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Form 990-PF Deperment of en irmury Intuft fyvenwSeMb
Far calen9ar rear 20R
Return of Private Foundation or Section 4947(a)(1) Nonexempt Charitable Trust
~~et o d use a copy
Foundation Note
as a me oryanrzehon may be py o ! this return to satisfy state reporting requirements
or tax vearheolnnino NOV l . 2001 and endine (")CT 31 . inn'
OMB No 154SOOSt
LOOI
Use the IBS Name of organization
label Otherwise, JOSEPH R . MCMICKING FOUNDATION
print Numes via arrest (a P o oox numts if mall la not adhane m sheet Witness) orrype 00 SANSOME STREET
See Specific C or town,sGteandZIPCOOs Instructions SAN FRANCISCO CA 94111 H Check type of organna4on OX Section 501(c)(3) exempt private foundation
Section 4947(a)(7) nonexempt charitable trust [-_-] OtherUxahle Private foundation I Fair market value of all assets at end of year J Accounting method OX Cash [ (from Part 11, cot (c), line 16) EDOther (sDecAy) 1111.$ 7 16 2 0 B 6 . (Part l, column (a) must be on cash basis
94-6058305
1 I'loon1sulte, B Telephone number 408 ( 415 ) 563-6464
If aamPdon sppliwoon a pending cnmk nee 10.0
0 1 Foreign organizations, check here iii, ED Z check nee~ena
et~meennG me B5% tet cortipuhGOn
E If Private foundation status was terminated Accrual under section 507(b)(1)(A),Check here
F It the taundation is in a 60-month termination-
net
13 ComixnuCOnotalsms eirsmn waif,m, ,ec 41 416 . 14 Other employee salaries and wages
y 15 Pension plans,employee benefits $ 955 . i6a Legalises
oAccounting fees STMT 4 9 , 500 . 4,75 Lit c Other protessional tees STMT 5 41 , 930 . 41 1` 93 ,Z 77 Interest m 78 saxes STMT 6 7,242 .
19 Depreciation and depletion 593 . 1 g 20 Occupancy 28 , 964 .
.. D 21 Travel, conferences, and meetings 22 Printing and publications
E 23 Other expenses STMT 7 51 , 353 . 24 Total operating and administrative
n expenses Add lines 13 through 23 186,953 . 46,68 0 25 Coninbutions,gAts,grants Paid 286 , 000 . -
C 26 total expenses and disbursements ndalines 2aand25 472 E 953 . ~ 46 , 68
27 Subtract line 26 from line 12 B Euws of mmue MW eapmam end aisbunmimb < 3 4 0 914' .
D Net Investment income a n.o.we woe.-a> 281,10
LHA For Papenvork Reduction Act Notice, see the instructions Form 990-PF (2007)
MCMICKING FOUNDAT 52170_1 1
12180310 758661 52170 2001 .09000 JOSEPH R
Employer Identification number
per{ ~ Analysis of Revenue and Expenses (a) Revenue and (the total of amounts m columns (b) expenses per (b) Net investment (c), end (d) may not necesseny equal books income the amounts in column
1 Contributions, gifts, gents, etc, received
Cnea111~ OMtblynpCmhno1Mulined to 79ach 5M B
2 Distributions from splrt-mterasttrusts i°v°'°"""i°°""en"°°"'Y 5 '904 . 5 , 90 3 Mn Imemwio
a Dividends andinterest from securities 321 879 . 321,87 Sa Grass rents D (Net WW Inmmsorpoaa)
m Ba line lo~wQoss)homaeisofmabnolonsj~.~ C <195 ~ 744 .' n Gmaaesiopnmbrvi 3 , 507 , 961 . Q hash on line W
p 7 Cpl W own net Inwrrr Whom Pet N Ilne 2)
8 Net short-term capital gain 9 Income moddicatians 10a c. "miwRmm.
and Nwwa�o's
b lms Coat of cootie sole ' c Gross profit or (loss)
11 Other income 12 Total Addlines lthrounhll 1"~7 _ 0"A9 _ 'A977R
(c)
STATEMENT 2, STATEMENT 3
STATEMENT 1
94-6058305 Page 2 End otyear
Book Value /c) Fair Market Value 7 , 372 . 7 , 372 .
899, 889 . 8-99"88-9 . . .. , . . , . . ~,... . .. s ,
Form 990-PF(200t) JOSEPH R . MCMICKING FO
~.~ Balance Sheets CWrm9m~q0elvm6OF',mr+maYi6CM'
1 Cash -non-interest-0eannp 2 Savings and temporary cash investments 3 Accounts receivable ~
Less allowance for doubtful accounts ~ 6 Pledges receivable 01
Less allowance for doubtful accounts llll~ 5 Gents receivable 6 Recervables due from officers directors, trustees and other
disqualified persons OMMCmdIOU6mwaDb 1 Less allowance for doubtful accounts 1
y 8 Inventories for sale or use y 9 Prepaid expenses and deterred charges a 10a Investments -U S and state government obligations STMT 8
6Investments -corporate stock STMT 9 c Investments-corporate bonds STMT 10
11 Ln6mm5 Nn60ml3ngyvU[aWDMtUCS 1 liSa7urWh7QyCL7m
12 Investments - mortgage loans 13 Investments - other 14 Land, buildings . and equipment basis 1 2,967
L= +mNweaoa~em STMT 11. 2,622 15 Otherassets (descnDe t STATEMENT 12
~~ 13 , 76i'.
~~938~ . ~ ~ 345 .
,zssii Ol 3402
2 12180310 758661 52170 2001 .09000 JOSEPH R . MCMICKING FOUNDAT 521701
of
ie Total assets toescompleted 6 all filers 6 , 988 , 016 . 6 , 647 , 110 . 7 , 16 17 Accounts payable and accrued expenses 18 Grants payable 19 Deferred revenue 20 LnenahomoMUn dirstnn hum~,endotlimCisqusII~aCpenon .
m 21 Mortgages and other notes payable 22 Other liabilities (aescnbe " STATEMENT 13) 1 , 736 .. 1 , 744 .
23 Total liabilities addlines 17throu gh 22 1 , 736 . 1 , 744 . Organizations that follow SFAS 117, check here " OX
y and complete lines 24 through 26 and lines 30 and 31 $ 24 Unrestricted 6 986 280 . 6 , 645 , 366 .
25 Temporarily restricted m 26 Permanently restricted o
Organizations that do nod follow SFAS 117, check here 1 D anOcomplete lines 27lhrouqh3l ,
,°, 27 Capital stock, trust principal . or current tunas ~ " ,m n 28 Paid-in or capital surplus, Or land, bldg . and equipment fund
29 Retained earnings accumulated income, endowment, or other funds 30 Total netassets orfund nalancaa 6 , 986 , 280 . 6,645 366 .
1 31 Total liabilities ananetassets /fu nd Galanee: 6 , 988 , 016a 6 , 647 , 110 .
#> q~ Analysis of Changes in Net Assets or Fund Balances
1 Total net assets or fund balances at beginning of year " Part II, column (a), line 30 (must agree with end-of-year figure reported on poor years return) 1 6 , 986 , 280 .
2 Enter amount from Part I, line 27a p < 3 4 0 914 . > 3 Other increases not included m line 2 (itemize) " 3 0 . a ndolines t,2,and3 q 6 , 645 , 366 . 5 Decreases not included in line 2 (itemize) " 5 0 . 6 Total net assets or fund balances at end of year line 4 minus line 5 - Part II, column (b) line 30 6 -6 , 6-4-5 , 366 .
Fmm 990-PF Rooi)
(a) List and describe the kind(s) of property sold (e p real estate 2-story brick warehouse, or common stack, 200 shs MLC Co )
la SEA STATEMENT C 0 c a e
(e) Gross sales price (0 Depreciation allowed (gJ Cost or other basis (or allowable) plus expense of sale
(h) Gain or (loss) (e) Op u s (t) minus (g)
omplete only for assets showing gain m column (h) and owned by the foundation on 12/31169
(I) F MV as of iZf31iE9 (U Adjusted basis (k) Excess of col (i) as of 12/3t/69 over col (1), A any
(1) Gams (Col (n) gam minus cal (k), but not less than -0-) or
posses (tram coi (h))
<15 .>
/ J V
.0329784
.0356736
2 .2298262
s .0459652
a 7 , 656 E 938 .
s 351 953 .
s 2 , 811 .
354,764 .
2 Total of line 1, column (d) 3 Average distribution ratio for the 5-year bass period -Crvide the total an tine 2 by 5, or by the number at years
the foundation has been m existence rt less than 5 years
4 Enter the net value of noncharrtable-use assets for 2001 from Part X, line 5
5 Multiply line 4 6y line 3
6 Enter 1% of net investment income (1% of Part I, tine 27b)
7 Add lines 5 and 6
3 12180310 758661 52170 2001 .09000 JOSEPH R . MCMICKING FOUNDAT 521701
R . MCM
2 Capital pain net income or (net capital loss) { If ain, also enter in Part I, line 7 Itlass), enter -0- in Part I, line 7
3 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6) Ii gain, also enter in Part I, line 8, column (c) If (loss), enter-0-in Part I, line 8
I r~c r I Wuaimcanon unaer section 4yaO(e) Tor Reduced Tax on Net Inve : (For optional use by domestic private foundations subject to the section 4940(a) Paz an net investment income )
If section 4940(0)(2) applies, leave this part blank
Was the organization liable for tie section 4942 tax on the distribulable amount of any year in the base penod7
amount in each column for each year, see instructions before making any entries
years (o) (c) oar 6eainnina inl Adjusted qualifying dis[rtbuhons Net value of nonchairta6le-use assets
<195,744 . >
N/A
[--]Yes M No
B Enter quablyinp distributions from Part %1I, line 4 1 8 ~ 421,711 . It line B is equal to or greater than line 7, check the box in Part VI, line 1b, and complete toot part using a 1 % tax rate See the Part VI instructions
Fog 990-PF R001) ,2352, m 24m
94-6058305 Paae3
(c) Date acquired I (A) Date sold Imp day . yr ) (mo , day, yr )
4-6058305 Paee4 38 - see instructions)
. . ...2~811 .
Form 99o-PF(200t) JOSEPH R . MCMICKING FOUNDATION Part VI Excise Tax Based on investment Income (Section 4940(a), 4940(b), 4940(e), or
1 a Exempt operating foundations described m section 4940(4)(2) check sera " ~ and enter'WA' on line 1 Date at ruling letter (attach copy of ruling latter it necessary-see instructions)
b Domestic organizations that m¢¢1 the section 4940(e) requirements in Part V, Check here " OX and enter 1% of Part I, line 27b All other domestic organizations enter 2% at line 27D Exempt foreign organizations enter 496 of Part I, line 12, cot (b)
2 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only Others enter -0-) 3 Ado lines 1 and 2 d Subtitle A (income) tax (domestic section 4947(a)(1) trusts and fixable foundations only Others enter -0-) 5 Tax based on Investment Income Subtract line 4 tram line 3 It zero or less, enter-0- 6 Credits/Payments a 2001 estimated tax payments and 2000 overpayment credited to 2001 6a 4 , 040
b Exempt foreign organizations -fax withhold 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 B Enter any penalty far underpayment of estimated tax Check here 0 A Form 2220 is attached 9 Tax due It 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 tie amount overpaid 11 Enter the amount of line 10 to be Credited l0 2002 estimated tax " 1 , 2 2 9 .I Refunded
4 , 040 . 8 9 ,n 1 .229 .
b It the answer is Yes' to tine 7, has the organization famished a copy of Form 99o-PF to the Attorney General (or designate) of each state as required by General Instruction G? If 'No,' attach explanation
9 Is the organization claiming status as a private operating foundation within the meaning of section 4942(1)(3) or 4942(j)(5) for calendar year 2001 or the fixable year beginning in 2001 (see instructions for Part XIV)9 If 'Yes,' complete Part XIV
10 Did any persons become substantial contributors dating tie tax year 11 'Yes,' attach a schedule listing their names end addresses
11 Did the organization campy with the public inspection requirements for its annual returns and exemption application Web site address 10, N/A
12 the books are in wre of " S IGNE V I R Telephone no " ( 4 Located at " 500 SANSOME STREET, SAN FRANCISCO, CA ziPw
13 Section 4947(a)(1) nonexempt charitable trusts filing Form 99o-PF in lieu of Form 1047 " Check here
X
.o vom, 990-PF poo»
4 2001 .09000 JOSEPH R . MCMICKING FOUNDAT 521701 12180310 758661 52170
1 a During the tax year, did the organization attempt to influence any national, state, or local legislation or did it participate or intervene in any political campaign?
h Did d spend more than E700 during the year (eRher directly or indirectly) for political purposes (see instructions for definition)? If the answer is 'Yes' to 1 a or 1 D, attach e detected description of the activities end copies of any materials published or distributed by the orgennetion in connection with the activities
a Did the organization file Form 1120-POL for this year d Enter the amount (A any) of tax on political expenditures (section 4955) imposed during the year
(1) On the organization " S 0 . (2) On organization managers " E 0
a Enter the reimbursement (d any) paid by the organization during the year for political expenditure tax imposed on organization managers " E 4
2 Has the orqanrra6on engaged in any activities that have not previously been reported to the IRS I( "Yes,' attach a detailed description of the activities
3 Has the organization made any changes, not previously reported to the IRS, in it governing instrument, articles of incorporation . or bylaws, or other similar instruments? If 'Yes," attach e conformed copy of the changes
Oa Did the organization have unrelated business gross income of $1,000 or more during the year b If Yes,' has d filed a tax return on Form 990-T for this yea( N/A
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 slate law
remain in the governing instrument 7 Did the organization have at least $5,000 in assets at any time during the year
11 "Yes," complete Part II, cal (c), end Pert XV Ba Enter the slates to which the foundation reports or with which d is registered (see instructions) 1
X~
X
R . MCM Form 99o-PF T
File Forth 4720 A any tam is checked in the 'Yes' column, unless an exception applies 1a ounap the year did the organization (either directly or indirectly)
(1) Engage in the sale or exchange, or leasing of property with a disqualified persons E3 Yes 0 No (2) Borrow money from, lend money to, or otherwise extend credit to (or accept d from)
a disqualified persons El Yes 0 No (3) Furnish pools services, or facilities to (or accept them from) a disqualified Person? SSATL,y,tyr A M Yes ~ No (4) Pay compensation to, or pay or reimburse tie expenses of, a disqualified persons S'(IFTkJMYlJT A M Yea 1 1 No (5) Transfer any income or assets to a disqualified person (or make any of either available
for tie benefit or use of a disqualified parson) 0 Yes OX No (6) Agree to pay money or property to a government officials (Exception Check 'No'
it the organization agreed to make a grznl to or to employ the official for a period attar termination of government service, d terminating within 90 days ) ~ Yes ~ No
h If any answer is 'Yes' to ta(1 )-(6), did airy of the ads fail to quality under tie exceptions described in Regulations section 53 4941(d)-3 or in a current notice regarding disaster assistance (see page 19 of the instructions) Organisations relying on a current notice regarding disaster assistance check here " 0
c Did tie organization engage in a prior year in any of the acts described in 7a, other than excepted acts, that were not corrected before the first day of the tax year beginning in 20011
2 Taxes on failure to distribute income (section 4942) (does not apply for years the organization was a private operating foundation defined m section 4942(j)(3) or 4942(j)(5))
a At the end of tax year 2007, did the organization have any undistributed income (lines 6d and 6e, Part XI II) for tax year(s) beginning before 20019 E:1 YesM No If 'Yes' list the years 10,
h Are there any years listed m 2a for which the organization is not applying the provisions of section 4942(a)(2) (relating to incorrect valuation of assets) to the year's undistributed incomes (If applying section 4942(x)(2) to all years listed, answer 'No' and attach statement - see instructions ) N/ A
s If the provisions of section 4942(x)(2) are being applied to any of the years listed m 2a, list the years sera
3a Did the organization hold more than a 2% direct or indirect interest in any business enterprise at any time during the yeah E:1 Yes OX No
6 It 'Yes: did R have excess business holdings in 2001 as a result of (1) any purchase by the organization or disqualified persons after May 26, 1969 .(2) the lapse of the 5-year period (or longer period approved by the Commissioner under section 4943(c)(7)) to dispose 01 holdings acquired by gift or bequest, or (3) the lapse Oldie 1D-, 15-, or 4Dyear first phase holding penod7 (Use Schedule C, Form 4720, to determine i! the organization had excess business holdings in 2001) N/A
4a Did the organization invest during the year any amount in a manner that would jeopardize it charitable purposes b Old the organization make any investment in a prior year (but after December 31, 1969) that could jeopardize its charitable purpose that dad not been removed from jeopardy before the first day of the lax year beginning in 2001?
5a During the year did the organization pay or incur any amount to (1) Carry on propaganda, or otherwise attempt to influence legislation (section 4945(e))? ~ Yes 0 No (2) Influence the outcome of any specific public election (see section 4955, or to carry on directly or indirectly.
any voter registration drne7 ~ Yes OX No (3) Provide a gent to an individual for travel, study, or other similar purposes 0 Yes X No (0) Provide a gent to an organization other than a charitable, etc , organization UescnDed m section
509(a)(t), (2), or (3), or section 4940(d)(2)? 0 Yes OX No (5) Provide far any purpose other than religious, charitable, scientific, literary, or educational purposes, or for
the prevention of cruefty to children or animals? Yes No h If any answer is Yes' [0 5x(1 H5), did any of the transactions fail to quality under the exceptions described m Regulations
section 53 4945 or in a current notice regarding disaster assistance (see instructions)? N/A Organizations raying on a current notice regarding disaster assistance check here
c If the answer is 'Yes'to question Sa(4), does the organization claim exemption from tie tax because it maintained expenditure responsibility for the grant? N/A Yes No 11 'Yes,' attach the statement required by Regulations section 53 4945-5(d)
63 Did the organization, during the year receive any funds, directly or indirectly, to pay premiums on a personal benefit contracts 0 Yes OX No
D Did the organization during the year, pay premiums, directly or indirectly, on a personal benefit contract I! you answered "Yes" to 6b, also file Form 8870
ip X
X
2b
IT
S6 ̀ '
`6bY X
Fom 990-PF (ppt)
S 12180310 758661 52170 2001 .09000 JOSEPH R . MCMICKING FOUNDAT 521701
305 Page s
Yes No'
727501 Ol Z6-M
of service
over
Expenses
4
Form 990-PF (2001) 6
2001 .09000 JOSEPH R . MCMICKING FOUNDAT 521701 12180310 758661 52170
Form 9so-PF(2oo1) JOSEPH R . MCMICKING FOUNDATION 94-6058305 Page 6 Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees, and Contractors
" 7 List all officers . directors, trustees . foundation menecers and their eomoensation (b) Title and
(a) Name and address hours Qer wee
pensalion of five highest-paid employees (other than those included on line 1) II (b) Title and aver;
(a) Name and address of each employee paid more than $50,000 hours p er wee4 devoted to oosih
3 Five highest-paid independent contractors for professional services H none, enter "NONE " (a) Name and address of each person paid more than $50.000
enter "NONE."
I (c) Compensation
List the foundation's four largest direct chantable activities during the tax year Include relevant statistical information such as the number of organizations and other beneficiaries served . conferences convened, research papers produced, etc
t N/A
2
3
Compensation
Form 990-PF(200t) JOSEPH R . MCMICKING FOUNDATION 94-6058305 Page 7
Pmt tX-8 Summary of Program-Related Investments
Amount the tax year on lines 1 and 2 two largest program-related investments made by the foundation
1 N 0 N E
2
All other program-related investments See instructions 3
Total Add lines 1 through 3 1
Pmt X Minimum Investment Return (All domestic foundations must complete this part Foreign foundations, see instructions )
7 fair market value of assets nod used (or held for use) directly in carrying out chanUhle, etc , purposes a Average monthly fair market value of securities D Average of monthly cash balances c Fair market value at all other assets 0 Total (add lines 1a, b, and c) e Reduction claimed for blockage or other factors reported on lines to and
1c (attach detailed explanation) to 2 Acquisition indebtedness applicable to line 1 assets 3 Subtract line 2 from line 1d d Cash deemed held for chantable activities Enter 7 1/tY, of line 3 (for greater amount, see instructions) 5 Nat value of nancharltahle-use assets Subtract line 4 from line 3 Enter here and on Part V, line 4 6 Minimum Investment return Enter 5% of line 5
7
i~i )a DIStI'IbutablB Amount (see instructions) (Section 4942(j)(3) and (1)(5) private operating foundations and certain foreign organizations check here 1 = and do not complete this part )
Minimum investment return from Part % tine 6 7 382 , 847 . 2a Tax on investment income for 2001 from Part VI, line 5 2a 2 , 811 . b Income tax for 2001 (This does not include the tax from Part V1 2b c Add lines 2a and 2b 2c 2 , 811 .
3 DistnbutaDla amount before adjustments Subtract line 2c from line 1 3 380 036 . 4a Recoveries at amounts treated as qualifying distributions 48 0 . h Income distributions from section 4947(a)(2) trusts 06 0 . C Add lines 4d and 4b 4c
Acdlines 3and4c 5 380,036 . 6 Deduction from Oistnbutable amount (see instructions) 6 ~ 0 . 7 Dlslrihutahle amount as adjusted Subtract line 6 from line 5 Enter here and on Part XIII, line 1 7 380,036 .
Part X# Qualifying Distributions (see Instructions)
1 Amounts paid (including administrative expenses) to accomplish charrta6le, etc , purposes s Expenses, contributions, pelts, etc -total from Part I, column (G), line 26 1 a 4 2 1 711 . h Program-related investments -Total from Part IX-B th 0 .
2 Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc , purposes 2 3 Amounts set aside for specific chantable projects that satisfy the I a Suitability test (poor IRS approval required) 3a h Cash distribution test (attach the required schedule) 3b
6 Qualifying distributions Add tines 1a through 3b Enter here and on Pan V, line B, and Pan %11I, line 4 d 421 , 711 . 5 Organizations that qualAy under section 4940(e) for the reduced ate of tax on net investment
income Enter 15', of Pad I line 27D 5 2 , 811 . 6 Adjusted qualifying distributions Subtract line 5 from line 4 ~ 6 418,900 .
Note The amount on line 6 will be used in Part V, column (b), m subsequent years when calculating whether the foundation qualities for the section 4940(e) reduction of sex in those yeas
Form 990-PF app»
uawt maim
7 12180310 758661 52170 2001 .09000 JOSEPH R, MCMICKING FOUNDAT 521701
123571 01 t4-07 p
O
12180310 758661 52170 2001 .09000 JOSEPH R . MCMICKING FOUNDAT 52170-1
Form 99o-PF(2007) JOSEPH R . MCMICKING FOUNDATION 94-6058305 Page e
part X~~~ Undistributed Income (see instructions)
(a) (o) lel (it) Corpus Years pnorto 2000 2000 2001
1 Distributable amount for2001from Part Xl,line 7 380, 036 .
2 UnObWeute0lncomq it my m of Na and 012000 a Enter amount far 2000 only
'0Uromn, prior yeli 19-,79-,19 0 " 3 E~ceeaiemnuwmom'wsRxnmxaol a From 1996 h From 1997 c From 1998 ' " OFrom 7999 7z9 "
, . eFrom 2ooo 38 , 551 . ~ ` ITotal otlines 3athrough e 39 , 280 .
0 Qualifying distributions for 2001 from - Part xll,line a " S 421 711 .
a Applied to 2000, but not more than line 2a ' 0 b Applied to undistributed income of poor years (Election required -see msiructions)
e Treated as distributions out of corpus (Election required -see Instructions) 0
dApplied to2001distnbutableamount 380 036 .
eRemaining amount distributed oulotcorpus 41~ 675 . ` -67 Ea.aaotAOUOOnacartywmsppiIaemxrot 5
of en srtounl appears In column (d)~ Me carte amount mustwsownInodurmpll
6 Enter the net total of each column as Indicated below ' � .
aCorpus Amlines aeaa .na~ sutvenenas 809S5(. '
b Prior years undistributed income Subtract line 4b from line 2b ' ° 0
c Enter the amount of prior years - undistributed income far which a notice of deficiency has been issued, or an which , the section 4942(a) tax has been previously ' assessed 0
d Subtract line 6c from line 6b Taxable ~ - amount-see instructions 0
e Undistributed income for 2000 Subtract line 4a from line 2a Taxable amount - see instr 0
1 Undistributed income for 2007 Subtract lines 4d and 5 from line 1 This amount must be distributed in 2002
7 Amounts treated as distributions out of corpus to satisfy requirements imposed by - ~ - section 170(b)(1)(E) or 4942(8)(3) 0
8 Excess distributions carryover from 1996 not applied on line 5 or line 7 0
9 Excess distributions carryover to 2002 Subtract lines 7 and e from dine 6a 80 , 955 .
10 Analysis of line 9 - ~ ~ , - - a Excess from 1997 D Excess tram 7998 e Excess from 1999 729 .~ d Excess from 2000 38 , 551 . eExcess from 200i 41 675 .
Form 990-PF Rat)
1 a It tie foundation has reserved a ruling or determination letter toot it is a private operating foundation, and the ruling u effective for 2007, enter the date of the ruling
D Cheok box to indicate whether the organization is a mate a e26n foundation describe 2 a Enter the lesser of the adjusted net Tax year Poor 3
zoos I IN 2000 1998 I (a) Total
each year listed e 'SupporC alternative test-enter
(7) Total support other than gross investment income (interest, dividends, rents, payments on securities loans (section 512(a)(5)), or royalties)
(2) Support from general public and 5 or mare exempt organizations as provided in section 4942(I)(3)(B)(m)
13) Largest amount of support from an exempt organization
izaseiAt-2<-M 9 Fom,B90-PF Room 12180310 758661 52170 2001 .09000 JOSEPH R. MCMICKING FOUNDAT 521701
and
income from Part I or the minimum investment return from Part X for each year listed
h 85% of line 2a c Qualifying distributions tram Part XII,
line 4 for each year listed d Amounts included in line 2c not used directly for active conduct of exempt activities
e Ouahlyinp distributions made directly for active conduct of exempt activities Subtract line 2d tram line 2c
3 Complete 3a, D, or c for the alternative test retied upon
a 'Assets' alternative test-enter (1) Value of all assets (2) Value of assets qualifying
under section 4942(j)(3)(B)(Q h 'EndowmenCaltematrve test-
Enter 2/,i o1 minimum investment retain shown in Pail X, line 6 for
[Yart SLY J Supplementary Information (Complete this part only if the organization had $5,000 or more in assets at any time dunng the year-see page 26 of the instructions.)
1 Infortnation Regarding Foundation Managers a List any managers of the foundation who have contributed more than 2% of the total contnbu6ons reserved by the foundation before the close of any tax
year (hut only d they have contributed more than $5,000) (See section 507(d)(2) ) NONE
b List any managers of the foundation who own 70% or more of the stock of a corporation (or an equally large portion of the ownership of a partnership or other entity) Of which the foundation X25 a 10% Or greater interest
NONE 2 Information Regarding Contnbution, Grant, Gift, Loan, Scholarship, etc ., Programs
Check here 1 0 d the organization any makes contributions to preselected charitable organizations and does not accept unsolicited requests for tunas If the organization makes gifts, grants, etc (see instructions) to individuals or organizations under other conditions, complete items 2a, b, c, and d
a The name address, and telephone number of the person to whom applications should be addressed HENRY C . MCMICKING - 500 SANSOME ST ., #408 SAN FRANCISCO, CA 94111 (415)732-7890
h The form in which applications should be submitted and information and materials they should include SUBMIT APPLICATION IN LETTER FORM - NO SPECIFICATIONS FOR INFORMATION
c Any submission deadlines
d My restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other factors NO RESTRICTION OR LIMITATIONS SPECIFIED
94 Form 990aF
the Year or Approved for Future I! recipient is an individual, show any relationship to any foundation manager or substantial contributor
Foi.n990-PF Roots 10
2001 .09000 JOSEPH R . MCMICKING FOUNDAT 521701 12180310 758661 52170
3 Grants and Contributions Paid Dunn Recipient
Name and address (home or business)
a Pad during the year
SEE STATEMENT B
b Approved for future paynnent
NONE
123601A7 24 07
Foundation Purpose ofQ rant or status of contnbution Amount recipient
286,000 .
oil:-oz 11 Fw�,990-PF aooi) 12430310 758661 52170 2001 .09000 JOSEPH R . MCMICKING FOUNDAT 521701
Form 990-PF(200i) JOSEPH R . MCMICKING FOUNDATION 94-6058305 Page 11 Pmt XVI-A Analysis of Income-Producing Activities
Enter gross amounts unless otherwise indicated Unrelated business income en~a.a .xm.s1z sia , . s," (B) a exempt
1 Program service revenue B c5o0e55 Amount ml. Amount function income a b e a e 1 p Fees and contracts from government agencies
2 Membership dues and assessments 3 Interest on savings and temporary cash
investments 14 5,904 . 4 Dividends anGinterest from securities 14 321 879 . 5 Net rental income or (loss) from real estate
a Debt-financed property b Not debt-financed property
6 Net rental income or (loss) from personal property
7 Other investment income 8 Gain or (loss) tram sales of assets other
than inventory 18 <195,744 . 9 Nat income or (loss) from special events 70 Gross profit or (lass) from sales of inventory 11 Other revenue
a h e a e
12 Subtotal Add columns (b), (d), and (e) 0 .1 132,039 . 1 0 . 13 Total Add line 72, columns (b), (d), and (e) " 13 132,039 . (Sea worksheet in line 13 instructions to verity calculations 1
Past )CVI-B Relationship of Activities to the Accomplishment of Exempt Purposes
Line No I Explain below how each activity for which income is reported in column (e) of Part 7NI-A contributed importantly to the accomplishment of the organization's exempt purposes (other than by providing funds tar tuck purposes)
2a Is the organization directly or indirectly affiliated with, or related to, one or more tax-exempt organizations described in section 501(c) otthe Coda (other than section 501(c)(3)) or in section 5279 yes EX No
D If Yes; complete the followin g schedule (a) Name of organization (bj Type of organization (c) Description at relationship
N/A
Under pen~lue of I dsd~e Net I r yo. eaaminaU true return, including accompanying schedules and tdtenanb, end b the best of my krqMeCpe and beLal It n true, mnecy snO
..7 P'" veC ~ of piepsrer (at* titan Vpryer or fiduciary) 1s EaeC on at inbmvdon of wY(rli DMpyx had any knowledge
wmawmcuwi+s nvu IIbFa~p~l '101 .aasanezwmx RAN
123821 Ol-34p2
12430310 758661 52170 2001 .09000
Form 99o-PF(2001) JOSEPH R . MCMICKING FOUNDATION 94-6058305 Page i2 Pmt XYII Information Regarding Transfers To and Transactions and Relationships With Nonchantable
Exempt Organizations
1 Did the organization doggy or indirectly engage in any of the following with any other organization described in section 507(c) of Yes No the Code (other than section SOt(c)(3) organizations) or m section 527, relating to political organizations?
a Transfers tram the reporting organization to a nonchantable exempt organization of (1) cash fail) X (2) Other assets la ( 2 ) X
b Other Transactions (1) Sales of assets to a nonchanU61e exempt organization 1 h 1 X (2) Purchases of assets from a nonchantable exempt organization 7b 2 X (3) Rental of facilities, equipment or other assets 70 3 X (4) Reimbursementarrangamenis ib4 X (5) Loans or loan guarantees 1G5 X (6) Performance of services or membership or fundraising solicitations 1 b ( 6)
c Sharing of facilities, equipment mailing lists, other assets, or paid employees IC X d It 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 qrven by the reporting organization It the organization received less than fair market value in any transaction or Sharing arrangement, show m column (0) the value of the goods, other assets, or services received
(a) one no (0) Amount involved M Name of noncharitable exempt orpaniulion fill Description of transfers transactions . and sharing arrangements
O 2 c m _ N r ̀a
or
STRONG LLP, CPA' CALIFORNIA STREET,
FORM 990-PF PAGE 1 990-PF
Reduction In m t
Description Date
No Unadjusted Bus % Basis- Basis For Accumulated Current Amount Of No DEon Acquired Method Life Cost Or Basis Exci ITC, t79, Depreciation Depreciation Sec 179 depreciation SaWape
1 OMPUTER EQUIPMENT 100198 SL .00 16 2,967 . 2,967 . 2,029 . 593 . ,. ~ . . . r . . .. . . . ~ ` l ryn
,TOT,AL' 990,-PF PG" 1 ;DEPR ~ -, 2,967 . 0~. , 2,,967 . 2,D29~. 593 :
Y ~ v . ~ A S
' , . .. . . . . . .. .. .. . . n . .
~ .. ~ ` ~..y .~ ... wn,
` ~ y
178102 0-0301 (D) - Asset disposed
13
2001 DEPRECIATION AND AMORTIZATION REPORT
JOSEPH R . MCMICKING FOUNDATION 94-6058305
FORM 990-PF INTEREST ON SAVINGS AND TEMPORARY CASH INVESTMENTS STATEMENT 2
MONEY MARKET FUND
TOTAL TO FORM 990-PF, PART I, LINE 3, COLUMN A
STATEMENT 3 DIVIDENDS AND INTEREST FROM SECURITIES
CAPITAL GAINS COLUMN (A) GROSS AMOUNT DIVIDENDS AMOUNT
241,158 . 0 . 241,158 . 80,721 . 0 . 80,721 .
321,879 . 0 . 321,879 .
SOURCE
BOND INTEREST DIVIDEND INCOME
TOTAL TO FM 990-PF, PART I, LN 4
14 STATEMENT S) 1, 2, 3 12180310 758661 52170 2001 .09000 JOSEPH R . MCMICKING FOUNDAT 521701
'FORM 990-PF GAIN OR (LOSS) FROM SALE OF ASSETS STATEMENT 1
(A) MANNER DATE DESCRIPTION OF PROPERTY ACQUIRED ACQUIRED DATE SOLD
SEE STATEMENT C PURCHASED
(B) (C) (D) (E) (F) GROSS COST OR EXPENSE OF
SALES PRICE OTHER BASIS SALE DEPREC . GAIN OR LOSS
3,507,961 . 0 . 3,703,705 . 0 . <195,744 .>
CAPITAL GAINS DIVIDENDS FROM PART IV 0 .
TOTAL TO FORM 990-PF, PART I, LINE 6A <195,794 .>
SOURCE
FORM 990-PF
AMOUNT
5,904 .
5,904 .
JOSEPH R . MCMICKING FOUNDATION 94-6058305
FORM 990-PF ACCOUNTING FEES STATEMENT 4
(A) (B) (C) (D) EXPENSES NET INVEST- ADJUSTED CHARITABLE
DESCRIPTION PER BOOKS MENT INCOME NET INCOME PURPOSES
OUTSIDE ACCOUNTING SERVICE 9,500 . 4,750 .
4,750 . TO FORM 990-PF, PG 1, LN 16B 9,500 . 4,750 .
TO FORM 990-PF, PG 1, LN 23 51,353 . 0 . 51,353 .
15 STATEMENT S) 4, 5, 6, 7 12180310 758661 52170 2001 .09000 JOSEPH R . MCMICKING FOUNDAT 521701
4,750 .
FORM 990-PF OTHER PROFESSIONAL FEES STATEMENT 5
(A) (B) (C) (D) EXPENSES NET INVEST- ADJUSTED CHARITABLE
DESCRIPTION PER BOOKS KENT INCOME NET INCOME PURPOSES
INVESTMENT MANAGER FEES 41,930 . 41,930 . 0 .
TO FORM 990-PF, PG 1, LN 16C 41,930 . 41,930 . 0 .
FORM 990-PF TAXES STATEMENT 6
(A) (B) (C) (D) EXPENSES NET INVEST- ADJUSTED CHARITABLE
DESCRIPTION PER BOOKS MENT INCOME NET INCOME PURPOSES
PAYROLL TAXES 3,218 . 0 . 3,218 . TAXES ON INVESTMENT INCOME 3,969 . 0 . 0 . STATE & LOCAL TAX 55 . 0 . 55 .
TO FORM 990-PF, PG 1, LN 18 7,242 . 0 . 3,273 .
FORM 990-PF OTHER EXPENSES STATEMENT 7
(A) (B) (C) (D) EXPENSES NET INVEST- ADJUSTED CHARITABLE
DESCRIPTION PER BOOKS MENT INCOME NET INCOME PURPOSES
OFFICE EXPENSES 2,269 . 0 . 2,269 . INSURANCE 3,820 . 0 . 3,820 . RETIREMENT EXPENSES 45,264 . 0 . 45,264 .
94-6058305 JOSEPH R . MCMICKING FOUNDATION
FORM 990-PF U .S . AND STATE/CITY GOVERNMENT OBLIGATIONS STATEMENT 8
U .S . OTHER GOVT GOV T DESCRIPTION BOOK VALUE
1,284,489
1,284,489 1,337,184 .
1,284,489 . 1,337,184 . TOTAL TO FORM 990-PF, PART II, LINE 10A
FORM 990-PF CORPORATE STOCK STATEMENT 9
FAIR MARKET BOOK VALUE VALUE
2,880,134 . 3,271,140 .
2,880,134 . 3,271,140 . TOTAL TO FORM 990-PF, PART II, LINE lOB
FORM 990-PF CORPORATE BONDS STATEMENT 10
FORM 990-PF DEPRECIATION OF ASSETS NOT HELD FOR INVESTMENT
COST OR ACCUMULATED OTHER BASIS DEPRECIATION BOOK VALUE DESCRIPTION
COMPUTER EQUIPMENT 2,967 . 2,622 . 345 .
TOTAL TO FM 990-PF, PART II, LN 14 2,967 . 2,622 . 345 .
16 STATEMENT S) 8, 9, 10, 11 12180310 758661 52170 2001 .09000 JOSEPH R . MCMICKING FOUNDAT 521701
FEDERAL OBLIGATIONS X
TOTAL U .S . GOVERNMENT OBLIGATIONS
TOTAL STATE AND MUNICIPAL GOVERNMENT OBLIGATIONS
FAIR MARKET VALUE
1,337,184 .
DESCRIPTION
CORPORATE STOCK
DESCRIPTION BOOK VALUE
CORPORATE OBLIGATIONS 1,571,885 .
TOTAL TO FORM 990-PF, PART II, LINE lOC 1,571,885 .
FAIR MARKET VALUE
1,643,160 .
1,643,160 .
STATEMENT 11
JOSEPH R . MCMICKING FOUNDATION 94-6058305
17 STATEMENT S) 12, 13, 14 12180310 758661 52170 2001 .09000 JOSEPH R . MCMICKING FOUNDAT 521701
FORM 990-PF~ OTHER ASSETS STATEMENT 12
FAIR MARKET DESCRIPTION BOOK VALUE VALUE
OFFICE LEASE DEPOSIT 2,996 . 2,996 .
TOTAL TO FORM 990-PF, PART II, LINE 15 2,996 . 2,996 .
FORM 990-PF OTHER LIABILITIES STATEMENT 13
DESCRIPTION AMOUNT
PAYROLL TAXES AND WITHHOLDINGS 1,744
TOTAL TO FORM 990-PF, PART II, LINE 22, COLUMN B 1,744 .
FORM 990-PF PART VIII - LIST OF OFFICERS, DIRECTORS STATEMENT 14 TRUSTEES AND FOUNDATION MANAGERS
EMPLOYEE TITLE AND COMPEN- BEN PLAN EXPENSE
NAME AND ADDRESS AVRG HRS/WK SATION CONTRIB ACCOUNT
HENRY C . MCMICKING PRESIDENT 500 SANSOME ST ., #408 PART-TIME 0 . 0 . 0 . SAN FRANCISCO, CA 94111
RODERICK C .M . HALL TRUSTEE 500 SANSOME ST ., #408 PART-TIME 0 . 0 . 0 SAN FRANCISCO, CA 94111
SIGNE VIK SCRTRY/TRSR 500 SANSOME ST ., #408 PART-TIME 41,416 . 5,955 . 0 . SAN FRANCISCO, CA 94111
CONSULEO H, MCHUGH TRUSTEE 500 SANSOME ST ., #408 PART-TIME 0 . 0 . 0 . SAN FRANCISCO, CA 94111
ALEXANDRA M . ELLSWORTH TRUSTEE 500 SANSOME ST ., #408 PART-TIME 0 . 0 . 0 . SAN FRANCISCO, CA 94111
94-6058305
0 . 0 . 0 .
41,416 . 5,955 . 0 . TOTALS INCLUDED ON 990-PF, PAGE 6, PART VIII
18 STATEMENT S) 14 12180310 758661 52170 2001 .09000 JOSEPH R . MCMICKING FOUNDAT 521701
JOSEPH R . MCMICKING FOUNDATION
JOSEPH C .M . HALL TRUSTEE "500 SANSOME ST ., #408 PART-TIME SAN FRANCISCO, CA 94111
Form 2220 oepertrt.ot o1 ms Ttis-h
Underpayment of Estimated Tax by Corporations OMB NO 15AS01d2
" See ceDarate liulructlons " 2001 Attach to the co oration's taa return FORM 990-PF
Employer identification number Name
R . MCMICKING FOUNDATION
1 U The corporation is using the annualized income installment method 2 [1] The corporation is using the adjusted seasonal installment method 3 E~] The corporation is a 'large corporation figuring its first required installment based on the prior year's tax Note The corporation also must file Form 2220 A it has a suspended research credit allowed for the current year (see the instructions far line 4) or it is an
e 2 , 811
sa
g 2,811
4,009
e Credit for Federal tax paid on fuels (see instructions) Sc d Total Add lines 5a through 5c
6 Subtract line Sd from line 4 If the result is less than $500, do not complete or file this form The corporation does not owe the Denatty
7 Enter the tax shown on the corporation's 2000 income tax return Caution See instructions before completing this line
8 Enter the smaller of line 6 or line 7 If the corporation must skip line 7 enter the amount from line - 6 8 2 , 811 .
9 Installment due dates Enter in columns (a) through (d) a 6 e O
the 15th day of the 4th (Form 990-PF filers Use 5th month) 6th, 9th, and 12th months of the corporation's Wxyear Exception Enter Octobers 2001,instaad of September i5,200t 0- 9 03/15/02 04/15/02 07/15/02 10/15/02
10 Required installments it the box on line 1 and/or line 2 above it checked, enter the amounts from Schedule A, line 40 If the box on line 3 (but not 1 or 2) is checked, see instructions for the amounts to enter If none of these boxes are checked enter 25% of line 8 above in each column
11 Estimated lax paid or credited for each period (see instructions) For column (a) only, enter the amount from line 11 on line 15 Complete lines 12 through 18 0l one column before going to the ne=t column
12 Enter amount, d any, from tine 18 of the preceding column
13 Add lines 11 and 12 14 Add amounts on lines 16 and 77 of the preceding
column 15 Subtract line 14 from line 13 h zero or less, enter-0-16 11 the amount on line 15 is zero, subtract line 73 from
line 14 Otherwise, enter -0- 17 Underpayment II line 15 is less than or equal to line
10, subtract line 15 from line 10 Then go to line 12 of the next column Otherwise, go to line 1 B
18 Overpayment If line 10 is less than line 15 subtract lini
iz 307 . 13 307 . 1 , 010 . 1 1 010 .
14 396 . 88 . 15 1,010 . 307 . 614 . 922 .
is 0 . 0 .
17 396 . 88 .
~e 307 . 1 are no entries on line 17, no penalty Is ores
1JwA For Paperwork Reduction Act Notice, see separate Instructions 1 9 Form 2220 (2001) 12180310 758661 52170 2001 .09000 JOSEPH R . MCMICKING FOUNDAT 521701
Note In most cases, the corporation does nod need to file Form 2220 (See Pad I below for exceptions ) The IRS will figure any penalty owed and bill the corporation If the corporation does not need to file Form 2220, it may still use it to figure the penalty Enter the amount from line 36 an the estimated tax penalty line of the co oration's income tax return, but 0o hat attach Forth 2220
I Pe;;,R,
H28S0n5 FOB FIIIt1O - Check the boxes below that apply to the corporation It any boxes are checked, the corporation must file Form 2220,
4 Total lax (see instructions)
Sa Personal holding company tax (Schedule PH (Form 1120), line 26) included online 4 b Look-back interest included online 4 under section 460(b)(2) for completed long-term
contracts or of section 167(g) for property depreciated under the income forecast method
703 .1 703 .1 702 .
1,010 .1 1 1 .010 .1 1
FORM 990-PF " Form 2220(2007) JOSEPH R . MCMICKING FOUNDATION 94-6058305 Page 2
P in III Figuring the Penalty
19 Enter the date of payment or the 15th day of the 3rd month after tie dose of the tax year, whichever is earlier (see instructions) (Form 990-PF and Form 990-T liters Use 5th month instead of 3b month )
20 Number of days from due date of installment on line 9 to the date shown on line 19
27 Numpsr of days online Xl aloer 3/J711pp2 Ana Debra 7/12007
28 Undapey~t on IIno77 a NumOSr of aav+ on llne 77 x'% 365
29 NumWroldays online 20sf1erYJ42002endwbrelMllpp7
33 Humns of aeye on nne 7o ener 12pt200t ene wrore v16R003
36 Penalty Add columns (a) through (d), of line 35 Enter the total here and on Forth 1120, line 33, Forth 1120-A, line
Far underpayments paid after March 31, 2002 For fines 28 30, 32, and 34, use the penalty interest rate for each calendar quarter, which the IRS will determine during the first month in tie preceding quarter Vase rates are published quarterly in an IRS News Release and in a revenue ruling in the Internal Revenue Bulletin 70 obtain this information on the Internet, access the IRS Web Site al will Its gov You can al s o call 1-800.829-7 040 to ge t interest rate information
JWA Form =0 207
�zaoz 02 of-oz 2 0
12180310 758661 52170 2001 .09000 JOSEPH R . MCMICKING FOUNDAT 521701
21 Numbs of aM on line 70 eM U1Y2001 me! Debn 7/12001
zz UnGepeymmt on line 17 a Number of as,,, on line 21 x 8% 3Z
23 Nunibrofdyfonline 70efIn6/3Q2001en00sNn1/1/tpM
24 Unclerpymen1on Ilne 17 x NumOer of pgy on llne 73 X7% Y5
25 Nuns of Caya on Ilna zo ener 1xairzml end neforeanrzooz
26 Undspyment on Iln,17 v Number of Geva on line t5 x6% Y3
30 UnEerpoymvit online 17 s Number of days online 79 x X 365
31 NuniWr of aays on Ilna t0 eRV B/JM2002 ena Dsbn 1nrzOR7
32 l1ndW%msil on Ilna 77 r Numew of davs on une 37 x "% YS
34 llnd>pymvil on Ilna 17 a Numeer of Cave on line JJ R "% Ya5
35 Add lines 22, 24, 26 28, 30, 32, and 34
STATEMENT A
JOSEPH R McNUCKfNG FOUNDATION IDN 94058305 FORM 990-PF 10/31/02
RELATED PARTY TRANSACTIONS
THE FOUNDATION, THE MERCEDES Z MctvUCKING TRUST AND McM1CKING AND CO SHARE OPERATING EXPENSES GENERALLY, THE FOUNDATION AND THE TRUST EACH ASSUME 25% OF THE OPERATING EXPENSES AND THE COMPANY ASSUMES THE REMAINING 50%
EIN # 946058305
STATEMENT B
The Joseph R. McMicluog Foundation
Grants and Contributions Paid during the year
10131/02
McMickiog Foundation (10(31/02) EIN # 94-6058305 Gross Amount from Sale of Investment Property
BONDS
To 990 PF Page l Pert IV 57,507,961 $3,703,705 (195,744)
STATEMENT C
