2014-08-13T08:09:47-05:00 2013-12-31 221478099 COHNREZNICK LLP 1212 AVENUE OF THE AMERICAS NEW YORK NY 10036 990 2013-01-01 130429745 AMERICAN ARBITRATION ASSOCIATION INC AMER 2127165800 120 BROADWAY NO FL 21 NEW YORK NY 10271 FRANCESCO ROSSI SVP, CFO & TREASURER 2127165810 2014-08-12 0 THOMAS LANNING P00851654 2122970400 2013 2015-11-30 17:44:51Z INDIA JOHNSON 120 BROADWAY NO FL 21 NEW YORK NY 10271 115085078 0 X WWW.ADR.ORG X 1926 NY THE AMERICAN ARBITRATION ASSOCIATION ("AAA") IS DEDICATED TO EFFECTIVE, EFFICIENT AND ECONOMICAL METHODS OF DISPUTE RESOLUTION THROUGH EDUCATION, TECHNOLOGY AND SOLUTIONS-ORIENTED SERVICE. 91 90 679 0 0 0 0 0 64560611 70395584 6438270 6822826 16500 0 71015381 77218410 17392 17392 0 0 38206317 38063820 0 0 0 27937867 30660718 66161576 68741930 4853805 8476480 124433750 137519818 81202788 81127687 43230962 56392131 X THE AMERICAN ARBITRATION ASSOCIATION ("AAA") IS DEDICATED TO EFFECTIVE, EFFICIENT AND ECONOMICAL METHODS OF DISPUTE RESOLUTION THROUGH EDUCATION, TECHNOLOGY AND SOLUTIONS-ORIENTED SERVICE. AS A NOT-FOR-PROFIT ORGANIZATION, OUR MISSION IS ONE OF SERVICE AND EDUCATION. WE ARE COMMITTED TO PROVIDING EXCEPTIONAL NEUTRALS, PROFICIENT CASE MANAGEMENT, DEDICATED PERSONNEL, ADVANCED EDUCATION AND TRAINING, AND INNOVATIVE PROCESS KNOWLEDGE TO MEET THE CONFLICT MANAGEMENT AND DISPUTE RESOLUTION NEEDS OF THE PUBLIC NOW AND IN THE FUTURE.THE CORPORATE PURPOSE OF THE AAA, AS DESCRIBED IN ITS BYLAWS, IS "FOR THE BENEFIT AND EDUCATION OF THE GENERAL PUBLIC AND INTERESTED PARTIES, TO STUDY, RESEARCH, PROMOTE, ESTABLISH AND ADMINISTER PROCEDURES FOR THE RESOLUTION OF DISPUTES OF ALL KINDS THROUGH THE USE OF ARBITRATION, MEDIATION, CONCILIATION, NEGOTIATION, DEMOCRATIC ELECTIONS AND OTHER VOLUNTARY PROCEDURES." 0 0 64231600 17392 68646107 CASE ADMINISTRATION: THE AAA ADMINISTERS TENS OF THOUSANDS OF ARBITRATIONS, MEDIATIONS AND OTHER FORMS OF DISPUTE RESOLUTION IN A GIVEN YEAR. THE AAA'S ROLE IN THESE CASES TO PROVIDE A FORUM WHERE DISPUTES CAN BE RESOLVED, TO PROVIDE ROSTERS OF QUALIFIED ARBITRATORS, MEDIATORS AND OTHER DISPUTE RESOLUTION PROFESSIONALS, AND TO APPLY OUR RULES THAT GOVERN THE CONDUCT OF THOSE PROCEEDINGS. OUR ADMINISTRATIVE SERVICES ARE ALSO PROVIDED WITH A VIEW TO OUR CORE VALUES OF INTEGRITY AND SERVICE. THE RESULT OF THE AAA'S COLLECTIVE EFFORTS IS, IN PART, TO LESSEN THE BURDENS OF OUR COURTS AND GOVERNMENT.THE AMERICAN ARBITRATION ASSOCIATION ("AAA") HAS, FOR OVER EIGHTY YEARS, PIONEERED THE USE AND DEVELOPMENT OF ALTERNATIVE DISPUTE RESOLUTION FOR A WIDE VARIETY OF DISPUTES. AS A NOT-FOR-PROFIT, PUBLIC SERVICE ORGANIZATION, THE AAA HAS MAINTAINED FAIR AND EQUITABLE ADR PROCEDURES FOR ALL PARTIES THROUGH THE CREATION OF RULES AND PROTOCOLS FOR ALL USERS OF ITS SERVICES. THE AAA DOES NOT DECIDE THE MERITS OF DISPUTES. RATHER, IT PROVIDES A FORUM FOR THE RESOLUTION OF DISPUTES, TESTED RULES AND PROCEDURES THAT HAVE BROAD ACCEPTANCE AND A ROSTER OF OVER 7,600 IMPARTIAL NEUTRALS TO HEAR AND RESOLVE CASES. RECOGNIZED FOR THEIR STANDING, EXPERTISE IN THEIR FIELDS, AND THEIR DISPUTE RESOLUTION SKILLS, NEUTRALS ARE NOMINATED TO THE ASSOCIATION'S NATIONAL PANEL BY LEADERS IN THEIR INDUSTRY PROFESSION. THEIR CONDUCT IS GUIDED BY CODES OF ETHICS, SUCH AS THE CODE OF ETHICS FOR ARBITRATORS IN COMMERCIAL DISPUTES THAT WAS PREPARED BY A JOINT COMMITTEE OF THE AAA AND THE AMERICAN BAR ASSOCIATION.IN 2013, THERE WERE 203,084 CASES ADMINISTERED BY THE AAA, WHICH WERE RESOLVED THROUGH MEDIATION OR ARBITRATION AND LESS FORMAL METHODS OF DISPUTE RESOLUTION.AT YEAR END 2013 THE AAA, WITH 24 DOMESTIC OFFICES AND 3 INTERNATIONAL OFFICES LOCATED IN BAHRAIN, MEXICO AND SINGAPORE AND 71 COOPERATIVE AGREEMENTS WITH ARBITRAL INSTITUTIONS, UNIVERSITIES AND CHAMBERS OF COMMERCE IN 47 NATIONS, IS THE LARGEST SINGLE REPOSITORY OF INFORMATION ON ALTERNATIVE DISPUTE RESOLUTION LAW AND PRACTICE. ADDITIONALLY, AAA ADMINISTERS HUNDREDS OF ELECTIONS EACH YEAR FOR UNIONS AND OTHER ORGANIZATIONS, THROUGH COST EFFECTIVE AND RELIABLE PROCEDURES. 1162357 1760346 EDUCATION AND PUBLICATIONS:THE AAA'S EDUCATIONAL SERVICES DIVISION PROVIDES COMPREHENSIVE EDUCATION AND TRAINING FOR VARIOUS ASPECTS OF ALTERNATIVE DISPUTE RESOLUTION. THE DIVISION'S FOCUS IS TO PROVIDE EDUCATION AND TRAINING PROGRAMS, BOTH DOMESTICALLY AND INTERNATIONALLY, TO ADVOCATES, ORGANIZATIONS, ARBITRATORS, MEDIATORS AND THE GENERAL PUBLIC. THE GOAL OF THESE PROGRAMS IS TO EDUCATE AND ENCOURAGE THE RESPONSIBLE USE OF ALTERNATIVE DISPUTE RESOLUTION. MANDATORY TRAINING PROGRAMS ARE DEVELOPED AND DELIVERED TO ALL NEW ARBITRATORS ON THE AAA'S ROSTER. ADVANCED COURSES ARE OFFERED THAT MEET THE AAA'S ONGOING ANNUAL TRAINING REQUIREMENTS FOR COMMERCIAL ARBITRATORS. THE GOVERNMENT RELATIONS OFFICE SERVES AS THE LIAISON WITH FEDERAL GOVERNMENT AGENCIES AND CONGRESSIONAL OFFICES IN ORDER TO SERVE AS AN INFORMATION RESOURCE ON THE ASSOCIATION AND DISPUTE RESOLUTION MECHANISMS. UPON INVITATION, THE VICE-PRESIDENT ADVISES ON PENDING OR PROPOSED LEGISLATION. THE OFFICE ALSO WORKS WITH REGIONAL OFFICES THROUGHOUT THE COUNTRY TO DEVELOP A NATIONAL PANEL OF ARBITRATORS AND MEDIATORS FOR GOVERNMENT DISPUTES.THE ONGOING ROLE OF THE AAA'S PUBLICATION DEPARTMENT IS TO PROMOTE UNDERSTANDING AND THE USE OF ALTERNATIVE DISPUTE RESOLUTION (ADR) IN THE FULFILLMENT OF THE AAA'S MISSION THROUGH THE PRODUCTION OF QUALITY PUBLICATIONS WHICH MEET MARKET NEEDS. ON THE BROADEST LEVEL, THE PUBLICATIONS DEPARTMENT HELPS TO FULFILL THE NOT-FOR-PROFIT EDUCATIONAL MISSION OF THE AAA. 65393957 1 0 0 1 0 0 0 0 1 0 1 0 0 1 1 1 0 1 0 1 1 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 1 4811 0 1 679 1 0 1 SN 0 0 0 0 0 0 0 0 X 91 90 1 0 0 0 1 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 CA NY NJ OR PA X FRANCESCO ROSSI SVP CFO & TREAS 2127165810 120 BROADWAY FLOOR 21 NEW YORK NY 10271 X ALAN R CRAIN JR DIRECTOR 0.30 X 0 0 0 ALBERT BATES JR DIRECTOR 0.30 X 0 0 0 ALBERT P PARKER II DIRECTOR 0.30 X 0 0 0 ANGUS F SMITH DIRECTOR 0.30 X 0 0 0 ANKE SESSLER DIRECTOR 0.30 X 0 0 0 ARTHUR CHONG DIRECTOR 0.30 X 0 0 0 BENNETT G PICKER DIRECTOR 0.30 X 0 0 0 BILLY MARTIN DIRECTOR 0.30 X 0 0 0 BRADLEY E HADDOCK DIRECTOR 0.30 X 0 0 0 BRUCE MEYERSON DIRECTOR 0.30 X 0 0 0 CAROLYN B LAMM DIRECTOR 0.30 X 0 0 0 CEDRIC C CHAO DIRECTOR 0.30 X 0 0 0 CHARISSE R LILLIE DIRECTOR 0.30 X 0 0 0 CHRISTI L UNDERWOOD DIRECTOR 0.30 X 0 0 0 CHRISTIAN BOUCKAERT DIRECTOR 0.30 X 0 0 0 CHRISTINE GUERRIER DIRECTOR 0.30 X 0 0 0 DANIEL M PRICE DIRECTOR 0.30 X 0 0 0 DAVID L EVANS DIRECTOR 0.30 X 0 0 0 DAVID L KREIDER DIRECTOR 0.30 X 0 0 0 DAVID M BENCK DIRECTOR 0.30 X 0 0 0 DAVID R ANDREWS DIRECTOR 0.30 X 0 0 0 DAVID R HAIGH DIRECTOR 0.30 X 0 0 0 DENIS J HAUPTLY DIRECTOR 0.30 X 0 0 0 DR CLAUS VON WOBESER DIRECTOR 0.30 X 0 0 0 DR PATRICIA D GALLOWAY DIRECTOR 0.30 X 0 0 0 DR SIEGFRIED H ELSING DIRECTOR 0.30 X 0 0 0 DR WILLIAM JESSEE DIRECTOR 0.30 X 0 0 0 DUSHYANT DAVE DIRECTOR 0.30 X 0 0 0 E NOBLES LOWE DIRECTOR 0.30 X 0 0 0 EDNA SUSSMAN DIRECTOR 0.30 X 0 0 0 EDWARD V LAHEY JR DIRECTOR 0.30 X 0 0 0 ELISA GARCIA DIRECTOR 0.30 X 0 0 0 ELIZABETH KEEFER DIRECTOR 0.30 X 0 0 0 FORREST N KRUTTER DIRECTOR 0.30 X 0 0 0 FRANK J BRANCHINI DIRECTOR 0.30 X 0 0 0 FRED G BENNETT DIRECTOR 0.30 X 0 0 0 GONZALO BIGGS DIRECTOR 0.30 X 0 0 0 GUILLERMO AGUILAR-ALVAREZ DIRECTOR 0.30 X 0 0 0 H E SHEIKHA HAYA RASHED AL KHALIFA DIRECTOR 0.30 X 0 0 0 HENRI ALVAREZ DIRECTOR 0.30 X 0 0 0 HON CHERYL DEMMERT FAIRBANKS DIRECTOR 0.30 X 0 0 0 HON DEBORAH G HANKINSON DIRECTOR 0.30 X 0 0 0 HON GABRIELLE KIRK MCDONALD DIRECTOR 0.30 X 0 0 0 HON HOWARD M HOLTZMANN DIRECTOR 0.30 X 0 0 0 HON JAMES T GILES RET DIRECTOR 0.30 X 0 0 0 HON JANET RENO DIRECTOR 0.30 X 0 0 0 HON JUDITH KAYE DIRECTOR 0.30 X 0 0 0 HON MICHAEL B MUKASEY DIRECTOR 0.30 X 0 0 0 HON RICHARD J GOLDSTONE DIRECTOR 0.30 X 0 0 0 HON TIMOTHY K LEWIS DIRECTOR 0.30 X 0 0 0 HON WILLIAM BASSLER DIRECTOR 0.30 X 0 0 0 HOWARD J AIBEL DIRECTOR 0.30 X 0 0 0 INDIA JOHNSON PRESIDENT AND CEO 35.00 X X 631859 0 31336 ISRAEL J FLOYD DIRECTOR 0.60 X 0 0 0 JACQUELIN F DRUCKER DIRECTOR 0.30 X 0 0 0 JAMES H CARTER DIRECTOR 0.30 X 0 0 0 JAMES J SEIFERT DIRECTOR 0.30 X 0 0 0 JAMES R JENKINS DIRECTOR/OFFICER 1.00 X X 0 0 0 JAN PAULSSON DIRECTOR 0.30 X 0 0 0 JAVIER H RUBINSTEIN DIRECTOR 0.30 X 0 0 0 JEAN E KALICKI DIRECTOR 0.30 X 0 0 0 JOHN E BULMAN DIRECTOR 0.30 X 0 0 0 JOHN FELLAS DIRECTOR 0.30 X 0 0 0 JOHN J KERR JR DIRECTOR/OFFICER 1.00 X X 0 0 0 JOHN M TOWNSEND DIRECTOR 0.30 X 0 0 0 JOHN SHERRILL DIRECTOR 0.30 X 0 0 0 JOIA M JOHNSON DIRECTOR 0.60 X 0 0 0 JONATHAN P HIATT DIRECTOR 0.30 X 0 0 0 JOSE MARIA ABASCAL DIRECTOR 0.30 X 0 0 0 JOSEPH D GARRISON DIRECTOR 0.30 X 0 0 0 JOSEPH E NEUHAUS DIRECTOR 0.30 X 0 0 0 JOSEPH M MATTHEWS DIRECTOR 0.30 X 0 0 0 JUDGE STEPHEN SCHWEBEL DIRECTOR 0.30 X 0 0 0 JUDITH ANN FREEDBERG DIRECTOR 0.30 X 0 0 0 JUDITH GILL DIRECTOR 0.30 X 0 0 0 KAJ HOBER DIRECTOR 0.30 X 0 0 0 KAP-YOU KEVIN KIM DIRECTOR 0.30 X 0 0 0 KAREN COTTLE DIRECTOR 0.30 X 0 0 0 L G LEWIS JR DIRECTOR 0.30 X 0 0 0 LARRY HARRIS DIRECTOR 0.30 X 0 0 0 MAKHDOOM ALI KHAN DIRECTOR 0.30 X 0 0 0 MARK H DUESENBERG DIRECTOR 0.30 X 0 0 0 MARK KANTOR DIRECTOR 0.30 X 0 0 0 MARY O'CONNELL DIRECTOR 0.30 X 0 0 0 MARY S ELCANO DIRECTOR 0.30 X 0 0 0 MELINDA REID HATTON DIRECTOR 0.30 X 0 0 0 MICHAEL NOLAN DIRECTOR 0.30 X 0 0 0 MITCHELL ZAMOFF DIRECTOR 0.30 X 0 0 0 NORMAN M HINERFELD DIRECTOR 0.30 X 0 0 0 PAUL FRIEDLAND DIRECTOR 0.30 X 0 0 0 PETER B HAMILTON DIRECTOR 0.30 X 0 0 0 PHILLIP FINKELSTEIN DIRECTOR 0.30 X 0 0 0 PROF CORNELIA PILLARD DIRECTOR 0.30 X 0 0 0 PROF FRANCIS MCGOVERN DIRECTOR 0.30 X 0 0 0 PROF GEORGE A BERMANN DIRECTOR 0.30 X 0 0 0 PROF HOWARD HUNTER DIRECTOR 0.30 X 0 0 0 PROF JOHN D FEERICK DIRECTOR 0.30 X 0 0 0 PROF GABRIELLE KAUFMANN-KOHLER DIRECTOR 0.30 X 0 0 0 PROF LARRY D THOMPSON DIRECTOR 0.30 X 0 0 0 PROF WILLIAM W PARK DIRECTOR 0.30 X 0 0 0 R DOAK BISHOP DIRECTOR 0.30 X 0 0 0 RICHARD T BENNETT DIRECTOR 0.30 X 0 0 0 ROBERT COULSON DIRECTOR 0.30 X 0 0 0 RODNEY A SMOLLA DIRECTOR 0.30 X 0 0 0 SAMUEL P FRIED DIRECTOR 0.30 X 0 0 0 SARAH FRANCOIS-PONCET DIRECTOR 0.30 X 0 0 0 STEPHEN E SMITH DIRECTOR 0.30 X 0 0 0 SUSAN DAVIS DIRECTOR 0.30 X 0 0 0 TERESA E MCCASLIN DIRECTOR 0.30 X 0 0 0 TERESA GIOVANNINI DIRECTOR 0.30 X 0 0 0 TERESA WYNN ROSEBOROUGH DIRECTOR 0.30 X 0 0 0 TIMOTHY MARTIN DIRECTOR 0.30 X 0 0 0 TOM SIKORA DIRECTOR 0.30 X 0 0 0 TONI D HENNIKE DIRECTOR 0.30 X 0 0 0 VERA VAN HOUTTE DIRECTOR 0.30 X 0 0 0 VINCENT J LOVE DIRECTOR 0.60 X 0 0 0 WILLIAM H NEUKOM DIRECTOR 0.30 X 0 0 0 WILLIAM K SLATE II DIRECTOR 0.30 X 0 0 0 WOLF VON KUMBERG DIRECTOR 0.30 X 0 0 0 ERIC TUCHMANN GENERAL COUNSEL & CORP SECTY 35.00 X 304698 0 33256 FRANCESCO ROSSI SVP, CFO & TREASURER 35.00 X 313989 0 33049 CHRISTINE NEWHALL SENIOR VICE PRESIDENT 35.00 X 252264 0 29136 DIANA DIDIA SENIOR VICE PRESIDENT 35.00 X 253478 0 20596 DWIGHT D JAMES SENIOR VICE PRESIDENT 35.00 X 241828 0 8674 HAROLD COLEMAN JR SENIOR VICE PRESIDENT 35.00 X 252570 0 25156 MARK APPEL SENIOR VICE PRESIDENT 35.00 X 239162 0 16524 RICHARD NAIMARK SENIOR VICE PRESIDENT 35.00 X 259141 0 29336 ROBERT MATLIN SENIOR VICE PRESIDENT 35.00 X 234091 0 27977 INTERNA KHUTORSKY VICE PRESIDENT 35.00 X 153208 0 27857 KENNETH JOHN EGGER VICE PRESIDENT 35.00 X 170295 0 5966 MAUREEN KURDZIEL VICE PRESIDENT 35.00 X 181020 0 8599 MICHAEL C CLARK VICE PRESIDENT 35.00 X 166263 0 8940 WILLIAM CONSIDINE VICE PRESIDENT 35.00 X 168207 0 13278 3822073 0 319680 63 0 1 0 BENHAR OFFICE INTERIORS 148 W 37TH ST NEW YORK NY 10018 FURNISHING AND DESIGN 1631503 ROBERT DERECTOR ASSOCIATES 19 W 44TH ST 10 NEW YORK NY 10036 CONSULTING SERVICES 266801 CONANT ARCHITECTS 315 MADISON AVENUE NEW YORK NY 10017 CONSULTING SERVICES 204609 GRANT THORNTON LLP 33562 TREASURY CENTER CHICAGO IL 60694 CONSULTING SERVICES 190066 SHER-DEL TRANSFER 247 METROPOLITAN AVE BROOKLYN NY 11211 MOVING SERVICES 180044 8 X DISPUTE RESOLUTION REV. 561000 68635238 68635238 SEMINAR REVENUE 611600 995548 995548 OTHER EDUCATION REVENUE 611600 581698 581698 PUBLICATION REVENUE 611600 183100 183100 70395584 3175881 3175881 291431 291431 0 41211313 10869 37212930 362307 3998383 -351438 3646945 -351438 3998383 77218410 70044146 0 7174264 17392 17392 3247993 2365847 882146 27291430 26550294 741136 573048 554867 18181 4478090 4460647 17443 2473259 2370440 102819 1300708 1145389 155319 650981 550148 100833 182000 182000 46447 37158 9289 564262 564212 50 2892448 2771968 120480 2071307 1987367 83940 10671621 10365836 305785 669756 587183 82573 364733 198978 165755 2457151 2382854 74297 511294 494548 16746 DIRECT ELECTIONS EXPENS 3190606 3190606 LEASE WRITE OFF 2035017 2035017 MARKETING 611031 585806 25225 DIRECT EDUCATION EXPENS 344652 344652 2096704 1832748 263956 68741930 65393957 3347973 0 3798 3799 533665 4569788 10270555 9913423 2617348 2379363 30715270 20005047 5140858 10710223 97952132 98131619 7915394 11811603 124433750 137519818 62464514 64654212 1727353 2896536 130308 27893 16880613 13549046 81202788 81127687 X 43230962 56392131 43230962 56392131 124433750 137519818 X 8476480 -1107594 5792283 X X 0 1 X 1 0 X 2000 8402 811 11213 67902594 76889958 68556744 64560611 70395584 348305491 67904594 76898360 68557555 64560611 70395584 348316704 0 4263843 4987776 3071702 2793762 3641607 18758690 4263843 4987776 3071702 2793762 3641607 18758690 329558014 5426198 5782272 2694633 3788017 3467302 21158422 5426198 5782272 2694633 3788017 3467302 21158422 73330792 82680632 71252188 68348628 73862886 369475126 0.89200 0.88730 0.05730 0.06090 X 0 1 0 0 0 0 1 80000 0 0 80000 0 0 1 X 12674425 5712772 6961653 6561168 4650834 1910334 11479677 9641441 1838236 10710223 WORK-IN-PROGRESS - INTERNAL SOFTWARE DEVELOPMENT 10844703 WORK-IN-PROGRESS - EDUCATION APPLICATION DEVELOPMENT 631884 WORK-IN-PROGRESS - WEBSITE DEVELOPMENT 315329 WORK-IN-PROGRESS - CLAUSE BUILDER 19687 11811603 ACCRUED POST RETIREMENT MEDICAL COSTS 6916780 ACCRUED PENSION LIABILITY 2710783 DEFERRED RENT 3921483 13549046 X 75186671 -1107594 -877698 -1985292 77171963 46447 46447 77218410 67987785 170000 170000 67817785 46447 877698 924145 68741930 PART IV, LINE 2B: THE AAA IS A FOUNDING MEMBER AND SUPPORTER OF THE INTERNATIONAL MEDIATION INSTITUTE (IMI), A GLOBAL INSTITUTION HEADQUARTERED IN THE NETHERLANDS WHOSE MISSION IS GENERATING ENHANCED CONFIDENCE IN MEDIATORS AND IMPROVED UNDERSTANDING OF MEDIATION. DURING 2013, THE ASSOCIATION AGREED TO ASSIST IMI IN THE COLLECTION OF IMI LISTING CONTRIBUTIONS FROM AAA NEUTRALS. THERE IS A SEPARATE BANK ACCOUNT WITH AN ASSOCIATED AND EQUAL SEPARATE LIABILITY ACCOUNT MAINTAINED. AAA AND IMI FUNDS ARE NOT CO-MINGLED. SUPPORTING DOCUMENTATION FOR ACTIVITY IS MAINTAINED BY THE AAA, THE ACCOUNT IS RECONCILED MONTHLY AND PERIODIC TRANSFERS ARE MADE TO IMI. AT DECEMBER 31, 2013, THE BALANCE OF IMI FUNDS HELD BY THE AAA WAS $3,455 THE ASSOCIATION ALSO HOLDS FUNDS PERTAINING TO CERTAIN LEGAL CASES, DURING 2013 THE TOTAL FUNDS IN ESCROW AT YEAR END WAS $24,438. PART X, LINE 2: FIN 48 FROM CONSOLIDATED AUDITED FINANCIALS FOOTNOTE: THE AAA IS EXEMPT FROM FEDERAL INCOME TAX UNDER THE PROVISIONS OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE; THEREFORE, NO PROVISION FOR INCOME TAXES IS INCLUDED IN THE ASSOCIATION'S CONSOLIDATED FINANCIAL STATEMENTS. THE ASSOCIATION HAS NO UNRECOGNIZED TAX BENEFITS AT DECEMBER 31, 2013 AND 2012. THE ASSOCIATION'S FEDERAL AND STATE INCOME TAX RETURNS PRIOR TO FISCAL YEAR 2010 ARE CLOSED AND MANAGEMENT CONTINUALLY EVALUATES EXPIRING STATUTES OF LIMITATIONS, AUDITS, PROPOSED SETTLEMENTS, CHANGES IN TAX LAW AND NEW AUTHORITATIVE RULINGS. PART XI, LINE 2D - OTHER ADJUSTMENTS: BANK FEES -877,698. PART XII, LINE 2D - OTHER ADJUSTMENTS: BONUSES ACCRUED VIA GAAP BUT NOT PAID 170,000. PART XII, LINE 4B - OTHER ADJUSTMENTS: BANK FEES 877,698. 0 SOUTH AMERICA 0 1 PROGRAM SERVICES ADR SERVICES 29017 ASIA 1 1 PROGRAM SERVICES ADR SERVICES 127697 EUROPE 0 1 PROGRAM SERVICES ADR SERVICES 22568 1 3 0 0 1 3 179282 0 179282 EUROPE (INCLUDING ICELAND & GREENLAND) - LOAN WRITE OFF 17392 WIRE TRANSFER LOAN WRITE-OFF FAIR MARKET VALUE 1 0 0 0 0 0 0 PART I, LINE 2: AN ANNUAL BUDGET IS DEVELOPED FOR THE AMERICAN ARBITRATION ASSOCIATION, AND INCLUDES FINANCIAL ASSISTANCE TO ORGANIZATIONS OUTSIDE THE UNITED STATES. INTERNAL FINANCIAL STATEMENTS ARE PRODUCED MONTHLY, AND VARIANCES TO BUDGET ARE REVIEWED AND INVESTIGATED TO THE SOURCE. X X X 1 1 X X X X X 0 0 0 1 0 0 0 0 0 INDIA JOHNSON PRESIDENT AND CEO 627503 0 0 0 4356 0 12000 0 20356 0 664215 0 0 0 ERIC TUCHMANN GENERAL COUNSEL & CORP SECTY 288708 0 15000 0 990 0 11040 0 23281 0 339019 0 0 0 FRANCESCO ROSSI SVP, CFO & TREASURER 293329 0 20000 0 660 0 13241 0 20873 0 348103 0 0 0 CHRISTINE NEWHALL SENIOR VICE PRESIDENT 249426 0 0 0 2838 0 9800 0 20313 0 282377 0 0 0 DIANA DIDIA SENIOR VICE PRESIDENT 252818 0 0 0 660 0 1260 0 20317 0 275055 0 0 0 DWIGHT D JAMES SENIOR VICE PRESIDENT 238990 0 0 0 2838 0 8674 0 938 0 251440 0 0 0 HAROLD COLEMAN JR SENIOR VICE PRESIDENT 249732 0 0 0 2838 0 7500 0 18634 0 278704 0 0 0 MARK APPEL SENIOR VICE PRESIDENT 236324 0 0 0 2838 0 9200 0 8254 0 256616 0 0 0 RICHARD NAIMARK SENIOR VICE PRESIDENT 254785 0 0 0 4356 0 10000 0 20335 0 289476 0 0 0 ROBERT MATLIN SENIOR VICE PRESIDENT 231253 0 0 0 2838 0 8642 0 20255 0 262988 0 0 0 INTERNA KHUTORSKY VICE PRESIDENT 139887 0 11350 0 1971 0 6632 0 21889 0 181729 0 0 0 KENNETH JOHN EGGER VICE PRESIDENT 154880 0 7000 0 8415 0 5966 0 717 0 176978 0 0 0 MAUREEN KURDZIEL VICE PRESIDENT 156593 0 23000 0 1427 0 6192 0 3158 0 190370 0 0 0 MICHAEL C CLARK VICE PRESIDENT 147331 0 18500 0 432 0 6000 0 3645 0 175908 0 0 0 WILLIAM CONSIDINE VICE PRESIDENT 150046 0 14500 0 3661 0 5953 0 8035 0 182195 0 0 0 PART I, LINE 5 SENIOR MANAGEMENT COMPENSATION INCLUDES THE POTENTIAL FOR ANNUAL INCENTIVE COMPENSATION AWARDS, WHICH MAY BE BASED IN PART UPON THE ACHIEVEMENT OF GOALS RELATED TO INITIATIVES, PROJECTS, FINANCIAL PERFORMANCE TARGETS, AND OTHER OUTCOMES. FORM 990, PART VI, SECTION A, LINE 1 THE AAA'S BYLAWS PROVIDE FOR A BROAD DELEGATION OF AUTHORITY TO THE EXECUTIVE COMMITTEE OF THE BOARD, WHICH IS COMPRISED OF 21 MEMBERS OF THE AAA'S BOARD OF DIRECTORS. FORM 990, PART VI, SECTION A, LINE 2 WHILE THE AMERICAN ARBITRATION ASSOCIATION ("AAA") HAS NO ACTUAL KNOWLEDGE OF ANY FAMILY OR BUSINESS RELATIONSHIP BETWEEN OFFICERS, TRUSTEES OR KEY EMPLOYEES, WE WOULD ANTICIPATE THAT AMONG THE OVER 100 MEMBERS OF THE AAA'S BOARD OF DIRECTORS, THAT IS COMPOSED OF A WIDE RANGE OF LEADERS FROM VARIOUS FIELDS, THAT SOME RELATIONSHIP MAY EXIST. HOWEVER, THE AAA HAS RELIED UPON THE RESPONSES OF OFFICERS, DIRECTORS, AND KEY EMPLOYEES TO ANNUAL QUESTIONNAIRES DESIGNED TO ELICIT THE DISCLOSURE OF THESE RELATIONSHIPS, IT IS WITH AN ABUNDANCE OF CAUTION THAT WE HAVE RESPONDED AFFIRMATIVELY TO THIS QUESTION. FORM 990, PART VI, SECTION A, LINE 6 THE AMERICAN ARBITRATION ASSOCIATION'S ("AAA'S") GOVERNING BODY IS MADE UP OF 'MEMBERS', WITH NO SEPARATE OR DISTINCT 'CLASSES'. CLASS IS NOTED IN THE AAA'S BYLAWS WITH REFERENCE TO INCOMING AND OUTGOING GROUPS OF MEMBERS, AND DOES IN NO WAY MEAN ANY GROUP OF MEMBERS HAS DIFFERENT RIGHTS THAN ANOTHER GROUP. PER THE AAA'S BYLAWS: "THE BOARD SHALL BE DIVIDED INTO FOUR SUBSTANTIALLY EQUAL CLASSES. ONE FOURTH OF THE BOARD SHALL BE ELECTED AT EACH ANNUAL MEETING OF THE VOTING MEMBERS. EACH CLASS SHALL SERVE FOR FOUR YEARS. NO DIRECTOR, UNLESS SERVING AS AN OFFICER, SHALL SERVE MORE THAN THREE TERMS WITHOUT A ONE-YEAR INTERRUPTION. VACANCIES OCCURRING IN ANY CLASS OF ELECTED DIRECTORS MAY BE FILLED THROUGH APPOINTMENT FOR THE UNEXPIRED TERM BY THE BOARD OR AT THE NEXT ANNUAL MEETING OF THE VOTING MEMBERS." FORM 990, PART VI, SECTION B, LINE 11 THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS (THE "COMMITTEE") FOR THE AMERICAN ARBITRATION ASSOCIATION ("AAA") REVIEWS THE AAA'S FORM 990 SUBMISSIONS. PRIOR TO SUBMISSION TO THE COMMITTEE, THE SUBSTANTIVE INPUT FOR THE FORM 990 IS GATHERED AND REVIEWED BY SENIOR MANAGEMENT BASED UPON RESPONSIBILITY FOR THEIR RESPECTIVE AREAS OF OPERATIONS. IT IS COMPILED AND REVIEWED BY THE FINANCE DEPARTMENT WITH THE ASSISTANCE OF THE AAA'S INDEPENDENT ACCOUNTING FIRM. IT IS THEN SUBMITTED FOR REVIEW TO EXECUTIVE MANAGEMENT AT THE OFFICER LEVEL (PRESIDENT AND CEO, CFO / TREASURER AND GENERAL COUNSEL / CORPORATE SECRETARY.) ONLY SUBSEQUENT TO THESE REVIEWS IS THE FORM 990 FORWARDED TO THE COMMITTEE, AND POSTED TO A BOARD OF DIRECTOR SECTION OF THE AAA WEBSITE (WWW.ADR.ORG). ACCESS TO THIS SECTION OF THE AAA'S WEBSITE IS RESTRICTED (PASSWORD PROTECTED) SUCH THAT IT IS AVAILABLE ONLY TO AAA BOARD OF DIRECTOR MEMBERS. ONCE REVIEWED BY THE COMMITTEE, IT IS SIGNED BY THE CFO / TREASURER AS THE APPROPRIATE OFFICER OF THE AAA, AND TRANSMITTED TO THE INTERNAL REVENUE SERVICE (IRS) BY THE AAA'S INDEPENDENT ACCOUNTING FIRM. FORM 990, PART VI, SECTION B, LINE 12C PER THE AMERICAN ARBITRATION ASSOCIATION'S ("AAA'S") BYLAWS: "AT EACH ANNUAL MEETING OF THE DIRECTORS OF THE ASSOCIATION, EACH DIRECTOR SHALL COMPLETE A CONFLICT OF INTEREST DISCLOSURE STATEMENT, THE FORM OF WHICH SHALL BE DETERMINED BY THE BOARD OF DIRECTORS. THE STATEMENT SHALL DISCLOSE ALL INTERESTED PARTY TRANSACTIONS INVOLVING EACH BOARD MEMBER ENTERED INTO OR CONTINUED DURING THE PRECEDING YEAR, AS WELL AS INTERESTED PARTY TRANSACTIONS CURRENTLY BEFORE THE BOARD FOR ITS CONSIDERATION." A SEPARATE ANNUAL CONFLICT OF INTEREST STATEMENT IS REQUIRED BY THE AAA OF ITS OFFICERS AND KEY EMPLOYEES. IN BOTH INSTANCES, THE CORPORATE SECRETARY, ALSO THE AAA'S GENERAL COUNSEL, MANAGES THE RECEIPT AND REVIEW OF CONFLICT OF INTEREST SUBMISSIONS. THE OFFICERS OF THE AAA ARE RESPONSIBLE FOR THE DETERMINATION OF RESTRICTIONS BASED UPON THE NATURE OF ANY CONFLICT, AND THIS MAY BE CONDUCTED ON A CASE BY CASE BASIS. THE AAA HAS RELIED UPON THE RESPONSES OF OFFICERS, TRUSTEES AND KEY EMPLOYEES TO ANNUAL QUESTIONNAIRES DESIGNED TO ELICIT THE DISCLOSURE OF THESE RELATIONSHIPS, AND REVIEW OF THESE FORMS IS NOTED AS REASONABLE EFFORT PER THE INSTRUCTIONS FOR THIS FORM. FORM 990, PART VI, SECTION B, LINE 15A THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS REVIEWS THE PRESIDENT AND CHIEF EXECUTIVE OFFICER'S COMPENSATION, WHICH IS SUBSEQUENTLY APPROVED BY THE EXECUTIVE COMMITTEE OF THE BOARD OF DIRECTORS. THE COMPENSATION COMMITTEE, WHOSE OVERSIGHT IS DESIGNED TO INCLUDE PERSONS INDEPENDENT OF THE AAA, REVIEWS COMPENSATION DATA PROVIDED BY AN INDEPENDENT CONSULTANT, AND MINUTES TO THE COMMITTEE MEETINGS ARE CONTEMPORANEOUSLY RECORDED AND MAINTAINED AT THE AAA. 15B: THE PRESIDENT AND CHIEF EXECUTIVE OFFICER REVIEWS OFFICER AND KEY EMPLOYEE COMPENSATION (EXCLUDING HIS/HER OWN), AND IS THE FINAL APPROVAL AUTHORITY. THE REVIEW INCLUDES A REVIEW OF MEASURED PERFORMANCE, AS WELL AS COMPARABLE COMPENSATION RANGES PROVIDED BY AN INDEPENDENT CONSULTANT FOR POSITIONS WITH SIMILAR RESPONSIBILITIES. FORM 990, PART VI, SECTION C, LINE 19 THE AMERICAN ARBITRATION ASSOCIATION ("AAA") MAKES AVAILABLE ITS FORM 990 FOR PUBLIC INSPECTION UPON REQUEST, AND IT IS AVAILABLE ON THE WWW.GUIDESTAR.ORG WEBSITE AS WELL. THE AAA DOES NOT PROVIDE FORM 1023 PER GUIDANCE ON THE IRS WEBSITE AS THE AAA DID NOT FILE THIS FORM AFTER JULY 15, 1987, NOR DID IT HAVE A COPY ON THAT DATE. TO DATE, GOVERNING DOCUMENTS AND POLICIES CONCERNING CONFLICT OF INTEREST HAVE NOT BEEN MADE AVAILABLE TO THE PUBLIC. FORM 990, PART VII, SECTION B, LINE 1: THE AMERICAN ARBITRATION ASSOCIATION ("AAA", "THE ASSOCIATION") MAINTAINS A ROSTER OF OVER 7,600 IMPARTIAL NEUTRALS TO HEAR AND RESOLVE CASES. TO MAINTAIN NEUTRALITY AND INTEGRITY OF THE ALTERNATIVE DISPUTE RESOLUTION PROCESS, THE ASSOCIATION FACILITATES PAYMENT TO NEUTRALS ON MOST CASES ON BEHALF OF THE PARTIES TO AAA ADMINISTERED CASES BY ACTING AS A CONDUIT FOR SUCH PAYMENTS. IN OTHER WORDS, THE ASSOCIATION DELIVERS PARTY PAYMENTS TO NEUTRALS, AND ISSUES A 1099-MISCELLANEOUS FORM TO EACH NEUTRAL AT YEAR END CONSOLIDATING ALL PARTY PAYMENTS MADE THROUGH THE AAA IN THAT PERIOD. ANY RELATED EXPENSES INCURRED BY NEUTRALS ARE THE RESPONSIBILITY OF THE PARTIES, NOT THE ASSOCIATION. NEUTRALS ARE NOT CONSIDERED TO BE INDEPENDENT CONTRACTORS AS DEFINED BY THE IRS FOR THE PURPOSES OF THE FORM 990, AS THEY PROVIDE NO GOOD OR SERVICE DIRECTLY TO THE ASSOCIATION. THE 4,811 FORM 1099-MISCELLANEOUS SUBMISSIONS NOTED ON PART V, QUESTION 1A INCLUDE SUBMISSIONS FOR PAYMENTS MADE BY PARTIES TO IMPARTIAL NEUTRALS THROUGH THE AAA. THE AAA RECORDS THESE FUNDS IN A CUSTODIAL CAPACITY AS A LIABILITY ON THE AAA'S BALANCE SHEET. THESE FUNDS ARE NOT RECORDED OR RECOGNIZED AS INCOME OR EXPENSE. THE AAA ENSURES THAT THE IRS RECEIVES A 1099-MISCELLANEOUS FOR THE NEUTRALS' CONSOLIDATED ANNUAL ACTIVITY. SOME NEUTRALS ARE MEMBERS OF THE ASSOCIATION'S BOARD OF DIRECTORS. HOWEVER, SUCH SERVICE IS PURELY VOLUNTARY AND NO MEMBER OF THE BOARD IS COMPENSATED FOR THEIR SERVICE AS A MEMBER OF THE BOARD, INCLUDING ANY MEMBER OF THE BOARD THAT IS ALSO A NEUTRAL. OF THE AAA'S TOTAL ROSTER OF IMPARTIAL NEUTRALS, THERE WERE 336 NEUTRALS WHO RECEIVED COMPENSATION THROUGH AAA AS A CONDUIT IN EXCESS OF $100,000 IN 2013. FORM 990, PART VIII, LINE 2A - 2D SINCE 1926, THE AMERICAN ARBITRATION ASSOCIATION ("AAA") HAS FAITHFULLY AND CONSISTENTLY ADHERED TO THESE GUIDELINES, AND THE REVENUE-PRODUCING ACTIVITIES LISTED IN PART VIII ARE ALL EXECUTED IN SUPPORT OF THE FOLLOWING: 2A - RELATES TO THE PURPOSE OF "ADMINISTERING PROCEDURES FOR THE RESOLUTION OF DISPUTES." THIS IS DONE BY FACILITATING PARTIES' USE OF VARIOUS SYSTEMS OF ARBITRATION, MEDIATION AND DEMOCRATIC ELECTIONS. 2B - RELATES TO THE PURPOSE OF EDUCATING THE GENERAL PUBLIC AND INTERESTED PARTIES BY WAY OF EDUCATIONAL SEMINARS RUN BY THE AAA IN VARIOUS COMMUNITIES IN FULL RANGE OF SUCH DISPUTE RESOLUTION PROCEDURES AS DESCRIBED IN OUR BYLAWS. 2C - RELATES TO THE PURPOSE OF TRAINING AND EDUCATING THE BAHRAIN CHAMBER FOR DISPUTE RESOLUTION IN A FULL RANGE OF SUCH DISPUTE RESOLUTION PROCEDURES AS DESCRIBED IN OUR BYLAWS. 2D - RELATES TO THE SALE OF EDUCATIONAL PUBLICATIONS ON THE SUBJECT OF CONFLICT MANAGEMENT AND VOLUNTARY DISPUTE RESOLUTION TO THE GENERAL PUBLIC AND INTERESTED PARTIES. THESE INCLUDE BOOKS, PAMPHLETS AND OTHER EDUCATIONAL MATERIALS, AS WELL AS DIGITALLY FORMATTED PUBLICATIONS PRODUCTS AND ARBITRATION AWARDS THAT ARE PUBLICLY AVAILABLE ONLINE FORM 990, PART XI, LINE 9: MINIMUM PENSION LIABILITY ADJUSTMENT 5,146,438. ACCRUED POSTRETIREMENT MEDICAL OBLIGATION ADJUSTMENT 815,845. BONUSES ACCRUED VIA GAAP BUT NOT PAID -170,000. FORM 990, PART XII, LINE 2C: NO CHANGE FROM PRIOR PERIOD PROCESS. AMERICAN ARBITRATION ASSOCIATION - ICDR LTD 1 MARINA BOULEVARD 28-00 SN 018989 980677444 DISPUTE RESOLUTION SN 40912 26261 AMERICAN ARBITRATION ASSOCIATION INC GLOBAL CENTER FOR DISPUTE RESOLUTION 1633 BROADWAY FLOOR 10 NEW YORK NY 10019 134197286 DISPUTE RESOLUTION RESEARCH NY 501(C)(3) 9 AMERICAN ARBITRATION ASSOCIATION INC 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0