0001171520-11-000351.txt : 20110511 0001171520-11-000351.hdr.sgml : 20110511 20110511092241 ACCESSION NUMBER: 0001171520-11-000351 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110511 DATE AS OF CHANGE: 20110511 EFFECTIVENESS DATE: 20110511 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Eli & Edythe Broad Foundation CENTRAL INDEX KEY: 0001512484 IRS NUMBER: 954686318 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14391 FILM NUMBER: 11830384 BUSINESS ADDRESS: STREET 1: 10900 WILSHIRE BLVD STREET 2: 12TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90024 BUSINESS PHONE: 3109545000 MAIL ADDRESS: STREET 1: 10900 WILSHIRE BLVD STREET 2: 12TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90024 13F-HR 1 eps4205.txt THE ELI & EDYTHE BROAD FOUNDATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2011 Check here if Amendment |_|; Amendment Number: _____ This Amendment (Check only one.): |_| is a restatement. |_| adds new holdings entries. Institutional Investment Manager Filing this Report: Name: The Eli & Edythe Broad Foundation Address: 10900 Wilshire Blvd., 12th Floor Los Angeles, CA 90024 Form 13F File Number: 028-14391 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: K.C. Krieger Title: Director of Investments Phone: 310-954-5039 Signature, Place, and Date of Signing: /s/ K.C. Krieger Los Angeles, CA 05/10/11 ----------------- --------------- ---------- (Signature) (City, State) (Date) Report Type (Check only one): |X| 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) |_| 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) |_| 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 27 Form 13F Information Value Total (thousands): $154,245 List of Other Included Managers: NONE Form 13F-HR Information Table
Title of VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY Name of Issuer Class CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE -------------- ----- ----- -------- ------- --- ---- ---------- -------- ---- ------ ---- Bank of America Corporation *W EXP 10/28/2018 060505153 1512 600000 SOLE 600000 Capital One Finl Corp *W EXP 11/14/2018 14040H139 4326 200000 SOLE 200000 Colgate Palmolive Co COM 194162103 1728 21400 SOLE 21400 First Rep Bk San Fran Cali COM 33616C100 85863 2777834 SOLE 2777834 Ford Mtr Co *W EXP 01/01/2013 345370134 569 89200 SOLE 89200 Hartford Finl Svcs Group Inc *W EXP 06/26/2019 416515120 3668 200000 SOLE 200000 Heinz H J Co COM 423074103 1469 30100 SOLE 30100 India Fd Inc COM 454089103 6144 186450 SOLE 186450 Invesco Mortgage Capital Inc COM 46131B100 1093 50000 SOLE 50000 Ishares Inc MSCI Thailand 464286624 601 9000 SOLE 9000 Ishares Inc MSCI Singapore 464286673 465 34000 SOLE 34000 Ishares Inc MSCI Malaysia 464286830 518 35000 SOLE 35000 Johnson & Johnson COM 478160104 1884 31800 SOLE 31800 JPMorgan Chase & Co *W EXP 10/28/2018 46634E114 8390 500000 SOLE 500000 Las Vegas Sands Corp COM 517834107 2153 51000 SOLE 51000 LyondellBasell Industries SHS - A - N53745100 3981 100663 SOLE 100663 Market Vectors ETF TR Brazil SMCP ETF 57060U613 13046 230047 SOLE 230047 Market Vectors ETF TR Indonesia ETF 57060U753 539 18000 SOLE 18000 Market Vectors ETF TR Vietnam ETF 57060U761 119 5000 SOLE 5000 Merck & Co Inc New COM 58933Y105 1845 55900 SOLE 55900 Novartis A G Sponsored ADR 66987V109 1147 21100 SOLE 21100 PNC Finl Svcs Group Inc *W EXP 12/31/2018 693475121 2244 150000 SOLE 150000 Powershares DB Cmdty Idx Tra Unit Ben Int 73935S105 3051 100000 SOLE 100000 Procter & Gamble Co COM 742718109 1682 27300 SOLE 27300 Royal Dutch Shell Plc Spons ADR A 780259206 2266 31100 SOLE 31100 Statoil ASA Sponsored ADR 85771P102 1885 68200 SOLE 68200 Unilever N V N Y SHS NEW 904784709 2057 65600 SOLE 65600