401k Plan data: SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES plan

SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 401k Plan overview

Plan Name	SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES
Plan identification number	007

SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

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

Company Name: ATI, INC.

Employer identification number (EIN): 251792394

NAIC Classification: 331110
NAIC Description: Iron and Steel Mills and Ferroalloy Manufacturing

Additional information about ATI, INC.

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 2015-12-28

Company Identification Number: 0802357357

Legal Registered Office Address: 116 15TH ST STE 301

PITTSBURGH
United States of America (USA)
15222

More information about ATI, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
007 2012-01-01 RICHARD MERCER RICHARD MERCER 2013-10-10
007 2011-01-01 RICHARD MERCER RICHARD MERCER 2012-09-24
007 2010-01-01 RICHARD MERCER RICHARD MERCER 2011-10-03
007 2009-01-01 RICHARD MERCER RICHARD MERCER 2010-09-13
007 2009-01-01 RICHARD MERCER RICHARD MERCER 2010-09-16

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
007	2012-01-01	RICHARD MERCER	RICHARD MERCER	2013-10-10
007	2011-01-01	RICHARD MERCER	RICHARD MERCER	2012-09-24
007	2010-01-01	RICHARD MERCER	RICHARD MERCER	2011-10-03
007	2009-01-01	RICHARD MERCER	RICHARD MERCER	2010-09-13
007	2009-01-01	RICHARD MERCER	RICHARD MERCER	2010-09-16

Plan Statistics for SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES

401k plan membership statisitcs for SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES

Measure Date Value
2012: SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 2012 401k membership
Total participants, beginning-of-year 2012-01-01 91
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: SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 2011 401k membership
Total participants, beginning-of-year 2011-01-01 90
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 84
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 91
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 91
Number of participants with account balances 2011-01-01 86
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 2010 401k membership
Total participants, beginning-of-year 2010-01-01 117
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 80
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 10
Total of all active and inactive participants 2010-01-01 90
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 90
Number of participants with account balances 2010-01-01 83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 2009 401k membership
Total participants, beginning-of-year 2009-01-01 99
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 77
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 20
Total of all active and inactive participants 2009-01-01 97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 20
Total participants 2009-01-01 117
Number of participants with account balances 2009-01-01 95
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 2012 401k membership
Total participants, beginning-of-year	2012-01-01	91
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: SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 2011 401k membership
Total participants, beginning-of-year	2011-01-01	90
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	84
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	91
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	91
Number of participants with account balances	2011-01-01	86
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 2010 401k membership
Total participants, beginning-of-year	2010-01-01	117
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	80
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	10
Total of all active and inactive participants	2010-01-01	90
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	90
Number of participants with account balances	2010-01-01	83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 2009 401k membership
Total participants, beginning-of-year	2009-01-01	99
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	77
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	20
Total of all active and inactive participants	2009-01-01	97
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	20
Total participants	2009-01-01	117
Number of participants with account balances	2009-01-01	95
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES

Measure	Date	Value
2012 : SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 2012 401k financial data
Transfers to/from the plan	2012-12-28	$-10,135,515
Total income from all sources	2012-12-28	$538,071
Expenses. Total of all expenses incurred	2012-12-28	$318,223
Benefits paid (including direct rollovers)	2012-12-28	$334,702
Total plan assets at end of year	2012-12-28	$0
Total plan assets at beginning of year	2012-12-28	$9,915,667
Value of fidelity bond covering the plan	2012-12-28	$25,000,000
Total contributions received or receivable from participants	2012-12-28	$327,897
Expenses. Other expenses not covered elsewhere	2012-12-28	$275
Other income received	2012-12-28	$133,159
Net income (gross income less expenses)	2012-12-28	$219,848
Net plan assets at end of year (total assets less liabilities)	2012-12-28	$0
Net plan assets at beginning of year (total assets less liabilities)	2012-12-28	$9,915,667
Assets. Value of participant loans	2012-12-28	$0
Assets. Value of employer securities	2012-12-28	$0
Total contributions received or receivable from employer(s)	2012-12-28	$77,015
Value of certain deemed distributions of participant loans	2012-12-28	$-16,754
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-28	$0
2011 : SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 2011 401k financial data
Total income from all sources	2011-12-31	$179,917
Expenses. Total of all expenses incurred	2011-12-31	$83,772
Benefits paid (including direct rollovers)	2011-12-31	$63,669
Total plan assets at end of year	2011-12-31	$9,915,667
Total plan assets at beginning of year	2011-12-31	$9,819,522
Value of fidelity bond covering the plan	2011-12-31	$25,000,000
Total contributions received or receivable from participants	2011-12-31	$304,270
Expenses. Other expenses not covered elsewhere	2011-12-31	$19,042
Other income received	2011-12-31	$-204,211
Net income (gross income less expenses)	2011-12-31	$96,145
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$9,915,667
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$9,819,522
Assets. Value of participant loans	2011-12-31	$416,356
Assets. Value of employer securities	2011-12-31	$1,594,849
Total contributions received or receivable from employer(s)	2011-12-31	$79,858
Value of certain deemed distributions of participant loans	2011-12-31	$1,061
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$28,861
Total unrealized appreciation/depreciation of assets	2010-12-31	$28,861
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	$1,416,693
Total loss/gain on sale of assets	2010-12-31	$371,868
Total of all expenses incurred	2010-12-31	$177,152
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$169,895
Expenses. Certain deemed distributions of participant loans	2010-12-31	$-8,137
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$333,060
Value of total assets at end of year	2010-12-31	$9,819,522
Value of total assets at beginning of year	2010-12-31	$8,579,981
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$15,394
Total interest from all sources	2010-12-31	$68,109
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 year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$25,000,000
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	$259,612
Participant contributions at end of year	2010-12-31	$470,396
Participant contributions at beginning of year	2010-12-31	$527,071
Participant contributions at end of year	2010-12-31	$7,876
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$2,927,590
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$3,019,582
Other income not declared elsewhere	2010-12-31	$82,363
Administrative expenses (other) incurred	2010-12-31	$15,394
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	$1,239,541
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$9,819,522
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$8,579,981
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	$4,146,616
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$1,588,337
Interest on participant loans	2010-12-31	$35,097
Value of interest in common/collective trusts at end of year	2010-12-31	$79,529
Value of interest in common/collective trusts at beginning of year	2010-12-31	$1,944,833
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$563,492
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$329,678
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$329,678
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$33,012
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$497,468
Net investment gain or loss from common/collective trusts	2010-12-31	$34,964
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	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Assets. Invements in employer securities at end of year	2010-12-31	$1,622,945
Assets. Invements in employer securities at beginning of year	2010-12-31	$1,170,480
Contributions received in cash from employer	2010-12-31	$73,448
Employer contributions (assets) at end of year	2010-12-31	$1,078
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$169,895
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
Aggregate proceeds on sale of assets	2010-12-31	$2,888,562
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$2,516,694
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	ERNST & YOUNG, LLP
Accountancy firm EIN	2010-12-31	346565596
2009 : SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES

2012: SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 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 is a collectively bargained plan	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 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	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 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	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: SAVINGS AND SECURITY PLAN OF THE LOCKPORT & WATERBURY FACILITIES 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
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 is a collectively bargained plan	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	ATI, INC.
Employer identification number (EIN):	251792394
NAIC Classification:	331110
NAIC Description:	Iron and Steel Mills and Ferroalloy Manufacturing

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	2015-12-28
Company Identification Number:	0802357357
Legal Registered Office Address:	116 15TH ST STE 301 PITTSBURGH United States of America (USA) 15222