13F-HR 1 eps4420.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: September 30, 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 11/07/2011 ----------------- --------------- ---------- (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: 21 Form 13F Information Value Total (thousands): $55,702 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 ~~1044~~510 600000 SOLE 600000 Capital One Finl Corp *W EXP 11/14/2018 14040H139 ~~4232~~2766 200000 SOLE 200000 Colgate Palmolive Co COM 194162103 ~~1871~~1898 21400 SOLE 21400 First Rep Bk San Fran Cali COM 33616C100 ~~89668~~13237 ~~2777834~~571534 SOLE ~~2777834~~571534 Ford Mtr Co *W EXP 01/01/2013 345370134 ~~467~~197 89200 SOLE 89200 Hartford Finl Svcs Group Inc *W EXP 06/26/2019 416515120 ~~3578~~1924 200000 SOLE 200000 Heinz H J Co COM 423074103 ~~1604~~1519 30100 SOLE 30100 India Fd Inc COM 454089103 ~~5649~~2294 ~~186450~~100000 SOLE ~~186450~~100000 Invesco Mortgage Capital Inc COM 46131B100 1057 50000 SOLE 50000 Ishares Inc MSCI Thailand 464286624 572 9000 SOLE 9000 Ishares Inc MSCI Singapore 464286673 467 34000 SOLE 34000 Ishares Inc MSCI Malaysia 464286830 535 35000 SOLE 35000 Johnson & Johnson COM 478160104 ~~2115~~2025 31800 SOLE 31800 JPMorgan Chase & Co *W EXP 10/28/2018 46634E114 ~~6735~~4655 500000 SOLE 500000 Las Vegas Sands Corp COM 517834107 ~~2153~~997 ~~51000~~26000 SOLE ~~51000~~26000 LyondellBasell Industries SHS - A - N53745100 ~~3878~~1238 ~~100663~~50663 SOLE ~~100663~~50663 Market Vectors ETF TR Brazil SMCP ETF 57060U613 ~~13053~~9018 230047 SOLE 230047 ~~Market Vectors ETF TR Indonesia ETF 57060U753 576 18000 SOLE 18000 Market Vectors ETF TR Vietnam ETF 57060U761 104 5000 SOLE 5000~~ Merck & Co Inc New COM 58933Y105 ~~1973~~1828 55900 SOLE 55900 Novartis A G Sponsored ADR 66987V109 ~~1289~~1177 21100 SOLE 21100 PNC Finl Svcs Group Inc *W EXP 12/31/2018 693475121 ~~1863~~1341 150000 SOLE 150000 ~~Powershares DB Cmdty Idx Tra Unit Ben Int 73935S105 2896 100000 SOLE 100000~~ Procter & Gamble Co COM 742718109 ~~1735~~1725 27300 SOLE 27300 Royal Dutch Shell Plc Spons ADR A 780259206 ~~2212~~1913 31100 SOLE 31100 Sothebys COM 835898107 1905 69100 SOLE 69100 Statoil ASA Sponsored ADR 85771P102 ~~1736~~1470 68200 SOLE 68200 Unilever N V N Y SHS NEW 904784709 ~~2155~~2066 65600 SOLE 65600

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