2017-11-10T13:59:35-06:00 2016-12-31 363963131 MANN WEITZ & ASSOCIATES LLC 111 DEER LAKE ROAD SUITE 125 DEERFIELD IL 60015 990 2016-01-01 362976274 AMERICAN ASSOCIATION OF INDIVIDUAL INVESTORS AMER 3122800170 625 N MICHIGAN AVE NO 1900 CHICAGO IL 60611 JOHN BAJKOWSKI PRESIDENT 3122800170 2017-11-10 1 MARCY STEINDLER P00573131 8472673400 50.225.221.110 2017-11-10 13:57:19 CS P 0DAC9BA592CE44B801BEE1C53454AB995567C56E 0DAC9BA592CE44B801BEE1C53454AB995567C56E 2016 2017-02-10 21:41:12Z JOHN BAJKOWSKI 625 N MICHIGAN AVE NO 1900 CHICAGO IL 60611 8709972 0 X WWW.AAII.COM X 1978 DE TO ASSIST INDIVIDUALS TO BECOME EFFECTIVE MANAGERS OF THEIR OWN ASSETS THROUGH PROGRAMS OF EDUCATION, INFORMATION AND RESEARCH. 6 4 30 401 0 0 0 0 7007482 6180154 461132 506925 520326 1004304 7988940 7691383 0 0 0 0 3102309 3148088 0 0 0 5057222 4607295 8159531 7755383 -170591 -64000 8581653 8123726 17944784 16850101 -9363131 -8726375 X THE AMERICAN ASSOCIATION OF INDIVIDUAL INVESTORS IS AN INDEPENDENT NONPROFIT CORPORATION FORMED IN 1978 FOR THE PURPOSE OF ASSISTING INDIVIDUALS IN BECOMING EFFECTIVE MANAGERS OF THEIR OWN ASSETS THROUGH PROGRAMS OF EDUCATION, INFORMATION AND RESEARCH. 0 0 2480455 3199462 MEMBERSHIP PROGRAMS: AAII PROVIDES INVESTMENT EDUCATION, INFORMATION AND RESEARCH FOR OVER 169,000 MEMBERS. MEMBERS RECEIVE ACCESS TO THE AAII.COM WEBSITE AND ITS 19 YEAR ARCHIVE OF PERSONAL FINANCE AND INVESTING ARTICLES. MEMBERS ALSO RECEIVE MONTHLY ISSUES OF THE 36 PAGE AAII JOURNAL WITH EDUCATIONAL ARTICLES AND FEATURES, COVERING PORTFOLIO MANAGEMENT, STOCK AND MUTUAL FUND INVESTING APPROACHES, RETIREMENT PLANNING, TAXATION, INSURANCE AND FINANCIAL PLANNING. ANNUAL, AAII MEMBERS RECEIVE INVESTMENT INFORMATION GUIDES INCLUDING OUR MUTUAL FUNDS GUIDE, PERSONAL TAX GUIDE, GUIDE TO EXCHANGE TRADED FUNDS AND SEVERAL OTHER EDUCATIONAL INVESTMENT GUIDES. 676645 2756184 SUBSCRIPTION PROGRAMS: AAII OFFERS SUBSCRIPTION PROGRAMS THAT PROVIDE MEMBERS WITH INVESTMENT INFORMATION, EDUCATION AND RESEARCH. OUR STOCK INVESTOR SOFTWARE PROGRAM ALLOWS USERS TO CONDUCT FUNDAMENTAL STOCK ANALYSIS AND RESEARCH ON OVER 6,000 PUBLICLY TRADED COMPANIES. AAII'S COMPUTERIZED INVESTING SUBSCRIPTION EDUCATES READERS ON HOW TO UTILIZE AVAILABLE WEBSITES, SOFTWARE, AND ONLINE TOOLS TO BETTER MANAGE THEIR PERSONAL INVESTING PORTFOLIOS. THE STOCK SUPERSTARS (SSR) AND DIVIDEND INVESTING (DI) WEBSITES AND CORRESPONDING PUBLICATIONS PROVIDE INFORMATION AND RESEARCH ON STOCK ANALYSIS AND PORTFOLIO CONSTRUCTION AND MANAGEMENT, THE QUARTERLY MUTUAL FUND UPDATE PROVIDES READERS WITH MUTUAL FUND INFORMATION AND DATA. OUR INDIVIDUAL INVESTOR PUBLICATION COVERS THE BASICS OF INVESTING. 212161 224508 NATIONAL PROGRAMS: THE GOAL OF OUR LOCAL CHAPTER PROGRAMS IS TO OFFER UNBIASED INVESTMENT EDUCATION AND MEMBERSHIP INTERACTION. AAII HOSTS 249 LOCAL CHAPTER MEETINGS AT 40 CHAPTERS IN 30 STATES EACH YEAR. CHAPTER MEETINGS IN 2016 FOR ALL LOCAL CHAPTER PROGRAMS HAD 14,142 ATTENDEES. AAII ALSO HOSTS A BIENNIAL 3 DAY INVESTOR CONFERENCE FEATURING EDUCATIONAL SPEAKERS. THE NEXT CONFERENCE WILL BE HELD IN NOVEMBER 2017. 3610664 387403 OTHER PROGRAM SERVICES: AAII PROVIDES PROGRAMS OF INVESTMENT EDUCATION TO THE GENERAL PUBLIC AND COLLEGE STUDENTS. FOR THE PURPOSE OF EDUCATING THE PUBLIC ABOUT INVESTING, AAII MAINTAINS A FREE WEBSITE CALLED INVESTINGPATHWAYS.COM. THE SITE COVERS INVESTING BASICS, ASSET ALLOCATION AND PORTFOLIO MANAGEMENT. AAII ALSO MAINTAINS A FREE, ON-LINE INVESTMENT EDUCATION PROGRAM FOR UNIVERSITY PROFESSORS AND THEIR STUDENTS. THE PROGRAM PROVIDES PARTICIPANTS WITH ACCESS TO THE MONTHLY JOURNAL, OUR INVESTOR CLASSROOM SERIES AND MEMBERS-ONLY AREAS OF THE AAII.COM WEBSITE, ALL WITH THE GOAL OF DELIVERING INVESTMENT EDUCATION TO COLLEGE STUDENTS. BOOKS: AAII OFFERS MEMBERS SEVERAL EDUCATIONAL BOOK TITLES WITHIN OUR AAII INVESTOR LIBRARY SERIES. THESE TITLES COVER INVESTING BASICS, RETIREMENT PLANNING AND PORTFOLIO BUILDING.INVESTING AT LEVEL3: HIGHER RETURNS WITH MINIMAL RISK FOR THE LONG-TERM INDIVIDUAL INVESTOR IS A 319 PAGE HARD COVER BOOK WITH COMPANION WEBSITE. AUTHORED BY AAII FOUNDER, JAMES B. CLOONAN, THE BOOK IS DESIGNED TO SHOW INDIVIDUAL INVESTORS HOW TO THINK ABOUT INVESTMENT RISK AND INVESTMENT ALLOCATION. THE BOOK'S FOCUS IS ON IMPLEMENTING AND CONTROLLING LONG-TERM INVESTMENT STRATEGIES WITH A FOCUS ON KNOWING AND DEFINING WHAT INVESTMENT RISK MEANS TO EACH INDIVIDUAL INVESTOR. 3610664 387403 6979925 1 0 0 0 0 0 0 0 0 0 1 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 14 0 1 30 1 0 0 0 0 0 0 0 0 0 0 X 6 4 0 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 X DONNA M CARONE 3122800170 625 N MICHIGAN AVE NO 1900 CHICAGO IL 60611 JAMES CLOONAN CHAIRMAN 32.00 X X 164442 0 29937 JOHN BAJKOWSKI PRESIDENT/CEO 40.00 X X 284407 0 32056 JOHN MARKESE VICE CHAIRMAN 2.00 X 14342 0 0 BYRON POLLACK DIRECTOR 2.00 X 14342 0 0 LLOYD SHEFSKY DIRECTOR 2.00 X 14342 0 0 GEORGE W GAU DIRECTOR 2.00 X 14342 0 0 HARRY MADORIN SR VP OPERATIONS/SECRETARY 40.00 X 229798 0 27783 ADAM PFEFFER VP MARKETING 40.00 X 198382 0 29027 CHARLES ROTBLUT VP EDITOR 40.00 X 193640 0 22727 WAYNE THORP VP SR FIN ANALYST 40.00 X 143349 0 12007 NICK POWELL IS DIRECTOR 40.00 X 127382 0 23220 DONNA CARONE CONTROLLER 40.00 X 141870 0 15575 PETER NGUYEN WEB MANAGER 40.00 X 108428 0 17103 1649066 0 209435 9 0 1 0 PERSONIFY PO BOX 759470 BALTIMORE MD 21275 COMPUTER SOFTWARE 464899 LSC COMMUNICATIONS PO BOX 842291 BOSTON MA 022842291 COMMUNICATIONS 422947 GOLDSTAR GRAPHICS 17549 W WINDHAVEN CT GRAYSLAKE IL 60030 PRINTING 362457 ZELL GRAPHICS 329 W 18TH STREET CHICAGO IL 60616 MAILING HOUSE 216886 THOMPSON REUTERS PO BOX 415983 BOSTON MA 02241 DATA SERVICES 212468 6 MEMBERSHIP PROGRAMS 990009 3199462 3199462 SUBSCRIPTIONS 990009 2756184 2756184 NATIONAL PROGRAMS 990009 224508 224508 6180154 101368 101368 616901 616901 1264994 859437 405557 405557 405557 546555 159152 387403 387403 7691383 6567557 0 1123826 1374036 1236632 137404 1277862 1150076 127786 53952 48557 5395 289622 260660 28962 152616 137354 15262 26366 23729 2637 33721 30349 3372 1429418 1286476 142942 222552 200297 22255 476636 428972 47664 331870 298683 33187 221183 199065 22118 13913 12522 1391 194783 175305 19478 33479 30131 3348 22983 20685 2298 PUBLICATIONS 1101374 991236 110138 MEMBER INFORMATION 233254 209929 23325 CHAPTERS 201856 181670 20186 MISCELLANEOUS 63907 57597 6310 7755383 6979925 775458 0 161 49 582459 655239 69084 167665 2265 1981 353720 222926 849333 360670 77845 488663 7496119 6587203 8581653 8123726 502198 218764 17311657 16467826 130929 163511 17944784 16850101 X -9363131 -8726375 -9363131 -8726375 8581653 8123726 -64000 523295 177461 0 X 0 0 0 X 5464168 6728410 6585446 7007482 6726709 32512215 5464168 6728410 6585446 7007482 6726709 32512215 0 0 0 32512215 431771 546691 623131 655110 718275 2974978 431771 546691 623131 655110 718275 2974978 5895939 7275101 7208577 7662592 7444984 35487193 0.91620 0.92220 0.08380 0.07780 X 38589 38589 0 116656 113625 3031 694088 208456 485632 488663 ACCRUED PAYROLL EXPENSES 163511 163511 X X X X 0 0 0 0 0 0 0 0 0 JAMES CLOONAN CHAIRMAN 164442 0 0 0 0 0 7568 0 22369 0 194379 0 0 0 JOHN BAJKOWSKI PRESIDENT/CEO 284407 0 0 0 0 0 13250 0 18806 0 316463 0 0 0 HARRY MADORIN SR VP OPERATIONS/SECRETARY 229798 0 0 0 0 0 11684 0 16099 0 257581 0 0 0 ADAM PFEFFER VP MARKETING 198382 0 0 0 0 0 10227 0 18800 0 227409 0 0 0 CHARLES ROTBLUT VP EDITOR 193640 0 0 0 0 0 9927 0 12800 0 216367 0 0 0 WAYNE THORP VP SR FIN ANALYST 143349 0 0 0 0 0 7235 0 4772 0 155356 0 0 0 NICK POWELL IS DIRECTOR 127382 0 0 0 0 0 6485 0 16735 0 150602 0 0 0 DONNA CARONE CONTROLLER 141870 0 0 0 0 0 7235 0 8340 0 157445 0 0 0 FORM 990, PART VI, SECTION B, LINE 11B THE TAX RETURN AND SCHEDULES ARE GIVEN TO THE PRESIDENT TO REVIEW AFTER THEY HAVE BEEN COMPLETED. COPIES ARE THEN SENT TO THE BOARD OF DIRECTORS FOR THEIR REVIEW. ANY QUESTIONS AND COMMENTS ARE SUBMITTED BY THE BOARD TO THE PRESIDENT AND CONTROLLER. IF CHANGES ARE REQUIRED, THE REVISED RETURN IS SENT AGAIN TO THE BOARD FOR FINAL APPROVAL. FORM 990, PART VI, SECTION B, LINE 12C ALL OFFICERS AND DIRECTORS ARE MONITORED BY THE CHIEF EXECUTIVE AND CHAIRMAN REGARDING ALL SIGNIFICANT TRANSACTIONS FOR ANY CONFLICT OF INTEREST. THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS ALSO REVIEWS THESE TRANSACTIONS. FORM 990, PART VI, SECTION B, LINE 15 THE ANNUAL NATIONAL COMPENSATION STUDY SALARY SURVEY BY THE AMERICAN RESEARCH COMPANY IS PROVIDED TO THE BOARD OF DIRECTORS. THE SURVEY IS REVIEWED BY THE INDEPENDENT BOARD DIRECTORS WHO COMPRISE THE COMPENSATION COMMITTEE. ALL OFFICER COMPENSATION IS REVIEWED BY THE COMPENSATION COMMITTEE. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC WITH A WRITTEN REQUEST. COPIES ARE MADE AND MAILED TO THE INTERESTED PARTY.