Regents of the University of 2201 North Hall UC Santa Barbara strengthen communication between college instructors and theirCalifornia, Santa Barbara Santa Barbara, CA 93106 GOV students. $ 104,096The Regents of the University of

Michigan 3003 S State Street, 1st Floor To promote the use of pre-acceptance publishing in political science

Ann Arbor, MI 48109 PC research in an effort to improve research transparency and integrity. $ 55,020The Regents of the University of 3003 S State Street, 1st Floor To launch an exploratory pilot of the Criminal Justice AdministrativeMichigan Ann Arbor, MI 48109 PC Records System. $ 458,554The Regents of the University of 3003 S State Street, 1st Floor To help design a randomized controlled trial of Planned Parenthood'sMichigan Ann Arbor, MI 48109 PC Contraceptive Access Research and Evaluation. $ 15,575The Regents of the University of 3003 S State Street, 1st Floor To rigorously evaluate the long-term impact of four programsMichigan Ann Arbor, MI 48109 PC designed to combat poverty. $ 300,199The Regents of the University of 3003 S State Street, 1st Floor

Michigan Ann Arbor, MI 48109 PC To help establish the Youth Policy Lab. $ 504,2441818 N Street NW, Suite 300 To identify the criminal justice data available to researchers,

The Sunlight Foundation Washington, D.C. 20036 PC policymakers, and the public, and promote data sharing. $ 88,549



FOUNDATION

2016 FORM 990-PF


Foundation Status


1200 New Hampshire Avenue, NW, Number

57S To educate stakeholders about the portfolio model of school

The Third Way Foundation, Inc. Washington, D.C. 20036 PC governance $ 240,000

5807 South Woodlawn Avenue

The University of Chicago Chicago, IL 60637 PC To develop and support a network of government chief data officers. $ 330,423

5807 South Woodlawn Avenue To evaluate a tutoring program for at-risk readers in elementary

The University of Chicago Chicago, IL 60637 PC school. $ 40,000

5807 South Woodlawn Avenue To train scholars in the field experiment method and promote field

The University of Chicago Chicago, IL 60637 PC experiment research. $ 40,665

5807 South Woodlawn Avenue To develop and study a pre-booking police protocol that diverts

The University of Chicago Chicago, IL 60637 PC narcotics-involved offenders in Chicago to treatment. $ 160,000

5807 South Woodlawn Avenue

The University of Chicago Chicago, IL 60637 PC To identify promising applications of machine learning techniques. $ 33,955

5807 South Woodlawn Avenue To study whether cognitive behavioral therapy and high-intensity

The University of Chicago Chicago, IL 60637 PC tutoring can help prevent crime. $ 250,000

5807 South Woodlawn Avenue To establish a New York City hub for the University of Chicago Crime

The University of Chicago Chicago, IL 60637 PC Lab. $ 900,000

To fund a randomized controlled trial of a program that provides

5807 South Woodlawn Avenue wrap-around financial, academic, and personal supports for low-

The University of Chicago Chicago, IL 60637 PC income community college students in Chicago, Illinois. $ 34,685

5807 South Woodlawn Avenue To study an analytical tool that predicts which hazardous waste sites

The University of Chicago Chicago, IL 60637 PC are most likely to violate environmental regulations. $ 105,569

5807 South Woodlawn Avenue To support grantee's Harris School of Public Policy Center's efforts to

The University of Chicago Chicago, IL 60637 PC enhance transparency and accountability in government finance. $ 1,000,000

1534 White Avenue To evaluate the impact of book fairs for economically disadvantagedThe University of Tennessee Knoxville, TN 37966 GOV elementary school students. $ 85,000

101 E 27th Street, Stop A9000 To evaluate an economic development incentive program and its

The University of Texas at Austin Austin, TX 78712 GOV impact on job growth in the state of Texas. $ 88,593

101 E 27th Street, Stop A9000 To support the expansion of policy-relevant evidence developed

The University of Texas at Austin Austin, TX 78712 GOV using Internal Revenue Service data. $ 240,000

To support studies that will evaluate insights from behavioral

101 E 27th Street, Stop A9000 economics in order to develop recommendations for proceduralThe University of Texas at Austin Austin, TX 78712 GOV improvements at the internal Revenue Service. $ 277,500

101 E 27th Street, Stop A9000

The University of Texas at Austin Austin, TX 78712 GOV To support research aimed at improving K-12 education in Texas. $ 12,000

101 E 27th Street, Stop A9000

The University of Texas at Austin Austin, TX 78712 GOV To support research aimed at improving K-12 education in Texas. $ 27,910

800 W Campbell Road

The University of Texas at Dallas Richardson, TX 75080 GOV To support the Kain Center for Education Policy Research. $ 639,275



FOUNDATION

2016 FORM 990-PF


Foundation Status


600 Public Ledger Building To develop and study a pre-booking police protocol that diverts

Treatment Research Institute Philadelphia, PA 19148 PC substance-involved offenders in Philadelphia to treatment. $ 263,38340514th Street, Suite 164

Trust for Conservation Innovation Oakland, CA 94612 PC To advance Pay for Success Financing $ 21,971

To support research on the impact of government-sponsored

140 Commonwealth Avenue automatic individual retirement accounts for private sector workers

Trustees of Boston College Chestnut Hill, MA 02467 PC who do not have access to workplace retirement savings plans. $ 117,391

881 Commonwealth Avenue, 4th Floor To establish the K-12 Educational Research Fund in order to advance

Trustees of Boston University Boston, MA 02215 PC K-12 education-related research. $ 30,000Trustees of Columbia University in the 630 W 168th Street, Box 49 To support the Center for the Advancement of Public Integrity in its

City of New York New York, NY 10032 PC efforts to improve the transparency of state and local government. $ 101,143Trustees of Columbia University In the 630 W 168th Street, Box 49 To support the Center for the Advancement of Public Integrity in its

City of New York New York, NY 10032 PC efforts to improve the transparency of state and local government. $ 209,742

To support efforts to increase the number of successful organTrustees of Columbia University in the 630 W 168th Street, Box 49 transplants and reduce the number of people on the organ donor

City of New York New York, NY 10032 PC wait list. $ 142,81311 Rope Ferry Road, Number 6210 To help disseminate evidence-based treatment strategies across

Trustees of Dartmouth College Hanover, NH 03755 PC health care systems $ 2,474,513Trustees of the University of 3451 Walnut Street To fund a randomized controlled trial of an informational tool forPennsylvania Philadelphia, PA 19104 PC public defenders designed to reduce sentencing disparities. $ 84,860Trustees of the University of 3451 Walnut Street To support the first phase of the Actionable Intelligence for SocialPennsylvania Philadelphia, PA 19104 PC Policy Innovation project. $ 900,000Trustees of the University of 3451 Walnut Street To fund a study of the effects of vertical and horizontal defense

Pennsylvania Philadelphia, PA 19104 PC representation models on case and crim inal justice outcomes. $ 110,0006823 St. Charles Avenue To improve the quality of education data available to the public,

Tulane University New Orleans, LA 70118 PC researchers, and educators in New Orleans, Louisiana. $ 2,000,0002483 Old Middlefield Way To support the development of a national platform of public financial

United States Common Sense Mountain View, CA 94043 PC data and documents for state and local governments. $ 99,289United States Common Sense 2483 Old Middlefield Way To promote best practices that can help governments achieve

Mountain View, CA 94043 PC operational excellence in a cost-efficient manner. $ 115,4473171 Gateway Loop To conduct a randomized controlled trial of the Kids in Transition to

United Way of Lane County Springfield, OR 97477 PC School program. $ 93,106

To support a longitudinal study of how computer scientists share888 N Euclid Avenue, Room 510 research artifacts in order to inform the creation of a web-based data

University of Arizona Tucson, AZ 85719 GOV collection system. $ 133,035210 Administration Building

University of Arkansas Fayetteville, AR 72701 PC To provide information about teachers' pension systems. $ 89,792



FOUNDATION

2016 FORM 990-PF


Foundation Status


University of Cincinnati Research 51 Goodman Drive, Suite 540 To fund a center for police research and policy in collaboration withInstitute Cincinnati, OH 45221 PC the International Association of Chiefs of Police. $ 650,000

438 Whitney Road Ext., Unit 1133

University of Connecticut Storrs Mansfield, CT 06269 GOV To study how expungement affects recidivism and employment $ 26,000438 Whitney Road Ext., Unit 1133 To study how pretrial detention affects a variety of defendant

University of Connecticut Storrs Mansfield, CT 06269 GOV outcomes. $ 40,000University of Georgia Research 310 E Campus Road, Tucker Hall 409 To conduct research about the potential effects of ranked choice

Foundation Athens, GA 30602 PC voting. $ 57,736620 W Lexington Street, 4th Floor

University of Maryland Baltimore, MD 20201 GOV To help establish the Maryland Data Analysis Center. $ 354,0001500 NW 12th Avenue, Suite 1020 E To develop and study a multi-dimensional family therapy program in

University of Miami Miami, FL 33136 PC the Miami-Dade criminal drug court. $ 208,170

115 Business Loop 70W, Mizzou N Room 501 To develop high-quality teachers in the Houston Independent SchoolUniversity of Missouri Columbia, MO 65211 GOV District in Texas. $ 18,547

115 Business Loop 70W, Mizzou N Room 501 To expand access to Information about public sector retirementUniversity of Missouri Columbia, MO 65211 GOV systems. $ 129,665University of North Carolina at 9201 University City Boulevard To evaluate the Mecklenburg County, North Carolina Driver's LicenseCharlotte Charlotte, NC 28223 GOV Recovery Initiative. $ 8,005

3720 S. Flower Street, 3rd Floor To support a low-cost randomized controlled trial of theUniversity of Southern California Los Angeles, CA 90089 PC Neighborhood Resource Network program. $ 32,674

3720 S. Flower Street, 3rd Floor To develop a predictive risk model that improved the way ChildUniversity of Southern California Los Angeles, CA 90089 PC Protective Services triages cases. $ 45,000

3720 S. Flower Street, 3rd Floor To evaluate laws that regulate state and local public sectorUniversity of Southern California Los Angeles, CA 90089 PC employees. $ 300,000

201 Presidents Circle, Room 203University of Utah Salt Lake City, UT 84112 PC To support the University of Utah's Policy Innovation Lab. $ 500,000

201 Presidents Circle, Room 203

University of Utah Salt Lake City, UT 84112 PC To advance Pay for Success Financing. $ 254,3104333 Brooklyn Ave NE To evaluate the Law Enforcement Assisted Diversion program in

University of Washington Seattle, WA 98195 GOV Seattle, Washington. $ 140,0004333 Brooklyn Ave NE

University of Washington Seattle, WA 98195 GOV To develop an implementation plan for the Applied Public Policy Lab. $ 179,870

4333 Brooklyn Ave NE To study a program that pairs post-release offenders in WashingtonUniversity of Washington Seattle, WA 98195 GOV state with medical profess ionals $ 262,177

4333 Brooklyn Ave NE To research how courts across the United States impose fines andUniversity of Washington Seattle, WA 98195 GOV fees. $ 782,969

407 Gerberding Hall

University of Washington Foundation Seattle, WA 98195 PC To support the Center on Reinventing Public Education. $ 250,0002100 M Street NW To support the creation of a tool to effectively obtain, use, and

Urban Institute Washington, D.C. 20037 PC analyze Social Security Administration data. $ 39,617



FOUNDATION

2016 FORM 990-PF


Foundation Status


2100 M Street NW To identify key research questions and potential projects related to

Urban Institute Washington, D.C. 20037 PC the federal government's New Markets Tax Credit program. $ 70,621

2100 M Street NW

Urban Institute Washington, D.C. 20037 PC To conduct research on police body-worn cameras. $ 103,687

2100 M Street NW To gather data on the state of prosecutorial decision making

Urban Institute Washington, D.C. 20037 PC nationwide. $ 230,000

2100 M Street NW To help improve the fiscal sustamability, of state and localUrban Institute Washington, D.C. 20037 PC governments. $ 233,803

2100 M Street NW To help governments implement and evaluate economic

Urban Institute Washington, D.C. 20037 PC development initiatives. $ 456,603

2100 M Street NW

Urban Institute Washington, D.C. 20037 PC To develop an evidence-based policymaking collaborative. $ 715,859

2100 M Street NW

Urban Institute Washington, D.C. 20037 PC To advance Pay for Success Financing. $ 1,782,668

2100 M Street NW

Urban Institute Washington, D.C. 20037 PC To fund the Tax Policy Center. $ 3,273,138

S46 Carondelet Street To conduct a cost-benefit analysis of the use of court-imposed fines

Vera Institute of Justice, Inc. New Orleans, LA 70130 PC and fees in New Orleans, Louisiana $ 85,000S46 Carondelet Street To identify strategies to safely reduce the jail population in New

Vera Institute of Justice, Inc. New Orleans, LA 70130 PC Orleans, Louisiana. $ 100,000

P.O. Box 71162 To support the creation of an alternative to the Veterans Disability

Veterans Education Success Bethesda, MD 20813 PC Compensation system. $ 100,000Virginia Polytechnic Institute and 300 Turner Street NW, Suite 4200 (MC 0170)

State University Blacksburg, VA 24061 GOV To provide planning support for the Social and Decision Analytics Lab. $ 124,000

To develop and publish Truth and Integrity in State Budgeting560 Lexington Avenue, Suite 16B reports that analyze key principles for improving transparency and

Volcker Alliance, Inc. New York, NY 10022 PC effectiveness. $ 700,0005625 Dillard Drive To fund a low-cost randomized controlled trial of the tiered

Wake County Public School System Cary, NC 27518 GOV education support model of academic and behavioral services for $ 39,320Washington State University P.O. Box 641927

Foundation Pullman, WA 99164 PC To research a community supervision model in Washington state. $ 25,000One Brookings Drive To advance the implementation and rigorous testing of deferred

Washington University St. Louis, MO 63112 PC prosecution programs. $ 176,430William J Brennan, Jr. Center for 161 Avenue of the Americas, 12th Floor To support the launch of a national law enforcement leadership

Justice , Inc. New York, NY 10013 PC group. $ 150,000William J Brennan, Jr. Center for 161 Avenue of the Americas, 12th Floor

Justice , Inc. New York, NY 10013 PC To fund a fiscal-impact study of court-imposed fines and fees. $ 175,000William 1 Brennan, Jr. Center for 161 Avenue of the Americas, 12th Floor

Justice , Inc. New York, NY 10013 PC To fund a fiscal-impact study of court-imposed fines and fees. $ 500,000

26.3241764 Page 20 of 21 ATTACHMENT A


FOUNDATION

2016 FORM 990-PF


Foundation Status


6100 Main Street To conduct a randomized controlled trial of the Alief Independent

William Marsh Rice University Houston, TX 77005 PC School District Jumpstart Program. $ 166,343

6100 Main Street

William Mars h Rice University Houston, TX 77005 PC To support the Houston Education Research Consortium. $ 842,157

6100 Main Street To support OpenStax in its efforts to create free, high-quality online

William Marsh Rice University Houston, TX 77005 PC textbooks. $ 2,337,500

6100 Main Street To conduct a randomized controlled trial of the Houston Food Bank's

William Marsh Rice University Houston, TX 77005 PC food scholarship program. $ 94,630

P.O. Box 208327 To launch a collaboration aimed at promoting open access to high-

Yale University New Haven, CT 06250 PC quality health data. $ 1,000,000

200 Clarendon Street, 9th Floor

Youth Services, Inc.

1

Boston, MA 02116 SO I To advance Pay for Success Financing. $ 1,258,000

Grants Paid $ 176,840,978


Laura and John Arnold Foundation

EIN: 26-3241764

FORM 990-PF, PART VII-A, LINE 8A

12/31/2016

THE DISTRICT OF COLUMBIA DOES NOT REQUIRE A COPY OF THE FORM 990-PF TO BE SENT TO THE

OFFICE OF TAX AND REVENUE. THE LAURA AND JOHN ARNOLD FOUNDATION DOES PLAN TO SEND A

COPY OF THE FORM 990-PF TO THE PROPER CALIFORNIA, NEW YORK, OKLAHOMA AND TEXAS

AGENCIES.

26-3241764 ATTACNT B

returnofprivate foundation mb laura and john arnold...

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