401k Plan data: FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN plan

FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN 401k Plan overview

Plan Name	FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN
Plan identification number	001

FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
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.
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

FERRARI-CARANO VINEYARDS & WINERY has sponsored the creation of one or more 401k plans.

Company Name: FERRARI-CARANO VINEYARDS & WINERY

Employer identification number (EIN): 942899409

NAIC Classification: 312130
NAIC Description: Wineries

Form 5500 Filing Information

Submission information for form 5500 for 401k plan FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2020-01-01 DAVID JAMES 2021-10-08 DAVID JAMES 2021-10-08
001 2019-01-01 DAVID JAMES 2020-10-13 DAVID JAMES 2020-10-13
001 2018-01-01 DAVID JAMES 2019-10-08 DAVID JAMES 2019-10-08
001 2017-07-18

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2020-01-01	DAVID JAMES	2021-10-08	DAVID JAMES	2021-10-08
001	2019-01-01	DAVID JAMES	2020-10-13	DAVID JAMES	2020-10-13
001	2018-01-01	DAVID JAMES	2019-10-08	DAVID JAMES	2019-10-08
001	2017-07-18

Plan Statistics for FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN

401k plan membership statisitcs for FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN

Measure Date Value
2020: FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 568
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 25
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 199
Total of all active and inactive participants 2020-01-01 224
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 224
Number of participants with account balances 2020-01-01 222
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 548
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 390
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 115
Total of all active and inactive participants 2019-01-01 505
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 505
Number of participants with account balances 2019-01-01 425
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 60
2018: FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 463
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 431
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 45
Total of all active and inactive participants 2018-01-01 476
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 476
Number of participants with account balances 2018-01-01 362
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 34
2017: FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN 2017 401k membership
Total participants, beginning-of-year 2017-07-18 484
Total number of active participants reported on line 7a of the Form 5500 2017-07-18 426
Number of retired or separated participants receiving benefits 2017-07-18 0
Number of other retired or separated participants entitled to future benefits 2017-07-18 58
Total of all active and inactive participants 2017-07-18 484
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-07-18 0
Total participants 2017-07-18 484
Number of participants with account balances 2017-07-18 322
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-07-18 45

Measure	Date	Value
2020: FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	568
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	25
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	199
Total of all active and inactive participants	2020-01-01	224
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	224
Number of participants with account balances	2020-01-01	222
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	548
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	390
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	115
Total of all active and inactive participants	2019-01-01	505
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	505
Number of participants with account balances	2019-01-01	425
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	60
2018: FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	463
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	431
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	45
Total of all active and inactive participants	2018-01-01	476
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	476
Number of participants with account balances	2018-01-01	362
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	34
2017: FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN 2017 401k membership
Total participants, beginning-of-year	2017-07-18	484
Total number of active participants reported on line 7a of the Form 5500	2017-07-18	426
Number of retired or separated participants receiving benefits	2017-07-18	0
Number of other retired or separated participants entitled to future benefits	2017-07-18	58
Total of all active and inactive participants	2017-07-18	484
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-07-18	0
Total participants	2017-07-18	484
Number of participants with account balances	2017-07-18	322
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-07-18	45

Financial Data on FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN

Measure	Date	Value
2020 : FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN 2020 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$187
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$1,208
Total income from all sources (including contributions)	2020-12-31	$2,393,115
Total of all expenses incurred	2020-12-31	$16,546,265
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$16,350,918
Value of total corrective distributions	2020-12-31	$51,607
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$1,302,238
Value of total assets at end of year	2020-12-31	$5,062,368
Value of total assets at beginning of year	2020-12-31	$19,216,539
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$143,740
Total interest from all sources	2020-12-31	$16,853
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$19,268
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$19,268
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$1,046,653
Participant contributions at end of year	2020-12-31	$21,873
Participant contributions at beginning of year	2020-12-31	$368,975
Participant contributions at end of year	2020-12-31	$668
Assets. Other investments not covered elsewhere at end of year	2020-12-31	$68,016
Assets. Other investments not covered elsewhere at beginning of year	2020-12-31	$78,723
Other income not declared elsewhere	2020-12-31	$370
Liabilities. Value of operating payables at end of year	2020-12-31	$187
Liabilities. Value of operating payables at beginning of year	2020-12-31	$820
Total non interest bearing cash at end of year	2020-12-31	$370
Total non interest bearing cash at beginning of year	2020-12-31	$429
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$-14,153,150
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$5,062,181
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$19,215,331
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Investment advisory and management fees	2020-12-31	$143,740
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$4,583,009
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$16,631,106
Interest on participant loans	2020-12-31	$16,853
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-12-31	$70,572
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-12-31	$46,110
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-12-31	$46,110
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$317,860
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$2,091,196
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$1,054,386
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$255,585
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$16,350,918
Liabilities. Value of benefit claims payable at beginning of year	2020-12-31	$388
Did the plan have assets held for investment	2020-12-31	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	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	LEE CPA AUDIT GROUP
Accountancy firm EIN	2020-12-31	814637885
2019 : FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN 2019 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$1,208
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$1,208
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$37,801
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$37,801
Total income from all sources (including contributions)	2019-12-31	$4,876,662
Total income from all sources (including contributions)	2019-12-31	$4,876,662
Total of all expenses incurred	2019-12-31	$707,403
Total of all expenses incurred	2019-12-31	$707,403
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$570,982
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$570,982
Expenses. Certain deemed distributions of participant loans	2019-12-31	$656
Expenses. Certain deemed distributions of participant loans	2019-12-31	$656
Value of total corrective distributions	2019-12-31	$3,315
Value of total corrective distributions	2019-12-31	$3,315
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$1,752,146
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$1,752,146
Value of total assets at end of year	2019-12-31	$19,216,539
Value of total assets at end of year	2019-12-31	$19,216,539
Value of total assets at beginning of year	2019-12-31	$15,083,873
Value of total assets at beginning of year	2019-12-31	$15,083,873
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$132,450
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$132,450
Total interest from all sources	2019-12-31	$23,912
Total interest from all sources	2019-12-31	$23,912
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$123,483
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$123,483
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$123,483
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$123,483
Administrative expenses professional fees incurred	2019-12-31	$3,146
Administrative expenses professional fees incurred	2019-12-31	$3,146
Was this plan covered by a fidelity bond	2019-12-31	No
Was this plan covered by a fidelity bond	2019-12-31	No
If this is an individual account plan, was there a blackout period	2019-12-31	No
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$1,294,841
Contributions received from participants	2019-12-31	$1,294,841
Participant contributions at end of year	2019-12-31	$368,975
Participant contributions at end of year	2019-12-31	$368,975
Participant contributions at beginning of year	2019-12-31	$439,629
Participant contributions at beginning of year	2019-12-31	$439,629
Participant contributions at beginning of year	2019-12-31	$0
Participant contributions at beginning of year	2019-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2019-12-31	$78,723
Assets. Other investments not covered elsewhere at end of year	2019-12-31	$78,723
Assets. Other investments not covered elsewhere at beginning of year	2019-12-31	$115,170
Assets. Other investments not covered elsewhere at beginning of year	2019-12-31	$115,170
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$57,341
Other income not declared elsewhere	2019-12-31	$38,502
Other income not declared elsewhere	2019-12-31	$38,502
Liabilities. Value of operating payables at end of year	2019-12-31	$820
Liabilities. Value of operating payables at end of year	2019-12-31	$820
Liabilities. Value of operating payables at beginning of year	2019-12-31	$207
Liabilities. Value of operating payables at beginning of year	2019-12-31	$207
Total non interest bearing cash at end of year	2019-12-31	$429
Total non interest bearing cash at end of year	2019-12-31	$429
Total non interest bearing cash at beginning of year	2019-12-31	$13
Total non interest bearing cash at beginning of year	2019-12-31	$13
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	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	2019-12-31	No
Value of net income/loss	2019-12-31	$4,169,259
Value of net income/loss	2019-12-31	$4,169,259
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$19,215,331
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$19,215,331
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$15,046,072
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$15,046,072
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$16,631,106
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$16,631,106
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$13,470,479
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$13,470,479
Interest on participant loans	2019-12-31	$23,912
Interest on participant loans	2019-12-31	$23,912
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$46,110
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$46,110
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$33,657
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$33,657
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$33,657
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$33,657
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$2,091,196
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$2,091,196
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$1,024,925
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$1,024,925
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$2,938,619
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$2,938,619
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2019-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$399,964
Contributions received in cash from employer	2019-12-31	$399,964
Employer contributions (assets) at beginning of year	2019-12-31	$0
Employer contributions (assets) at beginning of year	2019-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$570,982
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$570,982
Contract administrator fees	2019-12-31	$129,304
Contract administrator fees	2019-12-31	$129,304
Liabilities. Value of benefit claims payable at end of year	2019-12-31	$388
Liabilities. Value of benefit claims payable at end of year	2019-12-31	$388
Liabilities. Value of benefit claims payable at beginning of year	2019-12-31	$37,594
Liabilities. Value of benefit claims payable at beginning of year	2019-12-31	$37,594
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	LEE CPA AUDIT GROUP
Accountancy firm name	2019-12-31	LEE CPA AUDIT GROUP
Accountancy firm EIN	2019-12-31	814637885
Accountancy firm EIN	2019-12-31	814637885
2018 : FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN 2018 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$37,801
Total income from all sources (including contributions)	2018-12-31	$989,710
Total of all expenses incurred	2018-12-31	$698,743
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$517,540
Expenses. Certain deemed distributions of participant loans	2018-12-31	$1,274
Value of total corrective distributions	2018-12-31	$37,206
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$1,622,172
Value of total assets at end of year	2018-12-31	$15,083,873
Value of total assets at beginning of year	2018-12-31	$14,755,105
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$142,723
Total interest from all sources	2018-12-31	$23,788
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Administrative expenses professional fees incurred	2018-12-31	$32,605
Was this plan covered by a fidelity bond	2018-12-31	No
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$1,182,627
Participant contributions at end of year	2018-12-31	$439,629
Participant contributions at beginning of year	2018-12-31	$392,985
Participant contributions at end of year	2018-12-31	$0
Participant contributions at beginning of year	2018-12-31	$417
Assets. Other investments not covered elsewhere at end of year	2018-12-31	$115,170
Assets. Other investments not covered elsewhere at beginning of year	2018-12-31	$59,902
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$50,477
Liabilities. Value of operating payables at end of year	2018-12-31	$207
Total non interest bearing cash at end of year	2018-12-31	$13
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$290,967
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$15,046,072
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$14,755,105
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$13,470,479
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$13,427,125
Interest on participant loans	2018-12-31	$23,788
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-12-31	$33,657
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$1,024,925
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$873,756
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-656,250
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$389,068
Employer contributions (assets) at end of year	2018-12-31	$0
Employer contributions (assets) at beginning of year	2018-12-31	$920
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$517,540
Contract administrator fees	2018-12-31	$110,118
Liabilities. Value of benefit claims payable at end of year	2018-12-31	$37,594
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	LEE CPA AUDIT GROUP
Accountancy firm EIN	2018-12-31	814637885
2017 : FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN 2017 401k financial data
Total transfer of assets to this plan	2017-12-31	$14,323,732
Total income from all sources (including contributions)	2017-12-31	$1,565,437
Total of all expenses incurred	2017-12-31	$1,134,064
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$1,099,762
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$715,742
Value of total assets at end of year	2017-12-31	$14,755,105
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$34,302
Total interest from all sources	2017-12-31	$20,983
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Administrative expenses professional fees incurred	2017-12-31	$7,097
Was this plan covered by a fidelity bond	2017-12-31	No
If this is an individual account plan, was there a blackout period	2017-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$501,448
Participant contributions at end of year	2017-12-31	$392,985
Participant contributions at end of year	2017-12-31	$417
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$59,902
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$57,888
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$431,373
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$14,755,105
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Investment advisory and management fees	2017-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$13,427,125
Interest on participant loans	2017-12-31	$7,262
Interest earned on other investments	2017-12-31	$13,721
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$873,756
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$828,712
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$156,406
Employer contributions (assets) at end of year	2017-12-31	$920
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$1,099,762
Contract administrator fees	2017-12-31	$27,205
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	2017-12-31	Yes
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No

Form 5500 Responses for FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN

2020: FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: FERRARI-CARANO WINERY & VINTNERS INN 401K PLAN 2017 form 5500 responses
2017-07-18	Type of plan entity	Single employer plan
2017-07-18	First time form 5500 has been submitted	Yes
2017-07-18	Submission has been amended	No
2017-07-18	This submission is the final filing	No
2017-07-18	This return/report is a short plan year return/report (less than 12 months)	Yes
2017-07-18	Plan is a collectively bargained plan	No
2017-07-18	Plan funding arrangement – Insurance	Yes
2017-07-18	Plan funding arrangement – Trust	Yes
2017-07-18	Plan benefit arrangement – Insurance	Yes
2017-07-18	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 62598 - 1

Policy instance

Insurance contract or identification number	MR 62598 - 1
Number of Individuals Covered	129
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
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

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 62598 - 1

Policy instance

Insurance contract or identification number	MR 62598 - 1
Number of Individuals Covered	425
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
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

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 62598 - 1

Policy instance

Insurance contract or identification number	MR 62598 - 1
Number of Individuals Covered	392
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
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

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 62598 - 1

Policy instance

Insurance contract or identification number	MR 62598 - 1
Number of Individuals Covered	359
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
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

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Company Name:	FERRARI-CARANO VINEYARDS & WINERY
Employer identification number (EIN):	942899409
NAIC Classification:	312130
NAIC Description:	Wineries