2019-09-14T16:08:33-05:00 2018-12-31 221478099 COHNREZNICK LLP 1301 AVENUE OF THE AMERICAS NEW YORK NY 10019 990 2018-01-01 130429745 AMERICAN ARBITRATION ASSOCIATION INC AMER 2127165800 120 BROADWAY NO FL 21 NEW YORK NY 10271 FRANCESCO ROSSI SVP, CFO & TREASURER 2127165810 2019-08-22 0 LORI ROTHE YOKOBOSKY CPA P01273422 2122970400 2019-08-19 209.59.242.22 2019-08-22 11:49:54 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 238159564A7F207AC3E2D33505B4833284B8AC6F 2018 2019-02-21 02:37:17Z INDIA JOHNSON 120 BROADWAY NO FL 21 NEW YORK NY 10271 152462951 0 X WWW.ADR.ORG X 1926 NY THE AMERICAN ARBITRATION ASSOCIATION ("AAA") IS DEDICATED TO EFFECTIVE, EFFICIENT AND ECONOMICAL METHODS OF DISPUTE RESOLUTION THROUGH EDUCATION, TECHNOLOGY AND SOLUTIONS-ORIENTED SERVICE. AS A NOT-FOR-PROFIT ORGANIZATION, OUR MISSION IS ONE OF SERVICE AND EDUCATION.WE ARE COMMITTED TO PROVIDING EXCEPTIONAL NEUTRALS, PROFICIENT CASE MANAGEMENT, DEDICATED PERSONNEL, ADVANCED EDUCATION AND TRAINING, AND INNOVATIVE PROCESS KNOWLEDGE TO MEET THE CONFLICT MANAGEMENT AND DISPUTE RESOLUTION NEEDS OF THE PUBLIC NOW AND IN THE FUTURE.THE CORPORATE PURPOSE OF THE AAA, AS DESCRIBED IN ITS BYLAWS, IS "FOR THE BENEFIT AND EDUCATION OF THE GENERAL PUBLIC AND INTERESTED PARTIES, TO STUDY, RESEARCH, PROMOTE, ESTABLISH AND ADMINISTER PROCEDURES FOR THE RESOLUTION OF DISPUTES OF ALL KINDS THROUGH THE USE OF ARBITRATION, MEDIATION, CONCILIATION, NEGOTIATION, DEMOCRATIC ELECTIONS AND OTHER VOLUNTARY PROCEDURES." 20 19 626 81 0 325926 0 0 92132877 102213938 4597406 5153621 389987 736630 97120270 108104189 581877 950516 0 0 54499420 59122957 0 0 0 32555159 37258540 87636456 97332013 9483814 10772176 195656359 208558266 112579359 123132430 83077000 85425836 X THE AMERICAN ARBITRATION ASSOCIATION ("AAA") IS DEDICATED TO EFFECTIVE, EFFICIENT AND ECONOMICAL METHODS OF DISPUTE RESOLUTION THROUGH EDUCATION, TECHNOLOGY AND SOLUTIONS-ORIENTED SERVICE. AS A NOT-FOR-PROFIT ORGANIZATION, OUR MISSION IS ONE OF SERVICE AND EDUCATION.THE AMERICAN ARBITRATION ASSOCIATION ("AAA") IS DEDICATED TO EFFECTIVE, EFFICIENT AND ECONOMICAL METHODS OF DISPUTE RESOLUTION THROUGH EDUCATION, TECHNOLOGY AND SOLUTIONS-ORIENTED SERVICE. AS A NOT-FOR-PROFIT ORGANIZATION, OUR MISSION IS ONE OF SERVICE AND EDUCATION.WE ARE COMMITTED TO PROVIDING EXCEPTIONAL NEUTRALS, PROFICIENT CASE MANAGEMENT, DEDICATED PERSONNEL, ADVANCED EDUCATION AND TRAINING, AND INNOVATIVE PROCESS KNOWLEDGE TO MEET THE CONFLICT MANAGEMENT AND DISPUTE RESOLUTION NEEDS OF THE PUBLIC NOW AND IN THE FUTURE. 0 0 90064825 22392 100554538 CASE ADMINISTRATION: THE AAA ADMINISTERS TENS OF THOUSANDS OF ARBITRATIONS, MEDIATIONS AND OTHER FORMS OF DISPUTE RESOLUTION IN A GIVEN YEAR. THE AAA'S ADMINISTRATIVE ROLE IN THESE PROCESSES IS TO PROVIDE A FORUM WHERE DISPUTES CAN BE RESOLVED, TO PROVIDE ROSTERS OF QUALIFIED ARBITRATORS, MEDIATORS AND OTHER DISPUTE RESOLUTION PROFESSIONALS, AND TO APPLY OUR RULES THAT GOVERN THE CONDUCT OF THOSE PROCEEDINGS. OUR ADMINISTRATIVE SERVICES ARE ALSO PROVIDED WITH A VIEW TO OUR CORE VALUES OF INTEGRITY AND SERVICE. THE RESULTS OF THE AAA'S COLLECTIVE HAS RESULTED IN A LESSENING OF THE BURDENS OF OUR COURTS AND GOVERNMENT.THE AAA DOES NOT DECIDE CASES. RATHER, IT PROVIDES A FORUM FOR THE HEARING OF DISPUTES, TESTED RULES AND PROCEDURES THAT HAVE BROAD ACCEPTANCE AND A ROSTER OF OVER 6,000 IMPARTIAL ARBITRATORS AND MEDIATORS TO HEAR AND RESOLVE CASES. RECOGNIZED FOR THEIR STANDING, EXPERTISE IN THEIR FIELDS, AND THEIR DISPUTE RESOLUTION SKILLS, ARBITRATORS AND MEDIATORS ARE NOMINATED TO THE ASSOCIATION'S NATIONAL PANEL BY LEADERS IN THEIR INDUSTRY PROFESSION. THEIR CONDUCT IS GUIDED BY THE CODES OF ETHICS, SUCH AS THE CODE OF ETHICS FOR ARBITRATORS IN COMMERCIAL DISPUTES, DEVELOPED JOINTLY BY AAA AND THE AMERICAN BAR ASSOCIATION.AT YEAR END 2018 THE AAA, HAD 24 DOMESTIC OFFICES AND 3 INTERNATIONAL OFFICES LOCATED IN BAHRAIN, MEXICO AND SINGAPORE AND 82 COOPERATIVE AGREEMENTS WITH ARBITRAL INSTITUTIONS, UNIVERSITIES AND CHAMBERS OF COMMERCE IN 52 NATIONS. THE AAA'S WEBSITE WWW.ADR.ORG HAD OVER 1,269,000 VISITS IN 2018, WITH NEARLY 5,923,566 MILLION PAGES VIEWED. ADDITIONALLY, THE ADMINISTRATION OF ELECTION SERVICES IS A SPECIALIZED AND UNIQUE CAPABILITY OF THE AAA, AND IS PROVIDED TO VARIOUS ORGANIZATIONS, ASSOCIATIONS AND UNIONS. PROCEDURES SEEK TO ASSURE THE EQUITY OF RESULTS AND GIVE THE PARTICIPANTS THE SECURITY OF KNOWING THAT THEIR DEMOCRATIC RIGHTS HAVE BEEN FULLY AND FAIRLY PRESERVED. 2074872 928124 1649184 EDUCATION & PUBLICATIONS:THE AAA EDUCATION SERVICES DIVISION PROVIDES COMPREHENSIVE EDUCATION AND TRAINING FOR THE AMERICAN ARBITRATION ASSOCIATION. ITS FOCUS IS THE PROVISION OF EDUCATION AND TRAINING PROGRAMS BOTH IN DOMESTIC AND INTERNATIONAL SETTINGS AS WELL AS ONLINE FORMATS TO ARBITRATORS AND MEDIATORS SERVING THE AAA AND ICDR AS WELL AS ADVOCATES, BUSINESS PROFESSIONALS, AND THE GENERAL PUBLIC. AAA EDUCATION SERVICES DESIGNS AND DELIVERS PROGRAMS FOR CORPORATIONS, LAW FIRMS, COURT SYSTEMS, UNIONS AND GOVERNMENT AGENCIES. THE GOAL OF THESE PROGRAMS IS TO EDUCATE AND ENCOURAGE THE RESPONSIBLE USE OF ALTERNATIVE DISPUTE RESOLUTION PROCESSES.MANDATORY TRAINING PROGRAMS ARE DEVELOPED AND DELIVERED TO ALL NEW ARBITRATORS ON THE AAA'S ROSTER. ADVANCED COURSES ARE OFFERED THAT MEET THE AAA'S ONGOING ANNUAL TRAINING REQUIREMENTS FOR COMMERCIAL ARBITRATORS. THE GOVERNMENT RELATIONS OFFICE SERVES AS THE LIAISON WITH FEDERAL GOVERNMENT AGENCIES AND CONGRESSIONAL OFFICES IN ORDER TO SERVE AS AN INFORMATION RESOURCE ON THE ASSOCIATION AND DISPUTE RESOLUTION MECHANISMS. THE ONGOING ROLE OF THE AAA'S PUBLICATION DEPARTMENT IS TO PROMOTE UNDERSTANDING AND THE USE OF ALTERNATIVE DISPUTE RESOLUTION (ADR) IN THE FULFILLMENT OF THE AAA'S MISSION THROUGH THE PRODUCTION OF QUALITY PUBLICATIONS. ON THE BROADEST LEVEL, THE PUBLICATIONS DEPARTMENT HELPS TO FULFILL THE NOT-FOR-PROFIT EDUCATIONAL MISSION OF THE AAA. 92139697 1 0 0 1 0 0 0 0 1 0 1 0 0 0 1 1 0 1 0 1 1 1 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 1 4149 0 1 626 1 1 1 0 0 0 0 0 0 0 0 0 0 0 X 20 19 1 0 0 0 1 1 0 1 1 0 0 1 1 1 1 1 1 1 0 0 CA NY NJ OR PA X FRANCESCO ROSSI SVP CFO & TREAS 2127165810 120 BROADWAY FLOOR 21 NEW YORK NY 10271 X ALBERT BATES JR ESQ DIRECTOR 0.50 X 0 0 0 DAVID L EVANS ESQ DIRECTOR 1.00 X 0 0 0 DENIS J HAUPTLY DIRECTOR 0.50 X 0 0 0 DR PATRICIA D GALLOWAY DIRECTOR 0.50 X 0 0 0 EDNA SUSSMAN ESQ DIRECTOR 1.00 3.00 X 0 0 0 HAROLD HONGJU KOH DIRECTOR 0.50 X 0 0 0 HON DEBORAH G HANKINSON DIRECTOR 0.50 X 0 0 0 HON JAMES T GILES RET DIRECTOR 0.50 X 0 0 0 HON WILLIAM G BASSLER DIRECTOR 0.50 X 0 0 0 INDIA JOHNSON PRESIDENT AND CEO 50.00 3.00 X X 905945 0 75627 JAMES R JENKINS CHAIRMAN OF THE COUNCIL 1.00 2.00 X X 0 0 0 JOSEPH D GARRISON ESQ DIRECTOR 0.50 X 0 0 0 MARTIN F SCHEINMAN ESQ DIRECTOR 0.50 X 0 0 0 MELINDA REID HATTON DIRECTOR 0.75 X 0 0 0 PETER B HAMILTON OUTGOIN DIRECTOR 1.00 X 0 0 0 PETER R DIXON DIRECTOR 0.50 X 0 0 0 PROFESSOR FRANCIS MCGOVERN DIRECTOR 0.50 3.00 X 0 0 0 RICHARD A ANDERSON DIRECTOR 0.50 X 0 0 0 TERESA E MCCASLIN CHAIRPERSON OF THE COUNCIL 1.00 X X 0 0 0 WOLF VON KUMBERG DIRECTOR 0.50 X 0 0 0 ERIC P TUCHMANN GENERAL COUNSEL & CORP SEC 50.00 3.00 X 498048 0 64431 FRANCESCO ROSSI CFO, TREASURER & SENIOR VP 50.00 3.00 X 546722 0 67719 CHRISTINE L NEWHALL SENIOR VICE PRESIDENT 50.00 X 436558 0 60152 DIANA N DIDIA SENIOR VICE PRESIDENT 50.00 X 409960 0 62031 DWIGHT D JAMES SENIOR VICE PRESIDENT 50.00 X 408509 0 52596 ERIC DILL SENIOR VICE PRESIDENT 50.00 X 341631 0 59317 HAROLD COLEMAN JR SENIOR VICE PRESIDENT 50.00 X 353187 0 53032 ROBERT MATLIN SENIOR VICE PRESIDENT 50.00 X 411780 0 59782 ADRIANA ODICE VICE PRESIDENT 50.00 3.00 X 203058 0 53017 INTERNA KHUTORSKY VICE PRESIDENT 50.00 X 207575 0 51485 MAUREEN KURDZIEL VICE PRESIDENT 50.00 X 274758 0 21713 MICHAEL C CLARK VICE PRESIDENT 50.00 X 238535 0 19250 SASHA CARBONE VICE PRESIDENT 50.00 X 268212 0 56196 5504478 0 756348 88 0 1 0 ZENSAR TECHNOLOGIES INC 120 WOOD AVE S ISELIN NJ 08830 IT SUPPORT & DEVELOPMENT 3308163 BIG IDEA 6 MAIDEN LANE SUITE 925 OAK BROOK IL 60523 MARKETING SERVICES 1757187 TRI-STAR CONSTRUCTION CORP 770 LEXINGTON AVENUE NEW YORK NY 10065 CONSTRUCTION & OFFICE BUILDOUT 528883 IT CONVERGENCE PO BOX 56346 ATLANTA GA 30343 IT SUPPORT & DEVELOPMENT 237207 SCHNADER HARRISON SEGAL & LEWIS 1600 MARKET STREET STE 3600 PHILADELPHIA PA 19103 LEGAL SERVICES 234166 57 X DISPUTE RESOLUTION REV. 561000 100554538 100554538 SEMINAR REVENUE 611600 1083986 1083986 OTHER EDUCATION REVENUE 611600 318750 318750 PUBLICATION REVENUE 611600 256664 256664 102213938 4881375 4881375 708015 708015 343699 315084 28615 28615 28615 44315924 44033462 10216 282462 -10216 272246 -10216 282462 108104189 102203722 0 5900467 928124 928124 5000 5000 17392 17392 4877399 3505931 1371468 40910452 39304902 1605550 3432020 3214368 217652 6440680 6277688 162992 3462406 3336623 125783 4495811 4123131 372680 821303 705524 115779 109910 97591 12319 47958 47958 2414583 2350820 63763 4920402 4832643 87759 2892177 2787021 105156 9377644 9170080 207564 1286732 1127708 159024 660013 479089 180924 4145879 4032096 113783 563627 543538 20089 DIRECT ELECTIONS EXP 2650522 2650522 BAD DEBT 1335723 1335723 DIRECT EDUCATION EXP 312129 312129 DIRECT PUBLICATION EXP 22753 22753 1201374 979301 222073 97332013 92139697 5192316 0 3450 3452 11429236 12839714 20317120 20650881 2553299 2798473 43177737 21250063 20464597 21927674 140053822 149038904 834835 1299168 195656359 208558266 83846714 91090822 9224005 9201030 2002280 4518551 17506360 18322027 112579359 123132430 X 83077000 85425836 83077000 85425836 195656359 208558266 X 10772176 -9178755 755415 X X 0 1 X 1 0 X 69150650 76072094 89989244 92132877 102213938 429558803 69150650 76072094 89989244 92132877 102213938 429558803 0 5124882 8239325 5872550 6016962 8611878 33865597 5124882 8239325 5872550 6016962 8611878 33865597 395693206 4527867 3759759 3498333 5149317 5933089 22868365 4527867 3759759 3498333 5149317 5933089 22868365 73678517 79831853 93487577 97282194 108147027 452427168 0.87460 0.87860 0.05050 0.04880 X 0 1 0 0 0 0 1 100000 0 0 100000 0 PART II-B, LINE 1: THE AAA GOVERNMENT RELATIONS DEPARTMENT MONITORS, ANALYZES, AND RESPONDS AS NEEDED TO LEGISLATIVE, REGULATORY, AND POLICY ISSUES THAT MAY IMPACT THE ASSOCIATION, AT THE FEDERAL, STATE AND LOCAL LEVELS. THE DEPARTMENT ALSO PROMOTES THE USE WORKS WITH GOVERNMENT AGENCIES AND DECISION-MAKERS TO ASSIST IN THE DESIGN AND IMPLEMENTATION OF ALTERNATIVE DISPUTE RESOLUTION PROGRAMS AND PROCEDURES. 0 2002280 4170948 1654677 4518551 1 X 11356164 5338340 6017824 7599879 4314136 3285743 24221694 11597587 12624107 21927674 ACCRUED POST RETIREMENT MEDICAL COSTS 9194742 ACCRUED PENSION LIABILITY 3502038 DEFERRED RENT 5625247 18322027 X 97498747 -9225954 -1302915 -10528869 108027616 47958 28615 76573 108104189 95139687 -196669 -196669 95336356 47958 1947699 1995657 97332013 PART IV, LINE 2B: THE AAA IS A FOUNDING MEMBER AND SUPPORTER OF THE INTERNATIONAL MEDIATION INSTITUTE (IMI), A GLOBAL INSTITUTION HEADQUARTERED IN THE NETHERLANDS WHOSE VISION IS GENERATING ENHANCED CONFIDENCE IN MEDIATORS AND IMPROVED UNDERSTANDING OF MEDIATION. DURING 2018, THE ASSOCIATION AGREED TO ASSIST IMI IN THE COLLECTION OF IMI LISTING CONTRIBUTIONS FROM AAA NEUTRALS. THERE IS A SEPARATE BANK ACCOUNT WITH AN ASSOCIATED AND EQUAL SEPARATE LIABILITY ACCOUNT MAINTAINED. AAA AND IMI FUNDS ARE NOT CO-MINGLED. ALL SUPPORTING DOCUMENTATION FOR ACTIVITY IS MAINTAINED BY THE AAA, THE ACCOUNT IS RECONCILED MONTHLY AND PERIODIC TRANSFERS ARE MADE TO IMI. AT DECEMBER 31, 2018, THE BALANCE OF IMI FUNDS HELD BY THE AAA WAS $1,104.57. THE ASSOCIATION ALSO HOLDS FUNDS PERTAINING TO CERTAIN LEGAL CASES. DURING 2018, THE TOTAL FUNDS IN ESCROW AT YEAR END WAS $0 THE ASSOCIATIONS INTERNATIONAL CENTRE FOR DISPUTE RESOLUTION HAS A CUSTODIAL ARRANGEMENT WITH THE U.S. DEPARTMENT OF COMMERCE. THE EU-US PRIVACY SHIELD ANNEX I BINDING ARBITRATION MECHANISM IS A PROGRAM THAT REQUIRES PARTICIPATING ORGANIZATIONS OF THE EU-US PRIVACY SHIELD TO PAY A PERIODIC CONTRIBUTION TO THE FUND TO BE USED FOR THE COSTS ASSOCIATED WITH THE ARBITRATIONS ARISING OUT OF THE PRIVACY SHIELD PROGRAM. THE ASSOCIATION RECORDS RESTRICTED CASH AND A CORRESPONDING LIABILITY FOR AMOUNTS RECEIVED FROM THESE PARTICIPATING ORGANIZATIONS. THE RESTRICTED CASH AND CORRESPONDING LIABILITY BALANCES AS OF DECEMBER 31, 2018 WAS $4,518,551. PART X, LINE 2: THE AAA IS EXEMPT FROM FEDERAL INCOME TAX UNDER THE PROVISIONS OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE; THEREFORE, NO PROVISION FOR INCOME TAXES IS INCLUDED IN THE ASSOCIATION'S CONSOLIDATED FINANCIAL STATEMENTS. THE ASSOCIATION HAS NO UNRECOGNIZED TAX BENEFITS AT DECEMBER 31, 2018 AND 2017. THE ASSOCIATION'S U.S. FEDERAL AND STATE INCOME TAX RETURNS PRIOR TO FISCAL YEAR 2015 ARE CLOSED AND MANAGEMENT CONTINUALLY EVALUATES EXPIRING STATUTES OF LIMITATIONS, AUDITS, PROPOSED SETTLEMENTS, CHANGES IN TAX LAW AND NEW AUTHORITATIVE RULINGS. PART XI, LINE 2D - OTHER ADJUSTMENTS: BANK FEES -1,943,409. INTERCOMPANY ELMINATIONS -968,562. FNDN BANK FEES -4,290. RELATED PARTY INVEST INCOME 23,747. RELATED PARTY REVENUES 1,589,599. PART XI, LINE 4B - OTHER ADJUSTMENTS: RENTAL INCOME NETTED WITH EXPENSE ON FS 28,615. PART XII, LINE 2D - OTHER ADJUSTMENTS: RELATED PARTY EXPENSES 800,508. RELATED PARTY -968,562. RENT SUBSIDY -28,615. PART XII, LINE 4B - OTHER ADJUSTMENTS: BANK FEES 1,943,409. BANK FEES-FNDN 4,290. 0 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 1 1 PROGRAM SERVICES ADR SERVICES 3850 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 GRANTS TO RECIPIENTS 17392 1 1 0 0 1 1 21242 0 21242 EUROPE (INCLUDING ICELAND & GREENLAND) - GENERAL SUPPORT 17392 LOAN WRITEOFF FAIR MARKET VALUE 1 0 0 0 0 0 0 PART I, LINE 2: SCHEDULE F, PART I, LINE 2: AN ANNUAL BUDGET IS DEVELOPED FOR THE AMERICAN ARBITRATION ASSOCIATION, AND INCLUDES FINANCIAL ASSISTANCE TO ORGANIZATIONS OUTSIDE THE UNITED STATES. INTERNAL FINANCIAL STATEMENTS ARE PRODUCED MONTHLY, AND VARIANCES TO BUDGET ARE REVIEWED AND INVESTIGATED TO THE SOURCE. SCHEDULE F, PART I, EAST ASIA: OFFICE LOCATION: N/A. STAFFING: ONE DOMESTICALLY BASED VICE PRESIDENT IS RESPONSIBLE FOR THIS GEOGRAPHIC REGION. THE EXPENSES NOTED INCLUDE THE COSTS ASSOCIATED WITH EDUCATION PROGRAMS IN EAST ASIA (NON-US). SCHEDULE F, PART II: THE AMERICAN ARBITRATION ASSOCIATION ("AAA") IS A FOUNDING MEMBER OF THE INTERNATIONAL MEDIATION INSTITUTE ("IMI"), LOCATED AT LAAN VAN MEERDERVOORT 70, 2517 AN THE HAGUE, THE NETHERLANDS. THE AAA WROTE OFF 10% OF AN EXISTING LOAN TO IMI, THUS PROVIDING NON-CASH SUPPORT TO THIS ENTITY WITH VALUE OF US $17,392. THE POTENTIAL FOR EXCHANGE RATE VARIANCES ON THE REMAINING LOAN IS PERIODICALLY REVIEWED BY MANAGEMENT. 1 AAA-ICDR FOUNDATION INC 120 BROADWAY 21ST FL NEW YORK NY 10271 134197286 501(C)(3) 750000 47624 CASH VALUE WEBSITE DEVELOPMENT COSTS GENERAL SUPPORT. IN ADDITION, THE ORGANIZATION DONATED COSTS ASSOCIATED WITH THE DEVELOPMENT OF THE AAA-ICDR FOUNDATION'S WEBSITE, VALUED AT $47,624 AND DONATED EMPLOYEE TIME VALUED AT APPROXIMATELY $170,000. AMERICAN HEART ASSOCIATION 7272 GREENVILLE AVENUE DALLAS TX 75231 135613797 501(C)(3) 5500 CASH VALUE SPONSORSHIP NETWORK FOR GOOD 1140 CONNECTICUT AVE NW700 WASHINGTON DC 20036 680480736 501(C)(3) 15000 CASH VALUE GENERAL SUPPORT NY LAW SCHOOL HOUSING CLINIC 185 W BROADWAU NEW YORK NY 10013 999999999 501(C)(3) 25000 CASH VALUE DONATION TO HOUSING RIGHTS CLINIC RAND INSTITUTE FOR CIVIL JUSTICE 1776 MAIN STREET SANTA MONICA CA 90407 951958142 501(C)(3) 75000 CASH VALUE PROJECT SUPPORT SANCTUARY FOR FAMILIES PO BOX 1406 WALL ST STATION NEW YORK NY 10268 133193119 501(C)(3) 5000 CASH VALUE MEMORIAL DONATION THE MONTROSE CENTER 401 BRANARD STREET HOUSTON TX 77006 742050245 501(C)(3) 5000 CASH VALUE MEMORIAL DONATION 7 AAA/RORY MEMORIAL ESSAY COMPETITION 1 5000 0 CASH VALUE PART I, LINE 2: THE AMERICAN ARBITRATION ASSOCIATION IS THE SOLE CORPORATE MEMBER OF THE AAA-ICDR FOUNDATION, PURSUANT TO THE AAA-ICDR FOUNDATION'S CERTIFICATE OF INCORPORATION AND BYLAWS. THE AAA RECEIVES PERIODIC, UNAUDITED FINANCIAL STATEMENTS FROM THE AAA-ICDR FOUNDATION. IN ADDITION, AAA RECEIVED A COPY OF THE AAA-ICDR FOUNDATION'S AUDITED FINANCIAL STATEMENTS FOR THE YEAR ENDING DECEMBER 31, 2018. X 1 1 X X X X X 0 0 0 1 0 0 0 0 0 INDIA JOHNSON PRESIDENT AND CEO 641467 0 250000 0 14478 0 40500 0 36769 0 983214 0 0 0 ERIC P TUCHMANN GENERAL COUNSEL & CORP SEC 360426 0 135000 0 2622 0 28744 0 36540 0 563332 0 0 0 FRANCESCO ROSSI CFO, TREASURER & SENIOR VP 390012 0 155000 0 1710 0 30392 0 38190 0 615304 0 0 0 CHRISTINE L NEWHALL SENIOR VICE PRESIDENT 312958 0 115000 0 8600 0 25025 0 36164 0 497747 0 0 0 DIANA N DIDIA SENIOR VICE PRESIDENT 298372 0 110000 0 1588 0 24107 0 38626 0 472693 0 0 0 DWIGHT D JAMES SENIOR VICE PRESIDENT 288685 0 110939 0 8885 0 22907 0 30625 0 462041 0 0 0 ERIC DILL SENIOR VICE PRESIDENT 242926 0 95000 0 3705 0 20091 0 40023 0 401745 0 0 0 HAROLD COLEMAN JR SENIOR VICE PRESIDENT 251466 0 95939 0 5782 0 20682 0 33326 0 407195 0 0 0 ROBERT MATLIN SENIOR VICE PRESIDENT 293933 0 110000 0 7847 0 23655 0 37142 0 472577 0 0 0 ADRIANA ODICE VICE PRESIDENT 172967 0 28700 0 1391 0 14770 0 39083 0 256911 0 0 0 INTERNA KHUTORSKY VICE PRESIDENT 164789 0 39000 0 3786 0 13993 0 38070 0 259638 0 0 0 MAUREEN KURDZIEL VICE PRESIDENT 220257 0 51250 0 3251 0 15896 0 6601 0 297255 0 0 0 MICHAEL C CLARK VICE PRESIDENT 202853 0 35000 0 682 0 16376 0 3418 0 258329 0 0 0 SASHA CARBONE VICE PRESIDENT 214578 0 52500 0 1134 0 17818 0 38994 0 325024 0 0 0 PART I, LINE 5 SENIOR MANAGEMENT COMPENSATION INCLUDES THE POTENTIAL FOR ANNUAL INCENTIVE COMPENSATION AWARDS, WHICH MAY BE BASED, IN PART, UPON THE ACHIEVEMENT OF GOALS RELATED TO INITIATIVES, PROJECTS, FINANCIAL PERFORMANCE TARGETS AND OTHER OUTCOMES. THESE AMOUNTS ARE INCLUDED ON SCHEDULE J, PART II, COLUMN B (II) AND INCLUDED IN THE 2018 W-2. FORM 990, PART VI, SECTION A, LINE 2 WHILE THE AMERICAN ARBITRATION ASSOCIATION ("AAA") HAS NO ACTUAL KNOWLEDGE OF ANY FAMILY OR BUSINESS RELATIONSHIP BETWEEN OFFICERS, TRUSTEES OR KEY EMPLOYEES, WE WOULD ANTICIPATE THAT AMONG THE GOVERNING BODY, THAT IS COMPOSED OF A WIDE RANGE OF LEADERS FROM VARIOUS FIELDS, THAT SOME RELATIONSHIP MAY EXIST. HOWEVER, THE AAA HAS RELIED UPON THE RESPONSES OF OFFICERS, TRUSTEES AND KEY EMPLOYEES TO ANNUAL QUESTIONNAIRES DESIGNED TO ELICIT THE DISCLOSURE OF THESE RELATIONSHIPS, AND ALTHOUGH THESE ARE NOTED AS REASONABLE EFFORTS IN THE INSTRUCTIONS FOR THIS FORM, IT IS WITH AN ABUNDANCE OF CAUTION THAT WE HAVE RESPONDED AFFIRMATIVELY TO THIS QUESTION. FORM 990, PART VI, SECTION A, LINE 6 THE AMERICAN ARBITRATION ASSOCIATION IS A CORPORATION WITH MEMBERS WHO ARE COLLECTIVELY REFERRED TO AS THE COUNCIL OF THE AAA. THERE ARE NO SEPARATE OR DISTINCT MEMBERSHIP CLASSES WITHIN THE COUNCIL OF THE AAA. AS NOTED IN THE BYLAWS OF THE AAA, THE COUNCIL CONSISTS OF BETWEEN 80 AND 100 MEMBERS. THE BOARD OF DIRECTORS CONSISTS OF BETWEEN 15 TO 18 COUNCIL MEMBERS, PLUS THREE OFFICERS WHO ARE EX OFFICIO DIRECTORS. THE COUNCIL HAS THE POWER TO ELECT COUNCIL MEMBERS, DIRECTORS AND CERTAIN OFFICERS, INCLUDING THE PRESIDENT, CHAIR OF THE BOARD OF DIRECTORS AND THE CHAIR OF THE COUNCIL. COUNCIL MEMBERS ARE ELECTED AT THE ANNUAL MEETING OF THE COUNCIL TO A THREE YEAR TERM AND ARE ELIGIBLE TO BE ELECTED FOR UP TO THREE SUCCESSIVE THREE-YEAR TERMS. ALSO, PER THE BYLAWS, "ANY VACANCIES ON THE COUNCIL MAY BE FILLED BY THE COUNCIL OR BY THE BOARD OF DIRECTORS. A MEMBER ELECTED BY THE COUNCIL TO FILL A VACANCY SHALL BE ELECTED FOR THE UNEXPIRED TERM OF THE MEMBER'S PREDECESSOR IN OFFICE AND UNTIL HIS OR HER SUCCESSOR IS DULY ELECTED AND QUALIFIED. A MEMBER ELECTED BY THE BOARD OF DIRECTORS TO FILL A VACANCY SHALL BE ELECTED FOR THE TERM OF OFFICE CONTINUING ONLY UNTIL THE NEXT ANNUAL MEETING OF THE COUNCIL, AND UNTIL HIS OR HER SUCCESSOR IS DULY ELECTED, APPOINTED AND QUALIFIED BY THE COUNCIL." FORM 990, PART VI, SECTION A, LINE 7A AS PER THE BYLAWS OF THE AMERICAN ARBITRATION ASSOCIATION (AAA), "THE MEMBERS OF THE CORPORATION SHALL BE COLLECTIVELY REFERRED TO AS THE COUNCIL OF THE AMERICAN ARBITRATION ASSOCIATION AND CONSISTS OF BETWEEN 80 TO 100 MEMBERS. THE COUNCIL HAS THE POWER TO ELECT COUNCIL MEMBERS, DIRECTORS AND CERTAIN OFFICERS, INCLUDING THE PRESIDENT, THE CHAIR OF THE BOARD OF DIRECTORS AND THE CHAIR OF THE COUNCIL. FORM 990, PART VI, SECTION B, LINE 11B PRIOR TO SUBMISSION TO THE AUDIT COMMITTEE, THE SUBSTANTIVE INPUT FOR THE FORM 990 IS GATHERED AND REVIEWED BY SENIOR MANAGEMENT BASED UPON RESPONSIBILITY FOR THEIR RESPECTIVE AREAS OF OPERATIONS. IT IS COMPILED AND REVIEWED BY THE FINANCE DEPARTMENT WITH THE ASSISTANCE OF THE AAA'S INDEPENDENT ACCOUNTING FIRM. IT IS THEN SUBMITTED FOR REVIEW TO EXECUTIVE MANAGEMENT AT THE OFFICER LEVEL (PRESIDENT AND CEO, CFO / TREASURER AND GENERAL COUNSEL / CORPORATE SECRETARY.) SUBSEQUENT TO THESE REVIEWS THE FORM 990 IS FORWARDED TO THE COMMITTEE, AND IS MADE AVAILABLE TO THE BOARD OF DIRECTORS. ONCE REVIEWED BY THE COMMITTEE, IT IS SIGNED BY THE CFO / TREASURER AS THE APPROPRIATE OFFICER OF THE AAA, AND TRANSMITTED TO THE INTERNAL REVENUE SERVICE (IRS) BY THE AAA'S INDEPENDENT ACCOUNTING FIRM. FORM 990, PART VI, SECTION B, LINE 12C PER THE AMERICAN ARBITRATION ASSOCIATION'S (AAA'S) BYLAWS: "THE BOARD OF DIRECTORS, THE AUDIT COMMITTEE OR A DULY AUTHORIZED COMMITTEE OF THE BOARD COMPRISED SOLELY OF DIRECTORS WHO SATISFY THE DEFINITION OF "INDEPENDENT DIRECTOR" WITHIN THE MEANING OF NPCC, SHALL OVERSEE THE ADOPTION AND IMPLEMENTATION OF AND COMPLIANCE WITH A CONFLICT OF INTEREST POLICY" DIRECTORS COMPLETE A CONFLICT OF INTEREST FORM ANNUALLY. A SEPARATE ANNUAL CONFLICT OF INTEREST STATEMENT IS REQUIRED BY THE AAA OF ITS OFFICERS AND KEY EMPLOYEES. IN BOTH INSTANCES, THE CORPORATE SECRETARY, ALSO THE AAA'S GENERAL COUNSEL, MANAGES THE RECEIPT AND REVIEW OF CONFLICT OF INTEREST SUBMISSIONS. THE AAA HAS RELIED UPON THE RESPONSES OF OFFICERS, DIRECTORS AND KEY EMPLOYEES TO ANNUAL QUESTIONNAIRES DESIGNED TO ELICIT THE DISCLOSURE OF THESE RELATIONSHIPS, AND REVIEW OF THESE FORMS IS NOTED AS REASONABLE EFFORT PER THE INSTRUCTIONS OF THIS FORM. FORM 990, PART VI, SECTION B, LINE 15A THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS REVIEWS THE PRESIDENT AND CHIEF EXECUTIVE OFFICER'S COMPENSATION, WHICH IS SUBSEQUENTLY APPROVED BY THE BOARD OF DIRECTORS. THE COMPENSATION COMMITTEE, COMPRISED OF DIRECTORS, A MAJORITY OF WHICH ARE INDEPENDENT OF THE AAA, REVIEWS COMPENSATION DATA PROVIDED BY AN INDEPENDENT CONSULTANT, AND MINUTES TO THE COMMITTEE MEETINGS ARE CONTEMPORANEOUSLY RECORDED AND MAINTAINED AT THE AAA. FORM 990, PART VI, SECTION B, LINE 15B: THE PRESIDENT AND CHIEF EXECUTIVE OFFICER REVIEWS OFFICER AND KEY EMPLOYEE COMPENSATION (EXCLUDING HER OWN). THE REVIEW INCLUDES A REVIEW OF MEASURED PERFORMANCE, AS WELL AS COMPARABLE COMPENSATION RANGES PROVIDED BY AN INDEPENDENT CONSULTANT FOR POSITIONS WITH SIMILAR RESPONSIBILITIES. FORM 990, PART VI, SECTION C, LINE 19 THE AMERICAN ARBITRATION ASSOCIATION ("AAA") MAKES AVAILABLE ITS FORM 990 FOR PUBLIC INSPECTION UPON REQUEST, AND IT IS MADE AVAILABLE ON THE WWW.GUIDESTAR.ORG WEBSITE AS WELL. THE AAA DOES NOT PROVIDE FORM 1023 PER GUIDANCE ON THE IRS WEBSITE AS THE AAA DID NOT FILE THIS FORM AFTER JULY 15, 1987, NOR DID IT HAVE A COPY ON THAT DATE. TO DATE, GOVERNING DOCUMENTS AND POLICIES CONCERNING CONFLICT OF INTEREST HAVE NOT BEEN MADE AVAILABLE TO THE PUBLIC. FORM 990, PART VII, SECTION B, LINE 1: THE AMERICAN ARBITRATION ASSOCIATION ("AAA", "THE ASSOCIATION") MAINTAINS A ROSTER OF OVER 6,000 IMPARTIAL ARBITRATORS AND MEDIATORS TO HEAR AND RESOLVE CASES. TO MAINTAIN NEUTRALITY AND INTEGRITY OF THE ALTERNATIVE DISPUTE RESOLUTION PROCESS, THE ASSOCIATION FACILITATES PAYMENT TO ARBITRATORS AND MEDIATORS ON MOST CASES ON BEHALF OF THE PARTIES TO AAA ADMINISTERED CASES BY ACTING AS A CONDUIT FOR SUCH PAYMENTS. IN OTHER WORDS, THE ASSOCIATION DELIVERS PARTY PAYMENTS TO ARBITRATORS AND MEDIATORS, AND ISSUES A 1099-MISCELLANEOUS FORM TO EACH NEUTRAL AT YEAR END CONSOLIDATING ALL PARTY PAYMENTS MADE THROUGH THE AAA IN THAT PERIOD. ANY RELATED EXPENSES INCURRED BY ARBITRATORS AND MEDIATORS ARE THE RESPONSIBILITY OF THE PARTIES, NOT THE ASSOCIATION. ARBITRATORS AND MEDIATORS ARE NOT CONSIDERED TO BE INDEPENDENT CONTRACTORS AS DEFINED BY THE IRS FOR THE PURPOSES OF THE FORM 990, AS THEY PROVIDE NO GOOD OR SERVICE DIRECTLY TO THE ASSOCIATION. THE 4,148 FORM 1099-MISCELLANEOUS SUBMISSIONS NOTED ON PART V, QUESTION 1A INCLUDE SUBMISSIONS FOR PAYMENTS MADE BY PARTIES TO IMPARTIAL ARBITRATORS AND MEDIATORS THROUGH THE AAA. THE AAA RECORDS THESE FUNDS IN A CUSTODIAL CAPACITY AS A LIABILITY ON THE AAA'S BALANCE SHEET. THESE FUNDS ARE NOT RECORDED OR RECOGNIZED AS INCOME OR EXPENSE. THE AAA ENSURES THAT THE IRS RECEIVES A 1099-MISCELLANEOUS FOR THE ARBITRATORS AND MEDIATORS' CONSOLIDATED ANNUAL ACTIVITY. SOME ARBITRATORS AND MEDIATORS ARE MEMBERS OF THE ASSOCIATION'S BOARD OF DIRECTORS. HOWEVER, SUCH SERVICE IS PURELY VOLUNTARY AND NO MEMBER OF THE BOARD IS COMPENSATED FOR THEIR SERVICE AS A MEMBER OF THE BOARD, INCLUDING ANY MEMBER OF THE BOARD THAT IS ALSO A NEUTRAL. OF THE AAA'S TOTAL ROSTER OF IMPARTIAL ARBITRATORS AND MEDIATORS, THERE WERE 491 ARBITRATORS AND MEDIATORS WHO RECEIVED COMPENSATION IN EXCESS OF $100,000 IN 2018. FORM 990, PART VIII, LINE 2A - 2D SINCE 1926, THE AMERICAN ARBITRATION ASSOCIATION ("AAA") HAS FAITHFULLY AND CONSISTENTLY ADHERED TO THESE GUIDELINES, AND THE REVENUE-PRODUCING ACTIVITIES LISTED IN PART VIII ARE ALL EXECUTED IN SUPPORT OF THE FOLLOWING: THE REVENUE-PRODUCING ACTIVITIES LISTED IN PART VIII ARE ALL EXECUTED IN SUPPORT OF THE FOLLOWING: 2A - RELATES TO THE PURPOSE OF "ADMINISTERING PROCEDURES FOR THE RESOLUTION OF DISPUTES." THIS IS DONE BY FACILITATING PARTIES' USE OF VARIOUS SYSTEMS OF ARBITRATION, MEDIATION AND DEMOCRATIC ELECTIONS. 2B - RELATES TO THE PURPOSE OF EDUCATING THE GENERAL PUBLIC AND INTERESTED PARTIES BY WAY OF EDUCATIONAL SEMINARS RUN BY THE AAA IN VARIOUS COMMUNITIES IN FULL RANGE OF SUCH DISPUTE RESOLUTION PROCEDURES AS DESCRIBED IN OUR BYLAWS. 2C - RELATES TO THE PURPOSE OF TRAINING AND EDUCATING THE BAHRAIN CHAMBER FOR DISPUTE RESOLUTION IN A FULL RANGE OF SUCH DISPUTE RESOLUTION PROCEDURES AS DESCRIBED IN OUR BYLAWS. 2D - RELATES TO THE SALE OF EDUCATIONAL PUBLICATIONS ON THE SUBJECT OF CONFLICT MANAGEMENT AND VOLUNTARY DISPUTE RESOLUTION TO THE GENERAL PUBLIC AND INTERESTED PARTIES. THESE INCLUDE BOOKS, PAMPHLETS AND OTHER EDUCATIONAL MATERIALS, AS WELL AS DIGITALLY FORMATTED PUBLICATIONS PRODUCTS AND ARBITRATION AWARDS THAT ARE PUBLICLY AVAILABLE ONLINE FORM 990, PART XI, LINE 9: MINIMUM PENSION LIABILITY ADJUSTMENT -694,015. ACCRUED POST RETIREMENT ADJUSTMENT 1,449,430. FORM 990, PART XII, LINE 2C: NO CHANGE FROM PRIOR PERIOD PROCESS. AMERICAN ARBITRATION ASSOCIATION - ICDR LTD 1 MARINA BOULEVARD 28-00 SN 018989 980677444 DISPUTE RESOLUTION SN 0 24059 AMERICAN ARBITRATION ASSOCIATION INC AMERICAN ARBITRATION ASSOCIATION - INT'L CENTRE FOR DISPUTE RESOLUTION FNDN 120 BROADWAY FLOOR 21 NEW YORK NY 10271 134197286 DISPUTE RESOLUTION RESEARCH NY 501(C)(3) LINE 7 AMERICAN ARBITRATION ASSOCIATION INC 1 0 1 0 0 0 0 0 0 0 0 0 1 0 1 1 1 1 1 0