401k Plan data: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN plan

ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 401k Plan overview

Plan Name	ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN
Plan identification number	001

ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Money purchase (other than target benefit)
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.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
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.

401k Sponsoring company profile

ERNEST GALLO CLINIC AND RESEARCH CENTER has sponsored the creation of one or more 401k plans.

Company Name: ERNEST GALLO CLINIC AND RESEARCH CENTER

Employer identification number (EIN): 942697305

NAIC Classification: 622000
NAIC Description: Hospitals

Additional information about ERNEST GALLO CLINIC AND RESEARCH CENTER

Jurisdiction of Incorporation: California Department of State

Incorporation Date: 1980-09-29

Company Identification Number: C1003685

Legal Registered Office Address: 5858 Horton Street, Suite 200

Emeryville
United States of America (USA)
94608

More information about ERNEST GALLO CLINIC AND RESEARCH CENTER

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-07-01 ANN LAURENSON
001 2013-07-01 ANN LAURENSON
001 2012-07-01 NANCY GREEN
001 2011-07-01 AMBER SHOMO WILLIAM SAWYERS 2013-03-06
001 2010-07-01 AMBER SHOMO WILLIAM SAWYERS 2012-04-15
001 2009-07-01 AMBER SHOMO

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2014-07-01	ANN LAURENSON
001	2013-07-01	ANN LAURENSON
001	2012-07-01	NANCY GREEN
001	2011-07-01	AMBER SHOMO	WILLIAM SAWYERS	2013-03-06
001	2010-07-01	AMBER SHOMO	WILLIAM SAWYERS	2012-04-15
001	2009-07-01	AMBER SHOMO

Plan Statistics for ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN

401k plan membership statisitcs for ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN

Measure Date Value
2014: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-07-01 112
Total number of active participants reported on line 7a of the Form 5500 2014-07-01 0
Number of retired or separated participants receiving benefits 2014-07-01 0
Number of other retired or separated participants entitled to future benefits 2014-07-01 0
Total of all active and inactive participants 2014-07-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-07-01 0
Total participants 2014-07-01 0
Number of participants with account balances 2014-07-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-07-01 0
2013: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-07-01 125
Total number of active participants reported on line 7a of the Form 5500 2013-07-01 0
Number of retired or separated participants receiving benefits 2013-07-01 1
Number of other retired or separated participants entitled to future benefits 2013-07-01 111
Total of all active and inactive participants 2013-07-01 112
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-07-01 0
Total participants 2013-07-01 112
Number of participants with account balances 2013-07-01 112
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-07-01 0
2012: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-07-01 145
Total number of active participants reported on line 7a of the Form 5500 2012-07-01 27
Number of retired or separated participants receiving benefits 2012-07-01 0
Number of other retired or separated participants entitled to future benefits 2012-07-01 98
Total of all active and inactive participants 2012-07-01 125
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-07-01 0
Total participants 2012-07-01 125
Number of participants with account balances 2012-07-01 125
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-07-01 11
2011: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-07-01 167
Total number of active participants reported on line 7a of the Form 5500 2011-07-01 73
Number of retired or separated participants receiving benefits 2011-07-01 0
Number of other retired or separated participants entitled to future benefits 2011-07-01 72
Total of all active and inactive participants 2011-07-01 145
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-07-01 0
Total participants 2011-07-01 145
Number of participants with account balances 2011-07-01 145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-07-01 18
2010: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-07-01 170
Total number of active participants reported on line 7a of the Form 5500 2010-07-01 109
Number of retired or separated participants receiving benefits 2010-07-01 0
Number of other retired or separated participants entitled to future benefits 2010-07-01 58
Total of all active and inactive participants 2010-07-01 167
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-07-01 0
Total participants 2010-07-01 167
Number of participants with account balances 2010-07-01 167
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-07-01 7
2009: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-07-01 171
Total number of active participants reported on line 7a of the Form 5500 2009-07-01 125
Number of retired or separated participants receiving benefits 2009-07-01 0
Number of other retired or separated participants entitled to future benefits 2009-07-01 45
Total of all active and inactive participants 2009-07-01 170
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-07-01 0
Total participants 2009-07-01 170
Number of participants with account balances 2009-07-01 162
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-07-01 19

Measure	Date	Value
2014: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-07-01	112
Total number of active participants reported on line 7a of the Form 5500	2014-07-01	0
Number of retired or separated participants receiving benefits	2014-07-01	0
Number of other retired or separated participants entitled to future benefits	2014-07-01	0
Total of all active and inactive participants	2014-07-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-07-01	0
Total participants	2014-07-01	0
Number of participants with account balances	2014-07-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-07-01	0
2013: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-07-01	125
Total number of active participants reported on line 7a of the Form 5500	2013-07-01	0
Number of retired or separated participants receiving benefits	2013-07-01	1
Number of other retired or separated participants entitled to future benefits	2013-07-01	111
Total of all active and inactive participants	2013-07-01	112
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-07-01	0
Total participants	2013-07-01	112
Number of participants with account balances	2013-07-01	112
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-07-01	0
2012: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-07-01	145
Total number of active participants reported on line 7a of the Form 5500	2012-07-01	27
Number of retired or separated participants receiving benefits	2012-07-01	0
Number of other retired or separated participants entitled to future benefits	2012-07-01	98
Total of all active and inactive participants	2012-07-01	125
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-07-01	0
Total participants	2012-07-01	125
Number of participants with account balances	2012-07-01	125
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-07-01	11
2011: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-07-01	167
Total number of active participants reported on line 7a of the Form 5500	2011-07-01	73
Number of retired or separated participants receiving benefits	2011-07-01	0
Number of other retired or separated participants entitled to future benefits	2011-07-01	72
Total of all active and inactive participants	2011-07-01	145
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-07-01	0
Total participants	2011-07-01	145
Number of participants with account balances	2011-07-01	145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-07-01	18
2010: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-07-01	170
Total number of active participants reported on line 7a of the Form 5500	2010-07-01	109
Number of retired or separated participants receiving benefits	2010-07-01	0
Number of other retired or separated participants entitled to future benefits	2010-07-01	58
Total of all active and inactive participants	2010-07-01	167
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-07-01	0
Total participants	2010-07-01	167
Number of participants with account balances	2010-07-01	167
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-07-01	7
2009: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-07-01	171
Total number of active participants reported on line 7a of the Form 5500	2009-07-01	125
Number of retired or separated participants receiving benefits	2009-07-01	0
Number of other retired or separated participants entitled to future benefits	2009-07-01	45
Total of all active and inactive participants	2009-07-01	170
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-07-01	0
Total participants	2009-07-01	170
Number of participants with account balances	2009-07-01	162
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-07-01	19

Financial Data on ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN

Measure	Date	Value
2014 : ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2014 401k financial data
Total income from all sources (including contributions)	2014-08-05	$-10,045
Total of all expenses incurred	2014-08-05	$4,238,294
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-08-05	$4,238,294
Value of total assets at end of year	2014-08-05	$0
Value of total assets at beginning of year	2014-08-05	$4,248,339
Total interest from all sources	2014-08-05	$10
Total dividends received (eg from common stock, registered investment company shares)	2014-08-05	$731
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-08-05	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2014-08-05	$0
Total dividends received from registered investment company shares (eg mutual funds)	2014-08-05	$731
Was this plan covered by a fidelity bond	2014-08-05	Yes
Value of fidelity bond cover	2014-08-05	$1,000,000
If this is an individual account plan, was there a blackout period	2014-08-05	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-08-05	$0
Funding deficiency by the employer to the plan for this plan year	2014-08-05	$0
Minimum employer required contribution for this plan year	2014-08-05	$0
Amount contributed by the employer to the plan for this plan year	2014-08-05	$0
Were there any nonexempt tranactions with any party-in-interest	2014-08-05	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-08-05	No
Value of net income/loss	2014-08-05	$-4,248,339
Value of net assets at end of year (total assets less liabilities)	2014-08-05	$0
Value of net assets at beginning of year (total assets less liabilities)	2014-08-05	$4,248,339
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-08-05	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-08-05	No
Were any leases to which the plan was party in default or uncollectible	2014-08-05	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-08-05	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-08-05	$4,232,275
Value of interest in pooled separate accounts at end of year	2014-08-05	$0
Value of interest in pooled separate accounts at beginning of year	2014-08-05	$16,064
Interest earned on other investments	2014-08-05	$10
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-08-05	$-10,786
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-08-05	No
Was there a failure to transmit to the plan any participant contributions	2014-08-05	No
Has the plan failed to provide any benefit when due under the plan	2014-08-05	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-08-05	$4,238,294
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	2014-08-05	No
Did the plan have assets held for investment	2014-08-05	No
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	2014-08-05	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-08-05	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-08-05	Yes
Opinion of an independent qualified public accountant for this plan	2014-08-05	Disclaimer
Accountancy firm name	2014-08-05	HOOD & STRONG LLP
Accountancy firm EIN	2014-08-05	941254756
Total income from all sources (including contributions)	2014-06-30	$1,684,239
Total of all expenses incurred	2014-06-30	$8,584,149
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-06-30	$8,514,506
Expenses. Certain deemed distributions of participant loans	2014-06-30	$8,929
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-06-30	$-434
Value of total assets at end of year	2014-06-30	$4,248,339
Value of total assets at beginning of year	2014-06-30	$11,148,249
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-06-30	$60,714
Total interest from all sources	2014-06-30	$4,283
Total dividends received (eg from common stock, registered investment company shares)	2014-06-30	$206,082
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-06-30	$206,082
Administrative expenses professional fees incurred	2014-06-30	$21,768
Was this plan covered by a fidelity bond	2014-06-30	Yes
Value of fidelity bond cover	2014-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2014-06-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-06-30	$0
Funding deficiency by the employer to the plan for this plan year	2014-06-30	$0
Minimum employer required contribution for this plan year	2014-06-30	$0
Amount contributed by the employer to the plan for this plan year	2014-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2014-06-30	No
Participant contributions at beginning of year	2014-06-30	$111,734
Income. Received or receivable in cash from other sources (including rollovers)	2014-06-30	$-434
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-06-30	$434
Administrative expenses (other) incurred	2014-06-30	$31,818
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-06-30	No
Value of net income/loss	2014-06-30	$-6,899,910
Value of net assets at end of year (total assets less liabilities)	2014-06-30	$4,248,339
Value of net assets at beginning of year (total assets less liabilities)	2014-06-30	$11,148,249
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-06-30	No
Were any leases to which the plan was party in default or uncollectible	2014-06-30	No
Investment advisory and management fees	2014-06-30	$7,128
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-06-30	$4,232,275
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-06-30	$10,764,064
Value of interest in pooled separate accounts at end of year	2014-06-30	$16,064
Value of interest in pooled separate accounts at beginning of year	2014-06-30	$56,894
Interest on participant loans	2014-06-30	$4,267
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-06-30	$215,123
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-06-30	$215,123
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-06-30	$16
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-06-30	$1,473,929
Net investment gain/loss from pooled separate accounts	2014-06-30	$379
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-06-30	No
Was there a failure to transmit to the plan any participant contributions	2014-06-30	No
Has the plan failed to provide any benefit when due under the plan	2014-06-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-06-30	$8,514,506
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	2014-06-30	No
Did the plan have assets held for investment	2014-06-30	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	2014-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2014-06-30	Disclaimer
Accountancy firm name	2014-06-30	HOOD & STRONG LLP
Accountancy firm EIN	2014-06-30	941254756
2013 : ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2013 401k financial data
Total income from all sources (including contributions)	2013-06-30	$1,387,124
Total of all expenses incurred	2013-06-30	$2,081,367
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-06-30	$2,074,032
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-06-30	$33
Value of total assets at end of year	2013-06-30	$11,148,249
Value of total assets at beginning of year	2013-06-30	$11,842,492
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-06-30	$7,335
Total interest from all sources	2013-06-30	$6,797
Total dividends received (eg from common stock, registered investment company shares)	2013-06-30	$243,882
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-06-30	$243,882
Was this plan covered by a fidelity bond	2013-06-30	Yes
Value of fidelity bond cover	2013-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2013-06-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-06-30	$0
Funding deficiency by the employer to the plan for this plan year	2013-06-30	$0
Minimum employer required contribution for this plan year	2013-06-30	$0
Amount contributed by the employer to the plan for this plan year	2013-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2013-06-30	No
Participant contributions at end of year	2013-06-30	$111,734
Participant contributions at beginning of year	2013-06-30	$190,235
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-06-30	$434
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-06-30	$512
Administrative expenses (other) incurred	2013-06-30	$514
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-06-30	No
Value of net income/loss	2013-06-30	$-694,243
Value of net assets at end of year (total assets less liabilities)	2013-06-30	$11,148,249
Value of net assets at beginning of year (total assets less liabilities)	2013-06-30	$11,842,492
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-06-30	No
Were any leases to which the plan was party in default or uncollectible	2013-06-30	No
Investment advisory and management fees	2013-06-30	$6,821
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-06-30	$10,764,064
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-06-30	$11,410,930
Value of interest in pooled separate accounts at end of year	2013-06-30	$56,894
Value of interest in pooled separate accounts at beginning of year	2013-06-30	$41,187
Interest on participant loans	2013-06-30	$6,774
Interest earned on other investments	2013-06-30	$23
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-06-30	$215,123
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-06-30	$199,628
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-06-30	$199,628
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-06-30	$1,135,810
Net investment gain/loss from pooled separate accounts	2013-06-30	$602
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-06-30	No
Was there a failure to transmit to the plan any participant contributions	2013-06-30	No
Has the plan failed to provide any benefit when due under the plan	2013-06-30	No
Contributions received in cash from employer	2013-06-30	$33
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-06-30	$2,074,032
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	2013-06-30	No
Did the plan have assets held for investment	2013-06-30	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	2013-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2013-06-30	Disclaimer
Accountancy firm name	2013-06-30	HOOD & STRONG LLP
Accountancy firm EIN	2013-06-30	941254756
2012 : ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2012 401k financial data
Total income from all sources (including contributions)	2012-06-30	$290,301
Total of all expenses incurred	2012-06-30	$749,023
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-06-30	$670,819
Value of total assets at end of year	2012-06-30	$11,842,492
Value of total assets at beginning of year	2012-06-30	$12,301,214
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-06-30	$78,204
Total interest from all sources	2012-06-30	$9,855
Total dividends received (eg from common stock, registered investment company shares)	2012-06-30	$247,421
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-06-30	$247,421
Administrative expenses professional fees incurred	2012-06-30	$11,656
Was this plan covered by a fidelity bond	2012-06-30	Yes
Value of fidelity bond cover	2012-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2012-06-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-06-30	$0
Funding deficiency by the employer to the plan for this plan year	2012-06-30	$0
Minimum employer required contribution for this plan year	2012-06-30	$0
Amount contributed by the employer to the plan for this plan year	2012-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2012-06-30	No
Participant contributions at end of year	2012-06-30	$190,235
Participant contributions at beginning of year	2012-06-30	$179,137
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-06-30	$512
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-06-30	$356
Administrative expenses (other) incurred	2012-06-30	$50,814
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-06-30	No
Value of net income/loss	2012-06-30	$-458,722
Value of net assets at end of year (total assets less liabilities)	2012-06-30	$11,842,492
Value of net assets at beginning of year (total assets less liabilities)	2012-06-30	$12,301,214
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-06-30	No
Were any leases to which the plan was party in default or uncollectible	2012-06-30	No
Investment advisory and management fees	2012-06-30	$15,734
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-06-30	$11,410,930
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-06-30	$11,910,679
Value of interest in pooled separate accounts at end of year	2012-06-30	$41,187
Value of interest in pooled separate accounts at beginning of year	2012-06-30	$154,860
Interest on participant loans	2012-06-30	$9,838
Interest earned on other investments	2012-06-30	$17
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-06-30	$199,628
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-06-30	$56,182
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-06-30	$56,182
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-06-30	$30,713
Net investment gain/loss from pooled separate accounts	2012-06-30	$2,312
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-06-30	No
Was there a failure to transmit to the plan any participant contributions	2012-06-30	No
Has the plan failed to provide any benefit when due under the plan	2012-06-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-06-30	$670,819
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	2012-06-30	No
Did the plan have assets held for investment	2012-06-30	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	2012-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2012-06-30	Disclaimer
Accountancy firm name	2012-06-30	HOOD & STRONG LLP
Accountancy firm EIN	2012-06-30	941254756
2011 : ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2011 401k financial data
Total income from all sources (including contributions)	2011-06-30	$2,095,006
Total of all expenses incurred	2011-06-30	$695,216
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-06-30	$694,691
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-06-30	$1,498
Value of total assets at end of year	2011-06-30	$12,301,214
Value of total assets at beginning of year	2011-06-30	$10,901,424
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-06-30	$525
Total interest from all sources	2011-06-30	$8,365
Total dividends received (eg from common stock, registered investment company shares)	2011-06-30	$243,785
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-06-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-06-30	$243,785
Was this plan covered by a fidelity bond	2011-06-30	Yes
Value of fidelity bond cover	2011-06-30	$1,000,000
If this is an individual account plan, was there a blackout period	2011-06-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2011-06-30	No
Participant contributions at end of year	2011-06-30	$179,137
Participant contributions at beginning of year	2011-06-30	$153,992
Income. Received or receivable in cash from other sources (including rollovers)	2011-06-30	$1,498
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-06-30	$356
Administrative expenses (other) incurred	2011-06-30	$525
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-06-30	No
Value of net income/loss	2011-06-30	$1,399,790
Value of net assets at end of year (total assets less liabilities)	2011-06-30	$12,301,214
Value of net assets at beginning of year (total assets less liabilities)	2011-06-30	$10,901,424
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-06-30	No
Were any leases to which the plan was party in default or uncollectible	2011-06-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-06-30	$11,910,679
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-06-30	$9,421,277
Value of interest in pooled separate accounts at end of year	2011-06-30	$154,860
Interest on participant loans	2011-06-30	$8,361
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-06-30	$56,182
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-06-30	$123,573
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-06-30	$123,573
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-06-30	$4
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-06-30	$1,835,239
Net investment gain/loss from pooled separate accounts	2011-06-30	$6,119
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-06-30	No
Was there a failure to transmit to the plan any participant contributions	2011-06-30	No
Has the plan failed to provide any benefit when due under the plan	2011-06-30	No
Employer contributions (assets) at beginning of year	2011-06-30	$1,202,582
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-06-30	$694,691
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	2011-06-30	No
Did the plan have assets held for investment	2011-06-30	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	2011-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2011-06-30	Disclaimer
Accountancy firm name	2011-06-30	HOOD & STRONG LLP
Accountancy firm EIN	2011-06-30	941254756
2010 : ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2010 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-06-30	$0
Funding deficiency by the employer to the plan for this plan year	2010-06-30	$0
Minimum employer required contribution for this plan year	2010-06-30	$1,403,930
Amount contributed by the employer to the plan for this plan year	2010-06-30	$1,403,930

Form 5500 Responses for ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN

2014: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2014 form 5500 responses
2014-07-01	Type of plan entity	Single employer plan
2014-07-01	This submission is the final filing	Yes
2014-07-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2014-07-01	Plan funding arrangement – Insurance	Yes
2014-07-01	Plan funding arrangement – Trust	Yes
2014-07-01	Plan benefit arrangement – Insurance	Yes
2014-07-01	Plan benefit arrangement - Trust	Yes
2013: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2013 form 5500 responses
2013-07-01	Type of plan entity	Single employer plan
2013-07-01	Plan funding arrangement – Insurance	Yes
2013-07-01	Plan funding arrangement – Trust	Yes
2013-07-01	Plan benefit arrangement – Insurance	Yes
2013-07-01	Plan benefit arrangement - Trust	Yes
2012: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2012 form 5500 responses
2012-07-01	Type of plan entity	Single employer plan
2012-07-01	Plan funding arrangement – Insurance	Yes
2012-07-01	Plan funding arrangement – Trust	Yes
2012-07-01	Plan benefit arrangement – Insurance	Yes
2012-07-01	Plan benefit arrangement - Trust	Yes
2011: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2011 form 5500 responses
2011-07-01	Type of plan entity	Single employer plan
2011-07-01	Plan funding arrangement – Insurance	Yes
2011-07-01	Plan funding arrangement – Trust	Yes
2011-07-01	Plan benefit arrangement – Insurance	Yes
2011-07-01	Plan benefit arrangement - Trust	Yes
2010: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2010 form 5500 responses
2010-07-01	Type of plan entity	Single employer plan
2010-07-01	Plan funding arrangement – Insurance	Yes
2010-07-01	Plan funding arrangement – Trust	Yes
2010-07-01	Plan benefit arrangement – Insurance	Yes
2010-07-01	Plan benefit arrangement - Trust	Yes
2009: ERNEST GALLO CLINIC AND RESEARCH CENTER RETIREMENT PLAN 2009 form 5500 responses
2009-07-01	Type of plan entity	Single employer plan
2009-07-01	Plan funding arrangement – Trust	Yes
2009-07-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

TT080352

Policy instance

Insurance contract or identification number	TT080352
Number of Individuals Covered	0
Insurance policy start date	2014-07-01
Insurance policy end date	2014-08-05
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

TT080352

Policy instance

Insurance contract or identification number	TT080352
Number of Individuals Covered	112
Insurance policy start date	2013-07-01
Insurance policy end date	2014-06-30
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

TT080352

Policy instance

Insurance contract or identification number	TT080352
Number of Individuals Covered	125
Insurance policy start date	2012-07-01
Insurance policy end date	2013-06-30
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

TT080352

Policy instance

Insurance contract or identification number	TT080352
Number of Individuals Covered	145
Insurance policy start date	2011-07-01
Insurance policy end date	2012-06-30
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

TRANSAMERICA FINANCIAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 70688 )

Policy contract number

TT080352

Policy instance

Insurance contract or identification number	TT080352
Number of Individuals Covered	167
Insurance policy start date	2010-07-01
Insurance policy end date	2011-06-30
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Company Name:	ERNEST GALLO CLINIC AND RESEARCH CENTER
Employer identification number (EIN):	942697305
NAIC Classification:	622000
NAIC Description:	Hospitals

Jurisdiction of Incorporation:	California Department of State
Incorporation Date:	1980-09-29
Company Identification Number:	C1003685
Legal Registered Office Address:	5858 Horton Street, Suite 200 Emeryville United States of America (USA) 94608