401k Plan data: CALISTOGA PHARMACEUTICALS, INC 401K PLAN plan

CALISTOGA PHARMACEUTICALS, INC 401K PLAN 401k Plan overview

Plan Name	CALISTOGA PHARMACEUTICALS, INC 401K PLAN
Plan identification number	001

CALISTOGA PHARMACEUTICALS, INC 401K PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
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

CALISTOGA PHARMACEUTICALS, INC has sponsored the creation of one or more 401k plans.

Company Name: CALISTOGA PHARMACEUTICALS, INC

Employer identification number (EIN): 205056247

NAIC Classification: 541700

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CALISTOGA PHARMACEUTICALS, INC 401K PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2012-01-01 STEFANIA ATTARD
001 2011-01-01 DIANE TANGUAY
001 2010-01-01 DIANE TANGUAY
001 2009-01-01 TOM SWALLOW
001 2009-01-01 TOM SWALLOW 2010-07-20
001 2007-06-01 DIANE TANGUAY

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2012-01-01	STEFANIA ATTARD
001	2011-01-01	DIANE TANGUAY
001	2010-01-01	DIANE TANGUAY
001	2009-01-01	TOM SWALLOW
001	2009-01-01		TOM SWALLOW	2010-07-20
001	2007-06-01	DIANE TANGUAY

Plan Statistics for CALISTOGA PHARMACEUTICALS, INC 401K PLAN

401k plan membership statisitcs for CALISTOGA PHARMACEUTICALS, INC 401K PLAN

Measure Date Value
2012: CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 0
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 0
Number of participants with account balances 2012-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 27
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 2
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 7
Total of all active and inactive participants 2011-01-01 9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 9
Number of participants with account balances 2011-01-01 9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 22
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 23
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 4
Total of all active and inactive participants 2010-01-01 27
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 27
Number of participants with account balances 2010-01-01 27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 20
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 21
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 1
Total of all active and inactive participants 2009-01-01 22
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 22
Number of participants with account balances 2009-01-01 22
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0
2007: CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2007 401k membership
Total participants, beginning-of-year 2007-06-01 21
Total number of active participants reported on line 7a of the Form 5500 2007-06-01 21
Number of retired or separated participants receiving benefits 2007-06-01 0
Number of other retired or separated participants entitled to future benefits 2007-06-01 0
Total of all active and inactive participants 2007-06-01 21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2007-06-01 0
Total participants 2007-06-01 21
Number of participants with account balances 2007-06-01 18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2007-06-01 0

Measure	Date	Value
2012: CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	0
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	0
Number of participants with account balances	2012-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	27
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	2
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	7
Total of all active and inactive participants	2011-01-01	9
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	9
Number of participants with account balances	2011-01-01	9
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	22
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	23
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	4
Total of all active and inactive participants	2010-01-01	27
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	27
Number of participants with account balances	2010-01-01	27
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	20
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	21
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	1
Total of all active and inactive participants	2009-01-01	22
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	22
Number of participants with account balances	2009-01-01	22
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0
2007: CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2007 401k membership
Total participants, beginning-of-year	2007-06-01	21
Total number of active participants reported on line 7a of the Form 5500	2007-06-01	21
Number of retired or separated participants receiving benefits	2007-06-01	0
Number of other retired or separated participants entitled to future benefits	2007-06-01	0
Total of all active and inactive participants	2007-06-01	21
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2007-06-01	0
Total participants	2007-06-01	21
Number of participants with account balances	2007-06-01	18
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2007-06-01	0

Financial Data on CALISTOGA PHARMACEUTICALS, INC 401K PLAN

Measure	Date	Value
2012 : CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2012 401k financial data
Total income from all sources	2012-06-06	$8,248
Expenses. Total of all expenses incurred	2012-06-06	$345,631
Benefits paid (including direct rollovers)	2012-06-06	$345,622
Total plan assets at end of year	2012-06-06	$0
Total plan assets at beginning of year	2012-06-06	$337,383
Value of fidelity bond covering the plan	2012-06-06	$1,000,000
Other income received	2012-06-06	$8,248
Net income (gross income less expenses)	2012-06-06	$-337,383
Net plan assets at end of year (total assets less liabilities)	2012-06-06	$0
Net plan assets at beginning of year (total assets less liabilities)	2012-06-06	$337,383
Assets. Value of participant loans	2012-06-06	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-06-06	$9
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-06-06	$0
2011 : CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$165,719
Expenses. Total of all expenses incurred	2011-12-31	$1,044,193
Benefits paid (including direct rollovers)	2011-12-31	$1,023,985
Total plan assets at end of year	2011-12-31	$337,383
Total plan assets at beginning of year	2011-12-31	$1,215,857
Value of fidelity bond covering the plan	2011-12-31	$1,000,000
Total contributions received or receivable from participants	2011-12-31	$220,804
Other income received	2011-12-31	$-113,976
Net income (gross income less expenses)	2011-12-31	$-878,474
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$337,383
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,215,857
Assets. Value of participant loans	2011-12-31	$15,200
Total contributions received or receivable from employer(s)	2011-12-31	$58,891
Value of corrective distributions	2011-12-31	$20,206
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$2
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$597,620
Expenses. Total of all expenses incurred	2010-12-31	$200,881
Benefits paid (including direct rollovers)	2010-12-31	$200,806
Total plan assets at end of year	2010-12-31	$1,215,857
Total plan assets at beginning of year	2010-12-31	$819,118
Value of fidelity bond covering the plan	2010-12-31	$25,000
Total contributions received or receivable from participants	2010-12-31	$318,269
Other income received	2010-12-31	$154,394
Net income (gross income less expenses)	2010-12-31	$396,739
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,215,857
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$819,118
Assets. Value of participant loans	2010-12-31	$18,738
Total contributions received or receivable from employer(s)	2010-12-31	$124,957
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$75
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2008 : CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2008 401k financial data
Total income from all sources	2008-12-31	$217,936
Expenses. Total of all expenses incurred	2008-12-31	$31,990
Benefits paid (including direct rollovers)	2008-12-31	$31,990
Total plan assets at end of year	2008-12-31	$304,342
Total plan assets at beginning of year	2008-12-31	$118,396
Value of fidelity bond covering the plan	2008-12-31	$25,000
Total contributions received or receivable from participants	2008-12-31	$260,056
Other income received	2008-12-31	$-124,471
Net income (gross income less expenses)	2008-12-31	$185,946
Net plan assets at end of year (total assets less liabilities)	2008-12-31	$304,342
Net plan assets at beginning of year (total assets less liabilities)	2008-12-31	$118,396
Total contributions received or receivable from employer(s)	2008-12-31	$82,351
2007 : CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2007 401k financial data
Total income from all sources	2007-12-31	$118,396
Expenses. Total of all expenses incurred	2007-12-31	$0
Total plan assets at end of year	2007-12-31	$118,396
Total plan assets at beginning of year	2007-12-31	$0
Value of fidelity bond covering the plan	2007-12-31	$25,000
Total contributions received or receivable from participants	2007-12-31	$90,973
Other income received	2007-12-31	$-397
Net income (gross income less expenses)	2007-12-31	$118,396
Net plan assets at end of year (total assets less liabilities)	2007-12-31	$118,396
Net plan assets at beginning of year (total assets less liabilities)	2007-12-31	$0
Total contributions received or receivable from employer(s)	2007-12-31	$27,820

Form 5500 Responses for CALISTOGA PHARMACEUTICALS, INC 401K PLAN

2012: CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	Yes
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes
2007: CALISTOGA PHARMACEUTICALS, INC 401K PLAN 2007 form 5500 responses
2007-06-01	Type of plan entity	Single employer plan
2007-06-01	First time form 5500 has been submitted	Yes
2007-06-01	Submission has been amended	No
2007-06-01	This submission is the final filing	No
2007-06-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2007-06-01	Plan is a collectively bargained plan	No
2007-06-01	Plan funding arrangement – Trust	Yes
2007-06-01	Plan benefit arrangement - Trust	Yes

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Company Name:	CALISTOGA PHARMACEUTICALS, INC
Employer identification number (EIN):	205056247
NAIC Classification:	541700