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RETIREMENT PLAN FOR UNION EMPLOYEES OF DIAGEO NORTH AMERICA, INC. 401k Plan overview

Plan NameRETIREMENT PLAN FOR UNION EMPLOYEES OF DIAGEO NORTH AMERICA, INC.
Plan identification number 003

RETIREMENT PLAN FOR UNION EMPLOYEES OF DIAGEO NORTH AMERICA, INC. Benefits

401k Plan TypeDefined Benefit Pension
Plan Features/Benefits
  • Benefits are primarily pay related
  • Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).
  • 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.
  • Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

DIAGEO NORTH AMERICA, INC. has sponsored the creation of one or more 401k plans.

Company Name:DIAGEO NORTH AMERICA, INC.
Employer identification number (EIN):061067908
NAIC Classification:312140
NAIC Description:Distilleries

Additional information about DIAGEO NORTH AMERICA, INC.

Jurisdiction of Incorporation: Texas Secretary of State
Incorporation Date: 1982-11-01
Company Identification Number: 0005648806
Legal Registered Office Address: 175 GREENWICH ST

NEW YORK
United States of America (USA)
10007

More information about DIAGEO NORTH AMERICA, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RETIREMENT PLAN FOR UNION EMPLOYEES OF DIAGEO NORTH AMERICA, INC.

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0032011-01-01LORRAINE EDDMONDS
0032010-07-31GREGORY FUNK2011-10-14 NADIA OWENS2011-10-14
0032010-01-01GREGORY FUNK
0032009-01-01GREGORY FUNK NADIA OWENS2010-10-14

Plan Statistics for RETIREMENT PLAN FOR UNION EMPLOYEES OF DIAGEO NORTH AMERICA, INC.

401k plan membership statisitcs for RETIREMENT PLAN FOR UNION EMPLOYEES OF DIAGEO NORTH AMERICA, INC.

Measure Date Value
2011: RETIREMENT PLAN FOR UNION EMPLOYEES OF DIAGEO NORTH AMERICA, INC. 2011 401k membership
Total participants, beginning-of-year2011-01-01858
Total number of active participants reported on line 7a of the Form 55002011-01-010
Number of retired or separated participants receiving benefits2011-01-010
Number of other retired or separated participants entitled to future benefits2011-01-010
Total of all active and inactive participants2011-01-010
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2011-01-010
Total participants2011-01-010
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2011-01-010
2010: RETIREMENT PLAN FOR UNION EMPLOYEES OF DIAGEO NORTH AMERICA, INC. 2010 401k membership
Total participants, beginning-of-year2010-01-01892
Total number of active participants reported on line 7a of the Form 55002010-01-01121
Number of retired or separated participants receiving benefits2010-01-01420
Number of other retired or separated participants entitled to future benefits2010-01-01190
Total of all active and inactive participants2010-01-01731
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2010-01-01127
Total participants2010-01-01858
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2010-01-018
2009: RETIREMENT PLAN FOR UNION EMPLOYEES OF DIAGEO NORTH AMERICA, INC. 2009 401k membership
Total participants, beginning-of-year2009-01-01919
Total number of active participants reported on line 7a of the Form 55002009-01-01138
Number of retired or separated participants receiving benefits2009-01-01426
Number of other retired or separated participants entitled to future benefits2009-01-01202
Total of all active and inactive participants2009-01-01766
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2009-01-01126
Total participants2009-01-01892
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2009-01-012

Financial Data on RETIREMENT PLAN FOR UNION EMPLOYEES OF DIAGEO NORTH AMERICA, INC.

Measure Date Value
2011 : RETIREMENT PLAN FOR UNION EMPLOYEES OF DIAGEO NORTH AMERICA, INC. 2011 401k financial data
Total unrealized appreciation/depreciation of assets2011-12-31$0
Total transfer of assets from this plan2011-12-31$88,986,711
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2011-12-31$178,989
Total income from all sources (including contributions)2011-12-31$11,701
Total loss/gain on sale of assets2011-12-31$0
Total of all expenses incurred2011-12-31$3,148,854
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2011-12-31$3,148,854
Total contributions o plan (from employers,participants, others, non cash contrinutions)2011-12-31$0
Value of total assets at end of year2011-12-31$0
Value of total assets at beginning of year2011-12-31$92,302,853
Total of administrative expenses incurred including professional, contract, advisory and management fees2011-12-31$0
Total interest from all sources2011-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2011-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2011-12-31Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan2011-12-31$0
Was this plan covered by a fidelity bond2011-12-31Yes
Value of fidelity bond cover2011-12-31$72,000,000
If this is an individual account plan, was there a blackout period2011-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2011-12-31$0
Were there any nonexempt tranactions with any party-in-interest2011-12-31No
Liabilities. Value of operating payables at end of year2011-12-31$0
Liabilities. Value of operating payables at beginning of year2011-12-31$178,989
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Value of net income/loss2011-12-31$-3,137,153
Value of net assets at end of year (total assets less liabilities)2011-12-31$0
Value of net assets at beginning of year (total assets less liabilities)2011-12-31$92,123,864
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2011-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2011-12-31No
Were any leases to which the plan was party in default or uncollectible2011-12-31No
Value of interest in master investment trust accounts at end of year2011-12-31$0
Value of interest in master investment trust accounts at beginning of year2011-12-31$92,302,853
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2011-12-31No
Was there a failure to transmit to the plan any participant contributions2011-12-31No
Has the plan failed to provide any benefit when due under the plan2011-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2011-12-31$3,148,854
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32011-12-31No
Did the plan have assets held for investment2011-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2011-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2011-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2011-12-31Yes
Opinion of an independent qualified public accountant for this plan2011-12-31Disclaimer
Accountancy firm name2011-12-31KPMG LLP
Accountancy firm EIN2011-12-31135565207
2010 : RETIREMENT PLAN FOR UNION EMPLOYEES OF DIAGEO NORTH AMERICA, INC. 2010 401k financial data
Total unrealized appreciation/depreciation of assets2010-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$178,989
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2010-12-31$138,031
Total income from all sources (including contributions)2010-12-31$10,621,472
Total loss/gain on sale of assets2010-12-31$0
Total of all expenses incurred2010-12-31$2,493,806
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2010-12-31$2,493,806
Total contributions o plan (from employers,participants, others, non cash contrinutions)2010-12-31$0
Value of total assets at end of year2010-12-31$92,302,853
Value of total assets at beginning of year2010-12-31$84,134,229
Total of administrative expenses incurred including professional, contract, advisory and management fees2010-12-31$0
Total interest from all sources2010-12-31$0
Total dividends received (eg from common stock, registered investment company shares)2010-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2010-12-31No
Was this plan covered by a fidelity bond2010-12-31Yes
Value of fidelity bond cover2010-12-31$72,000,000
If this is an individual account plan, was there a blackout period2010-12-31No
Were there any nonexempt tranactions with any party-in-interest2010-12-31No
Liabilities. Value of operating payables at end of year2010-12-31$178,989
Liabilities. Value of operating payables at beginning of year2010-12-31$138,031
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Value of net income/loss2010-12-31$8,127,666
Value of net assets at end of year (total assets less liabilities)2010-12-31$92,123,864
Value of net assets at beginning of year (total assets less liabilities)2010-12-31$83,996,198
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2010-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2010-12-31No
Were any leases to which the plan was party in default or uncollectible2010-12-31No
Value of interest in master investment trust accounts at end of year2010-12-31$92,302,853
Value of interest in master investment trust accounts at beginning of year2010-12-31$84,134,229
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2010-12-31No
Was there a failure to transmit to the plan any participant contributions2010-12-31No
Has the plan failed to provide any benefit when due under the plan2010-12-31No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2010-12-31$2,493,806
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-32010-12-31No
Did the plan have assets held for investment2010-12-31No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2010-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2010-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2010-12-31Yes
Opinion of an independent qualified public accountant for this plan2010-12-31Disclaimer
Accountancy firm name2010-12-31KPMG LLP
Accountancy firm EIN2010-12-31135565207
2009 : RETIREMENT PLAN FOR UNION EMPLOYEES OF DIAGEO NORTH AMERICA, INC. 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2009-12-31$0

Form 5500 Responses for RETIREMENT PLAN FOR UNION EMPLOYEES OF DIAGEO NORTH AMERICA, INC.

2011: RETIREMENT PLAN FOR UNION EMPLOYEES OF DIAGEO NORTH AMERICA, INC. 2011 form 5500 responses
2011-01-01Type of plan entitySingle employer plan
2011-01-01Submission has been amendedYes
2011-01-01This submission is the final filingYes
2011-01-01This return/report is a short plan year return/report (less than 12 months)No
2011-01-01Plan is a collectively bargained planYes
2011-01-01Plan funding arrangement – TrustYes
2011-01-01Plan benefit arrangement - TrustYes
2010: RETIREMENT PLAN FOR UNION EMPLOYEES OF DIAGEO NORTH AMERICA, INC. 2010 form 5500 responses
2010-01-01Type of plan entitySingle employer plan
2010-01-01Submission has been amendedYes
2010-01-01This submission is the final filingNo
2010-01-01This return/report is a short plan year return/report (less than 12 months)No
2010-01-01Plan is a collectively bargained planYes
2010-01-01Plan funding arrangement – TrustYes
2010-01-01Plan benefit arrangement - TrustYes
2009: RETIREMENT PLAN FOR UNION EMPLOYEES OF DIAGEO NORTH AMERICA, INC. 2009 form 5500 responses
2009-01-01Type of plan entitySingle employer plan
2009-01-01Submission has been amendedNo
2009-01-01This submission is the final filingNo
2009-01-01This return/report is a short plan year return/report (less than 12 months)No
2009-01-01Plan is a collectively bargained planYes
2009-01-01Plan funding arrangement – TrustYes
2009-01-01Plan benefit arrangement - TrustYes

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