2022-10-13T16:43:03-05:00 2021-11-30 941254756 HOOD & STRONG LLP 60 SO MARKET ST STE 200 SAN JOSE CA 95113 990 2020-12-01 940912095 THE SURPLUS LINE ASSOCIATION OF CALIFORNIA SURP 4154344900 12667 ALCOSTA BLVD NO 450 SAN RAMON CA 94583 BENJAMIN MCKAY EXECUTIVE DIRECTOR 4154344900 2022-10-03 1 BENJAMIN MCKAY 999009999 JACOB YAU P01560332 4089988400 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z BENJAMIN MCKAY 12667 ALCOSTA BLVD NO 450 SAN RAMON CA 94583 32067894 0 X WWW.SLACAL.ORG X 1937 CA TO HELP MAINTAIN A HEALTHY, FAIR, AND COMPETITIVE SURPLUS LINE MARKETPLACE IN CALIFORNIA. 13 13 117 14 0 0 0 0 24536584 31751013 169592 316881 0 0 24706176 32067894 70870 73998 0 0 12622793 15137068 0 0 0 6722456 6355189 19416119 21566255 5290057 10501639 21121074 30618927 4622705 4008178 16498369 26610749 X OUR MISSION IS TO ENSURE THAT A RESPONSIVE AND LAWFUL SURPLUS LINE INSURANCE MARKET IS MAINTAINED IN CALIFORNIA. OUR MEASURES OF SUCCESS IN THIS RESPECT ARE THAT THE CONSUMER IS PROTECTED, THE NEEDS OF THE REGULATORS ARE WELL-SERVED, AND UNLAWFUL ACTIVITIES ARE CURTAILED. THROUGH A PROFESSIONAL AND COMMITTED ORGANIZATION, UTILIZING STATE OF THE ART TECHNOLOGY AND A CHALLENGING WORK ENVIRONMENT, WE RESPOND TO THE NEEDS OF THE CALIFORNIA CONSUMER, OUR MEMBERSHIP, AND APPROPRIATE PUBLIC AGENCIES. WE PROVIDE EDUCATION, PROCESSING, EVALUATION, AND DISSEMINATION OF SURPLUS LINE DATA AND INFORMATION TO HELP ENSURE THE FINANCIAL INTEGRITY AND STABILITY OF THE SURPLUS LINE MARKET. 0 0 THE SLA PROVIDES INFORMATION AND INSTRUCTION TO ITS MEMBERS AND OTHER INTERESTED PERSONS CONCERNED BY BROADENING ITS COMMUNICATION CAPABILITIES, PRESENTING SEMINARS, EDUCATING THE INDUSTRY AND CONSUMERS IN SURPLUS LINE LAWS AND REGULATIONS, ASSISTING WITH THE REGULATORY COMPLIANCE QUESTIONS, AND DISSEMINATING, IN A TIMELY MATTER, UPDATED AND CURRENT INFORMATION RELATIVE TO THE SURPLUS LINE INDUSTRY. SLA CONSISTS OF 7,407 MEMBERS, ISSUED 2,857 CONTINUING EDUCATION CERTIFICATES VIA 12 LIVE AND 6 ON-DEMAND COURSES, AND CONDUCTED 50 BROKER VISITS AND TRAININGS. 0 0 0 0 0 0 0 0 0 1 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 25 0 1 117 1 0 0 0 0 0 0 0 0 X 13 13 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 1 1 1 1 0 CA X IVAN MORSE 4154344900 12667 ALCOSTA BLVD NO 450 SAN RAMON CA 94583 TERRI MORAN CHAIR 1.00 X X 0 0 0 JANET BEAVER VICE CHAIR 1.00 X X 0 0 0 RICH GOBLER SECRETARY/TREASURER 1.00 X X 0 0 0 JOHN WASHINGTON BOARD MEMBER 1.00 X 0 0 0 TIM CHAIX BOARD MEMBER 1.00 X 0 0 0 JAMES FALEY BOARD MEMBER 1.00 X 0 0 0 ROBERT GILBERT BOARD MEMBER 1.00 X 0 0 0 HANK HALDEMAN BOARD MEMBER 1.00 X 0 0 0 PAM QUILICI BOARD MEMBER 1.00 X 0 0 0 CHARLES ROSSON BOARD MEMBER 1.00 X 0 0 0 KATHY SCHROEDER BOARD MEMBER 1.00 X 0 0 0 TERRENCE VILLAR BOARD MEMBER 1.00 X 0 0 0 JASON HOWARD BOARD MEMBER 1.00 X 0 0 0 BENJAMIN MCKAY EXECUTIVE DIRECTOR 37.50 X 553144 0 35268 JOY ERVEN COO & DIRECTOR 37.50 X 269807 0 15610 MICHAEL CATUREGLI SR. VP, IT & DATA ANALYSIS 37.50 X 273608 0 30110 DAVID KODAMA EXECUTIVE VP 37.50 X 217054 0 23441 JO ANN DEL GATTO VP, EDUCATION & COMPLIANCE 37.50 X 184743 0 19606 JAMES GREENE VP, DIGITAL COMMUNICATION 37.50 X 227137 0 12408 CLISTON BROWN VP, PUBLIC AFFAIRS 37.50 X 184760 0 11458 IVAN MORSE CONTROLLER 37.50 X 181654 0 10012 BARBARA TRUMBLY VP, HUMAN RESOURCES 37.50 X 176384 0 0 2268291 0 157913 21 0 1 0 KIKODA LLC 2367 CENTERVILLE RD TALLAHASSEE FL 32308 IT CRM - SOFTWARE DEVELOPMENT 958914 MCDERMOTT WILL & EMERY LLP 415 MISSION STREET STE 5600 SAN FRANCISCO CA 94105 LEGAL SERVICES 126131 BPM LLP ONE CALIFORNIA STREET SUITE 2500 SAN FRANCISCO CA 94108 ACCOUNTING SERVICES 122787 3 STAMPING FEES 900099 31751013 31751013 31751013 316881 316881 32067894 31751013 0 316881 73998 1418042 9083726 2236915 1652084 746301 122556 176553 22152 1034187 539067 386255 1121822 146024 116107 1524571 173841 EMPLOYEE RELATIONS 352475 DUES & SUBSCRIPTIONS 163156 PROF. DEVELOPMENT 149873 SUPPLIES 120405 206145 21566255 3130690 4103922 28245 36753 2601370 4151679 378165 330542 4339727 1974652 2404883 2365075 9234512 17037009 3139405 2365925 203804 228022 21121074 30618927 507677 935218 4115028 3072960 4622705 4008178 X 16498369 26610749 16498369 26610749 21121074 30618927 10501639 -389259 0 X 0 1 X 1 0 2655316 1498340 1156976 1616654 476312 1140342 67757 67757 2365075 OTHER ACCRUED LIABILITIES 1387121 ACCRUED POST RETIREMENT BENEFIT LIABILITY 1296906 DEFERRED RENT 388933 3072960 X 31678635 -389259 -389259 32067894 0 32067894 21566255 0 21566255 0 21566255 PART X, LINE 2: THE ASSOCIATION HAS BEEN GRANTED A CERTIFICATE OF EXEMPTION FROM PAYMENT OF FEDERAL AND STATE INCOME TAXES UNDER SECTION 501(C)(6) OF THE INTERNAL REVENUE CODE AND UNDER SECTION 23701E OF THE CALIFORNIA REVENUE AND TAXATION CODE. THE ASSOCIATION ADOPTED GUIDANCE ISSUED BY THE FINANCIAL ACCOUNTING STANDARDS BOARD (FASB) WHICH ESTABLISHED A SINGLE MODEL TO ADDRESS ACCOUNTING FOR UNCERTAIN TAX POSITIONS AND CLARIFIED THE ACCOUNTING FOR INCOME TAXES BY PRESCRIBING A MINIMUM THRESHOLD A TAX POSITION IS REQUIRED TO MEET BEFORE BEING RECOGNIZED IN THE FINANCIAL STATEMENTS. AN UNCERTAIN TAX POSITION REPRESENTS A TAX POSITION MANAGEMENT DETERMINES MAY HAVE A LESS THAN 50 PERCENT CHANCE OF BEING SUSTAINED UPON AN EXAMINATION BY A TAXING AUTHORITY. WHILE THE ASSOCIATION DOES NOT CURRENTLY INCLUDE AN INCOME TAX PROVISION IN THE FINANCIAL STATEMENTS, MANAGEMENT MONITORS THE REPORTING OF UNCERTAIN TAX POSITIONS USED IN PREPARATION OF THE ASSOCIATION'S TAX RETURNS, INCLUDING APPLICABLE INTEREST AND PENALTIES RELATED TO MATERIAL UNCERTAIN TAX POSITIONS, WHICH COULD RESULT IN RECORDING OF AN INCOME TAX PROVISION IN THE FUTURE. MANAGEMENT HAS EVALUATED THE ASSOCIATION'S TAX POSITIONS AND HAS CONCLUDED THAT THE ASSOCIATION HAS MAINTAINED ITS TAX EXEMPT STATUS AND HAS TAKEN NO UNCERTAIN TAX POSITIONS THAT REQUIRE RECOGNITION OR DISCLOSURE IN THE FINANCIAL STATEMENTS. CURRENTLY, THE ASSOCIATION'S OPEN TAX YEARS THAT ARE SUBJECT TO EXAMINATION ARE THE 2018 THROUGH 2021 TAX YEARS BY THE INTERNAL REVENUE SERVICE AND THE 2017 THROUGH 2021 TAX YEARS BY THE CALIFORNIA FRANCHISE TAX BOARD. 1 WOMEN OF WHOLESALE 650 CALIFORNIA STREET 2900 SAN FRANCISCO CA 94108 831562802 10000 GENERAL SUPPORT INSURANCE INDUSTRY CHARITABLE FOUNDATION 1999 AVENUE OF THE STARS STE 1100 LOS ANGELES CA 90067 201240972 501(C)(3) 27075 GENERAL SUPPORT CAL STATE FULLERTON PHILANTHROPIC FOUNDATION 2600 NUTWOOD AVENUE SUITE 850 FULLERTON CA 92831 330567945 501(C)(3) 10000 GENERAL SUPPORT CA INSURANCE WHOLESALERS 4171 SUISUN VALLEY RD STE J FAIRFIELD CA 94534 954369749 501(C)(6) 25000 GENERAL SUPPORT 2 2 PART I, LINE 2: THE SLA GRANTS MONEY TO PROGRAMS THAT ARE ESTABLISHED FOR SPECIFIC PURPOSES AS RELATED TO THE SURPLUS LINES INDUSTRY. X X X X X 0 0 0 BENJAMIN MCKAY EXECUTIVE DIRECTOR 402463 0 91529 0 59152 0 15650 0 19618 0 588412 0 0 0 MICHAEL CATUREGLI SR. VP, IT & DATA ANALYSIS 226500 0 47108 0 0 0 8295 0 21815 0 303718 0 0 0 JOY ERVEN COO & DIRECTOR 240000 0 1529 0 28278 0 8031 0 7579 0 285417 0 0 0 DAVID KODAMA EXECUTIVE VP 215000 0 2054 0 0 0 3300 0 20141 0 240495 0 0 0 JAMES GREENE VP, DIGITAL COMMUNICATION 191400 0 33890 0 1847 0 5279 0 7129 0 239545 0 0 0 JO ANN DEL GATTO VP, EDUCATION & COMPLIANCE 150735 0 34008 0 0 0 1463 0 18143 0 204349 0 0 0 CLISTON BROWN VP, PUBLIC AFFAIRS 141714 0 21508 0 21538 0 4840 0 6618 0 196218 0 0 0 IVAN MORSE CONTROLLER 170146 0 11508 0 0 0 3363 0 6649 0 191666 0 0 0 BARBARA TRUMBLY VP, HUMAN RESOURCES 154876 0 21508 0 0 0 0 0 0 0 176384 0 0 0 CAROLINE GILBERT FAMILY MEMBER OF ROBERT GILBERT, BOARD MEMBER 90259 CAROLINE GILBERT IS AN EMPLOYEE OF THE ASSOCIATION 0 FORM 990, PART VI, SECTION B, LINE 11B THE ORGANIZATION'S ACCOUNTING FIRM PREPARED THE FORM 990 BASED ON THE INFORMATION PROVIDED BY THE ORGANIZATION'S DIRECTOR AND STAMPING OFFICER. THE COO, HR AND OUTSIDE CONTROLLER REVIEWED AND SENT TO THE EXECUTIVE DIRECTOR. THE EXECUTIVE DIRECTOR REVIEWED AND SENT TO THE CHAIRMAN BEFORE AUTHORIZING ACCOUNTING FIRM TO OFFICIALLY FILE THE FORM 990. FORM 990, PART VI, SECTION B, LINE 12C AT EACH BOARD MEETING, BOARD MEMBERS ARE REQUIRED TO DISCLOSE ANY CONFLICTS OR POTENTIAL CONFLICTS OF INTEREST TO THE BOARD. FORM 990, PART VI, SECTION B, LINE 15 THE HR VP CONDUCTED A COMPENSATION REVIEW OF SIMILAR POSITIONS AND INDUSTRY DATA, AS WELL AS CONTRACTED WITH AN INDEPENDENT SALARY CONSULTANT. EXECUTIVE DIRECTOR SALARIES ARE DISCUSSED IN AN ONE ON ONE BETWEEN THE EXECUTIVE DIRECTOR AND THE CHAIRMAN IN THEIR ANNUAL PERFORMANCE REVIEW. FORM 990, PART VI, SECTION C, LINE 19 THE GOVERNING DOCUMENTS ARE AVAILABLE ON THE ORGANIZATION'S WEBSITE. FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST FOR THE SAME PERIOD OF TIME SET FORTH IN SEC. 6104(D).