2024-11-13T14:18:31-06:00 2023-12-31 880583367 SPRING STREET TAX RESOURCES 12 CENTURY HILL DRIVE SUITE 104 LATHAM NY 12110 990PF 2023-01-01 133212724 TRUST FOR MUTUAL UNDERSTANDING TRUS 2125495544 CO RCM PO BOX 5016 NEW YORK NY 101855016 SUSAN BERRESFORD TRUSTEE 2125495527 2023-11-15 1 0 WILLIAM SULLIVAN P02263405 5183278353 2023 2024-10-15 13:58:12Z X 36254525 X 950391 246415 246402 561498 561498 113 113 113 1802682 11534149 1802682 10994 10994 3572093 2621689 761750 0 761750 348476 0 348476 8573 0 8573 295191 107857 187334 116640 66244 35396 318634 0 318634 210914 80763 130151 2060178 254864 1790314 2513139 2513139 4573317 254864 4303453 -1001224 2366825 826194 903845 903845 40160 80802 40160 40160 5302263 4867030 4521080 16808394 15230705 22683059 2053988 1623850 1564349 2835099 2916074 6542032 27906740 25581664 36254525 0 0 X 27906740 25581664 0 0 0 0 27906740 25581664 27906740 25581664 27906740 -1001224 315 26905831 1324167 25581664 PUBLICLY TRADED P 11158139 9687244 1470895 1470895 VENROCK PARTNERS VIII, L.P. P 3355 3355 3355 VENROCK PARTNERS VIII, L.P. P 17226 -17226 -17226 VENROCK PARTNERS VII, L.P. P 149 149 149 VENROCK PARTNERS VII, L.P. P 21291 -21291 -21291 VENROCK PARTNERS V, L.P. P 1461 1461 1461 ICAPITAL VOF LP P 1067 1067 1067 ROCKEFELLER ALTERNATIVE STRATEGIES P 518 518 518 5500 FUND P 18328 18328 18328 5500 FUND P 43372 43372 43372 ROCKEFELLER ACCESS FUND 06-II P 44 44 44 ROCKEFELLER ACCESS FUND 06-II P 4980 -4980 -4980 ROCKEFELLER ACCESS FUND 06-II - 1231 P 1087 1087 1087 NEW CENTURY HOLDINGS XI, LP P 468 -468 -468 NEW CENTURY HOLDINGS XI, LP - 1231 P 258 -258 -258 ROCKEFELLER ACCESS FUND 2015 P 2169 2169 2169 ROCKEFELLER ACCESS FUND 2015 P 53746 53746 53746 ROCKEFELLER ACCESS FUND 2015 - 1231 P 714 714 714 5500 FUND MEMBERSHIP SALE P 250000 250000 250000 1802682 32899 0 32899 0 32899 56394 0 0 0 56394 0 23495 23495 0 0 0 0 0 0 0 0 0 1 1 0 1 1 NY 1 0 0 0 0 1 TMUNY.ORG ROCKEFELLER CAPITAL MANAGEMENT 2125495544 PO BOX 5016 NEW YORK NY 101855016 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 1 0 0 0 0 BARBARA A LANCIERS ONE ROCKEFELLER PLAZA - ROOM 2500 NEW YORK NY 10020 DIRECTOR 40.00 283918 9587 800 IRINA YURNA FRIEDRICHSTABE 60 117 BERLIN GM REGIONAL REPRESENTATIVE 40.00 147792 0 0 ALINA ENGGIST ONE ROCKEFELLER PLAZA - ROOM 2500 NEW YORK NY 10020 SENIOR PROGRAM OFFICER 40.00 137669 20162 880 CAROLINE MABEE ONE ROCKEFELLER PLAZA - ROOM 2500 NEW YORK NY 10020 PROGRAM OFFICER 40.00 108396 0 0 VALERIE ROCKEFELLER ONE ROCKEFELLER PLAZA - ROOM 2500 NEW YORK NY 10020 TRUSTEE 2.00 16795 0 0 JOEL MOTLEY ONE ROCKEFELLER PLAZA - ROOM 2500 NEW YORK NY 10020 TRUSTEE 2.00 16795 0 0 ELIZABETH C CAMPBELL ONE ROCKEFELLER PLAZA - ROOM 2500 NEW YORK NY 10020 TRUSTEE 2.00 16795 0 0 SUSAN V BERRESFORD ONE ROCKEFELLER PLAZA - ROOM 2500 NEW YORK NY 10020 TRUSTEE 6.00 16795 0 0 BLAIR A RUBLE ONE ROCKEFELLER PLAZA - ROOM 2500 NEW YORK NY 10020 TRUSTEE 2.00 16795 0 0 NONE 0 ROCKEFELLER TRUST COMPANY NA 45 ROCKEFELLER PLAZA 5TH FL NEW YORK NY 10111 TAX, ACCTG, INV 264233 0 0 35083333 1327062 0 36410395 0 0 36410395 546156 35864239 1793212 1793212 32899 687 33586 1759626 0 1759626 0 1759626 4303453 0 4303453 1759626 0 0 2440904 2012949 1524142 1289758 2183212 9450965 4303453 0 0 0 1759626 2543827 0 0 11994792 0 0 0 0 0 0 2440904 9553888 2012949 1524142 1289758 2183212 2543827 BARBARA A LANCIERS DIRECTOR TMU -ONE ROCKEFELLER PLZ ROOM 2500 NEW YORK NY 10020 2126495774 BY INITIAL LETTER OF INQUIRY 6 MONTHS PRIOR TO DATE OF ACTIVITY FOR WHICH SUPPORT IS SOUGHT. THE TRUST'S PROGRAMS SUPPORT EXCHANGES BETWEEN THE UNITED STATES AND THE FORMER SOVIET UNION, EASTERN AND CENTRAL EUROPE IN THE ARTS AND ENVIRONMENTAL CONSERVATION. ACADEMY OF BOSNIA AND HERZEGOVINA INC 55-23 31ST AVENUE 6D WOODSIDE NY 11377 PC GENERAL SUPPORT 10000 ALASKA CONSERVATION FOUNDATION 441 W FIFTH AVENUE SUITE 402 ANCHORAGE AK 995012340 PC GENERAL SUPPORT 35000 AMERICAN PRAIRIE RESERVE 7 EAST BEALL STREET SUITE 100 BOZEMAN MT 59715 PC GENERAL SUPPORT 16000 BETH MORRISON PROJECTS INC 666 OCEAN AVENUE D1 BROOKLYN NY 11226 PC GENERAL SUPPORT 40000 BUTTERFLY PAVILION 6252 WEST 104TH AVE WESTMINSTER CO 80020 PC GENERAL SUPPORT 30000 CEC ARTSLINK INC 28 HUBERT ST NEW YORK NY 10013 PC GENERAL SUPPORT 388500 CENTER FOR INTERNATIONAL THEATRE DEVELOPMENT INC 901 LENTON AVE BALTIMORE MD 21212 PF GENERAL SUPPORT 95000 CLOCKSHOP 2806 CLEARWATER STREET LOS ANGELES CA 90039 PC GENERAL SUPPORT 25000 CULTURAL SURVIVAL 2067 MASSACHUSETTS AVENUE CAMBRIDGE MA 02140 PC GENERAL SUPPORT 80000 CULTUREHUB 65 EAST 4TH ST BOX 16 NEW YORK NY 10003 PC GENERAL SUPPORT 25000 DENVER ZOOLOGICAL FOUNDATION 2900 E 23RD STREET AVENUE DENVER CO 80205 PC GENERAL SUPPORT -80000 DOUBLE EDGE THEATRE 948 CONWAY RD ASHFIELD MA 01330 PC GENERAL SUPPORT 70500 DRAMA LEAGUE OF NEW YORK INC 520 EIGTH AVE 3RD FL STE 320 NEW YORK NY 10018 PC GENERAL SUPPORT 40000 EARTH ISLAND INSTITUTE INC 2150 ALLSTON WAY BERKLEY CA 947041346 PC GENERAL SUPPORT 87000 EARTHCORPS 7400 SAND POINT WAY NE BLDG 30 SEATTLE WA 98115 PC GENERAL SUPPORT 50000 EAST EUROPEAN FOLKLIFE CENTER INC PO BOX 12488 BERKLEY CA 947123488 PC GENERAL SUPPORT 10000 ELAINE SUMMERS EXPERIMENTAL INTERMEDIA FOUNDATION INC 224 CENTRE STREET 3RD FLOOR NEW YORK NY 10113 PC GENERAL SUPPORT 15000 ENVIRONMENTAL FILM FESTIVAL IN THE NATION'S CAPITAL 1224 M STREET NW SUITE 301 WASHINGTON DC 20005 PC GENERAL SUPPORT 10000 FOUNDATION FOR CONTEMPORARY ARTS 820 GREENWICH STREET NEW YORK NY 10014 PC GENERAL SUPPORT 40000 FRIENDS OF THE EARTH 1101 15TH STREET NW 11TH FLOOR WASHINGTON DC 20005 PC GENERAL SUPPORT 5000 GASPARD&DANCERS INC 106 PATHWOOD LANE DURHAM NC 27705 PC GENERAL SUPPORT 25000 HEADLANDS CENTER FOR THE ARTS 944 FORT BARRY SAUSALITO CA 94063 PC GENERAL SUPPORT 15000 INCLUSIVE DEVELOPMENT INTERNATIONAL 50 S FRENCH BROAD AVE FLOOR 3 ASHEVILLE NC 28801 PC GENERAL SUPPORT 30000 INDEPENDENT CURATORS INTERNATIONAL 401 BROADWAY STE 1620 NEW YORK NY 10013 PC GENERAL SUPPORT 10000 KNIGHTS OF INDULGENCE THEATRE US 461 SEBASTOPOL AVE SANTA ROSE CA 95401 PC GENERAL SUPPORT 42000 LA MAMA ETC 66 E 4TH ST NEW YORK NY 10003 PC GENERAL SUPPORT 60000 MID ATLANTIC ARTS FOUNDATION INC 201 NORTH CHARLES STREET SUITE 401 BALTIMORE MD 21201 PC GENERAL SUPPORT 35000 MONGOL ECOLOGY CENTER 2242 E 4TH ST TUCSON AZ 85719 PC GENERAL SUPPORT 85000 MOVEMENT RESEARCH INC PO BOX 49 OLD CHELSEA STA NEW YORK NY 10113 PC GENERAL SUPPORT 221000 MY BALKANS INC 241 EAST 76TH STREET SUITE 7F NEW YORK NY 10021 PC GENERAL SUPPORT 35000 NEW YORK LIVE ARTS INC 219 WEST 19TH STREET NEW YORK NY 10011 PC GENERAL SUPPORT 20000 NORTHEAST DOCUMENT CONSERVATION 100 BRICKSTONE SQUARE ANDOVER MA 018101494 PC GENERAL SUPPORT 30000 PARTNERSHIPS FOR NATURE 409 MADRONA WAY NE BAINBRIDGE ISLAND WA 98110 PC GENERAL SUPPORT 40000 PEACEDALE GLOBAL ARTS 395 RIVERSIDE DRIVE NEW YORK NY 10025 PC GENERAL SUPPORT 15000 PERFORMANCE ZONE INC C/O THE FIELD 161 6TH AVENUE NEW YORK NY 10013 PC GENERAL SUPPORT 22490 PHILADELPHIA DANCE PROJECTS 1427 SPRUCE STREET SUITE 1F PHILADELPHIA PA 19102 PC GENERAL SUPPORT 18000 RELATIONSHIP PERFORMANCE AND ARTS GROUP INC 100 SAINT MARKS PLACE 7 NEW YORK NY 10009 PC GENERAL SUPPORT 3500 RESIDENCY UNLIMITED INC 360 COURT STREET BROOKLYN NY 11231 PC GENERAL SUPPORT 349800 SITI COMPANY 520 8TH AVENUE SUITE 310 NEW YORK NY 10018 PC GENERAL SUPPORT 12000 SO PERCUSSION 20 GRAND AVE 205 BROOKLYN NY 11205 PC GENERAL SUPPORT 14000 THE CHOCOLATE FACTORY THEATER 5-49 49TH AVENUE LONG ISLAND CITY NY 11101 PC GENERAL SUPPORT 5000 THE LIVING DESERT ZOO AND GARDENS 47-900 PORTOLA AVENUE PALM DESERT CA 92260 PC GENERAL SUPPORT 40000 THE OCEAN FOUNDATION 1320 19TH STREET NW WASHINGTON DC 20036 PC GENERAL SUPPORT 195112 THE SNOW LEOPARD TRUST 4649 SUNNYSIDE AVE NORTH SUITE 325 SEATTLE WA 98103 PC GENERAL SUPPORT 30000 TRANSCAUCASIAN TRAIL ASSOCIATION 4200 WISCONSIN AVE NW 106-262 WASHINGTON DC 20016 PC GENERAL SUPPORT 35000 UNIVERSITY OF NORTHERN IOWA FOUNDATION 205 COMMONS CEDAR FALLS IA 50614 PC GENERAL SUPPORT -20000 WAXFACTORY PO BOX 1197 NEW YORK NY 10013 PC GENERAL SUPPORT 31037 WILDLIFE CONSERVATION SOCIETY 2300 SOUTHERN BOULEVARD BRONX NY 10460 PC GENERAL SUPPORT 45000 WINTERHOUSE INSTITUTE INC 70 WASHINGTON STREET SUITE 5C BROOKLYN NY 11201 PC GENERAL SUPPORT 62200 YALE UNIVERSITY 1302 YALE STATION NEW HAVEN CT 06520 PC GENERAL SUPPORT 10000 YUCHI LANGUAGE PROJECT PO BOX 1204 SAPULPA OK 74066 PC GENERAL SUPPORT 5000 2513139 0 14 246415 14 561498 16 113 900099 10059 14 935 18 1802682 10059 2611643 0 2621702 0 0 0 0 0 0 0 0 0 0 X X 1 SANDRA FERRY C/O M MCLEAN 1 ROCKEFELLER PLZ RM 2 NEW YORK NY 10020 950391 X X 1 8,708 SHARES OF MERCK & CO. INC. 950391 2023-01-19 CENTER FOR INTERNATIONAL THEATRE DEVELOPMENT 901 LENTON AVENUE BALTIMORE MD 21212 2023-07-01 40000 SEE ATTACHED SEE ATTACHED SEE ATTACHED SEE ATTACHED CENTER FOR INTERNATIONAL THEATRE DEVELOPMENT 901 LENTON AVENUE BALTIMORE MD 21212 2023-08-11 20000 SEE ATTACHED SEE ATTACHED SEE ATTACHED SEE ATTACHED CENTER FOR INTERNATIONAL THEATRE DEVELOPMENT 901 LENTON AVENUE BALTIMORE MD 21212 2023-10-18 30000 SEE ATTACHED SEE ATTACHED SEE ATTACHED SEE ATTACHED CENTER FOR INTERNATIONAL THEATRE DEVELOPMENT 901 LENTON AVENUE BALTIMORE MD 21212 2023-12-11 5000 SEE ATTACHED SEE ATTACHED SEE ATTACHED SEE ATTACHED AERCAP IRELAND CAP/GLOBA 3.0000% 29/10/2028 113303 106515 APPLE INC 3.3500% 08/08/2032 30907 31382 AT&T INC 1.7000% 25/03/2026 158987 152311 BANK OF AMERICA CORP 4.2440% 24/04/2038 101694 87393 BOEING CO 5.1500% 01/05/2030 68326 71889 CITIGROUP INC 3.5200% 27/10/2028 128812 124691 CVS HEALTH CORP 3.2500% 15/08/2029 66312 62279 FIFTH THIRD BANCORP 6.3610% 27/10/2028 43861 46183 GOLDMAN SACHS GROUP INC 2.6150% 22/04/2032 80817 88677 HOME DEPOT INC 5.8750% 16/12/2036 164037 158045 JPMORGAN CHASE & CO 4.9120% 25/07/2033 132530 136411 MORGAN STANLEY 2.9430% 21/01/2033 107159 97540 PFIZER INVESTMENT ENTER 4.4500% 19/05/2026 36957 37100 PFIZER INVESTMENT ENTER 4.7500% 19/05/2033 19970 20152 PNC FINANCIAL SERVICES 5.5820% 12/06/2029 46082 47071 TRUIST FINANCIAL CORP 6.0470% 08/06/2027 46177 47018 US BANCORP 2.6770% 27/01/2033 47437 49944 VERIZON COMMUNICATIONS 2.6500% 20/11/2040 165554 133999 WELLS FARGO & COMPANY 0.8050% 19/05/2025 64928 65749 ADVANCED MICRO DEVICES INC COM STK USD0.01 252654 507680 ADYEN NV EUR0.01 109402 204757 AERCAP HOLDINGS N.V. EUR0.01 263496 331170 AIR LIQUIDE(L') EUR5.50 363600 467567 ALLSTATE CORP COM USD0.01 330979 353869 AMADEUS IT GROUP SA 135241 166014 AMAZON COM INC COM USD0.01 481713 777933 AMERICAN EXPRESS CO COM USD0.20 314240 399034 AMGEN INC COM USD0.0001 192385 210543 APPLE INC COM USD0.00001 281552 566038 APPLIED MATERIALS INC COM USD0.01 65087 259960 AT&T INC COM USD1 301072 339946 BECTON DICKINSON & CO COM USD1.00 226361 278454 BNP PARIBAS EUR2 248779 305661 CARRIER GLOBAL CORPORATION COM USD0.01 174772 375666 CENTENE CORPORATION COM USD0.001 387575 428340 COMPAGNIE DE ST-GOBAIN EUR4 220828 430615 DENSO CORP NPV 253216 238286 DEUTSCHE POST AG NPV(REGD) 105817 243880 DISCOVER FINANCIAL SERVICES COM STK USD0.01 363770 701264 ELI LILLY AND COMPANY COM NPV 196209 577091 EPIROC AB SER'A'NPV 199427 187035 GENERAL ELECTRIC CO COM USD0.01 220291 383528 GLOBE LIFE INC COM USD1.00 210117 308195 HITACHI NPV 248920 411026 INTERCONTINENTAL EXCHANGE INC COM USD0.01 269617 341110 IQVIA HOLDINGS INC COM USD0.01 263500 315602 KEYSIGHT TECHNOLOGIES INC COM USD0.01 WD 159655 242135 KINDER MORGAN INC COM USD0.01 226212 229214 KONINKLIJKE PHILIPS NV EUR0.20 397245 222232 KT CORPORATION KRW5000 337754 342941 LLOYDS BANKING GROUP ORD GBP0.1 376351 351290 MICRON TECHNOLOGY INC COM USD0.10 272131 395892 MICROSOFT CORP COM USD0.00000625 62690 1147674 MITSUBISHI UFJ FINANCIAL GROUP INC NPV 156050 152903 NINTENDO CO LTD NPV 374642 443518 ONEMAIN HLDGS INC USD0.01 202100 203245 OVERSEA-CHINESE BANKING CORP NPV 247607 281603 PPG INDUSTRIES INC COM USD1.666 223854 250795 REINSURANCE GROUP OF AMERICA COM USD0.01 414545 718627 RELX PLC GBP0.1444 215276 316820 RENTOKIL INITIAL ORD GBP0.01 34632 289974 ROCHE HOLDINGS AG GENUSSCHEINE NPV 410091 362072 SCHNEIDER ELECTRIC SE EUR4.00 236336 469550 SONY GROUP CORPORATION NPV 161613 408856 SVENSKA HANDELSBANKEN AB SER'A'NPV 319295 373142 SWEDBANK AB SER'A'NPV 271624 416065 TE CONNECTIVITY LTD COM CHF0.57 169451 291397 TRANSUNION COM USD0.01 331271 388418 UBER TECHNOLOGIES INC COM USD0.00001 163568 333648 VESTAS WIND SYSTEMS DKK0.20 137458 160782 VISA INC COM STK USD0.0001 'A' 119999 426193 WEX INC COM USD0.01 238171 273537 WILLIS TOWERS WATSON PLC COM USD0.000304635 232563 289681 ICICI BANK LIMITED SPON ADR EACH REPR 2 ORD SHS 98335 257329 KT CORPORATION SPON ADR EACH REP 1/2 ORD SHS KRW5000 63566 62913 SHELL PLC SPON ADS EA REP 2 ORD SHS 531833 576211 TOTALENERGIES SE SPON ADS EA REP 1 ORD SHS 357959 409266 VANGUARD SCOTTSDALE FDS VANGUARD MTG BACKED SECS ETF 227211 223084 AAON INC 0 19502 APPLIED INDUSTRIAL TECHNOLOGIES INC 15884 25213 ARCBEST CORP COM USD0.01 35560 37385 ATKORE INC COM USD0.01 38261 53440 ATS CORPORATION COM 13576 31484 AVIDXCHANGE HOLDINGS INC 22974 29191 AZEK CO INC CL A 24942 30830 BADGER METER INC COM 0 18370 BRP GROUP INC COM CL A 41 20225 CALIX INC 15579 20010 CARTERS INC COM 3446 33176 DONNELLEY FINL SOLUTIONS INC COM 4923 38794 EMBECTA CORP COMMON STOCK 12971 13459 ENPRO INDUSTRIES INC 12022 20690 FIRST BANCORP (NORTH CAROLINA) 32304 34530 GENTHERM INC COM 19234 47176 HANNON ARMSTRONG SUSTAINABLE 33096 34889 HURON CONSULTING GROUP INC 20476 22822 INSIGHT ENTERPRISES INC 32790 40045 INTERNATIONAL MNY EXPRESS INC COM 35615 37641 KORN FERRY COM NEW 35274 27123 LITTELFUSE INC COM 4688 15518 MERIT MED SYS INC COM 14350 52336 MUELLER INDS INC COM 6735 44887 OMNICELL COM COM 6936 19041 ONE GAS INC COM USD0.01 42087 36894 PJT PARTNERS INC COM CL A 0 27912 PROGYNY INC COM 42631 40117 PROS HOLDINGS INC COM 6720 58534 STEWART INFORMATION SERVICES CORP 43791 54285 STONEX GROUP INC COM 20268 53158 STRIDE INC COM 34533 54027 SUNOPTA INC COM ISIN #CA8676EP1086 SEDOL 29959 26207 TECHTARGET INC 31131 25657 TRIMBLE INC COM 0 14577 US PHYSICAL THERAPY COM 32044 28128 VERRA MOBILITY CORP CL A COM STK 24907 27613 WALKER & DUNLOP INC COM 19539 23423 XPEL INC COM 9710 23479 3752792 3591388 1114238 929692 LEGAL FEES 8573 0 8573 ICAPITAL - VOF. L.P. 121457 134700 134700 5500 FUND 537 ROCKEFELLER ALTERNATIVE STRATEGIES FUND QP L 12549 14223 13765 VENROCK PARTNERS IX L.P. 85087 161979 170000 VENROCK PARTNERS V, LP 41455 42740 43208 VENROCK PARTNERS VIII, LP 679945 665619 1755864 VENROCK PARTNERS VII, LP 512671 483124 2845967 NEW CENTURY HOLDINGS XI, LP 653375 661961 622285 ROCKEFELLER ACCESS FUND 06-II LLC 140291 122757 123379 ROCKEFELLER ACCESS FUND 2015, LLC 577726 602159 806052 ROCKEFELLER PRIVATE EQUITY PARTNERS II, LLC 10006 26812 26812 PRIOR PERIOD ADJUSTMENT/BOOK TAX DIFFERENCE 377803 DIFFERENTIAL OF CONTRIBUTED STOCK 946364 OFFICE EXPENSES 27111 0 27111 STORAGE 2105 0 2105 TELEPHONE, FAX & POSTAGE 6664 0 6664 MEMBERSHIP, BOOKS, PERIODICALS 14723 0 14723 INSURANCE EXPENSE 16735 0 16735 BANK FEES 307 307 0 PASSTHROUGH EXPENSES 69778 69778 0 OTHER EXPENSES 1061 0 1061 WORKSHOPS 21465 0 21465 IT EXPENSES 27905 0 27905 PASSTHROUGH LOSSES 10678 10678 0 OTHER PAYROLL EXPENSES 12382 0 12382 OTHER INCOME 935 935 935 UBIT 10059 10059 10059 QSBS STOCK 315 RTC AGENCY FEES 264233 107857 156376 CONSULTING FEES 30958 0 30958 FOREIGN TAXES ON SECURITIES 66244 66244 0 FEDERAL TAXES 15000 0 0 PAYROLL TAXES 35396 0 35396