401k Plan data: EMI 401(K) SAVINGS PLAN plan

EMI 401(K) SAVINGS PLAN 401k Plan overview

Plan Name	EMI 401(K) SAVINGS PLAN
Plan identification number	071

EMI 401(K) SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

CAPITOL RECORDS, LLC has sponsored the creation of one or more 401k plans.

Company Name: CAPITOL RECORDS, LLC

Employer identification number (EIN): 262314792

NAIC Classification: 335900

Additional information about CAPITOL RECORDS, LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 0391029

More information about CAPITOL RECORDS, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EMI 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
071 2016-01-01 JASON GALLIEN JASON GALLIEN 2017-03-01
071 2015-01-01 JASON GALLIEN JASON GALLIEN 2016-10-10
071 2014-01-01 JASON GALLIEN JASON GALLIEN 2015-10-12
071 2013-01-01 JASON GALLIEN JASON GALLIEN 2014-10-13
071 2012-01-01 JASON GALLIEN JASON GALLIEN 2013-10-10
071 2011-01-01 KATHLEEN E. LEE
071 2010-01-01 KATHLEEN E. LEE

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
071	2016-01-01	JASON GALLIEN	JASON GALLIEN	2017-03-01
071	2015-01-01	JASON GALLIEN	JASON GALLIEN	2016-10-10
071	2014-01-01	JASON GALLIEN	JASON GALLIEN	2015-10-12
071	2013-01-01	JASON GALLIEN	JASON GALLIEN	2014-10-13
071	2012-01-01	JASON GALLIEN	JASON GALLIEN	2013-10-10
071	2011-01-01	KATHLEEN E. LEE
071	2010-01-01	KATHLEEN E. LEE

Plan Statistics for EMI 401(K) SAVINGS PLAN

401k plan membership statisitcs for EMI 401(K) SAVINGS PLAN

Measure Date Value
2016: EMI 401(K) SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 949
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 0
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 0
Number of participants with account balances 2016-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: EMI 401(K) SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 1,060
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 262
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 689
Total of all active and inactive participants 2015-01-01 951
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 1
Total participants 2015-01-01 952
Number of participants with account balances 2015-01-01 898
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 4
2014: EMI 401(K) SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 1,214
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 300
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 762
Total of all active and inactive participants 2014-01-01 1,062
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 1
Total participants 2014-01-01 1,063
Number of participants with account balances 2014-01-01 1,005
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 13
2013: EMI 401(K) SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 1,518
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 396
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 814
Total of all active and inactive participants 2013-01-01 1,210
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 2
Total participants 2013-01-01 1,212
Number of participants with account balances 2013-01-01 1,145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 41
2012: EMI 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 1,685
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 586
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 924
Total of all active and inactive participants 2012-01-01 1,510
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 3
Total participants 2012-01-01 1,513
Number of participants with account balances 2012-01-01 1,441
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 83
2011: EMI 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 1,765
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 860
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 815
Total of all active and inactive participants 2011-01-01 1,675
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 2
Total participants 2011-01-01 1,677
Number of participants with account balances 2011-01-01 1,582
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 55
2010: EMI 401(K) SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 1,879
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 893
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 900
Total of all active and inactive participants 2010-01-01 1,793
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 2
Total participants 2010-01-01 1,795
Number of participants with account balances 2010-01-01 1,703
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 73

Measure	Date	Value
2016: EMI 401(K) SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	949
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	0
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	0
Number of participants with account balances	2016-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: EMI 401(K) SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	1,060
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	262
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	689
Total of all active and inactive participants	2015-01-01	951
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	1
Total participants	2015-01-01	952
Number of participants with account balances	2015-01-01	898
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	4
2014: EMI 401(K) SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	1,214
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	300
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	762
Total of all active and inactive participants	2014-01-01	1,062
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	1
Total participants	2014-01-01	1,063
Number of participants with account balances	2014-01-01	1,005
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	13
2013: EMI 401(K) SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	1,518
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	396
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	814
Total of all active and inactive participants	2013-01-01	1,210
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	2
Total participants	2013-01-01	1,212
Number of participants with account balances	2013-01-01	1,145
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	41
2012: EMI 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	1,685
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	586
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	924
Total of all active and inactive participants	2012-01-01	1,510
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	3
Total participants	2012-01-01	1,513
Number of participants with account balances	2012-01-01	1,441
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	83
2011: EMI 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	1,765
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	860
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	815
Total of all active and inactive participants	2011-01-01	1,675
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	2
Total participants	2011-01-01	1,677
Number of participants with account balances	2011-01-01	1,582
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	55
2010: EMI 401(K) SAVINGS PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	1,879
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	893
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	900
Total of all active and inactive participants	2010-01-01	1,793
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	2
Total participants	2010-01-01	1,795
Number of participants with account balances	2010-01-01	1,703
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	73

Financial Data on EMI 401(K) SAVINGS PLAN

Measure	Date	Value
2016 : EMI 401(K) SAVINGS PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-06-30	$0
Total transfer of assets from this plan	2016-06-30	$89,250,829
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-06-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-06-30	$0
Total income from all sources (including contributions)	2016-06-30	$519,623
Total loss/gain on sale of assets	2016-06-30	$0
Total of all expenses incurred	2016-06-30	$29,874,323
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-06-30	$29,847,234
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-06-30	$0
Value of total assets at end of year	2016-06-30	$0
Value of total assets at beginning of year	2016-06-30	$118,605,529
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-06-30	$27,089
Total interest from all sources	2016-06-30	$9,836
Total dividends received (eg from common stock, registered investment company shares)	2016-06-30	$287,698
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-06-30	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2016-06-30	$0
Total dividends received from registered investment company shares (eg mutual funds)	2016-06-30	$287,698
Administrative expenses professional fees incurred	2016-06-30	$19,067
Was this plan covered by a fidelity bond	2016-06-30	Yes
Value of fidelity bond cover	2016-06-30	$500,000
If this is an individual account plan, was there a blackout period	2016-06-30	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-06-30	$0
Were there any nonexempt tranactions with any party-in-interest	2016-06-30	No
Participant contributions at end of year	2016-06-30	$0
Participant contributions at beginning of year	2016-06-30	$518,576
Administrative expenses (other) incurred	2016-06-30	$522
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-06-30	No
Value of net income/loss	2016-06-30	$-29,354,700
Value of net assets at end of year (total assets less liabilities)	2016-06-30	$0
Value of net assets at beginning of year (total assets less liabilities)	2016-06-30	$118,605,529
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-06-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-06-30	No
Were any leases to which the plan was party in default or uncollectible	2016-06-30	No
Investment advisory and management fees	2016-06-30	$7,500
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-06-30	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-06-30	$101,865,130
Interest on participant loans	2016-06-30	$9,836
Value of interest in common/collective trusts at end of year	2016-06-30	$0
Value of interest in common/collective trusts at beginning of year	2016-06-30	$16,221,823
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-06-30	$85,975
Net investment gain or loss from common/collective trusts	2016-06-30	$136,114
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-06-30	No
Was there a failure to transmit to the plan any participant contributions	2016-06-30	No
Has the plan failed to provide any benefit when due under the plan	2016-06-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-06-30	$29,847,234
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	2016-06-30	Yes
Did the plan have assets held for investment	2016-06-30	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	2016-06-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-06-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-06-30	Yes
Opinion of an independent qualified public accountant for this plan	2016-06-30	Disclaimer
Accountancy firm name	2016-06-30	FARBER HASS HURLEY LLP
Accountancy firm EIN	2016-06-30	204207759
2015 : EMI 401(K) SAVINGS PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$3,939,730
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$13,015,190
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$12,996,534
Expenses. Certain deemed distributions of participant loans	2015-12-31	$368
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$0
Value of total assets at end of year	2015-12-31	$118,605,529
Value of total assets at beginning of year	2015-12-31	$127,680,989
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$18,288
Total interest from all sources	2015-12-31	$18,916
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$6,650,067
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$6,650,067
Administrative expenses professional fees incurred	2015-12-31	$16,319
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Participant contributions at end of year	2015-12-31	$518,576
Participant contributions at beginning of year	2015-12-31	$390,827
Administrative expenses (other) incurred	2015-12-31	$1,969
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-9,075,460
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$118,605,529
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$127,680,989
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$101,865,130
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$110,608,193
Interest on participant loans	2015-12-31	$18,916
Value of interest in common/collective trusts at end of year	2015-12-31	$16,221,823
Value of interest in common/collective trusts at beginning of year	2015-12-31	$16,681,969
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-2,803,860
Net investment gain or loss from common/collective trusts	2015-12-31	$74,607
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$12,996,534
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	FARBER HASS HURLEY LLP
Accountancy firm EIN	2015-12-31	204207759
2014 : EMI 401(K) SAVINGS PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$9,376,420
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$17,785,130
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$17,741,533
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$0
Value of total assets at end of year	2014-12-31	$127,680,989
Value of total assets at beginning of year	2014-12-31	$136,089,699
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$43,597
Total interest from all sources	2014-12-31	$26,654
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$7,829,615
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$7,829,615
Administrative expenses professional fees incurred	2014-12-31	$29,254
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Participant contributions at end of year	2014-12-31	$390,827
Participant contributions at beginning of year	2014-12-31	$754,200
Administrative expenses (other) incurred	2014-12-31	$955
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$-8,408,710
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$127,680,989
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$136,089,699
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$13,388
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$110,608,193
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$117,917,404
Interest on participant loans	2014-12-31	$26,654
Value of interest in common/collective trusts at end of year	2014-12-31	$16,681,969
Value of interest in common/collective trusts at beginning of year	2014-12-31	$17,418,095
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$1,193,341
Net investment gain or loss from common/collective trusts	2014-12-31	$326,810
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$17,741,533
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	FARBER HASS HURLEY LLP
Accountancy firm EIN	2014-12-31	204207759
2013 : EMI 401(K) SAVINGS PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets from this plan	2013-12-31	$6,891,175
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$30,404,128
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$24,969,063
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$24,960,668
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,372,617
Value of total assets at end of year	2013-12-31	$136,089,699
Value of total assets at beginning of year	2013-12-31	$137,545,809
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$8,395
Total interest from all sources	2013-12-31	$36,967
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$4,492,937
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$4,492,937
Administrative expenses professional fees incurred	2013-12-31	$5,000
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$1,079,390
Participant contributions at end of year	2013-12-31	$754,200
Participant contributions at beginning of year	2013-12-31	$1,286,672
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$614
Other income not declared elsewhere	2013-12-31	$69,422
Administrative expenses (other) incurred	2013-12-31	$3,395
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$5,435,065
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$136,089,699
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$137,545,809
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$117,917,404
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$116,122,866
Interest on participant loans	2013-12-31	$36,967
Value of interest in common/collective trusts at end of year	2013-12-31	$17,418,095
Value of interest in common/collective trusts at beginning of year	2013-12-31	$20,136,271
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$24,649,004
Net investment gain or loss from common/collective trusts	2013-12-31	$-216,819
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$292,613
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$24,960,668
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	FARBER HASS HURLEY LLP
Accountancy firm EIN	2013-12-31	204207759
2012 : EMI 401(K) SAVINGS PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$24,234,102
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$19,563,480
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$19,514,310
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$7,213,275
Value of total assets at end of year	2012-12-31	$137,545,809
Value of total assets at beginning of year	2012-12-31	$132,875,187
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$49,170
Total interest from all sources	2012-12-31	$70,740
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$4,372,708
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$4,372,708
Administrative expenses professional fees incurred	2012-12-31	$23,093
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$5,004,553
Participant contributions at end of year	2012-12-31	$1,286,672
Participant contributions at beginning of year	2012-12-31	$1,862,892
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$134,534
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$17,023
Administrative expenses (other) incurred	2012-12-31	$9,421
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$4,670,622
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$137,545,809
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$132,875,187
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Investment advisory and management fees	2012-12-31	$16,656
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$116,122,866
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$108,457,852
Interest on participant loans	2012-12-31	$70,740
Value of interest in common/collective trusts at end of year	2012-12-31	$20,136,271
Value of interest in common/collective trusts at beginning of year	2012-12-31	$22,419,909
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$12,048,161
Net investment gain or loss from common/collective trusts	2012-12-31	$529,218
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$2,191,699
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$19,514,310
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	FARBER HASS HURLEY LLP
Accountancy firm EIN	2012-12-31	204207759
2011 : EMI 401(K) SAVINGS PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
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	$0
Total income from all sources (including contributions)	2011-12-31	$7,761,193
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$9,354,713
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$9,326,320
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$7,535,442
Value of total assets at end of year	2011-12-31	$132,875,187
Value of total assets at beginning of year	2011-12-31	$134,468,707
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$28,393
Total interest from all sources	2011-12-31	$88,350
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$4,225,420
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$4,225,420
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$4,931,618
Participant contributions at end of year	2011-12-31	$1,862,892
Participant contributions at beginning of year	2011-12-31	$1,928,353
Participant contributions at end of year	2011-12-31	$134,534
Participant contributions at beginning of year	2011-12-31	$147,465
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$428,341
Administrative expenses (other) incurred	2011-12-31	$28,393
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-1,593,520
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$132,875,187
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$134,468,707
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$108,457,852
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$111,857,669
Interest on participant loans	2011-12-31	$88,350
Value of interest in common/collective trusts at end of year	2011-12-31	$22,419,909
Value of interest in common/collective trusts at beginning of year	2011-12-31	$20,469,787
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-4,424,136
Net investment gain or loss from common/collective trusts	2011-12-31	$336,117
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$2,175,483
Employer contributions (assets) at end of year	2011-12-31	$0
Employer contributions (assets) at beginning of year	2011-12-31	$65,433
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$9,326,320
Did the plan have assets held for investment	2011-12-31	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	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	FARBER HASS HURLEY LLP
Accountancy firm EIN	2011-12-31	204207759
2010 : EMI 401(K) SAVINGS PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$25,863,126
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$16,104,269
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$16,092,636
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$7,147,928
Value of total assets at end of year	2010-12-31	$134,468,707
Value of total assets at beginning of year	2010-12-31	$124,709,850
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$11,633
Total interest from all sources	2010-12-31	$91,948
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$2,513,207
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$2,513,207
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$5,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$4,878,659
Participant contributions at end of year	2010-12-31	$1,928,353
Participant contributions at beginning of year	2010-12-31	$1,795,005
Participant contributions at end of year	2010-12-31	$147,465
Participant contributions at beginning of year	2010-12-31	$155,128
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$252,083
Administrative expenses (other) incurred	2010-12-31	$11,633
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$9,758,857
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$134,468,707
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$124,709,850
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$111,857,669
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$100,224,109
Interest on participant loans	2010-12-31	$91,948
Value of interest in common/collective trusts at end of year	2010-12-31	$20,469,787
Value of interest in common/collective trusts at beginning of year	2010-12-31	$22,466,216
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$15,244,097
Net investment gain or loss from common/collective trusts	2010-12-31	$865,946
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$2,017,186
Employer contributions (assets) at end of year	2010-12-31	$65,433
Employer contributions (assets) at beginning of year	2010-12-31	$69,392
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$16,092,636
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	FARBER HASS HURLEY LLP
Accountancy firm EIN	2010-12-31	204207759

Form 5500 Responses for EMI 401(K) SAVINGS PLAN

2016: EMI 401(K) SAVINGS PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	Yes
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: EMI 401(K) SAVINGS PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: EMI 401(K) SAVINGS PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: EMI 401(K) SAVINGS PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: EMI 401(K) SAVINGS PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: EMI 401(K) SAVINGS 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 is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: EMI 401(K) SAVINGS 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 is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	CAPITOL RECORDS, LLC
Employer identification number (EIN):	262314792
NAIC Classification:	335900

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	0391029