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Allegheny Technologies Inc – ‘8-K’ for 3/2/21

On:  Tuesday, 3/2/21, at 5:23pm ET   ·   For:  3/2/21   ·   Accession #:  1193125-21-65771   ·   File #:  1-12001

Previous ‘8-K’:  ‘8-K’ on / for 1/28/21   ·   Latest ‘8-K’:  This Filing   ·   1 Reference:  By:  Allegheny Technologies Inc. – ‘S-3ASR’ on 3/31/21

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/02/21  Allegheny Technologies Inc        8-K:5,9     3/02/21   11:202K                                   Donnelley … Solutions/FA

Current Report   —   Form 8-K   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     25K 
 2: EX-10.1     Material Contract                                   HTML     42K 
 7: R1          Document and Entity Information                     HTML     46K 
 9: XML         IDEA XML File -- Filing Summary                      XML     12K 
 6: XML         XBRL Instance -- d103304d8k_htm                      XML     13K 
 8: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
 4: EX-101.LAB  XBRL Labels -- ati-20210302_lab                      XML     53K 
 5: EX-101.PRE  XBRL Presentations -- ati-20210302_pre               XML     34K 
 3: EX-101.SCH  XBRL Schema -- ati-20210302                          XSD     12K 
10: JSON        XBRL Instance as JSON Data -- MetaLinks               12±    18K 
11: ZIP         XBRL Zipped Folder -- 0001193125-21-065771-xbrl      Zip     20K 

‘8-K’   —   Current Report

This is an HTML Document rendered as filed.  [ Alternative Formats ]

 i ALLEGHENY TECHNOLOGIES INC  i PA  i false  i 0001018963 0001018963 2021-03-02 2021-03-02





Washington, DC 20549



FORM  i 8-K




Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported):  i March 2, 2021



Allegheny Technologies Incorporated

(Exact name of registrant as specified in its charter)




 i Delaware    i 1-12001    i 25-1792394

(State or other jurisdiction

of incorporation)



File Number)


(IRS Employer

Identification No.)


 i 1000 Six PPG Place,  i Pittsburgh, Pennsylvania    i 15222-5479
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code  i (412)  i 394-2800


(Former name or former address, if changed since last report).



Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):



Written communication pursuant to Rule 425 under the Securities Act (17 CFR 230.425)



Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)



Pre-commencement communication pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))



Pre-commencement communication pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:


Title of each class





Name of each exchange

on which registered

 i Common Stock, par value $0.10 per share    i ATI    i New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

Emerging growth company   i 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐




Item 5.02.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

(b)    John D. Sims retired from his position as Senior Advisor to the CEO effective as of February 28, 2021. As previously disclosed, Mr. Sims, who led the Company’s High Performance Materials and Components segment from 2013 through December 31, 2020, assumed the role of Senior Advisor to the CEO as of January 1, 2021 with the expectation that he would retire during 2021.

(e)    The Company entered into a Consulting Agreement (“Consulting Agreement”), dated February 28, 2021 (the “Effective Date”), with Mr. Sims, pursuant to which Mr. Sims will provide certain consulting services to the Company as requested by the Company from time to time through the end of 2021, in exchange for which he will be entitled to certain consulting fees and other benefits as more fully described in the Consulting Agreement. The Consulting Agreement, which is filed as Exhibit 10.1 to this Current Report on Form 8-K and incorporated herein by reference, also contains provisions that restrict Mr. Sims from competing against the Company or soliciting employees or customers of the Company for a period of 24 months following the effective date, together with other affirmative and negative covenants that are customary for agreements of this nature.


Item 9.01.



(d)    Exhibit 10.1    Consulting Agreement dated February 28, 2021
   104    Cover Page Interactive Data File (embedded within the Inline XBRL document)


Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.



/s/: Elliot S. Davis

  Elliot S. Davis
  Senior Vice President, General Counsel,
  Chief Compliance Officer and Corporate Secretary

Dated: March 2, 2021

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
Filed on / For Period end:3/2/21
 List all Filings 

1 Subsequent Filing that References this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/31/21  Allegheny Technologies Inc        S-3ASR      3/31/21    5:1.2M                                   Donnelley … Solutions/FA
Filing Submission 0001193125-21-065771   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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