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ObjectId: 202213189349302926 - Submission: 2022-11-14
TIN: 13-0429745
Schedule J
(Form 990)
Department of the Treasury
Internal Revenue Service
Compensation Information
For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
Complete if the organization answered "Yes" on Form 990, Part IV, line 23.
Attach to Form 990.
Go to
www.irs.gov/Form990
for instructions and the latest information.
OMB No. 1545-0047
20
21
Open to Public Inspection
Name of the organization
AMERICAN ARBITRATION ASSOCIATION INC
Employer identification number
13-0429745
Part I
Questions Regarding Compensation
Yes
No
1a
Check the appropiate box(es) if the organization provided any of the following to or for a person listed on Form
990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.
First-class or charter travel
Housing allowance or residence for personal use
Travel for companions
Payments for business use of personal residence
Tax idemnification and gross-up payments
Health or social club dues or initiation fees
Discretionary spending account
Personal services (e.g., maid, chauffeur, chef)
b
If any of the boxes on Line 1a are checked, did the organization follow a written policy regarding payment or reimbursement or provision of all of the expenses described above? If "No," complete Part III to explain
.....
1b
Yes
2
Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all
directors, trustees, officers, including the CEO/Executive Director, regarding the items checked on Line 1a?
....
2
Yes
3
Indicate which, if any, of the following the filing organization used to establish the compensation of the
organization's CEO/Executive Director. Check all that apply. Do not check any boxes for methods
used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part III.
Compensation committee
Written employment contract
Independent compensation consultant
Compensation survey or study
Form 990 of other organizations
Approval by the board or compensation committee
4
During the year, did any person listed on Form 990, Part VII, Section A, line 1a, with respect to the filing organization or a related organization:
a
Receive a severance payment or change-of-control payment?
.............
4a
No
b
Participate in, or receive payment from, a supplemental nonqualified retirement plan?
.........
4b
Yes
c
Participate in, or receive payment from, an equity-based compensation arrangement?
.........
4c
No
If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.
Only 501(c)(3), 501(c)(4), and 501(c)(29) organizations must complete lines 5-9.
5
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the revenues of:
a
The organization?
....................
5a
Yes
b
Any related organization?
.......................
5b
No
If "Yes," on line 5a or 5b, describe in Part III.
6
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the net earnings of:
a
The organization?
..................
6a
No
b
Any related organization?
......................
6b
No
If "Yes," on line 6a or 6b, describe in Part III.
7
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization provide any nonfixed
payments not described in lines 5 and 6? If "Yes," describe in Part III
............
7
No
8
Were any amounts reported on Form 990, Part VII, paid or accured pursuant to a contract that was
subject to the initial contract exception described in Regulations section 53.4958-4(a)(3)? If "Yes," describe
in Part III
..........................
8
No
9
If "Yes" on line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)?
.........................
9
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50053T
Schedule J (Form 990) 2021
Page 2
Schedule J (Form 990) 2021
Page
2
Part II
Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees.
Use duplicate copies if additional space is needed.
For each individual whose compensation must be reported on Schedule J, report compensation from the organization on row (i) and from related organizations, described in the
instructions, on row (ii). Do not list any individuals that are not listed on Form 990, Part VII.
Note.
The sum of columns (B)(i)-(iii) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line 1a, applicable column (D) and (E) amounts for that individual.
(A)
Name and Title
(B)
Breakdown of W-2, 1099-MISC compensation, and/or 1099-NEC
(C)
Retirement and other deferred compensation
(D)
Nontaxable
benefits
(E)
Total of columns
(B)(i)-(D)
(F)
Compensation in column (B) reported as deferred on prior Form 990
(i)
Base
compensation
(ii)
Bonus & incentive
compensation
(iii)
Other
reportable compensation
1
INDIA JOHNSON
PRESIDENT AND CEO
(i)
(ii)
701,319
-------------
0
325,000
-------------
0
14,833
-------------
0
332,800
-------------
0
43,139
-------------
0
1,417,091
-------------
0
0
-------------
0
2
FRANCESCO ROSSI
CFO, TREASURER & SENIOR VP
(i)
(ii)
446,878
-------------
0
236,616
-------------
0
2,622
-------------
0
237,167
-------------
0
44,320
-------------
0
967,603
-------------
0
0
-------------
0
3
ERIC P TUCHMANN
GEN COUN, CORP SEC, & SVP
(i)
(ii)
405,300
-------------
0
191,616
-------------
0
4,903
-------------
0
208,403
-------------
0
43,133
-------------
0
853,355
-------------
0
0
-------------
0
4
DIANA N DIDIA
SENIOR VICE PRESIDENT
(i)
(ii)
347,846
-------------
0
166,736
-------------
0
2,622
-------------
0
125,325
-------------
0
2,492
-------------
0
645,021
-------------
0
0
-------------
0
5
CHRISTINE L NEWHALL
SENIOR VICE PRESIDENT
(i)
(ii)
325,844
-------------
0
141,415
-------------
0
7,517
-------------
0
121,962
-------------
0
44,083
-------------
0
640,821
-------------
0
0
-------------
0
6
ROBERT MATLIN
SENIOR VICE PRESIDENT
(i)
(ii)
311,244
-------------
0
151,414
-------------
0
13,834
-------------
0
114,662
-------------
0
41,945
-------------
0
633,099
-------------
0
0
-------------
0
7
DWIGHT D JAMES
SENIOR VICE PRESIDENT
(i)
(ii)
303,884
-------------
0
146,529
-------------
0
6,960
-------------
0
110,622
-------------
0
35,566
-------------
0
603,561
-------------
0
0
-------------
0
8
ERIC DILL
SENIOR VICE PRESIDENT
(i)
(ii)
274,024
-------------
0
161,616
-------------
0
4,124
-------------
0
108,669
-------------
0
43,577
-------------
0
592,010
-------------
0
0
-------------
0
9
HAROLD COLEMAN JR
SENIOR VICE PRESIDENT
(i)
(ii)
266,537
-------------
0
118,703
-------------
0
7,407
-------------
0
98,287
-------------
0
38,627
-------------
0
529,561
-------------
0
0
-------------
0
10
SASHA CARBONE
VICE PRESIDENT
(i)
(ii)
258,060
-------------
0
96,116
-------------
0
2,100
-------------
0
97,331
-------------
0
45,529
-------------
0
499,136
-------------
0
0
-------------
0
11
MAUREEN KURDZIEL
VICE PRESIDENT
(i)
(ii)
267,056
-------------
0
96,130
-------------
0
3,927
-------------
0
94,175
-------------
0
2,944
-------------
0
464,232
-------------
0
0
-------------
0
12
INTERNA KHUTORSKY
VICE PRESIDENT
(i)
(ii)
212,045
-------------
0
52,511
-------------
0
5,830
-------------
0
48,158
-------------
0
43,553
-------------
0
362,097
-------------
0
0
-------------
0
13
KELLY WEISBROD
VICE PRESIDENT & CONTROLLE
(i)
(ii)
218,321
-------------
0
61,779
-------------
0
741
-------------
0
41,730
-------------
0
15,933
-------------
0
338,504
-------------
0
0
-------------
0
14
MICHAEL C CLARK
VICE PRESIDENT
(i)
(ii)
222,648
-------------
0
56,203
-------------
0
1,112
-------------
0
37,017
-------------
0
907
-------------
0
317,887
-------------
0
0
-------------
0
Schedule J (Form 990) 2021
Page 3
Schedule J (Form 990) 2021
Page
3
Part III
Supplemental Information
Provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II. Also complete this part for any additional information.
Return Reference
Explanation
PART I, LINE 4B
AMOUNTS REPORTED IN COLUMN (C) OF PART II OF SCHEDULE J REFLECT THAT IN 2019, THE AAA'S BOARD OF DIRECTORS ADOPTED A SECTION 457(F) DEFERRED COMPENSATION PLAN COVERING CERTAIN KEY EMPLOYEES AND APPROVED THE PAYMENT OF CERTAIN AMOUNTS UNDER THE PLAN, SUBJECT TO VESTING REQUIREMENTS. THE PLAN WAS RECOMMENDED BY THE AAA'S INDEPENDENT COMPENSATION CONSULTANTS, A NATIONALLY RECOGNIZED COMPENSATION CONSULTING FIRM WITH EXPERTISE ADVISING NONPROFIT ORGANIZATIONS, IN ORDER TO REFLECT PREVAILING PRACTICES FOR SIMILAR EMPLOYERS AND HELP ATTRACT AND RETAIN THE TALENT NECESSARY TO CARRY OUT THE AAA'S CHARITABLE AND EDUCATIONAL MISSION AND MANAGE ITS OPERATIONS. THE PLAN WAS APPROVED FOLLOWING EVALUATION BY THE COMPENSATION COMMITTEE AND THE BOARD, AS WELL AS THE COMPENSATION CONSULTING FIRM'S ISSUANCE OF AN OPINION LETTER CERTIFYING TO THE REASONABLENESS OF THE COMPENSATION FOR KEY EMPLOYEES, INCLUDING THE AMOUNTS TO BE PAID UNDER THE PLAN, UNDER SECTION 4958 OF THE INTERNAL REVENUE CODE. THE REVIEW PROCESS FOLLOWED WAS DESIGNED TO QUALIFY FOR THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" UNDER TREASURY REGULATION SECTION 53.4958-6, INCLUDING REVIEW AND APPROVAL BY INDEPENDENT DIRECTORS BASED ON APPROPRIATE MARKET COMPARABILITY DATA AND WITH CONTEMPORANEOUS DOCUMENTATION OF THE PROCESS. THE FOLLOWING INDIVIDUALS PARTICIPATED IN THE SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN, WITH CONTRIBUTIONS TO THE PLAN DURING 2021 BEING: INDIA JOHNSON - $248,800 FRANCESCO ROSSI - $154,418 ERIC TUCHMANN - $127,705 DIANA DIDIA - $51,400 HAROLD COLEMAN - $39,070 ERIC DILL - $44,500 CHRISTINE NEWHALL - $47,600 ROBERT MATLIN - $47,000 DWIGHT JAMES - $45,350 MAUREEN KURDZIEL - $36,450 SASHA CARBONE - $36,450
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 MISSION, INITIATIVES, PROJECTS, FINANCIAL PERFORMANCE TARGETS AND OTHER OUTCOMES. THESE AMOUNTS ARE INCLUDED ON SCHEDULE J, PART II, COLUMN B (II) AND INCLUDED IN THE 2021 W-2.
Schedule J (Form 990) 2021
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