990 PF990s.foundationcenter.org/990pf_pdf_archive/461/461908869/46190… · 21 Travel, co ncphd...

990 PFReturn of Private Foundation OMB No 15-15.0052

Form. or Section 4947(a)(1) Trust Treated as Private Foundation

2014Department 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.irs. go /form990f. (fin to Public Inspection

For c3Iendar year 2014 or tax year beginning , and ending

Name of foundation A Employer Identification number

TnHN AND RURYN HORN FOUNDATION INC

Ga`^

ii

46-1908969Number and street (or P O box number If mail is not delivered to street address ) Room/suite B Telephone number ( see Instructions)

24300 CHENAL PARKWAY , BOX 71 501 -831-2872City or town, slate or province , country , and ZIP or foreign postal code

LITTLE ROCK AR 72223C if exemption application is pending , check here ►

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

Final return Amended return 2. Foreign organizations meeting the

Address change Name change 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 terminated under

Section 4947(a )( 1 ) nonexemp t charitable trust Other taxable private foundation ►section 507(b)(1)(A), check here

Fair market value of all assets at J Accounting method , [J Cash [] Accrual F If the foundation is in a 60-month termination►507 b 1 h k hd 8end of year (from Part II , col. (c), Other (specify) un er section ( )( )( ), c ec ere

line 16 ) ► $ 6 , 455 102 ( Part I column (d ) must be on cash basis. )

Part I Analysis of Revenue and Expenses(The total of (a) Revenue and(b) Net Investment (c) Adjusted net

(d ) Disbursementsfor charitable

amounts In columns ( b), (c), and ( d) may not necessarily equal expenses perbooks Mme income purposes

the amounts in column ( a) (see Instructions )) cash basis onl y)

I Contributions , gifts, grants , etc., received (attach schedule)

2 Check ► ® if the foundation is not required to attach Sch. BAV -

3 Interest on savings and temporary cash investments

4 Dividends and interest from securities 99, 917 96 , 683

5a Gross rents

b Net rental Income or (loss )

C 6a Net gain or (bss) from safe of assets not on One 10 384 , 712

j b Gross sales price for all assets on line 6a 2 142 574

7 Capital gain net income (from Part IV, line 2 ) 384 712

8 Net short-term capital gain 0

9 Income modifications

10a Gross sales lose returns and allowances °

b Less : Cost of goods sold

c Gross profit or (loss) (attach schedule) "

11 Other income (attach schedule) STMT 1 -74 -74 : .̂•

12 Total . Add lines 1 through 11 484 , 555 481 , 321 0 '.r ' "

13 Compensation of officers , directors , trustees , etc 42 , 000 42 , 000

14 Other employee salaries and wages .

16 Pension plans , employee benefits 3 , 540 3 , 540

CL 16a Legal fees ( attach schedule ) SEE STMT 2 155 155KW b Accounting fees (attach schedule ) STMT 3 2 , 000 2 , 000

c Other professional fees (attach schedule)r+

17 Interest

u ins MIA1^ S 418 Taxes h-S 19 , 301 1 , 455 17,846

-SC- It I

5n (attac19 DepredaU a 1 , 305._I

20 Occupan y ry • , ,

21 Travel , co ncphd e^tin^

22 Printing ando blications

p) ^ 6(^23 Other expense (all. 57 , 501 53 , 885 3 , 616(r ^

24 Total ope ting in" nistr^dve penses.

16. Add lines 1 through23 125,802 55,340 0 69 , 157

CL 26 Contributions , gife, grants paid 418 , 509 418 , 509

26 Total expenses and dlsbursements .Add lines 24 and 25 544 , 311 55 , 340 0 487 , 666

27 Subtract line 26 from line 12: ... ;' ,

a Excess of revenue over expenses and disbursements -59,756

b Net Investment Income ( if negative , enter -0-) 425, 981,

c Adlusted net Income if neg ative , enter -0-) 0

Fnrm oon-PF JOHN AND ROBYN HORN FOUNDATION INC 46-1908869 Paae 2

Attached schedules and amounts in the description column Beginning of year End of yearPart It Balance Sheets should be for end-of-year amounts only (See Instructions) (a) Book Value (b) Book Value (c) Fair Market Value

I Cash - non-interest-bearing 18 , 851 21 , 101 21,101

2 Savings and temporary cash Investments

3 Accounts receivable ►Less: allowance for doubtful accounts ►

4 Pledges receivable ►Less: allowance for doubtful accounts ►

6 Grants receivable

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

disqualified persons (attach schedule) (see

instructions) .

7 Other notes and loans receivable (ail. schedule) ► _ - . ,

Less: allowance for doubtful accounts ► 0

8 Inventories for sale or use

9 Prepaid expenses and deferred charges

Q 10a Investments - U.S. and state government obligations (attach schedule)

b Investments - corporate stock (attach schedule) SEE STMT 7 6 , 157 , 309 6 , 096,608 6,434,001

c Investments - corporate bonds (attach schedule)

11 Investments-land, buildings, and equipment basis ► . • • • • • , - , - .

Less- accumulated depreciation (attach sch) ►

12 Investments - mortgage loans • . . . ,

13 Investments - other (attach schedule)

14 Land, buildings, and equipment balls ► 8,0 .3.2

3Less accumulated depredation (attach s& I STMT 8 6, 2 2 3, 0 94 1 , 789. .16 Other assets (describe ►16 Total assets (to be completed by all filers - see the

instructions Also see page 1, item I 6 , 179 , 254 6 119 498 6 455 102

17 Accounts payable and accrued expenses

18 Grants payable

m 19 Deferred revenue

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

eta 21 Mortgages and other notes payable (attach schedule)

22 Other liabilities (describe ► )

23 Total liabilities (add lines 17 through 22) 0 0

►Foundations that follow SFAS 117, check here

and complete lines 24 through 26 and lines 30 and 31.

24 Unrestricted

tQ 25 Temporarily restricted«sCO

•26 Permanently restricted `

Foundations that do not follow SFAS 117, check here ► QLL and complete lines 27 through 31.

0 27 Capital stock, trust principal, or current funds 6 , 179,254 6 , 096,608

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

29 Retained earnings, accumulated income, endowment, or other funds 22,890 . '

d 30 Total net assets or fund balances(see instructions) 6 , 179 , 254 6 , 119 , 498

Z 31 Total liabilities and net assetstfund balances(see

1instructions ) 6 , 179 , 254 6 , 119 , 498 1

-Part III - Analysis of Changes in Net Assets or Puna It3alances

I 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 prior year's return) 1 6,179,254

2 Enter amount from Part I, line 27a 2 -59 , 756

3 Other increases not included in line 2 (itemize) ► . . . • , 3

4 Add lines 1, 2, and 3 .. 4 6,119,498

5 Decreases not included in line 2 (itemize ) ► , , - 6

6 Total net assets or fund balances at end of year ( line 4 minus line 5 ) - Part II, column (b ), line 30 6 6 , 119 , 498

Form 990-PF (2014)

Form 990-PF (2014) JOHN AND ROBYN HORN FOUNDATION INC 46-1908869

PartIV Canital Gains and Losses for Tax on Investment Income

(a) Llat and describe the knd (s) of properly sold (e g , real estate .

2-story brick warehouse, or common stock, 200 she MLC Co)

(b) How acquired

p - pulseD - Donation

(c) Date acquired

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

(mo. day, yr )

Ia SEE WORKSHEETb

cd

e

(e) Gross sales price(r) Depreciation allowed

(or allowable )

( g) Cost or other basis

plus expense of sale

( h) Gain or (loss)

(e) plus ( fl minus (g)

ab

c

d

eComplete 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(D Adjusted basis

as of 12/31169

(k) Excess of col (i)

over col a), it any

col (k), but not less than -O-)or

Losses (from cot (h))

a

b

c

d

e

2 Capital gain net income or (net capital loss)It gain , also enter in Part I, line 7

{ If (loss), enter -0- in Part 1 , line 7 2 384 , 712

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) (see Instructions ). If (loss), enter -0- in

Part I. line 8 .. 3 74 , 797

Party Qualification Under Section 4940 (e) for Reduced Tax 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 ® No

If "Yes," the foundation does not qualify under sect i on 4940 (e). Do not complete this part.

I Fnter the annrnnriate amount In each column for each year : see the Instructions before making any entries.(a)

Base period yearsCalendar year (or

taxtax year beginning in)

(b)Adjusted qualifying distributions

(c)Net value of noncheritable-use assets

(d)Distribution ratio

(ml (b)b) dividedded by col (c))

2013 410 , 707 5 , 914 , 638 0.0694392012

2011

2010

2009

column (d)2 Total of line 1 2 0.069439,

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

number of years the foundation has been in existence if less than 5 years 3 0 . 069439

4 Enter the net value of noncharitable-use assets for 2014 from Part X, line 5 4 6 , 565 , 587

5 Multiply line 4 by line 3 5 455 , 908

6 Enter 1 % of net investment income (1 % of Part I, line 27b) 6 4 , 260.... . _ ,

7 Add lines 5 and 6 7 460 , 168

8 Enter aualifvino distributions from Part Xll, line 4 8 487 , 666

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

Part VI instructions.Form 990-PF (2014)

Form 990-PF (2014 ) JOHN AND ROBYN HORN FOUNDATION INC 46-1908869

Part Vt Excise Tax Based on Investment Income (Section 4940 ( a), 4940(b), 4940 ( e), or 4948 - see Instructions)

la Exempt operating foundations described in section 4940 (d)(2), check here ► 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 1 4 , 260

here ► FX 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-) 2 0

3 Add lines 1 and 2 3 4 , 260

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

5 Tax based on Investment Income .Subtract line 4 from line 3. If zero or less, enter -0- 5 4 9 260

6 Credits/Payments:

a 2014 estimated tax payments and 2013 overpayment credited to 2014 6a 8 , 924 ,

b Exempt foreign organizations - tax withheld at source 6b - ; `

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

d Backup withholding erroneously withheld _ 6d

7 Total credits and payments. Add lines 6a through 6d 7 8 , 924

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

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

10 Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid ► 10 4 , 66411 Enter the amount of line 10 to be, Credited to 2016 estimated tax 111, 4 , 260 Refunded ► 11 404

Part V1 1 -A- Statements Regarding Activities

la During the tax year, did the foundation attempt to influence any national, state, or local legislation or did it - Yes No

participate or intervene in any political campaign? 1a X

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

Instructions for the definition)? 1 b X

If the answer is "Yes" to Ia 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? le X

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

(1) On the foundation. ► $ (2) On foundation managers. ► $

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

on foundation managers. ► $ .

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

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 3

'

X

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

b " has it filed a tax return on Form 990-T for this year?If "Yes N/A 4b

5

,

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

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 effectivey, amends the governing instrument so that no mandatory directions that

conflict with the state law remain in the governing instrument? 6 X

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

8a Enter the states to which the foundation reports or with which it is registered (see instructions) ► •

AR ,.

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 8b X

9 Is the foundation claiming status as a private operating foundation within the meaning of section 49420)(3) or

4942(j)(5) for calendar year 2014 or the taxable year beginning in 2014 (see instructions for Part XIV)? If "Yes,"

complete Part XIV 9 X

10 Did any persons become substantial contributors during the tax year? If "Yes; attach a schedule listing their

names and addresses .. . 10 X

Form 990-PF (2014)


Part VIfA ,•• Statements Regarding Activities (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) 11 X

12 Did the foundation make a distribution to a donor advised fund over which the foundation or a disqualified

person had advisory privileges? 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

Websde address ► NONE

14 The books are in care of ► PAT FORGY Telephone no. ► 501-831-28729600 CEDAR GLEN RD

Located at ► poLnxo AR ZIP+4 ► 7213515 Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Fonn 1041 - Check here .... .... • . ► LJ

and enter the amount of tax-exempt interest received or accrued during the year . ► 15

16 At any time during calendar year 2014, did the foundation have an Interest in or a signature or other authority Yes No

over a bank, securities, or other financial account in a foreign country? 16 X

See the instructions for exceptions and filing requirements for FinCEN Form 114, (formerly TO F 90-22.1). If . `. • s

"Yes , " enter the name of the foreign country ►Part V11,B-. Statements Regarding Activities for Which Form 4720 May Be Required

File Form 4720 if any item Is checked In the "Yes" column, unless an exception applies. Yes No

la 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? ... q Yes No }

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

disqualified person? Yes X No

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

(4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person? X Yes 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)? - . _ q Yes q No 4 - ;

(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) q Yes No •

b If any answer is "Yes" to 1 a(1)-(6), did any of the acts fall to qualify under the exceptions described in Regulations

section 53.4941(d)-3 or in a current notice regarding disaster assistance (see instructions)? 1b X

Organizations relying on a current notice regarding disaster assistance check here ► q •

c Did the foundation engage in a prior year in any of the acts described in 1 a, other than excepted acts, that

were not corrected before the first day of the tax year beginning in 2014? I c X

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(J)(5)):

a At the end of tax year 2014, did the foundation have any undistributed income (lines 6d and

6e, Part XIII) for tax year(s) beginning before 2014? q Yes No

If "Yes," list the years ► 20 , 20 , 20 , 20.

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 applying section 4942(a)(2) to

answer "No" and attach statement - see instructions.)all years listed N/A 2b,

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

► 20 , 20 20 20

3a Did the foundation hold more than a 2% direct or indirect interest in any business enterprise

at any time during the year? q Yes No

b If "Yes," did it have excess business holdings in 2014 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 2014.) N/A 3b

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

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 2014? 4b X

Form 990-PF (2014

Form 990-PF (2014 ) JOHN AND ROBYN HORN FOUNDATION INC 46-1908869 Part VII-B Statements Regarding Activities for Which Form 4720 May Be Required (continued )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))? [] Yes D No

Q) Influence the outcome of any specific public election (see section 4955): or to carry on,

directly or indirectly , any voter registration drive? Yes

B

X No

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

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

section 4945(d)(4)(A)? (see instructions ) [] Yes X 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? n Yes [X No

b If any answer is "Yes' to 5a( 1).-(5), did any of the transactions fall to qualify under the exceptions described in

Regulations section 53.4945 or In a current notice regarding disaster assistance (see instructions)? N/A 5b

Organizations relying on a current notice regarding disaster assistance check here ► n -

c If the answer is "Yes" to question 5a(4), does the foundation claim exemption from the tax

because it maintained expenditure responsibility for the grant? N/A [] 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? [] Yes a 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? [] Yes ® No -

b If "Yes " did the foundation receive any roceeds or have any net income attributable to the transaction? N/A

Part VIII Information About Officers, Directors , Trustees, Foundation Managers , Highly Paid Employees,and Contractors

I List all officers . directors . trustees . foundation managers and their compensation (see instructions).

(a) Name and address(b) Title, and average

hours per weekdevoted to position

(c) Compensation(If not paid ,eater 416)

(d) Contributions toemployee benefitplans and deferredcompensation

(e) Expense account,other allowances

SEE STATEMENT 9

2 Comnensatlon of five hiahest-oald emolovess (other than those Included on line I - see instructions ). If none. enter

"NONE."

(a) Name and address of each employee paid more than $50,000

(b) Title, and average

hours per weekdevoted to position

(c) Compensation

(d) Contributions toemployee benefit

plans and deferredcompensation

(e) Expense account,

other allowances

NONE

Total number of other employees paid over $50,000 10' 1 0

Form 990-PF (2014)

Form 990-PF J2014) JOHN AND ROBYN HORN FOUNDATION INC 46-1908869 Pale U^ElE . Information About Officers, Directors, Trustees , Foundation Managers , Highly Paid Employees,

and Contractors (continued)3 Five highest-paid Independent contractors for professional services (see Instructions ). If none , enter "NONE."

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

NONE

Total number of others receiving over $50,000 for professional services 0

Part IX+,-:. Summary of Direct Charitable Activities

List the foundation's four largest direct charitable activities dung the tax year. Include relevant statistical information such as the number of

organizations and other beneficiaries served, conferences convened, research papers produced, etc Expenses

1 THE FOUNDATION DOES NOT OPERATE ANY ACTIVITY. IT ONLYDONATES TO CHARITABLE ORGANIZATIONS APPROVED BY THE IRS.ALL DONATIONS ARE LISTED ON PART XV OF THIS RETURN.

z

3

4

Part IX-8 . Summa ry of Program-Related Investments see instructions )Describe the Iwo largest program -rotated investments made by the foundation during the tax year on lines 1 and 2 Amount

t N/A

2

All other program -related investments See instructions

3

Total. Add lines 1 throug h 3

Form 990-PF (2014)


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

I 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 la 6 , 330 , 261b Average of monthly cash balances 1b 332 , 868c Fair market value of all other assets (see instructions) 1c 2 , 442d Total (add lines 1a, b, and c) Id 6 , 665 , 571e Reduction claimed for blockage or other factors reported on lines Ia and

1 c (attach detailed explanation)

2 Acquisition indebtedness applicable to line I assets 2 0

3 Subtract line 2 from line id 3 6 665 , 571

4 Cash deemed held for charitable activities Enter 1of line 3 (for greater amount, see

instructions) _.. 4 99 , 9845 Net value of noncharltable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4 6 6 , 565 , 5876 Minimum investment retum . Enter 5% of line 5 6 328 , 279

Part X1 Distributable Amount (see instructions ) (Section 4942(j)(3) and 0)(5) private operating foundations

and certain foreig n organizations check here ► and do not complete this part. )

I Minimum investment return from Part X , line 6 ...... 1 328 , 279

2a Tax on investment income for 2014 from Part VI, line 5 2a 4 , 260 , -

b Income tax for 2014 . (This does not include the tax from Part VI.) 2b

c Add lines 2a and 2b 2c 4 , 260

3 Distributable amount before adjustments . Subtract line 2c from line 1 3 324 , 019

4 Recoveries of amounts treated as qualifying distributions 4

5 Add lines 3 and 4 6 324 , 019

6 Deduction from distributable amount (see Instructions) 6

7 Distributable amountas adjusted . Subtract line 6 from line 5. Enter here and on Part XIII,

line 1 7 324 , 019

PartX11 Qualifying Distributions (see instructions)

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

a Expenses , contributions , gifts, etc . - total from Part I, column ( d), line 26 la 487 , 666b Program-related investments - total from Part IX-B , . 1b

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 charitable projects that satisfy the:

a Suitability test (prior IRS approval required) 3a

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

4 Qualifying distributlonsAdd lines 1a through 3b. Enter here and on Part V, line 8 , and Part XIII , line 4 4 487 , 6665 Foundations that qualify under section 4940(e) for the reduced rate of tax on net investment income

Enter I% of Part I, line 27b (see instructions) 5 4 , 2606 Adjusted qualifying distributions Subtract line 5 from line 4 .. 6 483 , 406

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

aualifies for the section 4940( e) reduction of tax in those years.

Form 990-PF (2014)


Part XIII Undistributed Income (see instructions )(e) (b) (c) (d)

1 Distributable amount for 2014 from Part XI, Corpus Years prior to 2013 2013 2014

line 7 324 , 019

2 Undistributed income, if any, as of the end of 2014: • • ' ` '

a Enter amount for 2013 only

b Total for prior years- 20 , 20 20

3 Excess distributions carryover, if any, to 2014:

a From 2009

b From 2010

c From 2011

d From 2012

e From 2013 147 , 394 - : '

f Total of lines 3a through e 147 , 394

4 Qualifying distributions for 2014 from Part XII,

line $ 487,666

a Applied to 2013, but not more than line 2a

b Applied to undistributed income of prior years

(Election required - see Instructions)

c Treated as distributions out of corpus (Election "

required - see instructions) ' -

d Applied to 2014 distributable amount 324,019

e Remaining amount distributed out of corpus 163 , 647

5 Excess distributions carryover applied to 2014 "

(If an amount appears in column (d), the same "'

amount must be shown in column ( a).)

6 Enter the net total of each column as

Indicated below: "

a Corpus. Add lines 3f, 4c, and 4e Subtract line 5 311, 041

b Prior years' undistributed income. Subtract " : • •

line 4b from line 2b • -

c Enter the amount of prior years' undistributed ,

income for which a notice of deficiency has `

been issued, or on which the section 4942(a) -

tax has been previously assessed

•d Subtract line 6c from line 6b Taxable

amount - see instructions

e Undistributed income for 2013. Subtract line • '

4a from line 2a Taxable amount - see

instructions

f Undistributed income for 2014. Subtract lines

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

distributed in 2015 0

7 Amounts treated as distributions out of corpus

to satisfy requirements imposed by section r ; s`v

170(b)(1)(F) or 4942(g)(3) (Election may be

required-see instructions) `

8 Excess distributions carryover from 2009 not

applied on line 5 or line 7 (see instructions)

9 Excess distributions carryover to 2015. '

Subtract lines 7 and 8 from line 6a 311 , 041

10 Analysis of line 9:

a Excess from 2010

b Excess from 2011

c Excess from 2012

d Excess from 2013 147 , 394

e Excess from 2014 163 647 :% -

Form 990-PF (2014)

AND ROBYN HORN FOUNDATION INC 46-1908869

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

foundajion, and the ruling is effective for 2014, enter the date of the ruling ►b Check box to Indicate whether the foundation is a priva te operating foundation described in section r L

2a Enter the lesser of the adjusted net Tax year Prior 3 years(e) Toted

income from Part I or the minimum (a) 2014 (b) 2013 ( c) 2012 (d) 2011

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

e Qualifying distributions made directly

for active conduct of exempt activities.

Subtract line 2d from line 2c

3 Complete 3a, b, or c for the

alternative test relied upon:

a "Assets" alternative test - enter:

(1) Value of all assets

(2) Value of assets qualifying under

section 49420)(3)(B)(i) .. . .

b "Endowment" alternative test - enter 2/3

of minimum investment return shown in

Part X. line 6 for each year listed

c "Support' alternative test - enter:

(1) Total support other than gross

investment income (Interest,dividends , rents, payments onsecurities loans (section

512(a)(5)), or royalties)

(2) Support from general public

and 5 or more exempt

organizations as provided insection 49420)(3)(B)(iii)

(3) Largest amount of support from

an exempt organization

(4 ) Gross investment income

.Part`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 tax year (but only if they have contributed more than $5,000). (See section 507(d)(2).)

N/A

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 or other entity ) of which the foundation has a 10% or greater interest.

N/A

2 Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc., Programs:

Check here ► El if the foundation only makes contributions to preselected charitable organizations and does not accept

unsolicited requests for funds . If the foundation 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 or e-mail address of the person to whom applications should be addressed.

PAT FORGY

24300 CHENAL PKWY , #71 LITTLE ROCK AR 72223

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

SEE COPY OF APPLICATION GUIDELINES ATTACHED.

c Any submission deadlines:

NONE

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

factors:


Form 990-PF (2014) JOHN AND ROBYN HORN FOUNDATION INC 46 -1908869

Part XV Supplementary Information (continued)3 Grants and Contributions Paid Durina the Year or ADoroved for Future Payment

RecipientIf recipient is an mdMduat.

show any relationship toFoundation

Purpose of grant or

any foundation managerstatus of

contributionAmount

recipientName and address (home or business) or substantial contributor

a Paid during the year

SEE ATTACHED

418,509

Total ► 3a 418,509

b Approved for future payment

SEE ATTACHED

40,000

Total ► 3b 40 , 000


Part XVI-A Analysis of Income-Producin Activities

Enter gross amounts unless otherwise indicated. Unrelated buelneee income Excluded by section 512, 513, or 514( e)

( ^) (b) (C) (d) Related or exempt

Buamese code Amount Exclusion Amount function income

1 Program service revenue:

code (See instructions ^

ab

C.

de

f

g Fees and contracts from government agencies

2 Membership dues and assessments

3 Interest on savings and temporary cash investments .

4 Dividends and Interest from securities 14 99 , 917

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 18 -74

8 Gain or (loss) from sales of assets other than inventory 18 384 , 712

9 Net income or (loss) from special events

10 Gross profit or (loss) from sales of Inventory

11 Other revenue: a

b

c

d

e

12 Subtotal. Add columns (b), (d), and (e) 0 , 484,555 1 0

13 Total. Add line 12, columns (b). (d), and (e) 13 484 , 555

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

_

Explain below how each activity for which income is reported in column (e) of Part XVI-A contributed importantly to the

Form aav-rr (2014)

Form 990-PF (2014) JOHN AND ROBYN HORN FOUNDATION INC 46-1908869 _.'Part 8 Information Regarding Transfers To and Transactions and Relationships With Noncharitable

Exempt Or anizations1 Did the organization directly or indirectly engage In any of the following with any other organization described Yes No

in section 501(c) of 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 1a 1 X

(2) Other assets 1! 2 X

b Other transactions:

(1) Sales of assets to a noncharitable exempt organization 1b(l ) X

(2) Purchases of assets from a noncharitable exempt organization 1 b ( 2) X

(3) Rental of facilities, equipment, or other assets 1 b ( 3) X

(4) Reimbursement arrangements 1 b (4) X

(6) Loans or loan guarantees 1 b( 6) X

(6) Performance of services or membership or fundraising solicitations 1b(6 ) X

c Sharing of facilities, equipment, mailing lists, other assets, or paid employees 1c 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 oods, other assets , or services received.

(a) Line no (b) Amount Involved (c) Name of nonchantable exempt organization (d) Description of transfers, transactions, and sharing arrangements

N/A

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 R9 No

ti If "V- " ..nn,nlnen the fnlinwinn crharfida

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

N/A

SignHere

Paid

Under penalties of perjury. I declare that I have examined this return, Including accompanying schedules and statements, and to the best of my knowledge and belief, It Is true,

correct, and complete Declaration of preparer (other than taxpayer) Is based on all info

Signature of officer or trustee

Pnntlype preparers name Proper

SHERYL SANDLIN HARTON SHERrroNaly.

Firm's name ► SANDLIN & PARHAM LTDUse Only

F m, a admese ► 1852 E JOYCE BLVD

FAYETTEVILLE, AR 72

Capital Gains and Losses for Tax on Investment IncomeForm 990-PF

For calendar year 2014 , or tax year beginnin g , and ending

2014

Name

JOHN AND ROBYN HORN FOUNDATION INC

Employer Identification Number

46-1908869

(a) List end describe the kind(s ) of property sold , a g, real estate ,2-story brick warehouse , or common stock, 200 she MLC Co

(b) How acquiredP-PirehaseD-Donation

( C) Date acquired(mo , day , yr )

( d) Date sold(-o. day, yr )

( 1 ) SEE ATTACHED STEPHENS 52661 P VARIOUS VARIOUS





(6 ) SEE ATTACHED STEPHENS 43302 P VARIOUS VARIOUSSEE ATTACHED STEPHENS 43302 P VARIOUS VARIOUS

(8) STEPHENS INC 43302

( 9 )

( 10 )

( 11 )

( 12 )

( 13 )

( 14 )

(15)

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

(g) Cost or other basisplus expense of sale

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

( 1 ) 746 , 528 669 , 229 77 , 299(2 ) 28 , 401 27 , 678 723(3 ) 61 , 764 58 , 794 2 , 970(4 ) 71 , 679 76 , 588 -4 , 909

(5 ) 118 , 612 89 , 077 29 , 535

(6 ) 102 , 486 100 , 802 1 , 684765 , 777 735 , 694 30 , 083

( 8 ) 247 , 327 247 , 327

( 9 )( 10 )11

( 12 )

( 13 )

( 14 )

( 15)

Complete only for assets showing gain in column ( h) and owned by the foundation on 12/31/69

(I) F M V as of 12/31/69 0) Adjusted basisas of 12/31/69

(k) Excess of cot (I)over cot Q), if any

(I ) Gains (Col (h) gain minuscol ), but not leas than -0-)Of

Losses (from col (h))

( 1 ) 77 , 299

( 2 ) 723

(3 ) 2 , 970

(4 ) -4 , 909

( 5 ) 29 , 535s 1 , 684

30 , 083

(8 ) 247 , 327

(9 )( 10 )( 11 )( 12 )

( 13 )

( 14 )

15

?013001 JOHN AND ROBYN HORN FOUNDATION INCt6-1908869 Federal Statements-YE: 12/31/2014

Statement 1 - Form 990-PF, Part I. Line 11 - Other Income

Revenue per Net InvestmentDescription Books Income

kTLAS ENERGY

TOTAL

$ -74 $

$ -74 $

Adjusted NetIncome

0

-74 $

-74 $

Statement 2 - Form 990-PF, Part I , Line 16a - Legal Fees

Net AdjustedDescription Total Investment Net

LEGAL FEES $ 155 $ $

TOTAL $ 155 $ 0 $ 0

Statement 3 - Form 990-PF, Part I, Line 16b - Accounting Fees


rAX PREPARATION $ 2,000 $ $

TOTAL $ 2,000 $ 0 $ 0

Statement 4 - Form 990-PF, Part I. Line 18 - Taxes


FOREIGN TAXES $ 1,455 $ 1,455 $

EXCISE TAX ON INVESTMENT INCOME 17,846

TOTAL $ 19,301 $ 1,455 $ 0

CharitablePurpose

$ 155

$ 155

CharitablePurpose

$ 2,000

CharitablePurpose

17,846

$ 17,846

1-4

?013001 JOHN AND ROBYN HORN FOUNDATION INC16-1908869 Federal Statements:'YE: 12/31/2014

Statement 5 - Form 990-PF, Part I, Line 19 - Depreciation

Description

Date Cost Prior Year Current YearAcquired Basis Depreciation Method Life Depreciation

CEYBOARD2/19/13 $ 53 $ 32 200DB 5 $ 8 $

EXTERNAL HARD DRIVE2/19/13 250 150 200DB 5 40

9ACBOOK PRO2/20/13 3,459 2,075 200DB 5 554

3PSON PRINTER2/19/13 114 65 200DB 7 14

)FFICE FOR MAC2/19/13 239 156 3 40

^UICKBOOKS2/25/13 133 87 3 22

4ICROSOFT OFFICE4/12/13 152 95 3 25

QINDOWS 7

4/12/13 217 136 3 36;RANT TRACKING

4/22/13 3,395 2,122 3 566

TOTAL $ 8,012 $ 4,918 $ 1,305 $

Net Investment Adjusted NetIncome Income

0 $ 0

5

2013001 JOHN AND ROBYN HORN FOUNDATION INC46-1908869 Federal StatementsFYE: 12/31/2014

Statement 6 - Form 990-PF, Part I, Line 23 - Other Expenses


EXPENSESINVESTMENT EXPENSEPRINTING & COPYING

OTHERSUPPLIESDUES & SUBSCRIPTIONS

TOTAL

53,88510515

2043,292

$ $

53,885

$ 57,501 $ 53,885 $ 0

Statement 7 - Form 990-PF, Part II, Line 10b - Corporate Stock Investments

Beginning End of Basis ofDescription of Year Year Valuation

STEPHENS 43302 $ 5,252,632 $ 5,090,892STEPHENS 45387 599,747 621,477STEPHENS 52661 303,069 384,239

STEPHENS 43302 3,407PTP ADJ -1,546

TOTAL $ 6,157,309 $ 6,096,608

CharitablePurpose

10515

2043,292

$ 3,616

Fair MarketValue

$ 5,251,836792,037390,128

$ 6,434,001

Statement 8 - Form 990-PF, Part II, Line 14 - Land , Building , and Equipment

Beginning End End AccumulatedDescription Net Book Cost / Basis Depreciation

$ 3,094 $ 8,012 $ 6,223

TOTAL $ 3,094 $ 8,012 $ 6,223

NetFMV

0

6-8

2013001 JOHN AND ROBYN HORN FOUNDATION INC46-1908869 Federal Statements

FYE: 12/31/2014

Statement 9 - Form 990-PF, Part VIII, Line I - List of Officers, Directors, Trustees, Etc.

Name and AverageAddress Title Hours Compensation Benefits Expenses

PAT FORGY EXECUTIVE DI 40.00 40,000 0 09600 CEDAR GLEN RDROLAND AR 72135

MIA HALL DIRECTOR 5.00 1,000 0 01911 N CLEVELAND STREET

LITTLE ROCK AR 72207

STONEY LAMAR DIRECTOR 5.00 1,000 0 0367 THOMPSON RDSALUDA NC 28773

GAYLE CORLEY DIRECTOR 5.00 0 0 017 PINE MANOR DRIVELITTLE ROCK AR 72207

JOHN HORN DIRECTOR 5.00 0 0 024300 CHENAL PKWY, #71LITTLE ROCK AR 72223

ROBYN HORN DIRECTOR 5.00 0 0 024300 CHENAL PKWY, #71LITTLE ROCK AR 72223

9

Lv 1 %)VV 1 %#%ji 11V r%1.4 LJ 1\v^ 1 Itl 1 Iv111r rvvl\v/'11 Ivly Ilrv

46-1908869 Federal StatementsFYE: 12/31/2014

Form 990-PF, Part XV, Line 2b - Application Format and Required Contents

Description


Form 990-PF, Part XV, Line 2c - Submission Deadlines

DescriptionNONE

Form 990-PF. Part XV, Line 2d - Award Restrictions or Limitations

Description


Form 4562 Depreciation and Amortization OMB No 1545-0172

(Including Information on Listed Property) 2014Department of the-Treasury 10' Attach to your tax return. Attachment

179Internal Revenue Service (99) ► Information about Form 4662 and Its separate instructions Is at www.irs.gov/form4562. Se nonce No

Name(s) shown on return Identifying number

JOHN AND ROBYN HORN FOUNDATION INC 46-1908869

Business or activity to which this form relatesINDIRECT DEPRECIATION

'Part I ` Election To Expense Certain Property Under Section 179Note: If you have any listed property, complete Part V before you complete Part I.

I Maximum amount (see instructions) 1 -900 , 000

2 Total cost of section 179 property placed in service (see instructions) . • 2

3 Threshold cost of section 179 property before reduction in limitation (see instructions) 3 2 , 000 , 000

4 Reduction in limitation. Subtract line 3 from line 2 If zero or less, enter -0- 4

5 Dollar limitation for tax ear. Subtract line 4 from line 1. If zero or less, enter -0-. If marled filin separately, see instructions 5

6 (a) Description of property (b) Cost (business use only) (c) Elected cost -

7 Listed property Enter the amount from line 29 7

8 Total elected cost of section 179 property. Add amounts In column (c), lines 6 and 7 8

9 Tentative deduction. Enter the smaller of line 5 or line 8 9

10 Carryover of disallowed deduction from line 13 of your 2013 Form 4562 10

11 Business income limitation. Enter the smaller of business Income (not less than zero) or line 5 (see instructions) 11

12 Section 179 expense deduction. Add lines 9 and 10, but do not enter more than line 11 12

13 Carryover of disallowed deduction to 2015. Add lines 9 and 10 , less line 12 ► 13 a ' "--

Note: Do not use Part II or Part III below for listed property. Instead, use Part V.

Part'll •' Special Depreciation Allowance and Other Depreciation (Do not include listed roe See instructions. )

14 Special depreciation allowance for qualified property (other than listed property) placed in service

during the tax year (see instructions) 14

15 Property subject to section 168(0(1) election 16

16 Other depreciation ( including ACRS) 16 689

Part III MACRS Depreciation (Do not include listed property.) (See instructions.)Section A

17 MACRS deductions for assets placed in service In tax years beginning before 2014 17 616

18 II you are electing to group any assets placed in service during the tax year into one or more gonoral asset accounts , check here ► F1 % -

snctinn R-Aaseta Placed in Service During 2014 Tax Year Uslna the General Depreciation System

(a) Classification of property(b) Month and year

placed inservice

(c) Basis for depreciation(busmessfnvestment useonty-see instructions )

(d) Recovery()

ry

period(e ) Convention ( f) Method (g) Depreciation deduction

19a 3-year pro perly '° .•.

b 5-year property

c 7-year properly

d 10-ear properly

e 15 ear prop erty

f 20 ear property - -

g 25 ear pro perty 25 yrs S/L

h Residential rental 27.5 yrs. MM S/L

property 27.5 yrs. MM SIL

I Nonresidential real 39 yrs. MM S/L

property MM S/L

Section C-Assets Placed In Service Durina 2014 Tax Year Using the Alternative Depreciation System

20a Class life S/L

b 12-year 12 yrs. SIL

c 40-year 40 yrs. MM S/L

,Pait-IV' Summary (See instructions. )

21 Listed property. Enter amount from line 28 , , • 21

22 Total. Add amounts from line 12, lines 14 through 17, lines 19 and 20 In column (g), and line 21 Enter

here and on the appropriate lines of your return. Partnerships and S corporations-see instructions 22 1 , 305

23 For assets shown above and placed in service during the current year, enter the

p ortion of the basis attributable to section 263A costs 23

For Paperwork Reduction Act Notice, see separate Instructions . Form 4562 (2014)rnaL+na wnm ^Tn w >rsnrtwtmc Line DT?•L+ 02

Payments Made - OBRA ReportDate Paid was in last year2/2212015

Payee Organbtadon Amount Non- - Receipt -

Request Primary Contact Check A Deduct Deduct Tax Sehed. Done

P^^Tde Stliff Paid Ode Amount Amount Status Date Date

The Argcnta Art Connection Inc Mia Hall $25,00000 $25,000.00 $0 00 50I(c)3

Taylor, Mannce 167 509(a)(l)

12.1102014

Expansion ofPauUrng/Fine Arts and Digital

Arts/Graphic Design studios

Arkawas Arts Center Robyn Horn S25,00000 $25,000 00 S000 501(c)3

Herman. Todd 138

P O Box 2137 4/92014

Little Rock, AR 72203

Resident Artist in Ceramics

Arlcaaaas Repertory Theatre Gayle Corley S15,00000 $15,00000 So 00 501(c)3

Hupp, Robert 166 509(a)(1)

610 Main St 12/102014

POBox110


2014-2015 Season Internship Program

Rafet Arkansas , Inc. Gayle Corley $25,00000 $25,00000 $000 501(c)3

Strother, Laurin 149 509(a)(2) under

170(bXI)(AXvu)

PO BOX 26203 7/13/2014

Little Rock AR 72221

New Works by Emerging Choreographers

1

Payee Organization Amount Non- - Receipt -

Request Prime Coact Check # Deduct Deduct Tax Sched. Done

Project Tide Staff Paid Date Amount Amount Status Da6e Date

Ballet Arkawas, Inc Gayle Corley $9,75000 59,75000 SO 00 501(c)3

Bye Kmen 165 509(aX2) under

170(bXIXA)(vu)

PO BOX 26203 12/10/2014


1 Scholarships for 30 Dancers for 2015 Summer

Intensive Program - $9.750

2 Summer Intensive Program Support - $14,400

The Center for Craft, Creativity & Design Stoney Lamar $20,00000 $20,00000 $000 501(c)3

Moore, Stephanie 139 509(•x1)

PO Box 1127 4/9/2014

Hendersonville , NC 28793-1127

Back to the Drawing Board

Dream B.LG. Gayle Corley $12,000 00 $12,000 00 $0 00 501(c)3

140 509(a)(I)

4/9/2014

Student produced musical aidfashion show.

The Furniture Society Mta Hall S7,25000 57,25000 S000 501(c)3

Robinson, Cory 164 509(a)(1)

12/10/2014

Expand rotating exhibitions at the ATC

Haystack Mountain School of Craft Stoney Lama[ $20,00000 520,00000 $000 501(c)3

Krestenbaum , Stuart 141

PO Box 5IS 4/9/2014

Deer Isle, MA 04627

Craft Thin ang Ideas on Malang Materials, and

Creative Process

2

Payee Organbmdon Amount Non- - Receipt - .

Request Primary Contact Check # Deduct Deduct Tax Schad. Done

Project Tille Staffpaid pate Amount Amount Mat= Date Data

Herron School of Art and Design Mia Hall 525,000,00 S25,00000 SO 00 501(c)3

Eacl®etc, Valerie 163 509(axi)

1211012014

Jewelry. Metal & Furniture Design Curriculum

Expansion

Los Angeles County Museum of Art Robyn Horn $15,000 00 $15,000 00 SO 00 501(c)3

Govan. Michael 162 509(a)(2) under

170(bxl)(AXvu)

5905 Wilshire Blvd 12/10/2014

Los Angeles , CA 90036-4504

Beyond Bling

Metal Museum Mia Hall S15,00000 515,00000 So 00 501(c)3

Hussong, Canssa 161 509(a)(1)

374 Metal Museum Dr 12/10/2014

Memphis, TN 38106

Digtiaaon ofextensive slide archive

National Council on Education for the Staney Lamar $25,000.00 $25 , 000 00 SO 00 501(c)3

Ceramic ArtsGreen, Job 160 509(aX2) under

170(bxl)(A)(vu)

P O Box 777 12/10/2014

Ens, CO 80516

New Apprenticeship Project in Ceramic Art

New York Theatre Workshop Gayle Corley 520,000 00 520,00000 50.00 501(c)3

Schierman, Alisa 142 509(a)(1)

4/9/2014

Mind the Gap

3

Payee Organization Amount Non- - Receipt -

Request Primary Contact Check # Deduct Deduct Tax Schad. Done

Protect Title staff Paid Date Amount Amount Status Data Date

Our House, Inc. Pat Forgy $25,00000 S25,00000 SO 00 501(c)3

Mlartan, Georgia 143 509(a)(1)

4/9/2014

Children's Center Creatrve Space Art Program

Penland School of Crafts

McLaughlin, Jean

67 Daeal Trail

POBox37

Penland, NC 28765-0037

Handrail and glass studiof rnace projects

Studio MAIN

East, Cons

1423 Main St, Ste C


Public Arts Master Plan - Commission ofthree

sculpture via compeonon

Studio MAIN

Easy Chris

1423 Mam St, Ste C


Public Arts Master Plan - Commission ofthree

sculpture via competition

Studio MAIN

East, Cams

1423 Main St, Ste C


Public Arts Matter Plan - Commission ofthree

sculpture via competition.

Robyn Horn

Mia Hall

Mia Hall

Mta Hall

$24,30000

144

4/92014

$25,000 00

148

5/1612014

$25,00000

147

6/6/2014

($25,000.00)

148

8/9/2014

$24,300.00

$25,000.00

525,000 00

(525,000 00)

SO 00 501(c)3

$0 00 501(c)3

509(aX1)

$000 501(c)3

509(a)(1)

5000 501(c)3

509(axl)

4

r

Payee pvgn n Amount Non- - Receipt -

Request Primary Contact Check # Deduct Deduct Tax Sched. Done

Project Title Staff Paid Date Amount Amount Status Data Data

Theatre Squared Inc Gayle Corley $25,000.00 525,00000 SO 00 501(c)3

Miller, Martin 159 509(a)(1)

12/10/2014

2015 Arkansas New Play Festival

University of Arkansas Little Rock - Art Mia Hall 515,20931 $15,20931 SO 00

Department

Clifton, Thomas 158

2801 S University 12/10/2014

Little Rods AR 72204

1 Creation of8 Studio Spacesfor Three

Dimensional Studies 515,209.31

2 Graphic Design Two Rivers Workshop

Pracncum

Vance Elementary School Parent Team Stoney Lamar $20,000,00 520,000 00 $000 501(c)3

145 509(axl)

4/9/2014

Innovation Hour

Vineyard Theatre Gayle Corley S25,00000 $25,000 00 $0.00 501(c)3

Hughes, Chloe 157 509(ax 1)

12/10/2014

GLORIA

Grand Total $419, 50931 S41 8,50931 SO 00

(23 items )

F,+ A V 3 a-

5

Payments Due Schedule , by Month2/22/2015

Payee Organization Request ID Due Payment Payment

Project Title, Grant Amount Ref. No. Data Amount Fund Notes

5July 201

Museum of Craft and Design 44 7/15/2015 $25,000 00 Contingent

Service: Craft in the Hands of U.S. Verterans, 44-2014 A challenge grant of $25,000 to

1941-2014 Museum of Craft and Design to

be awarded if $25,000 in

matching funds is procured by

June 30, 2015

$25,000 00

Total for July 2015 $25,000 00

(1 item)

December 2015

Metal Museum 45 12/10/2015 $15,000 00 Contingent

Digitation ofextensive slide archive 45-2014 Board is offering a challenge

grant of $15,000 to be paid

between October 1, 2015 and

December 31,2015, pending

procurement of matching funds

by 12/1/15

$30,000 00

Total for December 2015 $15,000 00

(1 item)

Grand Total $40,000.00

(2 items )p0,-4, XV 34

1

v - 4-. . ,

Stephens Inc. 2014 Composite Statement of 1099 Forms Account Number 322452661

1099 -8: PROCEEDS FROM BROKER AND BARTER EXCHANGE TRANSACTIONS OMB NO. 1545-0715

This Is Important tax Information and Is being fumished to the Internal Revenue Service (except as Indicated). If you are required to file a return,a negligence penalty or other sanction may be Imposed on you If this Income Is taxable and the IRS determines that it has not been reported.

All net proceeds are reported to the IRS for Covered and Noncovered tax Its . However, for Noncovered tax lots , values for "Date Acquired","Cost or Other Sasf° and "Adjustments " are provided for your reference and are NOT reported to the IRS.

Short tens Tnmtactlon Sates - COVERED tax lot for which cost basis is rapodid to the IRS (See 1099.6 Instrucdons for Box 3);Report on Form 949, Part I, with Box A checked)

Box 1C Box 4Box 1b DATE SOLD Box Id 1 6 Box 1e Box If FEDERAL

Box 1a DATE OR NET COST OR CODE, Box 1g REALIZED INCOME TAXQUANTITY SYMBOL DESCRIPTION ACQUIRED DISPOSED PROCEEDS OTHER BASIS IF ANY Box? ADJUSTMENTS GAIN I LOSS WITHHELD CUSIP

128.00 ODD 3-D SYSTEMS CORP NEW 04104/2014 09/05/2014 $6,488.92 $7,077.47 $000 ($590 55) $000 88554D20585.00 ACXM ACXIOM CORP 10/0312013 01/02/2014 13,09523 $2,45360 $0.00 $641.73 $0.00 005125109

5.00 ACXM ACXIOM CORP 10!0312013 01/07/2014 $181.89 $144.32 $000 $37.57 $000 005125109

826.00 ACAS AMERICAN CAPITAL LTD 0211412013 01/0212014 $12,783 . 18 $11 ,288.00 $0.00 $1 ,477.18 $0.00 02503Y103

445.00 BV BABCOCK & WILCOX CO 08/08/2014 0812712014 $12,920.20 $12,752.28 $0.00 $187.92 $0.00 06815F102

755.00 BXS BANCORP SOUTH INC 02/14/2013 0110212014 $18,861 . 16 $11,30692 $0.00 $7,552.24 $000 059892103130.00 GAS BASIC ENERGY SERVICES INC 10/29/2013 01 102/2014 $2,040 . 78 $1,83624 $000 $204 54 $000 08985P100

40.00 BAS BASIC ENERGY SERVICES INC 10/2912013 01107/2014 $607.75 $585.00 $0.00 $4275 $0.00 08985P100890.00 BAS BASIC ENERGY SERVICES INC 10/29/2013 09/30/2014 $19,528.65 $12, 571.16 $0 .00 $6,957 49 $000 08985P100110.00 BLOR BUILDERS FIRSTSOURCE INC 0110212014 0110712014 $840.09 $814.00 $0.00 528.09 $0.00 12008R107

1,825 .00 BLDR BUILDERS FIRSTSOURCE INC 01 /02/2014 07/2512014 511,353.80 $13,505.00 $0.00 ($2,151 20) $000 12008R107191.00 CALX CALIX INC 10/30!2014 12119!2014 $1,919 . 16 $2,034.74 $0.00 ($115.58) $0.00 13100M50910.00 CRI CARTER'S INC 01/02/2014 01 /0712014 $725.68 $722.70 $0.00 $2.98 $000 14622910919500 CRI CARTER'S INC 01/02/2014 07/2812014 $15,223 .88 $14,092 .63 $0.00 $1,131.25 $000 148229109170.00 CONN CONN'S INC 02/14/2013 01 /02/2014 $13,268 . 24 $6,30.10 $0.00 $7,906.14 $0.00 20824210715.00 CPRT COPARTINC 01102/2Q14 01/07/2014 $542 .84 $550 . 88 $000 ($8.04) $000 217204106

385.00 CPRT COPAR7 pIC_ 01102/2014 12J29/2014 $14,217 85 $14,139.20 $0.00 578.85 $0.00 217204106230.00 CORE CORE-MARK HOLDING COMPANY INC 02/14/2013 01 /0212014 $17.1a. 18 $11,480 . 80 $0.00 $5,643 28 $0.00 218681104595.00 CONE CYRUSONE INC 10109/2013 01/0212014 $12,88890 $10,726 50 $0.00 $2 , 160 40 $0.00 23203R100145.00 DFRG DEL FRISCOS RESTAURANT GROUP INC 12/1312013 01102/2014 $3,345. 13 $2,837.43 $0 . 00 $507. 70 $0.00 24507710210.00 DFRG DEL FRISCO'S RESTAURANT GROUP INC 12113/2013 01/07/2014 $230.49 $195 .68 $0.00 $34.81 $000 245077102

144.00 EXP EAGLE MATERIALS INC_ 1011 7/2014 1 2/292014 $11,087 .24 $12,960.00 $0.00 ($1,892.76) $0.00 26969P10886100 ECHO B(.`HO GLOBAL LOGISTICS INC 02/1412013 01102/2014 812,710 ,61 $11,420 .24 $0 .00 $1 ,280.37 $000 27875110145.00 ESC:OLD EMERITUS CORP 02/14/2013 01 /07/2014 $1,001.99 $1 ,280.70 $0.00 ($278.71) $0.00 291005108

720.00 ELOX ENDOLOGIX INC 02114013 01/02/2014 $12,329.06 $11,323 . 80 $0.00 $1,005.28 $0.00 20286S106165.00 EXAS EXACT SCIENCES CORPORATION 01102/2014 01!0712014 52,168 . 92 $1,959 . 34 $0.00 $227. 58 $0.00 30083P105

1,085.00 EXAS EXACT SCIENCES CORPORATION 01102/2014 04/0712014 $14,353 .90 $12,884.18 $0.00 $1,46974 $0.00 30063P105607.00 FLO FLOWERS FOODS INC 02/14/2013 01 /0212014 $13,048.81 $11,371.13 $0 .00 $1,877 .68 $000 343498101283 00 111 RD

`^

FORWARD AIR CORPORATION 10/02/2014 12129!2014

'

$14,25122 $12,849.73 $0 .00 $1,401,49 $0 .00 34985310180 00 FRM FURMANITE CORP 01102/2014 01/07Cl014 5946.38. 3910.40 $0.00 $35.98 $0 .00 381086101

1.160 00 FRM FURMANITE CORP 01/02/2014 09/1512014 $8,510.32 $14,428.40 $0.00 ($4,918 .08) $0.00 3610861015.00 GWR GENESEE & WYOMING INC 0214/2013 01107/2014 $470.84 $437 . 15 $0.00 $3369 $000 371559105

25 00 GINR GENESEE & WYOMING INC 01/02/2014 12/29/2014 $2,254 . 86 $2,408.58 $0.00 ($ 153.73) $000 37155910540.00 HiLD HEARTLAND EXPRESS INC 01/0212014 01/0712014 $795 .58 $79817 $0.00 ($2.59) $000 422347104

710.00 HTLD HEARTLAND EXPRESS INC 0110212014 121292014 $19,13884 $14, 167.48 $0.00 84,969.36 $000 422347104

Page 3 of 8 3702 1951265 D10384 R7

V vrv\ - • 1 1 1. . - . _ .


1099-B: PROCEEDS FROM BROKER AND BARTER EXCHANGE TRANSACTIONS OMB NO. 1546-0715

This Is Important tax Information and Is being furnished to the Internal Revenue Service (except as Indicated). If you are required to file a return,a negligence penalty or other sanction may be Imposed on you If this Income Is taxable and the IRS determines that it has not been reported.

AO proceeds are reported to the IRS for Covered and Noncevered tax lots. However, for Noncovered tax lots, values for "Date Acquired","Cost or Other Basis" and "Adjustments" are provided for your reference and are NOT reported to the IRS.

Shoff hnn Transaction Sat" • COVERED tripe lot for which cost basis to reported to the IRS (See 1099-B Instructions for Box 3)(Report on Form 8948, Part 1, with Box A chocked)

Boric Box 4Box 1b DATE SOLD Box Id 1 0 Box 1e Box If FEDERAL

Box 1a DATE OR NET COST OR CODE, Box 1g REALIZED INCOME TAXQUANTr1Y SYMBOL DESCRIPTION ACQUIRED DISPOSED PROCEEDS OTHER BASIS IF ANY Box T ADJUSTMENTS GAIN / LOSS WITHHELD CUSIP

90.00 HERO HERCULES OFFSHORE INC 01/0212014 0110712014 5571 .65 $593 .42 $0.00 ($2177) $000 427093109

2,160.00 HERO HERCULES OFFSHORE INC 0110212014 0712412014 57,970.22 $14 , 241 96 $0.00 ($6,271 .74) $0.00 427093109

407 00 IMPV IMPERVA INC 1012712014 1212912014 $20,343 .57 $13,396 69 $0.00 $6 .94666 $0.00 45321 L100

DV13tOX 106BLOX INC 0110212014 0110712014 $171 .24 $18760 $0.00 $3 .84 $0 . 00 45672H104

420.00 BLOX INFOBLOX INC 0110212014 05/30/2014 $5,413. 30 $14,078 40 $0.00 ($8 ,665.10) $0.00 45672H104

20.00 LDRH LDR HOLDING CORPORATION 01/02/2014 01/07/2014 $484.98 S490 00 $0. 00 ($5.04) $0.00 50185U105

585 00 LDRH LDR HOLDING CORPORATION 01102/2014 12/29/2014 $18,311 .89 $13 ,842.50 $0.00 $4 ,489.19 $000 50185U105

113.00 LAD LITHIA MOTORS INC - CLASS A 02/20/2014 12/29/2014 $9,91805 $8,998.32 $0.00 $2,917 .74 $0 .00 536797103

1O OO MCHX ' MARCHER INC - CLASS B 01/0212014 01/0712014 $ 1,199.97 $1,137.60 $0.00 $62.37 $0.00 56624R108

1,390.00 MCHX MARCHEX INC - CLASS B 0110212014 09118/2014 $5,645.83 $13,177 .20 $000 ($7,831.37) $0.00 56624R108531.00 MTRX MATRIX SERVICE COMPANY 09/15/2014 11/00/2014 511,450.65 513 ,181.28 $0. 00 ($1.710 81 ) $0.00 576853105

25.00 MSCC MICROSEMI CORPORATION 01/02/2014 01/07/2014 $62500 $52018 $0.00 54 .82 $0.00 595137100

585.00 MSCC MICROSEMI CORPORATION 01/02/2014 12/2912014 $18,176 .48 $14 ,018.13 $0.00 $2 , 159.35 $0.00 595137100859.00 MLD- MOVE INC - 59/2912014 10/01/2014 0,990.84 $i3,029.23 $0.00 $4, 961.61 $000 6245SM207

365.00 MRC MRC GLOBAL INC 02114/2013 01/0212014 $11,545 .36 $11,382 .45 $0 100 $182 .91 $0.00 55345K103

73500 EGOV NIC INC 10/08►2014_ 12129/2014 _ _ • $ 13,165 .02 $13 ,732 19 $0.00 ($587 . 17) $0.00 62914B100

310.00 OAS OASIS PETROLEUM INC 01 /02#2014 08/0812014 $15,023 .62 $14 ,455.92 $0.00 $567.70 $0.00 674215108

195.00 OSIS OSI SYSTEMS INC DELAWARE 02/142013 01/0212014 $10,247.15 $11 , 179.35 $0.00 ($93220) $0.00 9710441051.100.00 PACD PACIFIC DRIWNG SA 02/14/2013 01 /02/2014 $12 , 268.19 $11 , 29700 $0.00 $971 19 $0.00 L725713106

189.00 PANW PALO ALTO NETWORKS INC 06/17/2014 10/27/2014 $17,088.62 $13,731.39 $0 . 00 $3,337.23 $000 697435105

311.00 PTEN PATTERSON4ITI ENERGY INC 07124/2014 11/2812014 $5.738.01 $11,706 . 51 $0.00 ($5,968 . 50) $0.00 703481101

15.00 PF PINNACLE FOODS INC 01/02x2014 01/0712014 $407.58 $411.75 $0. 00 ($4.19) $0.00 72348P104

520.00 PF PINNACLE FOODS INC 01102/2014 12129/2014 $18,607.64 $14,274.11 $0.00 $4 ,233.53 $0.00 72346P104

845.00 PFPT PROOFPOINT INC 02/14013 01/0212014 $27,820.62 $11.414.26 $0.00 $16 , 206.36 $0 .00 743424103130.0Q QLTY QUALITY DISTRIBUTION INC 01102/2014 01/07/2014 $1,886.21 51.691 .30 $0.00 $ 173.91 $0.00 74756M102

970.00 QLTY QUALITY DISTRIBUTION INC 01/0212014 10/0212014 $11,890.47 $12,819.70 $0.00 ($92923) $0.00 74756M10215.00 PWR QUANTA SERVICES INC 02!14/2013 01107/2014 $489.79 $433.36 $0.00 $30.44 $0.00 74762E102

75.00 PWR QUANTA SERVICES INC 01/0212014 08/08/2014 $2,497.32 $2,349.13 $0.00 $148 . 19 $0.00 74762E102850.00 RALY RALLY SOFTWARE DEVELOPMENT CORP 01 /0712014 06108/2014 56,932.64 $13 , 598.82 $0 . 00 ($7 ,766.28) $000 751198102

1,740. 00 RGEN REPLIGEN CORP 02/1412013 01/0212014 $21 , 875.55 $11,481 . 38 $0.00 $10,414.17 $0.00 759916109891.00 RGEN REPLUGEN CORP 04/07/2014 12/29/2014 $17,459.82 $12,480.33 $0.00 $4 ,979.49 $0.00 759916109

1,625 .00 .MKTG/0LD RESPONSYS INC 0271412013 01/02/2014 $44, 164.29 $11,386 .54 $0.00 $32,777 .75 $000 781248103

2,125.00 .RFMD.OLD RF MICRO DEVICES INC 02114/2013 01/0212014 $10.768 . 15 $11,283 .75 $0.00 ($517 .60) $0.00 74994110040.00 RPXC RPX CORPORATION 01/02/2014 01/07/2014 $675 . 18 $878 .70 $0.00 ($3 . 62) $000 74972G 103

630.00 RPXC RPX CORPORATION 01/02/2014 10130/2014 $11,372.98 $14,083 03 $0.00 (82,710 . 05) $000 74972G103472.00 SAIA SAIA INC 03(18/2013 01/0212014 $14,535 .22 $11 , 19388 50.00 83 , 341.36 $000 78709Y105

Page 4 of 8 11IM11111PP111 3703 1852 265 D10384 R7

,_j I.,• N1 -% F •' - r. .


1099-B: PROCEEDS FROM BROKER AND BARTER EXCHANGE TRANSACTIONS OMB NO . 1545-0715

This Is Important tax Information and Is being furnished to the Internal Revenue Service (except as Indicated). It you are required to file a return,a negligence penalty or other sanction may be Imposed on you if this Income Is taxable and the IRS determines that It has not been reported.

All proceeds are reported to the IRS for Covered and Noncovered tax lots . However, for Nonoovered tax lots , values for "Date Acquired",

"Cost or Other Basis" and "Adjustments" are provided for your reference and are NOT reported to the IRS.

ShoR4:erm Transaction Sales -COVERED tax lot for which cost bests Is /sported to the IRS (See 1099.81rtetruetlonsior Box 3)

(Report on Form 8948 , Part I. with Box A checked)

QUANTITY SYMBOL

49.00 NOW

]00.00 SHOR

1.480 00 SHOR

1500 LEAF

550.00 LEAF

5.00 TCBI

230.00 TCBI

20.00 XONE

210.00 XONE

661.00 TUMI

35.00 VCRA

675.00 VCRA

Box IcBox lb DATE SOLD Box Id 16 Box 1e Box it

Box IS DATE OR NET COST OR CODE,DESCRIPTION ACQUIRED DISPOSED PROCEEDS OTHER BASIS IF ANY

SERVICENOW, INC 08113/2014 1212912014 _ $3,388.90 $2,690.47

SHO1RETEL INC 011022014 01/0712014 $967.80 $930.68

SHORETEL INC 0110212014 12129/2014 $10,846.73 $13,774.06

SPRINGLEAF HOLDINGS LLC 06211014 01/0712014 $393.59 $361.00

SPRINGLEAF HOLDINGS LLC 01/0212014 05/1942014 $12,885.89 $13,970.00

TEXAS CAPITAL BANCSHARES INC 0110212014 01107/2014 $30544 $30970

TEXAS CAPITAL BANCSHARES INC 01102014 11121/2014 $13,288 96 814,246.18

THE EXONE CO 0110212014 01107/2014 $1,341.09 $1,237.80

THE EXONE CO 01/022014 04104/2014 $8.894.62 $12,994.80

TUMI HOLDINGS INC 07/28/2014 1212912014 $15,778.91 $13,888.88

VOCERA COMMUNICATIONS INC 0110212014 01107/2014 $566.29 $548.85

VOCERA COMMUNICATIONS INC 011022014 08/01/4014 $8,018.89 $18,748.25

TOTAL SHORT-TERICOVERED SALES $748,528.4¢ 5889,228.71

Sho"nn Transaction Sal.. - NONCOVEREDtax lot for which cost basis Is NOT reported to the IRS (gas 1099.8 Instructions for Box 3)

(Report on Form 8949, Part I, with Box B checked)

QUANTITY SYMBOL295.00 ATLS

10.00 PAA

275.00 PAA

Box IsDESCRIPTION

ATLAS ENERGY LP COMMON UNITSREPRESE

PLAINS ALL AMERICAN PIPELINE LP

PLAINS ALL AMERICAN PIPELINE LP

Box 1CBox 1b . DATE SOLDDATE ORACQUIRED DISPOSED

0211412013 01/0212014

01/0212014 01/07/2014

0110212014 1212912014

TOTAL SHORT-TERM NONCOVERED SALES

Boxldra Box I& Box ItNET COST OR CODE.

PROCEEDS OTHER BASIS IF ANY

$13,739.58 $11,322.10

$508.09 $516.27

$14,152.94 $14,197.54

$28,460.68

Long4enn Transaction Sala - COVERED tax lot for which cost basis Is reported to the IRS (Set 1099-8 Instructions for Box 8)(Report on Form 8948, Part II, with Box D checked)

Box 1cBox 1b DATE SOLD Box ld 18

Box Is DATE OR NET

QUANTITY SYMBOL DESCRIPTION ACQUIRED DISPOSED PROCEEDS

0.25 BKD 13ROOKDALE SENIOR LIVING INC 0211412013 08/18/2014 $8.08

390,00 ACXM ACXIOM CORP 10/0312013 1212912014 $8,047.18

248 00 BKD BROOKDALE SENIOR LIVING INC 02114)2013 12/2911014 $9,007.80

185.00 CONN CONN'S INC 02/14/2013 0212=014 $8,558.13

815.00 DFRG DEL FRJSCO'S RESTAURANT GROUP INC 12113/2013 12/29/2014 $14,38195

$2G,035.91

Box 1s Box IfCOST OR CODE,

OTHER BASIS IF ANY

$7.49

$11,257.24

$7,429.56

$5,833.05

$12,504.55

Box 10Box? ADJUSTMENTS

$0.00

$000

$0.00

$000

$0.00

$0.00

$0.00

$0.00

$0.00

$0.00

$0.00

$000

Box 4FEDERAL

REALIZED INCOME TAXGAIN / LOSS WITHHELD CUSIP

$696.43 $0.00 81782P102

$37.12 $0.00 825211105

($3,127.33) $0.00 825211105

$12.59 $0.00 85172,1101

($1,304.11) $0.00 85172J101

($428) $0.00 882240107

($957.22) $0.00 882240107

$103.49 $0.00 302104104

($6,100.18) $000 302104104

$1,892.23 $0.00 899690104

$18.44 $0.00 92857F107

($5,729.36) $0.00 92857F107

$0.00

Box 1gBox 7 ADJUSTMENTS

I(. %4'L- So 00

$0.00

$0.00

V.{ L $0.00

Box 19Box? ADJUSTMENTS

$0.00

$000

$000

$0.00

$000

$77.29973 $0.00

Box 4FEDERAL

REALIZED INCOME TAXGAIN / LOSS WITHHELD CUSIP

$2,44f43 775-4.3 $0 00 049304104

($8.18) $0.00 728503105

($4460) 50 00 728503105

$2'ao" 8 7»(, a $0.00

Box 4FEDERAL

REALIZED INCOME TAXGAIN I LOSS WITHHELD CUSIP

$059 $000 112483104

($3,210.08) $0.00 D05125109

$1.578.24 $000 112483104

S725 08 $000 208242107

51.877 40 $0 00 245077102

Page 5 of 8 3104 1952 265 D103 4 R7


1098-8• PROCEEDS FROM BROKER AND BARTER DCCHANGE TRANSACTIONS OMB NO. 11545-0715

We Is important tax Information and Is being furnished to the Internal Revenue Service (except as Indicated). M you are required to file a return,

a negligence penalty or other sanction may be Imposed on you If this income In amble and the IRS determines that It has not been reported.

Ali proceeds am reported to the IRS for Covered and Nonoovvered tax lob . However, for Nonaovered tax Iota, values for "Date Acquired',

'Cost or Other Basis" and "Adjustments" are provided for your reference and are NOT reported to the IRS.

Long-0r vn Transaction Sala - COVERED tax lot for which cost basis Is reported to the IRS (Sae 109949 histructlons for Box 5)(Report on Form 8949, Part II, with Box D checked)

Box 1cBox 1b DATE SOLD Box Id 16 Box 1• Box If

Box Is DATE OR NET COST OR CODE, Box Ig REALIZED

QUANTITY SYMBOL DESCRIPTION ACGUiRED DISPOSED PROCEEDS OTHER BASIS IF ANY Box 7 ADJUSTMENTS GAIN 1 LOSS

125.00 GWR GENESEE & WYOMING INC 02114/2013 12129/2014 $11,274. 29 $10,928.75 $0.00-00.1-3

375.00 PWR QUANTA SERVICES INC 02/14/2013 0810814014 $12,486 .62 $10,833.75 $0 .00 $1.05287

TOTAL LONG-TERM COVERED SA ..E8 $81,764.02

Box 4FEDERAL

INCOME TAXWITHHELD CUSIP

$0.00 371559105

$000 74762E102

$0.00 $2,06963 $0.00$58,794.39

Master Limited Partrrenihips (9VILPs"j provide Income fax reporting tp shareholders via Schedule K-1. Coat basis Information related to the sale of any tax lots shouldbe provided by the MLP general psi Ow MLP transaaions are presented as Nonoovered. Net proceeds from the sale of a MLP are reported to the IRS.

However, the values for "Date Acquhed",Tost or Other Basis' and "Adjwtrnenb" are pr vided for your reference and am NOT reported to the IRS.

Page 6 of 8 I11k1®0t0!I1 3705 1153 26S D10394 R7

^lUrY^ ^ t....•i-`rte , ,-• 1

Stephens Inc. CORRECTED 2014 Composite Statement of 1099 Forms Account Number 322443302


This Is Important tax Information and Is being furnished to the Internal Revenue Service (except as Indicated ). If you are required to file a return,

a negligence penalty or other sanction may be imposed on you If this income Is taxable and the IRS determines that it has not been reported.

All net proceeds are reported to the IRS for Covered and Noncovered tax lots. However, for Noncovered tax lots, values for "Date Acquired","Cost or Other Basis" and "Adjustments" are provided for your reference and are NOT reported to the IRS.

Short-term Transaction Sales - COVERED tax lot for which cost basis Is reported to the IRS (Sao 1099-8 Instructions for Box 3)

(Report on Form 8949, Part I, with Box A checked)Box is Box 4

Box 1b DATE SOLD Box ld 16 Box le Box If FEDERAL

Box 1e DATE OR NET COST OR CODE, Box 1g REALIZED INCOME TAX

QUANTITY SYMBOL DESCRIPTION ACQUIRED DISPOSED PROCEEDS OTHER BASIS IF ANY Box 7 ADJUSTMENTS GAIN t LOSS WITHHELD CUSIP

1,294.37 JSOSX JP MORGAN STRATEGIC INCOME 0713112013 04/07/2014 $15.428.89 $15 ,36417 $000 $64 72 $000 4812A4351

OPPORTUNr11ESFUND SELECT CLASS

4,435 66 PTTPX PIMCO TOTAL RETURN FUND CLASS P 11/14/2013 0810612014 $48,46179 $46,250 56 $000 $231.23 $0.00 72201 M552

322.05 PRSVX T ROWE PRICE SMALL CAP VALUE FUND 0912712013 0410712014 $18,079.98 $15,25229 $0 00 $827 69 30 00 779570103

65262 TRVLX T ROWE PRICE VALUE FUND 12/27/2013 0410712014 $22,495.76 $21,934.52 $000 $561.24 $0 00 779578103

TOTAL SHORT-TERM COVERED SALES 5102,488.42 $100,801.54 $000 $1,68488 $000

Long -tens Transaction Soles - COVERED tax lot for which cost basis Is reported to the IRS (See 1099 -B Instructions for Box 5)(Report on Form 8949 , Part II, with Box D checked)

Box 1c Box 4Box lb DATE SOLD Box Id 16 Box 1e Box 1f FEDERAL

Box 1a DATE OR NET COST OR CODE, Box 1g REALIZED INCOME TAX

QUANTITY SYMBOL DESCRIPTION ACQUIRED DISPOSED PROCEEDS OTHER BASIS IF ANY Box 7 ADJUSTMENTS GAIN I LOSS WITHHELD CUSIP

759.83 JHYIX ABERDEEN GLOBAL HIGH INCOME FUND 0211312013 04/0712014 $7.75029 S7 ,643 91 $ 0 DO $10638 $0 00 04315J860

CLASS I

2,894 .79 CLDBX BLACKROCK LOW DURATION BOND 0211312013 04/07/2014 S28,28205 $28 ,433.19 $0 , 00 ($151 , 14) $000 091928234FUND BLACKROCK CLASS

208.60 ACINX COLUMBIAACORN INTERNATIONAL FUNDD2/1312013 04/07/2014 59,799 . 97 $8,861 . 29 $0.00 $938 . 68 $000 197199813

CLASS Z

230.75 DODFX DODGE & COX INTERNATIONAL STOCK 02/13/2013 04/07/2014 $10,180 . 50 $8 , 39454 $000 $1,785 96 $0.00 256206103

FUND

1.110.67 FINSX FIDELITY ADVISOR NEW INSIGHTS FUND 02/13/2013 04/07/2014 &29.71043 $26,944 85 SD 00 $2,765 . 58 $0.00 3116071604

CLASSI

544.22 GGOIX GOLDMAN SACHS GROWTH 02113x2013 0410712014 $18,348 .33 $14,405 .48 $0 OD $1,94285 $0 00 38142Y401OPPORTUNITIES FUND CLASS I

864.64 CNSDX INVESCO CONVERTIBLE SECURITIES 02113@013 04!0712014 $21,200.95 $16,998 . 12 So 00 $2,20483 $000 0088BW700

FUND CLASSY

7,031.77 CNSDX INVESCO CONVERTIBLE SECURITIES 02/1312013 0810612014 $175,302.10 $154 ,488.05 $000 $20 , 814.05 $0 . 00 00888W700

FUND CLASS Y

438.12 FLMVX JP MORGAN MID CAP VALUE FUND CLASS02l13 #20131

04/0712014 $15,578 . 18 $13,15771 $000 $2,42047 SO 00 339128100

485.14 FLMVX JP MORGAN MID CAP VALUE FUND CLASS02113/2013 1212312014 $17,42879 $14 , 033.27 $000 S3,395.52 S0 00 339128100

468.77 LSGLX LOOMIS SAYLES GLOBAL BOND FUND 0211312013 0410712014 $7,650 . 24 $7,936. 18 $0 . 00 (S285 95 ) $000 543495774CLASS R

280.89 ODVYX OPPENHEIMER DEVELOPING MARKETS 02/13/2013 0410712014 $10,392.76 $10 , 069 73 S000 $323 03 SO 00 683974505FUND CLASS Y

190 79 ODIYX OPPENHEIMER DISCOVERY FUND CLASS 02113/2013 04/0712014 $15,032. 13 $12 , 98306 SO 00 52,049.07 SO 00 683921308Y

1,865 .66 PTTPX PIMCO TOTAL RETURN FUND CLASS P 02/13 /2013 04/07/2014 $20.38403 S21 , 021 14 SO 00 ($637 . 11) SO 00 72201 M552

Page 4 of6 11010-II}u,ll IIJ11111 III 53274' .I686D.^9d K.

C 4 U 0 V 9 v



This Is important tax information and is being furnished to the Internal Revenue Service (except as indicated ). If you are required to file a return,

a negligence penalty or other sanction may be Imposed on you If this Income Is taxable and the IRS determines that it has not been reported.

All proceeds are reported to the IRS for Covered and Noncovered tax lots . However, for Noncovered tax lots , values for "Date Acquired",

"Cost or Other Basis' and "Adjustments" are provided for your reference and are NOT reported to the IRS.

Long -term Transaction Sales - COVERED tax lot for which cost basis Is reported to the IRS (See 1099-B Instructions for Box 5)

(Report on Form 8949 , Part it, with Box 0 checked)Box to Box 4

Box 1b DATE SOLD Box 1d 1 6 Box 1e Box If FEDERAL


QUANTITY SYMBOL DESCRIPTION ACQUIRED DISPOSED PROCEEDS OTHER BASIS IF ANY Box 7 ADJUSTMENTS GAIN ! LOSS WITHHELD CUSIP

34,834 08 PTTPX PIMCO TOTAL RETURN FUND CLASS P 02113/2013 08108/2014 $380 .738.51 $388 ,325 81 $0.00 ($7,589.30) $0 00 72201M552

TOTAL LONG-TERM COVERED SALES S765 ,77726 $735 ,894.34 50.00 530,082 . 92 SO 00

Master Limited Partnerships (`MLPs") provide Income tax reporting to shareholders via Schedule K-1. Cost basis Information related to the sale of any tax lots should

be provided by the MLP general partner MLP transactions are presented as Nonoovered. Net proceeds from the said of a MLP are reported to the IRS.

However, the values for "Date Acquired", "Cost or Other Basis" and 'Ad)ustments" are provided for your reference and are NOT reported to the IRS.

Page 5 of 6


1099 -B: PROCEEDS FROM BROKER AND BARTER EXCHANGE TRANSACTIONS OMB NO. 1545-0715

This is important tax Information and is being furnished to the Internal Revenue Service (except as indicated ). If you are required to file a return,a negligence penalty or other sanction may be Imposed on you if this income Is taxable and the IRS determines that It has not been reported.

All net proceeds are reported to the IRS for Covered and Noncovered tax lots. However, for Noncovered tax lots, values for "Date Acquired",


Short-term Transaction Sales - COVERED tax lot for which cost basis Is reported to the IRS (See 1099.8 Instructions for Box 3)

(Report on Form 8949, Part I, with Box A checked)Box 1c Box 4

Box 1b DATE SOLD Box Id 16 Box le Box If FEDERAL

Box 1e DATE OR NET COST OR CODE, Box 1g REALIZED INCOME TAX

QUANTITY SYMBOL DESCRIPTION ACQUIRED DISPOSED PROCEEDS OTHER BASIS IF ANY Box 7 ADJUSTMENTS GAIN) LOSS WITHHELD CUSIP

15 00 AMAT APPLIED MATERIALS INCORPORATED 07/09/2013 04102/2014 $311 69 $235.35 $000 $7834 $000 038222105

24.00 ARMH ARM HOLDINGS PLC SPONSORED ADR 02/142013 01/28/2014 $1,138.08 $1,041.36 $0.00 $9870 $0.00 042068106

76.00 ARMH ARM HOLDINGS PLC SPONSORED ADR 02/14/2013 02/04/2014 $3,248.18 $3,29764 $000 ($49.46) $000 042068106

3 00 BF B BROWN-FORMAN CORP 01127/2014 04/0212014 $268.10 $235.35 $000 $32.75 $000 115637209

70.00 BWLD BUFFALO WILD WINGS INC 02/1412013 01/24/2014 $9,483.63 55.338 80 $000 $4,127.03 $000 119848109

1 00 GTLS CHART INDUSTRIES INC 06/20/2013 04/0212014 $80.05 $91.77 $0.00 ($1172) $0.00 181150308

3.00 CHKP CHECK POINT SOFTWARE TECH LTD 12123/2013 0410212014 $203.96 $187.41 $000 $16.55 $0 00 M22465104

75.00 CLH CLEAN HARBOURS INC 07109/2013 01/22/2014 $4,232.17 $4,099.50 $000 $132.67 SO 00 184496107

7.00 CGNX COGNEX CORPORATION 07/0912013 04/02/2014 $248.14 $17430 $0.00 $7384 $000 192422103

2.00 FEYE FIREEYE INC 01103/2014 04/0212014 $124.99 $106.80 $000 $18.19 $0.00 31816Q101

165.00 FCFS FIRST CASH FINL SERVICES INC 02/14/2013 01/27/2014 $9,350.38 $9,048.60 $000 5301.78 $0.00 319420107

175.00 FET FORUM ENERGY TECHNOLOGIES INC 0429/1013 01/2212014 $4,578.17 $4,775,75 $0.00 ($19958) $0.00 34984V100

9.00 GOOGL GOGGLE INC VARIOUS 05/3012014 55,121.24 $5,111.64 $000 $960 $0.00 38259P508

151.00 HAL HALLIBURTON COMPANY VARIOUS 11/19/2014 S7,232.77 58,361 31 $000 (51.128.54) $0.00 406216101

1.00 LGND L)GAND PHARMACEUTICALS 09/2812013 0410212014 $88.41 $41.17 $000 $25.24 $0.00 532201(504

160.00 LULU LULULEMON ATHLETICA INC VARIOUS 01/1312014 $7,99026 S10.05035 $0 00 (52,860 09) $000 550021109

27.00 MELI MERCADOLIBRE INC 02/1412013 01/27/2014 $2,49583 52,252.07 $000 $243.76 $000 58733R102

30.00 MCRS:OLD MICROS SYSTEMS INC 1012812013 07/1812014 S2,03365 $1.62990 $000 $40375 $000 594901100

30.00 NOV NATIONAL OILWELL VARCO INC 12)23/2013 12108/2014 $1.95352 $2,101 81 $0.00 ($148.29) $D00 637071101

7.50 DNOW NOW INC 12/23/2013 0105/2014 $25544 $23039 S000 $2506 $0.00 67011 P100

5.00 OAS OASIS PETROLEUM INC 122312013 04102/2014 $21059 $23570 $000 ($2511) $0.00 674215108

190 00 OAS OASIS PETROLEUM INC 12/2312013 12/01/2014 83,247.02 $8,956 60 $0.00 ($5,709 58) $0.00 674215108

4 00 POW/ POWER INTEGRATIONS INC 06/2112013 04/02/2014 $286.23 $16008 S0.00 $10815 $000 739276103

1 00 RL RALPH LAUREN CORP CLASS A 0310412014 04/02/2014 $16455 S16206 50 00 $249 $000 751212101

2.00 SIVB SVB FINANCIAL GROUP 0124/2014 04102/2014 $25875 $22760 $0.00 $31 15 $000 784880101

2.00 THS TREEHOUSE FOODS INC 1013012013 04102/2014 $143.25 $151.03 $0.00 (5776) $0.00 89469A104

200 UPS UNITED PARCEL SERVICE - CL B 01/1312014 04/02/2014 $196 13 $204.72 $0.00 ($8.59) $000 911312106

15000 URBN URBAN OUTFITTERS INC 08/20/2013 02/28/2014 $5.62190 $5.73000 $000 ($108.10) $000 917047102

4 00 WAGE WAGEWORKS INC 10/31/2013 04/02/2014 $229.27 5205.64 50.00 $23.63 $000 930427109

25 00 WFM WHOLE FOODS MARKET INC 01114/2014 07/31)2014 $946.10 S1.345 50 $000 ($399.40) S0 00 986837106

TOTAL SHORT-TERM COVERED SALES 571,878 63 $76,58820 $000 (S4,909.56) $0 00

Page 4 of 9 I IIppI11^41;IIL1Mf l^ii^^^dl^ll 11135 co. uu 0200J a3a 4 0 7 5 0 0



This Is Important tax Information and Is being furnished to the Internal Revenue Service (except as indicated ). If you are required to file a return,a negligence penalty or other sanction may be Imposed on you if this Income is taxable and the IRS determines that It has not been reported.

All proceeds are reported to the IRS for Covered and Noncovered tax lots, However, for Noncovered tax lots, values for "Date Acquired","Cost or Other Basis" and "Adjustments" are provided for your reference and are NOT reported to the IRS.

Long-term Transaction Sales - COVERED tax lot for which cost bests Is reported to the IRS (See 1099-B Instructions for Box 5)(Report on Form 8949, Part II4 with Box 0 checked)

Box 1c Box 4Box 1b DATE SOLD Box ld 1 6 Box le Box If FEDERAL

Box 1a DATE OR NET COST OR CODE, Box 1g REALIZED INCOME TAXQUANTITY SYMBOL DESCRIPTION ACQUIRED DISPOSED PROCEEDS OTHER BASIS IF ANY Box 7 ADJUSTMENTS GAIN / LOSS WITHHELD CUSIP

025 DNOW NOWINC 0211412013 06/0512014 $849 $688 $0 . 00 $1 .81 $000 67011P100

5.00 ABCO ADVISORY BOARD COMPANY (THE) 02/14/2013 0410212014 $324.44 $251 15 $000 $73.29 $0.00 00762W107

2 00 ADS ALLIANCE DATA SYSTEMS CORP 02/1412013 0410212014 $545.40 $304 . 82 $000 $240.58 $000 018581108

8.00 ADS ALLIANCE DATA SYSTEMS CORP 02114/2013 07115/2014 $2,211 .71 $1,219.28 $0 00 $992 . 43 $000 018581108

1900 ADS ALLIANCE DATA SYSTEMS CORP 02114/2013 1011612014 $4,717. 59 $2,895.79 $000 $1,821 80 $000 018581108

1.00 AMZN AMAZON.COM INC 02/1412013 04/02/2014 $342 . 10 $26810 $000 $74.00 $000 023135108

1 00 ANSS ANSYS INC 02114/2013 04102/2014 $77.63 $75.55 $0.00 S208 $000 036620105

7.00 ARUN ARUBA NETWORKS INC 02/14/2013 04/0212014 $135.58 $158 .41 $0.00 ($22.83) $0 00 043176106

7.00 AZPN ASPEN TECHNOLOGY INC 02/14/2013 04/02/2014 $29896 $211 .89 $000 $8707 $000 045327103

3.00 ATHN ATHENAHEALTH INC 02/14/2013 04/0212014 $486.37 $287 .08 $000 $219.31 $000 04665W103

7 00 CAB CABELA'S INC 0211412013 04/02/2014 $477.10 $344 .75 $0.00 $13235 $000 126804301

50.00 CAB CABELA'S INC 0211412013 05/0912014 53,221 .27 $2,462 50 $000 $758 .77 $000 126804301

5.00 CPHD CEPHEID INC 021`1412013 04/02/2014 $26519 $175 . 35 $000 $90.84 $0 00 1567DR107

4.00 CERN CERNER CORP 02/1412013 04/0212014 $224.67 $176 .40 $000 $4827 $000 156782104

34.00 GTLS CHART INDUSTRIES INC 06120/2013 06!26/2014 $2,30621 $3,120.18 $000 ($813 .97) $000 161150308

7.00 CHUY CHUY'S HOLDINGS INC. 02114/2013 04/0212014 $292 . 17 $20545 $000 $88.72 $000 171604101

2 00 CLB CORE LABORATORIES INC 02/1412013 04/0212014 $40583 $26852 S000 $13931 $0.00 N22717107

3.00 CSGP COSTAR GROUP INC 02/1412013 04/0212014 $566.71 $288.30 $000 $27841 $000 2216ON109

2.00 CVD .OLD COVANCE INC 0211412013 0410212014 S21093 $13824 $000 $7269 S000 222816100

83.00 CVD.OLD COVANCE INC 0211412013 1211912014 58.588 . 38 $5,736 96 $ 0.00 $2,831 40 $0 .00 222816100

2.00 CREE CREE INC 02/14/2013 04/02/2014 $113.99 $91 . 36 $000 $2263 $000 225447101

2 00 DRO DRIL-OUIP 02114/2013 0410212014 $228.07 $ 16762 $000 $60.45 $000 262037104

9.00 ECPG ENCORE CAPITAL GROUP INC. 02/1412013 04102/2014 $413.90 $295 11 $000 $ 11879 $0 00 292554102

78.00 ECPG ENCORE CAPITAL GROUP INC. 02/14/2013 0411412014 $3,497 .44 $2,557 .62 $000 $93982 $0 00 292554102

13.00 FTNT FORTINET INC 03/2612013 04/02/2014 $298.34 $299 . 13 S000 ($0.79) $000 34959E109

9.00 HMSY HMS HOLDING CORP 02/14/2013 04/0212014 $171 82 5245 .07 $000 ($73 45) $000 40425J101

6 00 ICLR ICON PLC 02J1412013 0410212014 $28967 $16500 $0 00 $124 67 $000 G4705A100

2 00 IHS IHS INC-CLASS A 02114/2013 04/02/2014 $24739 $20424 S000 $43 15 SD 00 451734107

15.00 ILMN ILLUMINA INC 02114/2013 04/0112014 52,30544 $732 .45 $000 $1 , 572 99 $000 452327109

4.00 ILMN ILLUMINA INC 02/14/2013 04!0212014 $82610 $195 .32 $000 $43078 $000 452327109

9.00 ILMN ILLUMINA INC 02114 /2013 10/2112014 $1,80331 $43947 $0 00 S1 , 16384 $0 00 452327109

22.00 ILMN ILLUMINA INC 02/14/2013 11/0512014 $4 , 19938 31,074 26 $000 $3,12510 $000 452327109

10.00 !MAX IMAX CORP 02/14/2013 0410212014 $278 .79 $25680 $0 . 00 S21 99 SD 00 45245E109

1 00 ICE INTERCONTINENTAL EXCHANGE INC 02114/2013 04/02/2014 $196 .36 $153 13 $000 $4323 $000 45866F104

14 00 ICE INTERCONTINENTAL EXCHANGE INC 02114/2013 0410412014 $2.75626 $2 , 143.82 $000 $61243 $000 45866F104

20 00 ICE INTERCONTINENTAL EXCHANGE INC 02/14/2013 07115/2014 $3 , 75011 $3 , 06260 $000 $68751 $000 45886F104

Page 5 of 9



This Is Important tax information and Is being furnished to the Internal Revenue Service (except as indicated ). If you are required to file a return,

a negligence penalty or other sanction may be Imposed on you if this income is taxable and the IRS determines that it has not been reported.

All proceeds are reported to the IRS for Covered and Noncovered tax lots. However, for Noncovered tax lots, values for "Date Acquired",

"Cost or Other Basis" and "Adjustments" are provided for your reference and are NOT reported to the IRS

Long-term Transaction Sates - COVERED tax lot for which cost basis Is reported to the IRS (See 1099-B Instnictions for Box 5)

(Report on Form 8949 , Pert 11, with Box D checked)Box 1c Box 4

Box lb DATE SOLD Box 1d 16 Box 1e Box it FEDERAL


QUANTITY SYMBOL DESCRIPTION ACQUIRED DISPOSED PROCEEDS OTHER BASIS IF ANY Box 7 ADJUSTMENTS GAIN I LOSS WITHHELD CUSIP

18.00 KKD KRISPY KREME DOUGHNUTS INC 0211412013 04102/2014 $31985 $23346 $0.00 $86 . 39 $0 . 00 501014104

12.00 LGF LIONS GATE ENTERTAINMENT CORP 02114/2013 04/02/2014 $335 .99 $245 .88 $000 $90 11 SO 00 535919203

31400 LGF DONS GATE ENTERTAINMENT CORP 0211412013 06/03/2014 $8,584 . 16 $8 ,43386 $0 00 $2,150.30 $0 00 535919203

70.00 LGF LIONS GATE ENTERTAINMENT CORP 02114/2013 06/10/2014 $1 ,910.25 $1 ,434 30 $0.00 S475 95 SO 00 535919203

69.00 LGF LIONS GATE ENTERTAINMENT CORP 02114/2013 0810812014 $2,20453 $1,413.81 $000 S790 72 $000 535919203

8.00 LKQ LKQ CORP 03/26/2013 04/02/2014 $218.47 $171 20 $000 $45.27 $000 501889208

42.00 LKQ LKQ CORP 031281013 09/17/2014 $1 , 170.52 $898.80 $0 . 00 $271 72 $000 501889208

8 00 MDSO MEDIDATA SOLUTIONS INC 02/14/2013 0410212014 $481 . 18 $199.42 $000 $261.76 $000 58471A105

1.00 MELT ' MERCADOLIBRE INC 02/1412013 0410212014 $95.60 $83.41 $000 $12.19 SO 00 58733R102

8.00 MCHP MICROCHIP TECHNOLOGY INC 0211412013 04102/2014 $28619 $211 .38 $0.00 $7481 $000 595017104

4.00 MCRS .OLD MICROS SYSTEMS INC 02/1412013 04102/2014 $212.03 $181.80 $000 $30.43 $000 594901100

111.00 MCRS,OLD MICROS SYSTEMS INC VARIOUS 07118/2014 $7,524 .82 54 ,937 15 $0.00 $2,567 37 $000 594901100

2.00 MON MONSANTO COMPANY 0211412013 04/02/2014 $226.97 $203.36 $000 $23.61 $000 61166W101

32.00 MON MONSANTO COMPANY 02/1412013 05/08/2014 $3 ,718 83 $3 ,253.76 $000 $484.87 $000 61166W101

4.00 MNST MONSTER BEVERAGE CORP 02/1411013 0410212014 $281.35 $189 .24 $000 $92.11 $000 611740101

3.00 MSM MSC INDUSTRIAL DIRECT CO INC - A 02114/2013 04/02/2014 $262.19 $25557 $000 $6 .62 $000 553530108

13.00 NCMI NATIONAL CINEMEDIA INC 02114/2013 04/02/2014 $201.62 $192 .97 $000 $8.65 $000 635309107

3.00 NOV NATIONAL OILWELL VARCO INC 02/1412013 04102/2014 $235.46 $20895 $000 $26 51 $000 637071101

87.00 NOV NATIONAL OILWELL VARCO INC 0211412013 1210812014 $4,362 87 $4,205 . 56 $000 $15730 $000 637071101

8.00 NEOG NEOGEN CORP 02/14/2013 04102/2014 $36583 $252.64 $000 $11319 $0 00 640491106

16.60 ONOW NOWINC 02/14/2013 08/05/2014 $561.96 $454 . 10 $000 $10787 $000 67011 P100

600 NUVA NUVASIVE INC 02/1412013 0410212014 $234 17 $10388 $000 $ 13031 $000 870704105

4 00 OII OCEANEERING INTERNATIONAL INC 02/14/2013 04/0212014 $291.87 S256 32 $0 00 $35 55 $000 675232102

2.00 P11 POLARIS INDUSTRIES INC 02/14/2013 04102/2014 $285 .99 $171 14 $000 $11485 S000 731068102

99 00 PRAA:OLD PORTFOLIO RECOVERY ASSOC INC 0211412013 02128/2014 55 , 316.20 $3,89532 $000 $1 ,420 88 $000 73640Q105

4 00 PRAkOLD PORTFOLIO RECOVERY ASSOC INC 02/14/2013 04/02/2014 $231 .47 $15739 $000 $7408 SO 00 736400105

500 PRLB PROTO LABS INC 02114/2013 04102/2014 $34529 $25870 S000 $86.59 50 00 743713109

55 00 PRLB PROTO LABS INC 02114/2013 12/05/2014 $3,502 35 $2 , 84570 $000 $65665 $000 743713109

200 RRC RANGE RESOURCES CORP 02114/2013 0410212014 $171.35 $14386 $000 $2749 $000 75281A109

2.00 RHT RED HAT INC 02/14/2013 04102/2014 $106.29 $10786 $000 ($1 .57) $000 756577102

4.00 ROST ROSS STORES INC 02/14/2013 04/02/2014 $293 . 23 $242 .00 S000 $ 51 23 $000 778296103

161 00 ROST ROSS STORES INC 02114/2013 10/09/2014 512,300.26 $9 ,74050 50.00 $2,559 76 $D 00 778296103

4,00 CRM SALESFORCE.COM INC 02/14/2013 04/02/2014 $234 . 19 $17440 $000 $59 . 79 $000 79486L302

2.00 SNDK SANDISK CORP 02/25/2013 0410212014 $185 .07 $101 . 14 $000 $63 93 $000 80004C101

300 SRCL STERICYCLE INC 02114/2013 04102/2014 $340 . 34 $289 .65 $000 $5069 $000 858912108

2 00 SSYS STRATASYS LTD 02114/2013 04/0212014 S223 77 $147.86 $000 $75.91 $000 M85548101

Page 6 of 9 IU^i [^^i^(Ilill^TjI[IIfIIIN 1921 W'dMD203 It'

0 5 0 7 a 0 a



This Is Important tax information and is being furnished to the Internal Revenue Service (except as indicated). If you are required to file a return,

a negligence penalty or other sanction may be Imposed on you if this Income Is taxable and the IRS determines that It has not been reported.

All proceeds are reported to the IRS for Covered and Noncovered tax lots . However, for Noncovered tax lots , values for "Date Acquired",


Long-term Transaction Sales - COVERED tax lot for which cost basis Is reported to the IRS (See 1099 -B Instructions for Box 5)

(Report an Form 8949 , Part 0 , with Box D checked)Box 1c Box 4

Box 1b DATE SOLD Box ld 16 Box 1e Box If FEDERAL

BORIS DATE OR NET COST OR CODE, Box 1g REALIZED INCOME TAX

QUANTITY SYMBOL DESCRIPTION ACQUIRED DISPOSED PROCEEDS OTHER BASIS IF ANY BoxT ADJUSTMENTS GAIN 1 LOSS WITHHELD CUSIP

5.00 TJX T J X COMPANIES INC 02114/2013 04102/2014 $309 .24 $226 .55 $0 00 $82.69 $000 872540109

10.00 TSM TAIWAN SEMICONDUCTOR MFG CO 02/1412013 0410212014 $202 .09 $185 .00 $000 $17.09 S0.00 874039100

SPONSORED ADR

1.00 TSLA TESLA MOTORS INC 021`1412013 04/02/2014 $220 .47 $38 .63 $000 $181.84 S000 881608101

2.00 TREX TREC COMPANY INC 02/14/2013 04/0212014 $145.87 $88.88 $000 $56.99 $0.00 89531P105

3.00 ULTA ULTA SALON COSMETICS AND 0211412013 0410212014 $29825 $263.64 S000 $34.61 $000 90384S303FRAGRANCE, INC

300 UA UNDER ARMOUR INC - CL A 02/14/2013 0410212014 $353 .60 $145 .23 50 00 $208.37 $0 00 904311107

5.00 UNFI UNITED NATURAL FOODS INC. 02/1412013 04/02/2014 $357 . 94 $277.55 $000 $80.39 S000 911163103

85.00 VRSN VERISIGN INC 02114/2013 03131/2014 $4.587 .79 $3 ,877.70 S000 $690 .09 SO 00 92343E102

4.00 DIS WALT DISNEY COMPANY 02114/2013 04/02/2014 $326 .79 $220 .40 $000 $106.39 $0.00 254887106

6.00 WFM WHOLE FOODS MARKET INC 0211412013 04/0212014 $31619 $264 .03 $000 $52 16 $000 966637106

59 00 WFM WHOLE FOODS MARKET INC 0211412013 07/23/2014 $2,181.12 $2,596 30 $000 ($43518) $000 966837106

135.00 WFM WHOLE FOODS MARKET INC 02/14/2013 07/3112014 $5 , 108.96 $5,940 .68 $0.00 ($831.72) $0 00 966837106

TOTAL LONG-TERM COVERED SALES $118,812.19 $89,077.29 $000 $29 , 534 88 S000

Master Limited Partnerships ("MLPsl provide Income tax reporting to shareholders via Schedule K-1 Cost basis information related to the sale of any tax lots should

be provided by the MLP general partner. MLP transactions are presented as Noncovered. Net proceeds from the sale of a MLP are reported to the IRS

However, the values for "Date Acquired', "Cost or Other Basis" and "Adjustments" are provided for your reference and are NOT reported to the IRS

Page 7 of 9

J o)lhurn & Robyn Horn Foundatt"L(offli

24300 Chenal Parkway #71Little Rock, Arkansas 72223jrhornfoundation @gmail.com

APPLICATION GUIDELINES

The John and Robyn Horn Foundation is a private grant-making foundation established in

2013. The mission of our foundation is to support art and art education projects. No grantsare made for undesignated annual fund gifts, debt retirement, group travel for performance or

competition, completed projects, private religious schools or individuals. The foundation

prefers projects of its own initiative, rather than funding unsolicited grants. Priority will begiven to matching fund requests.

The Board will consider requests from non-profit organizations in the Untied States.

Requests for projects outside the United States are not considered for funding. While the

foundation will consider multi-year grant support, the project should not rely upon foundation

grants for continuation. The project should either conclude at the end of the grant period or

show a reasonable plan for moving to self-sufficiency.

Grant applications may be submitted at any time during the year for consideration. The

executive director will notify the organization of receipt of the application and whether it fits

within the foundation's giving interests. Generally, the Board will meet in April, August and

November. Organizations should not submit more than one application every twelve months.

An organization wishing to apply to the foundation for grant consideration should

submit:

• A short letter (2 pages) from the CEO or board chairman containing

o A short summary of the request

o A brief history of the organizationo The project need and impact

o Proposed process outcome measures• A copy of the most recent IRS tax exempt determination letter

• A copy of your latest audited financial statement

• A current budget, including a budget for the proposed project• A list of gifts and pledges to date, by category, and projected sources to complete the

project• A list of current board members• Contact information: Name, title, complete address, telephone and email

Correspondence or questions should be sent to John and Robyn Horn Foundation at

the email address above.

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