2012-11-10T16:34:40-06:00 2011-12-31 521855942 TATE AND TRYON 2021 L STREET NW SUITE 400 WASHINGTON DC 20036 990 2011-01-01 530173915 AMERICAN WATERWAYS OPERATORS INC AMER 7038419300 801 NORTH QUINCY ST NO 200 ARLINGTON VA 22203 THOMAS A ALLEGRETTI 7038419300 2012-11-10 1 SUBRINA L WOOD P00365899 2022932200 2011 2016-02-24 21:20:13Z THOMAS A ALLEGRETTI 801 NORTH QUINCY ST NO 200 ARLINGTON VA 22203 5413139 0 X WWW.AMERICANWATERWAYS.COM X 1944 VA TRADE ASSOCIATION OF TUGBOAT, TOWBOAT AND BARGE INDUSTRY. 52 52 32 52 0 0 0 0 5107095 5333118 53438 64640 16580 15381 5177113 5413139 25000 25000 0 0 2574506 2712689 0 0 0 2254438 2363741 4853944 5101430 323169 311709 2706813 3079611 1964836 2735225 741977 344386 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 2011 AWO SPONSORED "BARGE-IN" DAY 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 2011 WITH ATTENDANCE OF 140-175 AT EACH PLUS 8 REGIONAL MEETINGS WITH ATTENDANCE AT EACH RANGING FROM 30-120 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 16 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 FOR MEMBERSHIP IN AWO AND CONTRIBUTED TO A 99.5% DECREASE IN TANK BARGE SPILLS BETWEEN 1994 AND 2011 (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 0 1 46 0 1 32 1 0 0 0 0 1 1 0 X 52 52 0 0 0 0 1 1 0 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 PETER H STEPHAICH 5.00 X X 0 0 0 CHARLES LINN PETERSON 5.00 X X 0 0 0 GEORGE FOSTER 5.00 X X 0 0 0 H MERRITT LANE III 5.00 X X 0 0 0 WILLIAM R BARR 1.00 X 0 0 0 CAPT ALAN BISH 1.00 X 0 0 0 MARK BOURGEOIS 1.00 X 0 0 0 LARRY R DAILY 1.00 X 0 0 0 JC DANN 1.00 X 0 0 0 STEPHEN DANN 1.00 X 0 0 0 Z DAVID DELOACH 1.00 X 0 0 0 JOSEPH A DEVALL 1.00 X 0 0 0 TOMMY ECHOLS 1.00 X 0 0 0 JAMES FARLEY 1.00 X 0 0 0 CHERRIE FELDER 1.00 X 0 0 0 MARK FLYNN 1.00 X 0 0 0 DEBORAH FRANCO 1.00 X 0 0 0 AUSTIN GOLDING 1.00 X 0 0 0 CATHY HAMMOND 1.00 X 0 0 0 CHARLES HAUN 1.00 X 0 0 0 MATT HOLZHALB 1.00 X 0 0 0 FREDERICK IULIUCCI 1.00 X 0 0 0 J PAUL JANOUSH 1.00 X 0 0 0 RICHARD H LAUER 1.00 X 0 0 0 MICHAEL LUHR 1.00 X 0 0 0 TOM MARIAN 1.00 X 0 0 0 MARK MAYFIELD 1.00 X 0 0 0 BRIAN BUCKLEY MCALLISTER 1.00 X 0 0 0 ARTHUR F MEAD III 1.00 X 0 0 0 DARREN MELVIN 1.00 X 0 0 0 FRANKLIN MORTON 1.00 X 0 0 0 EMMETT NEAL 1.00 X 0 0 0 LEE NELSON 1.00 X 0 0 0 BRENT NISSEN 1.00 X 0 0 0 DAN NUTT 1.00 X 0 0 0 FREDERIK A NYHUIS 1.00 X 0 0 0 JEFFREY PARKER 1.00 X 0 0 0 JAMES W PATTERSON 1.00 X 0 0 0 KENT PEHLER 1.00 X 0 0 0 CROFT REGISTER 1.00 X 0 0 0 STEVE SCALZO 1.00 X 0 0 0 DAVID G SEHRT 1.00 X 0 0 0 RICHARD SMITH 1.00 X 0 0 0 MICHAEL SOMALES 1.00 X 0 0 0 GREG THAUVETTE 1.00 X 0 0 0 PAUL TOBIN 1.00 X 0 0 0 CLARK A TODD 1.00 X 0 0 0 EDWARD J TREGURTHA 1.00 X 0 0 0 WILLIAM M WATERMAN 1.00 X 0 0 0 TED WAXLER 1.00 X 0 0 0 MATT WOODRUFF 1.00 X 0 0 0 ALAN ZURAWSKI 1.00 X 0 0 0 THOMAS A ALLEGRETTI 40.00 X X 380732 0 55508 LYNN M CRAIG 40.00 X 131122 0 30037 JENNIFER A CARPENTER 40.00 X 225513 0 26760 LYNN M MUENCH 40.00 X 156795 0 42153 CHRISTOPHER COAKLEY 40.00 X 139788 0 28236 ANNE D BURNS 40.00 X 116991 0 14500 ROBERT L CLINTON 40.00 X 116304 0 31670 1267245 0 228864 7 0 1 0 0 MEMBERSHIP DUES 900099 4935779 4935779 SPECIAL PROJECTS 900099 214371 214371 MEETINGS 900099 113150 113150 MANAGEMENT SERVICES 900099 68318 68318 PUBLICATIONS 900099 1500 1500 5333118 28230 28230 36410 0 36410 36410 36410 MISCELLANEOUS 900099 15381 15381 15381 5413139 5333118 0 80021 25000 698098 1470038 154880 261276 128397 41455 29789 9540 201356 170369 34799 399862 187422 350176 5673 72117 25049 CEMS/AMP 258049 SPECIAL PROJECT EXPENSE 226979 STRATEGIC COMMUNICATION 118506 FAS 158 EXPENSE 110196 122404 5101430 713106 754599 220456 83234 50406 44246 953008 440675 115736 512333 1166146 1121007 440963 564192 2706813 3079611 220333 206584 469656 637898 1274847 1890743 1964836 2735225 X 729664 333412 12313 10974 741977 344386 2706813 3079611 X 311709 -709300 X X 0 1 1 X 0 AMERICAN WATERWAYS OPERATORS INC PAC 801 NORTH QUINCY ST 200 ARLINGTON VA 22203 89380 0 0 1 4935779 603313 -227704 375609 987156 -611547 309535 45620 263915 605179 378461 226718 38294 16594 21700 512333 EQUITY MUTUAL FUNDS 810125 F FIXED INCOME MUTUAL FUNDS 303958 F MONEY MARKET FUNDS 6924 F 1121007 DEFERRED COMPENSATION INVESTMENT 564192 564192 DEFERRED COMPENSATION PAYABLE 564192 OBLIGATION FOR LEASES 23936 ACCRUED PENSION 1302615 1890743 5413139 5101430 311709 -99828 -609472 -709300 -397591 5393151 -99828 89380 -10448 5403599 9540 9540 5413139 5775388 683498 683498 5091890 9540 9540 5101430 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: 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, 2008 THROUGH 2011 TAX YEARS ARE OPEN FOR EXAMINATION BY TAXING AUTHORITIES. PART XI, LINE 8 - OTHER ADJUSTMENTS: PENSION BELOW THE LINE -609,472. PART XII, LINE 2D - OTHER ADJUSTMENTS: PAC CONTRIBUTIONS 89,380. PART XIII, LINE 2D - OTHER ADJUSTMENTS: PENSION RELATED CHANGE BELOW THE LINE 609,472. PAC EXPENSES 74,026. 1 COAST GUARD FOUNDATION 394 TAUGWONK ROAD STONINGTON CT 06378 042899862 501C3 15000 GENERAL SUPPORT UNIVERSITY OF ST THOMAS 2115 SUMMIT AVE ST PAUL MO 55105 115 10000 SUPPORT FOR THE OBERSTAR PROFESSORSHIP IN LAW AND PUBLIC POLICY 1 1 1 X X X X X 0 1 0 THOMAS A ALLEGRETTI 292374 0 81038 0 7320 0 31200 0 29703 0 441635 0 0 0 LYNN M CRAIG 107193 0 23000 0 929 0 7188 0 26985 0 165295 0 0 0 JENNIFER A CARPENTER 190243 0 35000 0 270 0 12031 0 18918 0 256462 0 0 0 LYNN M MUENCH 131193 0 25000 0 602 0 24875 0 21633 0 203303 0 0 0 CHRISTOPHER COAKLEY 116583 0 23000 0 205 0 7500 0 25539 0 172827 0 0 0 ROBERT L CLINTON 114783 0 0 0 1521 0 7563 0 28922 0 152789 0 0 0 PART I, LINE 4B THOMAS ALLEGRETTI AND LYNN MUENCH PARTICIPATED IN A 457F PLAN DURING 2011, AND CONTRIBUTED $16,500 EACH. FORM 990, PART VI, SECTION A, LINE 6 THERE ARE TWO CLASSIFICATIONS OF MEMBERSHIP: 1) CARRIER MEMBERS - INDIVIDUAL U.S. FLAG WATER TRANSPORTATION COMPANIES. CARRIER MEMBERS MUST BE IN COMPLIANCE WITH THE RESPONSIBLE CARRIER PROGRAM. 2) AFFILIATE MEMBERS - ASSOCIATIONS, CORPORATIONS, PARTNERSHIPS AND SOLE PROPRIETORSHIPS SHARING COMMON INTERESTS WITH CARRRIER MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A ONE SEAT ON THE BOARD SHALL BE FILLED BY AN AFFILIATE MEMBER NOMINATED BY THE CHAIRMAN AND ELECTED BY THE EXECUTIVE COMMITTEE. 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 KNOW 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. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -99,828. PENSION BELOW THE LINE -609,472. TOTAL TO FORM 990, PART XI, LINE 5: -709,300. 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 0 AMERICAN WATERWAYS OPERATORS PAC 801 NORTH QUINCY STREET ARLINGTON VA 22203 POLITICAL ACTIVITY VA 527 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0