| FORM 990, PART VI, SECTION A, LINE 2 |
LUCIA GILL CASE AND PETER GILL CASE HAVE A FAMILY RELATIONSHIP. MICHAEL LAMBERT AND REBECCA LAMBERT HAVE A FAMILY RELATIONSHIP. ELIZA ROCKEFELLER AND TARA ROCKEFELLER HAVE A FAMILY RELATIONSHIP. |
| FORM 990, PART VI, SECTION B, LINE 11B |
THE 990 AND SUPPORTING SCHEDULES ARE REVIEWED AND APPROVED BY SENIOR MANAGEMENT AND THEN DISTRIBUTED VIA EMAIL, IN PDF FORMAT, TO THE BOARD OF TRUSTEES FOR REVIEW BEFORE FILING WITH THE IRS. |
| FORM 990, PART VI, SECTION B, LINE 12C |
EACH DIRECTOR, PRINCIPAL OFFICER AND MEMBER OF A COMMITTEE WITH GOVERNING BOARD DELEGATED POWERS, AND KEY PERSON MUST ANNUALLY SIGN A STATEMENT WHICH AFFIRMS SUCH PERSON HAS: (A) RECEIVED A COPY OF THE CONFLICT OF INTEREST POLICY, (B) READ AND UNDERSTANDS THE POLICY, (C) AGREED TO COMPLY WITH THE POLICY, (D)SUBMITTED A STATEMENT TO THE SECRETARY IDENTIFYING TO THE BEST OF SUCH INDIVIDUAL'S KNOWLEDGE (I) ANY ENTITY OF WHICH SUCH INDIVIDUAL IS AN OFFICER, DIRECTOR, TRUSTEE, MEMBER, OWNER, OR EMPLOYEE AND WITH WHICH THE ORGANIZATION HAS A RELATIONSHIP, AND (II) ANY TRANSACTION IN WHICH THE ORGANIZATION IS A PARTICIPANT AND IN WHICH THE INDIVIDUAL MIGHT HAVE A CONFLICTING INTEREST, AND (III) ANY RELATED PARTY TRANSACTIONS, AND(E) UNDERSTANDS THE FUND IS CHARITABLE AND IN ORDER TO MAINTAIN ITS FEDERAL TAX EXEMPTION, IT MUST ENGAGE PRIMARILY IN ACTIVITIES WHICH ACCOMPLISH ONE OR MORE OF ITS TAX-EXEMPT PURPOSES. STEPS IN DETERMINING WHETHER A CONFLICT OF INTEREST EXISTS: AFTER DISCLOSURE OF THE FINANCIAL INTEREST AND ALL MATERIAL FACTS, AND AFTER ANY DISCUSSION WITH THE INTERESTED PERSON, HE OR SHE MUST LEAVE THE GOVERNING BOARD OR COMMITTEE MEETING WHILE THE DETERMINATION OF A CONFLICT OF INTEREST IS DISCUSSED AND VOTED UPON. THE REMAINING BOARD OR COMMITTEE MEMBERS MUST DECIDE IF A CONFLICT OF INTEREST EXISTS. IN NO EVENT CAN AN INTERESTED PERSON INFLUENCE IMPROPERLY THE DELIBERATION OR VOTING ON THE MATTER GIVING RISE TO A CONFLICT OR POSSIBLE CONFLICT. RESTRICTIONS IMPOSED ON PERSONS WITH A CONFLICT: IF THE BOARD OR COMMITTEE HAS REASONABLE CAUSE TO BELIEVE A MEMBER HAS FAILED TO DISCLOSE ACTUAL OR POSSIBLE CONFLICTS OF INTEREST, IT MUST INFORM THE MEMBER OF THE BASIS FOR SUCH BELIEF AND AFFORD THE MEMBER AN OPPORTUNITY TO EXPLAIN THE ALLEGED FAILURE TO DISCLOSE. IF AFTER HEARING THE MEMBER'S RESPONSE AND AFTER MAKING FURTHER INVESTIGATION AS WARRANTED BY THE CIRCUMSTANCES, THE BOARD OR COMMITTEE DETERMINES THE MEMBER HAS FAILED TO DISCLOSE AN ACTUAL OR POSSIBLE CONFLICT OF INTEREST, IT SHALL TAKE APPROPRIATE DISCIPLINARY AND CORRECTIVE ACTION. |
| FORM 990, PART VI, SECTION B, LINE 15 |
THE ROCKEFELLER FAMILY FUND INDEPENDENT EXECUTIVE COMMITTEE REVIEWS ALL COMPENSATION MATTERS. THE COMMITTEE MEETS ANNUALLY TO CONSIDER THE PERFORMANCE OF THE DIRECTOR AND, AT REGULAR INTERVALS, CONSIDER COMPARABLE COMPENSATION DATA FOR CEOS IN CHARGE OF SIMILAR ORGANIZATIONS. ON THE BASIS OF THE ANNUAL PERFORMANCE REVIEW AND SAID COMPENSATION DATA, THE COMMITTEE ESTABLISHES THE COMPENSATION FOR THE DIRECTOR FOR THE SUCCEEDING YEAR. THE COMMITTEE ALSO REVIEWS THE DIRECTOR'S COMPENSATION RECOMMENDATIONS FOR OTHER KEY ORGANIZATIONAL STAFF. THE COMMITTEE MAINTAINS CONTEMPORANEOUS DOCUMENTATION OF ITS PROCEEDINGS, DELIBERATIONS, AND SUPPORTING MATERIAL IN THE MINUTES. |
| FORM 990, PART VI, SECTION C, LINE 19 |
THE FUND'S FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC UPON REQUEST. |
| FORM 990, PART VII, SECTION A: |
ANDREA LAWYER DEVOTES APPROXIMATELY 25 HOURS PER WEEK TO ACCOUNTING AND FINANCIAL REPORTING SERVICES FOR THE ROCKEFELLER FAMILY FUND (RFF). MS. LAWYER IS PAID FOR THESE SERVICES BY THE ROCKEFELLER BROTHERS FUND (RBF) PURSUANT TO A COST-SHARING AGREEMENT BETWEEN RBF AND RFF. RFF REIMBURSES RBF FOR HER SERVICES PURSUANT TO THE AGREEMENT. |
| FORM 990, PART IX, LINE 11G |
ADMINISTRATIVE AND PROGRAMMATIC CONSULTANT SERVICES: PROGRAM SERVICE EXPENSES 4,247,130. MANAGEMENT AND GENERAL EXPENSES 16,725. FUNDRAISING EXPENSES 16,467. TOTAL EXPENSES 4,280,322. |
| FORM 990, PART XI, LINE 9: |
AMOUNT NOT YET RECOGNIZED AS A COMPONENT OF NET PERIODIC BENEFIT COST -345,403. PASS-THROUGH UNRELATED BUSINESS LOSS FROM ALTERNATIVE -1,203. |
Attach to Form 990 or 990-EZ.