2013-08-13T13:00:24-05:00 2012-12-31 221478099 COHNREZNICK LLP 1212 6TH AVENUE NEW YORK NY 10036 990 2012-01-01 130429745 AMERICAN ARBITRATION ASSOCIATION INC AMER 2127165800 120 BROADWAY NO FL 21 NEW YORK NY 10271 FRANCESCO ROSSI 2127165810 2013-08-13 0 THOMAS LANNING P00851654 2122970400 2012 2016-02-24 21:20:13Z X WILLIAM K SLATE II 120 BROADWAY NO FL 21 NEW YORK NY 10271 107535131 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. 99 98 704 0 0 0 811 0 68556744 64560611 2092418 6438270 8326 16500 70658299 71015381 32392 17392 0 0 42680025 38206317 0 0 0 31484411 27937867 74196828 66161576 -3538529 4853805 122301545 124433750 87015518 81202788 35286027 43230962 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 58363426 17392 62398774 CASE ADMINISTRATION: THE AAA ADMINISTERS TENS OF THOUSANDS OF ARBITRATIONS, MEDIATIONS AND OTHER FORMS OF DISPUTE RESOLUTION IN A GIVEN YEAR. THE AAA'S ADMINISTRATIVE ROLE IN THESE PROCESSES IS 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 HAS RESULTED IN A LESSENING OF THE BURDENS OF OUR COURTS AND GOVERNMENT.THE AMERICAN ARBITRATION ASSOCIATION ("AAA") HAS, FOR OVER EIGHTY YEARS, PIONEERED THE ALTERNATIVE DISPUTE RESOLUTION MOVEMENT TO ITS PRESENT LEVEL OF ACCEPTABILITY AND APPLICATION IN VIRTUALLY EVERY AREA OF PUBLIC AND PRIVATE LIFE. AS A NOT-FOR-PROFIT, PUBLIC SERVICE ORGANIZATION, THE AAA HAS MAINTAINED ITS INTEGRITY THROUGHOUT ITS HISTORY BY PROVIDING A FAIR AND EQUITABLE PROCESS FOR ALL USERS OF ITS SERVICES. THE AAA DOES NOT DECIDE CASES. RATHER, IT PROVIDES A FORUM FOR THE HEARING OF DISPUTES, TESTED RULES AND PROCEDURES THAT HAVE BROAD ACCEPTANCE AND A ROSTER OF OVER 7,990 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 THE ASSOCIATION'S CODE OF ETHICS, PREPARED BY A JOINT COMMITTEE OF THE AAA AND THE AMERICAN BAR ASSOCIATION.IN 2012, THERE WERE OVER 250,367 CASES ADMINISTERED BY THE AAA, WHICH WERE RESOLVED THROUGH MEDIATION OR ARBITRATION AND LESS FORMAL METHODS OF DISPUTE RESOLUTION.AT YEAR END 2012 THE AAA, WITH 22 DOMESTIC OFFICES AND 3 INTERNATIONAL OFFICES LOCATED IN BAHRAIN, MEXICO AND SINGAPORE AND 68 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. THE AAA'S WEBSITE (WWW.ADR.ORG) HAD OVER 920,000 VISITS IN 2012, WITH OVER 3,000,000 PAGES VIEWEDADDITIONALLY, THE ADMINISTRATION OF ELECTION SERVICES IS A SPECIALIZED AND UNIQUE CAPABILITY OF THE AAA, AND IS PROVIDED TO VARIOUS ORGANIZATIONS, ASSOCIATIONS AND UNIONS. PROCEDURES SEEK TO ASSURE THE EQUITY OF RESULTS AND GIVE THE PARTICIPANTS THE SECURITY OF KNOWING THAT THEIR DEMOCRATIC RIGHTS HAVE BEEN FULLY AND FAIRLY PRESERVED. 2226158 2179819 EDUCATION AND PUBLICATIONS:THE AAA'S EDUCATIONAL SERVICES DIVISION PROVIDES COMPREHENSIVE EDUCATION AND TRAINING FOR VARIOUS FORMS OF ALTERNATIVE DISPUTE RESOLUTION SERVICES. 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 PROCEDURES. 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. 60589584 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 1 0 0 0 1 4825 0 1 704 1 0 1 SN 0 0 0 0 0 0 0 0 X 99 98 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 0.30 X 0 0 0 ALBERT BATES JR 0.30 X 0 0 0 ALBERT P PARKER II 0.30 X 0 0 0 ANGUS F SMITH 0.30 X 0 0 0 ARTHUR CHONG 0.30 X 0 0 0 BENNETT G PICKER 0.30 X 0 0 0 BILLY MARTIN 0.30 X 0 0 0 BRADLEY E HADDOCK 0.30 X 0 0 0 CAROLYN B LAMM 0.30 X 0 0 0 CHARISSE R LILLIE 0.30 X 0 0 0 CHRISTI L UNDERWOOD 0.30 X 0 0 0 CHRISTIAN BOUCKAERT 0.30 X 0 0 0 CHRISTINE GUERRIER 0.30 X 0 0 0 DANIEL M PRICE 0.30 X 0 0 0 DAVID L KREIDER 0.30 X 0 0 0 DAVID M BENCK 0.30 X 0 0 0 DAVID R ANDREWS 0.30 X 0 0 0 DAVID R HAIGH 0.30 X 0 0 0 DENIS J HAUPTLY 0.30 X 0 0 0 DR CLAUS VON WOBESER 0.30 X 0 0 0 DR PATRICIA D GALLOWAY 0.30 X 0 0 0 DR SIEGFRIED H ELSING 0.30 X 0 0 0 DR WILLIAM JESSEE 0.30 X 0 0 0 DUSHYANT DAVE 0.30 X 0 0 0 E NOBLES LOWE 0.30 X 0 0 0 EDNA SUSSMAN 0.30 X 0 0 0 EDWARD V LAHEY JR 0.30 X 0 0 0 ELISA GARCIA 0.30 X 0 0 0 ELIZABETH KEEFER 0.30 X 0 0 0 FORREST N KRUTTER 0.30 X 0 0 0 FRANK J BRANCHINI 0.30 X 0 0 0 FRED G BENNETT 0.30 X 0 0 0 GONZALO BIGGS 0.30 X 0 0 0 GUILLERMO AGUILAR-ALVAREZ 0.30 X 0 0 0 HAROLD COLEMAN JR 0.30 X 0 0 0 HE SHEIKHA HAYA AL KHALIFA 0.30 X 0 0 0 HENRI ALVAREZ 0.30 X 0 0 0 HON CHERYL DEMMERT FAIRBANKS 0.30 X 0 0 0 HON DEBORAH G HANKINSON 0.30 X 0 0 0 HON GABRIELLE KIRK MCDONALD 0.30 X 0 0 0 HON GEORGE BUNDY SMITH 0.30 X 0 0 0 HON HOWARD M HOLTZMANN 0.30 X 0 0 0 HON JAMES T GILES RET 0.60 X 0 0 0 HON JANET RENO 0.30 X 0 0 0 HON JUDITH KAYE 0.30 X 0 0 0 HON MICHAEL B MUKASEY 0.30 X 0 0 0 HON RICHARD J GOLDSTONE 0.30 X 0 0 0 HON STEPHEN SCHWEBEL 0.30 X 0 0 0 HON TIMOTHY K LEWIS 0.30 X 0 0 0 HOWARD J AIBEL 0.30 X 0 0 0 ISRAEL J FLOYD 0.30 X 0 0 0 JACQUELIN F DRUCKER 0.30 X 0 0 0 JAMES H CARTER 0.30 X 0 0 0 JAMES J SEIFERT 0.30 X 0 0 0 JAMES R JENKINS 0.60 X 0 0 0 JAN PAULSSON 0.30 X 0 0 0 JAVIER H RUBINSTEIN 0.30 X 0 0 0 JEAN E KALICKI 0.30 X 0 0 0 JOHN E BULMAN 0.30 X 0 0 0 JOHN FELLAS 0.30 X 0 0 0 JOHN J KERR JR 1.00 X 0 0 0 JOHN M TOWNSEND 0.60 X 0 0 0 JOIA M JOHNSON 1.00 X 0 0 0 JONATHAN P HIATT 0.30 X 0 0 0 JOSE MARIA ABASCAL 0.30 X 0 0 0 JOSEPH D GARRISON 0.30 X 0 0 0 JOSEPH E NEUHAUS 0.30 X 0 0 0 JOSEPH M MATTHEWS 0.30 X 0 0 0 JUDITH ANN FREEDBERG 0.30 X 0 0 0 JUDITH GILL 0.30 X 0 0 0 KAJ HOBER 0.30 X 0 0 0 KAP-YOU KEVIN KIM 0.30 X 0 0 0 L G LEWIS JR 0.30 X 0 0 0 MAKHDOOM ALI KHAN 0.30 X 0 0 0 MARK H DUESENBERG 0.30 X 0 0 0 MARK KANTOR 0.30 X 0 0 0 MARY O'CONNELL 0.30 X 0 0 0 MARY S ELCANO 0.30 X 0 0 0 MELINDA REID HATTON 0.30 X 0 0 0 MICHAEL NOLAN 0.30 X 0 0 0 NORMAN M HINERFELD 0.30 X 0 0 0 PAUL FRIEDLAND 0.30 X 0 0 0 PETER B HAMILTON 0.30 X 0 0 0 PHILLIP FINKELSTEIN 0.30 X 0 0 0 PROF CORNELIA PILLARD 0.30 X 0 0 0 PROF FRANCIS MCGOVERN 0.30 X 0 0 0 PROF GABRIELLE KAUFMANN-KOHLER 0.30 X 0 0 0 PROF GEORGE A BERMANN 0.30 X 0 0 0 PROF HOWARD HUNTER 0.30 X 0 0 0 PROF JOHN D FEERICK 0.30 X 0 0 0 PROF LARRY D THOMPSON 0.30 X 0 0 0 PROF WILLIAM W PARK 0.30 X 0 0 0 R DOAK BISHOP 0.30 X 0 0 0 RICHARD T BENNETT 0.30 X 0 0 0 ROBERT COULSON 0.30 X 0 0 0 RODNEY A SMOLLA 0.30 X 0 0 0 SAMUEL P FRIED 0.30 X 0 0 0 STEPHEN E SMITH 0.30 X 0 0 0 SUSAN DAVIS 0.30 X 0 0 0 TERESA E MCCASLIN 0.60 X 0 0 0 TERESA GIOVANNINI 0.30 X 0 0 0 TERESA WYNN ROSEBOROUGH 0.30 X 0 0 0 TIMOTHY MARTIN 0.30 X 0 0 0 TONI D HENNIKE 0.30 X 0 0 0 VERA VAN HOUTTE 0.30 X 0 0 0 VINCENT J LOVE 0.30 X 0 0 0 WILLIAM H NEUKOM 0.30 X 0 0 0 WOLF VON KUMBERG 0.30 X 0 0 0 WILLIAM K SLATE II 35.00 X X 753579 0 42783 INDIA JOHNSON 35.00 X 369029 0 32867 ERIC TUCHMANN 35.00 X 318292 0 31783 FRANCESCO ROSSI 35.00 X 326821 0 32220 CHRISTINE NEWHALL 35.00 X 282899 0 28983 DIANA DIDIA 35.00 X 287687 0 19183 MARK APPEL 35.00 X 256288 0 16635 RICHARD NAIMARK 35.00 X 289577 0 29189 ALAN AMBRON 35.00 X 145508 0 18869 HARRY KAMINSKY 35.00 X 175773 0 23542 JAMES REYNOLDS 35.00 X 143594 0 26518 KENNETH EGGER 35.00 X 157656 0 5966 WILLIAM CONSIDINE 35.00 X 149219 0 13388 JOHN EMMERT 1.00 X 215354 0 6394 3871276 0 328320 51 1 1 0 GRANT THORNTON LLP 33562 TREASURY CENTER CHICAGO IL 60694 CONSULTING SERVICES 584757 CONANT ARCHITECTS 315 MADISON AVENUE NEW YORK NY 10017 CONSULTING SERVICES 457364 LEONARD PFEIFFER & COMPANY LLC 1319 F STREET NW WASHINGTON DC 20004 RECRUITING SERVICES 201170 EARTHQUAKE MEDIA 12 WEST 21ST STREET 5TH FLOOR NEW YORK NY 10010 MARKETING SERVICES 188174 COHNREZNICK LLP 1212 SIXTH AVENUE NEW YORK NY 10036 AUDIT SERVICES 168000 8 X DISPUTE RESOLUTION REV 561000 62380792 62380792 SEMINAR REVENUE 611600 1357451 1357451 OTHER EDUCATION REVENUE 611600 593430 593430 PUBLICATION REVENUE 611600 228938 228938 64560611 3744422 3744422 44395 27895 16500 16500 16500 39167721 17982 36360680 131175 2807041 -113193 2693848 -113193 2807041 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70636259 67904594 76898360 68557555 64560611 348557379 0 4121404 4263843 4987776 3071702 2793762 19238487 4121404 4263843 4987776 3071702 2793762 19238487 329318892 4933803 5426198 5782272 2694633 3760922 22597828 4933803 5426198 5782272 2694633 3760922 22597828 75570062 73330792 82680632 71252188 68321533 371155207 0.88730 0.88520 0.06090 0.06020 X 0 1 0 0 0 0 1 90000 0 0 90000 0 0 1 X 11477751 10249105 1228646 8539237 6372998 2166239 12165117 10419144 1745973 5140858 INTERNAL USE SOFTWARE DEVELOPMENT IN PROGRESS 7915394 7915394 ACCRUED POST RETIREMENT MEDICAL COSTS 8155664 ACCRUED PENSION LIABILITY 7682393 DEFERRED RENT 1042556 16880613 X 72346242 2239556 -852320 1387236 70959006 39875 16500 56375 71015381 65252881 -16500 -16500 65269381 39875 852320 892195 66161576 PART IV, LINE 2B: A VICE PRESIDENT EMPLOYED BY THE AMERICAN ARBITRATION ASSOCIATION ("AAA") HAS BEEN HONORED AS RE-ELECTED PRESIDENT OF THE INTER-AMERICAN COMMERCIAL ARBITRATION COMMISSION (IACAC), WHICH IS RESPONSIBLE FOR A SYSTEM OF RESOLVING INTERNATIONAL COMMERCIAL DISPUTES UNDER THE IACAC RULES. THE IACAC IS AN INFORMAL ASSOCIATION OF ARBITRAL INSTITUTIONS FROM THE WESTERN HEMISPHERE AND THE IBERIAN PENINSULA. THE AAA IS THE NATIONAL SECTION FOR THE UNITED STATES. HISTORICALLY, THE IACAC PRESIDENT'S EMPLOYER HAS MAINTAINED AN ACCOUNT TO RECORD MEMBERSHIP RECEIPTS (DUES) AND EXPENSES, AND THE AAA HAS OBLIGED IN THIS CAPACITY FOR IACAC. THERE IS A SEPARATE BANK ACCOUNT WITH AN ASSOCIATED AND EQUAL SEPARATE LIABILITY ACCOUNT MAINTAINED. AAA AND IACAC FUNDS ARE NOT CO-MINGLED. ALL SUPPORTING DOCUMENTATION FOR ACTIVITY IS MAINTAINED BY THE PRESIDENT, AND THE ACCOUNT IS RECONCILED MONTHLY. AT DECEMBER 31, 2012, THE BALANCE OF IACAC FUNDS HELD BY THE AAA WAS $126,818. ADDITIONALLY, THE AAA IS A FOUNDING MEMBER AND SUPPORTER OF THE INTERNATIONAL MEDIATION INSTITUTE (IMI), A GLOBAL INSTITUTION HEADQUARTERED IN THE NETHERLANDS WHOSE VISION IS GENERATING ENHANCED CONFIDENCE IN MEDIATORS AND IMPROVED UNDERSTANDING OF MEDIATION. DURING 2012, 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. ALL SUPPORTING DOCUMENTATION FOR ACTIVITY IS MAINTAINED BY THE AAA, THE ACCOUNT IS RECONCILED MONTHLY AND PERIODIC TRANSFERS ARE MADE TO IMI. AT DECEMBER 31, 2012, THE BALANCE OF IMI FUNDS HELD BY THE AAA WAS $3,490. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: 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 OPERATIONS OF FOREIGN AFFILIATES HAVE NO INCOME TAX LIABILITY EXPOSURE. THE ASSOCIATION HAS NO UNRECOGNIZED TAX BENEFITS AT DECEMBER 31, 2012 AND 2011. THE ASSOCIATION'S U.S. FEDERAL AND STATE INCOME TAX RETURNS PRIOR TO FISCAL YEAR 2009 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 -852,320. PART XI, LINE 4B - OTHER ADJUSTMENTS: RENTAL INCOME ASSOCIATED WITH SUBLEASE 16,500. PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES FROM SUBLEASED PROPERTY -16,500. PART XII, LINE 4B - OTHER ADJUSTMENTS: BANK FEES 852,320. 1 SOUTH AMERICA 0 1 PROGRAM SERVICES ADR SERVICES 32054 ASIA 1 1 PROGRAM SERVICES ADR SERVICES 99914 EUROPE 0 1 PROGRAM SERVICES ADR SERVICES 17226 1 3 0 0 1 3 149194 0 149194 EUROPE (INCLUDING ICELAND & GREENLAND) - GENERAL SUPPORT 17392 LOAN WRITE-OFF FAIR MARKET VALUE 1 0 0 0 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, 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 1 0 0 1 0 0 0 0 0 WILLIAM K SLATE II 645197 0 100000 0 8382 0 23600 0 20155 0 797334 0 0 0 INDIA JOHNSON 364673 0 0 0 4356 0 13684 0 20090 0 402803 0 0 0 ERIC TUCHMANN 277301 0 40000 0 991 0 11340 0 21415 0 351047 0 0 0 FRANCESCO ROSSI 280161 0 46000 0 660 0 11467 0 21725 0 360013 0 0 0 CHRISTINE NEWHALL 240061 0 40000 0 2838 0 9800 0 20043 0 312742 0 0 0 DIANA DIDIA 247027 0 40000 0 660 0 0 0 20066 0 307753 0 0 0 MARK APPEL 227236 0 26000 0 3052 0 9200 0 8246 0 273734 0 0 0 RICHARD NAIMARK 245221 0 40000 0 4356 0 10006 0 20060 0 319643 0 0 0 ALAN AMBRON 144383 0 0 0 1125 0 4726 0 14681 0 164915 0 0 0 HARRY KAMINSKY 119687 0 0 0 56086 0 4779 0 19197 0 199749 0 0 0 JAMES REYNOLDS 142888 0 0 0 706 0 5960 0 21111 0 170665 0 0 0 KENNETH EGGER 149235 0 0 0 8421 0 5966 0 553 0 164175 0 0 0 WILLIAM CONSIDINE 146071 0 0 0 3148 0 5953 0 7985 0 163157 0 0 0 JOHN EMMERT 84 0 0 0 215270 0 0 0 6394 0 221748 0 0 0 PART I, LINE 4A AS PART OF A SEVERANCE PACKAGE, MR. JOHN EMMERT, A (FORMER) SENIOR VICE PRESIDENT RECEIVED A PAYMENT IN THE AMOUNT OF APPROXIMATELY $215,270 IN 2012. MR. HARRY KAMINSKY A VICE PRESIDENT ACCEPTED A SEVERANCE PACKAGE IN THE AMOUNT OF APPROXIMATELY $53,422. THESE PACKAGES COMPLIED WITH ALL APPLICABLE TAX REGULATIONS, AND WERE TREATED IN ACCORDANCE WITH ALL APPLICABLE INTERNAL COMPENSATION, TAX AND BENEFIT POLICIES AND PROCEDURES. PART I, LINE 5 SENIOR MANAGEMENT COMPENSATION INCLUDES THE POTENTIAL FOR ANNUAL INCENTIVE COMPENSATION AWARDS, WHICH MAY BE BASED IN PART UPON THE FINANCIAL PERFORMANCE OF THE AMERICAN ARBITRATION ASSOCIATION AS A WHOLE. FINANCIAL PERFORMANCE MEASURES INCLUDE PERIOD OVER PERIOD GROSS REVENUE. 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 OUR 109 MEMBER 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, TRUSTEES AND KEY EMPLOYEES TO ANNUAL QUESTIONNAIRES DESIGNED TO ELICIT THE DISCLOSURE OF THESE RELATIONSHIPS, AND ALTHOUGH THESE ARE NOTED AS REASONABLE EFFORTS IN THE INSTRUCTIONS FOR THIS FORM, 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") HAS BEEN SELECTED, BASED UPON ITS FINANCIAL EXPERTISE AND SUITABILITY FOR THE TASK, TO REVIEW 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. DETAIL ON THE TRANSMITAL OF U.S. INFORMATION RETURNS FORM 990, PART VII, SECTION B, LINE 1: THE AMERICAN ARBITRATION ASSOCIATION ("AAA", "THE ASSOCIATION") MAINTAINS A ROSTER OF OVER 7,990 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 4,825 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 266 NEUTRALS WHO RECEIVED COMPENSATION THROUGH AAA AS A CONDUIT IN EXCESS OF $100,000 IN 2012. DESCRIPTION OF PROGRAM SERVICE REVENUE 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: 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 CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: MINIMUM PENSION LIABILITY ADJUSTMENT 37,784. ACCRUED POSTRETIREMENT MEDICAL OBLIGATION ADJUSTMENT 813,790. FINANCIAL STATEMENT & REPORTING 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 13005 -138296 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