401k Plan data: EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. plan

EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. 401k Plan overview

Plan Name	EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC.
Plan identification number	507

EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. Benefits

401k Plan Type	Welfare Benefit
Plan Features/Benefits	Supplemental unemployment Severance pay

401k Sponsoring company profile

LONZA USA INC. has sponsored the creation of one or more 401k plans.

Company Name: LONZA USA INC.

Employer identification number (EIN): 222188958

NAIC Classification: 325100

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC.

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
507 2014-01-01 LORRAINE MERCEDE
507 2013-01-01 LORRAINE MERCEDE
507 2012-01-01 LORRAINE MERCEDE
507 2011-01-01 MICHELLE MAYNARD

Plan id#	Filing Submission Date	Name of Administrator
507	2014-01-01	LORRAINE MERCEDE
507	2013-01-01	LORRAINE MERCEDE
507	2012-01-01	LORRAINE MERCEDE
507	2011-01-01	MICHELLE MAYNARD

Plan Statistics for EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC.

401k plan membership statisitcs for EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC.

Measure Date Value
2014: EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. 2014 401k membership
Total participants, beginning-of-year 2014-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
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 0
Total of all active and inactive participants 2014-01-01 0
2013: EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. 2013 401k membership
Total participants, beginning-of-year 2013-01-01 1,070
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 0
Number of retired or separated participants receiving benefits 2013-01-01 5
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 5
2012: EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. 2012 401k membership
Total participants, beginning-of-year 2012-01-01 1,253
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 1,031
Number of retired or separated participants receiving benefits 2012-01-01 35
Number of other retired or separated participants entitled to future benefits 2012-01-01 4
Total of all active and inactive participants 2012-01-01 1,070
2011: EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. 2011 401k membership
Total participants, beginning-of-year 2011-01-01 1,369
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 1,234
Number of retired or separated participants receiving benefits 2011-01-01 19
Number of other retired or separated participants entitled to future benefits 2011-01-01 0
Total of all active and inactive participants 2011-01-01 1,253

Measure	Date	Value
2014: EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. 2014 401k membership
Total participants, beginning-of-year	2014-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
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	0
Total of all active and inactive participants	2014-01-01	0
2013: EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. 2013 401k membership
Total participants, beginning-of-year	2013-01-01	1,070
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	0
Number of retired or separated participants receiving benefits	2013-01-01	5
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	5
2012: EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. 2012 401k membership
Total participants, beginning-of-year	2012-01-01	1,253
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	1,031
Number of retired or separated participants receiving benefits	2012-01-01	35
Number of other retired or separated participants entitled to future benefits	2012-01-01	4
Total of all active and inactive participants	2012-01-01	1,070
2011: EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. 2011 401k membership
Total participants, beginning-of-year	2011-01-01	1,369
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	1,234
Number of retired or separated participants receiving benefits	2011-01-01	19
Number of other retired or separated participants entitled to future benefits	2011-01-01	0
Total of all active and inactive participants	2011-01-01	1,253

Financial Data on EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC.

Measure	Date	Value
2014 : EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-05-12	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-05-12	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-05-12	$0
Total income from all sources (including contributions)	2014-05-12	$50,495
Total loss/gain on sale of assets	2014-05-12	$0
Total of all expenses incurred	2014-05-12	$51,087
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-05-12	$51,087
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-05-12	$50,495
Value of total assets at end of year	2014-05-12	$0
Value of total assets at beginning of year	2014-05-12	$592
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-05-12	$0
Total interest from all sources	2014-05-12	$0
Total dividends received (eg from common stock, registered investment company shares)	2014-05-12	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-05-12	No
Was this plan covered by a fidelity bond	2014-05-12	Yes
Value of fidelity bond cover	2014-05-12	$7,000,000
If this is an individual account plan, was there a blackout period	2014-05-12	No
Were there any nonexempt tranactions with any party-in-interest	2014-05-12	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-05-12	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-05-12	$553
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-05-12	No
Value of net income/loss	2014-05-12	$-592
Value of net assets at end of year (total assets less liabilities)	2014-05-12	$0
Value of net assets at beginning of year (total assets less liabilities)	2014-05-12	$592
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-05-12	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-05-12	No
Were any leases to which the plan was party in default or uncollectible	2014-05-12	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-05-12	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-05-12	$39
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-05-12	$39
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-05-12	No
Was there a failure to transmit to the plan any participant contributions	2014-05-12	No
Has the plan failed to provide any benefit when due under the plan	2014-05-12	No
Contributions received in cash from employer	2014-05-12	$50,495
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-05-12	$51,087
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	2014-05-12	No
Did the plan have assets held for investment	2014-05-12	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	2014-05-12	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-05-12	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-05-12	Yes
Opinion of an independent qualified public accountant for this plan	2014-05-12	Disclaimer
Accountancy firm name	2014-05-12	WISS AND COMPANY LLP
Accountancy firm EIN	2014-05-12	221732349
2013 : EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
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	$1,328,707
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$1,328,703
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,328,703
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,328,707
Value of total assets at end of year	2013-12-31	$592
Value of total assets at beginning of year	2013-12-31	$588
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$0
Total interest from all sources	2013-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$7,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$553
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$553
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	$4
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$592
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$588
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 bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$39
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$35
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$35
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	$1,328,707
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,328,703
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	2013-12-31	No
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	WISS AND COMPANY LLP
Accountancy firm EIN	2013-12-31	221732349
2012 : EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. 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	$2,285,241
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$2,285,241
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$2,285,241
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$2,285,241
Value of total assets at end of year	2012-12-31	$588
Value of total assets at beginning of year	2012-12-31	$588
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$0
Total interest from all sources	2012-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$7,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$553
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$553
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	$0
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$588
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$588
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
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$35
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$35
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$35
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
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	$2,285,241
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$2,285,241
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	2012-12-31	No
Did the plan have assets held for investment	2012-12-31	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	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	WISS AND COMPANY LLP
Accountancy firm EIN	2012-12-31	221732349
2011 : EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. 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	$401,744
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$401,724
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$401,724
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$401,744
Value of total assets at end of year	2011-12-31	$588
Value of total assets at beginning of year	2011-12-31	$568
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$0
Total interest from all sources	2011-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$553
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$553
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	$20
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$588
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$568
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 bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$35
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$15
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$15
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
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	$401,744
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$401,724
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	2011-12-31	No
Did the plan have assets held for investment	2011-12-31	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	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	WISS AND COMPANY, LLP
Accountancy firm EIN	2011-12-31	221732349

Form 5500 Responses for EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC.

2014: EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. 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	Yes
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
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: EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. 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: EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. 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: EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICA LS, INC. 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

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EMPLOYMENT TRANSITION BENEFIT PLAN OF ARCH CHEMICALS, INC. [EIN = 061526315]

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Company Name:	LONZA USA INC.
Employer identification number (EIN):	222188958
NAIC Classification:	325100