401k Plan data: PURPLE WINE & SPIRITS 401(K) PLAN plan

PURPLE WINE & SPIRITS 401(K) PLAN 401k Plan overview

Plan Name	PURPLE WINE & SPIRITS 401(K) PLAN
Plan identification number	001

PURPLE WINE & SPIRITS 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

SONOMA WINE COMPANY LLC has sponsored the creation of one or more 401k plans.

Company Name: SONOMA WINE COMPANY LLC

Employer identification number (EIN): 611580196

NAIC Classification: 311900
NAIC Description: Other Food Manufacturing

Additional information about SONOMA WINE COMPANY LLC

Jurisdiction of Incorporation: Georgia Department of States Corporations Division

Incorporation Date:

Company Identification Number: 1775643

More information about SONOMA WINE COMPANY LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PURPLE WINE & SPIRITS 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-01-01 JIM SHANAHAN
001 2015-01-01 JIM SHANAHAN
001 2014-01-01 JEFF HARRIS
001 2013-01-01 JEFF HARRIS
001 2012-01-01 SHELLI SULLIVAN

Plan id#	Filing Submission Date	Name of Administrator
001	2016-01-01	JIM SHANAHAN
001	2015-01-01	JIM SHANAHAN
001	2014-01-01	JEFF HARRIS
001	2013-01-01	JEFF HARRIS
001	2012-01-01	SHELLI SULLIVAN

Plan Statistics for PURPLE WINE & SPIRITS 401(K) PLAN

401k plan membership statisitcs for PURPLE WINE & SPIRITS 401(K) PLAN

Measure Date Value
2016: PURPLE WINE & SPIRITS 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 184
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 130
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 38
Total of all active and inactive participants 2016-01-01 168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 168
Number of participants with account balances 2016-01-01 127
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: PURPLE WINE & SPIRITS 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 188
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 155
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 27
Total of all active and inactive participants 2015-01-01 182
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 182
Number of participants with account balances 2015-01-01 124
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: PURPLE WINE & SPIRITS 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 206
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 182
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 19
Total of all active and inactive participants 2014-01-01 201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 201
Number of participants with account balances 2014-01-01 111
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: PURPLE WINE & SPIRITS 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 215
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 192
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 14
Total of all active and inactive participants 2013-01-01 206
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 206
Number of participants with account balances 2013-01-01 78
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: PURPLE WINE & SPIRITS 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 188
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 207
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 8
Total of all active and inactive participants 2012-01-01 215
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 215
Number of participants with account balances 2012-01-01 85
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0

Measure	Date	Value
2016: PURPLE WINE & SPIRITS 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	184
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	130
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	38
Total of all active and inactive participants	2016-01-01	168
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	168
Number of participants with account balances	2016-01-01	127
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: PURPLE WINE & SPIRITS 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	188
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	155
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	27
Total of all active and inactive participants	2015-01-01	182
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	182
Number of participants with account balances	2015-01-01	124
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: PURPLE WINE & SPIRITS 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	206
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	182
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	19
Total of all active and inactive participants	2014-01-01	201
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	201
Number of participants with account balances	2014-01-01	111
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: PURPLE WINE & SPIRITS 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	215
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	192
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	14
Total of all active and inactive participants	2013-01-01	206
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	206
Number of participants with account balances	2013-01-01	78
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: PURPLE WINE & SPIRITS 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	188
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	207
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	8
Total of all active and inactive participants	2012-01-01	215
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	215
Number of participants with account balances	2012-01-01	85
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0

Financial Data on PURPLE WINE & SPIRITS 401(K) PLAN

Measure	Date	Value
2016 : PURPLE WINE & SPIRITS 401(K) PLAN 2016 401k financial data
Total income from all sources (including contributions)	2016-12-31	$1,571,221
Total of all expenses incurred	2016-12-31	$878,249
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$832,406
Value of total corrective distributions	2016-12-31	$15,567
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$1,152,535
Value of total assets at end of year	2016-12-31	$5,208,993
Value of total assets at beginning of year	2016-12-31	$4,516,021
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$30,276
Total interest from all sources	2016-12-31	$3,324
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$80,839
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$80,839
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$668,109
Participant contributions at end of year	2016-12-31	$86,307
Participant contributions at beginning of year	2016-12-31	$80,204
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$279,747
Other income not declared elsewhere	2016-12-31	$7,563
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$692,972
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$5,208,993
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$4,516,021
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$4,561,301
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$3,901,161
Interest on participant loans	2016-12-31	$3,324
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$561,385
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$534,656
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$326,960
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$204,679
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$832,406
Contract administrator fees	2016-12-31	$30,276
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	MOSS ADAMS LLP
Accountancy firm EIN	2016-12-31	910189318
2015 : PURPLE WINE & SPIRITS 401(K) PLAN 2015 401k financial data
Total income from all sources (including contributions)	2015-12-31	$857,012
Total of all expenses incurred	2015-12-31	$1,286,385
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$1,283,306
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$944,554
Value of total assets at end of year	2015-12-31	$4,516,021
Value of total assets at beginning of year	2015-12-31	$4,945,394
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$3,079
Total interest from all sources	2015-12-31	$-1,196
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$184,752
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$184,752
Administrative expenses professional fees incurred	2015-12-31	$450
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$577,434
Participant contributions at end of year	2015-12-31	$80,204
Participant contributions at beginning of year	2015-12-31	$13,882
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$184,443
Other income not declared elsewhere	2015-12-31	$10,046
Administrative expenses (other) incurred	2015-12-31	$1,350
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-429,373
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$4,516,021
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$4,945,394
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$1,279
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$3,901,161
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$4,343,313
Interest on participant loans	2015-12-31	$1,570
Interest earned on other investments	2015-12-31	$-2,766
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$534,656
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$588,199
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-281,144
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$182,677
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$1,283,306
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2015-12-31	Yes
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	MOSS ADAMS LLP
Accountancy firm EIN	2015-12-31	910189318
2014 : PURPLE WINE & SPIRITS 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$1,196,195
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$580,585
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$490,807
Value of total corrective distributions	2014-12-31	$89,028
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$918,091
Value of total assets at end of year	2014-12-31	$4,945,394
Value of total assets at beginning of year	2014-12-31	$4,329,784
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$750
Total interest from all sources	2014-12-31	$9,062
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$430,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$579,099
Participant contributions at end of year	2014-12-31	$13,882
Participant contributions at beginning of year	2014-12-31	$102,118
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$149,482
Administrative expenses (other) incurred	2014-12-31	$750
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$615,610
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$4,945,394
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$4,329,784
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$4,343,313
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$3,715,994
Interest on participant loans	2014-12-31	$3,124
Interest earned on other investments	2014-12-31	$5,938
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$588,199
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$511,672
Net investment gain/loss from pooled separate accounts	2014-12-31	$269,042
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$189,510
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$490,807
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	MOSS ADAMS LLP
Accountancy firm EIN	2014-12-31	910189318
2013 : PURPLE WINE & SPIRITS 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$1,512,539
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$442,983
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$419,568
Value of total corrective distributions	2013-12-31	$22,015
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$803,485
Value of total assets at end of year	2013-12-31	$4,329,784
Value of total assets at beginning of year	2013-12-31	$3,260,228
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$1,400
Total interest from all sources	2013-12-31	$6,799
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$430,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$500,036
Participant contributions at end of year	2013-12-31	$102,118
Participant contributions at beginning of year	2013-12-31	$23,348
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$303,449
Other income not declared elsewhere	2013-12-31	$22
Administrative expenses (other) incurred	2013-12-31	$1,400
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$1,069,556
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$4,329,784
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$3,260,228
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$3,715,994
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$2,819,024
Interest on participant loans	2013-12-31	$2,338
Interest earned on other investments	2013-12-31	$4,461
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$511,672
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$417,856
Net investment gain/loss from pooled separate accounts	2013-12-31	$702,233
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$419,568
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	MOSS ADAMS LLP
Accountancy firm EIN	2013-12-31	910189318
2012 : PURPLE WINE & SPIRITS 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$974,591
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$112,749
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$29,906
Value of total corrective distributions	2012-12-31	$82,718
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$621,763
Value of total assets at end of year	2012-12-31	$3,260,228
Value of total assets at beginning of year	2012-12-31	$2,398,386
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$125
Total interest from all sources	2012-12-31	$7,514
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$0
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$350,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$551,731
Participant contributions at end of year	2012-12-31	$23,348
Participant contributions at beginning of year	2012-12-31	$46,830
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$70,032
Administrative expenses (other) incurred	2012-12-31	$125
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$861,842
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$3,260,228
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$2,398,386
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$2,819,024
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$1,917,380
Interest on participant loans	2012-12-31	$1,144
Interest earned on other investments	2012-12-31	$6,370
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$417,856
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$434,176
Net investment gain/loss from pooled separate accounts	2012-12-31	$345,314
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$29,906
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	MOSS ADAMS LLP
Accountancy firm EIN	2012-12-31	910189318

Form 5500 Responses for PURPLE WINE & SPIRITS 401(K) PLAN

2016: PURPLE WINE & SPIRITS 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: PURPLE WINE & SPIRITS 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: PURPLE WINE & SPIRITS 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: PURPLE WINE & SPIRITS 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: PURPLE WINE & SPIRITS 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

ZH9568

Policy instance

Insurance contract or identification number	ZH9568
Number of Individuals Covered	0
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

TRANSAMERICA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 86231 )

Policy contract number

512524-000

Policy instance

Insurance contract or identification number	512524-000
Number of Individuals Covered	124
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $2,655
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $2,655
Insurance broker organization code?	3
Insurance broker name	LPL FINANCIAL CORPORATION

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

ZH9568

Policy instance

Insurance contract or identification number	ZH9568
Number of Individuals Covered	201
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $11,906
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $11,906
Insurance broker organization code?	3
Insurance broker name	LPL FINANCIAL CORPORATION

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

ZH9568

Policy instance

Insurance contract or identification number	ZH9568
Number of Individuals Covered	206
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $9,345
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $9,345
Insurance broker organization code?	3
Insurance broker name	LPL FINANCIAL CORPORATION

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

ZH9568

Policy instance

Insurance contract or identification number	ZH9568
Number of Individuals Covered	215
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $6,055
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $6,055
Amount paid for insurance broker fees	0
Insurance broker organization code?	3
Insurance broker name	LPL FINANCIAL CORPORATION

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Company Name:	SONOMA WINE COMPANY LLC
Employer identification number (EIN):	611580196
NAIC Classification:	311900
NAIC Description:	Other Food Manufacturing

Jurisdiction of Incorporation:	Georgia Department of States Corporations Division
Incorporation Date:
Company Identification Number:	1775643