2018-11-14T09:55:32-06:00 2017-12-31 521855942 TATE AND TRYON 2021 L STREET NW SUITE 400 WASHINGTON DC 20036 990 2017-01-01 530173915 AMERICAN WATERWAYS OPERATORS INC AMER 7038419300 801 NORTH QUINCY ST NO 200 ARLINGTON VA 22203 THOMAS A ALLEGRETTI PRESIDENT AND CEO 7038419300 2018-11-14 1 R MICHAEL SORRELLS P00001737 2022932200 216.59.105.130 2018-11-14 09:55:30 ES P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 5BC65B47B3A1F1CE2534BD8A8DAEFAC1BF945F16 2017 2019-02-21 02:37:17Z THOMAS A ALLEGRETTI 801 NORTH QUINCY ST NO 200 ARLINGTON VA 22203 8083678 0 X WWW.AMERICANWATERWAYS.COM X 1944 VA TRADE ASSOCIATION OF THE TUGBOAT, TOWBOAT AND BARGE INDUSTRY. 50 50 29 65 0 0 0 0 7230588 7036635 82963 156841 31769 25150 7345320 7218626 166900 176500 0 0 4034040 4167438 0 0 0 2672300 2232775 6873240 6576713 472080 641913 6709160 8023896 2672079 2950058 4037081 5073838 X THE AMERICAN WATERWAYS OPERATORS REPRESENTS THE COMPANIES THAT OWN AND OPERATE THE TUGBOATS, TOWBOATS AND BARGES SERVING THE RIVERS, COASTS, GREAT LAKES AND HARBORS OF THE UNITED STATES. AWO PROMOTES THE INDUSTRY'S VALUE TO THE NATION AS A DRIVER OF THE U.S. ECONOMY WITH A POSITIVE IMPACT ON THE AMERICAN QUALITY OF LIFE, MOVING VITAL COMMODITIES SAFELY, PROVIDING FAMILY-WAGE JOBS, REDUCING AIR AND WATER POLLUTION, RELIEVING HIGHWAY CONGESTION, AND PROTECTING 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. CONVENTIONS AND REGIONAL MEETINGSTHESE MEETINGS PROVIDE MEMBERS WITH SEVERAL FORUMS EACH YEAR TO LEARN ABOUT PUBLIC POLICY AND SAFETY ISSUES FACING THE TUGBOAT, TOWBOAT, AND BARGE INDUSTRY. AT THE HEART OF THE PROGRAM IS THE SHARING OF CONCERNS AND THE PLANNING AND DIRECTION OF AWO'S EFFORTS IN PROMOTING THE INDUSTRY. THERE WERE TWO NATIONAL CONVENTIONS DURING 2017 WITH ATTENDANCE OF 130-217 AT EACH PLUS 4 REGIONAL MEETINGS WITH ATTENDANCE AT EACH RANGING FROM 55-391 MEMBERS. RESPONSIBLE CARRIER PROGRAMAWO IS THE LEADING NATIONAL ADVOCATE FOR, AND PROMOTER OF, A SAFE, SECURE, AND ENVIRONMENTALLY RESPONSIBLE TUGBOAT, TOWBOAT, AND BARGE INDUSTRY. SINCE 1994, THE RESPONSIBLE CARRIER PROGRAM, A REQUIREMENT OF AWO MEMBERSHIP ALIGNED WITH 46 CFR SUBCHAPTER M PART 138, HAS SERVED AS THE ESTABLISHED SAFETY MANAGEMENT SYSTEM BASELINE OF INDUSTRY OPERATING PRINCIPLES AND PRACTICES THAT MEET OR EXCEED CURRENT GOVERNMENTAL STANDARDS FOR THE OPERATION OF TOWING VESSELS. FURTHERMORE, OVER THE PAST 22 YEARS, QUALITY ACTION TEAMS, UNDER THE AWO-U.S. COAST GUARD SAFETY PARTNERSHIP HAVE ENHANCED MARINE SAFETY AND ENVIRONMENTAL PROTECTION IN SUCH AREAS AS AIDS TO NAVIGATION, CREW ALERTNESS, PREVENTING FALLS OVERBOARD, DEVELOPING CYBER RISK MANAGEMENT BEST PRACTICES, AND ENHANCING AIDS TO NAVIGATION. 0 0 1 1 0 0 0 0 0 1 0 0 1 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 49 0 1 29 1 0 0 0 0 1 1 0 X 50 50 1 0 1 0 1 1 1 1 1 0 0 0 1 1 1 1 1 1 1 0 X MARY ANASTACIO 7038419300 801 NORTH QUINCY ST NO 200 ARLINGTON VA 22203 TED TREGURTHA CHAIRMAN (AS OF 4/17) 5.00 X X 0 0 0 TOM MARIAN VICE CHAIRMAN (AS OF 4/17) 5.00 X X 0 0 0 ART MEAD TREASURER (AS OF 4/17) 5.00 X X 0 0 0 JIM FARLEY IMMED. PAST CHAIR (AS OF 4/17) 5.00 X X 0 0 0 DARIN ADRIAN DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 BOB ALDRICH DIRECTOR 1.00 X 0 0 0 JAN ANDRUSKY DIRECTOR 1.00 X 0 0 0 SHAWN BENNETT DIRECTOR 1.00 X 0 0 0 ADAM BINSFELD DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 BRENDAN BOUCHARD DIRECTOR 1.00 X 0 0 0 MARK BOURGEOIS DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 TODD CLOWER DIRECTOR 1.00 X 0 0 0 MARTIN CURTIN DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 JC DANN DIRECTOR 1.00 X 0 0 0 STEPHEN DANN DIRECTOR 1.00 X 0 0 0 ZDAVE DELOACH DIRECTOR 1.00 X 0 0 0 MATT DEVALL DIRECTOR 1.00 X 0 0 0 HARRY DIAMOND DIRECTOR 1.00 X 0 0 0 MIKE ELLIS DIRECTOR 1.00 X 0 0 0 DEBORAH FRANCO DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 AUSTIN GOLDING DIRECTOR 1.00 X 0 0 0 CATHY HAMMOND DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 CHAS HAUN DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 SUSAN HAYMAN DIRECTOR 1.00 X 0 0 0 BRIAN HUGHES DIRECTOR 1.00 X 0 0 0 MOLLY ISNARDI DIRECTOR 1.00 X 0 0 0 RICK IULIUCCI DIRECTOR 1.00 X 0 0 0 JEFF KEIFER DIRECTOR 1.00 X 0 0 0 MARK KNOY DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 GEORGE LEAVELL DIRECTOR 1.00 X 0 0 0 HUGH MCCRORY DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 SARAH PERRY MCGEE DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 SCOTT MERRITT DIRECTOR 1.00 X 0 0 0 MARIO MUNOZ DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 BRENT NISSEN DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 FRED NYHUIS DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 GARY OSORNO DIRECTOR 1.00 X 0 0 0 JEFF PARKER DIRECTOR 1.00 X 0 0 0 LARRY PERRYMAN DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 TIM POWER DIRECTOR 1.00 X 0 0 0 BRUCE REED DIRECTOR 1.00 X 0 0 0 DAVID SEHRT DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 KAREN SHOOT DIRECTOR 1.00 X 0 0 0 MARK SMITH DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 MATT STUMP DIRECTOR 1.00 X 0 0 0 KELLY TEICHMAN DIRECTOR 1.00 X 0 0 0 PAUL TOBIN DIRECTOR 1.00 X 0 0 0 CLARK TODD DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 DEL WILKINS DIRECTOR 1.00 X 0 0 0 MATT WOODRUFF DIRECTOR (AS OF 4/17) 1.00 X 0 0 0 PETER STEPHAICH TREASURER (THRU 4/17) 5.00 X X 0 0 0 JUSTIN AVRIL DIRECTOR (THRU 4/17) 1.00 X 0 0 0 BILL BARR DIRECTOR (THRU 4/17) 1.00 X 0 0 0 JEFF BROWNING DIRECTOR (THRU 4/17) 1.00 X 0 0 0 GLENN HENDON DIRECTOR (THRU 4/17) 1.00 X 0 0 0 MATT HOLZHALB DIRECTOR (THRU 4/17) 1.00 X 0 0 0 PAUL JANOUSH DIRECTOR (THRU 4/17) 1.00 X 0 0 0 CROFT REGISTER DIRECTOR (THRU 4/17) 1.00 X 0 0 0 GREGG THAUVETTE DIRECTOR (THRU 4/17) 1.00 X 0 0 0 THOMAS ALLEGRETTI PRESIDENT & CEO OF AWO 39.00 1.00 X 583309 0 216222 MARY ANASTACIO DIRECTOR - FINANCE 35.00 5.00 X 87232 0 15112 JENNIFER CARPENTER EXEC VP & COO OF AWO 35.00 0.00 X 393622 0 119049 LYNN MUENCH SR VP-REGIONAL ADVOCACY OF AWO 40.00 0.00 X 196734 0 46047 CRAIG MONTESANO VP-LEG. AFFAIRS OF AWO 40.00 0.00 X 178111 0 19843 MARK WRIGHT VP-SOUTHERN REGION OF AWO 40.00 0.00 X 139556 0 30349 CHARLES COSTANZO VP-PACIFIC REGION OF AWO 40.00 0.00 X 127908 0 23530 CARMINA SMITH VP-OPS & ADMIN OF AWO 40.00 0.00 X 113695 0 38065 CAITLYN STEWART DIRECTOR - REGULATORY AFFAIRS 40.00 0.00 X 110473 0 10503 1930640 0 518720 11 0 1 0 0 MEMBERSHIP DUES 900099 6875481 6875481 MANAGEMENT SERVICES 900099 72821 72821 MEETINGS SPONSORSHIPS 900099 69000 69000 SPECIAL PROJECTS 900099 19333 19333 7036635 73097 73097 948796 865052 83744 83744 83744 MISCELLANEOUS 900099 25150 25150 25150 7218626 6967635 0 250991 176500 1661632 1966507 102990 239404 196905 43045 27096 25444 136244 140118 124317 493710 168579 568721 4897 169278 64038 DUES & SUBSCRIPTIONS 89922 SURGE EXPENDITURES 80523 SPECIAL PROJECTS EXPENS 29791 PROGRAM EXPENSE 27480 39572 6576713 365525 299122 696233 870388 247114 315162 198134 171475 1481365 1005404 575407 475961 3206100 4037470 1420647 1854318 6709160 8023896 364610 276763 556687 500970 77511 58273 1673271 2114052 2672079 2950058 X 4038755 5074806 -1674 -968 4037081 5073838 6709160 8023896 641913 394844 0 X X 0 1 X 1 0 AMERICAN WATERWAYS OPERATORS INC 801 NORTH QUINCY ST 200 ARLINGTON VA 22203 168569 0 0 1 6875481 672455 -2506558 -1834103 893813 -2727916 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. 320610 204926 115684 654408 753109 -98701 506347 47369 458978 475961 SECURITY DEPOSITS 80061 DEFERRED COMPENSATION INVESTMENT 1774257 1854318 DEFERRED COMPENSATION PAYABLE 1774256 OBLIGATION FOR LEASES 44716 DEFERRED RENT 209188 DEFERRED LEASE INCENTIVE LIABILITY 85892 2114052 7756595 394844 168569 563413 7193182 25444 25444 7218626 6667981 116712 116712 6551269 25444 25444 6576713 PART XI, LINE 2D - OTHER ADJUSTMENTS: PAC CONTRIBUTIONS 168,569. PART XII, LINE 2D - OTHER ADJUSTMENTS: PAC EXPENSES 116,712. 1 AMERICAN MARITIME PARTNERSHIP 1601 K STREET NW WASHINGTON DC 20006 462571977 501(C)6 104000 PROGRAM SUPPORT COAST GUARD FOUNDATION 394 TAUGWONK ROAD STONINGTON CT 06378 042899862 501(C)3 35100 PROGRAM SUPPORT SEAMEN'S CHURCH INSTITUTE 50 BROADWAY FLOOR 26 NEW YORK NY 10004 135562356 501(C)3 18500 PROGRAM SUPPORT COALITION TO PROTECT THE MISSOURI RIVER 4849 HWY B HIGBEE MO 65257 431926331 501(C)6 12000 PROGRAM SUPPORT 2 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 PRESIDENT & CEO OF AWO 356738 0 200000 0 26571 0 177663 0 56224 0 817196 0 120000 0 JENNIFER CARPENTER EXEC VP & COO OF AWO 269905 0 120000 0 3717 0 96200 0 30931 0 520753 0 0 0 LYNN MUENCH SR VP-REGIONAL ADVOCACY OF AWO 147212 0 30000 0 19522 0 10350 0 42400 0 249484 0 0 0 CRAIG MONTESANO VP-LEG. AFFAIRS OF AWO 162611 0 15000 0 500 0 9840 0 14266 0 202217 0 0 0 MARK WRIGHT VP-SOUTHERN REGION OF AWO 114010 0 12000 0 13546 0 3600 0 28920 0 172076 0 0 0 CHARLES COSTANZO VP-PACIFIC REGION OF AWO 111690 0 16000 0 218 0 6960 0 19750 0 154618 0 0 0 CARMINA SMITH VP-OPS & ADMIN OF AWO 95371 0 0 0 18324 0 28900 0 14170 0 156765 0 0 0 PART I, LINE 4B THOMAS ALLEGRETTI, LYNN MUENCH, AND CARMINA SMITH PARTICIPATED IN A 457F PLAN DURING 2017, AND CONTRIBUTED $18,000 EACH. 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 4 THERE WAS A TECHNICAL CORRECTION TO ALLOW AT-LARGE EXECUTIVE COMMITTEE MEMBERS TO ALSO SERVE CONCURRENTLY ON THE BOARD AS AN AT LARGE MEMBER. OTHER CHANGE WAS TO INCREASE OUR AFFILIATE MEMBERSHIP REPRESENTATION ON THE BOARD FOR UP TO 5 ADDITIONAL MEMBERS. 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) ASSOCIATE MEMBERS - THOSE SUBSIDIARIES, BRANCH OFFICES, AND SISTER COMPANIES OF ASSOCIATION MEMBERS THAT HOLD SEPARATE MEMBERSHIPS IN THE ASSOCIATION. THESE ASSOCIATE MEMBERS SHALL EXERCISE FULL RIGHTS OF MEMBERSHIP. 3) 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, TATE AND TRYON, WILL DO AN INTERNAL REVIEW OF THE FORM 990. THE MANAGER - FINANCE, THE PRESIDENT AND CEO, AND THE EXECUTIVE VICE PRESIDENT AND COO 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. THE AMERICAN WATERWAYS OPERATORS FOUNDATION 801 NORTH QUINCY STREET ARLINGTON VA 22203 541493718 CHARITABLE, EDUCATIONAL VA 501 (C)(3) LINE 7 AMERICAN WATERWAYS OPERATORS INC 1 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 1 0 0 0 0 0 1 0 AMERICAN WATERWAYS OPERATORS PAC R 168569 FUNDS XFER-COLLECTING AGENT