1990 PF Note, The foundation m: For calendar year 2017 of tax year beginning ‘Name of foundation EXTENSION Return of Private Foundation or Section 4947(a)(1) Nonexempt Charitable Trust ‘Treated as a Private Foundation. be able fo ise 9 py of he return a Sel state reporting requrements 22044, and ending GRANTED 2011 1 Erployerienscaion number CHARLES KOCH FOUNDATION 43-0919408 ‘Number and sireet or P.O ox number mals ot aineredo sot ada), Roamlaute |B Teleprone number (eee waiusions) (316) 828-8286 P.O. BOX 2256 City ar fown, stale, and ZIP cade WICHITA, KS 67201-2256 -O é ‘Check all that apply Inital return Final return Address change Tritial return of former public chanty ‘Amended return Name change x 0 + Fovgnagmanens aearan - *{] Sea H Check type of organzation LX J Section 501(¢)(3) exempt private foundaton Section 4947(a}(1) nonexempt chantabe ust Other taxable private foundation coax tacoma wcrnan LT) Fair market value of all assets at end of year (from Part I, col (0) ne [s Accounting method (J other (spect) _ LIcasn LX) Accrual Sec, "ANNED MOV 2 0 2012 FS 214,001,257. | Pant, eotran a) mis ba 5 Ssh Bas) 0” Bahasa ‘total of amounts in columns (b), (c). and (d) iene pe (b) Net investment () Adusted net Yor charitable ornate inet se dreamy? | “orenans a a as ste _column (a) (see instructions) ) ot {cash basis only) 1 Coniibutons. atts, grants etc recenmd (tach schedule) 26,427 fe t 3 Interest on sawngs and temporary cash mvesiments, 92,590 92,590, : = Grose rents ~ alae I oe a _ - —_—_—L—_§_ | 8 Soman Gee a Mme eae LULL HEE 8 9 Z _| H Tae 560 oe 4 eolasees| e100 a7 5 eer reremes B]1s Pension plans, employee benefis ... . . 696, 080 = 96,080 fceecmeccta nae aise ess AB] accounting feos (attach schaduleypTSH 3. | | 338,623. 2,601 142,697 $| © Other professional fees (attach schedule). * 1,681,810. 331,816 1,365,526 Birr imerest. os Bib es eucrasesag warning 28 136,108, 35 TT E|19 Ceprectatvon (attach schedule) and depletion, (274,429) i oo S707 e707 —rtrt—S 506/413, 506.733 LL 535,230 539,330 E|24 Total operating and administrative expenses. 3| Add lines 13 through 23 . 8,476,308. 334,490 7,774,601. 25 Contributions, gifts, grants pad... 15,990,525) 13,160,919 26s sna ines | 24465, 839 34 450 30.335.520 —rtr—t—“C—~tsts—s—™—CSOOOCC—C— $ Hetinvesment come nearer -0) SEE TaT. Aalto nticome sega eu 2, ee TRIGA RCH Sam BOP 1e733H K932" 11/11/2012 21:02:44 PMV 12-6. seas PAGE 2* Geom 280-98 011) CHARLES KOCH_FOUNDATTON 48-0916408 page? THiches schesies id sours te Seqaning year End of year ERIM Batance Shosts serra amaesaes 7 [boo vae (o Bookvaue |e) Farr vate + Cash -non-iteres.beanng veneers 77,643 676, 255. 676,259. 2. Savings and temporary cash vesiments 11 | aire tee. 6.655, 461 3, 655,461 3 Aecountsrecenabie Pe Less: allowance for dvb accoun 223,531 87,389 87,889 4 Pledges recevatie Less: allowance for dob accounts 5 Grants ecenable a 566 & Recenatles ue fom officers, directs, instees, and other squalid persons (lac schedule) (se intuctons) 7 Other notes and loans cecenable (attach schedule) Less: allowance for dovbtl accounts 12] ® Iovertones forsalearuse 5 3| Prepaid expenses and detered craves. 222212? 68,384 333,357 73,337. 2] 10.2 investments -U S and state goverment cbiigabons (attach sched). ® Investment - corporate stock atach schedule)... « Invesiments-corprate bonds (attach schedule. _ = 11° Weng aan, p ‘ATCH 7 ices samt eestor 3,377,694. 3,377, 684 2,455,694 12 investments - mortgage loans. - 13 Investments oer (attach sched) 307, 935/513.| 203,038,482.| 201, 693,326. 14 egugment Bese eee S ATCH 9 EE recete ereaton pe = 1,042, 504 405,291 405,292 15 Other assets Sesenbe ) 16 Total assets (to de completed by all fiers ~ sce the! insttuctons Also, seepage 1, tem 234,057,654.| _216,354,373.| 214,007,257. 7 Accounts payable and accued ependes ws. 37 18,746. Grants payable 3,034,872 2863, 946 gl19 Detered verve : El20 Loans fom ocr, deco, ate, nde dgualied panne, Blas mortgages ana other notes payable (attach sehede) Sl22 omer uanives(desonbe 23 Total abies (add nes 17 Hhvough 22)... 3,064,008 2,082,692 Foundations that follow SFAS 117, chock here > LX] and complete lines 26 through 26 and lines 30 and 31 Gre unvescea 7 231,792,046.| 213,471,682 Blas Temporeniyresncted Bl2e Permanentyretnted Z| Foundations that do not follow SFAS 117, E| check here and complete lines 27 through 31.» [_) 327 Captal stock, ust principal, or curent funds B]20 pact or cap sul etand tp andaqupmenthind 3]20° etanesearnmas accursed ncone ndownen. rar «+ ‘S]30 Totatnet assets or fund balances (see instructions)... . .|__231,792, 846 213,472, 683 Elo Total iabities and net assetstund balances (Geo stevetons) 234,057,654.| 216,354,373 ‘Analysis of Changes in Net Assets or Fund Balances Total net assets or fund balances at beginning of year - Part I, column (a), line 30 (must agree with end-of-year figure reported on pror year’s return)... 4 231,792,046 2. Enter amount from Par |, ine 27a : 2 =16, 321,165 3 Other creases not included in ine 2 (tsi) p. 3 4 Add lines 1,2, and 3 4 Zig, 471, 683 5 Decreases not included in ine 2 (seme) 5 6 Total not assets or fund balances at end of year (ine 4 minus ine 8) 6 23,471, 683 16733H K932 11/11/2012 11:02:44 PM V 11-6.1 aseas Fom 890:PF (2011), PAGE 2. . CHARLES KOCH FOUNDATION Foxm 990.98 011) EPMA Capital Gains and Losses for Tax on Investment income 48-0918408, {a) List and descnbe the kina(s) of property sid (eg , reat estate, foe] ees story bck warehouse, oearmon sick 200 hs’ MLC Co) Eis | os Sory jg_SEE PART TV SCHEDULE » ¢ (0) Gross sates roe (W Depression afowes {@) Coste air bass (o).Gan o (osay Gratowabi) pus expense of sale (6) le manus) » 1 ‘Compete ony for assets showng gon m column (ft) and owned bythe foundelon on 25469 ‘0 Gare C3 (i) gxneme Adjusted boss (0) Excess of cal () 3! (but at aah) or Cacia as of 12/31/60 ‘ver col any esses (tem el) » rl gan as eior Pat oT 2 Capt gn rt ncome ret ats gen, sooner nronlimeT WU —= 2 Net shore cat ga oot) a dod net 122) re) If gain, also enter in Part |, line @, column (c) (see instructons) If (loss), enter -0- =) oes 2 ° Part line 8. ‘Qualification Under Section 4540(e) for Reduced Tax on Net investment Income (For optional use by domestic private foundations subject fo the section 4040(a) taxon nat ivesiment income ) lf section 4940(4)(2) applies, leave ths part blank ‘Was the foundation lable for the section 4942 tax on the distnbutable amount of any year in the base period? I/"Yes,” the foundation does not qualify under section 4940(e) Do not complete thss part Enter the appropriate amount in each columnn for each year. see the instructions before maki any entnes. ease pea 2 © rote ence ee wana | _Adnstad qualia cavbxtons | Net valet nonchantabloute ase ee 2010 18,301,264 203,468, 683. 0.092895 2008 19,551,962. 355,141,798. 0.126026 2008 15,476,965. | ____170, 704, 588 0.090665 2007 10,080, 287 127,673, 988 (0.078953 2006 8,276,208. 76,656,070, (0.107965 2 Totalofiine 1, column(d) ....., 2 0.496504 3 Average distribution ratio for the S-year base period ~ divide the total on line 2’by 6 of by the number of years the foundation has been in exsstence i less than § years . 3 0.099301 4 Enter the net value of nonchantable-use assets for 2011 from Part X,hne 5 4 215,825,197 5 Multiply ine 4 by line 3 5 21,430,665. 6 Enter 1% of net investment income (1% of Part, ine 276) , 6 57,657 7 Addines Sand... 2... Gnood 7 22,488,322 8 Enter qualifying distnbutions from Part Xl, ine 4, Ls | 20,955,082 if ine 8 1s equal to or greater than line 7, check the box in Part Vi, line “1b, and complete that part using @ 1% tax rate. Soe the Part Viinstructions. 16733H K932 11/11/2012 11:02:44 PM V 11-6.1 assas Fom 990-FF Go) PAGE 3* som osber ao11) CHARLES KOCH FOUNDATION 49-0918408 _pme4 Excise Tax Based on Investment Income (Section 4940(a), 4040(b), 4940(@), OF 4948 - see instructions) — 41a. Exempt operating oundatons desenbed m secon 4840(6)2), enecxnere L_] andenter-Wa" enine +. Date of rung or dtermnan eter _ {attach copy ofleter it nacessary- see ntustions) b Domestic foundations that meet the secion 4940(@) requvements in Part V, check 1 115,315 nee LJ and enter 1% of Part, ine 270 «© Allother domestic foundations enter 2% of line 27b Exempt foreign organizations enter 4% of Part line 12, col (b) 2 Tax under section 511 (domestic secion 4947(a)(1) trusts and taxable foundations only Others enter-0) . . . |_2 3 Addines 1 and2 a Tis, 315 44 Subtle & ¢ncome) ix (domestic Section 4947(0)(1) tuts and taxabe foundations ony Oihers entero) | | [a ° 5 Tax based on investment income, Subtract line 4 fem line 3 If ero ot less, enter -0- , 5 115,335, 6 Credis/Payments: ‘2 2011 estimated tax payments and 2010 overpayment credited to 2011... | 6a. bb Exampt foreign xganizations-taxwanheld a source , sb ‘© Tax pad with application for extension of ume tofle (Form 8858). ||| se ‘4 Backup withholding erroneously withheld... : sa 17 Tota reais and payments Add hes 6a trough 6a 2 250,834. 8 Enter any penalty for underpayment of estimated tax Check here L_] 4 Form 2220 1 attached . . A 9 Tax due. ifthe total of tines § and 8 is mote thanine 7, ener amount owed... 2 | 410 Overpayment If ine 71s more than the foal of ines 5 and 8, enter the amount overpaid eaeeri 35,519, 14__Enter the amavnt of tne 1010 Be Credited 102012 estimated tax be 35,519. ‘Refunded plas Statements Regarding Activities {Dung he tax yar. dr tho foundsben alempt to wives any Palen Hat, oa opaabon eee parhopae commen ay paaterter et : te Did spend mare than $100 dunng the yea (eer dct ef mavect fr alice purposes ce page 19 of the incne fr ence? tthe anor is "Yes" fo fo 0 8, distnuted by ne fundaten in connecton wth ie aces Didthefundaton te Form 1120-P0. ths yoo?» Enter he amount (fer) of ax on plc expenditures (Secin sG88) wiped Gn he ea amen: os mann marae BS Ener the fombursement any) pad By We Teundaton aug the Year 16 pail expenditure tar imposed cn eurdaton manages, 2s tne foundation engaged in any aces tai hove ve rewousy been repre ihe RSP, {1 "Yes" ate acetated cesopten fre achtea Hoe te Toondovon made any changen, nol premcusy pated io the Ria ds goremang siiument, aris of incorporation. bs, eter sma msuments? "Yes, atoch cefomed copy athe changes 4a iste founcoton have ulate wanes gross neaneo $1000 ermerecungte yea? 2s b If "Yes," has it filed a tax return on Form 990-T for tus year? wee OD 5 Was tera davon, mination, desc, osx contacto yh yo? : z {Yea ache stoner requredby Geert incon 6 Are the requrements of secon £08) (lating Lo secs 4941 tough 494) satsfed ether 8 anquage me govern tame by sale ingainon that effecvay ements the govrnng mubument so th no munity drectors tht confit mth the tat aw remain te greg rstuven? =. Dd te foundation have at ast 95,000 1m asta ay te Gung the yar? Is" cot Pa a! (and Pan aw [2 |X fa Enerthe sites to wmen the oundaton rears with whch repstet eeintacons) 4 b Wie wane "Verto ina 7. tas the Toonicen frwhed copy a Fan ORE te te (ecesgnae) ofeach stats equ by Gane! scien 7I'Ne“atach expan. ¢ 1s the foundation clrng sla as a pra operaing foundation win the mang tf seckon 404240) 9f ‘9428 er coenda yenr 2011 oe tole yes Beginning in 2011 (xe mtucione fr Pat XN? "Yes" compe re Dees 40 id any persons become subslantal contnbutors dung the tax year? If "Yes" tlach @ schedule isting ther names and adresses 40 x ap | x . x 40 x Fam 990-PF (2011) 16733H K932 11/11/2012 11:02:44 PM Vv 11-6.2 aseas PAGE 4* 5m 090-06 2019) CHARLES KOCH FOUNDATION 48-0918408 _Pae Statements Regarding Activities (Continued) 14 At any time during the year, did the foundation, directly of indirectly, own a controled entity within the ‘meaning of section 512(0)(13)? "Yes, attach schedule (see nstructons) 4 x 42 016 the foundation make a Lis | 16 At any time during calendar year 2011, oid the foundation have an interest in or a signature oF other authonty Yes] No ‘over abank, secuntes, or other financial accountin a foreign country? Lo. Ls x See the instructions for exceptions. and fling requrements for Form TD F 90-221 W “Yes” enter the name of tne oven country FAMAVIEY 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. ‘1a During the year ai the foundation (ether drecy or naety) (1) Engage nthe sale or exchange, of leasing of property wih a dsqualiis person? . Ove (2) Borrow money from, lend money to, or otherwase extend erect to (or accept Wt from) @ ctsquatifed person? ~ Lyre P]no (3) Furnish goods. serves, oF facies io (or accent hem from) a dsquaiied person? .... Elves [| no (4) Pay compensation to, or pay or remburse the exenses of, a isqualiied person? XJvee [Jno (6) Transfer any income or assets 10 a cisquaiies person (or make any of ether availble for the bonettor use of adlsquatiied person)... ees Cres EI no (6) Agree to pay money oF property to a government official” (Exception. Check “No” if the founcation agreed to make a grant 10 oF to employ the official for @ period after termination of government serace, i terminating within 90 days). bf any answer ss "Yes" to ta(1}-(6). di any of the acts fal to quality under the exceptions descnbed in Reguatons section 53 4941(¢)-3 orm a current notice regarding disaster assistance (see nstruchons)? « 1» x COrganzatons relying on a current notice regarding disaster assistance check here Did the foundation engage in a prior year in any of the acts described in 1a, other than excepted acs, that ‘were not corrected befor the fst day ofthe taxyear beginning m 20117... . . x 2 Tames on faiuwe to disinbute income (secton 4942) (does not apply for years the foundation was a prvate operating foundation defined n section 49426)(2) or 494205) 2 Al the end of tax year 2011, did the foundation have any undistnbuted income (ines 6d and 6e, Part Xl) for taxyears) begining before 20117... 3 Yes," bt he years Pe bb Are there any years lisied m Za for which the foundation te not applying the prowsions of section 4942(a)2) (felating to incorrect valuation of sisets) to the years undistxbuted income? (applying section 4947(8)(2) 10 aN years listed, answer "No" and attach statement -see mstTucbons) eevee eevee eevee eee eees so € If the prowsions of secon 4942(2)2) are bang ap to any ofthe years ised 2a, st he years here > — --- ‘38 Did the foundation hold more han @ 2% direct or mavect terest m any business enterprise at any ume dunmg ine year? . - Ove Dit "Yes dis wt have excess business holdings in 2011 as a result of (1) any purchase by the foundation ot isqualited persons after May 26, 1969, (2) the lapse of the S.year period (or longer penod approved by the Commssioner under section 4943(0)(7) to dhepore of holdings acquired by gift or Bequest. oF (2) the lapse of the 10, 18 or 20-year first phase olding penod? (Use Schedule C, Form 4720, to detormno if the foundaton had excess busness holdings in 2011) on ay 42 Did the foundation mest during the yeat any amounin a manner thal would eopardze Hs Charable purposes? 4a x Did the foundation make any investment in a pror year (But after December 31, 1969) thal could yeopardue 1s chantable purpose thal had nol been removed trom jeopardy before the fst day of the tax year beqinning m 20117. . | ab x 16733H K932 11/11/2012 11:02:44 PMV 21-6.1 aseas Form 990:PF (2011), PAGE 5* Form 930-PF (2011) CHARLES KOCH FOUNDATION. 48-0918408 Page 6 ‘Statements Regarding Activities for Which Form 4720 May Be Required (continued) Se Outng haya te undatin pay o wean aroun (1) Caryn propaganda. or oherwee tong otc epee econ satay? Cl vee Cid me {2} ntuenon the eteome of ony specs pute etecon ee secon 4955) 8 16 cry on "dea mae, any voter agate ve? (2) Prowan oat to aid ay. cf a rr pure? {2} Prone grant ton erancaton ter than a chara, ete, erpmaion éesibed to tection S001. (2.0 (Qh arsecten4O{EP? eoemtuchom) oe” Calves Cine (6) Pron fr any purpose ier Ion rekgo, cera, seni ray, canal puroue.eo te pevenvon ef eel lncaten rma? Cves Cine bw ony answers "Yeo fo Sah), did ony of the ansrios fa fo quliy une’ ine excepanseserbed m Regulations section §3.4945 or im a current notice regarding disaster assistance (see instruchons)? Crpanesnons ey on score nce mgerig dus entre creck.» : Wine answer w "Ys fo queston a) does the foundaien lam exemption iron the ae because it mantamed expenditure responsibilty for the grant? . . ATTACHMENT. 10. ies aac te satent qured by Reps eten 532465) a De te founaon, dug the Yo, Seca ty tnt. ecy of rely, a pey promums crapertaltmelt conrad?” Se neencnen enna © Did the foundation, during the year, pay premiums, directly or mdirecty, On a personal benefit contract? 2... 2... Sb x tres" toe, Fo 870 1a Many anger as anti agty apatite venir? -« ver Cine vee [E]no yee Ex)no. sb x id ne foundation ecenve any proceeds or have any nel neame arutabe tothe ransacion? se a GERM ngypations ‘About Officers, Directors, Trustees, Foundation Managers, Highiy Paid Employees, T_Listall olicors, directors, trustees, foundation managers and thelr compensation (See natruclons). (ame an acne Oenewse"| i, Se (APTACHMENT Ti _ ° 2 Compensation of five highest-paid employees (other than those Included on Tine 1 - see instructions). WF none, enter Somngen (Te and wea aromas (8) Name and aaarse of ach employee pad more thn $50,000 | “heute gerwese’” | @) Compensation | employes tenet, | (e)rgwns ase, 640,366, 25,349 6.480 ‘Total number of other employees pad over $50,000 SLE For 990-PF (2077) 16733H K932_ 11/11/2012 11:02:44 PM V 11-6.1 esas PAGE 6. CHARLES KOCH FOUNDATION 4e-oore40e Fm 500.06 011) information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees, and Contractors (continued) 3. Five Highest paid independent contractors for professional services (ee iatrucions), none, enfor "NONE [Nae ad arose each pre pd ten 0,68 pe oorwe icons ‘Roci INDUSTRIES INC wicHiTA, KS 67201 “FPL STRATEGIES ‘ALEXANDRIA, VA 32301 Page 7 ACCTG/FINANCE_SRVC 132, 750 PROP. CONSULT. SVCS 70,000 ‘otal nurber of cers recenng over $50,000 for pfessonal senices ‘Summary of Direct Charitable Activities 2,048,905. 692,752 320,514 Summary of Program Related Investments (ose nstuchons) +_ NONE, “il aherproaran aad maine See naa 3_NONE, Total Ada ines 1 trough 3, Fom 990:F (2011) esea6 PAGE 7 16733H K932_ 11/11/2012 11:02:44 PM V 11-6.1CHARLES KOCH FOUNDATION 49-0918408, Fun 90.07 201) age 8 [EEE Winimam investment Return (Al domes foundalons must complete the part Foreign Toundalions, see instructions.) 1 Far market value of assets not used (or held for use) deci mn carqing out charitable, et, purposes ‘Average monthy far market vale of secures ta 167,462,972 Average of monthly cash balances, tb 49,991,074 ¢. Fairmarket valve of al oher asses (98 msirocuons) te 2.647.777 Total (odd ines ta, bande)... 4 29,101,723 f© Reduction clamed for lockage or other factors reporied on nes Ya and” 4c (attach detailed explanaton) bel 2 Acquistion indebtedness appliccbio ts line 1 assets 2 3 Subtractline 2 from ine 16 3 333,101,735 4 Cash deemed held for chaitatis acinies Esier'1" 112% of ie" S(t geoster ‘anoint, sas instructions) ee 4 3,286,526 5 Net value of noichirtabi-usa asbat. Sibtract ini’ toin ine 3 Enartere'ahd én'Pait we'd * "Te 3a5.815.197. 6 _Minimum investment return, Enter 5% of ine § € 10,790,760 istributable Amount (see structions) (Secton <9420)(0) and (N®) pwvate operatna foundations and certain foreign organizations check here [| _] and do not complete this part ) 7 Winwom mvestment return from PartX ine 6... oe 4 10,730,760 2a Taxon investment income for 2011 from Part Vine | 2a 145,315. B Income tax for 2011 (This does not include the taxtrom Part)” | [2B ey Aid woes 2a and Pere 2e 115,915 3. Dstributable amount before adjisimenis’ Subirct ine 26 from te 4. 1 3 70,675,445 4 Recovers of amouns treated as qualfying dstrovtons. 4 5 Add ines 3 and 4 5 PORTER TER 6 é 7 ne Veeeee eee pases ener 1 10,675,445 EIEMI cualitying distributions (see instructons) 1 Amounts paid (including administrative expenses) to accomplish chantable, etc , purposes Es 12 Exponses, contributions, gs, et ~ total om Part, column (2), ine 26 ta 20,935,520 bProgram-related investments total om Part XB tb 2° Amounts paid to acaure assets used (or held for vie) dirécliy in'cainia’ dul chartabia ‘ic. purposes : 2 19,562 3 Amounts set aside or spcine chartable project tal saily the {2 Sutabilty test (por IRS approval equred) . 3a b Gash distnbuton test (attach the required schedule) : 3 4 ualitving cntribuions. Add nes ta through 3b Enter her anon Par Vine anda. nea” 21D 20,355,082 5 Foundations that quaity under section 4940(e) forthe reduced rate of ax on net investment come Entor 1% of Part |, ine 270 (see nstrectons) ° & Adjusted qualifying distributions. Subtract ine 5 from ine 4” 20,355,082 Note. The amount on line & will be used in Part V, columa (bj, in Subsequent years when calculating wi Qualifies for the section 4940(e) reduction of tax in those years wer the foundation 26733H K932 12/12/2012 11:02:44 PM V 11-6.1 essa6 Fam 990-PF (2011) PAGE 8um 99095 (2011) ‘8 Applied to 2010, but nol mere than Ine 2a... Applied to undstnbuted income of prior years CHARLES KOCH FOUNDATION Undistributed Income (see instructions) 4a-0918408 Page 9 Distibutable amount for 2011 trom Part XI, ne 7 Uncsinbuied come, sy, sof the end of 2081 Enter amount for 2010 only Total for preryears 2009.20 08.20.07 oO corpus ©) Years pris to 2010 @ 2010 @, 2011 10, 675,445. Brees aistnbutions carryover, any, to 2011 From 2006 4,479,130 From 2007 3,779,603 From 2008 7,054,262 From 2000 71,912,574 From 2010 8,931,185. Total of ines Jattwouwhe. os. Qualtyng distributions for 2041 feorn Part XI, mea mS 20,955,082. (Election requred - see instructions), ‘Treated as disbutions out of corpus (Election requred = see structions) Applied to 2011 distributable amount. ‘© Remaining amount dstnbuted out of corpus Eseess distnbutions carryover appied lo 201% (en amount appears in column (9, the same fmount must be shown mn column (a) ) Enter the net total of each column as Indicated below: Compus Add lines 3f, 4c, and 4e Subtract line 5 Phot years’ undistnbuted income Subtract line 40 trom une 20, Enter the amount of prio’ income for which a notice of deficiency has been tesued, of om which the section 4942(a) tax has been prevously assessed... eee es Subtract ne Ge ftom ine 66 Taxable amount - see nsructons Unaistaouted income tor 2010" Siiraet tine Sa. from tne” 2a" Taxable amount see Uncistnbuted income for 2011 Subtract lines 4d. and 5 from ine 1 Ths amount must be aisinbutedin 2012. . Amounts teated 26 dstrbutlons out of corpus to satsly requements imposed by section 17040) 1(F) oF 4942(9)(9) G00 mstruchons), icase disinbutions caryowe from 2008 not ‘applied on ine 5 or ne 7 see mstrucons) . Excess distributions carryover to 2012. ‘Subtract lines 7 and 8 trom tne 63 Analysis of ine 9 Excess from 2007... 3,779,603. 36,156,723. 10,675,445. 30,279,637 46,436,350. 4,479,130 41,957,220 Excess from 2008 . |. 7,054,261. Excess trom 2008... [ 21,922,574. Excess from 2010... 8,931,145. Excess trom 201 | | | | 10,279,637 16733 K932 21/11/2012 11:02:44 PM V 11-6.1 ascas Fom 990:PF (2031) PAGE 9Form 980-PF (2011) CHARLES KOCH FOUNDATION 48-0918408 Page 10 Private Operating Foundations (see mstuctons and Parl FA, queston 8) NOT-APPLICABLE a tbe foundmon hes rected + rang of deleminsbon Iter at A mv prele Opera foundalons andthe rang. eect for 2011 et te asec ening. Creek boro mate wheter he leundaton a pate operating fount dsb 24 erm sr of na | Tt Pree 3 yas erin was eine ain ager |_| 40a) (oy Tot nour dice mo 26 © unten saians ase 3 Compan 38, 86 & re (1) vaestatasae . . - (2) va a sid COONS. «es b ctnconman ei a (3) tas poe oe na Sn aoe ee fer cecamn saa (2) Sapporo ia eel GREESU Supsiemertay information (Complete this par only W the foundation had $5000 or more in aeseis at any time auting the year. Ses netructions.} 7 Information Regarding Foundation Managers 2 Lt any manager he foundation who have contributed more then 2% ofthe tll contabulons fecened by the foundation Betts oe IETS nou oso hey have Contioea sre han 88.06) fees secon SOM cungues ¢. KOCH 3 La any manage’ af the foundaton who own 10H of nore of re Hod af a coipraton Tar ah caus ae parton Te FE NONE 2 Information Regarding Contribution, Grant, Gif, Loan, Scholarship, ete. Programs: Check here [_] if the foundation only makes contributions to preselected chantable organizations and does not accept Unsolicited requests for funds Ifthe foundation makes gifts, grants, etc (see instructions) to individuals or organzations under other conditions, complete tems 2a, b, ¢, and d 3 “The name, address, and telephone number of the person To whom applications should be adaressed ATTACHMENT 13 The form in which applications should be Submitied and information and materials they should welude ATTACHMENT 14 © Any submission deadines NONE ‘@ Any festnchons or limiatons on awards, Such as by GeOgraphical areas, chantable Felds, kinds of institutions, or other factors ATTACHMENT 15. E490 + 000 Form 990-PF (2011) 16733H K932 11/11/2012 11:02:44 PM V 11-6.1 seas PAGE 1048-0919408 : CHARLES KOCH FOUNDATION Form 950.97 2018) Pwo 11 [ITE _ Supplementary information (contnued) ‘3. Grants and Contributions Paid During the Year or Approved for Future Payment Reopient “pSrapemomges | Fanister | puposeatgranter = Name and address (home orbusness) | 2uicmennme | amen "erro '@ Paid dunng the year ATTACHMENT 16 Total 5 ee ee Pa 36,145,918. 'b Approved for fature payment ATTACHMENT 17 Total. 3b 3,039, 606 Fam 990-PF (2019) 02:44 PMV 11-6.2 eseas PAGE 11 16733H K932_ 11/11/2012 11: CHARLES KOCH POUNDATION 48-0918408, Form 990-05 (2011) Page 12 EIMEQIEN Analysis of income-Producing Activities — Enter gross amounts unless otherwnse nicated Uneltes buses meae —[Exiuded by secon 512,519, Sta] 1) o © ° ‘ tuncton neone 1 Program sence revenue paren | sean lexis ce punt See nstracbons ) » é t 2 Membership dues and assessments... . 3 Interest on saunas and temporary cash mesinenis i Be 32,590, 4 Dadends and interest from secuntes cee 3,462,155 5 Net rental income o (oss) trom realestate 1a Debtsinanced propery Not cebisfnanced property. 2... 6 Net entt come e (oss rom personal propery. —— 7 Otmer investment income eee 38 2,845,112 8 Gan or (oss om sles cf asst ner than nvr 18 29,384 8 Net income or (loss) fom special events, = 10 Gross profit or oss) rom sales of ventory. - _ 11 Other revenue a — > : : — 12 Subtoial Add coumns (), (0), 0°16)... + S119, 242 | 13 Total. Add ine 12, columns (6), (), and (2). - (See worssneet inne 13 instructions to wenlyeaesatons) FINE] Relationship of Activities to the Accomplishm a Line No. | Explam below how each activity for which income 1s reported in column (e) of Part XVLA contributed importantly to the ¥ | accomplishment ofthe foundation's exempt purposes (other than by providing funds for such purposes) (See structions } etext 000 Fam 990:PF (2017) 16733H K932 11/11/2012 11:02:44 PM V 12-6.1 e566 PAGE 12rom sere 019 CHARLES KOCH FOUNDATION 49-0918408 _ pe 13 information Regarding Transfers To and Transactions and Relationships With Noncharitable Exempt Organizations 7 Bid the organation énectly or meirecly engage i any of the Tolowng with any other arganaaton desenbed | [vee] no tn section 501(c) of the Code (other than section 501(c\.3) organizations) or n section 827, relating to potiteat organzators? 4 Transfers from the reporting foundation to @ nonchantabe exempt organization of (1) Cash | (sat) x (2) Otter assets fal bb Other transactons (1) Sales of assets to a nonchartable exempt arganaation lo} _| x (2) Purchases of assets from a nonchartable exempt organization | cal |x (3) Rental of facilities, equipment, or other assets \1b(3) x (4) Reimbursement arrangements, [bea x (5) Loans or loan guarantees. , [bts x (6) Performance of servces or membership or fundrasing sckctations || || ime) [x Shang of facies, equipment, mating ists, other assets, or pad employees ae[ [x d If the answer to any of the above 1s “Yes,” complete the following schedule Columa (b) should always show the fair market value of the goods, other assets, or services gwen by the reporting foundation If the foundation recewved less than fair market ___value in any transaction of sharing arrangement, show in column (@) the value of the goods, other assets, or services recened ‘Gjimere | _wyAnouet ened | _(e)Nane of nonenartbie eerptepanzevon |) Desenptin of Westes, Vansechns, on shonng erangernts N/A N/A 2a Is the foundation directly or indirectly affiated with, or related to, one oF more taxexempt organizations described in section 501(c) of the Code (other than section 501(c)(3)) or in section 527? . . es C1 yes Ge] no b If"Yes," complete the following schedule ‘wi Name ot rganeaton| (bios of oaaneaten (ey Dessrphon oreansne aS LES pap SS SESE SS ER ww aT Sign [2S ALND pp Sa sn mee me Here |P H1S1A_ » Treasurer [in maa Ra Rare a7 ee Pee ror ELIZABETH 5. HOGAN Wey [15))2) 5.2 fet ensiond pooz7s24s reparer [F osname b BKD, LLP Finn's EIN B 44-0160260 Use Only [Firms adress » 1551 N WATERFRONT PKWY, STE 300 16733H K932_ 11/11/2012 11:02:44 PM V 21-6.2 85646 PAGE 13Schedule B Schedule of Contributors LOMB Wo_ 1545-0047. cory > Attach to Form 990, Form 990-£2, oF Form 990-PF. a remem ant Name of the organization CHARLES KOCH FOUNDATION Employer Tdenlication number |_49-o918408 Organization type (check one) Filers of: Section: Form 990 or 990-€2 5011) ) (enter number) oxanzation 4947(a)(1) nonexempt chantable rust not treated as 2 prvate foundation 527 politcal organzation Form 90°F 501(c)() exempt private foundation 4947(a)(1) nonexempt chartable trust treated as a private foundaton £501(c)(3) taxable private foundaton ‘Check if your organization s covered by the General Rule or a Special Rule. Note. Only a section 501(c)(7), (8), oF (10) organization can check boxes for both the General Rule and a Special Rule See instructions: General Rule [1] For an organization fing Form 990, 990-£2, or 990-PF that received, during the year, $5,000 or more (1 money or property) from any one contributor Complete Parts | and ‘Special Rules 1 Fer a section 5019) oxganzaton ing Form 860 or 890-E2 that met the 33 1/3 % suppor test ofthe eplatons under sections 509(a)(1) and 170(b)(1)(A}(wi) and received from any one contributor, during the year, a contribubon of the greater of (1) 88,000 or (2) 2% of he amount on (} Form 880, Prt Vil ne thor) Fom 860-2, bn Complete Pars ae 1 For a section 501(¢)(7), (8), oF (10) organzation fing Form 980 or $90-EZ that recewed from any one contributor, LNSWHOWZIN eS et poo toa comme ose Tut *ot9 "09S “968 'TZ “96608 s0se oT S@Lt'Se vese'Te “269 Te *656'TTT “E9T “106 ‘OT *g0s'T “Boe ‘OEE “961 b6z ‘sasoaune “SHOOT STEYLIEWHO LNEWLSHANI aN y LNEWHOWLLY + 8oRSTEO-85 ore test *OSZ‘TLT “8L0'SPS *968'TZ “y66 ‘OP *OSL‘ PT SZLT SL v ese‘ Te “269 Te *6¥6 ‘TIT €9T “106 ‘OT “g0S'T “Boe ‘OEE “96T'b6z “sx00e aaa SaSNaaxa aN SONSASY US-TT A WE HHIZOITT CTOZ/TT/TL eeex HEELST STWLOL SHGd NOLLVAIOILAva MOT SHad NOLLYAIOILyva ava SONWNS.LNIWW/LNWa INOS SHad SOTAWAS ANIT-NO Saad wayveas Sada ONISTLUaAGe a@TSH AUVYOAWEL Saaq ONILINOTY SHHd TWNOISSSd0¥d YAHLO SHad ONTTIA ALWuOawoo Saad SLISaaM S94 SONVNSLNIWW GNYT SAS4 INSWIOWNYW INSWLSSANT SABd ONTLINSNOD TYNOISSzsOud “NOILaTwosaT Saad IWNOISSadOud WHHLO - I Lava “dd066 WuOa NOIIVANNOd HOOX SaTEVHOsz gova S ANSHHOWLLY “ozL'0z sasoaund ST@WLIUWHO S INSWAOWLLY eoverso-ey sosse a —«s OT eT nek ‘SHOONT SINAWLSHANT aN TO-TT A Wd PHIZOFTL etoZ/TI/TE een HEELST “0zL'0z re “STE'STT Syooe Waa SaSNaaxa NY SONBASTY STWLOL XML ALNGdOUd SSENISNE WA SaXWL SLWLSA Tway MWL ESIOXE Twusaga “NorLaTaosag SaXWL - I Gawd “dd066 Wor NOTIWGNNOS HOOX SaTEvHDoz gova 9 INSMHOWLIN ee ots £8z “yOT'b “sz0'L “ee9'Le “ssb'a9c “ste “eet 'e “es9'T “ebe'st “e9u'2s *es0'T “089'8 “966 ‘LE sasoaund STI@¥LIUWHO 9 INSWHOWLLY eovet60-en 9y9s8 TS-TT A WA PYIZOFTT CtOZ/TI/T ceEx HEELOT “ee ets—SsSTTWLOL “€8z SMOANYTTEOSIN “yOT!b LANYZINI *sz0'L S40-GLTYM ATAVAISOMA SLNNODW “teg'Le SHad SSNEOTT “ssb'a9e QNIN-NI - SLaI9 “StL SLdI9 es SEALLNAONI /SauuMY *es9'T sand 3 dIHs¥aenaw “epe'st SNOHASTaL ve9L'zs sallaans *zg0'T saga YNVE “one's KYGAITEC ¥ SOWLSOd “966'LE SONWHASNI ‘swOod wad NOLLdTeosad sasNaaxa aNy SONEAga SUSNadKE USHLO - 1 Lava “dd0ee WHOd NOTIWANNOS HOOX SaTEVHD. CHARLES KOCH FOUNDATION 48-0918408 FORM 990-PF - PART IV. CAPITAL GAINS AND LOSSES FOR TAX ON INVESTMENT INCOME ind of Pre Desenpton Date Date sois cperty : acquired Cra wale Depreeanen Coster Fa Fay bass] aaa oF an rice less ‘allowea! other aol tof EMV over on |Lexenses-otsale | _allowabl bi s2fani6a, s2iati6a a tos ZAZOVE ASSOCIATES, LLC VARIOUS | VARIOUS PROPERTY TYPE: SECURITIES 972,037 994,248 -22,211. ZAZOVE ASSOCIATES, LLC varrous | varrous PROPERTY TYPE: SECURITIES 2,020,548. 1,845,033 174,715. ACIS CLO vartous | VARIOUS PROPERTY TYPE: SECURITIES 8,964,429 8,791,432. 172,997 ACIS CLO varrous | varzous PROPERTY TYPE: SECURITIES 1,308,000 1,610,000 -302,000 PIMCO varrous | varzous PROPERTY TYPE: SECURITIES 27459154. 26569477. 889,677. PILOT TRAVEL CENTERS vartous | vaRZous PROPERTY TYPE: SECURITIES 11607222 10000000 1,607,222 EATON VANCE varzous | vaRzous PROPERTY TYPE: SECURITIES 331,278. 306,566. 24,712. TOTAL GAIN (bss) 16733H K932 11/11/2012 12:02:44 PM V 11-6.1 as6as PAGE 14ez gova ovase T'S-TE A Wa vHIZOFTT ZrOe/TT/IT zeex HEELOT 8 INSWHOWLLW oc eateonlOceae Tere eto toe STWLOL *06S'095'Sb “90ers ‘0s sow “TOT "ast 9% *000‘000‘sz NN SmgNLOA NOLNIM *000'000'9z *499'999'sz SIONGOUd NHAGLS wEaM GNAg ODWIa SUAINID THAWL LOIIa 1189‘ 129 bE *000'000'se GNOg Wea "618 '90T ‘ZT *000‘000 ‘ot GNA GHTIONIWWOD GNWIHOTH “618 'eT6 6b “StL '689'6b GNA TWNOTLWNYSINI LOTTIE "e9s'e “429 9T GNnd SLNTOSaY YOIsTsOXE GND SONYA NOLWE “ESL eLe’L “eee eet'e anna aaozwz Awe SATA HOO NOILdl asad ONTONa ONIONS “SINGHISHANI SaHLO - 11 Lavd “ddoee Waor @ INEWHOWLLY Bovets0-a¥ NOLIVGNNO HOON SATO. : CHARLES KOCH FOUNDATION 48-0919408, ‘ATTACHMENT 10 FORM 990PF, PART VII-B, LINE SC-EXPENDITURE RESPONSIBILITY STATEMENT GRANTEE'S NAME: MARKET-BASED MANAGEMENT INSTITUTE GRANTEE'S ADDRES: 4111 E 37TH STREET N CITY, STATE & ZI WICHITA, KS 67220 GRANT DATE: 04/21/2011 GRANT AMOUNT 185,000. GRANT PURPOSE: GENERAL OPERATING SUPPORT AMOUNT EXPENDED: 185,000. ANY DIVERSION? No DATES OF REPORTS 08/24/2012 FULL AND COMPLETE REPORT OF ALL EXPENDITURES VERIFICATION DATE: RESULTS OF VERIFICATION: THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OR RELIABILITY OF THE REPORT FROM THE GRANTEE; THEREFORE, NO INDEPENDENT VERIFICATION OF THE REPORTS WERE MADE. GRANTEE'S NAME: THE PHILLIPS FOUNDATION GRANTEE'S ADDRESS: ONE MASSACHUSSETS AVENUE, NW SUITE 620 CITY, STATE & ZI WASHINGTON, DC 20001 GRANT DATE: 05/19/2011 GRANT AMOUNT: 30,000. GRANT PURPOSE: SUPPORT FELLOWSHIP PROGRAM AMOUNT EXPENDED: 30,000. ANY DIVERSION? NO DATES OF REPORTS 12/28/2011 FULL REPORT OF ALL GRANT EXPENDITURES VERIFICATION DAT! RESULTS OF VERIFICATION: THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OR RELIABILITY OF THE REPORT FROM THE GRANTEE; THEREFORE, NO INDEPENDENT VERIFICATION OF THE REPORTS WERE MADE. 16733H K932_ 11/11/2012 11:02:44 PM V 12-6.1 85646 PAGE 30te sova UL INaWHOWLEY s0sse se RYMUSUOIS LNVLSISSY ort aainsvauL sz morro /Yorosura sz woxosura se” wouoaata se wouosata SEONWHOTTE uSHIO GNY soow asngaxa Sera TaaNgE BBA0TEW OL SNOLLNETEINOD NOLIWSNEANOD TL ANSWHOWLLY eovatso-er NOTLISOd OL GaLOnaa waaM Ed SUNON ZOVHEAW ANY SILTL T9-TL A Wa pHIZOFTL etoz/tI/Tr ceex HEELsT tozez WA ‘NOLONTTAY oz aLINS ‘G% SSMOHLUNOD “N STST wart KOL 9see-TozLs Sx ‘¥ETHOTH gsez xod ‘O'd NWWETION waNon gsez-tozes Sx ‘VLTHOTM 9szz xoa ‘o'd HOON 9 SaTEWHO 982z-T0ZL9 Sx ‘'WETHOTM 9szz xoa ‘0'e HOON @ Higaw2I7a gszz-10zu9 Sx ‘WLTHOIM gszz xoa ‘o'd HOON NOSNIGOU HLaEW2I7a 9sze-TozL9 Sx ‘WETHOIM 9szz xoa *0'd HOOH ASWHO saTEWHo SRI GW awe FIST GW SHOT SHITANO SO ISTT = TTIA Lave Sd0Ce WHOT: NOTIvaNNOs HOO SaTEvHOze sova 9vose TS-TE A Wa beEZOFTE T0Z/TT/IT zeEx HEELST TL LNSWHOWLLY (CeeeeeeeeOeree Ooe sTWuoL anv o0't ° ° ° wonsgura/insarsaua oot o ° ° angaTsa¥a 310 oot o ° ° REWLEYOSS SSONWMOTTY SNWId LIGENEa © NOTLVSNGAWOD NOILISOE OL GaLOATA WaaN BBHIO NY SaAOTANE OL wad SENOH BOWUSAY GNY ATLTL oow SSNEdxa — SNOTLAETAINOD (G.uNOD) Tt LNEWHOWLLY eovetso-eF tozez WA ‘NOLONTTEW 00 SLINS ‘ay EsnOHLUNOD “N STST NEA H GEWHOTE Toz@z VA 'NOLONTTEY doz SLINS ‘GY BsNOHSNOD “N STST KYIN3D 1 NTAY Yozzz WA ‘NOLONTTUW 0oz SuINS ‘ay ZsnOHEYNOD "N StST SHINGW NTE SSG GY SEN NOTIWaNNOS HOON STEVEce sova 21 ANGWHOWLIY ovsse T9tt A 70ers ss eveee CSET —SNOTLWSNHAWOD THLOL 00° 0b ooz’T ozz'e *00S’00T HOWWESHa WATsIO Woa 00'oF “Ope'T 0 “99868 SLWIOOSSW dOTSAg US 00°0% “o0z'T “es’% *900‘oeT ‘UH/INSTWL Ula wOa 00°0 “Opb'T “of8 "oT *000 ‘set onda WaHOTH ald Woa 00°0% “o0z't “oge'b *000‘seT SNOTLWHGdO JO IG SHONWMOTIY “SNVIE_IITSaNae YSHLO GNY SHAOTAWE OL LQOW SSNEEXX SNOLLAGTYLNOD "et GNGWHOWLLY govertso-86 NOTIVSNTEWOD +~NOILISOG OL GaLOART ‘MM Ysa SUNK SOWUSAY ONY STLIL Wd ¥e5ZO'TT TOe/TT/TE Teen HEELST oz oz ooz o0z oz aus SLs aL aus aus TOZZZ WA ‘NOLONTTEY "Ci ASMOHLUNOD “N STST INVEYOo Nea Tot@z WA ‘NOLONTTEY ‘da ASMOHLUNOD “N STST LHOHS NALS TO%ZZ WA ‘NOLONITEY “da ASNOHIUNOD “N STST ASSSWH SNNWIEY T0%ZZ WA ‘NOLONITIY ‘da SSNOHLENOD “N STST SUAMOLS NWAY TO%ZZ WA ‘NOLONITHY ‘da ASNOHLYNCD “N STST YOON NYDOT “ssauady ONY ane “SHSAOTAWE Civd ISHHOIN Ald AHL dO NOILWSNAGWOD - IIIA Luwd “ad066 NOTIvaNNOs HOO SaTEVHO49-o919408 . CHARLES KOCH FOUNDATION FORM 990PF, PART XV_- NAME, ADDRESS AND PHONE FOR APPLICATIONS CHARLES KOCH FOUNDATION 1515 N. COURTHOUSE ROAD, SUITE 200 ARLINGTON, VA 22201 703-875-1600 16733H K932 11/11/2012 11:02:44 PM V 11-6.2 as6a6 PAGE 34: CHARLES KOCH FOUNDATION 49-o91e408 .990PF, PART XV_- FORM AND CONTENTS OF SUBMITTED APPLICATIONS ORGANIZATIONS SEEKING GRANTS FROM THE FOUNDATION AND WHICH MEET THE CRITERIA LISTED IN ATTACHMENT 15 SHOULD SUBMIT A SHORT LETTER (NO MORE THAN THREE PAGES) OUTLINING THEIR REQUEST. THE LETTER SHOULD CLEARLY AND SUCCINCTLY STATE: PROSPECTIVE GRANTEE'S MISSION AND GOALS SPECIFIC PROJECT FOR WHICH SUPPORT IS BEING SOUGHT; AMOUNT OF FUNDING REQUESTED; NAME, TITLE, ADDRESS, TELEPHONE NUMBER, AND EMAIL ADDRESS OF THE PRIMARY CONTACT PERSON; AND, 5. CURRENT ANNUAL BUDGET OR AUDITED FINANCIAL STATEMENTS IF APPLICABLE, PLEASE ALSO INCLUDE A LIST OF OTHER SUPPORT (B.G., FUNDING, IN-KIND CONTRIBUTIONS) SECURED FOR THE PROJECT BECAUSE THE FOUNDATION GENERALLY ONLY SUPPORTS SECTION 501(C) (3) PUBLIC CHARITIES, IT ALSO REQUIRES THAT YOU SUBMIT VERIFICATION FROM THE IRS THAT YOUR ORGANIZATION IS EXEMPT FROM FEDERAL INCOME TAX AS A SECTION 501(C) (3) ORGANIZATION AND IS CLASSIFIED AS A PUBLIC CHARITY UNDER SECTION 509(A) OF THE INTERNAL REVENUE CODE. THE FOUNDATION KINDLY REQUESTS THAT NO MATERIALS BEYOND WHAT ARE DESCRIBED ABOVE BE INCLUDED. BENE 316733H K932 11/11/2012 11:02:44 PM V 11-6.1 ascas PAGE 35: : CHARLES KOCH FOUNDATION 48-0918408 990PF, RESTRICTIONS OR LIMITATIONS ON AWARDS THE FOUNDATION PRIMARILY SUPPORTS RESEARCH AND EDUCATION PROGRAMS THAT ANALYZE THE IMPACT OF FREE SOCIETIES, IN PARTICULAR HOW THEY ADVANCE ‘THE WELL-BEING OF MANKIND. BUILDING ON THIS KNOWLEDGE, THE CHARLES KOCH FOUNDATION FOSTERS THE PARTNERSHIP OF SCIENTISTS AND PRACTITIONERS IN ORDER TO INTEGRATE THEORY AND PRACTICE. BY DOING SO, THE FOUNDATION STRIVES TO DEVELOP MARKET-BASED TOOLS THAT ENABLE INDIVIDUALS, INSTITUTIONS AND SOCIETIES TO PROSPER. THE CHARLES KOCH FOUNDATION FOCUSES ON A SELECT NUMBER OF PROGRAMS WHERE IT BELIEVES IT IS BEST POSITIONED TO SUPPORT POSITIVE SOCIAL CHANGE. THE FOUNDATION ENCOURAGES ORGANIZATIONS SEEKING SUPPORT TO FIRST FAMILIARIZE ‘THEMSELVES WITH THOSE DOMAINS BY EXAMINING THE FOUNDATION'S AREAS OF INTEREST. IN ADDITION, THE FOUNDATION PLACES SEVERAL LIMITATIONS ON TUB URBoGEeTa) IRICONSIDERS: THE FOUNDATION PRIMARILY MAKES GRANTS TO SECTION 501(C) (3) PUBLIC CHARITIES. THE CHARLES KOCH FOUNDATION DOES NOT SUPPORT FOR-PROFIT CORPORATIONS OR INDIVIDUALS. 2. THE FOUNDATION DISCOURAGES GRANT PROPOSALS FOR CAPITAL CONSTRUCTION, DEBT REDUCTION, OR GENERAL FUNDRAISING DRIVES OR EVENTS. THE FOUNDATION DOES NOT MAKE GRANTS TO SUPPORT LOBBYING ACTIVITIES OR CANDIDATES FOR PUBLIC OFFICE. THE FOUNDATION RARELY FUNDS ENDOWMENTS. 16733H K932 11/11/2012 11:02:44 PM V 11-6.1 35646 PAGE 36‘sericea seers¥9002[seSSSSip eee TRE WS IS ISET saoverco-e sornrennos 100% someoy ava vase votes meer eo tt cranei/n zeex weeusr a arn To OTE — ane RS i Sn ESEa TR TS DS TO HST [eeovsse rena me veo re rueeyerat eeer weeust SRS FS TEE Se =[eee rroesniet cox weeestSTS[arvoesryt een neeestOO ee poate we eyo re etaestit eee meeearsenacoes Torun ATS WSS TS TTT13 aoe avo rena we veeco me etoestiyee teenIe arr We BT To HSETOTERETENGS WO GAD ES PROT rroestiytt een weeest eSIRE TR ORT Te TT eT SSOwav eore eerste eeex weeusrsvase teats wa veo etaereiit—zeox necesr sovereossoH RS IS ENS TTT “STETSY 26 NET WOE svsse tena ne oy cote exen/ttyee SS OE sorsvanned 100% STM(fom tot) Capital Gains and Losses Deparment fhe Tessa Intemal Revenue Sones ‘Schedule D (Form 1044) (also for Form 5227 or Form 990-T, if applicable). attach to Form 1041, Form 5227, or Form 980-7. S¢ the Instructions for (ou No 1545-0002 2011 CHARLES KOCH FOUNDATION 49-0918408 ote: Form 5227 fiers need fo compete only Pas [andl ERENT Short-Term Capital Gains and Losses - Assats Held One Year or Less ‘Employer ienscaton nama (2) Descnptin of property (eoateacqured] ) Oates | Gy sans pce | (/Costerotr bass | ganas Come) Or (Example Yoo shares pared t"ZCo) (o.e | (0. dap. ¥) ‘seernevectons) | dhe ee yest Ta ‘Long-Term Capital Gains and Losses - Assets Hold More Than One Yi Entor the short-term gam or iss), ay, fom Schedule D-, me 1b s»|__ 1,758,008 Short-term captal gan or (oss) om Forms 4684, 6252, 6781, and 8624... 2 Net short-term gain or (los) from partnarships, § corporations, and other estates or uss. a 7 Shortterm captal loss carryover Enter the amount, any, from ine 9 of the 2010 Captal Loss’ Carryover Worksheet Be +i y Net short-term gain or (oss). Combi Ines ia thfough 4 in column ‘Enter here and online 13, column (3) on the back els] 1,750,008. (@)Desenpuonofppeny (Date acqurod] e)0a% soe | Gesu pce | (Coster ater dass (Cxample “Toons Te pened 47 Co) ‘ero-ar) | te. Soy) ” ‘ee cians) Samer fos ore year sbac(tam(s) bb Enter the long-term gain or (loss) i any, from Schedule D-t, ne 6D, . so| 787,104 7 Long-term caprtal gain or (loss) fom Forms 2438, 4684, 6252, 6761, and 8624 1 8 Not long-term gain or (oss) from partnerships, $ corporatons, and other estates or trusts... , 8 9 Capital gain dstrbutions 9 40. Gam trom Form 4797, Part. 10 14 Long-term captal loss carryover Enter the amount, i any, fom line’ 14 of the 2040 Captal Loss’ Carryover Worksheet. ak ) 12 Net long-term gain or (oss). Combine ines 6a through 11m column (). Enter here and on line 14a, column (3}0n the back le 787,104 For Paperwork Reduction Act Notice, ase the Instructions lor Form 1044 16733H K932 12/11/2012 11:02:44 PM V 11-6.2 as6a6 ‘Schedule D (Form 1063) 201% PAGE 71net ome ‘Summary of Paris Vand {iy Benetcares | (a) Esai Caution: Read the mstructions before completing this part | ‘” tseemsir) | ‘ortusts @) Tota 33 Wet short-term gain or (loss) 3 1,758,008 14 Net.Jong-term gain or lose) a Totalwryear 1 197.108 5 Unrecaptured cecin 1250 gain (See ine 18 ofthe wish), | | ay © 22%rategan.. tae 15\ Total net gan or (oes), Combine ines 19 and 4a. | > ls 2 SS aa Note: 1 ine 15, column (9 88 et gan, enter ihe gon on Far 14, Ine 4 (Fas 6907. Pak LIne 8) Wines 14a and 18, coun 2) ae net Sons goto Pat Vand do ot conplte Pot Whe To column Gs Nl wes compete Pat and ie Capa Los Conor Werkshet Paes. Capital Loss Limitation 16 Enlev here and enter as a (loss) on Form OAT, tne @(or Fo 9007, Pal ie Wa vs, the ama of a The oss on ine 15. column (S)or'b $3,000. Pra Note: ifthe loss on line 15, column (3), 's more than $3,000, or if Form 4041, page 1, line 23 (ar Form 990-T: line 34), is @ Riss, complete the Capital Loss Catsar sei nocba ho es yoorcap ee caroe "Tax Computation Using Maximum Capital Gains Rates Form 1041 fers. Complate ths part only i both ines 14a and 15 in column (2) are gas, or an amounts entered n Pat | or Part and there 1s an entry on Form 1041, line 2b(2), and Form 1041, line 22, 1s more than zero Caution: Sup tis part and compete the Schedule D Tax Werksheet n te insrchons "zur line 140, col (2) or ne 14, col 2)1s more than 2er, oF * Boin Form 1041, tino 20(1) and Form 4982. hne 4g ae moro tnan zero Form 990-T trusts. Complete ths part only if both ines 14a and 15 are gams, or qualied diadends are included m income in Pat Gt Form 990-1, and Form 990-T, ine 34, 1s mare than zero Sko ths part and complete the Schedule D Tax Workeheet nthe structions tether ine 14b, col (2) or ine 14, col (2) 1s more than zero 17 Enter taxable mcome from Form 1041, ine 22 (or Form 990-7, ine 34)... [47 18 Enter the smaller of line 14a or 15 in column (2)] but not less than zero, 48 19° Enter the estate's or trust's qualified dividends| from Form 1041, line 2b(2) (or enter the qualified duidends mcludedin income in Pact of Form 990-7), . | 19. 20. Add ines 18 and 19 [a0 21 the estat or ust flag Form 4852, eer ne amount rom line 4g, othenwse, enter 0. m [24 22 Subtract ine 21 rom Ine 20 i zero ors enter-O- «> 22 23° Subtract ine 22 from Ine 17 Ht zero ores enter-0- | | 23 24 Enter the smaller ofthe amount on ine 17 0 $2.200 , a 25 Ig the amount on ine 23 equa to of more than the amouni on tin 24? ‘Yea. Skip ines 25 and 26, oo ine 27 and check the "No" box No. Enter tne amount fom ine 23 25 26 Subtract ine 25 fom ne 24. 28 27 Ave the amounis on ines 22 and 28 the same?” Yes. einezenseguus [] Novewewmawaiovewex — [27 28. Enter the amount from ine 26 if ine 26s blank, enter-0.) 28 29. Subtract line 28 from line 27 30 Multiply ine 29 by 15% (15) | 30 31 Figure the tax on the amount on line 23 Use the 2011 Tax Rate Schedule for Eslates and Trusts) (see the Schedule G instructions in the instructions for Form 1041) , oo El 32 Add ines 30 and 31 32 33. Figure the tax on the amount on line 17 "Use the 2011 Tax Rate Schedule for Esiates and Trusts) (see the Schedule Ginstructons inthe instructions for Form 1041) [33 34 Tax on all taxable income. Enter the smaller of line 32 or line 33 here and on Form 1041, Schedule G, line 1a (or Form 990-7, ine 36), se 34 ‘Senedule D (Form 1041) 2001 16733H K932 12/11/2012 11:02:44 PM V 11-6.1 a56e6 PAGE 72SCHEDULE D-+ coats Sheet aetna D Ome no 1545-0002 (Form 4041) ‘orm oe > See instructions for Schedule D (Form 1061). gramarsrmee’ | anucnto Sie Bie ht anasto See ane 2011 Nome of etate or ust CHARLES KOCH FOUNDATION Employer denification number 45-0918408 ‘Short-Term Capital Gains and Losses - Assets Held One Year or Less = # Losses -Asset s Deter ogee eae a = ee | acacanes| pea Nees emery es um, | @oam | os ee ey ia anzove assocrares, zc | varrous | varrous o72.037.|__994.249.| _-22.212 acts cLo varrous | vaerovs_|_9,s64.429.| _s,791.432.| 172.997 PILOT TRAVEL CENTERS varzous | varrovs_|_23,607.222.| 10,000,000.| 1,607,222. 4b Total. Combine the amounts in column (f) Enter here and on Schedule D, ine 1b . pele er 7ser000 For Paperwork Reduction Act Notice, see the Instructions for Form 104% ‘Schedule 0-4 (Form 1061) 204% 16733H K932_ 11/11/2012 11:02:44 PM V 11-6.1 5646 PAGE 73‘Sehedute 0-4 (Farm 1041) 2011 Page? Employer ienfieation number (GEMM Corig-Term Capital Gains and Losses - Assets Held More Than One Year (21 Desenptin tproery (Example pipe (e) Oat sas (a) Sales prox | €)Cesteroterbaes | (Gam or fons N00 sn prsered of 2 Co) a (mova) "see amcsansy | stboact (Sone, Sa ZAZOVE ASSOCIATES, LUC VARIOUS VARIOUS 2,020,548.| 1,845,833. 174,715. ACIS CLO VARIOUS VARIOUS 1,308,000.| 1,620,000.| 302,000. PIMco vARTOUS VARIOUS 27,459,154. | 26,569,477. 889,677. EATON VANCE VARIOUS vaRTOUS 331,278 306, 566 24,712 {Sb Total. Combine the amounts in column () Enter here and on Schedule D, ine 6b 787,104. 16733H K932 12/13/2012 11:02:44 PM V 11-6.1 ascas ‘Schedule D-1 (Form 108%) 201% PAGE 74ToIEALOUE a Sao, THRITDESE Y ‘aaa o | urpooera 1209_| "Seat NOWWZILWOWY. a THOTT Ta SMO, aeoians Ra Pay ST ROT T REY PTE ST { I { I i I t mualaad BL TROT | PET 7 TORERT TIONS a saa a EFT CoRR | See sea Soe, seal wagi 2k siseg | uononpss| ang | 1800" | utpeoer m0 | watheuno [YR deo 621 |S |pasniseun| “bea: bbozfem wes con s2000 # if you are ling for an Additonal (ot Automate) 3 Month Evtansion, Complete any Par and check Ths OX Note Onl complete Par Ifyou hove steady been ranted en avomatcSmenh xenacn ona preven fed Fon 8858 —r—<~S™str——t——s———S——O BRRMD Acaitionar (ot Automatic) 5-Month Extension of Time: Only fie The Orginal (No Coples neeTEa) Sl Tae earl Organon Oar 6S TTT Employer dentcaion her (ER) oF Type or print | CHARLES G. KOCH CHARITABLE FOUNDATION [x]__48-os18¢08 umber, sve, 9nd oom sist no WO Box sen uebons Sos eeu nab (SSRP trom. [[pvo. nox 2256 : A ita ye” [Cy town or pon ofc, ae and P cae Fora Toren RSs, See nro ‘mime | WiCHITA, KS 67201-2256 = Enter the Return code forthe return that ths application s for (fe-a separate appicaton foreach relzn) » Laat Application Return te For e Code Form 980 Form 990-51 Form 1041. 08 Form 990.67 ‘01 [Form 4720 09 Fom S90.FF (04 [Form 5227 = 10 Form 990-T eee 40i(a) or A08(8) wos (05 [Form 5059 alanis Form 990-T (ust other than above) (05 [Form 8870. 2 STOP! Do not complete Part Il if you were not already granted an autom: © The books are nthe care of HEATHER LOVE Telephone No 316 828-8286 FAXNo > ‘If tne organization does not have an office of place of business in the United States, check tw BOX... +... Peel ‘© If this is for a Group Return, enter the organation's four digit Group Exemption Number (GEN) _ Trt is for the whole group, check this box . , > LJ initis for par of the group, check ths box, ~ > LJand attach a lst wth the names and EINs of all members the exiension is for 4 | request an additional 3-month extension of tine untl 3/15, 2032, 5 For calendar year 2012 , of other tax year beginnng 20. ‘and end 20 6 Ifthe tax year entered in ine 5 1s for less than 12 months, check reason Taitial retun (_] Final return Change m accounting period 7 State n detail why you need the extension ADDITIONAL TIME IS REQUIRED TO ACCUMULATE THE INFORMATION NECESSARY 70 PILE A COMPLETE AND ACCURATE RETURN. ic 3-month extension on a previously filed Form 6868, Tihs appizaton wor Form S6O-GL, S5GPF, O50", A7H0, oF GOGD, onlay the tenlaine tax las any nonrefundable credis Soe structions eals ° if the appieaton ie for Fom 990:F, Q90-T, 4720, or 6060, ener any refndable create and ‘amount pard previously with Form 8868 ab|s ° ‘¢ Balance Due. Subtract line 8b from line 8a Include your payment with this form, # requred, By using EFTPS (Electronic Federal Tax Payment System) See instructons sels ° Signature and Verification must be completed for Par li only. foe nt hws Dl Under penates of gery, | declare tat! hae examned the frm, mludeg aecompanyeg sched and samen, ‘stun, corec and comlas, and at am autorun fo prepare fom Signature Tite (ev 12093) 16733H K932 8/7/2012 2:05:56 PM Vv 11-5 85646