401k Plan data: RIO TINTO ALCAN PENSION PLAN (U.S.) plan

RIO TINTO ALCAN PENSION PLAN (U.S.) 401k Plan overview

Plan Name	RIO TINTO ALCAN PENSION PLAN (U.S.)
Plan identification number	001

RIO TINTO ALCAN PENSION PLAN (U.S.) Benefits

401k Plan Type

Defined Benefit Pension

Plan Features/Benefits

Benefits are primarily pay related
Code section 401(h) arrangement - Plan contains separate accounts under Code section 401(h) to provide employee health benefits.
Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).
Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation).
Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

ALCAN CORPORATION C/O RIO TINTO AMERICA has sponsored the creation of one or more 401k plans.

Company Name: ALCAN CORPORATION C/O RIO TINTO AMERICA

Employer identification number (EIN): 412098316

NAIC Classification: 331310

Additional information about ALCAN CORPORATION C/O RIO TINTO AMERICA

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 3658771

More information about ALCAN CORPORATION C/O RIO TINTO AMERICA

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RIO TINTO ALCAN PENSION PLAN (U.S.)

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01
001 2018-01-01
001 2017-01-01 JESSICA CROW
001 2016-01-01 JESSICA CROW
001 2015-01-01 KEN HRIVNAK
001 2015-01-01 KEN HRIVNAK
001 2014-01-01
001 2014-01-01
001 2013-01-01
001 2012-01-01 JEFF HAMBLIN
001 2011-01-01 NICHOLAS CHERONIS
001 2009-01-01 PAUL G. WARNER PAUL G. WARNER 2010-10-13

Plan Statistics for RIO TINTO ALCAN PENSION PLAN (U.S.)

401k plan membership statisitcs for RIO TINTO ALCAN PENSION PLAN (U.S.)

Measure Date Value
2019: RIO TINTO ALCAN PENSION PLAN (U.S.) 2019 401k membership
Market value of plan assets 2019-12-31 473,959,892
Acturial value of plan assets 2019-12-31 475,311,745
Funding target for retired participants and beneficiaries receiving payment 2019-12-31 258,810,273
Number of terminated vested participants 2019-12-31 3,486
Fundng target for terminated vested participants 2019-12-31 139,640,678
Active participant vested funding target 2019-12-31 3,661,750
Number of active participants 2019-12-31 33
Total funding liabilities for active participants 2019-12-31 3,781,026
Total participant count 2019-12-31 6,000
Total funding target for all participants 2019-12-31 402,231,977
Prefunding balance at beginning of prior year after applicable adjustments 2019-12-31 155,528,455
Prefunding balanced used to offset prior years funding requirement 2019-12-31 8,505,731
Amount remaining of prefunding balance 2019-12-31 147,022,724
Reductions in prefunding balances due to elections or deemed elections 2019-12-31 45,800,000
Balance of prefunding at beginning of current year 2019-12-31 98,738,040
Minimum required contributions for current year target normal cost 2019-12-31 2,261,132
Net shortfall amortization installment of oustanding balance 2019-12-31 25,658,272
Total funding amount beforereflecting carryover/prefunding balances 2019-12-31 7,162,973
Prefunding balance elected to use to offset funding requirement 2019-12-31 7,162,973
Additional cash requirement 2019-12-31 0
Unpaid minimum required contributions for all years 2019-12-31 0
Total participants, beginning-of-year 2019-01-01 6,000
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 0
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 0
Total of all active and inactive participants 2019-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: RIO TINTO ALCAN PENSION PLAN (U.S.) 2018 401k membership
Market value of plan assets 2018-12-31 817,110,510
Acturial value of plan assets 2018-12-31 753,413,374
Funding target for retired participants and beneficiaries receiving payment 2018-12-31 491,309,889
Number of terminated vested participants 2018-12-31 3,697
Fundng target for terminated vested participants 2018-12-31 140,128,312
Active participant vested funding target 2018-12-31 4,036,173
Number of active participants 2018-12-31 38
Total funding liabilities for active participants 2018-12-31 4,208,389
Total participant count 2018-12-31 7,556
Total funding target for all participants 2018-12-31 635,646,590
Balance at beginning of prior year after applicable adjustments 2018-12-31 0
Prefunding balance at beginning of prior year after applicable adjustments 2018-12-31 143,065,558
Carryover balanced portion elected for use to offset prior years funding requirement 2018-12-31 0
Prefunding balanced used to offset prior years funding requirement 2018-12-31 0
Amount remaining of carryover balance 2018-12-31 0
Amount remaining of prefunding balance 2018-12-31 143,065,558
Present value of excess contributions 2018-12-31 0
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2018-12-31 0
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2018-12-31 0
Reductions in caryover balances due to elections or deemed elections 2018-12-31 0
Reductions in prefunding balances due to elections or deemed elections 2018-12-31 11,100,000
Balance of carryovers at beginning of current year 2018-12-31 0
Balance of prefunding at beginning of current year 2018-12-31 155,528,455
Total employer contributions 2018-12-31 0
Total employee contributions 2018-12-31 0
Contributions allocated toward unpaid minimum require contributions from prior years 2018-12-31 0
Contributions made to avoid restrictions adjusted to valuation date 2018-12-31 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2018-12-31 0
Unpaid minimum required contributions for all prior years 2018-12-31 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2018-12-31 0
Remaining amount of unpaid minimum required contributions 2018-12-31 0
Minimum required contributions for current year target normal cost 2018-12-31 2,341,144
Net shortfall amortization installment of oustanding balance 2018-12-31 37,761,671
Waiver amortization installment 2018-12-31 0
Total funding amount beforereflecting carryover/prefunding balances 2018-12-31 8,505,731
Carryover balance elected to use to offset funding requirement 2018-12-31 0
Prefunding balance elected to use to offset funding requirement 2018-12-31 8,505,731
Additional cash requirement 2018-12-31 0
Contributions allocatedtoward minimum required contributions for current year 2018-12-31 0
Unpaid minimum required contributions for current year 2018-12-31 0
Unpaid minimum required contributions for all years 2018-12-31 0
Total participants, beginning-of-year 2018-01-01 7,556
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 33
Number of retired or separated participants receiving benefits 2018-01-01 2,151
Number of other retired or separated participants entitled to future benefits 2018-01-01 3,486
Total of all active and inactive participants 2018-01-01 5,670
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 330
Total participants 2018-01-01 6,000
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: RIO TINTO ALCAN PENSION PLAN (U.S.) 2017 401k membership
Market value of plan assets 2017-12-31 921,322,653
Acturial value of plan assets 2017-12-31 934,348,837
Funding target for retired participants and beneficiaries receiving payment 2017-12-31 644,723,138
Number of terminated vested participants 2017-12-31 4,022
Fundng target for terminated vested participants 2017-12-31 139,173,291
Active participant vested funding target 2017-12-31 4,612,308
Number of active participants 2017-12-31 40
Total funding liabilities for active participants 2017-12-31 4,763,174
Total participant count 2017-12-31 12,370
Total funding target for all participants 2017-12-31 788,659,603
Prefunding balance at beginning of prior year after applicable adjustments 2017-12-31 69,380,851
Amount remaining of prefunding balance 2017-12-31 69,380,851
Present value of excess contributions 2017-12-31 64,106,410
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2017-12-31 67,939,973
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2017-12-31 67,939,973
Balance of prefunding at beginning of current year 2017-12-31 143,065,558
Minimum required contributions for current year target normal cost 2017-12-31 2,061,293
Unpaid minimum required contributions for all years 2017-12-31 0
Total participants, beginning-of-year 2017-01-01 12,370
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 38
Number of retired or separated participants receiving benefits 2017-01-01 3,243
Number of other retired or separated participants entitled to future benefits 2017-01-01 3,697
Total of all active and inactive participants 2017-01-01 6,978
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 578
Total participants 2017-01-01 7,556
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: RIO TINTO ALCAN PENSION PLAN (U.S.) 2016 401k membership
Market value of plan assets 2016-12-31 858,960,934
Acturial value of plan assets 2016-12-31 895,745,932
Funding target for retired participants and beneficiaries receiving payment 2016-12-31 647,641,743
Number of terminated vested participants 2016-12-31 4,061
Fundng target for terminated vested participants 2016-12-31 137,798,622
Active participant vested funding target 2016-12-31 5,887,352
Number of active participants 2016-12-31 48
Total funding liabilities for active participants 2016-12-31 6,080,941
Total participant count 2016-12-31 12,632
Total funding target for all participants 2016-12-31 791,521,306
Prefunding balance at beginning of prior year after applicable adjustments 2016-12-31 1,919,620
Amount remaining of prefunding balance 2016-12-31 1,919,620
Present value of excess contributions 2016-12-31 63,535,650
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2016-12-31 67,474,860
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2016-12-31 67,474,860
Balance of prefunding at beginning of current year 2016-12-31 69,380,851
Total employer contributions 2016-12-31 69,000,000
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2016-12-31 64,106,410
Minimum required contributions for current year target normal cost 2016-12-31 4,427,433
Contributions allocatedtoward minimum required contributions for current year 2016-12-31 64,106,410
Unpaid minimum required contributions for all years 2016-12-31 0
Total participants, beginning-of-year 2016-01-01 12,633
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 40
Number of retired or separated participants receiving benefits 2016-01-01 7,020
Number of other retired or separated participants entitled to future benefits 2016-01-01 3,870
Total of all active and inactive participants 2016-01-01 10,930
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 1,440
Total participants 2016-01-01 12,370
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: RIO TINTO ALCAN PENSION PLAN (U.S.) 2015 401k membership
Total participants, beginning-of-year 2015-01-01 14,404
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 48
Number of retired or separated participants receiving benefits 2015-01-01 7,116
Number of other retired or separated participants entitled to future benefits 2015-01-01 4,061
Total of all active and inactive participants 2015-01-01 11,225
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 1,408
Total participants 2015-01-01 12,633
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: RIO TINTO ALCAN PENSION PLAN (U.S.) 2014 401k membership
Total participants, beginning-of-year 2014-01-01 16,204
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 62
Number of retired or separated participants receiving benefits 2014-01-01 7,187
Number of other retired or separated participants entitled to future benefits 2014-01-01 5,753
Total of all active and inactive participants 2014-01-01 13,002
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 1,402
Total participants 2014-01-01 14,404
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 1
2013: RIO TINTO ALCAN PENSION PLAN (U.S.) 2013 401k membership
Total participants, beginning-of-year 2013-01-01 12,910
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 83
Number of retired or separated participants receiving benefits 2013-01-01 7,190
Number of other retired or separated participants entitled to future benefits 2013-01-01 7,453
Total of all active and inactive participants 2013-01-01 14,726
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1,478
Total participants 2013-01-01 16,204
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 13
2012: RIO TINTO ALCAN PENSION PLAN (U.S.) 2012 401k membership
Total participants, beginning-of-year 2012-01-01 13,149
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 180
Number of retired or separated participants receiving benefits 2012-01-01 6,117
Number of other retired or separated participants entitled to future benefits 2012-01-01 5,257
Total of all active and inactive participants 2012-01-01 11,554
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1,356
Total participants 2012-01-01 12,910
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 27
2011: RIO TINTO ALCAN PENSION PLAN (U.S.) 2011 401k membership
Total participants, beginning-of-year 2011-01-01 13,381
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 684
Number of retired or separated participants receiving benefits 2011-01-01 6,053
Number of other retired or separated participants entitled to future benefits 2011-01-01 5,184
Total of all active and inactive participants 2011-01-01 11,921
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 1,228
Total participants 2011-01-01 13,149
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 33
2009: RIO TINTO ALCAN PENSION PLAN (U.S.) 2009 401k membership
Total participants, beginning-of-year 2009-01-01 14,039
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 1,467
Number of retired or separated participants receiving benefits 2009-01-01 5,986
Number of other retired or separated participants entitled to future benefits 2009-01-01 5,149
Total of all active and inactive participants 2009-01-01 12,602
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 1,210
Total participants 2009-01-01 13,812
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 36

Measure	Date	Value
2019: RIO TINTO ALCAN PENSION PLAN (U.S.) 2019 401k membership
Market value of plan assets	2019-12-31	473,959,892
Acturial value of plan assets	2019-12-31	475,311,745
Funding target for retired participants and beneficiaries receiving payment	2019-12-31	258,810,273
Number of terminated vested participants	2019-12-31	3,486
Fundng target for terminated vested participants	2019-12-31	139,640,678
Active participant vested funding target	2019-12-31	3,661,750
Number of active participants	2019-12-31	33
Total funding liabilities for active participants	2019-12-31	3,781,026
Total participant count	2019-12-31	6,000
Total funding target for all participants	2019-12-31	402,231,977
Prefunding balance at beginning of prior year after applicable adjustments	2019-12-31	155,528,455
Prefunding balanced used to offset prior years funding requirement	2019-12-31	8,505,731
Amount remaining of prefunding balance	2019-12-31	147,022,724
Reductions in prefunding balances due to elections or deemed elections	2019-12-31	45,800,000
Balance of prefunding at beginning of current year	2019-12-31	98,738,040
Minimum required contributions for current year target normal cost	2019-12-31	2,261,132
Net shortfall amortization installment of oustanding balance	2019-12-31	25,658,272
Total funding amount beforereflecting carryover/prefunding balances	2019-12-31	7,162,973
Prefunding balance elected to use to offset funding requirement	2019-12-31	7,162,973
Additional cash requirement	2019-12-31	0
Unpaid minimum required contributions for all years	2019-12-31	0
Total participants, beginning-of-year	2019-01-01	6,000
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	0
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	0
Total of all active and inactive participants	2019-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: RIO TINTO ALCAN PENSION PLAN (U.S.) 2018 401k membership
Market value of plan assets	2018-12-31	817,110,510
Acturial value of plan assets	2018-12-31	753,413,374
Funding target for retired participants and beneficiaries receiving payment	2018-12-31	491,309,889
Number of terminated vested participants	2018-12-31	3,697
Fundng target for terminated vested participants	2018-12-31	140,128,312
Active participant vested funding target	2018-12-31	4,036,173
Number of active participants	2018-12-31	38
Total funding liabilities for active participants	2018-12-31	4,208,389
Total participant count	2018-12-31	7,556
Total funding target for all participants	2018-12-31	635,646,590
Balance at beginning of prior year after applicable adjustments	2018-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2018-12-31	143,065,558
Carryover balanced portion elected for use to offset prior years funding requirement	2018-12-31	0
Prefunding balanced used to offset prior years funding requirement	2018-12-31	0
Amount remaining of carryover balance	2018-12-31	0
Amount remaining of prefunding balance	2018-12-31	143,065,558
Present value of excess contributions	2018-12-31	0
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2018-12-31	0
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2018-12-31	0
Reductions in caryover balances due to elections or deemed elections	2018-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2018-12-31	11,100,000
Balance of carryovers at beginning of current year	2018-12-31	0
Balance of prefunding at beginning of current year	2018-12-31	155,528,455
Total employer contributions	2018-12-31	0
Total employee contributions	2018-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2018-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2018-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2018-12-31	0
Unpaid minimum required contributions for all prior years	2018-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2018-12-31	0
Remaining amount of unpaid minimum required contributions	2018-12-31	0
Minimum required contributions for current year target normal cost	2018-12-31	2,341,144
Net shortfall amortization installment of oustanding balance	2018-12-31	37,761,671
Waiver amortization installment	2018-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2018-12-31	8,505,731
Carryover balance elected to use to offset funding requirement	2018-12-31	0
Prefunding balance elected to use to offset funding requirement	2018-12-31	8,505,731
Additional cash requirement	2018-12-31	0
Contributions allocatedtoward minimum required contributions for current year	2018-12-31	0
Unpaid minimum required contributions for current year	2018-12-31	0
Unpaid minimum required contributions for all years	2018-12-31	0
Total participants, beginning-of-year	2018-01-01	7,556
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	33
Number of retired or separated participants receiving benefits	2018-01-01	2,151
Number of other retired or separated participants entitled to future benefits	2018-01-01	3,486
Total of all active and inactive participants	2018-01-01	5,670
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	330
Total participants	2018-01-01	6,000
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: RIO TINTO ALCAN PENSION PLAN (U.S.) 2017 401k membership
Market value of plan assets	2017-12-31	921,322,653
Acturial value of plan assets	2017-12-31	934,348,837
Funding target for retired participants and beneficiaries receiving payment	2017-12-31	644,723,138
Number of terminated vested participants	2017-12-31	4,022
Fundng target for terminated vested participants	2017-12-31	139,173,291
Active participant vested funding target	2017-12-31	4,612,308
Number of active participants	2017-12-31	40
Total funding liabilities for active participants	2017-12-31	4,763,174
Total participant count	2017-12-31	12,370
Total funding target for all participants	2017-12-31	788,659,603
Prefunding balance at beginning of prior year after applicable adjustments	2017-12-31	69,380,851
Amount remaining of prefunding balance	2017-12-31	69,380,851
Present value of excess contributions	2017-12-31	64,106,410
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2017-12-31	67,939,973
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2017-12-31	67,939,973
Balance of prefunding at beginning of current year	2017-12-31	143,065,558
Minimum required contributions for current year target normal cost	2017-12-31	2,061,293
Unpaid minimum required contributions for all years	2017-12-31	0
Total participants, beginning-of-year	2017-01-01	12,370
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	38
Number of retired or separated participants receiving benefits	2017-01-01	3,243
Number of other retired or separated participants entitled to future benefits	2017-01-01	3,697
Total of all active and inactive participants	2017-01-01	6,978
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	578
Total participants	2017-01-01	7,556
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: RIO TINTO ALCAN PENSION PLAN (U.S.) 2016 401k membership
Market value of plan assets	2016-12-31	858,960,934
Acturial value of plan assets	2016-12-31	895,745,932
Funding target for retired participants and beneficiaries receiving payment	2016-12-31	647,641,743
Number of terminated vested participants	2016-12-31	4,061
Fundng target for terminated vested participants	2016-12-31	137,798,622
Active participant vested funding target	2016-12-31	5,887,352
Number of active participants	2016-12-31	48
Total funding liabilities for active participants	2016-12-31	6,080,941
Total participant count	2016-12-31	12,632
Total funding target for all participants	2016-12-31	791,521,306
Prefunding balance at beginning of prior year after applicable adjustments	2016-12-31	1,919,620
Amount remaining of prefunding balance	2016-12-31	1,919,620
Present value of excess contributions	2016-12-31	63,535,650
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2016-12-31	67,474,860
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2016-12-31	67,474,860
Balance of prefunding at beginning of current year	2016-12-31	69,380,851
Total employer contributions	2016-12-31	69,000,000
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2016-12-31	64,106,410
Minimum required contributions for current year target normal cost	2016-12-31	4,427,433
Contributions allocatedtoward minimum required contributions for current year	2016-12-31	64,106,410
Unpaid minimum required contributions for all years	2016-12-31	0
Total participants, beginning-of-year	2016-01-01	12,633
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	40
Number of retired or separated participants receiving benefits	2016-01-01	7,020
Number of other retired or separated participants entitled to future benefits	2016-01-01	3,870
Total of all active and inactive participants	2016-01-01	10,930
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	1,440
Total participants	2016-01-01	12,370
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: RIO TINTO ALCAN PENSION PLAN (U.S.) 2015 401k membership
Total participants, beginning-of-year	2015-01-01	14,404
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	48
Number of retired or separated participants receiving benefits	2015-01-01	7,116
Number of other retired or separated participants entitled to future benefits	2015-01-01	4,061
Total of all active and inactive participants	2015-01-01	11,225
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	1,408
Total participants	2015-01-01	12,633
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: RIO TINTO ALCAN PENSION PLAN (U.S.) 2014 401k membership
Total participants, beginning-of-year	2014-01-01	16,204
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	62
Number of retired or separated participants receiving benefits	2014-01-01	7,187
Number of other retired or separated participants entitled to future benefits	2014-01-01	5,753
Total of all active and inactive participants	2014-01-01	13,002
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	1,402
Total participants	2014-01-01	14,404
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	1
2013: RIO TINTO ALCAN PENSION PLAN (U.S.) 2013 401k membership
Total participants, beginning-of-year	2013-01-01	12,910
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	83
Number of retired or separated participants receiving benefits	2013-01-01	7,190
Number of other retired or separated participants entitled to future benefits	2013-01-01	7,453
Total of all active and inactive participants	2013-01-01	14,726
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1,478
Total participants	2013-01-01	16,204
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	13
2012: RIO TINTO ALCAN PENSION PLAN (U.S.) 2012 401k membership
Total participants, beginning-of-year	2012-01-01	13,149
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	180
Number of retired or separated participants receiving benefits	2012-01-01	6,117
Number of other retired or separated participants entitled to future benefits	2012-01-01	5,257
Total of all active and inactive participants	2012-01-01	11,554
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1,356
Total participants	2012-01-01	12,910
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	27
2011: RIO TINTO ALCAN PENSION PLAN (U.S.) 2011 401k membership
Total participants, beginning-of-year	2011-01-01	13,381
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	684
Number of retired or separated participants receiving benefits	2011-01-01	6,053
Number of other retired or separated participants entitled to future benefits	2011-01-01	5,184
Total of all active and inactive participants	2011-01-01	11,921
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	1,228
Total participants	2011-01-01	13,149
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	33
2009: RIO TINTO ALCAN PENSION PLAN (U.S.) 2009 401k membership
Total participants, beginning-of-year	2009-01-01	14,039
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	1,467
Number of retired or separated participants receiving benefits	2009-01-01	5,986
Number of other retired or separated participants entitled to future benefits	2009-01-01	5,149
Total of all active and inactive participants	2009-01-01	12,602
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	1,210
Total participants	2009-01-01	13,812
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	36

Financial Data on RIO TINTO ALCAN PENSION PLAN (U.S.)

Measure	Date	Value
2019 : RIO TINTO ALCAN PENSION PLAN (U.S.) 2019 401k financial data
Total transfer of assets from this plan	2019-12-31	$476,909,799
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$244,021
Total income from all sources (including contributions)	2019-12-31	$83,668,071
Total of all expenses incurred	2019-12-31	$80,718,164
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$78,552,227
Value of total assets at end of year	2019-12-31	$0
Value of total assets at beginning of year	2019-12-31	$474,203,913
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$2,165,937
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Administrative expenses professional fees incurred	2019-12-31	$742,043
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	Yes
Amount of non-exempt transactions with any party-in-interest	2019-12-31	$275
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2019-12-31	$-11,571
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-12-31	$244,021
Administrative expenses (other) incurred	2019-12-31	$1,052,747
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$2,949,907
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$473,959,892
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in master investment trust accounts at beginning of year	2019-12-31	$474,203,913
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$78,563,798
Contract administrator fees	2019-12-31	$371,147
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	ACM LLP
Accountancy firm EIN	2019-12-31	010724563
2018 : RIO TINTO ALCAN PENSION PLAN (U.S.) 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$244,021
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$736,943
Total income from all sources (including contributions)	2018-12-31	$-13,691,406
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$329,459,212
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$326,995,268
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$0
Value of total assets at end of year	2018-12-31	$474,203,913
Value of total assets at beginning of year	2018-12-31	$817,847,453
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$2,463,944
Total interest from all sources	2018-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Administrative expenses professional fees incurred	2018-12-31	$581,702
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2018-12-31	$244,021
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-12-31	$736,943
Administrative expenses (other) incurred	2018-12-31	$1,352,968
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-343,150,618
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$473,959,892
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$817,110,510
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in master investment trust accounts at end of year	2018-12-31	$474,203,913
Value of interest in master investment trust accounts at beginning of year	2018-12-31	$817,847,453
Expenses. Payments to insurance carriers foe the provision of benefits	2018-12-31	$279,525,257
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$47,470,011
Contract administrator fees	2018-12-31	$529,274
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	ACM LLP
Accountancy firm EIN	2018-12-31	010724563
2017 : RIO TINTO ALCAN PENSION PLAN (U.S.) 2017 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$736,943
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$145,436
Total income from all sources (including contributions)	2017-12-31	$139,419,430
Total of all expenses incurred	2017-12-31	$244,691,600
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$242,038,026
Value of total assets at end of year	2017-12-31	$817,847,453
Value of total assets at beginning of year	2017-12-31	$922,528,116
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$2,653,574
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Administrative expenses professional fees incurred	2017-12-31	$457,208
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-12-31	$736,943
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-12-31	$145,436
Administrative expenses (other) incurred	2017-12-31	$1,348,629
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$-105,272,170
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$817,110,510
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$922,382,680
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in master investment trust accounts at end of year	2017-12-31	$817,847,453
Value of interest in master investment trust accounts at beginning of year	2017-12-31	$853,528,116
Expenses. Payments to insurance carriers foe the provision of benefits	2017-12-31	$175,984,291
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Employer contributions (assets) at beginning of year	2017-12-31	$69,000,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$66,053,735
Contract administrator fees	2017-12-31	$847,737
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	ANTON COLLINS MITCHELL LLP
Accountancy firm EIN	2017-12-31	010724563
2016 : RIO TINTO ALCAN PENSION PLAN (U.S.) 2016 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$145,436
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$179,117
Total income from all sources (including contributions)	2016-12-31	$133,982,545
Total of all expenses incurred	2016-12-31	$73,085,939
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$68,846,153
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$69,000,000
Value of total assets at end of year	2016-12-31	$922,528,116
Value of total assets at beginning of year	2016-12-31	$861,665,191
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$4,239,786
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Administrative expenses professional fees incurred	2016-12-31	$322,997
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	Yes
Amount of non-exempt transactions with any party-in-interest	2016-12-31	$2,654
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-12-31	$145,436
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$179,117
Administrative expenses (other) incurred	2016-12-31	$3,025,478
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$60,896,606
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$922,382,680
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$861,486,074
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in master investment trust accounts at end of year	2016-12-31	$853,528,116
Value of interest in master investment trust accounts at beginning of year	2016-12-31	$791,665,191
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$69,000,000
Employer contributions (assets) at end of year	2016-12-31	$69,000,000
Employer contributions (assets) at beginning of year	2016-12-31	$70,000,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$68,846,153
Contract administrator fees	2016-12-31	$891,311
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	ANTON COLLINS MITCHELL LLP
Accountancy firm EIN	2016-12-31	010724563
2015 : RIO TINTO ALCAN PENSION PLAN (U.S.) 2015 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$179,117
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$208,460
Total income from all sources (including contributions)	2015-12-31	$63,945,827
Total of all expenses incurred	2015-12-31	$122,684,988
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$117,699,564
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$70,000,000
Value of total assets at end of year	2015-12-31	$861,665,191
Value of total assets at beginning of year	2015-12-31	$920,433,695
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$4,985,424
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Administrative expenses professional fees incurred	2015-12-31	$320,233
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$179,117
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$208,460
Administrative expenses (other) incurred	2015-12-31	$3,576,012
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	$-58,739,161
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$861,486,074
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$920,225,235
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 master investment trust accounts at end of year	2015-12-31	$791,665,191
Value of interest in master investment trust accounts at beginning of year	2015-12-31	$920,433,695
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
Contributions received in cash from employer	2015-12-31	$70,000,000
Employer contributions (assets) at end of year	2015-12-31	$70,000,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$117,699,564
Contract administrator fees	2015-12-31	$1,089,179
Did the plan have assets held for investment	2015-12-31	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	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	ANTON COLLINS MITCHELL LLP
Accountancy firm EIN	2015-12-31	010724563
2014 : RIO TINTO ALCAN PENSION PLAN (U.S.) 2014 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$208,460
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	$83,315,506
Total of all expenses incurred	2014-12-31	$128,153,103
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$122,808,381
Value of total assets at end of year	2014-12-31	$920,433,695
Value of total assets at beginning of year	2014-12-31	$965,062,832
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$5,344,722
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$20,000,000
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
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$208,460
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$0
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	$-44,837,597
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$920,225,235
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$965,062,832
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
Value of interest in master investment trust accounts at end of year	2014-12-31	$920,433,695
Value of interest in master investment trust accounts at beginning of year	2014-12-31	$961,952,872
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
Employer contributions (assets) at end of year	2014-12-31	$0
Employer contributions (assets) at beginning of year	2014-12-31	$3,109,960
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$122,808,381
Contract administrator fees	2014-12-31	$5,344,722
Did the plan have assets held for investment	2014-12-31	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	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	ANTON COLLINS MITCHELL LLP
Accountancy firm EIN	2014-12-31	010724563
2013 : RIO TINTO ALCAN PENSION PLAN (U.S.) 2013 401k financial data
Total transfer of assets to this plan	2013-12-31	$141,301,448
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	$89,024,012
Total of all expenses incurred	2013-12-31	$61,841,617
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$61,841,617
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,920,416
Value of total assets at end of year	2013-12-31	$965,062,832
Value of total assets at beginning of year	2013-12-31	$796,578,989
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	$20,000,000
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
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	$27,182,395
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$965,062,832
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$796,578,989
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 master investment trust accounts at end of year	2013-12-31	$961,952,872
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$796,578,989
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	$1,920,416
Employer contributions (assets) at end of year	2013-12-31	$3,109,960
Employer contributions (assets) at beginning of year	2013-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$61,841,617
Did the plan have assets held for investment	2013-12-31	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	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	MCGLADREY LLP
Accountancy firm EIN	2013-12-31	420714325
2012 : RIO TINTO ALCAN PENSION PLAN (U.S.) 2012 401k financial data
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	$113,781,001
Total of all expenses incurred	2012-12-31	$58,796,602
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$58,796,602
Value of total assets at end of year	2012-12-31	$796,578,989
Value of total assets at beginning of year	2012-12-31	$741,594,590
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	$20,000,000
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
Total non interest bearing cash at end of year	2012-12-31	$0
Total non interest bearing cash at beginning of year	2012-12-31	$3,557,772
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	$54,984,399
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$796,578,989
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$741,594,590
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 in master investment trust accounts at end of year	2012-12-31	$796,578,989
Value of interest in master investment trust accounts at beginning of year	2012-12-31	$725,754,818
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	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Employer contributions (assets) at end of year	2012-12-31	$0
Employer contributions (assets) at beginning of year	2012-12-31	$12,282,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$58,796,602
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	MCGLADREY LLP
Accountancy firm EIN	2012-12-31	420714325
2011 : RIO TINTO ALCAN PENSION PLAN (U.S.) 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	$14,840,187
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$55,561,191
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$55,561,191
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$12,282,000
Value of total assets at end of year	2011-12-31	$741,594,590
Value of total assets at beginning of year	2011-12-31	$782,315,594
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
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
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$0
Total non interest bearing cash at end of year	2011-12-31	$3,557,772
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	$-40,721,004
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$741,594,590
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$782,315,594
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 master investment trust accounts at end of year	2011-12-31	$725,754,818
Value of interest in master investment trust accounts at beginning of year	2011-12-31	$704,209,594
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	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	$12,282,000
Employer contributions (assets) at end of year	2011-12-31	$12,282,000
Employer contributions (assets) at beginning of year	2011-12-31	$78,106,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$55,561,191
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	MCGLADREY LLP
Accountancy firm EIN	2011-12-31	420714325
2010 : RIO TINTO ALCAN PENSION PLAN (U.S.) 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	$164,941,543
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$59,150,028
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$59,150,028
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$93,006,000
Value of total assets at end of year	2010-12-31	$782,315,594
Value of total assets at beginning of year	2010-12-31	$676,524,079
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$0
Total interest from all sources	2010-12-31	$0
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	$100,000,000
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
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$55,000
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	$105,791,515
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$782,315,594
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$676,524,079
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 master investment trust accounts at end of year	2010-12-31	$704,209,594
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$676,469,079
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
Contributions received in cash from employer	2010-12-31	$93,006,000
Employer contributions (assets) at end of year	2010-12-31	$78,106,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$59,150,028
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	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	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	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	PRICEWATERHOUSECOOPERS, LLP
Accountancy firm EIN	2010-12-31	134008324
2009 : RIO TINTO ALCAN PENSION PLAN (U.S.) 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 RIO TINTO ALCAN PENSION PLAN (U.S.)

2019: RIO TINTO ALCAN PENSION PLAN (U.S.) 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	This submission is the final filing	Yes
2019-01-01	Plan is a collectively bargained plan	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: RIO TINTO ALCAN PENSION PLAN (U.S.) 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: RIO TINTO ALCAN PENSION PLAN (U.S.) 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan is a collectively bargained plan	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: RIO TINTO ALCAN PENSION PLAN (U.S.) 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan is a collectively bargained plan	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: RIO TINTO ALCAN PENSION PLAN (U.S.) 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	Yes
2015-01-01	Plan is a collectively bargained plan	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: RIO TINTO ALCAN PENSION PLAN (U.S.) 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	Yes
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	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: RIO TINTO ALCAN PENSION PLAN (U.S.) 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	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: RIO TINTO ALCAN PENSION PLAN (U.S.) 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	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: RIO TINTO ALCAN PENSION PLAN (U.S.) 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
2009: RIO TINTO ALCAN PENSION PLAN (U.S.) 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

Insurance Providers Used on plan

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

TFO 45188

Policy instance

Insurance contract or identification number	TFO 45188
Number of Individuals Covered	1457
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	Yes
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Other information about contract	SINGLE PREMIUM GROUP ANNUITY

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

TFO 45177

Policy instance

Insurance contract or identification number	TFO 45177
Number of Individuals Covered	4712
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Are there contracts with allocated funds for types other than group deferred annuity or individual?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Other information about contract	SINGLE PREMIUM GROUP ANNUITY

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Company Name:	ALCAN CORPORATION C/O RIO TINTO AMERICA
Employer identification number (EIN):	412098316
NAIC Classification:	331310

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	3658771