r
ggp_pF
Department of the treasury
Internal Revenue Service
Return of Private Foundation
, 2003, and ending
Address change
Amended return
Final return
Name of organization
Name change
A Employer Identification number
Use the IRS
label .
Otherwise,
THE HAWKINS FOUNDATION
III
C / O WILLIAM M . HAWKINS
Number and street (or P .O . box number ii mail is not delivered to street address)
or type.
See Specific
Instructions .
8 BRITTANY MEADOWS COURT
City or town, state, and ZIP code
Room/suite
94-3347646
B Telephone number (seepage 10 of
the instructions)
650
210-5000
C it exemption application b
~~
I
pending, check here
D
TFiERTON
,545-005
2003
or Section 4947(a)(1) Nonexempt Charitable Trust Treated as a Private Foundation
Note : The org anization ma be able to use a co of this return to satisfy state re ortin requirements
For calendar ear 2003 or tax ear beginning
Initial return
G Check all that apply:
print
OMB No
CA 94027
1 . Foreign organizations, check here
,
2. Foreign organizations meeting the
1 U
as% cep check here end attach
H Check type of organization : X Section 501 (c)(3) exempt private foundation
computation .
. 1
Other taxable p rivate foundation
Section 4947 ( a )( 1 ) nonexem p t charitable trust
E ,r private foundation status urea terminated
Accounting method . x Cash
Accrual
1 Fair market value of all assets at end
under section 507(b)(1)(A), check here .
of year (from Part fl, COI. (C), line
a Other (specify) - -- - -------- ------- p If the foundation Is In a so-month termination
(Part 1, column (d) must be on cash basis.)
under section 5o7(b)(1)(e), check here , 10~
16) t b
722 , 298 .
(d) Disbursements
FOMAnalysis of Revenue and Expenses
(a) Revenue and
(c) Adjusted net
b Net investment
for charitable
(The total of amounts in columns (b), (c), and
F
expenses per
books
(d) may not necessarily equal the amounts in
column a (see age 10 0l the instructions).
Contributions
Check ~
, , , ,
10 , 151 .
4 Dividends and Interest from securities , , , ,
b a Gross rents , , , , , , . . . . . . . . . . .
d
c
w
d
b (Net rental income or (loss)
)
6 a Net gam or (loss) from sale of assets not on line 10
b Gross sales price for all
10 a Gross sales less returns
and allowances
`~'¤S~f~'sF~i
't~
GrosM~~O9E~~ch sch ule) , ,
O her income (attach s-coed Ipa . . . ,
tai . Add lineal throw h 1
f~
~
stees, etc
Jm s
01M-employee salanerends , , ,
!
, , , ,
Pen~~~l~~ben.]
11
12
13
14
16
K 16a
W
dl
F
A
C
E
v
a
~c
A
X
c
17
L ega l l ees
a ac
,
, ,
,
20
21
22
23
18 , 417 .
6 , 150 .
3 , 075 .
NONE
3 , 075 .
25 .
, ,
, ,
10 .
Depreciation (attach schedule) and depletion
Occupancy , ,
Travel, conferences,andmeetings
"
"
, ,
Printing and publications . , , , , . . , , ,
Other expenses (attach schedule) $TMT, 3 ,
3 , 500 .
3 . 475 .
NONE
Add lines 13 through 23 , , . , , , , , . .
Contributions, gifts, grants paid . , , . , , ,
9 , 660 .
29 , 488 .
6 , 550 .
NONE
6 , 550 .
NONE
Total operating and administrative expenses .
25
Total ex penses and disbursements Add lines 24 and 25
26
Subtract line 26 from line 12'
27
8 Excess of revenue over expenses and disbursements
,
,
b Net investment income (if negative, enter -0-)
c Adjusted net income (ii negative, enter-0-). .
694102000
266 .
NO
Interest , , , , , , . . . . . . . . . . . . .
19
Sn'W #.
18 , 417 .
Taxes (attach schedule) (see page 13 of the Instructions)
18
10 , 151 .
8 , 266 .
. ,
b Accounting fees (attach schedule)STM;P 2 .
c Other professional fees (attach schedule), , ,
~ a`+ 24
a
p
8
176 , 128 .
assets on line 6a
(from
Part
IV, line 2) ,
Capital gain net income
Net short-term capital gain . . . . . . . . .
Income modifications "
7
B
9
purposes
cash basis only)
if the foundation is not required to
attach Sch B
Interest on savings and temporary cash investments
3
income
IRs, grants, ek , received (attach schedule)
Distributions from split-interest trusts
2
income
39
,
148 .
-20
,
731 .
For Paperwork Reduction Act Notice, see the instructions .
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HAW001-03
-0-
3 , 100 .
29 , 488 a
32
~. .
,
588 .
Form 990-PF (2003)
4
Balance Sheets
Cash - non-Interest-bearing , , , , , , , , , , , , , , , , , ,
Savings and temporary cash investments , , , , , , , , , , ,
_______400_
Accounts receivable "
1
2
3
4
Less : allowance for doubtful accounts 01
Pledges receivable
Less . allowance for doubtful accounts
6
Grants receivable
6
Recervables due from officers, directors, trustees, and other
7
Other notes and loans receivable (attach schedule) 1
Less : allowance for doubtful accounts
,~
8
y
9
inning of ear
Book Value
Attached schedules and amounts in the
description column should be (or
94-3347646
b
Book Value
End
(c) Fair Market Value
9 , 679 .
9 , 469 .
9,469 .
1 .411 .
400 .
400 .
disqualified persons (attach schedule) (see page 15 of the instructions)
Inventories for sale or use
i
, , , , , , , , , , , , , , , . , ,
Prepaid expenses and deferred charges , , , , , , , , , , , ,
Q 10 a Investments - U S and state government obligations (attach schedule)
b Investments - corporate stock (attach schedule) , $TM .4 . ,
586
712 , 429 .
c Investments - corporate bonds (attach schedule) , , , , , , ,
1
11
Investments -land, buildings,
___________________
and equipment basis
Less accumulated depreciation 10.
(attach schedule)
------------------Investments - mortgage loans , , , , , , , , , , , , , , , ,
12
13
14
16
16
17
18
X 19
20
21
= 22
23
X 24
A 26
m26
Investments - other (attach schedule) , , , , , , , , , , , , ,
Land, buildings, and
equipment basis
___________________
Less accumulated depreciation 0,
(attach schedule)
-------------------Other assets (describe
Total assets (to be completed by all filers - see
the instructions Also see pa g e 1 item I
Accounts payable and accrued expenses , , ,
Grants payable , , , , , , , , , , , , , , ,
Deterred revenue page 16 of
, , , , , , , ,
, , , , , . , ,
Loans from officers, directors, trustees, and other disqualified persons
Mortgages and other notes payable (attach schedule) , , , , ,
Other liabilities (describe "
)
Total liabilities ( add lines i i mrou n cc
Organizations that follow SFAS 117, check here " U
and complete lines 24 through 26 and lines 30 and 31 .
Unrestricted , . , . . . . . . . . . . . . . . . . . . . . . .
Temporarily restricted . . . . . . . . . . . . . . . . . . . .
Permanently restricted """"""""""""""""""""
Organizations that do not follow SFAS 117,
check here and complete lines 27 through 31 .
,i
186
" Xa
o` 27
Capital stock, trust principal, or current funds . . , . . . . . .
y 29
Retained earnings, accumulated income, endowment, or other funds ,
28
GI
z
30
31
0.Mt
Paid-in or capital surplus, or land, bldg , and equipment fund
86
6
, , , ,
Total net assets or fund balances (see page 17 of the
455 .
instructions) , , , , , , . , . . . . . . , . . . . . . . . . .
Total liabilities and net assets/fund balances (see page 17 of
~ ~ ~ ~
~
~ ~ ~ the instructions
86
632,455 .
Analysis of Changes in Net Assets or Fund Balances
1 Total net assets or fund balances at beginning of year - Part II, column (a), line 30 (must agree with
end-of-year figure reported on prior year's return) , , , . , , . , , , , , . . . , . , . . . . . . . . . . . .
2 Enter amount from Part I, line 27a , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , . . . . . . .
3 Other increases not included in line 2 (itemize)
4 Add lines 1, 2, and 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5 Decreases not included in line 2 (itemize)
s Total net assets or fund balances at end of year (line 4 minus line 5) - Part II, column (b), line 30 . .
653,186 .
-20,731 .
632,455 .
632,455 .
Form 990-PF (2oos)
JSA
3E 1420 1 000
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5
Form 990-PF 2003
'Ca p ital Gains and Losses for Tax on Investment Income
°"'
acquired
o moon
(a) List and describe the kind(s) of property sold (e g , real estate,
2-story brick warehouse, or common stock, 200 shs MLC Co.)
1a
b
c
Page 3
94-3347646
(c) Date
acquired
(mo , day, yr )
~d) Date sold
mo ., day, yr .)
SEE PART IV SCHEDULE
d
e
(f) Depreciation allowed
(or allowable)
(e) Gross sates price
(g) Cost or other basis
plus expense of sale
(h) Gain or (loss)
(e) plus (0 minus (g)
b
c
Com p lete onl y for assets showing gain in column h and owned b the foundation on 12131/69
(k) Excess of col . (i)
U) Adjusted basis
(i) F .M .V . as of 12/31/69
as of 12/31/69
over col . (j), if any
(1) Gains (Col . (h) gain minus
col . (k), but not less than -0-) or
Losses (from col . (h))
a
c
If gain, also enter in Part I, line 7
If (loss), enter -0- in Part I, line 7 } 2
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 pages 13 and 17 of the instructions).
If loss enter -0- in Part I line 8
FTNUR 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 .)
2 Capital gain net income or (net capital loss) " " " " ~ {
If section 4940(d)(2) applies, leave this part blank
Was the organization liable for the section 4942 tax on the distnbutable amount of any year m the base period? . . . . El Yes
If "Yes," the organization does not qualify under section 4940(e) . D o not complete this part.
1
x No
Enter the appropriate amount in each column for each year, see page 17 of the instructions before making any entries.
Base penod years Calendar year
or tax ear beg inning in
2002
2001
2000
1999
(b)
Adjusted qualifying distributions
43 , 165 .
25 , 750 .
7 , 786 .
NONE
(c)
Net value of nonchantable-use assets
682 ,
857 ,
1 , 019 ,
41 ,
d
I
Distribution ratio
0 .06326470192
0 .03004099575
0 .00763789361
292o
162o
391 .
480 .
NONE
1998
0 .10094359128
2
3
Total of line 1, column (d) . . . . . . . . . . . . . . . . . . . . . . . . . . .
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 d less than 5 years , , , , , , , , ,
3
4
Enter the net value of noncharitable-use assets for 2003 from Part X, line 5 , , , , , , , , . .
4
595 .057 .
5
Multiply line 4 by line 3 , , , , , . . . , , . , , . . . . . . . . , . . . . . . . . . . . . . . . .
6
Enter 1 % of net investment income (1 % of Part I, line 27b)
7
Add lines 5 and 6
7
15,136 .
0 .02523589782
. . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1 8 1
32,588 .
Enter qualifying distributions from Part XII, line 4 . . . . . . ~ ~ ~ . . . " . " ~ ~ - " " ~ ~ ~ ~
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 Seethe Part VI instructions on page 17
JsA
Form 990-PF (2003)
3E 1430 1 000
8
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6
94-3347646
-'orm990-13~ 2003
Excise Tax Based on Investment Income (Section 4940(a), 4 940(b), 4940(e), or 4948 - see pac
and enter "N/A" on line 1 .
1 a Exempt operating foundations described m section 4940(d)(2), check here 1
letter
if
necessary
see
instructions) , , , , , , , ,
Date of ruling letter _ _ _ - _ _ _ _ _ (attach copy of ruling
b Domestic or anizations that meet the section 4940(e) requirements in Part V, check
here " X and enter 1 % of Part I, line 27b , . , , , , , , , , . . . . . . . . . . . . . . . . . . . . . . . .
c All other domestic organizations 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-) , , , , , , ,
Addlines land2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-), , , , , , ,
Tax based on investment income. Subtract line 4 from line 3 . If zero or less, enter -0- , , , , , , , , , , , , , , , ,
6
Credits/Payments :
6
6a
949 .
a 2003 estimated tax payments and 2002 overpayment credited to 2003 , , , , , , ,
6
b
NONE
tax
withheld
at
source
,
,
,
,
,
,
,
,
,
,
,
,
b Exempt foreign organizations 6c
NONE
c Tax paid with application for extension of time to file (Form 8868) , , , , , , , , , ,
6d
d Backup withholding erroneously withheld , , , , , , , , , , , , , , , , ,
3
4
. , . . . . . . . . . . .
Total credits and payments . Add lines 6a through 6d . . . . ,
Enter any penalty for underpayment of estimated tax. Check here Elif Form 2220 is attached
Tax due . It the total of lines 5 and 8 is more than line 7, enter amount owed , , , , , , , , , ,
Overpayment . It line 7 is more than the total of lines 5 and 8, enter the amount overpaid , , , ,
7
8
9
10
Enter the amount of line 10 to be : Credited to 2004 estimated tax "
11
Statements Re gard
17 of the ins
1
2
1
3
. . . . . . . . . .
, , , , , , , , , ,
, , , , , , , . . .
, , , , , , . , . ,
830 .
Refunded 1
During the tax year, did the organization attempt to influence any national, state, or local legislation or did
it participate or intervene in any political campaign? , , , , , , , , , , , , , , , , , . . . , , , . . , , . . . . . . . . . . . . . ,
b Did it spend more than $100 during the year (either directly or indirectly) for political purposes (see page
18 0( the instructions for definition)? , , , , , , , , , , , , , , , , , , , , , , . , , , , . . . . . . . , . . . . . . . . . . . . .
I( the answer is "Yes" to 1 a or 1b, attach a detailed description of the activities and copes of any materials
published or distributed by the organization in connection with the activities
c Did the organization file Form 1120-POL for this year? , , , , , , , , , , , , , , , , . , . . . , , , , , . . . . . . . . . . . .
d Enter the amount (it any) of tax on political expenditures (section 4955) imposed during the year'
1 a
e
2
3
(1) On the organization
1 $
(2) On organization managers
Has the organization made any changes, not previously reported to the IRS, in its governing instrument, articles
of incorporation, or bylaws, or other similar instruments? 1/ "Yes," attach a conformed copy of the changes , , , , , , , , , , , , , , ,
4 a Did the organization have unrelated business gross income of $1,000 or more during the year? , , , , , , , , , , , , , , , , , , ,
6
6
7
B
9
10
11
12
13
No
X
1b
X
1c
X
2
X
3
X
"$
Enter the reimbursement (if any) paid by the organization during the year for political expenditure tax imposed
on organization managers . lip. $
Has the organization engaged in any activities that have not previously been reported to the IRS? , , , , , , , , , , , , , , , , , , ,
If 'Yes,' attach a detailed description of the activities.
b If "Yes," has it filed a tax return on Form 990-T for this year?
Yes
1a
, , , , , , , , , , , , , , , , , , , , , . , , , , , , , , . . . . .
Was there a liquidation, termination, dissolution, or substantial contraction during the yeas? , , , , , , , , , , , , , , , , ,
ll'Yes,"attach the statement required by General Instruction T
Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either
By language in the governing instrument or
" By state legislation that effectively amends the governing instrument so that no mandatory directions
that conflict with the state law remain in the governing instrument? , , , , , , , , , , , , , , , . , . , , , , , , , .
Did the organization have at least $5,000 in assets at any time during the year? If "Yes,"complete Part fl, col. (c), and Part XV.
a Enter the states to which the foundation reports or with which it is registered (see page 19 of the
instructions) iii. CALIFORNIA
b If the answer is "Yes" to line 7, has the organization furnished a copy of Form 99aPF to the Attorney
General (or designate) of each state as required by General Instruction G? I( 'No," attach explanation , , , , , , , , , , , ,
Is the organization claiming status as a private operating foundation within the meaning of section 49420(3)
, , , , ,
4a
X
N A
4b
5
X
. . . ,
, , , , ,
6
7
X
X
, . , , .
8b
X
page 25)1 I/ "Yes,' complete Part XIV , , , , , , , , , , , , , , , , , , , , , , , , , , . , , . , , , . . . . . . . . . . . . . . .
Did any persons become substantial contributors during the tax year? It "Yes,' attach a schedule listing their names and addresses , , ,
10
or 49420(5) for calendar year 2003 or the taxable year beginning in 2003 (see instructions for Part XIV on
Did the organization comply with the public inspection requirements for its annual returns and exemption application? . . . . . . . . .
9
X
X
11
X
Web site address "
The books are in care of 1_DAVID_R__FENYON - - - - - - - - - - - - - - - - ----------- Telephone no . 1650_ 210-5000
Located at lio.1700 SEAPORT BLVD .- REDWOOD CITY .- CA ___-___________ ZIP+4 jo. ____ 94063 ___________
. , . . . . . . . . . 00
Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041 -Check here , , , . . . ,
. 1 I " 1.3 " I
and enter the amount of tax-exempt interest received or accrued during the year .
JSA
3 E 1440 1 000
M03089
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7
"
Form 990-PF
5
-3347646
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.
1 a During the year did the organization (either directly or indirectly) :
(1) Engage in the sale or exchange, or leasing of property with a disqualified person? . .
(2) Borrow money from, lend money to, or otherwise extend credit to (or accept it from)
a disqualified person? . . . . . . . . . . . . . " ~ ~ ~ ~ " ~ " " ~ " " ~ ~ ~ " " "
(3) Furnish goods, services, or facilities to (or accept them from) a disqualified person? .
(4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person? . .
(6) Transfer any income or assets to a disqualified person (or make any of either available
. . . . . .
1:1 Yes
aNo
. . . . . .
. . . . . .
. . . . . .
Yes
X No
X No
Yes
P Yes
X No
Yes
aX No
for the benefit or use of a disqualified person)? . . . . . . . . . . . " " " ~ ~ " " . . . . . . .
(6) Agree to pay money or property to a government official? (Exception. Check "No"
If the organization agreed to make a grant to or to employ the official for a period
Yes
EE No
after termination of government service, if terminating within 90 days.) . " " " " " " " " . . . .
in
Regulations
acts
fail
to
qualify
under
the
exceptions
described
b If any answer is "Yes" to 1a(1)-(6), did any of the
section 53 4941(d)-3 or in a current notice regarding disaster assistance (see page 19 of the instructions)? . . .
Organizations relying on a current notice regarding disaster assistance check here . . . . . . . . . . " " " ~ " 1J
e Did the organization engage in a prior year in any of the acts described in 1a, other than excepted acts,
that were not corrected before the first day of the tax year beginning in 2003? . . . . . . . . . . . . . .
2
Taxes on failure to distribute income (section 4942) (does not apply for years the organization was a private
operating foundation defined in section 49420(3) or 49420)(5))a At the end of tax year 2003, did the organization have any undistributed income (lines 6d
Yes
~X No
and 6e, Part XIII) for tax year(s) beginning before 2003? . . . . . . . . . " " " " " " " " . . . . .
1b
1c
If "Yes," list the years po.
b Are there any years listed in 2a (or which the organization 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 all years listed, answer "No" and attach statement - see page 19 of the instructions.) . . . . . . . . . . .
c I( the provisions of section 4942(a)(2) are being applied to any of the years listed in 2a, list the years here
Did the organization hold more than a 2°.6 direct or indirect interest in any business
enterprise at any time during the year? , , , , , , , , , , , , , . , , , , . . , . . . . , . , , , ,
b If "Yes," did it have excess business holdings in 2003 as a result of (1) any purchase by the organization
3a
2b
Yes
~X No
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 organization had excess business holdings in 2003 .) . . . . . . . " " " ~ " " ~ " ~ " " " ~ ~ ~ ~ ~
4 a Did the organization invest during the year any amount in a manner that would jeopardize its charitable purposes? . . . . . . .
b Did the organization 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 2003? . . . . .
6 a During the year did the organization pay or incur any amount to
(1) Carry on propaganda, or otherwise attempt to influence legislation (section 4945(e))? , , , , , , EJYes
F
AI
(2) Influence the outcome of any specific public election (see section 4955) ; or to carry
Yes
X No
on, directly or indirectly, any voter registration drive? , , , , , , , , , , , , , , , , . . . . .
No
8
Yes
BX
travel,
study,
or
other
similar
purposes?
,
,
,
,
,
,
.
.
,
.
,
Provide
a
grant
to
an
individual
for
(3)
3b
4b
X
(4) Provide a grant to an organization other than a charitable, etc , organization described
~X No
in section 509(a)(1), (2), or (3), or section 4940(d)(2)? , , , , , , , , , . , , , . . . . . . . , a yes
other
than
religious,
charitable,
scientific,
literary,
or
(6) Provide for any purpose
educational purposes, or (or the prevention of cruelty to children or animals? , , , , , . , , , . El Yes
12 No
b If any answer is "Yes" to 5a(1)-(5), did any of the transactions fail to qualify under the exceptions described m
Regulations section 53 .4945 or in a current notice regarding disaster assistance (see page 20 of the instructions)? " ~
Organizations relying on a current notice regarding disaster assistance check here . . . . . . . . . . .
If the answer is "Yes" to question 5a(4), does the organization claim exemption from the
14/Z'+ 1 :1 Yes
E]No
tax because it maintained expenditure responsibility for the grant? . . . . . . . . . . . . . .
by
Regulations
section
53.49455(d).
attach
the
statement
required
I/ 'Yes,'
6 a Did the organization, during the year, receive any funds, directly or indirectly, to pay
Yes
F
AI
premiums on a personal benefit contracts , , , , , , . . . . . . . . . . . . . . . . . . . . . . .
b Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract? , , , , , , , , , , ,
1/ You answered 'Yes' to 66, also ale Form 8870.
c
6b
Form 990-PF (2003)
JSA
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HAW001-03
8
94-3347646
Form 990-PF (2003)
Page s
Inf ormation About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees, and Contractors
1
List all officers, directors, trustees, foundation managers and their com p ensation see age 20 of the Instructions
(b) Title, and average
hours per week
(a) Name and address
devoted to
p osition
(c) Compensation
(11 not paid, enter
(d) Contributions to
employee benefit plans
41.-and deferred com p ensation
-------------------------------------SEE STATEMENT 5
NONE
(e) Expense account,
other allowances
NONE
NONE
---------------------------------------------------------------------------
2
Compensation of five hi g hest- p aid em plo y ees (other than those Included on fine 1 - see p a g e 20 of the instructions ) .
If none, enter "NONE."
-------------------------------------(a) Name and address of each employee paid more than $50,000
i
b Title and average
( hours Pper week
devoted to position
(e) Compensation
(d) Contributions to
employee benefit
plans and deferred
com p ensation
(e) Expense account,
other allowances
NONE
I
------------------------------------------ - - ---------------- - - ---- ---------------------------------------------
-------------------------------------Total number of other employees paid over $50,000
3
_T
. " NONE
Five highest-paid Independent contractors for professional services - (see page 20 of the Instructions) . If none, enter
"NONE ."
I
(b) Type of service
(a) Name and address of each person paid more than $50,000
(c) Compensation
NONE
-------------------------------------------------------------------------------------------------------------------------------------------------------------
Total number of others receiving over $50,000 for professional services
~ ~
, , " NONE
Summary of Direct Charitable Activities
List the foundation's four largest direct charitable activities during the tax year Include relevant statistical information such as the number
of organizations and other beneficiaries served, conferences convened, research papers produced, etc
Expenses
----NLA------------------------------------------------------------------------------------------------------------------------------------------------
2----------------------------------------------------------------------------
----------------------------------------------------------------------------
3
---------------------------------------------------------------------------4
----------------------------------------------------------------------------
FoR 990-PF (2003)
I
JSA
3E 1460 2 000
M03089
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HAW001-03
9
I
I
i
Page 7
Form 990-PF (2003)
94-3347646
utnmary of Program-Related Investments (see page 21 of the instructions)
Describe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2
Amount
-------------------------------------------
- N-~A -
All
other program-related investments See page 21 of the instructions
--------------------------------------------------------------------------NONE
---------------------------------------------- ---------------------------------------------------------------------------Total . Add lines 1 throu gh 3
Minimum Investment Retum (All domestic ~foundations must complete this part . Foreign foundations,
see page 21 of the instructions .)
1
a
b
c
d
e
2
3
4
Fair market value of assets not used (or held for use) directly in carrying out charitable, etc .,
purposes.
Average monthly fair market value of securities . , . . . . . . , . . . . , . . . , . . . . . . . ,
Average of monthly cash balances .
Fair market value of all other assets (see page 22 of the instrucUons) . . , , , . . , , , , , , , ,
, , , , ,
Total (add lines 1 a, b, and c) . , , , , . . . , , , . , , , , , ,
Reduction claimed for blockage or other factors reported on lines 1 a and
1e
. . . . . . , . , ,
1c (attach detailed explanation)
to
line
1
assets
Acquisition indebtedness applicable
. . . . . . . . . . . . . . . . . . . . . . . .
Subtract line 2 from line 1d
Cash deemed held for charitable acUvities . Enter 1 1/2 ~/.' of line 3 (for greater amount, see page
,
, , , ,
. . . .
23
1a
1d
1a
7d
590 , 609 .
12 , 604 .
906 .
604 , 119 .
2
3
NONE
604 , 119 .
of the instructions)
. , . . . .
, , ,
, ,
4
5
Net value of noncharitable-use assets . Subtract line 4 from line 3 . Enter here and on Part V, line 4 . .
Minimum Investment return . Enter 5% of line 5
6
Distributable Amount (see page 23 of the instructions) (Section 49420(3) and 0)(5) private operating
foundations and certain foreign organizations check here p. a and do not complete this part .)
5
6
1
Minimum investment return from Part X, line 6 . . . . . . . . . . . . .
2a Tax on investment income for 2003 from Part VI, line 5 . . . . . , . .
b Income tax for 2003 . (This does not include the tax from Part VI .) . . .
c
3
4a
b
5
6
7
. .
2a
2b
9 , 062 .
595 , 057 .
29 , 753 .
. . . . . . . . . . . . . .
119
. .
,
Add lines 2a and 2b .
. . . . . . . . . . . . . .
Distributable amount before adjustments Subtract line 2c from line 1 . . .
NON]
Recoveries of amounts treated as qualifying distributions . , , , , , , 4a
4b
Income distributions from section 4947(a)(2) trusts . . , , . . . . . .
c Add lines 4a and 4b . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Add lines 3 and 4c
. . . .
. . . ,
Deduction from distnbutable amount (see page 23 of the instructions)
Dlstrlbutable amount as adjusted Subtract line 6 from line 5 Enter here and on Part All, line 1
2c
4c
NONE
Qualifying Distributions (see page 23 of the instructions)
1
2
3
4
5
6
a
b
a
b
Amounts paid (including administrative expenses) to accomplish charitable, etc., purposes.
Expenses, contributions, gifts, etc . - total from Part I, column (d), line 26 . . , . . . , , , , , , , , , , ,
. . . . . .
Program-related investments - Total from Part IX-B . .
. . . ,
out
charitable,
etc.,
Amounts paid to acquire assets used (or held for use) directly in carrying
purposes ,
. . .
. . .
. .
. . . . . . . . . . . . . . . . . . . . .
Amounts set aside for specific charitable projects that satisfy the.
Suitability test (prior IRS approval required) . . . . . . , . . . . . . . . . . . . . , , , , , , , , , ,
Cash distribution test (attach the required schedule) . . . . . . . . , , . . , , , , , , , , , ,
Qualifying distributions . Add lines 1a through 3b . Enter here and on Part V, line 8, and Part XIII, line 4 , . . ,
Organizations that qualify under section 4940(e) for the reduced rate of tax on net investment
income . Enter 11% of Part I, line 27b (see page 24 of the instrucUons) . . . . . . . . . . . . . . . .
. . . . . . , .
. .
. .
Adjusted qualifying distributions . Subtract line 5 from line 4 . .
Note : The amount on line 6 will be used in Part V, column (b), in subsequent years when calculating
qualifies for the section 4940(e) reduction of fax in those years.
JSA
3 E 7 470 1 000
M03089
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, .
, .
1a
1 b
32 , 588 .
NONE
NONE
2
3a
3b
4
NONE
NONE
32 , 588 .
5
. .
6
.
whether the foundation
119 .
32 , 469 .
Form 990-PF (zoo3)
HAW001-03
10
Form 990-PF (2003)
Fla9e 8
94-3347646
Undistributed Income (see page 24 of the instructions)
2
(b)
Years prior to 2002
(a)
Corpus
Dlstributable amount for 2003 from Part XI,
1
29,876 .
, , , , , , , , ,
N02
b Total for pnoryears
Excess distributions car over, if any, to 2003 .
3
a
b
c
d
From 1998
NO
, , , , , ,
From 1999
From 2000 , , , , , ,
From 2001 , , , , , ,
e From 2002 , , , , , ,
t Total of lines 3a through e , , , , , , , ,
4
Qualifying distributions for 2003 from Part
32,588 .
X1 1, line 4: " $
a Applied to 2002, but not more than line 2a
NO
NO
NO
NO
, , ,
NONE
29 4 876 .
, , ,
b Applied to undistributed income of prior years
(Election required - see page 24 of the instructions)
NO]
, ,
c Treated as distributions out of corpus (Election
required - see page 24 of the instructions) , , ,
d Applied to 2003 distributable amount, , , . , ,
e Remaining amount distributed out of corpus , ,
6
Excess distributions carryover applied to 2003
(H an amount appears m column (d), the
s
same amount must be shown in column (a) .)
Enter the net total of each column as
Indicated below:
a Corpus . Add lines 3i, 4c, and 4e. Subtract line 5
NONE
NONE
NO]
income for which a notice of deficiency has
been issued, or on which the section 4942(a)
tax has been previously assessed , , , , , , ,
NO]
d Subtract line 6c from line 6b . Taxable
NO]
amount - see page 24 of the instructions , , , ,
e Undistributed income for 2002 Subtract line
4a from line 2a Taxable amount - see page
24 of the instructions . . . , , , , , , , ,
7
8
NONE
NONE
, , , ,
line 4b from line 2b
c Enter the amount of prior years' undistributed
i
2 , 712,
NONE
b Prior years' undistributed income . Subtract
Undistributed income for 2003 . Subtract
lines 4d and 5 from line 1 . This amount must
be distributed in 2004
Amounts treated as distributions out of
corpus to satisfy requirements imposed by
section 170(b)(1)(E) or 4942(8)(3) (see page
25 of the instructions) . . .
. . . .
Excess distributions carryover from 1998
not applied on line 5 or line 7 (see page 25
of the instructions) . . . . . . . . . . . . . . .
6,922 .
Excess distributions carryover to 2004.
9
10
(d)
2003
29 , 634 .
line 7 . . . . . . . . . . . . . . . . . . . . .
Undistributed income, d any, as of the end of 2002
a Enter amount for 2002 only
(c)
2002
Subtract lines 7 and 8 from line 6a . . . . . . .
Analysis of line 9.
Excess from 1999 . ,
NON
c
Excess from 2001 . ,
NON
d
Excess from 2002 . .
a
b Excess from 2000 . .
e
Excess from 2003 . . .
JSA
3 E 1480 1 000
M03089
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NON
NON
NON
12 :43 :07
Form 990-PF (2oos)
HAW001-03
11
"
Form 990-PF
1a
b
2a
Private Operating Foundations (see page 15 of the instructions ana raR vii-H, question y)
If the foundation has received a ruling or determination letter that it is a private operating
foundation, and the ruling is effective for 2003, enter the date of the ruling , . , . . , , , , , ,
Check box to Indicate whether the organization is a private operating foundation described m section
Prior 3 years
Tax year
Enter the lesser of the
adjusted net income from
Part I or the minimum
investment return from Part
X for each year listed . . .
b
BS°h of line 2a
C
Qualifying distributions from Part
(a) 2003
(c) 2001
(b) 2002
9
NOT APPLICABLE
4942(j)(3) or
49420(5)
(e) Total
(d) 2000
. , , . .
XII, line 4 for each year listed
d
2
3
e
.
Amounts included In line 2c not
used directly for active conduct
of exempt activities ,
Qualifying distributions made
directly for active conduct of
exempt activities Subtract
line 2d from line 2c .
Complete 3a, b, or c for the
alternative test rolled upon
'Assab' eltemaWe test- enter
Value of all assets
b
C
(2) Value of assets qualifying
under section
4942U)(3)(B)(0 . . . . .
'EndowmenC alternative testEnter Z3 of minimum
Investment return shown In
Part X, line 8 for each year
listed . . .
'SupporCalternative test -enter
(1) Total support other than
prose Investment Income
(Interest, dividends, rents,
payments on securities
loans (section 512(a)(5)),
or royalties) .
(2) Support from general
public and 5 or more
exempt organizations
as provided In section
4942U)(3)(B)(III)
(3) Largest amount of support
from en exempt
organization
4
1
a
Gross investment income .
Supplementary Information (Complete this part only if the organization had $5,000 or more in
assets at any time during the year - see page 25 of the instructions .)
Information Regarding Foundation Managers'
List any managers of the foundation who have contributed more than 2°.6 of the total contributions received by the foundation
before the close of any tax year (but only ii they have contributed more than $5,000) . (See section 507(d)(2).)
WILLIAM M .
b
HAWRINS
6 LISA WARNES HAWRINS
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°.6 or greater interest.
NONE
2
Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc ., Programs :
1 X if the organization only makes contributions to preselected charitable organizations and does not accept unsolicited requests for funds
If the organization makes lifts grants etc (see page 25 of the instructions) to individuals or organizations under other conditions complete items 2a b, c, and d
a The name, address, and telephone number of the person to whom applications should be addressed:
Check here
b The form m which applications should be submitted and information and materials they should include :
c
Any submission deadlines
d
Any restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
factors'
JSA
3 E 1490 1 000
M03089
517R 03/08/2004
12 :43 :07
HAW001-03
Form 990-PF (2003)
12
94-3347646
Form 990-PF (2003)
Supplementary Information (continued)
Form 990-PF (2003)
JSA
3E 1491 2 000
M03089
Page 10
517K 03/08/2004
12 :43 :07
HAW001-03
13
Form 990-PF (2003)
Page 11
94-3347646
Anal sis of Income-Producin Activities
Unrelated business income
Enter gross amounts unless otherwise indicated.
Business
code
1 Program service revenue :
a
Amount
Excluded b section 512, 513, or 514
(c)
(d)
Exclusion
Amount
code
Related or exempt
function income
(See page 26 of
the instructions
b
c
d
e
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 , , , ,
5 Net rental income or (loss) from real estate :
a
Debt-financed property
b
Not debt-financed property
14
10 , 151 .
18
8 , 266 .
, , , , , , , , ,
, , , , , , ,
6 Net rental income or (loss) from personal property
,
7 Other investment income
B Gain or (loss) from sales of assets other than inventory
9 Net income or (loss) from special events , , ,
10 Gross profit or (loss) from sales of inventory . .
11 Other revenue : a
c
d
e
18,417 . 1
12 Subtotal . Add columns (b), (d), and (e) , , , , E
......
(b),
(d),
and
(e)
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
,
.
.
,
,
.
.
.
.
.
.
.
.
. 13
13 Total . Add line 12, columns
on
26
to
veri
ty
calculations
See worksheet in line 13 instructions
page
.
dine No .
'
18,417 .
Relationship of Activities to the Accomp lishment of Exem pt Purposes
Explain below how each activity for which income is reported in column (e) of Part XVI-A contributed importantly to
the accomplishment of the organization's exempt purposes (other than by providing funds for such purposes). (See
page 26 of the instructions .)
Form 990-PF (2oos)
JSA
3E1492 1 000
M03089
5178 03/08/2004
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HAW001-03
14
Form 990-PF 2003
Pace 12
94-3347646
Information Regarding Transfers To and Transactions and Relationships With Noncharitable
Exem pt Or ganizations
Did the organization directly or indirectly engage in any of the following with any other organization described in section
501(c) of the Code (other than section 501(c)(3) organizations) or m section 527, relating to political organ¢ations'7
1
Yes
a Transfers from the reporting organization to a noncharrtable exempt organization of
No
(1)Cash . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1a1
(2) Other assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1a ( 2)
X
(1) Sales of assets to a nonchantable exempt organization , , , , , , , , , , , , , , , , , , , , , , , , . . . . . . . . . . 1 b(l )
(2) Purchases of assets from a nonchantable exempt organization , , , , , , , , , , , , , , , , , , , , . . , . . . . . . , 1 b(2)
X
(4) Reimbursement arrangements , , , , , , , , , , , , , , , , . , , , , . . . , . . . . . . . . . . . . . . . . . . . , , 1 b( 4)
(5) Loans or loan guarantees , , , , , , , , , , , , , , . . , . . . . . . . . . . . . . . . . . . . . . . . . . . . . . , , 1 b(S)
(6) Performance of services or membership or fundraising solicitations , , , , , , , , , , , , , , , , , . , , . . . . . . , , 1 b(6)
1c
c Sharing of facilities, equipment, mailing lists, other assets, or paid employees , , , , , , , , , , , , . . , , . . . . . . . . .
always
show
the
fair
market
complete
the
follovwng
schedule
Column
(b)
should
If
the
answer
to
any
of
the
above
is
"Yes,"
d
X
b Other transactions
(3) Rental of facilities, equipment, or other assets
, , , , , , , , , , , , , , , . , , , , , . . . , . . . . . . . . . . . . ,
1 b (3)
X
X
X
X
X
X
value of the goods, other assets, or services given by the reporting organization If the organization received less than fair
market value in any transaction or sharing arrangement, show in column (d) the value of the goods, other assets, or services
2 a
Is the organization directly or indirectly affiliated with, or related to, one or more tax-exempt organizations
described m section 501(c) of the Code (other than section 501(c)(3)) or m section 527
b If "Yes , " complete the followin g schedule
(b) Type of organization
(a) Name of organization
, , , , , , , , , , , , , , , , , .
El Yes DX
No
(c) Description of relationship
A
Under penalties of perjury, I declare that I
belief, it is true, correct, and complete Decl
`
ve examined this return, including accom
lion of preparer (other than taxpayer or fidu
Signature of officer or trustee
1
Gl
2
C
a
~n
~ ?~ Preparers
signature
~mo
a d H Firm's name (or yours if
self-employed), address,
and ZIP code
Jsn
3E 1493 1 000
M03089
517K
' HARRI S MYCF
1700
INC .
SEAPORT BLVD . ,
RE DWOOD CITY .
03/08/2004
-
12 :43'07
CA
ig schedules and statements, and to the best of my knowledge and
is based on all information of which preparer has any knowledge
THE HAWKINS FOUNDATION
FORM
990PF,
PART
I
94-3347646
- DIVIDENDS AND INTEREST FROM SECURITIES
DESCRIPTION
----------PAINEWEBBER VARIOUS
TOTAL
M03089 517K 03/08/2004
12 :43 :07
REVENUE
AND
EXPENSES
PER BOOKS
---------
NET
INVESTMENT
INCOME
------
10,151 .
-------------10,151 .
10,151 .
-------------10,151 .
HAW001-03
16
STATEMENT
1
94-3347646
THE HAWKINS FOUNDATION
FORM
990PF,
PART
I
- ACCOUNTING FEES
REVENUE
AND
EXPENSES
PER BOOKS
DESCRIPTION
ACCOUNTING FEES
TOTALS
M03089 517K 03/08/2004
12 :43 :07
6,150 .
-------------6,150 .
NET
INVESTMENT
INCOME
ADJUSTED
NET
INCOME
CHARITABLE
PURPOSES
3,075 .
-------------3,075 .
NONE
-------------NONE
3,075 .
-------------3,075 .
HAW001-03
17
STATEMENT
2
THE HAWKINS FOUNDATION
FORM 990PF,
PART
94-3347646
I - OTHER EXPENSES
REVENUE
AND
EXPENSES
PER BOOKS
---------
DESCRIPTION
FILING FEES
NET
INVESTMENT
INCOME
------
ADJUSTED
NET
INCOME
------
CHARITABLE
PURPOSES
--------
25 .
NONE
NONE
25 .
INVESTMENT FEES
150 .
150 .
NONE
NONE
MANAGEMENT FEES
3,139 .
3,139 .
NONE
NONE
186 .
--------------
186 .
--------------
NONE
--------------
NONE
--------------
FOREIGN TAX WITHHOLDING
TOTALS
M03089 517K 03/08/2004
12 :43 :07
3,500 .
HP.W001-03
3,475 .
NONE
18
25 .
STATEMENT
3
94-3347646
THE HAWKINS FOUNDATION
FORM
990PF,
PART
II
- CORPORATE STOCK
ENDING
BOOK VALUE
DESCRIPTION
MS ACCT 48800
TOTALS
M03089 517K 03/08/2004
12 :43 :07
ENDING
FMV
622,586 .
--------------622,586 .
HAW001-03
712,429 .
--------------712,429 .
19
STATEMENT
4
THE HAWKINS FOUNDATION
FORM
990PF,
PART VIII
94-3347646
- LIST OF OFFICERS,
DIRECTORS,
AND TRUSTEES
TITLE AND TIME
DEVOTED TO POSITION
-------------------
NAME AND ADDRESS
----------------
CONTRIBUTIONS
TO EMPLOYEE
BENEFIT PLANS
-------------
COMPENSATION
------------
EXPENSE ACCT
AND OTHER
ALLOWANCES
----------
WILLIAM M . HAWKINS
8 BRITTANY MEADOWS COURT
ATHEf2TON, CA
94027
PRESIDENT
AS NEEDED
NONE
NONE
NONE
LISA WARNES HAWKINS
8 BRITTANY MEADOWS COURT
ATHERTON, CA
94027
TREASURER
AS NEEDED
NONE
NONE
NONE
--------------
--------------
--------------
GRAND TOTALS
M03089 517K 03/08/2004
12 :43 :07
HAW001-03
NONE
20
NONE
STATEMENT
NONE
5
THE HAWfCINS FOUNDATION
94-3347646
FORM 990PF, PART XV - GRANTS AND CONTRIBUTIONS PAID DURING THE YEAR
-----------
----------------- ----- --
RELATIONSHIP TO SUBSTANTIAL CONTRIBUTOR
AND
RECIPIENT NAME AND ADDRESS
--------------------------
FOUNDATION STATUS OP RECIPIENT
------------------------------
THE NUEVA SCHOOL
NONE
6565 SKYLINE BLVD .
PUBLIC CHARITY
PURPOSE OF GRANT OR CONTRIBUTION
--------------------------------
AMOUNT
GENERAL CHARITABLE PURPOSE
15,729 .
GENERAL CHARITABLE PURPOSE
1,000 .
GENERAL CHARITABLE PURPOSE
500 .
GENERAL CHARITABLE PURPOSE
600.
GENERAL CHARITABLE PURPOSE
200 .
GENERAL CHARITABLE PURPOSE
75 .
GENERAL CHARITABLE PURPOSE
50
HILLSBOROUGH, CA 95010-6221
SAN JOSE FAMILY SHELTER
NONE
1590 LAS PLUMAS AVENUE
PUBLIC CHARITY
SAN JOSE, CA 95133-1667
THE AMERICAN VETERANS COUNCIL
NONE
2519 MARTIN LUTHER KING JR WAY
PUBLIC CHARITY
OAKLAND , CA 94612
THE SAN FRANCISCO ZOOLOGICAL SOCIETY
NONE
1 Z00 ROAD
PUBLIC CHARITY
SAN FRANCISCO, CA
94132
PENINSULA FAMILY YMCA
NONE
1877 SOUTH GRANT STREET
PUBLIC CHARITY
SAN MATEO, CA
94402
SMITHSONIAN INTITUTION
NONE
WASHINGTON, DC
PUBLIC CHARITY
FRIENDS OF MONTALVO
NONE
15400 MONTALVO ROAD
SARP.TOGA, CA
PUBLIC CHARITY
95071
THE GIRLS' MIDDLE SCHOOL
NONE
180 NORTH RENGSTROFF AVENUE
PUBLIC CHARITY
MOUNTAIN VIEW, CA
5,000.
GENERAL CHARITABLE PURPOSE
1,500
9403 .1
MENLO PRESBYTERIAN CHURCH
NONE
950 SANTA CRUZ AVENUE
PUBLIC CHARITY
MENLO PARK, CA 94025
M03089
GENERAL CHARITABLE PURPOSE
517K
03/08/2004
12 :43 :07
HAH001-03
21
STATEMENT
6
I
THE HAWKINS FOUNDATION
94-3347646
FORM 990PF, PART XV - GRANTS AND CONTRIBUTIONS PAID DURING THE YEAR
RELATIONSHIP TO SUBSTANTIAL CONTRIBUTOR
AND
RECIPIENT NAME AND ADDRESS
--------------------------
FOUNDATION STATUS OF RECIPIENT
------------------------------
STANFORD GRADUATE SCHOOL OF BUSINESS
NONE
518 MEMORIAL WAY, STANFORD UNIVERSITY
PULIC CHARITY
RING NURSERY SCHOOL
NONE
AMOUNT
PURPOSE OF GRANT OR CONTRIBUTION
--------------------------------
------
GENERAL CHARITABLE PURPOSE
1,000 .
GENERAL CHARITABLE PURPOSE
1,000 .
GENERAL CHARITABLE PURPOSE
300 .
GENERAL CHARITABLE PURPOSE
1,000 .
GENERAL CHARITABLE PURPOSE
34 .
GENERAL CHARITABLE PURPOSE
1,500.
STANFORD, CA 94305
850 ESCONDIDO ROAD
PUBLIC CHARITY
COLLEGE TRACK
NONE
1898C BAY ROAD
PUBLIC CHARITY
STANFORD, CA 94305
EAST PALO ALTO, CA 95303
BOYS SCOUTS OF AMERICA
NONE
PACIFIC SKYLINE COUNCIL
PUBLIC CHARITY
1300 S AMPHLETT BLVD, SAN MP,TEO, CA 94402-1907
NATIONAL GEOGRAPHIC SOCIETY
NONE
P .O .BOX 63001
PUBLIC CHARITY
TAMPA, FLORIDA 33663-3001
FOOTHILL AUXILIARY, FAMILY SERVICES AGENCY
NONE
24 2ND AVENUE
PUBLIC CHARITY
SAN MA,TEO, CA 94401
-----------TOTAL CONTRIBUTIONS PAID
M03089
517K
03/08/2004
12 :43 :07
HAW001-03
22
STATEMENT
29,488 .
7
Capital Gains and Losses
SCHEDULED
(Form 1041)
~oo
Attach to Form 1041, Form 5227, or Form 990-T . See the separate
structlons for Form 1041 also for Form 5227 or Form 990-T If a pp licable ) .
Employer identification number
Department of the Treasury
Internal Revenue Service
Name of estate or trust
THE HAWRINS FOUNDATION
C/O WILLIAM M .
HAWRINS,
" (a) Description of property
(Example, 100 shares 7%
preferred of 'T' Co )
3
4
6
94-3347646
III
Note : Form 5227 filers need to complete only Parts 1 and 1l.
Short-Term Ca pital Gains and Losses - Assets H
2
OMB No 1545-0092
(b) Date
acqwred
(mo , day, yr )
(c1 Date sold
(mo , day, yr )
(d)
One Year or Less
Sales price
e Cost or other basis
(see page 32)
I
Short-term capital gain or (loss) from Forms 4684, 6252, 6781, and 8824 , , , , , , , ,
Net short-term gain or (loss) from partnerships, S corporations, and other estates or trusts
Short-term capital loss carryover . Enter the amount, if any, from line 9 of the
2002 Capital Loss Carryover Worksheet , , , , , , , , , , , , , , , , , , , , , , , , . .
(n Gain or (Loss)
for the entire year
(col (d) less col (e)
(g) Post-May 5 gain
or (loss'
2
3
5a Combine lines 1 through 3 in column (g) 5a
b Net short-term gain or (loss) . Combine lines 1 through 4 in column (~ Enter
Sb
here and on line 14a below
~ ~ ~ ~ ~
~ ~ ~ ~ ~ ~ ~ ~
~ ~ ~ ~ - ~ ~
~ ~ ~ ~ ~ 10Long-Term Ca p ital Gains and Losses - Assets Held More Than One Year
(b) Date
. (a) Description of property
(e) Cost or other basis
(c) Date sold
ac cared
(Exam p le, 100 shares 7%
(d) Sales price
(see page 32)
4
(mo
,
day,
yr
)
Co
1
(mo,
day,
yr
)
preferred of'2"
~
Gain or (Loss)
the entire year
(d) less col (e)1
or (loss)'
8,266
7
8
9
10
11
12
Long-term capital gain or (loss) from Forms 2439, 4684, 6252, 6781, and 8824 , . . .
Net long-term gain or (loss) from partnerships, S corporations, and other estates or trusts
Capital gain distributions ,
Gain from Form 4797,Part l ,
Long-term capital loss carryover Enter the amount, if any, from line 14 of the
, , , , , ,
2002 Capital Loss Carryover Worksheet , , , , , , ,
Combine lines 6 through 10 in column (g) '--- 8,266 .
7
8
10
11
12
8 .266 .
Net long-term gain or (loss) . Combine lines 6 through 11 in column (f) Enter
here and on line 15a below
t I 13 I
8 , 266 .
"Include in col (g) all gams and losses from .col . (f) from sales, exchanges, .or conversions (including installment payments received) after
May 5, 2003 However, do not include gam attributable to unrecaptured section 1250 gam or 28% rate gain or loss (see mstr ).
13
Summary of Parts I and 11
Caution: Read the instructions before completing this part.
(1) Beneficiaries'
(see page 33)
14a Net short-term gain or (loss) (for the entire year) , , , , , , , , , , 14a
b(1) Net short-term gain (post-May 5, 2003) , , , , , , , , , , , , , , Lib D
b(2) Net short-term loss (post-May 5, 2003) . . . . . . . . . . . , , , 1 4b ( 2 )
15a Net long-term gain or (loss) (for the entire year) . , . , . , , , , , , Isa
b Net long-term gain (post-May 5, 2003) , , , , , , , , , , , , , , , , isn
c Qualified 5-year gam , , , , , , , , , , , , , , , , , , , , , , , , , ,
d Unrecaptured section 1250 gain (see line 18 of the worksheet on page 34) ,
e 28% rate gain or (loss) , , , , , , , , , , , , , , , , , , , , , , , , ,
16a Total net gain or (loss) . Combine lines 14a and 15a , , , , , , , t
b Combine lines 14b(2) and 15b If zero or less, enter -0- , , , , , , ,
(2) Estate's
or trust's
~
i5c
15d
use
1sa
1st
(3) Total
)
8 , 266 .
8 , 266 .
Note : 1I line 16a, column (3), is a net gam, enter the gain on Form 1041, line 4 If lines 15a and 16a, column (2), are net gams, go to Part V, and do
not complete Part IV !f line 16a, column (3), is a net loss, complete Part IV and the CaplFdl Loss Carryover Worksheet as necessary
Schedule D (Form 1041) 2003
For Paperwork Reduction Act Notice, see the Instructions for Form 1041 .
Jsn
3F1270 3 000
M03089
517K 03/08/2004
12 :43 :07
HAW001-03
23
s
Schedule D (Foitn 1041) 2003
I Loss
Enter here and enter as a (loss) on Form 1041, line 4, the smaller of
a The loss on line 16a, column (3) or
b $3,000 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
17
17
If the loss on line 16a, column (3), is more than $3,000, or if Form 1041, page 1, line 22, is a loss, complete the Capital Lass
Carryover Worksheet on page 36 of the instructions to determine your capital loss carryover
Tax Computation Using Maximum Capital Gains Rates (Complete this part only if both lines 15a and
16a in column (2) are gains, or an amount is entered in Part I or Part II and there is an entry on Form 1041,
line 2b(2), and Form 1041, line 22 is more than zero .)
Note : If line 15d, column (2) or line 15e, column (2) is more than zero, complete the worksheet on page 37 of the instructions
and skip Part V. Otherwise, go to line 18
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
Enter taxable income from Form 1041, line 22 . . . . . . . . . . . . . . .
Enter the smaller of line 15a or 16a in column
19
(2) but not less than zero . . . . . . . . . . . . .
Enter the estate's or trusts qualified dividends
from Form 1041, line 2b(2) . . . . . . . . . . . . 20
Add lines 19 and 20 , . . . . . . . . . . . . . . . 21
If the estate or trust is filing Form 4952, enter the
"
22
amount from line 4g ; otherwise, enter-0Subtract line 22 from line 21 If zero or less, enter-0- ,
Subtract line 23 from line 18 If zero or less, enter -0- ,
Enter the smaller of the amount on line 18 or $1,900 ,
If line 24 Is more than line 25, skip lines 26-36 and go
Enter the amount from line 24 , , , , , , , , , , , , , ,
, , , ,
, , , ,
, , , ,
to line
, , , .
. , , , , , . ,
, , , , , , , ,
, , , , , , , ,
37 .
. , . , , . . .
Subtract line 26 from line 25 . If zero or less, enter -0- and go to line 37
Add lines 16b, col . (2) and 20" . . . . . . . . . . . 1 28
Enter the smaller of line 27 or line 28 . . . . . . . . . . . . . . . . . . . . . .
Multiply line 29by5%(OS) ,
If lines 27 and 29 are the same, skip lines 31-36 and go to line 37 .
Subtract line 29 from line 27, . . . , , , , , , . .
Enter the amount, if any, from line 15c,
column (2) . . . . . . . . . . . . . . . . . . . . .
Enter the smaller of line 31 or line 32
Multiply line 33 by 8°/0 ( 08) . . . . .
Subtract line 33 from line 31 , , , ,
Multiply line 35 by 10% ( 10), , , . .
It the amounts on lines 23 and 27
18
23
24
25
26
27
29
,
31
32
33
, , , , , , , , , . . . , , . . , . . . . ,
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
, . . , , , , , , , , , . . . . . , ,
, , , , . , . . . , . . . . . . , . . . . . . . . . . . . . . . . . . . .
are the same, skip lines 37 through 46 and go to line 47 .
Enter the smaller of line 18 or line 23 . . . . . . . . . . . . . . . . . . . . . .
Enter the amount, if any, from line 27 , , , , , , , , , , , , , , , , , , , , . .
Subtract line 38 from line 37
40
Add lines 16b, col (2) and 20',
Enter the amount from line 29 (if line 29 is blank,
enter -0-) . . . . . . . . . . . . . . . . . . . . . .
Subtract line 41 from line 40 , , . . . . . . . . .
41
42
Enter the smaller of line 39 or line 42 . . , . . . . . , , . . . . . . , , ,
Multiply line 43by15%(15) " . . . . . . . . . . . . . . . . . . . """
Subtract line 43 from line 39 . . . . . . . . . . . . . . . . . . . . . . .
Multiply line 45 by 20% ( .20) . . . . . . . . . . . . . . . . . . . . . . .
Figure the tax on the amount on line 24 Use the 2003 Tax Rate
instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Addlines 30,34,36,44,46,and47 .
Figure the tax on the amount on line 18 Use the 2003 Tax Rate
, , ,
38
39
43
. . . . . . . . . . . . . . . . . .
Schedule on page 21 of the
. . . . . . . . . . . . . . . . . .
., . ,
Schedule on page 21 of the
instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Tax on all taxable Income .
Enter the smaller of line 48 or line 49 here and on line 1 a of
Schedule G, Form 1041 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
JSA
3F1220 2 000
M03089 517R 03/08/2004
12 :43 :07
36
37
. . . . .
"
. . . 1 45 . 1
" If lines 20 and 22 are more than zero, see Lines 28 and 40 on page 36 for
the amount to enter
34
44
46
NONE
NONE
47
48
49
50
Schedule D (Form 1041) 2003
HAW001-03
24
THE HAWKINS FOUNDATION
94-3347696
Schedule D Detail of Long-term Capital Gains and Losses
Date
Ac q uired
Descri ption
P OST-MAY
5TH
CAPITAL
T OTAL
GAINS
POST-MAY
CAPITAL
SEE
-
GAINS
SEE
GAINS
HELD
Gross Sales
Price
Cost or Other
Basis
Long-term
Gam/Loss
LOSSES
STMT
CAPITAL
LOSSES
GAINS
CAPITAL
5TH
GAINS
CAPITAL
T OTAL
CAPITAL
Date
Sold
VAR
GAINS
LOSSES
FOR
CHARITABLE
STMT
LOSSES
FOR
176
128 .
167
862 .
8 , 266 .
176
128 .
167
862 .
8 1 266 .
176
128 .
167
862 .
8 , 266 .
176
128 .
167
862 .
8 , 266 .
167,862 .
8,266 .
PURPOSES
VAR
HELD
VAR
CHAR ITABLE
VAR
PURP OS ES
[ Totals
176,128 .
JSA
3F0970 1000
M03089 517K 03/08/2009
12 :43 :07
HAW001-03
25
STATEMENT
1
r
Investment Account
Account Number ; KP 48800 11
Your Financial Advisor
DUNCAN O . NAYLOR
650-233-0481/800-5"-6811
i
Statement Period : 2003 Year-End Summary
i zcA msae-x2s
. ooooot
2003 Realized gains and losses - continued
:/losses (first-In. /!w-out or FIFO
Estimated 200? palm end losses for transactions with trade dates through 12/J1/OJ have been Incorporated into this statement The oldest security lot !s liquidated first to calculate pain
accounting method) unless you specified which lot to close when you placed your order (a venue purchase or VSP order) An asterisk ("J indicates a UHS Financial Services adjustment to cost basis The number 'I' Indicates cost
bails information has been provided by a source other then U85 Financial Services See the back of the first page for additional information This information Is provided for informational purposes only end should not be relied
upon for tsR" IiIinO purposes Rely only on year-end far forms when preparing your far return Gains/losses may not be adjusted for X11 capital changes Cost basis for tax-exempt and ANT eligible coupon municipat securities has
been adjusted automatically for estimated amortization of bond premiums Estimates in fps "Uncletai/led section can not be classified as short-term or long-term due to missing information or the product Is one for which a
psinfloss calculation is not provided
Security description
Method
Short-term capital gains and losses :
FIFO
ALCON INC
AUTODESK INC
FIFO
FIFO
BOEING COMPANY
FIFO
DUKE ENERGY CORP
FIFO
GOLDMAN SACHS GROUP INC
KROGER COMPANY
FIFO
LUCENT TECHNOLOGIES INC
FIFO
FIFO
POSCO SPON ADR
RAYTHEON CO NEW
FIFO
STMICROELECTRONICS N V
VALERO ENERGY CORP NEW
WASH MUTUAL INC
FIFO
FIFO
FIFO
FIFO
FIFO
Total
Long-term capital gains and losses :
FIFO
ALCON INC
FIFO
CINN FINANCIAL CORP
FIFO
CONOCOPHILLIPS
FIFO
FIFO
CYTEC INDUSTRIES INC
GILLETTE COMPANY
FIFO
FIFO
GOLDMAN SACHS GROUP INC
FIFO
HONEYWELL INTL INC
FIFO
KROGER COMPANY
FIFO
--
-
OuanNtyl
face value
Purchase
dire
Sale
date
100 .000
100 .000
100 .000
700 000
100 000
350 .000
900 .000
400 .000
350 .000
03121/02
08/17103
04130/02
02/20103
10/16102
10/16/02
04/30/03
10/16/02
10/16!02
02!19103
11/20103
01106/03
10123/03
10109103
02/04/03
11/20/03
07111103
10109103
250.000
400.000
150 000
200 .000
150 .000
50 .000
100 000
100 .000
60 .000
70000
100 000
100 .000
50 .000
100 000
400 .000
09111/02
10/16/02
10116/02
05/22/02
10/16/02
03/21/02
03/21102
10/O6/00
07/26/01
08121101
09/18/00
06/28/02
08/28/02
09/18/00
09/18/00
Sale
amount
$
06/13103
06/13103
08127/03
02/t9103
03/14/03
10/23103
04/01/03
04/01/03
04/01/03
1tr20r03
04/01/03
10/09/03
07/15/03
04/01/03
02/04103
3,644 .89
1,978 .90
3,408 .89
12,809 68
8,709 .82
5,147 .54
2,735 .87
10,946 .32
9,638 .80
Purchase
amount
S
5,474.29
8,758.87
5,775.07
7,334.87
5,006 .14
Lost
3,388 .41
1,688 .83
4,471 .78
8,806 .23
6,841 .00
5,271 .00
1,640 .61
8,584.00
10,304 .00
3
-1,062 .89
S
91 ,367.55
3
80 522.55
$
2,655 .98
4,145 .80
3,569 .83
9,248.24
2,489 .48
3,165 .85
8,109.82
4,489.68
2,18489
5,882 .90
$
1,694 .21
3,388 .07
3,487 .32
3,818 .20
2,522 .18
2,793 .47
7,37345
3,686 .73
3,587 .50
8,800 .00
+"
812.84
2,814 .87
1,450.57
-1,011 .07
"2 E64.62
-569 .98
-52 .70
-1,402 .61
-2,917 .10
256.48
290.07
1,095 .26
2,382 .32
-867 .20
3
Not
peen/loss
3,003 .45
1,ggg,g2
-123 .48
4,861 .45
6,144.00
4,324.50
8,345.74
4,851 .00
Gain
155 .14
3
13709.82 3
$
981 .75
757 .73
$2 .51
372 .38
1,338 .17
802 .83
10 845 .00
Investment Account
Account Number: KP 48800 11
Your Financial Advisor
DUNCAN O. NAYLOR
650-233-0461/800-544-6611
2003 Realized gains and losses - continued
Secunry descnpbon
Method
Ourntity/
Face value
Purchase
dote
Sale
dot e-
FIFO
300 000
09/18/00
01/29/03
MOTOROLA INC
POSCO SPON ADR
VALERO ENERGY CORP NEW
WASH MUTUAL INC
FIFO
FIFO
FIFO
FIFO
250 .000
250 000
100 .000
150 .000
09/18/00
09/18/00
07102/02
09/18/00
11/20/03
03/12/03
08/27/03
03114!03
3M C0
Total
capital
pains/losses
:
Net
FIFO
60 000
09/18100
03/28/03
Gains/Losses
(RAYTHEON CO NEW
I Total
IZCA177649 "X26
Statement Period: 2003 Year-End Summary
Sale
amount
$
4,622 .86
3,327 .34
4,621 .41
3,850.05
5,006 .14
$
S
7,848 .63
72,072.55- $
Purchase
amovn ;
Loss
6,600 .00
-1,977 .14
8,390 .63
4,781 .25
3,724 .87
3,562.50
5,017 .50
75 .574 .65
-12,215 .52
Net
ga)nlloss
Gain
-5,063 .29
-159.84
S
. oooooa
125 .18
1,443 .64
$
2,831 .13
8 , 713 .42
$
$
50 000
2'50 .000
100 .000
10109/03
07/16/03
01106/03
$
5
1,376 .69
8,121 .41
3,189 .90
12,688 .00
" 3 502 10
7,342 .90
1,411
-7,353
.2,911
11 " 765 .
923
2003 Realized capital gain ./loss summary
Short-term gains/losses :
Long-term gains/losses :
Net year-to-date capital gains/losses
_
R ~y TH EoN
o-rAL
S
$
$
10,845 00
-3,502 10
7 .342 .90
91.3