2012-08-14T13:14:54-05:00 2011-12-31 221478099 JH COHN LLP 1212 6TH AVENUE NEW YORK NY 10036 990 2011-01-01 130429745 AMERICAN ARBITRATION ASSOCIATION INC AMER 2127165800 1633 BROADWAY NO FL 10 NEW YORK NY 10019 FRANCESCO ROSSI 2127165810 2012-08-14 0 THOMAS LANNING P00851654 2122970400 2011 2016-02-24 21:20:13Z WILLIAM K SLATE II 1633 BROADWAY NO FL 10 NEW YORK NY 10019 93850512 0 X WWW.ADR.ORG X 1926 NY AMERICAN ARBITRATION ASSOCIATION IS DEDICATED TO THE DEVELOPMENT AND WIDESPREAD USE OF PROMPT, EFFECTIVE AND ECONOMICAL METHODS OF DISPUTE RESOLUTION. 96 95 643 0 0 0 8402 811 76889958 68556744 3471672 2092418 10742 8326 80380774 70658299 27392 32392 0 0 42525681 42680025 0 0 0 31498864 31484411 74051937 74196828 6328837 -3538529 127394271 122301545 84190242 87015518 43204029 35286027 X THE AMERICAN ARBITRATION ASSOCIATION ("AAA") IS DEDICATED TO THE DEVELOPMENT AND WIDESPREAD USE OF PROMPT, EFFECTIVE AND ECONOMICAL METHODS OF DISPUTE RESOLUTION. 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 65993886 17392 66170604 CASE ADMINISTRATION:THE AMERICAN ARBITRATION ASSOCIATION ("AAA", "THE ASSOCIATION") 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 8,539 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 2011, THERE WERE OVER 187,596 CASES ADMINISTERED BY THE AAA, WHICH WERE RESOLVED THROUGH MEDIATION OR ARBITRATION AND LESS FORMAL METHODS OF DISPUTE RESOLUTION.AT YEAR END 2011 THE AAA, WITH 25 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.ADDITIONALLY, 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. 2495890 15000 2308246 EDUCATION AND PUBLICATIONS:AAA UNIVERSITY SERVES AS A COMPREHENSIVE DEPARTMENT OF EDUCATION AND TRAINING FOR THE AMERICAN ARBITRATION ASSOCIATION. ITS FOCUS IS THE PROVISION OF EDUCATION AND TRAINING PROGRAMS BOTH IN DOMESTIC AND INTERNATIONAL SETTINGS AS WELL AS ONLINE FORMATS TO NEUTRALS SERVING THE AAA AND ICDR AS WELL AS ADVOCATES, BUSINESS PROFESSIONALS, AND THE GENERAL PUBLIC. AAA UNIVERSITY DESIGNS AND DELIVERS CUSTOMIZED IN-HOUSE PROGRAMS FOR CORPORATIONS, LAW FIRMS, COURT SYSTEMS, UNIONS AND GOVERNMENT AGENCIES. THE GOAL OF THESE PROGRAMS IS TO EDUCATE AND ENCOURAGE THE RESPONSIBLE USE OF ALTERNATIVE DISPUTE RESOLUTION PROCESSES.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. 68489776 1 0 0 1 0 0 0 0 1 0 1 1 0 1 1 1 0 1 0 1 1 1 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 1 0 0 1 5155 0 1 643 1 0 1 SN 0 0 0 0 0 0 0 0 X 96 95 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 1633 BROADWAY FLOOR 10 NEW YORK NY 10019 X ALBERT BATES JR 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 CAROL C LAPIDUS 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 DANIEL M PRICE 0.30 X 0 0 0 DAVID KREIDER 0.30 X 0 0 0 DAVID R ANDREWS 0.30 X 0 0 0 DAVID R HAIGH 0.30 X 0 0 0 DEAN RODNEY A SMOLLA 0.30 X 0 0 0 DON E MARSH 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 J 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 GABRIELLE KAUFMANN-KOHLER 0.30 X 0 0 0 GILBERTO GUISTI 0.30 X 0 0 0 GONZALO BIGGS 0.30 X 0 0 0 GUILLERMO AGUILAR-ALVAREZ 0.60 X 0 0 0 HAROLD COLEMAN JR 0.30 X 0 0 0 HE SHEIKHA HAYA RASHED 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 GILES 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 HOWARD O HUNTER 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 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 M DE LASA 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 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 KIM 0.30 X 0 0 0 LARRY D THOMPSON 0.30 X 0 0 0 LG LEWIS JR 0.30 X 0 0 0 MAKHDOOM ALI KHAN 0.30 X 0 0 0 MARK KANTOR 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 MS TONI D HENNIKE 0.30 X 0 0 0 NORMAN M HINERFIELD 0.30 X 0 0 0 PAUL D 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 GEORGE A BERMANN 0.30 X 0 0 0 PROF JOHN D FEERICK 0.30 X 0 0 0 PROF T J ST ANTOINE 0.60 X 0 0 0 PROF WILLIAM W PARK 0.30 X 0 0 0 R DOAK BISHOP 0.30 X 0 0 0 RENE VAN ROOIJ 0.30 X 0 0 0 RICHARD T BENNETT 0.30 X 0 0 0 ROBERT COULSON 0.30 X 0 0 0 SAMUEL P FRIED 0.30 X 0 0 0 STEPHEN D BUTLER 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 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 WILLIAM K SLATE II 35.00 X X 675000 0 64120 WOLF VON KUMBERG 0.30 X 0 0 0 ERIC TUCHMANN 35.00 X 338500 0 51917 FRANCESCO ROSSI 35.00 X 346670 0 52347 CHRISTINE NEWHALL 35.00 X 285000 0 46594 DIANA DIDIA 35.00 X 226969 0 9882 GENE TRUNCELLITO 35.00 X 265500 0 43894 INDIA JOHNSON 35.00 X 295000 0 46469 JOHN EMMERT 35.00 X 371120 0 90394 MARK APPEL 35.00 X 265292 0 35949 RICHARD NAIMARK 35.00 X 300160 0 47310 CATHERINE SHANKS 35.00 X 196376 0 16466 KENNETH EGGER 35.00 X 175985 0 33316 MAUREEN KURDZIEL 35.00 X 161479 0 19642 SANDRA PARTRIDGE 35.00 X 158342 0 14364 WILLIAM CONSIDINE 35.00 X 161835 0 24706 4223228 0 597370 54 0 1 0 TEAM FIRST CONSULTING PO BOX 316 MORRIS PLAINS NJ 07950 CONSULTING SERVICE 608598 GRANT THORNTON LLP 33562 TREASURY CENTER CHICAGO IL 60694 CONSULTING SERVICE 285115 JH COHN LLP 1212 SIXTH AVENUE NEW YORK NY 10036 AUDIT SERVICES 153318 HAYS MCCONN RICE & PICKIRING PC 1233 WEST LOOP S STE 1000 HOUSTON TX 77027 LEGAL SERVICES 134887 RALPH CLARK ASSOCIATES 215 GORDONS CORNER RD MANALAPAN NJ 07726 CONSULTING SERVICE 124470 5 811 811 DISPUTE RESOLUTION 561000 66248498 66248498 SEMINAR REV 611600 1356902 1356902 OTHER EDUCATION REV 611600 725753 725753 PUBLICATION REV 611600 225591 225591 68556744 2685633 2685633 9000 674 8326 8326 8326 19917909 2680415 20433230 2758309 -515321 -77894 -593215 -77894 -515321 70658299 68478850 0 2178638 15000 15000 17392 17392 3858086 2463561 1394525 28149343 27561544 587799 2713513 2579430 134083 5285620 5184710 100910 2673463 2559273 114190 1802359 1617733 184626 803536 421319 382217 170900 170900 44830 35864 8966 231362 228577 2785 3194810 3077550 117260 1640894 1582167 58727 10535430 10279424 256006 642433 526921 115512 288330 172113 116217 2353148 2266105 87043 487340 474148 13192 BAD DEBT 3356641 1878617 1478024 DIRECT ELECTIONS EXP 2926579 2926579 MARKETING 695800 657916 37884 DIRECT EDUCATION EXP 631530 631530 1678489 1332303 346186 74196828 68489776 5707052 0 4700 4299 7826395 3735991 11283976 9609107 2535394 2544510 29752833 25608803 6105998 4144030 96802426 94161113 2835382 8102495 127394271 122301545 64746917 65791697 2339203 1963600 78618 50601 17025504 19209620 84190242 87015518 X 43204029 35286027 43204029 35286027 127394271 122301545 X -3538529 -4379473 X X 0 1 1 X 0 X 250 8700 2000 8402 811 20163 72644137 70627559 67902594 76889958 68556744 356620992 72644387 70636259 67904594 76898360 68557555 356641155 0 4290822 4121404 4263843 4987776 3071702 20735547 4290822 4121404 4263843 4987776 3071702 20735547 335905608 4011935 4933803 5426198 5782272 2694633 22848841 4011935 4933803 5426198 5782272 2694633 22848841 76656322 75570062 73330792 82680632 71252188 379489996 0.88520 0.88070 0.06020 0.06030 X 0 1 0 0 0 0 1 90000 0 0 90000 0 0 1 11773071 9639708 2133363 6928695 5574374 1354321 11051067 10394721 656346 4144030 INDEX FUNDS 12794566 F SHORT TERM BOND FUNDS 26992130 F INT. TERM BOND FUNDS 21537546 F HIGH YIELD BOND FUNDS 7302970 F EMERGING MARKETS BOND FUNDS 3123574 F INFLATION PROTECTED BOND FUNDS 11741131 F OTHER FUNDS 10669196 F 94161113 INTERNAL USE SOFTWARE DEVELOPMENT IN PROGRESS 8102495 8102495 ACCRUED POST RETIREMENT MEDICAL COSTS 8506607 ACCRUED PENSION LIABILITY 8797478 DEFERRED RENT 1905535 19209620 70658299 74196828 -3538529 189592 -4575500 -4385908 -7924437 70095664 189592 -699070 -509478 70605142 44831 8326 53157 70658299 73444601 -8326 -8326 73452927 44831 699070 743901 74196828 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, 2011, THE BALANCE OF IACAC FUNDS HELD BY THE AAA WAS $45,543. 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 2011, 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, 2011, THE BALANCE OF IMI FUNDS HELD BY THE AAA WAS $5,058. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: 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, 2011 AND 2010. THE ASSOCIATION'S U.S. FEDERAL AND STATE INCOME TAX RETURNS PRIOR TO FISCAL YEAR 2008 ARE CLOSED AND MANAGEMENT CONTINUALLY EVALUATES EXPIRING STATUTES OF LIMITATIONS, AUDITS, PROPOSED SETTLEMENTS, CHANGES IN TAX LAW AND NEW AUTHORITATIVE RULINGS. PART XI, LINE 8 - OTHER ADJUSTMENTS: MINIMUM PENSION LIABILITY ADJUSTMENT -4,404,140. POSTRETIREMENT MEDICAL OBLIGATION ADJUSTMENT -171,360. TOTAL TO SCHEDULE D, PART XI, LINE 8: -4,575,500. PART XII, LINE 2D - OTHER ADJUSTMENTS: BANK FEES -699,070. PART XII, LINE 4B - OTHER ADJUSTMENTS: RENTAL INCOME ASSOCIATED WITH SUBLEASE 8,326. PART XIII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES FROM SUBLEASED PROPERTY -8,326. PART XIII, LINE 4B - OTHER ADJUSTMENTS: BANK FEES 699,070. 1 MIDDLE EAST AND NORTH AFRICA 1 1 PROGRAM SERVICES ADR SERVICES 3624 SOUTH AMERICA 0 1 PROGRAM SERVICES ADR SERVICES 28270 ASIA 1 1 PROGRAM SERVICES ADR SERVICES 108067 EUROPE 0 1 PROGRAM SERVICES ADR SERVICES 32104 2 4 0 0 2 4 172065 0 172065 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. SCHEDULE F, PART I, MIDDLE EAST AND NORTH AFRICA: OFFICE LOCATION: SUITE 401, PARK PLAZA, BUILDING 247 ROAD 1704, DIPLOMATIC AREA, P.O. BOX 20006, MANAMA, KINGDOM OF BAHRAIN. STAFFING: ONE DOMESTICALLY BASED SENIOR VICE PRESIDENT IS RESPONSIBLE FOR THIS GEOGRAPHIC AREA, BUT IS NOT THERE FULL TIME. THIS OFFICE WAS ESTABLISHED IN DECEMBER 2009 IN COORDINATION WITH THE BAHRAIN CHAMBER FOR DISPUTE RESOLUTION FOR THE PURPOSE OF EDUCATION AND REGIONAL USE OF ALTERNATIVE DISPUTE RESOLUTION PRACTICES. SCHEDULE F, PART I, SOUTH AMERICA: OFFICE LOCATION: N/A. STAFFING: ONE DOMESTICALLY BASED VICE PRESIDENT IS RESPONSIBLE FOR THIS GEOGRAPHIC REGION. THE EXPENSES NOTED INCLUDE THE COSTS ASSOCIATED WITH EDUCATION PROGRAMS IN SOUTH AMERICA (NON-US). SCHEDULE F, PART II: THE AMERICAN ARBITRATION ASSOCIATION ("AAA") IS A FOUNDING MEMBER OF THE INTERNATIONAL MEDIATION INSTITUTE ("IMI"), LOCATED AT LAAN VAN MEERDERVOORT 70, 2517 AN THE HAGUE, THE NETHERLANDS. THE AAA WROTE OFF 10% OF AN EXISTING LOAN TO IMI, THUS PROVIDING NON-CASH SUPPORT TO THIS ENTITY WITH VALUE OF US $17,392. THE POTENTIAL FOR EXCHANGE RATE VARIANCES ON THE REMAINING LOAN IS PERIODICALLY REVIEWED BY MANAGEMENT. 1 THE CENTER FOR CIVIC MEDIATION 1055 WEST 7TH STREET SUITE 2700 LOS ANGELES CA 90017 954121211 501(C)(3) 15000 TO SUPPORT ORGANIZATION'S MISSION. 1 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: THE ORGANIZATION DOES NOT MONITOR THE USE OF GRANT FUNDS IN THE U.S. X X 1 1 X X X X X 1 1 0 1 0 0 0 0 0 WILLIAM K SLATE II 590000 0 85000 0 0 0 48350 0 15770 0 739120 0 0 0 ERIC TUCHMANN 283500 0 55000 0 0 0 36855 0 15062 0 390417 0 0 0 FRANCESCO ROSSI 286670 0 60000 0 0 0 37267 0 15080 0 399017 0 0 0 CHRISTINE NEWHALL 245000 0 40000 0 0 0 31850 0 14744 0 331594 0 0 0 DIANA DIDIA 226969 0 0 0 0 0 0 0 9882 0 236851 0 0 0 GENE TRUNCELLITO 225500 0 40000 0 0 0 29315 0 14579 0 309394 0 0 0 INDIA JOHNSON 245000 0 50000 0 0 0 31725 0 14744 0 341469 0 0 0 JOHN EMMERT 256810 0 35000 0 79310 0 75685 0 14709 0 461514 0 0 45221 MARK APPEL 230000 0 35000 0 292 0 29900 0 6049 0 301241 0 0 0 RICHARD NAIMARK 250160 0 50000 0 0 0 32521 0 14789 0 347470 0 0 0 CATHERINE SHANKS 99038 0 12400 0 84938 0 12134 0 4332 0 212842 0 0 0 KENNETH EGGER 149144 0 19500 0 7341 0 19389 0 13927 0 209301 0 0 0 MAUREEN KURDZIEL 141687 0 18000 0 1792 0 18329 0 1313 0 181121 0 0 0 SANDRA PARTRIDGE 137402 0 13740 0 7200 0 9103 0 5261 0 172706 0 0 0 WILLIAM CONSIDINE 148835 0 13000 0 0 0 19349 0 5357 0 186541 0 0 0 PART I, LINES 4A-B PART I, LINE 4A: MR. JOHN EMMERT, A SENIOR VICE PRESIDENT ACCEPTED A SEVERANCE PACKAGE IN THE AMOUNT OF APPROXIMATELY $79,310 IN 2011. MS. CATHERINE SHANKS A VICE PRESIDENT ACCEPTED A SEVERANCE PACKAGE IN THE AMOUNT OF APPROXIMATELY $78,938 IN 2011. THE PACKAGES NOTED COMPLY WITH ALL APPLICABLE TAX REGULATIONS, AND WERE TREATED IN ACCORDANCE WITH ALL APPLICABLE INTERNAL COMPENSATION, TAX AND BENEFIT POLICIES AND PROCEDURES. PART I, LINE 4B: MR. JOHN EMMERT, JR., A SENIOR VICE PRESIDENT AND KEY EMPLOYEE, PARTICIPATED IN A SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN ("SERP") DURING THE YEAR 2011. DURING 2011, THE SERP BENEFIT WAS FULLY DISTRIBUTED AND PLAN WAS TERMINATED. THIS PLAN COMPLIES WITH ALL APPLICABLE TAX REGULATIONS, AND WAS 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 106 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 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 8,539 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 5,155 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 285 NEUTRALS WHO RECEIVED COMPENSATION THROUGH AAA AS A CONDUIT IN EXCESS OF $100,000 IN 2011. 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 5: NET UNREALIZED GAINS ON INVESTMENTS: 189,592. MINIMUM PENSION LIABILITY ADJUSTMENT -4,404,140. POSTRETIREMENT MEDICAL OBLIGATION ADJUSTMENT -171,360. AAA-ICDR LTD 6,435. TOTAL TO FORM 990, PART XI, LINE 5: -4,379,473. 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 -108067 167562 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 1 0 AAA-ICDR LTD Q 224368 FAIR VALUE