2017-11-13T13:23:20-06:00 2016-12-31 521855942 Tate and Tryon 2021 L Street NW Suite 400 Washington DC 20036 990 2016-01-01 530173915 AMERICAN WATERWAYS OPERATORS INC AMER 7038419300 801 NORTH QUINCY ST No 200 ARLINGTON VA 22203 THOMAS A ALLEGRETTI President and CEO 7038419300 2017-11-13 1 R Michael Sorrells P00001737 2022932200 216.59.105.130 2017-11-13 13:23:18 ES P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 5BC65B47B3A1F1CE2534BD8A8DAEFAC1BF945F16 2016 2017-02-10 21:41:12Z THOMAS A ALLEGRETTI 801 NORTH QUINCY ST No 200 ARLINGTON VA 22203 7647839 0 X WWW.AMERICANWATERWAYS.COM X 1944 VA TRADE ASSOCIATION OF the TUGBOAT, TOWBOAT AND BARGE INDUSTRY. 51 51 34 62 0 0 0 0 7047289 7230588 91325 82963 24828 31769 7163442 7345320 189918 166900 0 0 3795619 4034040 0 0 0 2841131 2672300 6826668 6873240 336774 472080 5765604 6709160 2263262 2672079 3502342 4037081 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 2016 with attendance of 140-175 at each plus 6 regional meetings with attendance at each ranging from 40-350 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, HAS SERVED AS THE ESTABLISHED BASELINE OF INDUSTRY OPERATING PRINCIPLES AND PRACTICES REGARDING MANAGEMENT AND ADMINISTRATION; EQUIPMENT AND INSPECTION; AND HUMAN FACTORS THAT MEET OR EXCEED CURRENT GOVERNMENTAL STANDARDS FOR THE OPERATION OF INDUSTRY VESSELS. FURTHERMORE, OVER THE PAST 20 YEARS, QUALITY ACTION TEAMS, UNDER THE AWO-U.S. COAST GUARD SAFETY PARTNERSHIP HAVE ENHANCED MARINE SAFETY AND ENVIRONMENTAL PROTECTION IN SUCH AREAS AS CREW ALERTNESS, MAJOR AND MEDIUM TANK BARGE SPILLS, HURRICANE COMMUNICATION PROCEDURES, AND COAST GUARD PERSONNEL TRAINING PROGRAMS. 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 60 0 1 34 1 0 0 0 0 1 1 0 X 51 51 1 0 0 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 Jim Farley Chairman 5.00 X X 0 0 0 Ted Tregurtha vice chairman 5.00 X X 0 0 0 Peter Stephaich Treasurer 5.00 X X 0 0 0 David Sehrt immediate past chairman 5.00 X X 0 0 0 Darin Adrian Director 1.00 X 0 0 0 Bob Aldrich Director 1.00 X 0 0 0 Justin Avril Director 1.00 X 0 0 0 Bill Barr Director 1.00 X 0 0 0 Shawn Bennett Director 1.00 X 0 0 0 Brendan Bouchard Director 1.00 X 0 0 0 Mark Bourgeois Director 1.00 X 0 0 0 Jeff Browning Director 1.00 X 0 0 0 Todd Clower Director 1.00 X 0 0 0 JC Dann Director 1.00 X 0 0 0 Stephen Dann Director 1.00 X 0 0 0 Z Dave 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 1.00 X 0 0 0 Austin Golding Director 1.00 X 0 0 0 Cathy Hammond Director 1.00 X 0 0 0 Chas Haun Director 1.00 X 0 0 0 Susan Hayman Director 1.00 X 0 0 0 Glenn Hendon Director 1.00 X 0 0 0 Matt Holzhalb 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 Paul Janoush Director 1.00 X 0 0 0 Jeff Keifer Director 1.00 X 0 0 0 George Leavell Director 1.00 X 0 0 0 Tom Marian Director 1.00 X 0 0 0 Scott Merritt Director 1.00 X 0 0 0 Hugh McCrory Director 1.00 X 0 0 0 Art Mead Director 1.00 X 0 0 0 Brent Nissen Director 1.00 X 0 0 0 Fred Nyhuis Director 1.00 X 0 0 0 Gary Osorno Director 1.00 X 0 0 0 Jeff Parker Director 1.00 X 0 0 0 Tim Power Director 1.00 X 0 0 0 Bruce Reed Director 1.00 X 0 0 0 Croft Register Director 1.00 X 0 0 0 Karen Shoot Director 1.00 X 0 0 0 Matt Stump Director 1.00 X 0 0 0 Kelly Teichman Director 1.00 X 0 0 0 Gregg Thauvette Director 1.00 X 0 0 0 Paul Tobin Director 1.00 X 0 0 0 Clark Todd Director 1.00 X 0 0 0 Del Wilkins Director 1.00 X 0 0 0 Matt Woodruff Director 1.00 X 0 0 0 Frank Morton Imm. Past Chair (thru 4/16) 5.00 X X 0 0 0 Tina Dinsmoor Director(thru 4/16) 1.00 X 0 0 0 Mark Flynn Director(thru 4/16) 1.00 X 0 0 0 Andrew Garger Director(thru 4/16) 1.00 X 0 0 0 Buckley McAllister Director(thru 4/16) 1.00 X 0 0 0 Ray Sick Director(thru 4/16) 1.00 X 0 0 0 Rich Smith Director(thru 4/16) 1.00 X 0 0 0 Mike Somales Director(thru 4/16) 1.00 X 0 0 0 Thomas Allegretti President & CEO 39.00 1.00 X 395815 0 271336 Lynn Craig VP-Finance (thru 9/16) 35.00 0.00 X 95758 0 19467 Mary Anastacio Manager-Finance (as of 9/16) 35.00 0.00 X 58423 0 6279 Jennifer A Carpenter EVP & COO 40.00 0.00 X 360615 0 117482 Lynn Muench SVP, Regional Advocacy 40.00 0.00 X 191711 0 42733 Craig Montesano VP, Leg Affairs 40.00 0.00 X 170169 0 18745 Mark Wright VP, Southern Region 40.00 0.00 X 143172 0 31222 Carmina Smith VP, Ops & Admin 40.00 0.00 X 117446 0 14699 Charles Costanzo VP, Pacific Region 40.00 0.00 X 117416 0 31049 1650525 0 553012 7 0 1 0 Pricewaterhouse Coopers 300 Madison Avenue New York NY 10017 Research Study/Consultant 207500 1 Membership Dues 900099 7063450 7063450 Management Services 900099 72821 72821 MEETINGS SPONSORSHIPS 900099 60500 60500 Special Assessments 900099 33817 33817 7230588 61068 61068 324414 302519 21895 21895 21895 miscellaneous 900099 31769 31769 31769 7345320 7230588 0 114732 166900 1806037 1701682 84957 237889 203475 50256 37900 22501 137649 174303 125146 494239 234980 693621 4478 166768 61856 strATEGIC COMMUNICATION 254097 Dues & Subscriptions 119685 Special Projects Expens 33817 program Expense 27757 33247 6873240 335870 365525 744971 696233 144909 247114 96927 198134 1433967 858560 613894 575407 2724353 3206100 1104680 1420647 5765604 6709160 123703 364610 714264 556687 42435 77511 1382860 1673271 2263262 2672079 X 3490432 4038755 11910 -1674 3502342 4037081 5765604 6709160 472080 62659 0 X X 0 1 X 1 0 AMERICAN WATERWAYS OPERATORS INC 801 north quincy st 200 arlington VA 22203 175971 0 0 1 7063450 690963 -1784831 -1093868 1412690 -2506558 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 177869 142741 613028 651235 -38207 500329 29456 470873 575407 Security deposits 80061 deferred compensation investment 1340586 1420647 DEFERRED COMPENSATION PAYABLE 1340585 OBLIGATION FOR LEASES 7045 Deferred Rent 220303 DEFERRED LEASE INCENTIVE LIABILITY 105338 1673271 7561449 62659 175971 238630 7322819 22501 22501 7345320 7038384 187645 187645 6850739 22501 22501 6873240 Part XI, Line 2d - Other Adjustments: pac contributions 175,971. Part XII, Line 2d - Other Adjustments: pac expenses 187,645. 1 Coast Guard Foundation 394 Taugwonk Road Stonington CT 06378 042899862 501(c)3 46500 Program Support Seamen's Church Institute 50 Broadway Floor 26 New York NY 10004 135562356 501(c)3 18500 Program Support American Maritime Partnership 1601 K Street NW Washington DC 20006 462571977 501(c)6 80000 Program Support Coalition to Protect the Missouri River 4849 Hwy B Higbee MO 65257 431926331 501(c)6 10000 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 349082 0 18000 0 28733 0 235540 0 50839 0 682194 0 18000 0 Jennifer A Carpenter EVP & COO 257019 0 100000 0 3596 0 95600 0 27356 0 483571 0 0 0 Lynn Muench SVP, Regional Advocacy 142240 0 30000 0 19471 0 10050 0 39589 0 241350 0 0 0 Craig Montesano VP, Leg Affairs 155694 0 14000 0 475 0 9420 0 11015 0 190604 0 0 0 Mark Wright VP, Southern Region 130844 0 12000 0 328 0 4882 0 28164 0 176218 0 0 0 Part I, Line 4b Thomas Allegretti, Lynn Muench, Lynn Craig, and Carmina Smith participated in a 457f plan during 2016, and contributed $18,000, $18,000, $8,000, and $18,000 respectively. Form 990, Part VI, Section A, line 1 THE EXECUTIVE COMMITTEE OF THE BOARD OF DIRECTORS SHALL BE CONSTITUTED AS DETERMINED BY THE BOARD OF DIRECTORS BUT SHALL INCLUDE 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 ALL DULY-RECOGNIZED CONFERENCES (EXCEPT THE CHAIRMAN OF THE NEW YORK TOWBOAT AND HARBOR CARRIERS CONFERENCE) AND 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. THE EXECUTIVE COMMITTEE IS RESPONSIBLE TO THE BOARD OF DIRECTORS FOR POLICYMAKING AND DAY-TO-DAY OVERSIGHT OF THE AFFAIRS OF THE ASSOCIATION. THE EXECUTIVE COMMITTEE SHALL MEET AT THE CALL OF THE CHAIRMAN OF THE BOARD OF DIRECTORS. THE EXECUTIVE COMMITTEE SHALL KEEP THE BOARD OF DIRECTORS FULLY INFORMED OF ITS ACTIVITIES. TERMS OF THE VOTING MEMBERS OF THE EXECUTIVE COMMITTEE SHALL BE TWO YEARS, WITH MEMBERS' TERMS STAGGERED TO ASSURE ORDERLY TURNOVER. A QUORUM OF THE EXECUTIVE COMMITTEE SHALL BE A MAJORITY OF THOSE MEMBERS ELIGIBLE TO VOTE. 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. 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. 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 VICE PRESIDENT - 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 COMPENSATION IS DETERMINED BY AN ANNUAL PERORMANCE EVALUATION AND COMPARABLE COMPENSATION IN OTHER TRADE ASSOCIATIONS AS ANALYZED AND REPORTED BY AN INDEPENDENT ORGANIZATION. SALARY COMPARABILITY DATA IS REVIEWED FOR ALL STAFF MEMBERS. THE EXECUTIVE COMMITTEE REVIEWS AND APPROVES ALL STAFF COMPENSATION, WITH A PARTICULAR FOCUS ON THE CEO, THE COO, AND MANAGEMENT STAFF. 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 175971 funds xfer-collecting agent