2011-11-11T15:16:57-06:00 2010-12-31 HERTZBACH & COMPANY PA 800 RED BROOK BOULEVARD SUITE 300 OWINGS MILLS MD 21117 990 2010-01-01 522143968 ALLIANCE OF AUTOMOBILE MANUFACTURERS INC ALLI 2023265593 1401 EYE STREET NW NO 900 WASHINGTON DC 200056562 CHARLES ROBINSON 2023265593 2011-11-07 1 RICHARD L WOLF 4103633200 2010 2016-02-24 21:20:13Z MITCH BAINWOL 1401 EYE STREET NW NO 900 WASHINGTON DC 200056562 26222990 0 X WWW.AUTOALLIANCE.ORG X 1999 DC TO REPRESENT THE COMMON INTERESTS OF ITS MEMBERS AND PROVIDE A FORUM TO ENABLE THEM TO ADVANCE PUBLIC POLICIES THAT MEET CONSUMER AND SOCIETAL NEEDS FOR CLEAN, SAFE, EFFICIENT, AND AFFORDABLE PERSONAL TRANSPORTATION.TO REPRESENT 11 CAR AND LIGHT TRUCK MANUFACTURERS SELLING VEHICLES IN THE UNITED STATES AND SERVES AS A LEADING ADVOCACY GROUP FOR THE AUTO INDUSTRY. ALLIANCE MEMBERS REPRESENT APPROXIMATELY 77% OF ALL CAR AND LIGHT TRUCK SALES IN THE U.S.RESPECT FOR PRINCIPALS OF SUSTAINABLE MOBILITY PERMITS TECHNOLOGICAL PROGRESS IN HARMONY WITH THE ENVIRONMENT AND THE ECONOMY. 24 24 59 24 0 0 0 0 28590301 21192474 183795 390298 100 151 28774196 21582923 0 1000000 0 0 8875085 9351784 0 0 0 16371915 11991211 25247000 22342995 3527196 -760072 19510915 18433257 4761133 4546902 14749782 13886355 X TO REPRESENT THE COMMON INTERESTS OF ITS MEMBERS AND PROVIDE A FORUM TO ENABLE THEM TO ADVANCE PUBLIC POLICIES THAT MEET CONSUMER AND SOCIETAL NEEDS FOR CLEAN, SAFE, EFFICIENT, AND AFFORDABLE PERSONAL TRANSPORTATION.TO REPRESENT 11 CAR AND LIGHT TRUCK MANUFACTURERS SELLING VEHICLES IN THE UNITED STATES AND SERVES AS A LEADING ADVOCACY GROUP FOR THE AUTO INDUSTRY. ALLIANCE MEMBERS REPRESENT APPROXIMATELY 77% OF ALL CAR AND LIGHT TRUCK SALES IN THE U.S.RESPECT FOR PRINCIPALS OF SUSTAINABLE MOBILITY PERMITS TECHNOLOGICAL PROGRESS IN HARMONY WITH THE ENVIRONMENT AND THE ECONOMY. 0 0 TO WORK WITH MEMBER COMPANIES ON RESEARCH MATTERS. THIS INCLUDES PROGRAMS ADDRESSING A VARIETY OF ENVIRONMENTAL AND VEHICLE SAFETY ISSUES. TO WORK WITH MEMBER COMPANIES ON LEGISLATIVE AND REGULATORY ISSUES AFFECTING THE INDUSTRY. 0 0 1 1 0 0 0 1 0 1 0 0 0 1 1 1 0 0 0 1 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 162 0 59 1 0 0 0 0 0 0 X 24 24 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 0 0 CA X THE ORGANIZATION 2023265593 1401 EYE STREET NW NO 900 WASHINGTON DC 20005 ZIAD OJAKLI 2.00 X X 0 0 0 JODY TRAPASSO 2.00 X 0 0 0 DAVID GEANACOPOULOS 2.00 X 0 0 0 ANNA-MARIA SCHNEIDER 2.00 X 0 0 0 PETER LAWSON 2.00 X 0 0 0 SUSAN M CISCHKE 2.00 X 0 0 0 MARK L REUSS 2.00 X 0 0 0 MICHAEL J ROBINSON 2.00 X 0 0 0 ERNST H LIEB 2.00 X 0 0 0 JAKE JONES 2.00 X 0 0 0 JONATHAN BROWNING 2.00 X 0 0 0 JAMES E LENTZ 2.00 X 0 0 0 TOM J LEHNER 2.00 X 0 0 0 KATHLEEN HENNESSEY 2.00 X 0 0 0 REGINALD R MODLIN 2.00 X 0 0 0 ROBERT E FERGUSON 2.00 X 0 0 0 BILL CRAVEN 2.00 X 0 0 0 TOM STRICKER 2.00 X 0 0 0 DAVE K MCCURDY 40.00 X 1885464 0 49284 JOHN T WHATLEY 40.00 X 282709 0 52030 GLORIA BERGQUIST 40.00 X 255621 0 47765 ROBERT STRASSBURGER 40.00 X 234262 0 46547 JULIE BECKER 40.00 X 229670 0 44361 SHANE KARR 40.00 X 272938 0 51530 MATTHEW GODLEWSKI 40.00 X 253600 0 36541 CHARLES ROBINSON 40.00 X 251070 0 46790 STEVEN DOUGLAS 40.00 X 174438 0 43432 CHARLES TERRITO 40.00 X 190115 0 27764 CURTIS AUGUSTINE 40.00 X 182474 0 26283 KATHRYN CLAY 40.00 X 176208 0 21348 VALERIE UGHETTA 40.00 X 170183 0 27262 4558752 0 520937 28 0 1 0 BUYING TIME LLC 650 MASSACHUSETTS AVE NW WASHINGTON DC 20001 ADVERTISING 480544 CORE LABORATORIES LP 8210 MOSLEY ROAD HOUSTON TX 77075 RESEARCH 399941 HOGAN LOVELLS 55 13TH STREET NW WASHINGTON DC 20004 LEGAL 370650 CONNECTIONS MEDIA 1428 U STREET NW WASHINGTON DC 20009 TECHNOLOGY 296334 HOGAN & HARTSON LLP 875 3RD AVENUE NEW YORK NY 10022 LEGAL 270000 23 MEMBERSHIP DUES 900099 21100000 21100000 SPECIAL PROJECTS 900099 92474 92474 21192474 263274 263274 4767091 4640067 127024 127024 127024 MISCELLANEOUS 900099 151 151 151 21582923 21192625 0 390298 1000000 4040181 3942029 250985 755902 362687 624949 201349 3568761 3469005 560717 135789 102890 1117001 572341 313611 196628 46856 MEMBERSHIPS & SPONSORSH 686229 MISCELLANEOUS 395085 22342995 2664144 7382394 4367479 488719 395789 155632 101307 97503 3258426 2633158 761820 625268 10148332 9267748 1072044 415993 19510915 18433257 2088093 2575160 575000 813852 908246 1859188 488496 4761133 4546902 X 14749782 13886355 14749782 13886355 19510915 18433257 X -760072 -103355 X X 0 1 1 X 0 6500 0 6500 6500 0 ALLIANCE OF AUTOMOBILE MANUFACTURERS CA PAC 555 CAPITOL MALL SUITE 1425 SACRAMENTO CA 95814 262335858 6500 0 0 0 21100000 5863795 5863795 5697000 166795 ORGANIZATIONS DIRECT AND INDIRECT POLITICAL CAMPAIGN ACTIVITIES: PART I-A, LINE 1: ALLIANCE OF AUTOMOBILE MANUFACTURERS, INC. PROVIDED INDIRECT POLITICAL SUPPORT TO THE ALLIANCE OF AUTOMOBILE MANUFACTURERS CA PAC. 0 1 1334200 930969 403231 1924226 1702189 222037 625268 DEFERRED RENT CREDITS 488496 488496 21582923 22342995 -760072 -103355 -103355 -863427 21479568 -103355 -103355 21582923 0 21582923 22342995 0 22342995 0 22342995 PART IV, LINE 2B: THE ALLIANCE SERVES AS A PASS-THRU ENTITY WHEREBY ALLIANCE MEMBERS CONTRIBUTE CERTAIN AMOUNTS TO THE ALLIANCE. THE ALLIANCE THEN WILL REMIT THE FUNDS TO OTHER NONPROFIT ORGANIZATIONS WHO ARE DOING RESEARCH IN RELATED AUTOMOTIVE FIELDS. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: EFFECTIVE JANUARY 1, 2009, THE ALLIANCE ADOPTED ASC 740, INCOME TAXES (FORMERLY REFERRED TO AS FASB FINANCIAL INTERPRETATION NO. 48, ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES), WHICH CLARIFIED THE ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES. THE ALLIANCE RECOGNIZES THE TAX BENEFIT FROM UNCERTAIN TAX POSITIONS ONLY IF IT IS MORE LIKELY THAN NOT THE TAX POSITION WILL BE SUSTAINED ON EXAMINATION BY THE TAXING AUTHORITIES, BASED ON THE TECHNICAL MERITS OF THE POSITION. SOUTH ASIA 0 0 PROGRAM SERVICE SEE PART V 13639 EUROPE 0 0 PROGRAM SERVICE SEE PART V 31228 0 0 0 44867 0 44867 0 0 0 0 0 0 OTHER INFORMATION SCHEDULE F, PART V AS PRESIDENT OF THE ALLIANCE, MR. MCCURDY WAS CHAIRMAN OF OICA DURING 2010 AND TRAVELED TO FRANCE, SWITZERLAND, INDIA, AND ITALY TO REPRESENT THE GLOBAL AUTO INDUSTRY. OICA CONNECTS PEOPLE, PRODUCTS AND SERVICES TO ENHANCE QUALITY OF THE SUSTAINABLE AUTOMOBILITY. THEY ARE COMMITTED TO TECHNOLOGICAL INNOVATION IN THE AREAS OF SAFETY, ENVIRONMENT, FUEL EFFICIENCY, AND SEEK GLOBAL HARMONIZATION OF SAFETY AND ENVIRONMENTAL STANDARDS TO BENEFIT ALL COUNTRIES. 1 AUTOMOTIVE COALITION FOR TRAFFIC SAFETY 1401 EYE STREET NW SUITE 900 WASHINGTON DC 20005 541638971 501(C)(4) 1000000 BOOK AAM FUNDS THE MATCHING PORTION OF THE COOPERATIVE RESEARCH AGREEMENT BETWEEN ACTS AND NHTSA. UNDER THIS AGREEMENT, ACTS WILL WORK COOPERATIVELY WITH NHTSA TO EXPLORE THE FEASIBILITY, THE POTENTIAL BENEFITS OF, AND THE PUBLIC POLICY CHALLENGES ASSOCIATED WITH, THE MORE UBIQUITOUS USE OF A RANGE OF TECHNOLOGIES TO PREVENT DRUNK DRIVING. THIS RESEARCH WILL DETERMINE WHAT IS LIKELY TO BE NEEDED TO ENSURE THE SUCCESSFUL DEVELOPMENT AND DEPLOYMENT OF ADVANCED TECHNOLOGY ALCOHOL DETECTION DEVICES. 0 1 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: AAM AND ACTS UTILIZE THE SAME OUTSOURCED ACCOUNTING FIRM TO PROVIDE THEIR BOOKKEEPING SERVICES. IN ADDITION, ACTS IS SUBJECT TO AN A-133 AUDIT WHILE THE COOPERATIVE AGREEMENT WITH NHTSA IS IN PLACE. X X X X 1 1 X X X 1 1 0 DAVE K MCCURDY 741042 0 205238 0 939184 0 27400 0 21884 0 1934748 0 939184 0 JOHN T WHATLEY 253546 0 20193 0 8970 0 27400 0 24630 0 334739 0 0 0 GLORIA BERGQUIST 227251 0 20000 0 8370 0 27400 0 20365 0 303386 0 0 0 ROBERT STRASSBURGER 213572 0 20000 0 690 0 26234 0 20313 0 280809 0 0 0 JULIE BECKER 208800 0 20000 0 870 0 25600 0 18761 0 274031 0 0 0 SHANE KARR 242678 0 20600 0 9660 0 27400 0 24130 0 324468 0 0 0 MATTHEW GODLEWSKI 199750 0 45000 0 8850 0 27400 0 9141 0 290141 0 0 0 CHARLES ROBINSON 218680 0 20000 0 12390 0 26800 0 19990 0 297860 0 0 0 STEVEN DOUGLAS 161208 0 12780 0 450 0 19095 0 24337 0 217870 0 0 0 CHARLES TERRITO 152890 0 37000 0 225 0 5505 0 22259 0 217879 0 0 0 CURTIS AUGUSTINE 163900 0 12900 0 5674 0 19348 0 6935 0 208757 0 0 0 KATHRYN CLAY 155208 0 20000 0 1000 0 19025 0 2323 0 197556 0 0 0 VALERIE UGHETTA 151742 0 17151 0 1290 0 18361 0 8901 0 197445 0 0 0 PART I, LINE 1A ALL OF THE ITEMS CHECKED ON SCHEDULE J - PART 1, LINE 1A RELATE TO DAVID K. MCCURDY, PRESIDENT & CEO OF THE ORGANIZATION. FIRST CLASS TRAVEL IS PROVIDED IN THE NORMAL COURSE OF BUSINESS FOR AN EXECUTIVE IN THIS POSITION. MUCH OF MR. MCCURDY'S TRAVEL IS OVERSEAS, AND IN ORDER TO CONDUCT BUSINESS UPON HIS ARRIVAL IT IS NECESSARY TO TRAVEL BUSINESS OR FIRST CLASS. TRAVEL FOR MR. MCCURDY'S SPOUSE IS TREATED AS TAXABLE COMPENSATION ON HIS W-2 AS WELL AS HIS GROSS-UP PAYMENT AND SOCIAL CLUB DUES. PART I, LINES 4A-B DAVID K. MCCURDY - SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN - PRESIDENT & CEO - $200,000 SUPPLEMENTAL INFORMATION PART III BEGINNING IN 2008, THE ALLIANCE ALSO SPONSORED A NONQUALIFIED 457(F) EXECUTIVE RETIREMENT PLAN FOR ITS PRESIDENT. THE 457(F) PLAN REQUIRED AN INITIAL CONTRIBUTION OF $959,834, ADJUSTED FOR ANY EARNINGS, GAINS OR LOSSES. THE PARTICIPANT WAS VESTED ONE-SIXTH OF THIS AMOUNT ON JUNE 27, 2007 AND FIVE-SIXTHS OF THE AMOUNT UPON TERMINATION OF EMPLOYMENT. THE ASSETS AND LIABILITIES UNDER THE 457(F) PLAN ARE SHOWN IN THE ACCOMPANYING FINANCIAL STATEMENTS AS WITHIN INVESTMENTS AND DEFERRED COMPENSATION - EXECUTIVE RETIREMENT PLAN. THE 457(F) PLAN ALSO REQUIRES ADDITIONAL CONTRIBUTIONS BY THE ALLIANCE TO COVER TAXES ON CERTAIN DISTRIBUTIONS, FOR WHICH THE PARTICIPANT IS FULLY VESTED UPON TERMINATION, AND FOR A BONUS AND MATCHING ON THE BONUS. EFFECTIVE DECEMBER 31, 2010 THE PRESIDENT RESIGNED FROM THE ALLIANCE. ACCORDING TO THE TERMS OF HIS EMPLOYMENT AGREEMENT, UPON TERMINATION, HE WAS ENTITLED TO THE VESTED VALUE OF THE ASSETS IN THE 457(F) PLAN. THAT VESTED VALUE WAS TO BE ISSUED TO HIM IN THE FORM OF A CERTIFICATE OF TRANSFER FROM THE INVESTMENT COMPONENT OF THE ING LIFE INSURANCE COMPANY AND A CHECK REPRESENTING THE TARGETED BENEFIT AMOUNT HELD IN THE UBS ACCOUNT. UPON TERMINATION AND THE ACCOUNTS BECOMING VESTED, THESE AMOUNTS WERE DEEMED COMPENSATION TO THE PRESIDENT IN 2010. TOTAL DEFERRED COMPENSATION FOR THE 457(F) PLAN AT DECEMBER 31, 2010 AND 2009 WAS $-0- AND $1,225,337, RESPECTIVELY. TOTAL PREMIUM PAYMENTS FOR THE 457(F) PLAN FOR EACH OF THE YEARS ENDED DECEMBER 31, 2010 AND 2009 WAS $458,000. THE AMOUNT PAID TO THE PRESIDENT IN 2010 AS A RESULT HIS RESIGNATION WAS $1,291,249 OF WHICH $939,184 WAS INCLUDIBLE AS TAXABLE COMPENSATION. FORM 990, PART VI, SECTION A, LINE 6 THE ALLIANCE HAS REGULAR MEMBERS, INTERMEDIATE MEMBERS, AND ASSOCIATE MEMBERS. THOSE WHO ARE REGULAR MEMBERS MAY VOTE ON ALLIANCE MATTERS. INTERMEDIATE MEMBERS AND ASSOCIATE MEMBERS MAY ATTEND BOARD MEETINGS AND PARTICIPATE IN DISCUSSIONS BUT MAY NOT VOTE. FORM 990, PART VI, SECTION A, LINE 7A THERE WERE SIX REGULAR MEMBER COMPANIES ON THE BOARD OF DIRECTORS. EACH REGULAR MEMBER COMPANY CAN NOMINATE UP TO THREE MEMBERS TO THE BOARD OF DIRECTORS. THESE REGULAR MEMBERS HAVE VOTING RIGHTS AND PARTICIPATE IN THE ALLIANCE GOVERNANCE. ADDITIONALLY, THERE WAS ONE INTERMEDIATE MEMBER AND FIVE ASSOCIATE MEMBERS WHO DO NOT HAVE VOTING RIGHTS. FORM 990, PART VI, SECTION A, LINE 7B EACH OF THE SIX REGULAR MEMBER COMPANIES CAN NOMINATE UP TO THREE MEMBERS TO THE BOARD OF DIRECTORS. MEMBERS OF THE BOARD ALSO PARTICIPATE IN THE EXECUTIVE COMMITTEE MEETINGS. EACH COMPANY, REGARDLESS OF THE NUMBER OF BOARD MEMBERS PRESENT, HAS ONE VOTE ON EACH ISSUE FOR A TOTAL IF ALL MEMBERS ARE REPRESENTED OF SIX VOTES. FORM 990, PART VI, SECTION B, LINE 11 THE INFORMATION FOR THE 990 IS COMPILED BY THE VP OF FINANCE AND THE OUTSOURCED ACCOUNTING STAFF AND GIVEN TO THE TAX STAFF OF THE INDEPENDENT AUDITING FIRM. ONCE THE AUDIT FIRM HAS PREPARED THE DRAFT, THE OUTSOURCED ACCOUNTING FIRM REVIEWS IT AND REQUESTS ANY NECESSARY CHANGES. THEN THE VP OF FINANCE MAKES HIS FINAL REVIEW BEFORE THE FINAL REVIEW IS MADE BY THE PRESIDENT AND CEO, AND THE GENERAL COUNSEL. A COPY OF THE 990 IS MADE AVAILABLE TO THE BOARD OF DIRECTORS PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C THE CONFLICT OF INTEREST DECLARATION IS DISCUSSED IN AT LEAST ONE BOARD MEETING ANNUALLY. IN ADDITION, EACH MEMBER OF THE BOARD REAFFIRMS THE CONFLICT OF INTEREST DECLARATION ANNUALLY. THE PROCESS IS RECORDED IN THE MINUTES OF THE BOARD MEETINGS. FORM 990, PART VI, SECTION B, LINE 15A COMPARABILITY DATA FROM A NUMBER OF LIKE INDUSTRY SURVEYS IS MAINTAINED AND REVIEWED BY THE PRESIDENT AND CEO AND THE EXECUTIVE COMMITTEE OF THE BOARD. ANNUAL PERFORMANCE WEIGHS HEAVILY IN THE DETERMINATION OF ANNUAL PAY ADJUSTMENTS. RECOMMENDATIONS ARE PRESENTED TO THE BOARD AT THE ANNUAL SPRING MEETING. THE BOARD SETS THE COMPENSATION FOR THE PRESIDENT AND CEO BASED ON THE DATA COLLECTED AND ACCEPTS OR MODIFIES RECOMMENDATIONS FOR THE REMAINING STAFF. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS AND AUDITED FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC ON AN AS REQUESTED BASIS. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -103,355. FORM 990, PART XI, LINE 2C: THE PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR.