Endowment, Trust, and Other Long-term Investments Pool Financial Detail of Funds for the Year Ended December 31, 2009

 

(Dollars in thousands)

 

Capital Contributions as of Dec. 31, 2009

Market Value at Dec. 31, 2008

2009 Contributions

2009 Investment Gain

2009 Expenditures & Transfers

Market Value at Dec. 31, 2009

I. Funds that Support the NAS

 

 

 

 

 

 

A. General Fund

 

 

 

 

 

 

Agassiz Fund

$ 50

$ 411

$ -

$ 99

$ (30)

$ 480

Carnegie Fund

3,275

28,451

-

6,787

(2,057)

33,181

Commonwealth Fund

500

1,847

-

441

(134)

2,154

Carl Eckart Fund

1,246

1,880

-

449

(136)

2,193

Ford Foundation Fund

5,000

18,156

-

4,332

(1,311)

21,177

Henrietta and Alexander Hollaender Fund

500

811

-

193

(58)

946

Grayce B. Kerr Fund

250

403

-

96

(29)

470

Nealley Fund

19

163

-

39

(12)

190

Simon Ramo Fund

14

28

-

6

(2)

32

Rockefeller Foundation Fund

1,000

3,682

-

878

(266)

4,294

Dorothea and Herbert Simon Fund

645

843

-

201

(61)

983

Sloan Foundation Fund

1,000

3,669

-

876

(265)

4,280

Amy Prudden Turner Fund

30

94

-

22

(7)

109

Anonymous Endowment Fund

7,147

11,797

-

2,814

(851)

13,760

General Endowment Fund

3,606

6,665

-

1,565

(501)

7,729

Members Endowment Fund

2,723

4,359

6

1,067

(284)

5,148

 

$ 27,005

$ 83,259

$ 6

$ 19,865

$ (6,004)

$ 97,126

B. Woods Hole

 

 

 

 

 

 

Peter C. Cornell Trust Fund

$ 100

$ 197

$ -

$ 47

$ (14)

$ 230

J. Erik Jonsson Woods Hole Fund

2,003

3,415

-

811

(248)

3,978

Richard King Mellon Foundation Fund

50

144

-

35

(11)

168

Penzance Foundation Fund

502

858

-

204

(62)

1,000

Woods Hole Endowment Fund

971

987

-

234

(71)

1,150

Woods Hole Fund

13

31

-

7

(2)

36

 

$ 3,639

$ 5,632

$ -

$ 1,338

$ (408)

$ 6,562

C. Presidents' Committee Funds

 

 

 

 

 

 

Basic Science Fund - Earth Sciences

$ 503

$ 1,013

$ -

$ 254

$ (1)

$ 1,266

Biology and Biotechnology Fund

420

661

-

164

(13)

812

Thomas Lincoln Casey Fund

258

4,836

-

1,158

(368)

5,626

Coca-Cola Foundation Fund

50

108

-

27

-

135

Arthur L. Day Fund

5,048

13,179

-

3,231

(591)

15,819

Cecil and Ida Green Fund

467

1,183

-

290

(21)

1,452

W. K. Kellogg Foundation Fund

20,000

33,617

-

8,048

(1,927)

39,738

Kobelt Fund

297

1,527

-

370

(82)

1,815

Andrew W. Mellon Foundation Fund

1,000

1,248

-

308

(25)

1,531

George and Cynthia Mitchell Endowment for Sustainability Sciences

16,000

12,932

2,000

3,458

(466)

17,924

George and Cynthia Mitchell Matching Endowment

40

48

-

12

-

60

Frank Press Fund for Dissemination and Outreach

1,167

1,738

-

424

(71)

2,091

Scientists and Engineers for the Future Fund

1,000

1,317

-

324

(51)

1,590

 

$ 46,250

$ 73,407

$ 2,000

$ 18,068

$ (3,616)

$ 89,859



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OCR for page 16
SCHEDULE 1-A Endowment, Trust, and Other Long-term Investments Pool Financial Detail of Funds for the Year Ended December 31, 2009 (Dollars in thousands) Market Market Capital Value at 2009 2009 Value at Contributions Dec. 31, 2009 Investment Expenditures Dec. 31, as of Dec. 31, 2009 2008 Contributions Gain & Transfers 2009 I. Funds that Support the NAS A. General Fund Agassiz Fund $ 50 $ 411 $ -$ 99 $ (30) $ 480 Carnegie Fund 3,275 28,451 - 6,787 (2,057) 33,181 Commonwealth Fund 500 1,847 - 441 (134) 2,154 Carl Eckart Fund 1,246 1,880 - 449 (136) 2,193 Ford Foundation Fund 5,000 18,156 - 4,332 (1,311) 21,177 Henrietta and Alexander Hollaender Fund 500 811 - 193 (58) 946 Grayce B. Kerr Fund 250 403 - 96 (29) 470 Nealley Fund 19 163 - 39 (12) 190 Simon Ramo Fund 14 28 - 6 (2) 32 Rockefeller Foundation Fund 1,000 3,682 - 878 (266) 4,294 Dorothea and Herbert Simon Fund 645 843 - 201 (61) 983 Sloan Foundation Fund 1,000 3,669 - 876 (265) 4,280 Amy Prudden Turner Fund 30 94 - 22 (7) 109 Anonymous Endowment Fund 7,147 11,797 - 2,814 (851) 13,760 General Endowment Fund 3,606 6,665 - 1,565 (501) 7,729 Members Endowment Fund 2,723 4,359 6 1,067 (284) 5,148 $ 27,005 $ 83,259 $ 6$ 19,865 $ (6,004) $ 97,126 B. Woods Hole Peter C. Cornell Trust Fund $ 100 $ 197 $ -$ 47 $ (14) $ 230 J. Erik Jonsson Woods Hole Fund 2,003 3,415 - 811 (248) 3,978 Richard King Mellon Foundation Fund 50 144 - 35 (11) 168 Penzance Foundation Fund 502 858 - 204 (62) 1,000 Woods Hole Endowment Fund 971 987 - 234 (71) 1,150 Woods Hole Fund 13 31 - 7 (2) 36 $ 3,639 $ 5,632 $ -$ 1,338 $ (408) $ 6,562 C. Presidents' Committee Funds Basic Science Fund - Earth Sciences $ 503 $ 1,013 $ - $ 254 $ (1) $ 1,266 Biology and Biotechnology Fund 420 661 - 164 (13) 812 Thomas Lincoln Casey Fund 258 4,836 - 1,158 (368) 5,626 Coca-Cola Foundation Fund 50 108 - 27 - 135 Arthur L. Day Fund 5,048 13,179 - 3,231 (591) 15,819 Cecil and Ida Green Fund 467 1,183 - 290 (21) 1,452 W. K. Kellogg Foundation Fund 20,000 33,617 - 8,048 (1,927) 39,738 Kobelt Fund 297 1,527 - 370 (82) 1,815 Andrew W. Mellon Foundation Fund 1,000 1,248 - 308 (25) 1,531 George and Cynthia Mitchell Endowment for Sustainability Sciences 16,000 12,932 2,000 3,458 (466) 17,924 George and Cynthia Mitchell Matching Endowment 40 48 - 12 - 60 Frank Press Fund for Dissemination and Outreach 1,167 1,738 - 424 (71) 2,091 Scientists and Engineers for the Future Fund 1,000 1,317 - 324 (51) 1,590 $ 46,250 $ 73,407 $ 2,000 $ 18,068 $ (3,616) $ 89,859 16

OCR for page 16
SCHEDULE 1-A Endowment, Trust, and Other Long-term Investments Pool Financial Detail of Funds for the Year Ended December 31, 2009 (Dollars in thousands) Market Market Capital Value at 2009 2009 Value at Contributions Dec. 31, 2009 Investment Expenditures Dec. 31, as of Dec. 31, 2009 2008 Contributions Gain & Transfers 2009 D. Program Specific Funds Arnold and Mabel Beckman Fund of the NAS and NAE $ 11,975 $ 6,355 $ 23 $ 1,365 $ (2,237) $ 5,506 Billings Fund 50 687 - 172 (1) 858 Blakeslee Fund 887 1,878 - 427 (140) 2,165 Henry G. Booker Fellowship Fund 21 43 - 11 - 54 Communications Initiative Fund - 2,608 - 618 (204) 3,022 Cultural Programs of the NAS Fund 21 23 2 7 - 32 Henry and Bryna David Endowment 850 1,029 - 257 (11) 1,275 Global Commons Project Fund 39 122 - 31 - 153 Marian Koshland Science Museum Fund 22,786 17,791 - 4,192 (1,544) 20,439 Bruce Alberts Fund for the Marian Koshland Science Museum 5,195 4,852 - 1,191 (80) 5,963 National Science Resources Center Fund 4,987 4,388 - 1,100 (6) 5,482 New Canaan Library Fund 4 8 - 2 - 10 Kumar and Shela Patel Endowment for US-India Dialogs 600 640 - 160 (1) 799 Arthur M. Sackler Colloquia Fund 4,375 4,729 - 1,187 (229) 5,687 Raymond & Beverly Sackler USA-UK Scientific Forum Endowment 2,025 1,459 - 365 (2) 1,822 USNC/IAU 100 132 - 33 (6) 159 NAS Members Endowment(s) 59 211 - 53 (1) 263 $ 53,974 $ 46,955 $ 25 $ 11,171 $ (4,462) $ 53,689 E. Prizes and Awards American Psychological Association Science Directorate Fund $ 30 $ 52 $ - $ 13 $ (3) $ 62 Henryk Arctowski Fund 96 2,530 - 631 (18) 3,143 Bache Fund 60 307 - 70 (21) 356 Blaauw Fund 71 665 - 152 (46) 771 John J. Carty Fund 25 585 - 131 (63) 653 Comstock Fund 11 622 - 147 (39) 730 Draper Fund 6 264 - 59 (28) 295 Elliot Fund 8 133 - 32 (6) 159 Estes Award in Social and Behavioral Sciences 80 213 - 43 (40) 216 Gibbs Brothers Fund 24 233 - 44 (67) 210 Gibbs Fund 5 96 - 26 21 143 Ralph E. Gomory Award for the Application of Science 179 385 - 95 (6) 474 Gould Fund 50 551 - 126 (38) 639 Joseph Henry Fund 40 359 - 82 (25) 416 Alexander Hollaender Award in Biophysics 100 249 - 61 (9) 301 Hunsaker Fund 25 328 - 82 (6) 404 Franklin Livingston Hunt Fund 11 176 - 44 - 220 Kovalenko Fund 64 1,062 - 264 (14) 1,312 Marsh Fund 10 157 - 36 (11) 182 17

OCR for page 16
SCHEDULE 1-A Endowment, Trust, and Other Long-term Investments Pool Financial Detail of Funds for the Year Ended December 31, 2009 (Dollars in thousands) Market Market Capital Value at 2009 2009 Value at Contributions Dec. 31, 2009 Investment Expenditures Dec. 31, as of Dec. 31, 2009 2008 Contributions Gain & Transfers 2009 George P. Merrill Fund $ 10 $ 498 $ - $ 114 $ (34) $ 578 Stanley Miller Award 155 110 - 27 - 137 Monsanto Award in Molecular Biology 421 853 - 199 (59) 993 Murray Fund 6 137 - 33 (7) 163 NAS Award for Chemistry in Service to Society 182 304 - 70 (40) 334 NAS Award in Mathematics 54 48 - 10 (6) 52 NAS Award in Chemical Sciences 478 426 - 93 (50) 469 NAS Award in Neuroscience 140 379 - 93 (8) 464 NAS Fund for Sciences and Technology in International Affairs 49 190 - 47 - 237 Pradel Fund 16 1,271 - 318 (2) 1,587 H. P. Robertson Lectureship Fund 20 219 - 55 - 274 Helen P. Smith Fund 67 497 - 115 (40) 572 Mrs. J. Lawrence Smith Fund 8 544 - 125 (45) 624 Thompson Fund 10 201 - 41 (37) 205 Troland Fund 505 3,370 - 800 (166) 4,004 Walcott Fund 5 63 - 14 (6) 71 G. K. Warren Fund 15 150 - 36 (6) 180 Watson Fund 25 1,059 - 263 (13) 1,309 $ 3,061 $ 19,286 $ - $ 4,591 $ (938) $ 22,939 F. Reserve Funds National Academy of Sciences Reserve Fund $ 5,521 $ 2,824 $ 1,431 $ 959 $ (839) $ 4,375 Proceedings of the National Academy of Sciences Fund 1,000 827 - 207 (1) 1,033 Transportation Research Board Reserve Fund 1,500 1,682 - 421 (2) 2,101 Due to (from) National Academy of Sciences - (410) - 399 (11) $ 8,021 $ 4,923 $ 1,431 $ 1,587 $ (443) $ 7,498 Subtotal — Funds that Support the NAS $ 141,950 $ 233,462 $ 3,462 $ 56,620 $ (15,871) $ 277,673 II. Funds that Support the IOM A. General Funds General Endowment Fund $ 1,119 $ 1,429 $ 6 $ 347 $ (95) $ 1,687 Robert Wood Johnson Foundation Fund 5,000 8,424 - 2,044 (560) 9,908 IOM Kellogg Fund 283 385 - 96 (1) 480 IOM Members Dues 198 269 - 67 - 336 Henry J. Kaiser Family Foundation Fund 488 657 - 160 (44) 773 John D. and Catherine T. MacArthur Foundation Fund 5,000 8,372 - 2,032 (560) 9,844 Pharmaceutical Discretionary Fund 480 687 - 172 (1) 858 Pharmaceutical Endowment Fund 259 399 - 97 (26) 470 Miscellaneous Private Sector Fund 26 47 - 11 (3) 55 $ 12,853 $ 20,669 $ 6$ 5,026 $ (1,290) $ 24,411 18

OCR for page 16
SCHEDULE 1-A Endowment, Trust, and Other Long-term Investments Pool Financial Detail of Funds for the Year Ended December 31, 2009 (Dollars in thousands) Market Market Capital Value at 2009 2009 Value at Contributions Dec. 31, 2009 Investment Expenditures Dec. 31, as of Dec. 31, 2009 2008 Contributions Gain & Transfers 2009 B. Program Specific Funds Distinguished Scholar Fund $ 17 $ 52 $ - $ 13 $ -$ 65 Food & Nutrition Board (FNB) Fund 525 1,129 - 283 (1) 1,411 FNB Corporations Fund 125 326 82 - 408 FNB Members Fund 5 18 - 5 - 23 Norman Gant & ABOG Fellowship 650 633 1 157 (36) 755 Hamburg Endowment Fund 1,000 928 12 235 (1) 1,174 Howard Hughes Medical Institute Fund 5,000 11,268 - 2,819 (35) 14,052 Kellogg Health of the Public Fund 4,702 4,234 241 1,046 (183) 5,338 Kellogg Health of the Public Fund Matching Contributions 2,541 1,946 262 505 39 2,752 Richard and Hinda Rosenthal Lecture Series 1,000 1,127 - 274 (33) 1,368 Women's Health Issues Fund 20 60 - 15 - 75 $ 15,585 $ 21,721 $ 516 $ 5,434 $ (250) $ 27,421 C. Prizes and Awards Gustav O. Lienhard Award $ 1,200 $ 3,208 $ - $ 786 $ (90) $ 3,904 Rhonda and Bernard G. Sarnat International Prize in Mental Health 1,009 1,112 - 276 (38) 1,350 $ 2,209 $ 4,320 $ - $ 1,062 $ (128) $ 5,254 D. Reserve Funds IOM Reserve Fund $ 500 $ 663 $ - $ 166 $ (2) $ 827 Subtotal — Funds that Support the IOM $ 31,147 $ 47,373 $ 522 $ 11,688 $ (1,670) $ 57,913 Subtotal — NAS and IOM Funds $ 173,097 $ 280,835 $ 3,984 $ 68,308 $ (17,541) $ 335,586 III. Funds Held on Behalf of Others A. The National Academies' Corporation Operations Endowment $ 8,000 $ 5,365 $ -$ 1,343 $ (7) $ 6,701 Program Endowment 1,940 1,288 - 337 (2) 1,623 Building Maintenance Reserve - 534 - 86 (150) 470 $ 9,940 $ 7,187 $ -$ 1,766 $ (159) $ 8,794 TOTAL $ 183,037 $ 288,022 $ 3,984 $ 70,074 $ (17,700) $ 344,380 19