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FORM 5500 DATA

Allegheny Science & Technology Corporation 401k Plan

Overview

Plan Information

  • Plan Year01/01/2012 — 12/31/2012
  • Date of Plan01/01/2011
  • Net Assets as of 12/31/2012 $537,724
  • Plan Number1
  • Plan Type Single Employer
  • Is the plan collectively bargained? No
  • Did the plan file for an extension of time or the DFVC Program?Yes
  • Report Description This is an amended report.
  • Plan Funding Arrangement Trust
  • Plan Benefit Arrangement Trust

Participant Information as of 12/31/2012

  • Active (Eligible) Participants29
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits3
  • Subtotal32
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits0
  • Total32
  • Total number of participants as of 01/01/201214
  • Number of participants with account balances27
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested0

Expenses

  • Total Benefit Payments$0
  • Corrective Distributions$0
  • Administrative Service Providers$0
  • Other Expenses$0
  • Total Expenses$0
  • Total Transfers$0

Sponsor Information

  • Address125 Professional Place
  • CityBridgeport
  • StateWV
  • Zip26330
  • Telephone(304) 534-7832
  • EIN26-4559720
  • Industry Code541990
  • Named AdministratorArria Whiston

Plan Administrator Information

  • Administrator NameAllegheny Science & Technology Corporation
  • Address125 Professional Place
  • CityBridgeport
  • StateWV
  • Zip26330
  • Telephone(304) 534-7832
  • Administrator EIN26-4559720

Benefits Provided Under the Plan

Code Benefit Description
2E Profit-sharing A defined contribution plan that allows employer discretionary contributions. These plans often contain a 401(k) feature.
2F ERISA section 404(c) Plan This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
2G 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.
2J 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.
2K 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 contributions 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.
3D 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.

Questions and Answers

Question Answer Amount
During the plan year did the employer fail to transmit to the plan any participant contributions within the time period described in 29 CFT 2510.3-102? No
Were any loans by the plan or fixed income obligations due the plan in default as of the close of plan year or classified during the year as uncollectible? Disregard participant loans secured by participant's account balance. No
Were any leases to which the plan was a party in default or classified during the year as uncollectible? No
Were there any nonexempt transactions with any party-in-interest? No
Was this plan covered by a fidelity bond? Yes $100,000
Did the plan have a loss, whether or not reimbursed by the plan's fidelity bond, that was caused by fraud or dishonesty? No
Did the plan hold any assets whose current value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan receive any noncash contributions whose value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan at any time hold 20% or more of its assets in any single security, debt, mortgage, parcel of real estate, or partnership/joint venture interest? No $0
Are you claiming a waiver of the annual examination and report of an independent qualified public accountant (IQPA) under 29 CFR 2520.104-46? Yes
Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? No
Has the plan failed to provide any benefit when due under the plan? No
If this is an individual account plan, was there a blackout period? No
If there was a blackout period, have you either provided the required notice or one of the exceptions to providing the notice applied under 29 CFR 2520.101-3? No

Financials

Income and Expense Statement

Income $540,774
Contributions $0
Cash Contributions $510,544
Cash from Employers $85,105
Cash from Participants $220,618
Others (including rollovers) $204,821
Noncash Contributions $0
Other Income $30,230
Expenses $122,084
Total Benefit Payments $122,084
Corrective Distributions $0
Certain deemed distributions of participant loans $0
Other Expenses $0
Net Income $418,690
Transfers of Assets to (from) this Plan $0

Asset and Liability Statement

12/31/2012 12/31/2011 Change YOY
Total Assets $537,724 $119,034 351.74%
Total Liabilities $0 $0 0.0%
Net Assets $537,724 $119,034 351.74%

Specific Assets Statement

Held? Amount
Total Specific Assets No $46,500
Partnership/joint venture interests No $0
Employer Real Property No $0
Real Estate No $0
Employer Securities No $0
Participant Loans No $46,500
Loans (other than to participants) No $0
Tangible Personal Property No $0

Service Providers

Persons Receiving Only Eligible Indirect Compensation

There is no information on eligible indirect compensation for this plan.

Other Service Providers Receiving Direct or Indirect Compensation

There are no service providers listed for this plan.

Indirect Compensation

There are no service providers with indirect compensation listed for this plan.

Service Providers Who Fail or Refuse to Provide Information

There are no service providers who failed or refused to provide information.

Termination Information on Accountants and Enrolled Actuaries

There is no termination information for this plan.

Investments

Investments

Name of Investment Investment Manager Type of Investment Dollar Value
Lnl Satg Stadion Managed Growth Lincoln National Corporation DFE: Pooled Separate Account $146,423
Lnl Satm Stadion Managed Moderate Lincoln National Corporation DFE: Pooled Separate Account $90,598
Lnl Satb Stadion Managed Balanced Lincoln National Corporation DFE: Pooled Separate Account $34,612
Lnl Sa27 Lvip Ssga S&P 500 Index Lincoln National Corporation DFE: Pooled Separate Account $23,255
Lnl Sa20 Franklin High Income Lincoln National Corporation DFE: Pooled Separate Account $21,472
Lnl Sal7 Lvip Delaware Special Oppo Lincoln National Corporation DFE: Pooled Separate Account $13,418
Lnl Sal9 Ssga Russell Large Cap Gro Lincoln National Corporation DFE: Pooled Separate Account $12,300
Lnl Sa36 Lvip Ssga Smallcap Index Lincoln National Corporation DFE: Pooled Separate Account $11,913
Lnl Sal3 Lvip Managd Risk Profile 2 Lincoln National Corporation DFE: Pooled Separate Account $11,159
Lnl Sa17 Columbia Acorn Lincoln National Corporation DFE: Pooled Separate Account $10,701
Lnl Sa55 Lvip Clarion Global Real E Lincoln National Corporation DFE: Pooled Separate Account $10,459
Lnl Salb Ssga Russell Small Cap Val Lincoln National Corporation DFE: Pooled Separate Account $7,370
Lnl Sal6 Lvip Ssga Bond Index Lincoln National Corporation DFE: Pooled Separate Account $6,915
Lnl Sala Ssga S&P Midcap Index Non- Lincoln National Corporation DFE: Pooled Separate Account $4,821
Lnl Sa65 Mfs Vit Growth Series Lincoln National Corporation DFE: Pooled Separate Account $4,656
Lnl Sa94 Oppendeimer Developing Mar Lincoln National Corporation DFE: Pooled Separate Account $4,533
Lnl Sall Lvip Managed Risk Profile Lincoln National Corporation DFE: Pooled Separate Account $3,601
Lnl Sa14 Federated Government Ultra Lincoln National Corporation DFE: Pooled Separate Account $2,169
Lnl Salc Ssga Russell Small Cap Gro Lincoln National Corporation DFE: Pooled Separate Account $1,837
Lnl Sa28 Invesco Growth & Income Lincoln National Corporation DFE: Pooled Separate Account $658
Lnl Sal8 Ssga Russell Large Cap Val Lincoln National Corporation DFE: Pooled Separate Account $576
Vanguard Lifestrategy Moderate Grow Lincoln National Corporation DFE: Pooled Separate Account $271
Lnl Sa96 Lvip Delaware Foundation M Lincoln National Corporation DFE: Pooled Separate Account $0
Lnl Sa81 Blackrock Capital Apprecia Lincoln National Corporation DFE: Pooled Separate Account $0
Lnl Sa59 Lvip Vanguard Internationa Lincoln National Corporation DFE: Pooled Separate Account $0
Lincoln Life Separate Account 4K Lincoln National Corporation DFE: Pooled Separate Account $0
Total $423,717

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
Lincoln National Life Insurance Co. 30
EIN 35-0472300
Industry Code 65676
Contract Number GP 16556
Contract Year 01/01/2012 — 12/31/2012
Value in General Account at Year End $0
Value in Separate Accounts at Year End $423,718
Insurance Fees and Commissions $1,559
Persons Receiving Commissions and Fees
Agent/Broker Organization Code Commissions Paid Fees Paid Purpose of Fees Paid
Axa Network LLC 4251 Crums Mill Rd Harrisburg, PA 17112 Agent or Broker other than Insurance $1,526 $26 BROKER COMMISSIONS
Benefit Solutions Inc. 5960 Us Route 60 E Ste 1 Barboursville, WV 25504 Third Party Administrator $0 $7 TPA COMPENSATION
Allocated Funds
Type of Contract Unspecified
Basis of premium rates
Premiums paid to carrier $0
Premiums due but unpaid at the end of the year $0
If the carrier, service, or other organization incurred any specific costs in connection with the acquisition or retention of the contract or policy, enter amount $0
Specify the nature of the costs
Unallocated Funds
Type of Contract Unspecified
Balance at the end of the previous year $0
Additions $0
Contributions Deposited during the year $0
Dividends and credits $0
Interest credited during the year $0
Transferred from separate account $0
Other $0
Total of Balance and Additions $0
Deductions $0
Disbursed from fund to pay benefits or purchase annuities during the year $0
Administration charge made by carrier $0
Transferred to Separate Account $0
Other $0
Balance at the end of the current year $0