2021-11-04T10:09:24-05:00 2020-12-31 420714325 RSM US LLP 2021 L STREET NW SUITE 400 WASHINGTON DC 20036 990 2020-01-01 530173915 AMERICAN WATERWAYS OPERATORS INC AMER 7038419300 801 N QUINCY ST NO 500 ARLINGTON VA 222031708 JENNIFER CARPENTER PRESIDENT & CEO 7038419300 2021-11-04 1 JENNIFER CARPENTER 999009999 SARA SMITH P01332734 2022932200 2021-11-02 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z JENNIFER CARPENTER 801 N QUINCY ST NO 500 ARLINGTON VA 222031708 7592079 0 X WWW.AMERICANWATERWAYS.COM X 1944 VA TRADE ASSOCIATION OF THE TUGBOAT, TOWBOAT AND BARGE INDUSTRY. 60 60 43 150 0 0 0 0 7347506 7458965 134622 62460 55819 3305 7537947 7524730 181014 128131 0 0 4789631 4769547 0 0 0 2974660 2062852 7945305 6960530 -407358 564200 8273893 10803404 3366128 4984207 4907765 5819197 X THE AMERICAN WATERWAYS OPERATORS IS THE TUGBOAT, TOWBOAT, AND BARGE INDUSTRY'S ADVOCATE, RESOURCE AND UNITED VOICE FOR SAFE, SUSTAINABLE AND EFFICIENT TRANSPORTATION ON AMERICA'S WATERWAYS, OCEANS, AND COASTS. AWO IS THE INDUSTRY'S LEADING ADVOCATE WHOSE MEMBERS PROVIDE POSITIVE IMPACT ON THE AMERICAN QUALIFY OF LIFE, MOVE VITAL COMMODITIES SAFELY, PROVIDE FAMILY-WAGE JOBS, REDUCE AIR AND WATER POLLUTION, RELIEVE HIGHWAY CONGECTION, AND PROTECT HOMELAND SECURITY. 0 0 ADVOCACYSERVE AS THE LEADING NATIONAL ADVOCATE FOR THE TUGBOAT, TOWBOAT AND BARGE INDUSTRY WITH THE U.S. CONGRESS AND FEDERAL AGENCIES. AWO PROMOTES THE INDUSTRY'S VALUE TO THE NATION AS A DRIVER OF THE U.S. ECONOMY THAT PROVIDES FAMILY-WAGE JOBS AND MOVES THE NATION'S FREIGHT SAFELY WHILE REDUCING AIR AND WATER POLLUTION, RELIEVING TRAFFIC CONGESTION, AND PROTECTING HOMELAND SECURITY. AWO STAFF AND MEMBERS ADVOCATE FOR SOUND LEGISLATION, REGULATION AND PUBLIC POLICY THAT ENABLES THE INDUSTRY TO CONTINUE TO PROVIDE JOBS AND MOVE THE NATION'S COMMERCE EFFICIENTLY. MEMBERSHIP MEETINGSAWO CONDUCTS MEETINGS AT THE NATIONAL AND REGIONAL LEVELS TO EDUCATE MEMBERS ON PUBLIC POLICY ISSUES FACING THE TUGBOAT, TOWBOAT AND BARGE INDUSTRY AND PROMOTE SAFETY, SECURITY AND ENVIRONMENTAL STEWARDSHIP. IN 2020 AWO HELD TWO VIRTUAL BOARD MEETINGS ATTENDED BY APPROXIMATELY 120 MEMBERS AT EACH, PLUS 4 REGIONAL AND SAFETY MEETINGS WITH ATTENDANCE AT EACH RANGING FROM APPROXIMATELY 55-400 MEMBERS. AWO ALSO HELD A SERIES OF SMALLER VIRTUAL REGIONAL ROUNDTABLE GATHERINGS THROUGHOUT THE SUMMER WITH ATTENDANCE AT EACH RANGING FROM 13-70 MEMBERS. SAFETY AND ENVIRONMENTAL STEWARDSHIPAWO IS THE LEADING NATIONAL ADVOCATE FOR THE U.S. TUGBOAT, TOWBOAT AND BARGE INDUSTRY, WHICH SERVES THE NATION AS THE SAFEST AND MOST ENVIRONMENTALLY RESPONSIBLE MODE OF FREIGHT TRANSPORTATION. SINCE 1994, THE AWO RESPONSIBLE CARRIER PROGRAM (R), A COAST GUARD-ACCEPTED SAFETY MANAGEMENT SYSTEM, HAS PROVIDED A FRAMEWORK FOR MEMBER COMPANIES TO DEVELOP COMPANY-SPECIFIC SAFETY AND ENVIRONMENTAL POLICIES AND PROGRAMS DESIGNED TO CONTINUOUSLY IMPROVE SAFETY PERFORMANCE. AWO ALSO PROVIDES TANGIBLE SAFETY RESOURCES FOR MEMBERS AND CONVENES ITS INTERREGION AND COASTAL SAFETY COMMITTEES BIANNUALLY TO PROVIDE FORUMS FOR INDUSTRY SAFETY PROFESSIONALS AND GOVERNMENT PARTNERS TO SHARE INFORMATION AND LEARN ABOUT TIMELY SAFETY TOPICS. FURTHERMORE, FOR 25 YEARS, THE COAST GUARD-AWO SAFETY PARTNERSHIP HAS CREATED QUALITY ACTION TEAMS TO ENHANCE MARINE SAFETY AND ENVIRONMENTAL PROTECTION IN SUCH AREAS AS PREVENTING CREW FATALITIES, PROMOTING BEST PRACTICES TO PREVENT TANK BARGE AND TOWING VESSEL OIL SPILLS, DEVELOPING CYBER RISK MANAGEMENT BEST PRACTICES, AND ENHANCING AIDS TO NAVIGATION, AMONG OTHERS. 0 0 1 1 0 0 0 0 0 1 0 0 0 1 0 0 1 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 1 52 0 1 43 1 0 0 0 0 1 1 0 0 0 X 60 60 1 0 0 0 1 1 1 1 1 0 0 0 1 1 1 1 1 1 1 0 X ALBERTO ROMANO 7038419300 801 N QUINCY ST NO 500 ARLINGTON VA 222031708 ART MEAD CHAIRMAN (AS OF 5/20) 5.00 0.00 X X 0 0 0 DEL WILKINS VICE CHAIRMAN (5/20) 5.00 0.00 X X 0 0 0 SCOTT MERRITT IMMD. PAST CHAIR (AS OF 5/20) 5.00 0.00 X X 0 0 0 CLARK TODD TREASURER (AS OF 5/20) 5.00 0.00 X X 0 0 0 ADAM BINSFELD DIRECTOR (5/20) 1.00 0.00 X 0 0 0 ASHLEY DANIELSON DIRECTOR 1.00 0.00 X 0 0 0 BENJAMIN PETERSON DIRECTOR (5/20) 1.00 0.00 X 0 0 0 BRIAN HUGHES DIRECTOR 1.00 0.00 X 0 0 0 CATHY HAMMOND DIRECTOR 1.00 0.00 X 0 0 0 CHAS HAUN DIRECTOR 1.00 0.00 X 0 0 0 CHRIS SENNER DIRECTOR 1.00 0.00 X 0 0 0 DAN NUTT DIRECTOR 1.00 0.00 X 0 0 0 DARIN ADRIAN DIRECTOR 1.00 0.00 X 0 0 0 DAVE O'LOUGHLIN DIRECTOR 1.00 0.00 X 0 0 0 DAVID REYNOLDS DIRECTOR (5/20) 1.00 0.00 X 0 0 0 DEREK EGAN DIRECTOR 1.00 0.00 X 0 0 0 ED GRIMM DIRECTOR 1.00 0.00 X 0 0 0 ED HOGAN DIRECTOR 1.00 0.00 X 0 0 0 ERIK LARSEN DIRECTOR 1.00 0.00 X 0 0 0 FRANCES KUEHNE DIRECTOR 1.00 0.00 X 0 0 0 GARY STATLER DIRECTOR (5/20) 1.00 0.00 X 0 0 0 JC DANN DIRECTOR 1.00 0.00 X 0 0 0 JAMES FOWLER DIRECTOR (5/20) 1.00 0.00 X 0 0 0 JEFF KEIFER DIRECTOR 1.00 0.00 X 0 0 0 JEFF PARKER DIRECTOR 1.00 0.00 X 0 0 0 JEFF SLESINGER DIRECTOR 1.00 0.00 X 0 0 0 JIM FLETCHER DIRECTOR 1.00 0.00 X 0 0 0 KAREN SHOOT DIRECTOR 1.00 0.00 X 0 0 0 KEITH KIRKEIDE DIRECTOR 1.00 0.00 X 0 0 0 KELLY TEICHMAN DIRECTOR 1.00 0.00 X 0 0 0 LARRY PERRYMAN DIRECTOR 1.00 0.00 X 0 0 0 MARIO MUNOZ DIRECTOR 1.00 0.00 X 0 0 0 MARK BOURGEOIS DIRECTOR 1.00 0.00 X 0 0 0 MARK SMITH DIRECTOR 1.00 0.00 X 0 0 0 MARTIN CURTIN DIRECTOR 1.00 0.00 X 0 0 0 MATT DEVALL DIRECTOR 1.00 0.00 X 0 0 0 MATT FRENCH DIRECTOR (5/20) 1.00 0.00 X 0 0 0 MATT WOODRUFF DIRECTOR 1.00 0.00 X 0 0 0 MICHAEL ECKART DIRECTOR 1.00 0.00 X 0 0 0 MICHAEL MYERS DIRECTOR 1.00 0.00 X 0 0 0 MIKE REAGOSO DIRECTOR 1.00 0.00 X 0 0 0 MOLLY ISNARDI DIRECTOR 1.00 0.00 X 0 0 0 NATHAN HAUSER DIRECTOR (5/20) 1.00 0.00 X 0 0 0 NEIL LANGDON DIRECTOR (5/20) 1.00 0.00 X 0 0 0 PATRICK SMITH DIRECTOR 1.00 0.00 X 0 0 0 PHILIP KUEBLER DIRECTOR (5/20) 1.00 0.00 X 0 0 0 RICK FREED DIRECTOR (5/20) 1.00 0.00 X 0 0 0 RICK IULIUCCI DIRECTOR 1.00 0.00 X 0 0 0 ROGER HARRIS DIRECTOR 1.00 0.00 X 0 0 0 SARAH PERRY MCGEE DIRECTOR 1.00 0.00 X 0 0 0 SHAWN BENNETT DIRECTOR 1.00 0.00 X 0 0 0 STEPHEN DANN DIRECTOR 1.00 0.00 X 0 0 0 TIM MOSS DIRECTOR (5/20) 1.00 0.00 X 0 0 0 TIM POWER DIRECTOR 1.00 0.00 X 0 0 0 TODD CLOWER DIRECTOR 1.00 0.00 X 0 0 0 TODD SANDIFER DIRECTOR (5/20) 1.00 0.00 X 0 0 0 WILL ROBERTS DIRECTOR (5/20) 1.00 0.00 X 0 0 0 WILLIAM HANSON DIRECTOR (5/20) 1.00 0.00 X 0 0 0 ZDAVE DELOACH DIRECTOR 1.00 0.00 X 0 0 0 THOMAS ALLEGRETTI SENIOR EXECUTIVE 40.00 0.00 X 525957 0 163765 JENNIFER CARPENTER PRESIDENT & CEO 40.00 0.00 X 504158 0 129145 MARY ANASTACIO DIR, FINANCE (TO 7/20) 40.00 0.00 X 72174 0 22555 AL ROMANO DIR, FINANCE (FROM 7/20) 40.00 0.00 X 63857 0 938 LYNN MUENCH SVP, REGIONAL ADV 40.00 0.00 X 224505 0 49575 CHARLES COSTANZO VP, PACIFIC & GEN COUNSEL 40.00 0.00 X 171210 0 33649 BEN LERNER VP, PUB AFFAIRS & COMMS 40.00 0.00 X 152709 0 31034 CRAIG MONTESANO VP, LEG AFFAIRS 40.00 0.00 X 211916 0 24488 CARMINA SMITH SVP, OPS & ADMIN 40.00 0.00 X 208957 0 19541 CAITLYN STEWART VP, REG AFFAIRS 40.00 0.00 X 147159 0 23666 JOSEPH MANION DIR, POL AFFAIRS 40.00 0.00 X 142354 0 22853 MARK WRIGHT VP, SOUTHERN 40.00 0.00 X 139564 0 37696 BRIAN BAILEY DIR, SAFETY & ENVIRON 40.00 0.00 X 118313 0 10698 2682833 0 569603 13 0 1 0 K & L GATES 1601 K STREET NW WASHINGTON DC 200061600 LEGAL 313130 1 MEMBERSHIP DUES 900099 7095121 7095121 SPECIAL PROJECTS 900099 251702 251702 MANAGEMENT SERVICES 900099 74175 74175 MEETINGS & SEMINARS 900099 37967 217 37750 7458965 72663 72663 57146 67349 -10203 -10203 -10203 MISCELLANEOUS 900099 3305 3305 3305 7524730 7421215 0 103515 128131 2381635 1823113 95239 235462 234098 11875 29401 17708 104212 99312 166035 438010 28554 244323 6512 202733 68629 SPECIAL PROJECTS EXPENS 328900 STRATEGIC COMMUNICATION 131248 DUES & SUBSCRIPTIONS 111056 PROGRAM EXPENSE 33322 41022 6960530 51036 787704 456872 169016 410000 237129 272594 2628729 1296265 320576 1332464 7039264 8000642 8273893 10803404 342016 207861 256850 331368 88288 2678974 4444978 3366128 4984207 X 4907765 5819197 4907765 5819197 8273893 10803404 564200 347232 0 X X 0 1 X 1 0 AMERICAN WATERWAYS OPERATORS PAC 801 NORTH QUINCY ST 500 ARLINGTON VA 22203 541493718 0 137587 0 0 1 7095121 485888 -2720899 -2235011 709512 -2944523 PART I-A, LINE 1: MAKING POLITICAL EXPENDITURES THROUGH A CONNECTED POLITICAL ACTION COMMITTEE (PAC). ADDITIONALLY, AWO ACTS AS A COLLECTING AGENT FOR CONTRIBUTIONS MADE TO ITS PAC, IN ACCORDANCE WITH FEDERAL ELECTION LAW. 1449372 341560 1107812 1082819 893183 189636 96538 61522 35016 1332464 DEFERRED COMPENSATION LIABILITY 3014408 CAPITAL LEASE OBLIGATION 30259 DEFERRED LEASE OBLIGATION 1400311 4444978 7993130 347232 138876 486108 7507022 17708 17708 7524730 7122851 180029 180029 6942822 17708 17708 6960530 PART XI, LINE 2D - OTHER ADJUSTMENTS: PAC REVENUES 137,587. LOSS ON SALE OF ASSETS 1,289. PART XII, LINE 2D - OTHER ADJUSTMENTS: PAC EXPENSES 178,740. LOSS ON SALE OF ASSETS 1,289. 1 AMERICAN MARITIME PARTNERSHIP 1601 K STREET NW WASHINGTON DC 20006 462571977 501(C)6 104000 PROGRAM SUPPORT COALITION TO PROTECT THE MISSOURI RIVER 519 W 9TH STREET HERMAN MO 65041 431926331 501(C)6 14500 PROGRAM SUPPORT 0 2 PART I, LINE 2: THE ORGANIZATION MONITORS THE USE OF GRANT FUNDS WITH ACTIVE STAFF INVOLVEMENT AND EVENT PARTICIPATION. X X X X X 0 1 0 THOMAS ALLEGRETTI SENIOR EXECUTIVE 415399 0 104316 0 6242 0 117100 0 46665 0 689722 0 0 0 JENNIFER CARPENTER PRESIDENT & CEO 359026 0 140000 0 5132 0 97100 0 32045 0 633303 0 0 0 LYNN MUENCH SVP, REGIONAL ADV 187262 0 35000 0 2243 0 11700 0 37875 0 274080 0 0 0 CRAIG MONTESANO VP, LEG AFFAIRS 184744 0 25000 0 2172 0 11100 0 13388 0 236404 0 0 0 CARMINA SMITH SVP, OPS & ADMIN 148932 0 58116 0 1909 0 9000 0 10541 0 228498 0 0 0 CHARLES COSTANZO VP, PACIFIC & GEN COUNSEL 158208 0 11000 0 2002 0 9660 0 23989 0 204859 0 0 0 BEN LERNER VP, PUB AFFAIRS & COMMS 133881 0 17000 0 1828 0 4200 0 26834 0 183743 0 0 0 MARK WRIGHT VP, SOUTHERN 127841 0 10000 0 1723 0 5420 0 32276 0 177260 0 0 0 CAITLYN STEWART VP, REG AFFAIRS 123488 0 22000 0 1671 0 7680 0 15986 0 170825 0 0 0 JOSEPH MANION DIR, POL AFFAIRS 125691 0 15000 0 1663 0 7620 0 15233 0 165207 0 0 0 PART I, LINE 4B THOMAS ALLEGRETTI, AND JENNIFER CARPENTER PARTICIPATED IN A 457F PLAN DURING 2020. THE ORGANIZATION CONTRIBUTED $100,000 AND $80,000 RESPECTIVELY. THESE AMOUNTS ARE SUBJECT TO SUBSTANTIAL RISK OF FORFEITURE UNDER THE TERMS OF THE CONTRACT. FORM 990, PART VI, SECTION A, LINE 1 THE EXECUTIVE COMMITTEE OF THE BOARD OF DIRECTORS INCLUDES THE CHAIRMAN OF THE BOARD, THE VICE CHAIRMAN OF THE BOARD, THE IMMEDIATE PAST CHAIRMAN OF THE BOARD, THE TREASURER, THE REGIONAL CHAIRMEN, AND THE CHAIRMEN OF THE INDUSTRY SECTOR COMMITTEES. THE VICE CHAIRMAN OF THE BOARD SHALL ANNUALLY ENSURE THAT THE COMPOSITION OF THE EXECUTIVE COMMITTEE FOR THE FOLLOWING YEAR WILL BEST SERVE THE NEEDS OF THE ASSOCIATION. WHENEVER THE VICE CHAIRMAN CONCLUDES THAT THE APPOINTMENT OF ADDITIONAL EXECUTIVE COMMITTEE MEMBERS WILL BE IN THE INTEREST OF THE ASSOCIATION, HE SHALL RECOMMEND THE APPOINTMENT OF UP TO THREE AT-LARGE MEMBERS TO THE EXECUTIVE COMMITTEE TO BE ELECTED AT THE ANNUAL MEETING OF THE ASSOCIATION TO SERVE A ONE-YEAR TERM UNTIL THE NEXT ANNUAL MEETING. THE VICE CHAIRMAN'S RECOMMENDATION SHALL BE EVALUATED BY THE EXECUTIVE COMMITTEE PRIOR TO THE ANNUAL MEETING AND PROVIDED TO THE BOARD FOR FINAL APPROVAL AT THE ANNUAL MEETING. THE PRESIDENT OF THE ASSOCIATION WILL BE AN EX-OFFICIO MEMBER OF THE EXECUTIVE COMMITTEE. FORM 990, PART VI, SECTION A, LINE 2 JC DANN, STEPHEN DANN - FAMILY RELATIONSHIP FORM 990, PART VI, SECTION A, LINE 6 MEMBERS SHALL BE CLASSIFIED AS FOLLOWS: 1) CARRIER MEMBERS - INCLUDING REGULATED FOR HIRE AND PRIVATE (INCLUDING THOSE WHO MOVE ONLY THEIR OWN MATERIALS), AND VESSEL OWNERS WHO RENT OR CHARTER THEIR FLOATING EQUIPMENT TO OTHERS. CARRIER MEMBERS WILL BE DESIGNATED WITH ONE OF THE FOLLOWING CLASSIFICATIONS: 1. PROVISIONAL MEMBERS 2) RCP CERTIFIED MEMBERS. 2) AFFILIATE MEMBERS - THOSE ASSOCIATIONS, CORPORATIONS, PARTNERSHIPS, AND SOLE PROPRIETORSHIPS SHARING COMMON INTERESTS WITH CARRIER MEMBERS. ONE SEAT ON THE BOARD OF DIRECTORS SHALL BE FILLED BY AN AFFILIATE MEMBER NOMINATED BY THE CHAIRMAN OF THE BOARD AND ELECTED BY THE EXECUTIVE COMMITTEE. IN ADDITION, UP TO FIVE ADDITIONAL AFFILIATE MEMBERS - ONE FROM EACH REGION - MAY BE ELECTED BY THE EXECUTIVE COMMITTEE UPON THE NOMINATION OF THE CHAIRMAN OF THE RESPECTIVE REGION, IN CONSULTATION WITH THE DIRECTORS FROM THAT REGION, IF THE REGIONAL CHAIRMAN DEEMS SUCH NOMINATION TO BE IN THE BEST INTEREST OF THE ASSOCIATION. 3) OTHER MEMBERS - OTHER MEMBERS ARE THOSE ENTITIES WHOSE ELIGIBILITY FOR MEMBERSHIP IS DETERMINED BY THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION A, LINE 7A AT EACH ANNUAL REGIONAL MEETING, THE CARRIER MEMBERS SHALL, INDEPENDENT OF THE MEMBERS IN OTHER REGIONS AND BY A MAJORITY VOTE, ELECT DIRECTORS ON THE BASIS PROVIDED IN SECTIONS 1 AND 2 OF ARTICLE V OF THE BYLAWS. ADDITIONAL BOARD MEMBERS WILL BE ELECTED FROM THE REGIONS ON THE BASIS OF TOTAL INCOME CONTRIBUTED AND NUMBER OF MEMBERS FROM EACH REGION. FORM 990, PART VI, SECTION A, LINE 7B EACH ELIGIBLE CARRIER MEMBER SHALL BE ENTITLED TO ONE VOTE ON ANY QUESTION PLACED BEFORE THE MEMBERSHIP FOR DETERMINATION INCLUDING ELECTIONS AS PROVIDED IN ARTICLE V, SECTION 3 OF THE BYLAWS, WHETHER SUCH QUESTION IS CONSIDERED AT A SPECIAL OR REGULAR MEETING OF THE MEMBERSHIP. FORM 990, PART VI, SECTION B, LINE 11B OUR AUDITORS, RSM, WILL DO AN INTERNAL REVIEW OF THE FORM 990. THE DIRECTOR - ACCOUNTING & FINANCE AND THE PRESIDENT AND CEO WILL REVIEW THE FORM 990 IN DETAIL BEFORE IT IS FILED. FORM 990, PART VI, SECTION B, LINE 12C AS ADMINISTERED BY THE AWO SECRETARY, EACH DIRECTOR WILL BE ASKED TO COMPLETE A CERTIFICATION OF AGREEMENT WITH THE POLICY AND DISCLOSURE OF ANY KNOWN CONFLICTS OF INTEREST UPON HIS OR HER ELECTION OR RE-ELECTION TO THE BOARD AND ANNUALLY THEREAFTER. FORM 990, PART VI, SECTION B, LINE 15 A COMPENSATION ANALYSIS IS CONDUCTED WITH AN INDEPENDENT, THIRD PARTY ORGANIZATION. THE RESULTS ARE SHARED WITH THE COMPENSATION COMMITTEE AS COMPENSATION DECISIONS ARE MADE. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XII, LINE 2C THE AUDIT OVERSIGHT PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. AMERICAN WATERWAYS OPERATORS PAC 801 NORTH QUINCY STREET ARLINGTON VA 22203 POLITICAL ACTIVITY VA 527 AMERICAN WATERWAYS OPERATORS INC 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 AMERICAN WATERWAYS OPERATORS PAC R 137587 FUNDS XFER-COLLECTING AGENT