2015-09-29T16:38:34-05:00 2014-11-30 941254756 HOOD & STRONG LLP 100 FIRST STREET 14TH FLOOR SAN FRANCISCO CA 94105 990 2013-12-01 940912095 THE SURPLUS LINE ASSOCIATION OF CALIFORNIA SURP 4154344900 50 CALIFORNIA STREET 18TH FLOOR SAN FRANCISCO CA 94111 BENJAMIN J MCKAY EXECUTIVE DIRECTOR 4154344900 2015-09-28 1 MAGA E KISRIEV P01008919 4157810793 2013 2016-04-25 22:37:26Z BENJAMIN J MCKAY 50 CALIFORNIA STREET 18TH FLOOR SAN FRANCISCO CA 94111 11927547 0 X HTTP://WWW.SLA-CAL.ORG/ X 1937 CA TO HELP MAINTAIN A HEALTHY, FAIR, AND COMPETITIVE SURPLUS LINE MARKETPLACE IN CALIFORNIA. 13 13 57 13 0 0 0 0 11711401 11791910 99544 135637 0 0 11810945 11927547 0 22325 0 0 5850882 6303823 0 0 0 4362661 5070742 10213543 11396890 1597402 530657 17653886 18173157 3619421 3541753 14034465 14631404 X OUR MISSION IS TO ENSURE THAT A RESPONSIVE AND LAWFUL NON-ADMITTED INSURANCE MARKET IS MAINTAINED IN CALIFORNIA. OUR MEASURE OF SUCCESS IN THIS RESPECT IS 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 NON-ADMITTED MARKET. 0 0 THE SLA PROVIDES INFORMATION AND INSTRUCTION TO ITS MEMBERSHIP 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 4,884 MEMBERS, ISSUED 1,100 CONTINUING EDUCATION CERTIFICATES AND CONDUCTED 16 SEMINARS, 20 BROKER VISITS AND 8 WEBINAR TRAINING SESSIONS. 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 0 0 0 0 0 0 0 0 0 0 1 18 0 1 57 1 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 JOY ERVEN 4154344900 50 CALIFORNIA STREET 18TH FLOOR SAN FRANCISCO CA 94111 PAM QUILICI CHAIRMAN 10.00 0.00 X X 0 0 0 IAN FITT VICE CHAIRMAN 10.00 0.00 X X 0 0 0 DENIS BRADY SECRETARY/TREASURER 10.00 0.00 X X 0 0 0 DAVIS MOORE BOARD MEMBER 5.00 0.00 X 0 0 0 LES ROSS BOARD MEMBER 5.00 0.00 X 0 0 0 DEAN ANDRIGHETTO BOARD MEMBER 5.00 0.00 X 0 0 0 CHRIS BROWN BOARD MEMBER 5.00 0.00 X 0 0 0 JOHN EDACK BOARD MEMBER 5.00 0.00 X 0 0 0 RUPERT HALL BOARD MEMBER 5.00 0.00 X 0 0 0 PHIL MAZUR BOARD MEMBER 5.00 0.00 X 0 0 0 ANNE MCNALLY BOARD MEMBER 5.00 0.00 X 0 0 0 GERALD J SULLIVAN BOARD MEMBER 5.00 0.00 X 0 0 0 CHRIS HOUSKA BOARD MEMBER 5.00 0.00 X 0 0 0 BENJAMIN J MCKAY EXECUTIVE DIRECTOR 37.50 0.00 X 426695 0 32463 JOY MARIE ERVEN DIRECTOR 37.50 0.00 X 229886 0 30358 MICHAEL P CATUREGLI IT MANAGER 37.50 0.00 X 187559 0 43496 LINDA CHENG MANAGER, FINANCIAL DEPARTMENT 37.50 0.00 X 150797 0 32819 THOMAS LEIBOLD TEAM LEADER, APPLICATIONS DEVELOPER 37.50 0.00 X 145478 0 24649 PATRICIA T MCAULEY MANAGER, DATA PROCESSING DEPARTMENT 37.50 0.00 X 121742 0 32856 APRIL NG HARTMAN HR MANAGER 37.50 0.00 X 109331 0 25874 1371488 0 222515 7 0 1 0 INFINITY 1901 COMMONWEALTH LANE TALLAHASSEE FL 32303 SOFTWARE DEVELOPER 1388814 SAPIENS 4000 CENTERGREEN WAY CARY NC 27513 SOFTWARE DEVELOPER 303350 SUNGARD 91233 COLLECTION CENTER DR CHICAGO IL 60693 DISASTER RECOVERY 284138 DATASAFE PO BOX 7794 SAN FRANCISCO CA 94120 RECORDS MANAGEMENT 249328 AJILON DEPT CH 14031 PALATINE IL 60055 PLACEMENT SERVICE 240181 13 STAMPING FEES 900099 11791910 11791910 11791910 135637 135637 11927547 11791910 0 135637 22325 1134073 3536571 218000 1075920 339259 185502 95644 50001 636745 333263 743743 742486 347051 161001 1500339 166172 EMPLOYEE RELATIONS 62168 DUES AND SUBSCRIPTIONS 46627 11396890 1680441 1448958 3841333 3065380 1569177 1632530 205946 310861 12376214 7862512 3803219 4513702 6264669 7047706 289101 154020 17653886 18173157 486341 254299 3133080 3287454 3619421 3541753 X 14034465 14631404 14034465 14631404 17653886 18173157 530657 66282 0 X 0 1 X 1 0 652659 245458 407201 11695763 7617054 4078709 27792 27792 4513702 OTHER ACCRUED LIABILITIES 936111 ACCRUED PENSION LIABILITY 1072273 ACCRUED POST RETIREMENT BENEFIT LIABILITY 1278798 DEFERRED RENT 272 3287454 X 11993829 -43765 110047 66282 11927547 0 11927547 11396890 0 11396890 0 11396890 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 2011 THROUGH 2014 TAX YEARS BY THE INTERNAL REVENUE SERVICE AND THE 2010 THROUGH 2014 TAX YEARS BY THE CALIFORNIA FRANCHISE TAX BOARD. PART XI, LINE 2D - OTHER ADJUSTMENTS: UNREALIZED GAIN ON PENSION AND POST-RETIREMENT BENEFITS 110,047. 1 INSURANCE INDUSTRY CHARITABLE FOUNDATION 1999 AVENUE OF THE STARS STE 1100 LOS ANGELES CA 90067 201240972 501(C)(3) 22325 GENERAL SUPPORT 1 0 PART I, LINE 2: ORGANIZATION FINANCIALS ARE REVIEWED BY BOARD MEMBERS. X 1 1 X X X X X 0 0 0 BENJAMIN J MCKAY EXECUTIVE DIRECTOR 340065 0 70975 0 15655 0 7650 0 24813 0 459158 0 0 0 JOY MARIE ERVEN DIRECTOR 172876 0 32548 0 24462 0 20553 0 9805 0 260244 0 0 0 MICHAEL P CATUREGLI IT MANAGER 164196 0 13200 0 10163 0 18683 0 24813 0 231055 0 0 0 LINDA CHENG MANAGER, FINANCIAL DEPARTMENT 120852 0 1200 0 28745 0 14364 0 18455 0 183616 0 0 0 THOMAS LEIBOLD TEAM LEADER, APPLICATIONS DEVELOPER 131970 0 3200 0 10308 0 14844 0 9805 0 170127 0 0 0 PATRICIA T MCAULEY MANAGER, DATA PROCESSING DEPARTMENT 120542 0 1200 0 0 0 13108 0 19748 0 154598 0 0 0 PART I, LINE 1A PAYMENT WAS MADE FOR BENJAMIN MCKAY AND MICHAEL CATUREGLI TO BRING THEIR SPOUSES AND/OR CHILDREN TO BUSINESS CONFERENCES THAT HAD FAMILIES INVITED. THESE BENEFITS WERE NOT TREATED AS TAXABLE COMPENSATION. FORM 990, PART VI, SECTION B, LINE 11 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. THE FINDINGS WERE PRESENTED AT THE BUDGETARY BOARD MEETING FOR APPROVAL OF COMPENSATION FOR SENIOR STAFF. 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).