2014-10-10T17:12:35-05:00 2013-12-31 521855942 TATE AND TRYON 2021 L STREET NW SUITE 400 WASHINGTON DC 20036 990 2013-01-01 530173915 AMERICAN WATERWAYS OPERATORS INC AMER 7038419300 801 NORTH QUINCY ST NO 200 ARLINGTON VA 22203 THOMAS A ALLEGRETTI PRESIDENT AND CEO 7038419300 2014-10-10 1 SUBRINA L WOOD P00365899 2022932200 2013 2015-11-30 17:44:51Z THOMAS A ALLEGRETTI 801 NORTH QUINCY ST NO 200 ARLINGTON VA 22203 6220126 0 X WWW.AMERICANWATERWAYS.COM X 1944 VA TRADE ASSOCIATION OF TUGBOAT, TOWBOAT AND BARGE INDUSTRY. 52 52 31 52 0 0 0 0 5343713 5802968 50017 77336 9001 7389 5402731 5887693 100000 120203 0 0 2779353 2943093 0 0 0 2054718 2160782 4934071 5224078 468660 663615 3511338 4459849 2555363 1743470 955975 2716379 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 ADVOCACYPROVIDE EFFECTIVE AND PROACTIVE ADVOCACY WITH US CONGRESS AND FEDERAL AGENCIES ON THE INDUSTRY'S EFFECTIVENESS IN SAFE, EFFICIENT AND AFFORDABLE FREIGHT TRANSPORTATION AND ITS EXEMPLARY RECORD AS THE CLEANEST, MOST FUEL-EFFICIENT METHOD OF SURFACE TRANSPORTATION IN THE COUNTRY. DURING 2013 AWO SPONSORED "BARGE-IN" DAYS ON CAPITOL HILL AND PROVIDED MEMBERS WITH ACCESS TO THEIR ELECTED REPRESENTATIVES TO EXPLAIN THEIR VIEWPOINTS ON CRITICAL PUBLIC POLICY ISSUES FACING THE INDUSTRY, EXCHANGE INFORMATION ON THE STATE OF THE INDUSTRY, ITS IMPORTANCE TO THE ECONOMY, ENVIRONMENT AND NATIONAL SECURITY. 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 OF AWO'S EFFORTS IN PROMOTING THE INDUSTRY. THERE WERE TWO NATIONAL CONVENTIONS DURING 2013 WITH ATTENDANCE OF 140-175 AT EACH PLUS 6 REGIONAL MEETINGS WITH ATTENDANCE AT EACH RANGING FROM 30-160 MEMBERS. RESPONSIBLE CARRIER PROGRAMAWO IS THE LEADING NATIONAL ADVOCATE FOR, AND PROMOTER OF, A SAFE, SECURE, AND ENVIRONMENTALLY RESPONSIBLE TUGBOAT, TOWBOAT AND BARGE INDUSTRY. OVER THE PAST 17 YEARS QUALITY ACTION TEAMS 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. PARTICIPATION IN THE RESPONSIBLE CARRIER PROGRAM IS A REQUIREMENT OF MEMBERSHIP IN AWO AND CONTRIBUTED TO A 99.5% DECREASE IN TANK BARGE SPILLS BETWEEN 1994 AND 2013 (MOST RECENT DATA AVAILABLE). 0 0 1 1 0 0 0 0 0 1 1 0 1 1 1 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 0 0 1 32 0 1 31 1 0 0 0 0 1 1 0 X 52 52 1 0 1 0 1 1 1 1 1 0 0 0 1 1 1 1 1 1 1 0 X LYNN CRAIG 7038419300 801 NORTH QUNICY ST SUITE 200 ARLINGTON VA 22203 BRIAN BUCKLEY MCALLISTER CHAIRMAN 5.00 0.00 X X 0 0 0 FRANKLIN MORTON VICE CHAIR 5.00 0.00 X X 0 0 0 LINN PETERSON IMMED. PAST CHAIR 5.00 0.00 X X 0 0 0 GEORGE FOSTER TREASURER 5.00 0.00 X X 0 0 0 WILLIAM R BARR DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 SHAWN BENNETT DIRECTOR (2013-2014) 1.00 0.00 X 0 0 0 ALAN L BISH DIRECTOR (2013-2014) 1.00 0.00 X 0 0 0 MARK BOURGEOIS DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 JC DANN DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 STEPHEN DANN DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 Z DAVID DELOACH DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 MATTHEW DEVALL DIRECTOR (2013-2014) 1.00 0.00 X 0 0 0 MIKE ELLIS DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 MARK FLYNN DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 DEBORAH FRANCO DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 AUSTIN GOLDING DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 CATHY HAMMOND DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 CHARLES HAUN III DIRECTOR (2013-2014) 1.00 0.00 X 0 0 0 SUSAN HAYMAN DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 MATT HOLZHALB DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 MOLLY ISNARDI DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 FREDERICK IULIUCCI DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 J PAUL JANOUSH DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 JEFF KEIFER DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 MICHAEL LUHR DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 TOM MARIAN DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 ARTHUR F MEAD III DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 DARREN MELVIN DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 DON MILLER DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 EMMETT NEAL DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 BRENT NISSEN DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 DAN NUTT DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 FREDERIK A NYHUIS DIRECTOR (2013-2014) 1.00 0.00 X 0 0 0 GARY OSORNO DIRECTOR (2013-2014) 1.00 0.00 X 0 0 0 JEFFREY PARKER DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 KENT PEHLER DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 CHARLES LINN PETERSON DIRECTOR (2013-2014) 1.00 0.00 X 0 0 0 BRUCE REED DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 CROFT REGISTER DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 JO ANN SALYERS DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 DAVID G SEHRT DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 RAY SICK DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 RICHARD SMITH DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 MICHAEL SOMALES DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 PETER STEPHAICH DIRECTOR (2012-2014) 1.00 1.00 X 0 0 0 GREGG THAUVETTE DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 PAUL TOBIN DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 CLARK A TODD DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 EDWARD J TREGURTHA DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 DEL WILKINS DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 MATT WOODRUFF DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 ALAN ZURAWSKI DIRECTOR (2012-2014) 1.00 0.00 X 0 0 0 JAMES FARLEY SECTOR CHAIR (2012-2013) 1.00 0.00 X 0 0 0 JOSEPH A DEVALL DIRECTOR (2012-2013) 1.00 0.00 X 0 0 0 MARK MAYFIELD DIRECTOR (2012-2013) 1.00 0.00 X 0 0 0 RICHARD H LAUER DIRECTOR (2012-2013) 1.00 0.00 X 0 0 0 TOMMY ECHOLS DIRECTOR (2012-2013) 1.00 0.00 X 0 0 0 WILLIAM M WATERMAN DIRECTOR (2012-2013) 1.00 0.00 X 0 0 0 THOMAS A ALLEGRETTI PRESIDENT & CEO 40.00 X 420967 0 61236 LYNN CRAIG VICE PRESIDENT - FINANCE & 40.00 X 150161 0 39848 JENNIFER CARPENTER SENIOR VICE PRESIDENT - NA 40.00 X 254446 0 38200 LYNN MUENCH SENIOR VICE PRESIDENT - RE 40.00 X 174275 0 41224 CRAIG MONESANO DIRECTOR - LEGISLATIVE AFFAIRS 40.00 X 139284 0 20753 1139133 0 201261 5 0 1 0 0 MEMBERSHIP DUES 900099 5610300 5610300 MEETINGS SPONSORSHIPS 900099 84450 84450 MANAGEMENT SERVICES 900099 69596 69596 SPECIAL ASSESSMENTS 900099 38622 38622 5802968 37128 37128 317420 55221 280083 52350 37337 2871 40208 40208 MISCELLANEOUS 900099 7389 7389 7389 5887693 5802968 0 84725 120203 1180358 1295876 162835 153754 150270 20984 30634 13516 269921 184189 40891 445946 210726 408280 3741 95470 48861 STRATEGIC COMMUNICATION 102808 FAS 158 EXPENSE 99250 DUES & SUBSCRIPTIONS 79554 SPECIAL PROJECTS EXPENS 46241 59770 5224078 1124251 1064472 135330 36087 75034 102097 1068529 542956 461248 525573 1266909 1931793 448566 799827 3511338 4459849 188481 167384 692201 721764 1674681 854322 2555363 1743470 X 945001 2705404 10974 10975 955975 2716379 3511338 4459849 X 663615 201644 895145 X X 0 1 X 1 0 0 AMERICAN WATERWAYS OPERATORS INC PAC 801 NORTH QUINCY ST 200 ARLINGTON VA 22203 89692 0 0 1 5610300 635078 -978926 -343848 1122060 0 309535 97932 211603 720700 413112 307588 38294 31912 6382 525573 EQUITY MUTUAL FUNDS 1394210 F FIXED INCOME MUTUAL FUNDS 512981 F MONEY MARKET FUNDS 24602 F 1931793 DEFERRED COMPENSATION INVESTMENT 667175 SECURITY DEPOSITS 79511 ACCRUED PENSION ASSET 53141 799827 DEFERRED COMPENSATION PAYABLE 667175 OBLIGATION FOR LEASES 7732 DEFERRED RENT 179415 854322 X 6165513 201644 89692 291336 5874177 13516 13516 5887693 6190194 979632 979632 5210562 13516 13516 5224078 PART X, LINE 2: THE ORGANIZATION BELIEVES THAT IT HAS APPROPRIATE SUPPORT FOR ANY INCOME TAX POSITIONS TAKEN. THEREFORE, MANAGEMENT HAS NOT IDENTIFIED ANY UNCERTAIN INCOME TAX POSITIONS. AT A MINIMUM, THE DECEMBER 31, 2010 THROUGH 2013 TAX YEARS ARE OPEN FOR EXAMINATION BY TAXING AUTHORITIES. PART XI, LINE 2D - OTHER ADJUSTMENTS: PAC CONTRIBUTIONS 89,692. PART XII, LINE 2D - OTHER ADJUSTMENTS: PENSION RELATED CHANGE BELOW THE LINE 895,145. PAC EXPENSES 84,487. 1 US DEPARTMENT OF TRANSPORTATION MARITIME ADMINISTRATION 1200 NEW JERSEY AVE SE 2ND FL W28-201 WASHINGTON DC 20590 115 100000 NATIONAL TUGBOAT, TOWBOAT, AND BARGE ECONOMIC IMPACT STUDY 1 0 1 X X X X X 0 1 0 THOMAS A ALLEGRETTI PRESIDENT & CEO 204365 0 90000 0 126602 0 15000 0 46236 0 482203 0 0 0 LYNN CRAIG VICE PRESIDENT - FINANCE & 106798 0 27000 0 16363 0 7680 0 32168 0 190009 0 0 0 JENNIFER CARPENTER SENIOR VICE PRESIDENT - NA 211764 0 42000 0 682 0 12870 0 25330 0 292646 0 0 0 LYNN MUENCH SENIOR VICE PRESIDENT - RE 126235 0 30000 0 18040 0 8880 0 32344 0 215499 0 0 0 CRAIG MONESANO DIRECTOR - LEGISLATIVE AFFAIRS 132888 0 6000 0 396 0 8100 0 12653 0 160037 0 0 0 PART I, LINE 4B THOMAS ALLEGRETTI, LYNN MUENCH, AND LYNN CRAIG PARTICIPATED IN A 457F PLAN DURING 2013, AND CONTRIBUTED $17,500, $17,500, AND $15,300 RESPECTIVELY. FORM 990, PART VI, SECTION A, LINE 2 J.C. DANN, STEPHEN DANN - FAMILY RELATIONSHIP FORM 990, PART VI, SECTION A, LINE 4 THE FOLLOWING WAS ADDED TO THE CONSTITUTION IN 2013: IT IS AN OBLIGATION OF AWO MEMBERSHIP THAT EVERY CARRIER MEMBER REPORTS ITS FLEET STATISTICS ANNUALLY. EVERY TOWING VESSEL OWNED BY AN AWO CARRIER MEMBER MUST BE LISTED BY NAME AND HORSEPOWER AND PROVIDED IN AN ANNUAL MEMBER EQUIPMENT REPORT DUE NO LATER THAN THE FIRST BUSINESSES DAY OF OCTOBER. BARGE TONNAGE CAN BE REPORTED IN THE AGGREGATE; THIS PART OF THE ANNUAL REPORT MUST INCLUDE ALL BARGES OWNED AND OPERATED BY THE MEMBER CONSISTENT WITH THE REQUIREMENTS STATED BELOW. NO MEMBER MAY DECREASE ITS FLEET EQUIPMENT REPORT ONCE THE EQUIPMENT HAS BEEN REPORTED FOR THE CALCULATION OF ANNUAL ASSESSMENTS. 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) 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. 4) 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 11 OUR AUDITORS, TATE AND TRYON, WILL DO AN INTERNAL REVIEW OF THE FORM 990. THE VICE PRESIDENT - FINANCE AND ADMINISTRATION AND THE PRESIDENT AND CEO WILL BOTH 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. 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 XI, LINE 9: PENSION BELOW THE LINE 895,145. 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 AND SCIENTIFIC ACTIVITIES VA 501 (C)(3) 170 AMERICAN WATERWAYS OPERATORS INC 0 AMERICAN WATERWAYS OPERATORS PAC 801 NORTH QUINCY STREET ARLINGTON VA 22203 POLITICAL ACTIVITY VA 527 AMERICAN WATERWAYS OPERATORS INC 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0