U.S. Department of Labor
Office of Labor-Management Standards
Washington, DC 20210
FORM LM-2 LABOR ORGANIZATION ANNUAL REPORT
Form Approved
Office of Management and Budget
No.
1245-0003
Expires:
08-31-2016
MUST BE USED BY LABOR ORGANIZATIONS WITH $250,000 OR
MORE IN TOTAL ANNUAL RECEIPTS AND LABOR ORGANIZATIONS IN
TRUSTEESHIP
This report is
mandatory under P.L. 86-257, as amended. Failure to comply
may result in criminal prosecution, fines, or civil penalties as
provided by 29 U.S.C. 439 or 440.
READ THE INSTRUCTIONS CAREFULLY BEFORE PREPARING THIS
REPORT.
For Official Use Only
1. FILE NUMBER
011-102
2.
PERIOD COVERED
From
01/01/2013
Through
12/31/2013
3.
(a) AMENDED - Is this an amended report:
No
(b) HARDSHIP - Filed under the hardship procedures:
No
(c) TERMINAL - This
is a terminal report:
No
4. AFFILIATION OR ORGANIZATION NAME
AUTO WORKERS AFL-CIO
5. DESIGNATION (Local, Lodge, etc.)
LOCAL UNION
6. DESIGNATION NBR
571
7. UNIT NAME (if any)
8. MAILING ADDRESS (Type or print in capital
letters)
First Name
ROBERT
Last Name
FARACI
P.O Box - Building and Room Number
P.O. BOX 7275
Number and Street
394 TOLL GATE RD
City
GROTON
State
CT
ZIP Code + 4
06340
9. Are your organization's records kept at its
mailing address?
Yes
Each of the undersigned, duly authorized
officers of the above labor organization, declares,
under penalty of perjury and other applicable penalties
of law, that all of the information submitted in this
report (including information contained in any
accompanying documents) has been examined by the
signatory and is, to the best of the undersigned
individual's knowledge and belief, true, correct
and complete (See Section V on penalties in the
instructions.)
70. SIGNED:
William E Louis
PRESIDENT
71. SIGNED:
Robert J Faraci
TREASURER
Date:
Mar 25, 2014
Telephone
Number:
860-448-0552
Date:
Mar 25, 2014
Telephone
Number:
860-448-0552
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
ITEMS 10 THROUGH 21
FILE NUMBER:
011-102
10. During the reporting period did the labor
organization create or participate in the administration of
a trust or a fund or organization, as defined in the
instructions, which provides benefits for members or
beneficiaries?
No
11(a). During the reporting period did the
labor organization have a political action committee (PAC)
fund?
No
11(b). During the reporting period did the
labor organization have a subsidiary organization as
defined in Section X of these Instructions?
No
12. During the reporting period did the labor
organization have an audit or review of its books and
records by an outside accountant or by a parent body
auditor/representative?
Yes
13. During the reporting period did the labor
organization discover any loss or shortage of funds or
other assets? (Answer "Yes" even if there has
been repayment or recovery.)
No
14. What is the maximum amount recoverable
under the labor organization's fidelity bond for a
loss caused by any officer, employee or agent of the labor
organization who handled union funds?
$370,000
15. During the reporting period did the labor
organization acquire or dispose of any assets in a manner
other than purchase or sale?
No
16. Were any of the labor organization's
assets pledged as security or encumbered in any way at the
end of the reporting period?
No
17. Did the labor organization have any
contingent liabilities at the end of the reporting period?
No
18. During the reporting period did the labor
organization have any changes in its constitution or
bylaws, other than rates of dues and fees, or in
practices/procedures listed in the instructions?
No
19. What is the date of the labor
organization's next regular election of officers?
06/2015
20. How many members did the labor organization
have at the end of the reporting period?
1,810
21. What are the labor organization's rates of dues
and fees?
Rates of Dues and Fees
Dues/Fees
Amount
Unit
Minimum
Maximum
(a) Regular Dues/Fees
2 Hours
per
Month
20
90
(b) Working Dues/Fees
0
per
(c) Initiation Fees
300
per
Person
(d) Transfer Fees
0
per
Year
(e) Work Permits
0
per
Year
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
STATEMENT A - ASSETS
AND LIABILITIES
FILE NUMBER:
011-102
ASSETS
ASSETS
Schedule
Number
Start of Reporting Period
(A)
End of Reporting Period
(B)
22. Cash
$2,236,943
$2,269,060
23. Accounts Receivable
1
$0
$0
24. Loans Receivable
2
$0
$0
25. U.S. Treasury
Securities
$0
$0
26. Investments
5
$0
$0
27. Fixed Assets
6
$273,423
$277,281
28. Other Assets
7
29.
TOTAL ASSETS
$2,510,366
$2,546,341
LIABILITIES
LIABILITIES
Schedule
Number
Start of Reporting Period
(A)
End of Reporting Period
(B)
30. Accounts Payable
8
31. Loans Payable
9
32. Mortgages Payable
$0
$0
33. Other Liabilities
10
$3,197
$2,544
34. TOTAL
LIABILITIES
$3,197
$2,544
35. NET
ASSETS
$2,507,169
$2,543,797
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
STATEMENT B -
RECEIPTS AND DISBURSEMENTS
FILE NUMBER:
011-102
CASH
RECEIPTS
SCH
AMOUNT
36. Dues and Agency Fees
$1,339,093
37. Per Capita Tax
$0
38. Fees, Fines,
Assessments, Work Permits
$21,593
39. Sale of Supplies
$0
40. Interest
$27,938
41. Dividends
$0
42. Rents
$0
43. Sale of Investments
and Fixed Assets
3
44. Loans Obtained
9
45. Repayments of Loans
Made
2
$0
46. On Behalf of
Affiliates for Transmittal to Them
$0
47. From Members for
Disbursement on Their Behalf
$0
48. Other Receipts
14
$74,135
49. TOTAL RECEIPTS
$1,462,759
CASH DISBURSEMENTS
SCH
AMOUNT
50.
Representational Activities
15
$498,404
51.
Political Activities and Lobbying
16
$20,130
52.
Contributions, Gifts, and Grants
17
$41,825
53. General
Overhead
18
$51,864
54. Union
Administration
19
$17,186
55. Benefits
20
$52,785
56. Per
Capita Tax
$722,228
57. Strike
Benefits
$0
58. Fees,
Fines, Assessments, etc.
$0
59. Supplies
for Resale
$0
60. Purchase
of Investments and Fixed Assets
4
$3,858
61. Loans
Made
2
$0
62.
Repayment of Loans Obtained
9
63. To
Affiliates of Funds Collected on Their Behalf
$0
64. On
Behalf of Individual Members
$0
65. Direct
Taxes
$22,217
66. Subtotal
$1,430,497
67.
Withholding Taxes and Payroll Deductions
67a. Total
Withheld
$38,707
67b. Less Total
Disbursed
$38,852
67c.
Total Withheld But Not Disbursed
-$145
68.
TOTAL DISBURSEMENTS
$1,430,642
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
SCHEDULE 1 - ACCOUNTS
RECEIVABLE AGING SCHEDULE
FILE NUMBER:
011-102
Entity or Individual Name
(A)
Total Account Receivable
(B)
90-180 Days
Past Due
(C)
180+ Days
Past Due
(D)
Liquidated Account
Receivable
(E)
Total of all itemized
accounts receivable
$0
$0
$0
$0
Totals from all other
accounts receivable
$0
$0
$0
$0
Totals
(Total of Column (B) will be automatically entered in Item
23, Column(B))
$0
$0
$0
$0
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
SCHEDULE 2 - LOANS
RECEIVABLE
FILE NUMBER:
011-102
List below loans to officers, employees, or members which
at any time during the reporting period exceeded $250 and
list all loans to business enterprises regardless of amount.
(A)
Loans
Outstanding at
Start of Period
(B)
Loans Made
During Period
(C)
Repayments Received During Period
Cash
(D)(1)
Other Than Cash
(D)(2)
Loans
Outstanding at
End of Period
(E)
Total of loans not
listed above
Total of all lines
above
$0
$0
$0
$0
$0
Totals will be
automatically entered in...
Item 24
Column (A)
Item 61
Item 45
Item 69
with Explanation
Item 24
Column (B)
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
SCHEDULE 3 - SALE OF
INVESTMENTS AND FIXED ASSETS
FILE NUMBER:
011-102
Description (if land or buildings, give location)
(A)
Cost
(B)
Book Value
(C)
Gross Sales Price
(D)
Amount Received
(E)
Total of all
lines above
$0
$0
$0
$0
Less Reinvestments
(The
total from Net Sales Line will be automatically entered
in Item 43)
Net Sales
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
SCHEDULE 4 - PURCHASE
OF INVESTMENTS AND FIXED ASSETS
FILE NUMBER:
011-102
Description (if land or buildings, give location)
(A)
Cost
(B)
Book Value
(C)
Cash Paid
(D)
Total
of all lines above
$3,858
$3,858
$3,858
COMPUTERS AND SERVER FOR OFFICE
$3,858
$3,858
$3,858
Less Reinvestments
$0
(The
total from Net Purchases Line will be automatically
entered in Item 60.)
Net Purchases
$3,858
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
SCHEDULE 5 -
INVESTMENTS
FILE NUMBER:
011-102
Description
(A)
Amount
(B)
Marketable Securities
A. Total Cost
B. Total Book Value
C. List each
marketable security which has a book value over $5,000
and exceeds 5% of Line B.
Other Investments
D. Total Cost
E. Total Book Value
F. List each other
investment which has a book value over $5,000 and
exceeds 5% of Line E. Also, list each subsidiary
for which separate reports are attached.
G. Total of Lines B and E
(Total will be automatically entered in Item 26,
Column(B))
$0
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
SCHEDULE 6 - FIXED
ASSETS
FILE NUMBER:
011-102
Description
(A)
Cost or Other Basis
(B)
Total Depreciation or
Amount Expensed
(C)
Book Value
(D)
Value
(E)
A.
Land (give location)
Land
1
:
394 Tollgate Rd,Groton CT 06340
$7,000
$7,000
$7,000
B.
Buildings (give location)
Building
1
:
394 Tollgate Rd,Groton CT 06340
$83,794
$83,794
$225,000
C. Automobiles
and
Other Vehicles
D. Office
Furniture
and Equipment
$173,971
$173,971
$193,971
E.
Other Fixed Assets
$12,516
$12,516
$12,516
F. Totals of Lines A through E
(Column(D) Total will be automatically entered in Item
27, Column(B))
$277,281
$0
$277,281
$438,487
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
SCHEDULE 7 - OTHER
ASSETS
FILE NUMBER:
011-102
Description
(A)
Book Value
(B)
Total
(Total will be automatically entered in Item 28, Column(B))
$0
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
SCHEDULE 8 - ACCOUNTS
PAYABLE AGING SCHEDULE
FILE NUMBER:
011-102
Entity or Individual Name
(A)
Total Account
Payable
(B)
90-180 Days
Past Due
(C)
180+ Days Past
Due
(D)
Liquidated Account
Payable
(E)
Total for all itemized accounts payable
$0
$0
$0
$0
Total from all other accounts payable
$0
$0
$0
$0
Totals
(Total for Column(B) will be automatically entered in Item
30, Column(D))
$0
$0
$0
$0
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
SCHEDULE 9 - LOANS
PAYABLE
FILE NUMBER:
011-102
Source of Loans Payable at Any
Time During the Reporting Period
(A)
Loans Owed at
Start of Period
(B)
Loans Obtained
During Period
(C)
Repayment
During Period
Cash
(D)(1)
Repayment
During Period
Other Than Cash
(D)(2)
Loans Owed at
End of Period
(E)
Total Loans Payable
$0
$0
$0
$0
$0
Totals will be automatically entered in...
Item 31
Column (C)
Item 44
Item 62
Item 69
with Explanation
Item 31
Column (D)
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
SCHEDULE 10 - OTHER
LIABILITIES
FILE NUMBER:
011-102
Description
(A)
Amount at End of Period
(B)
Total Other Liabilities
(Total will be automatically entered in Item 33, Column(D))
$2,544
FEDERAL WITHHOLDING PAYABLE
$618
CT STATE WITHHOLDING PAYABLE
$280
EMPLOYEE FICA WITHHOLDING PAYABLE
$421
EMPLOYER FICA WITHHOLDING PAYABLE
$421
CT UNEMPLOYMENT PAYABLE
$577
FEDERAL UNEMPLOYMENT PAYABLE
$227
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
SCHEDULE 11 - ALL
OFFICERS AND DISBURSEMENTS TO OFFICERS
FILE NUMBER:
011-102
(A) Name
(B) Title
(C) Status
(D)
Gross Salary
Disbursements
(before any
deductions)
(E)
Allowances
Disbursed
(F)
Disbursements
for Official Business
(G)
Other
Disbursements not reported in
(D) through (F)
(H)
TOTAL
A
B
C
EVANS
,
DAVE
W SARGENT AT ARMS C
$530
$0
$0
$0
$530
I
Schedule 15
Representational Activities
12
%
Schedule 16
Political Activities and Lobbying
0
%
Schedule 17
Contributions
0
%
Schedule 18
General Overhead
0
%
Schedule 19
Administration
88
%
A
B
C
HALL II
,
OMAR
RETIRED WORKER REP C
$0
$0
$383
$0
$383
I
Schedule 15
Representational Activities
100
%
Schedule 16
Political Activities and Lobbying
0
%
Schedule 17
Contributions
0
%
Schedule 18
General Overhead
0
%
Schedule 19
Administration
0
%
A
B
C
MAY
,
WILLIAM
R TRUSTEE C
$10,193
$0
$1,020
$0
$11,213
I
Schedule 15
Representational Activities
55
%
Schedule 16
Political Activities and Lobbying
0
%
Schedule 17
Contributions
0
%
Schedule 18
General Overhead
0
%
Schedule 19
Administration
45
%
A
B
C
GONSKI
,
PAMELA
I GUIDE C
$2,956
$0
$306
$0
$3,262
I
Schedule 15
Representational Activities
71
%
Schedule 16
Political Activities and Lobbying
0
%
Schedule 17
Contributions
0
%
Schedule 18
General Overhead
0
%
Schedule 19
Administration
29
%
A
B
C
LOUIS
,
WILLIAM
PRESIDENT C
$15,215
$0
$6,854
$0
$22,069
I
Schedule 15
Representational Activities
74
%
Schedule 16
Political Activities and Lobbying
26
%
Schedule 17
Contributions
0
%
Schedule 18
General Overhead
0
%
Schedule 19
Administration
0
%
A
B
C
FARACI
,
ROBERT
J TREASURER C
$12,690
$0
$3,049
$0
$15,739
I
Schedule 15
Representational Activities
100
%
Schedule 16
Political Activities and Lobbying
0
%
Schedule 17
Contributions
0
%
Schedule 18
General Overhead
0
%
Schedule 19
Administration
0
%
A
B
C
BURGESS
,
WAYNE
J FINANCIAL SECRETARY C
$9,095
$0
$2,826
$0
$11,921
I
Schedule 15
Representational Activities
100
%
Schedule 16
Political Activities and Lobbying
0
%
Schedule 17
Contributions
0
%
Schedule 18
General Overhead
0
%
Schedule 19
Administration
0
%
A
B
C
CLAY
,
PAT
RECORDING SECRETARY C
$5,729
$0
$1,538
$0
$7,267
I
Schedule 15
Representational Activities
100
%
Schedule 16
Political Activities and Lobbying
0
%
Schedule 17
Contributions
0
%
Schedule 18
General Overhead
0
%
Schedule 19
Administration
0
%
A
B
C
REAGAN
,
DAVID
M SECOND VICE PRESIDENT C
$10,336
$0
$3,754
$0
$14,090
I
Schedule 15
Representational Activities
100
%
Schedule 16
Political Activities and Lobbying
0
%
Schedule 17
Contributions
0
%
Schedule 18
General Overhead
0
%
Schedule 19
Administration
0
%
A
B
C
SMITH
,
PAUL
R TRUSTEE C
$4,417
$0
$22
$0
$4,439
I
Schedule 15
Representational Activities
2
%
Schedule 16
Political Activities and Lobbying
0
%
Schedule 17
Contributions
0
%
Schedule 18
General Overhead
0
%
Schedule 19
Administration
98
%
A
B
C
ROWLAND
,
KENNETH
FIRST VICE PRESIDENT C
$12,047
$0
$3,192
$0
$15,239
I
Schedule 15
Representational Activities
67
%
Schedule 16
Political Activities and Lobbying
33
%
Schedule 17
Contributions
0
%
Schedule 18
General Overhead
0
%
Schedule 19
Administration
0
%
A
B
C
DWYER
,
WILLIAM
J TRUSTEE C
$5,149
$0
$571
$0
$5,720
I
Schedule 15
Representational Activities
41
%
Schedule 16
Political Activities and Lobbying
0
%
Schedule 17
Contributions
0
%
Schedule 18
General Overhead
0
%
Schedule 19
Administration
59
%
Total Officer
Disbursements
$88,357
$0
$23,515
$0
$111,872
Less Deductions
$24,093
Net
Disbursements
$87,779
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
SCHEDULE 12 -
DISBURSEMENTS TO EMPLOYEES
FILE NUMBER:
011-102
(A) Name
(B) Title
(C) Other Payer
(D)
Gross Salary
Disbursements
(before any
deductions)
(E)
Allowances Disbursed
(F)
Disbursements for Official Business
(G)
Other Disbursements not reported in
(D) through (F)
(H)
TOTAL
TOTALS RECEIVED
BY EMPLOYEES MAKING $10,000 OR LESS
$55,836
$13,098
$68,934
I
Schedule 15
Representational Activities
92
%
Schedule 16
Political Activities and Lobbying
6
%
Schedule 17
Contributions
0
%
Schedule 18
General Overhead
0
%
Schedule 19
Administration
2
%
Total
Employee Disbursements
$55,836
$0
$13,098
$0
$68,934
Less
Deductions
$14,613
Net Disbursements
$54,321
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
SCHEDULE 13 -
MEMBERSHIP STATUS
FILE NUMBER:
011-102
Category of Membership
(A)
Number
(B)
Voting Eligibility
(C)
Members
(Total of all lines above)
1,810
Agency Fee Payers*
20
Total Members/Fee Payers
1,830
*Agency Fee Payers are
not considered members of the labor organization.
Electric Boat Division
1,797
Yes
Computer Science Corp. Division
13
Yes
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
DETAILED SUMMARY PAGE
- SCHEDULES 14 THROUGH 19
FILE NUMBER:
011-102
SCHEDULE 14 OTHER RECEIPTS
1. Named Payer
Itemized Receipts
$50,316
2. Named Payer
Non-itemized Receipts
$18,916
3. All Other Receipts
$4,903
4. Total
Receipts
$74,135
SCHEDULE 17 CONTRIBUTIONS,
GIFTS & GRANTS
1. Named Payee
Itemized Disbursements
$5,000
2. Named Payee
Non-itemized Disbursements
$9,843
3. To Officers
$0
4. To Employees
$0
5. All Other
Disbursements
$26,982
6. Total
Disbursements
$41,825
SCHEDULE 15 REPRESENTATIONAL
ACTIVITIES
1. Named Payee
Itemized Disbursements
$148,334
2. Named Payee
Non-itemized Disbursements
$74,218
3. To Officers
$86,922
4. To Employees
$63,419
5. All Other
Disbursements
$125,511
6. Total
Disbursements
$498,404
SCHEDULE 18 GENERAL OVERHEAD
1. Named Payee
Itemized Disbursements
$7,802
2. Named Payee
Non-itemized Disbursements
$14,388
3. To Officers
$0
4. To Employees
$0
5. All Other
Disbursements
$29,674
6. Total
Disbursements
$51,864
SCHEDULE 16 POLITICAL
ACTIVITIES AND LOBBYING
1. Named Payee
Itemized Disbursements
$0
2. Named Payee
Non-itemized Disbursements
$0
3. To Officers
$10,767
4. To Employees
$4,136
5. All Other
Disbursements
$5,227
6. Total
Disbursements
$20,130
SCHEDULE 19 UNION
ADMINISTRATION
1. Named Payee
Itemized Disbursements
$0
2. Named Payee
Non-itemized Disbursements
$0
3. To Officers
$14,183
4. To Employees
$1,379
5. All Other
Disbursements
$1,624
6. Total
Disbursements
$17,186
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
SCHEDULE 14 - OTHER
RECEIPTS
FILE NUMBER:
011-102
Name and Address
(A)
MULTIPLE MEMBERS 394 TOLLGATE RD TICKET SALES GROTON CT 06340
Type or Classification
(B)
ON BEHALF OF MULTIPLE MBRS
Purpose
(C)
Date
(D)
Amount
(E)
Total
Itemized Transactions with this Payee/Payer
$27,185
Total
Non-Itemized Transactions with this Payee/Payer
$4,910
Total of All Transactions with this
Payee/Payer for This Schedule
$32,095
TICKET SALES FOR PICNIC,
06/07/2013
$15,046
TICKET SALES FOR PICNIC,
07/09/2013
$7,139
TICKET SALES FOR PICNIC,
11/15/2013
$5,000
Name and Address
(A)
MULTIPLE RETIREES
394 TOLLGATE RD GROTON CT 06340
Type or Classification
(B)
ON BEHAF OF MULTIPLE RETIREES
Purpose
(C)
Date
(D)
Amount
(E)
Total
Itemized Transactions with this Payee/Payer
$0
Total
Non-Itemized Transactions with this Payee/Payer
$6,124
Total of All Transactions with this
Payee/Payer for This Schedule
$6,124
Name and Address
(A)
UAW INTERNATIONAL
8000 EAST JEFFERSON AVE DETROIT MI 48214
Type or Classification
(B)
LABOR UNION
Purpose
(C)
Date
(D)
Amount
(E)
Total
Itemized Transactions with this Payee/Payer
$17,293
Total
Non-Itemized Transactions with this Payee/Payer
$0
Total of All Transactions with this
Payee/Payer for This Schedule
$17,293
PER CAPITA 13TH REBATE
04/30/2013
$17,293
Name and Address
(A)
UBE/AIR 2000 MAXON ROAD UAW FAMILY EDUCATION CTR ONAWAY MI 49765
Type or Classification
(B)
AIRFAIR
Purpose
(C)
Date
(D)
Amount
(E)
Total
Itemized Transactions with this Payee/Payer
$0
Total
Non-Itemized Transactions with this Payee/Payer
$5,376
Total of All Transactions with this
Payee/Payer for This Schedule
$5,376
Name and Address
(A)
UBE/AIR 2000 MAXON RD UAW FAMILY EDUCATION CTR ONAWAY MI 49765
Type or Classification
(B)
TRAVEL AGENCY
Purpose
(C)
Date
(D)
Amount
(E)
Total
Itemized Transactions with this Payee/Payer
$5,838
Total
Non-Itemized Transactions with this Payee/Payer
$2,506
Total of All Transactions with this
Payee/Payer for This Schedule
$8,344
BLACK LAKE TRAVEL REFUND
07/17/2013
$5,838
Form LM-2 (Revised 2010); (Tech. Rev. 2/2013)
SCHEDULE 15 -
REPRESENTATIONAL ACTIVITIES
FILE NUMBER:
011-102
Name and Address
(A)
BOSTON CULINARY GROUP
1225 OCEAN AVENUE NEW LONDON CT 06320
Type or Classification
(B)
MEETING FACILITIES
Purpose
(C)
Date
(D)
Amount
(E)
Total
Itemized Transactions with this Payee/Payer
$8,703
Total
Non-Itemized Transactions with this Payee/Payer
$8,858
Total of All Transactions with this
Payee/Payer for This Schedule