2019-10-15T17:12:09-05:00 2018-11-30 941254756 HOOD & STRONG LLP 275 BATTERY ST STE 900 SAN FRANCISCO CA 94111 990 2017-12-01 940912095 THE SURPLUS LINE ASSOCIATION OF CALIFORNIA SURP 4154344900 12667 ALCOSTA BLVD NO 450 SAN RAMON CA 94583 BENJAMIN MCKAY EXECUTIVE DIRECTOR 4154344900 2019-10-14 1 MAGA E KISRIEV P01008919 4157810793 12.201.129.210 2019-10-14 17:38:34 PD P BB12664BE1E3D4BC08488640412F20C0F7A39D48 C025656BECDDFD3887BB8F0FBE1CE97228DB785C 2017 2020-03-31 21:24:44Z BENJAMIN MCKAY 12667 ALCOSTA BLVD NO 450 SAN RAMON CA 94583 15301542 0 X WWW.SLACAL.ORG X 1937 CA TO HELP MAINTAIN A HEALTHY, FAIR, AND COMPETITIVE SURPLUS LINE MARKETPLACE IN CALIFORNIA. 13 12 84 17 0 2934 0 0 13150096 15161685 114178 139857 0 0 13264274 15301542 51500 71550 0 0 8496367 9804185 0 0 0 6502723 7269696 15050590 17145431 -1786316 -1843889 17355691 15994419 5648541 7005960 11707150 8988459 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 REGULATORYCOMPLIANCE QUESTIONS, AND DISSEMINATING, IN A TIMELY MATTER, UPDATED AND CURRENT INFORMATION RELATIVE TO THE SURPLUS LINE INDUSTRY. SLA CONSISTS OF 5,589 MEMBERS, ISSUED 1,477 CONTINUING EDUCATION CERTIFICATES, AND CONDUCTED 9 SEMINARS AND 49 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 26 0 1 84 1 1 1 0 0 0 0 0 X 13 12 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 1 1 1 1 0 CA X JOY ERVEN 4154344900 12667 ALCOSTA BLVD NO 450 SAN RAMON CA 94583 ROBERT GILBERT CHAIR 1.00 X X 0 0 0 TOM CIARDELLO PAST CHAIR 1.00 X X 0 0 0 TERRI MORAN VICE CHAIR 1.00 X X 0 0 0 JANET BEAVER SECRETARY/TREASURER 1.00 X X 0 0 0 TIM CHAIX BOARD MEMBER 1.00 X 0 0 0 RICH GOBLER BOARD MEMBER 1.00 X 0 0 0 HANK HALDEMAN BOARD MEMBER 1.00 X 0 0 0 CAMERON KELLY BOARD MEMBER 1.00 X 0 0 0 PAM QUILICI BOARD MEMBER 1.00 X 0 0 0 LES ROSS BOARD MEMBER 1.00 X 0 0 0 KATHY SCHROEDER BOARD MEMBER 1.00 X 0 0 0 GERALD SULLIVAN BOARD MEMBER 1.00 X 0 0 0 JOHN WASHINGTON BOARD MEMBER 1.00 X 0 0 0 RUPERT HALL BOARD MEMBER (THRU 2/8/18) 1.00 X 0 0 0 DAVIS MOORE BOARD MEMBER (THRU 2/8/18) 1.00 X 0 0 0 CHRIS HOUSKA BOARD MEMBER (THRU 2/8/18) 1.00 X 0 0 0 DENIS BRADY BOARD MEMBER (THRU 2/8/18) 1.00 X 0 0 0 BENJAMIN MCKAY EXECUTIVE DIRECTOR 37.50 X 520910 0 36222 JOY ERVEN COO & DIRECTOR 37.50 X 277036 0 19400 MICHAEL CATUREGLI VP, TECH 37.50 X 212641 0 34271 SUSAN BRYANT SR. VP, FINANCE 37.50 X 204199 0 17763 THOMAS LEIBOLD TEAM LEADER, APPLICATION DEVELOPMENT 37.50 X 160548 0 16206 ROSE TOCCHINI VP, DATA ANALYST 37.50 X 175101 0 15175 PAT MCAULEY VP, EDUCATION & COMPLIANCE 37.50 X 159662 0 16073 PAMELA BOYES VP, HUMAN RESOURCES 37.50 X 147421 0 32617 CLISTON BROWN VP, COMMUNICATION 37.50 X 144961 0 15334 2002479 0 203061 9 0 1 0 KIKODA LLC 1632 CHADWICK WAY TALLAHASSEE FL 32312 SOFTWARE DEVELOPMENT 400533 RACKSPACE US INC PO BOX 730759 DALLAS TX 75373 HOSTING SERVICES 309248 JAMES GREEN 7115 N DIVISION STE B241 SPOKANE WA 99208 MEDIA/VIDEO/PHOTOGRAPHY 305540 BPM LLP 600 CALIFORNIA STREET STE 600 SAN FRANCISCO CA 94108 ACCOUNTING 164644 DENTONS US LLP DEPT 3078 CAROL STREAM IL 60132 LEGAL SERVICES 132256 6 STAMPING FEES 900099 15161685 15161685 15161685 139857 139857 15301542 15161685 0 139857 71550 1865209 5820876 79574 1495272 543254 199780 203244 50059 12267 1546292 944504 337855 974242 621735 130106 42382 1528874 152062 CONFERENCE HOSTING 264596 EMPLOYEE RELATIONS 104494 DUES AND SUBSCRIPTIONS 76940 RETIREE INSURANCE COST 51277 28987 17145431 334119 816649 2274201 1254894 2197933 2235201 227461 314981 16659950 9748262 7944429 6911688 4014771 4242724 362777 218282 17355691 15994419 345503 605574 1300000 1300000 4003038 5100386 5648541 7005960 X 11707150 8988459 11707150 8988459 17355691 15994419 -1843889 -874802 0 X 0 1 X 1 0 1771674 839416 932258 14888276 8908846 5979430 6911688 OTHER ACCRUED LIABILITIES 1202953 ACCRUED PENSION LIABILITY 1573009 ACCRUED POST RETIREMENT BENEFIT LIABILITY 2001453 DEFERRED RENT 322971 5100386 X 14426740 -87695 -787107 -874802 15301542 0 15301542 17145431 0 17145431 0 17145431 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 RETURN, INCLUDING APPLICABLE INTEREST AND PENALTIES RELATED TO MATERIAL UNCERTAIN TAX POSITIONS, WHICH COULD RESULT IN RECORDING OF AN INCOME TAX PROVISION IN THE FUTURE. THE ASSOCIATION EVALUATED ITS TAX POSITION FOR ALL OPEN TAX YEARS. CURRENTLY, THE TAX YEARS OPEN AND SUBJECT TO EXAMINATION ARE THE 2015 THROUGH 2018 TAX YEARS BY THE INTERNAL REVENUE SERVICE AND THE 2014 THROUGH 2018 TAX YEARS BY THE CALIFORNIA FRANCHISE TAX BOARD. PART XI, LINE 2D - OTHER ADJUSTMENTS: UNREALIZED LOSSES ON PENSION AND POST-RETIREMENT BENEFITS -787,107. 1 INSURANCE INDUSTRY CHARITABLE FOUNDATION 1999 AVENUE OF THE STARS STE 1100 LOS ANGELES CA 90067 201240972 501(C)(3) 26000 GENERAL SUPPORT CAL STATE FULLERTON PHILANTHROPIC FOUNDATION INC 2600 NUTWOOD AVENUE STE 850 FULLERTON CA 92831 330567945 501(C)(3) 20000 GENERAL SUPPORT CALIFORNIA INSURANCE WHOLESALERS ASSOCIATION 610 FREEDOM BUSINESS CENTER DRIVE SUITE 110 KING OF PRUSSIA PA 19406 954369749 501(C)(6) 12050 GENERAL SUPPORT USC MARSHALL SCHOOL OF BUSINESS 1150 SOUTH OLIVE STREET SUITE 2900 LOS ANGELES CA 90015 951642394 501(C)(3) 10000 GENERAL SUPPORT 3 1 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 370121 0 76291 0 74498 0 8100 0 28122 0 557132 0 0 0 JOY ERVEN COO & DIRECTOR 215635 0 35000 0 26401 0 7712 0 11688 0 296436 0 0 0 MICHAEL CATUREGLI VP, TECH 183198 0 20000 0 9443 0 6149 0 28122 0 246912 0 0 0 SUSAN BRYANT SR. VP, FINANCE 204199 0 0 0 0 0 6075 0 11688 0 221962 0 0 0 THOMAS LEIBOLD TEAM LEADER, APPLICATION DEVELOPMENT 145008 0 5000 0 10540 0 4518 0 11688 0 176754 0 0 0 ROSE TOCCHINI VP, DATA ANALYST 131713 0 26750 0 16638 0 3487 0 11688 0 190276 0 0 0 PAT MCAULEY VP, EDUCATION & COMPLIANCE 141625 0 0 0 18037 0 4385 0 11688 0 175735 0 0 0 PAMELA BOYES VP, HUMAN RESOURCES 147421 0 0 0 0 0 4495 0 28122 0 180038 0 0 0 CLISTON BROWN VP, COMMUNICATION 134961 0 10000 0 0 0 3646 0 11688 0 160295 0 0 0 CAROLINE GILBERT FAMILY MEMBER OF ROBERT GILBERT, DIRECTOR 17583 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).