2021-10-05T19:19:33-05:00 2020-11-30 941254756 HOOD & STRONG LLP 275 BATTERY STREET STE 900 SAN FRANCISCO CA 94111 990 2019-12-01 940912095 THE SURPLUS LINE ASSOCIATION OF CALIFORNIA SURP 4154344900 12667 ALCOSTA BLVD NO 450 SAN RAMON CA 94583 BENJAMIN MCKAY EXECUTIVE DIRECTOR 4154344900 2021-09-28 1 JACOB YAU P01560332 4157810793 2019 2022-09-23 18:48:47Z BENJAMIN MCKAY 12667 ALCOSTA BLVD NO 450 SAN RAMON CA 94583 24707225 0 X WWW.SLACAL.ORG X 1937 CA TO HELP MAINTAIN A HEALTHY, FAIR, AND COMPETITIVE SURPLUS LINE MARKETPLACE IN CALIFORNIA. 13 13 131 15 0 0 0 0 19886958 24536584 133221 169592 0 0 20020179 24706176 144502 70870 0 0 11323699 12622793 0 0 0 7571196 6722456 19039397 19416119 980782 5290057 16542954 21121074 5864511 4622705 10678443 16498369 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 5,934 MEMBERS, ISSUED 1,870 CONTINUING EDUCATION CERTIFICATES VIA 9 LIVE AND 3 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 20 0 1 131 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 ROBERT GILBERT PAST CHAIR (THRU FEB 2020) 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 TIM CHAIX BOARD MEMBER 1.00 X 0 0 0 JAMES FALEY BOARD MEMBER 1.00 X 0 0 0 HANK HALDEMAN BOARD MEMBER 1.00 X 0 0 0 JERRY SULLIVAN 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 JOHN WASHINGTON BOARD MEMBER 1.00 X 0 0 0 JASON HOWARD BOARD MEMBER 1.00 X 0 0 0 CAMERON KELLY BOARD MEMBER (THRU FEB 2020) 1.00 X 0 0 0 BENJAMIN MCKAY EXECUTIVE DIRECTOR 37.50 X 644474 0 42276 JOY ERVEN COO & DIRECTOR 37.50 X 380640 0 18876 MICHAEL CATUREGLI SR. VP, IT & DATA ANALYSIS 37.50 X 328521 0 40671 SUSAN BRYANT SR. VP, FINANCE 37.50 X 254010 0 17976 PATRICIA MCAULEY SR. VP, EDUCATION & COMPLIANCE 37.50 X 167871 0 15925 PHAEDRA JACKSON OPS & ADMIN MANAGER 37.50 X 176192 0 15925 JODY BLACK VP, DATA ANALYSIS 37.50 X 146793 0 30615 CLISTON BROWN VP, COMMUNICATIONS 37.50 X 157706 0 15726 SATYA VANI GANTI SR. APPLICATIONS DEVELOPER 37.50 X 134551 0 37476 GLENN LEUNG VP, FINANCE 37.50 X 138115 0 9947 2528873 0 245413 14 0 1 0 WILLIAM KASTIGAR 123 SHELTERWOOD LN DANVILLE CA 94506 MARKET RESEARCH 291340 MCDERMOTT WILL & EMERY LLP 415 MISSION STREET STE 5600 SAN FRANCISCO CA 94105 LEGAL 206116 VALENCIA UNITED 134 SURREY LANE TENAFLY NJ 07670 MANAGEMENT TRAINING 169675 BPM LLP 600 CALIFORNIA STREET STE 600 SAN FRANCISCO CA 94108 ACCOUNTING 167361 MACIAS CONSULTING 902 HOGARTH COURT EL DORADO HILLS CA 95762 OPERATIONAL AUDIT 124000 5 STAMPING FEES 900099 24536584 24536584 24536584 168946 168946 1695 1049 646 646 646 24706176 24536584 0 169592 70870 1911240 7552709 1167646 1309566 681632 200051 211554 14665 648620 549195 619135 1116083 136986 241040 11086 1468088 149601 MEMBERSHIP ENGAGEMENT 384758 PROF. DEVELOPMENT 282893 SUPPLIES 235948 EMPLOYEE RELATIONS 158733 294020 19416119 2010227 3130690 18012 28245 2217649 2601370 266756 378165 3951015 1546132 1995225 2404883 5992512 9234512 3809822 3139405 232751 203804 16542954 21121074 305872 507677 750000 0 4808639 4115028 5864511 4622705 X 10678443 16498369 10678443 16498369 16542954 21121074 5290057 529869 0 X 0 1 X 1 0 2361448 1263259 1098189 1521810 282873 1238937 67757 67757 2404883 OTHER ACCRUED LIABILITIES 1228848 ACCRUED PENSION LIABILITY 1131048 ACCRUED POST RETIREMENT BENEFIT LIABILITY 1336226 DEFERRED RENT 418906 4115028 X 25236045 529869 529869 24706176 0 24706176 19416119 0 19416119 0 19416119 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 2017 THROUGH 2020 TAX YEARS BY THE INTERNAL REVENUE SERVICE AND THE 2016 THROUGH 2020 TAX YEARS BY THE CALIFORNIA FRANCHISE TAX BOARD. 1 USC MARSHALL SCHOOL OF BUSINESS 1150 SOUTH OLIVE STREET SUITE 2900 LOS ANGELES CA 90015 951642394 501(C)(3) 20000 RISK MANAGEMENT PROGRAM INSURANCE INDUSTRY CHARITABLE FOUNDATION INC 1999 AVENUE OF THE STARS STE 1100 LOS ANGELES CA 90067 201240972 501(C)(3) 6700 GENERAL SUPPORT CAL STATE FULLERTON PHILANTHROPIC FOUNDATION 2600 NUTWOOD AVENUE SUITE 850 FULLERTON CA 92831 330567945 501(C)(3) 15000 GENERAL SUPPORT CA INSURANCE WHOLESALERS ASSOCIATION INC 4171 SUISUN VALLEY RD STE J FAIRFIELD CA 94534 954369749 501(C)(6) 25000 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 394572 0 95000 0 154902 0 8400 0 33876 0 686750 0 0 0 JOY ERVEN COO & DIRECTOR 240000 0 35000 0 105640 0 7200 0 11676 0 399516 0 0 0 MICHAEL CATUREGLI SR. VP, IT & DATA ANALYSIS 226500 0 40000 0 62021 0 6795 0 33876 0 369192 0 0 0 SUSAN BRYANT SR. VP, FINANCE 210000 0 40000 0 4010 0 6300 0 11676 0 271986 0 0 0 PATRICIA MCAULEY SR. VP, EDUCATION & COMPLIANCE 141625 0 0 0 26246 0 4249 0 11676 0 183796 0 0 0 PHAEDRA JACKSON OPS & ADMIN MANAGER 100000 0 15000 0 61192 0 4249 0 11676 0 192117 0 0 0 JODY BLACK VP, DATA ANALYSIS 140000 0 5000 0 1793 0 3750 0 26865 0 177408 0 0 0 CLISTON BROWN VP, COMMUNICATIONS 140000 0 10000 0 7706 0 4050 0 11676 0 173432 0 0 0 SATYA VANI GANTI SR. APPLICATIONS DEVELOPER 120000 0 10000 0 4551 0 3600 0 33876 0 172027 0 0 0 CAROLINE GILBERT FAMILY MEMBER OF ROBERT GILBERT, CHAIR 87574 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).