Document:

EX-10.75

 Exhibit 10.75 
 JOINT DEVELOPMENT INTELLECTUAL PROPERTY AGREEMENT 
 THIS JOINT DEVELOPMENT
INTELLECTUAL PROPERTY AGREEMENT (“Agreement”) is made effective as of the 21 day of May, 2013, among Cancer Genetics, Inc., a company with principal offices in Rutherford, New Jersey (hereafter “CGI”), Mayo
Foundation for Medical Education and Research, a company with principal offices in Rochester, Minnesota (hereafter “Mayo”) and Oncospire Genomics LLC, a Delaware limited liability company (hereafter “Company”). CGI,
Mayo and Company are each referred to in this Agreement as a “Party” and collectively, the “Parties.” 

WHEREAS: 
 A.
CGI has expertise in the technical and clinical validation of biomarker assays as well as delivery of oncology focused laboratory services and the commercial infrastructure to develop diagnostic products. 

B. Mayo has expertise in clinical medicine, biomedical and translational research, technical and clinical validation of biomarker assays,
and delivery of laboratory services. 
 C. Mayo and CGI are each members of the Company, the purpose of which is focused on
developing individualized medicine consisting of: (1) biomarker discovery and validation initially in specific hematologic and urogenital disorders; (2) biomarker discovery and validation in other solid tumors, e.g., esophageal, head and
neck and lung cancers; and (3) development of commercial products in the form of diagnostic products and services and early stage therapeutic markers. 
 D. It is the intent of the Parties that any developments and associated intellectual property resulting from this Agreement will be owned, deployed and/or exploited by Company, except as otherwise
provided by the terms of this Agreement. 
 NOW THEREFORE, in consideration of the representations, warranties, covenants and
agreements contained herein and for other good and valuable mutual consideration, the receipt and adequacy of which is hereby acknowledged, the parties mutually agree as follows: 

ARTICLE 1 

DEFINITIONS 
 As
used in this Agreement, the following terms shall have the meanings set forth or as referenced below: 
 1.1 “Affiliate
for CGI or Company” of CGI or Company means a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, the person specified. “Control” shall mean the
ownership of more than 50% of the shares of stock entitled to vote for the election of directors in the case of a corporation, and more than 50% of the voting power in the case of a business entity other than a corporation. 

 Mayo/CGI/Company 
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 1.2 “Affiliate for Mayo” means any corporation or other entity within
the same “controlled group of corporations” as MAYO or its parent MAYO Clinic. For purposes of this definition, the term “controlled group of corporations” will have the same definition as Section 1563 of the Internal
Revenue Code as of November 10, 1998, but will include corporations or other entities which if not a stock corporation, more than fifty percent (50%) of the board of directors or other governing body of such corporation or other entity is
controlled by a corporation within the controlled group of corporations of MAYO or Mayo Clinic. MAYO’s Affiliates include, but are not limited to: Mayo Clinic; Mayo Collaborative Services, Inc.; Mayo Clinic - Methodist Hospital; Mayo Clinic -
Saint Marys Hospital; Mayo Clinic Florida; Mayo Clinic Arizona; and its Mayo Clinic Health System entities. 
 1.3
“Agreement” means this agreement and any Statement of Work under this Agreement. 
 1.4
“Company” means Oncospire Genomics LLC a Delaware limited liability company, formed by CGI and Mayo for the purpose of researching and developing Deliverables. 

1.5 “Confidential Information” means all information or material, written or oral, that is not generally known,
including but not limited to trade secrets, product information, manufacturing information, strategic plans, organizational charts, financial reports, research and development information, strategic plans, marketing information and plans, customer
lists, information regarding proprietary processes, inventions, and prototypes, product specifications, costs and pricing information, images, drawings, sketches, prints, videos, and photographs, as well as other information that, under the
circumstances surrounding the disclosure, ought in good faith be treated as proprietary and confidential. The receiving party’s obligations under this Agreement do not extend to information that is: (a) publicly known at the time of
disclosure or subsequently becomes publicly known through no fault of the receiving party; (b) discovered or created by the receiving party before disclosure by disclosing party; (c) learned by the receiving party through legitimate means
other than from the disclosing party or disclosing party’s representatives; (d) is disclosed by receiving party with disclosing party’s prior written approval; or (e) is subsequently independently developed by an employee or
consultant of the receiving party who had no previous knowledge of the Confidential Information. 
 If a receiving party is
required to disclose Confidential Information of the disclosing party by reason of legal, accounting or regulatory requirements, the receiving party shall give the disclosing party reasonable advance notice of such disclosure and shall use
reasonable efforts to secure confidential treatment of such Confidential Information required to be disclosed. 
 1.6
“Deliverables” means the deliverable items, if any, to be developed by the parties as a result of a Project, which will be described in the applicable Statement of Work. 

1.7 “CGI” means CGI and its Affiliates. 
 1.8 “Intellectual Property” means U.S. and foreign patents and patent applications, utility models and utility model applications, design patents or registered industrial designs and
design applications or applications for registration of industrial designs, copyrights, know-how, 

  
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trade secrets, other intellectual property rights (other than Marks), inventions, discoveries and technical information, including but not limited to, information embodied in drawings, designs,
mask works, mask work applications, material specifications, processing instructions, formulas, equipment specifications, product specifications, confidential data computer software, electronic files, research notebooks, invention disclosures,
research and development reports and the like related thereto. 
 1.9 “CGI Intellectual Property” means
(a) any of the Intellectual Property of CGI conceived prior to the date of this Agreement, and (b) any Intellectual Property conceived by CGI after the effective date of the Agreement that is not conceived during and in the course of work
under a Statement of Work hereunder. CGI Intellectual Property shall not include any Resulting Intellectual Property. 
 1.10
“Marks” means trademarks, service marks, trade names, logotypes or other means of identification of products or services, whether registered or common law, and whether domestic or foreign. 

1.11 “Mayo” means Mayo and its Affiliates. 
 1.12 “Mayo Intellectual Property” means (a) all Intellectual Property of Mayo that was conceived prior to the date of this Agreement, or (b) any Intellectual Property conceived
by Mayo after the effective date of this Agreement that is not conceived during and in the course of work under a Statement of Work hereunder. Mayo Intellectual Property shall not include any Resulting Intellectual Property. 

1.13 “Person” means any natural person, partnership (whether general or limited), limited liability company, trust,
estate, association, corporation, joint venture, proprietorship, governmental agency, trust, estate, association, custodian, nominee or any other individual or entity, whether acting in an individual, fiduciary, representative or other capacity.

 1.14 “Project” means a mutually agreed upon joint development project to be conducted pursuant to a
Statement of Work by the parties under the terms of this Agreement. 
 1.15 “Pre-Existing Intellectual
Property” means the CGI Intellectual Property or the Mayo Intellectual Property, or both, as the case may be. 
 1.16
“Resulting Intellectual Property” means all Intellectual Property conceived during and in the course of work under Statement of Work hereunder either solely by a party, jointly by the parties, or jointly by a party and a third party
but excluding CGI Intellectual Property and Mayo Intellectual Property. 
 1.17 “Statement of Work” means a
document that sets forth a specific Project, as further described in Section 2.2. 

  
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 ARTICLE 2 
 JOINT DEVELOPMENT PROJECTS 
 2.1 Cooperation. CGI and Mayo generally intend
to cooperate and use commercially reasonable efforts to exchange information and resources that will lead to the joint development of individualized medicine through the Company consisting of: (1) biomarker discovery and validation initially in
specific hematologic and urogenital disorders; (2) biomarker discovery and validation in other solid tumors, e.g., esophageal, head and neck and lung cancers; and (3) development of commercial products in the form of diagnostic products
and services and early stage therapeutic markers. CGI and Mayo agree to cooperate and use commercially reasonable efforts with respect to Projects set forth in any Statement of Work under this Agreement. All of the information exchanged between the
parties shall be Confidential Information entitled to the protections in Article 4 below. 
 2.2 Statements of Work. The
Company’s Scientific Review Committee (the “SRC”) shall be responsible for making recommendations to the Company’s Board of Governors regarding Statements of Work describing Projects to be initiated by the Company. If the Board
of Governors approves the Statement of Work, it will be deemed an Exhibit hereto and incorporated into this Agreement by reference. A form of Statement of Work is attached hereto as Exhibit A. For each Project described in a Statement of
Work, the terms of this Agreement shall control, provided that if the terms of a Statement of Work conflict with the terms of this Agreement, then the specific terms of the applicable Statement of Work shall control with respect to such Project.
Each Statement of Work shall (a) describe in detail and set forth the specifications for all Deliverables, if any, that will result from the applicable Project, (b) set forth other necessary or desirable terms for the Project, such as
obligations of each party with respect to the applicable Project, payment and delivery schedules, acceptance criteria, reporting requirements, ownership of Resulting Intellectual Property and distribution and commercialization rights of each of the
parties with respect to any Deliverables, and (c) any modifications to the terms of this Agreement that shall apply to such Project. The SRC shall review each existing Statement of Work on a quarterly basis and shall have the authority to
modify the terms of a Statement of Work provided that such modifications are within the budget approved by the Board of Governors for such Statement of Work. Any modifications exceeding the budget must be approved by the Board of Governors prior to
implementation. 
 2.3 Outstanding Statements of Work. Each Statement of Work will remain in effect until the earlier of:

  

	 	(a)	Completion of the Project contemplated by the Statement of Work; or 

  

	 	(b)	termination of the Statement of Work in accordance with this Agreement or the express terms of such Statement of Work. 

2.4 Work Only Under Statements of Work. Except as may otherwise be provided herein, the parties shall not be obligated to
undertake any Project other than as described in a Statement of Work that has been agreed between the parties, as provided in Section 2.2. 
 2.5 Exclusivity. During the term of this Agreement, the parties agree that for the term of a Statement of Work, the CGI and Mayo personnel working in or with Company on such Statement of Work will
work exclusively with Company on commercial endeavors which are the focus of a Project identified in a Statement of Work. For the avoidance of doubt, CGI and Mayo personnel working on the specific Project and will not work with any third parties on
commercial 

  
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activity which is the same subject matter as specifically described in a Statement of Work. However, CGI and Mayo personnel may nevertheless engage with third parties in simultaneous academic
and/or research activities, such as sponsored research, which does not have a commercial focus. The parties agree to enter into good faith negotiations with each other with the objective of evaluating the interest of the parties hereto in
formulating proposed Projects for approval by the Scientific Review Committee, to be memorialized in Statements of Work. 
 2.6
Cooperation and Expenses. The parties shall cooperate and provide each other with all information and assistance reasonably required for completion of each Project. The parties anticipate that all costs and expenses for a Project will be
borne by the Company and addressed in the Statement of Work for such Project. Notwithstanding the foregoing, nothing in this ARTICLE 2 shall create an affirmative obligation of either party to this Agreement to license to the other party to this
Agreement any Pre-Existing Intellectual Property, the licensing of such Pre-Existing Intellectual Property being within the good faith discretion of the parties hereto based on the perceived efficacy of the same in developing proposals for joint
development, the disclosing party’s obligations to third parties, whether current or in the future, with respect to such Pre-Existing Intellectual Property, and such other considerations as are, in the sole discretion of the parties hereto,
relevant to such proposed licensing. The parties agree to use reasonable efforts to disclose Pre-Existing Intellectual Property that may be relevant to commercializing products and services that are likely to arise out of the specific Project.

 ARTICLE 3 
 TERM AND TERMINATION 
 3.1 Term. This Agreement shall take effect as of the
Effective Date and shall continue in force for an initial term ending three (3) years from the Effective Date. Upon termination, the parties shall meet to develop a plan addressing the orderly conclusion of Statements of Work that are in
process on the date of termination. If the parties are unable to develop such a plan within thirty (30) days of the end of the initial term, such SOWs shall terminate. 
 3.2 Termination For Cause. This Agreement may be terminated at any time in accordance with the following provisions: 
  

	 	(a)	by written notice from CGI to Mayo and the Company in the event of (i) a breach of any material term of this Agreement by Mayo or the Company that is not cured
within ninety (90) calendar days after receipt by Mayo or the Company of written notice from CGI specifying the nature of and basis for the asserted breach; provided, that if such breach cannot reasonably be cured within ninety (90) days,
such breach shall be deemed cured if Mayo or the Company commences to cure such breach within such 90-day period and diligently thereafter pursues such cure, or (ii) the commencement by or against Mayo or the Company of any bankruptcy,
insolvency or reorganization proceeding which has not been dismissed within ninety 90 days after commencement; 

  
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	 	(b)	by written notice from Mayo to CGI and the Company in the event of (i) a breach of any material term of this Agreement by CGI or the Company that is not cured
within ninety (90) calendar days after receipt by CGI or the Company of written notice from Mayo specifying the nature of and basis for the asserted breach; provided, that if such breach cannot reasonably be cured within ninety (90) days,
such breach shall be deemed cured if CGI or the Company commences to cure such breach within such 90-day period and diligently thereafter pursues such cure, or (ii) the commencement by or against CGI or the Company of any bankruptcy, insolvency
or reorganization proceeding which has not been dismissed within ninety (90) days after commencement. 

  

	 	(c)	by written notice from the Company to CGI and Mayo in the event of (i) a breach of any material term of this Agreement by CGI or Mayo that is not cured within
ninety (90) calendar days after receipt by CGI or Mayo, as applicable, of written notice from the Company specifying the nature of and basis for the asserted breach; provided, that if such breach cannot reasonably be cured within ninety
(90) days, such breach shall be deemed cured if CGI or Mayo commences to cure such breach within such 90-day period and diligently thereafter pursues such cure, or (ii) the commencement by or against CGI or Mayo of any bankruptcy,
insolvency or reorganization proceeding which has not been dismissed within ninety (90) days after commencement. 

 3.3 Rights and Obligations on Termination. In the event of termination or expiration of this Agreement for any reason, the parties shall have the following rights and obligations (in addition to
such rights, obligations and remedies they may have at law and in equity with respect to any breach of this Agreement): 
  

	 	(a)	The rights and obligations of the parties under Article 4, Article 5, Article 6, Article 7, Article 8 and Section 9.1 shall survive any termination or expiration
of this Agreement; and 

  

	 	(b)	Upon termination or expiration of this Agreement, each party will return to the other all tangible Confidential Information as provided in Section 4.1 below, and each
party will deliver to the other a copy of any documentation in its possession or control specifically relating to any Resulting Intellectual Property that is jointly owned by the parties. 

The termination of this Agreement shall have no effect on any licenses granted to any party pursuant to Section 5.2 and such
licenses shall remain in full force and effect except as otherwise provided therein. 
 ARTICLE 4 

CONFIDENTIALITY 

4.1 Confidentiality Obligation. Each party acknowledges and agrees that all of the other party’s Confidential Information,
and the Confidential Information jointly developed by the 

  
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parties subsequent to the date of this Agreement, is confidential and proprietary. Each party agrees to hold the other party’s Confidential Information in strict confidence and agrees not to
use or disclose such Confidential Information or any jointly developed Confidential Information to any third party for any purpose other than as permitted or required hereunder. Each party shall take the same reasonable measures necessary to prevent
any disclosure by its employees, agents, contractors or consultants of the other party’s Confidential Information as it applies to the protection of its own Confidential Information, including, without limitation, the use of appropriate
non-disclosure agreements with employees, agents, contractors, or consultants. All Confidential Information provided by one party to the other party hereunder, shall remain the property of the disclosing party. The Receiving Party shall, within ten
days of a written request to do so or within thirty (30) days of termination of this Agreement, return to the Disclosing Party, or at the Receiving Party’s option, destroy all Confidential Information that has been provided in tangible
form and shall, unless prohibited by law, destroy or otherwise render unintelligible all other Confidential Information. All Confidential Information jointly developed by CGI and Mayo shall be jointly owned by CGI and Mayo, with each party having an
undivided interest therein. Each of CGI and Mayo shall be entitled to retain a copy or copies of any jointly developed Confidential Information upon the termination of this Agreement, subject to each party’s obligations with respect to such
jointly developed Confidential Information as set forth in this Agreement. 
 4.2 Injunctive Relief. The parties
acknowledge that monetary damages may not be sufficient remedy for a breach of obligation of confidentiality in this Agreement and agree that each party shall be entitled to seek appropriate equitable remedies, including injunctive relief, to
prevent the unauthorized use or disclosure of any of its Confidential Information. 
 4.3 Term. The obligations under
Article 4 expire ten (10) years after disclosure of Confidential Information from one party to the other party, or five (5) years after termination of this Agreement, whichever occurs earlier. 

ARTICLE 5 

INTELLECTUAL PROPERTY RIGHTS 
 5.1 License Grant. Each party hereby grants to the other parties, but effective only upon execution of a Statement of Work, a non-exclusive, non-transferable, limited license to use the
Pre-Existing Intellectual Property of granting party as set forth in the Statement of Work, as and when such Pre-Existing Intellectual Property is made available by one party to the other party hereunder as the result of any Project, but solely to
the extent necessary for completion of the Project represented by such Statement of Work and only during the term of such Project. 
 5.2 Ownership of Intellectual Property. All Mayo Intellectual Property shall be and remain the property of Mayo, and neither CGI nor the Company shall acquire any rights therein except for the
license expressly granted in Section 5.1. All CGI Intellectual Property shall be and remain the property of CGI, and neither Mayo nor the Company shall acquire any rights therein except for the licenses expressly granted in Section 5.1.

  

	 	(a)	 The parties shall negotiate in good faith in the Statement of Work the ownership and rights to commercialize any Resulting Intellectual Property

  
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arising from the Project. Unless otherwise provided in the Statement of Work, the Resulting Intellectual Property conceived by Mayo or CGI, whether alone, jointly, or jointly with a third party,
shall be owned by the Company, and the Company shall have the right to commercialize the Resulting Intellectual Property in the form of diagnostic products and/or services. Notwithstanding the foregoing, and except as otherwise provided in a
Statement of Work, the Company shall grant CGI a license to commercialize the Resulting Intellectual Property in the form of diagnostic products, and the Company shall grant Mayo a license to commercialize the Resulting Intellectual Property in the
form of diagnostic laboratory services, provided that such license shall be modified as necessary for Mayo to remain compliant with the FDA regulations governing laboratory developed tests. CGI and Mayo shall also have access to any bioinformatics
owned or controlled by Company as may be necessary or useful to enjoy their respective commercialization rights. Any licenses granted to CGI, on one hand, or Mayo, on the other hand, to commercialize the Resulting Intellectual Property in the form
of diagnostic services or diagnostic products, respectively, shall be subject to the approval of the Company, CGI and Mayo. All fees and royalties related to licenses granted under this Section 5.2(b) shall be the property of the Company. The
parties agree to execute all appropriate license agreements and any other documents necessary to effectuate the intent of this Section 5.2(b). The Statements of Work shall set forth the royalties due to Company from Mayo and CGI. Neither Mayo
nor CGI shall be allowed to sublicense, transfer, assign, or otherwise convey to any third party any rights (other than have made rights) it may receive from the Company to commercialize the Resulting Intellectual Property. 

 

	 	(b)	Unless otherwise specified in a Statement of Work, the Company shall retain control over the Resulting Intellectual Property, including, but not limited to, the right
to (i) prosecute any alleged infringement, misappropriation or misuse of the Resulting Intellectual Property, (ii) commercialize the Resulting Intellectual Property, and (iii) apply for, prosecute, or cause the issuance, amendment,
abandonment, maintenance, re-examination or reissue of any patents, trademarks or copyrights included within the Resulting Intellectual Property. The Company shall bear the expense and responsibility of filing, prosecuting and maintaining any U.S.
and foreign patents, patent applications, trademark registrations, and copyright registrations associated with the Resulting Intellectual Property, unless otherwise stated in a written agreement signed by the parties and the Company. The obligations
of this Section 5.2(a) will survive any termination or expiration of this Agreement. 

  

	 	(c)	Each party agrees to execute and deliver without further consideration, but at Company’s cost any further applications, licenses, assignments or other documents,
and to perform such other lawful acts as the other party may reasonably request to fully secure and/or evidence the rights or interests in this Section 5.2. 

  
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	 	(d)	Until expiration of the confidentiality obligation under this Agreement, neither party shall disclose any Confidential Information of the other party in an independent
patent application without the written permission of the other party, except that each party will be allowed to file US provisional patent applications that may contain such Confidential Information before resolving whether the US provisional
application actually includes such Confidential Information and to facilitate requests for written permission from the other party if appropriate. 

 5.3 Existing Marks. Nothing in this Agreement or any Statement of Work, shall confer in any party to this Agreement any rights, whether by way of ownership, license or right to use, in any of the
Marks of any other party to this Agreement. CGI shall not use the names or Marks of Mayo in any advertising, publicity, endorsement or otherwise without Mayo’s prior written consent and Mayo shall not use the names or Marks of CGI in any
advertising, publicity, endorsement or otherwise, without CGI’s prior written consent. Company shall not use the names or trademarks of the parties or any of a party’s affiliated entities in any advertising, publicity, endorsement, or
otherwise unless such Party has provided prior written consent for the particular use contemplated. With regards to use of Mayo’s name, all requests for approval pursuant to this Section must be submitted to the Mayo Clinic Public Affairs
Business Relations Group, at the following E-mail address: publicaffairsbr@mayo.edu at least 5 business days prior to the date on which a response is needed. The terms of this section survive the termination, expiration, non-renewal, or rescission
of this Agreement. 
 5.4 Employees and Consultants. Each party shall exercise reasonable commercial efforts to obtain
from all employees, consultants and third parties who perform any portion of such party’s obligations under this Agreement written agreements with such party whereby such employee, consultant or third party assigns to such party all ownership
rights in any inventions or discoveries made or developed by such employee, consultant or third party in the course of such work for such party and whereby such employee, consultant or third party agrees to reasonable and customary protections
regarding the confidentiality of all proprietary information and Confidential Information of the parties hereto. Each party shall provide copies of such agreements to the other party upon request. 

ARTICLE 6 

COMMERCIALIZATION 

6.1 In General. This Agreement requires neither party to commercialize, manufacture and/or distribute any Deliverables, unless the
parties enter into separate written agreements under commercially reasonable terms governing the supply and distribution of such Deliverables or other products, and the parties respective obligations with respect to regulatory matters. 

6.2 Rights to Commercialize Intellectual Property. Unless otherwise specified in a Statement of Work or other written agreement,
neither the Company nor CGI shall have the right to manufacture, market or sell any product or service, whether or not jointly developed pursuant to a Statement of Work, that incorporates any Mayo Intellectual Property without Mayo’s

  
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express written consent, and neither the Company nor Mayo shall have the right to manufacture, market or sell any product or device, whether or not jointly developed pursuant to a Statement of
Work, that incorporates any CGI Intellectual Property without CGI’s express written consent. This provision survives termination of this Agreement for any reason. 
 ARTICLE 7 
 CERTAIN REPRESENTATIONS, WARRANTIES AND INDEMNITIES 

7.1 Representations of CGI. CGI represents, warrants and covenants to the other parties that: 

 

	 	(a)	This Agreement constitutes a valid and legally binding agreement of CGI, enforceable against CGI in accordance with its terms, subject to bankruptcy, insolvency,
fraudulent transfer, reorganization, moratorium and similar laws of general applicability relating to or affecting creditors’ rights and to general equity principles. 

 

	 	(b)	Neither the execution and delivery of this Agreement, nor the consummation of the transactions contemplated herein, will violate any provision of the articles of
organization, bylaws or other governing instruments of CGI or any law, rule, regulation, writ, judgment, injunction, decree, determination, award or other order of any court or governmental agency or instrumentality, domestic or foreign, or conflict
with or result in any breach of any of the terms of or constitute a default under or result in termination of or the creation or imposition of any mortgage, deed of trust, pledge, lien, security interest or other charge or encumbrance of any nature
pursuant to the terms of any contract or agreement to which CGI is a party or by which CGI or any of its assets is bound. 

  

	 	(c)	CGI has all rights and licenses required in order to provide the Confidential Information, and the Pre-existing Intellectual Property and Resulting Intellectual
Property of CGI, which is, or may be, provided to Mayo or the Company hereunder; provided, however, that nothing herein shall be construed as a representation or warranty of non-infringement of third party patent rights. 

7.2 Representations of Mayo. Mayo represents, warrants and covenants to the other parties that: 

 

	 	(a)	This Agreement constitutes a valid and legally binding agreement of Mayo, enforceable against Mayo in accordance with its terms, subject to bankruptcy, insolvency,
fraudulent transfer, reorganization, moratorium and similar laws of general applicability relating to or affecting creditors’ rights and to general equity principles. 

 

	 	(b)	 Neither the execution and delivery of this Agreement nor the consummation of the transactions contemplated herein will violate any provision of the
articles and bylaws of Mayo or any law, rule, regulation, 

  
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writ, judgment, injunction, decree, determination, award or other order of any court or governmental agency or instrumentality, domestic or foreign, or conflict with or result in any breach of
any of the terms of or constitute a default under or result in termination of or the creation or imposition of any mortgage, deed of trust, pledge, lien, security interest or other charge or encumbrance of any nature pursuant to the terms of any
contract or agreement to which Mayo is a party or by which Mayo or any of its assets is bound. 

  

	 	(c)	Mayo has all rights and licenses required in order to provide the Confidential Information, and the Pre-existing Intellectual Property and Resulting Intellectual
Property of Mayo, which is, or may be, provided to CGI or the Company hereunder; provided, however, that nothing herein shall be construed as a representation or warranty of non-infringement of third party patent rights. 

7.3 Disclaimer of Warranties. EXCEPT FOR THE EXPRESS WARRANTIES STATED IN THIS SECTION 7, NEITHER PARTY MAKES ANY WARRANTIES OR
REPRESENTATIONS OF ANY KIND, EXPRESS OR IMPLIED. THE PARTIES, INCLUDING COMPANY ACKNOWLEDGE AND UNDERSTAND THAT THERE IS NO GUARANTEE THAT THE PARTIES WILL BE ABLE TO SUCCESSFULLY DEVELOP OR COMMERCIALIZE ANY PRODUCTS OR SERVICES OR THAT SUCH
PRODUCTS OR SERVICES, IF COMMERCIALIZED, WILL BE ACCEPTED BY OR SUCCESSFUL IN THE MARKET. 
 7.4 Indemnification by CGI.
CGI shall indemnify, defend and hold harmless Mayo and the Company and each of their respective subsidiaries, officers, directors, shareholder, employees, agents and Affiliates (collectively, all such indemnified persons are referred to in this
Section as the “Indemnified Parties”) against and in respect of any and all third party claims, demands, losses, obligations, liabilities, damages, deficiencies, actions, settlements, judgments, costs and expenses which the Indemnified
Parties may incur or suffer or with which it may be faced (including reasonable costs and legal fees incident thereto or in seeking indemnification therefor), arising out of or based upon (i) the breach by CGI of any of its representations,
warranties, covenants or agreements contained or incorporated in this Agreement, or (ii) any act or omission of CGI, its agents, employees or its suppliers, or products, except to the extent of injury or damage due to Indemnified Parties’
negligence or willful misconduct. 
 7.5 Indemnification by Mayo. Mayo shall indemnify, defend and hold harmless CGI and
the Company and each of their respective subsidiaries, officers, directors, shareholder, employees, agents and Affiliates (collectively, all such indemnified persons are referred to in this Section as the “Indemnified Parties”) against and
in respect of any and all third party claims, demands, losses, obligations, liabilities, damages, deficiencies, actions, settlements, judgments, costs and expenses which Indemnified Parties may incur or suffer or with which it may be faced
(including reasonable costs and legal fees incident thereto or in seeking indemnification therefor), arising out of or based upon (i) the breach by Mayo of any of its representations, warranties, covenants or agreements contained or
incorporated in this Agreement, or (ii) any act or omission of Mayo, its agents, employees or its suppliers, or products, except to the extent of injury or damage due to Indemnified Parties’ negligence or willful misconduct. 

  
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 7.6 Indemnification by Company. Company shall indemnify, defend and hold harmless
CGI and Mayo and each of their respective subsidiaries, officers, directors, shareholder, employees, agents and Affiliates (collectively, all such indemnified persons are referred to in this Section as the “Indemnified Parties”) against
and in respect of any and all third party claims, demands, losses, obligations, liabilities, damages, deficiencies, actions, settlements, judgments, costs and expenses which Indemnified Parties may incur or suffer or with which it may be faced
(including reasonable costs and legal fees incident thereto or in seeking indemnification therefor), regardless of the legal theory asserted, arising out of or based upon (i) the Company’s activities, including any act or omission of
Company, its agents, non-party employees or suppliers or (ii) the development, marketing or any commercialization of any product or service, except of the extent of injury or damage due to Indemnified Parties’ gross negligence or willful
misconduct. 
 7.7 Limitation of Liability. EXCEPT IN THE CASE OF MISAPPROPRIATION OF THE CONFIDENTIAL INFORMATION OR
INTELLECTUAL PROPERTY OF ONE PARTY BY ANOTHER PARTY HEREUNDER, IN NO EVENT SHALL EITHER MAYO NOR CGI BE LIABLE TO ANY PARTY FOR ANY INDIRECT, INCIDENTAL, SPECIAL, CONSEQUENTIAL OR OTHER SIMILAR DAMAGES UNDER OR AS A RESULT OF THIS AGREEMENT.

 ARTICLE 8 
 DISPUTE RESOLUTION 
 8.1 Governing Law. This Agreement will be governed by
and interpreted in accordance with the laws of the State of New York, excluding its choice of law rules. The exclusive fora for actions between the parties in connection with this Agreement are the State District Court sitting in the state of New
York, or the United States Court for the Southern District of New York. Each party agrees unconditionally that it is personally subject to the jurisdiction of such courts. 
 ARTICLE 9 
 MISCELLANEOUS PROVISIONS 

9.1 Announcements. All public notices to third parties and all other publicity concerning the transactions contemplated by this
Agreement shall be jointly planned and coordinated by Mayo and CGI and no party shall act unilaterally in this regard without the prior approval of the other party (such approval not to be unreasonably withheld), except where required to do so by
applicable law or by the applicable regulations or policies of any governmental authority or any stock exchange in circumstances where prior consultation with the other party is not practicable. In addition, CGI shall not use or disclose Mayo’s
name or any description or details of the transactions contemplated under this Agreement in any public disclosure or marketing materials (e.g., customer list) without the prior written consent of Mayo. 

  
 12 

 Mayo/CGI/Company 
 May 21, 2013 
  

 9.2 Assignment. This Agreement shall be binding upon and inure to the benefit of
the parties hereto and the successors or assigns of the parties hereto; provided, that (i) the rights and obligations of CGI herein may not be assigned without Mayo’s express, written consent, (ii) the rights and obligations of Mayo
herein may not be assigned without CGI’s express, written consent and (iii) the rights and obligations of Company herein may not be assigned without the express written consent of Mayo and CGI, provided that Company may assign its rights
and obligations herein in connection with a merger or consolidation involving the Company or in connection with a sale of substantially all of the equity or assets of the Company. 

9.3 No Waiver. No failure or delay on the part of any party in exercising any power or right under this Agreement will operate as
a waiver of such power or right. No single or partial exercise of any right or power under this Agreement will preclude any further or other exercise of such right or power. No modification or waiver of any provision of this Agreement and no consent
to any departure by any party from any provision of this Agreement will be effective until the same is in writing. Any such waiver or consent will be effective only in the specific instance and for the specific purpose for which it was given. No
notice to or demand on any party in any circumstances will entitle such party to any other or further notice or demand in similar or other circumstances. 
 9.4 Counterparts and Facsimile. This Agreement and any amendment, supplement, restatement or termination of any provision of this Agreement may be executed and delivered in any number of
counterparts, each of which when executed and delivered is an original but all of which taken together constitute one and the same instrument. 
 9.5 Prior Agreements. This Agreement, including all Statements of Work that are attached hereto or that are executed by the parties pursuant to this Agreement, constitutes the entire Agreement
between the parties concerning joint development projects to be conducted between Mayo and CGI after the date of this Agreement. No amendment to or modification of this Agreement (including any Statement of Work) will be binding unless in writing
and signed by a duly authorized representative of both parties. 
 9.6 Severability. Whenever possible, each provision of
this Agreement will be interpreted in such manner as to be effective and valid under applicable law, but if any provision of this Agreement is held to be prohibited by or invalid under applicable law, such provision will be ineffective only to the
extent of such prohibition or invalidity, without invalidating the remainder of this Agreement. In the event of such invalidity, the parties shall seek to agree on an alternative enforceable provision that preserves the original purpose of this
Agreement. 
 9.7 Mutual Agreement. Both parties declare that they have read and understood this Agreement, and that for
execution of this Agreement they have relied upon the legal advice of their respective counsel. 
 [The remainder of this page
is intentionally left blank. The signature page follows.] 

  
 13 

 Mayo/CGI/Company 
 May 21, 2013 
  

 IN WITNESS WHEREOF the parties have executed this Agreement as of the Effective Date set
forth above. 
  

									
	CANCER GENETICS, INC.	 		 	MAYO FOUNDATION FOR MEDICAL EDUCATION AND RESEARCH
					
	By:	 	

	 		 	By:	 	/s/ Daniel D. Estes
		 	PANNA SHARMA	 		 		 	
					
	Its:	 	President & CEO	 		 	Its:	 	Assistant Treasurer
				
	ONCOSPIRE GENOMICS, LLC	 		 		 	
					
	By:	 	 	 		 		 	
					
	Its:	 	 	 		 		 	

  
 14 

 Mayo/CGI/Company 
 May 21, 2013 
 EXHIBIT A 

STATEMENT OF WORK (FORM) 
 STATEMENT OF WORK NUMBER      
 Exhibit to Master Joint
Development Agreement between Mayo and CGI, dated as of                     . All terms not defined in this Statement of Work that are capitalized
shall have the meaning given in the Master Joint Development Agreement. 
 Name of Project: 

Specific Description for purposes of Section 2.5 of this Agreement and 3.9 of the Affiliation Agreement: 

Developed Product(s): 
 Specifications for Developed Product(s) (if any): 
 Deliverables: 

Obligations of the Parties: 
 Payments: 
 Delivery Schedule: 

Acceptance Criteria (if any): 
 Ownership of Resulting Intellectual Property: 
 Distribution Rights: 

Other Applicable Terms for the Project: 
 APPROVED BY THE COMPANY BOARD OF GOVERNORS: 
  

					
	  
	  	
	  
	 	, Governor of CompanyEX-4.1

 Exhibit 4.1 
 EXECUTION COPY 
 ALLEGHENY TECHNOLOGIES INCORPORATED 

and 

THE BANK OF NEW YORK MELLON, 
 as Trustee 
 FOURTH SUPPLEMENTAL INDENTURE 

DATED AS OF JULY 12, 2013 
 TO THE INDENTURE 
 DATED AS OF JUNE 1, 2009 

$500,000,000 principal amount of 5.875% Senior Notes due 2023 

 Table of Contents 

 

							
	 	 	 	  	Page	 
	 ARTICLE I DEFINITIONS
	  	 	2	  
	 SECTION 1.01.
	 	Capitalized Terms.	  	 	2	  
	 SECTION 1.02.
	 	References.	  	 	2	  
	 SECTION 1.03.
	 	Definitions.	  	 	2	  
	 ARTICLE II GENERAL TERMS AND CONDITIONS OF THE NOTES
	  	 	4	  
	 SECTION 2.01.
	 	Designation and Principal Amount.	  	 	4	  
	 SECTION 2.02.
	 	Maturity.	  	 	5	  
	 SECTION 2.03.
	 	Form and Payment.	  	 	5	  
	 SECTION 2.04.
	 	Interest.	  	 	5	  
	 SECTION 2.05.
	 	Payment of Additional Interst Based on Rating Events.	  	 	5	  
	 SECTION 2.06.
	 	No Sinking Fund.	  	 	8	  
	 ARTICLE III ADDITIONAL COVENANTS
	  	 	8	  
	 SECTION 3.01.
	 	Limitation on Liens.	  	 	8	  
	 SECTION 3.02.
	 	Limitation on Sale and Leaseback Transactions.	  	 	9	  
	 SECTION 3.03.
	 	Limitation on Guarantees.	  	 	9	  
	 ARTICLE IV REDEMPTION OF THE NOTES
	  	 	9	  
	 SECTION 4.01.
	 	Optional Redemption.	  	 	9	  
	 SECTION 4.02.
	 	Purchase of Notes Upon a Change of Control Repurchase Event.	  	 	11	  
	 ARTICLE V EVENTS OF DEFAULT
	  	 	14	  
	 ARTICLE VI MISCELLANEOUS
	  	 	14	  
	 SECTION 6.01.
	 	Ratification of Base Indenture.	  	 	14	  
	 SECTION 6.02.
	 	Trust Indenture Act Controls.	  	 	14	  
	 SECTION 6.03.
	 	Conflict with Indenture.	  	 	14	  
	 SECTION 6.04.
	 	Governing Law.	  	 	14	  
	 SECTION 6.05.
	 	Successors.	  	 	14	  
	 SECTION 6.06.
	 	Counterparts.	  	 	15	  
	 SECTION 6.07.
	 	Trustee Disclaimer.	  	 	15	  

  
 i 

 FOURTH SUPPLEMENTAL INDENTURE 

FOURTH SUPPLEMENTAL INDENTURE, dated as of July 12, 2013 (the “Supplemental Indenture”), to the
Base Indenture (defined below) between Allegheny Technologies Incorporated, a corporation duly organized and existing under the laws of Delaware (herein called the “Company”), and The Bank of New York Mellon, a New York banking
corporation, as Trustee under the Indenture (herein called the “Trustee”). 
 RECITALS 

WHEREAS, the Company has heretofore executed and delivered to the Trustee an Indenture, dated as of June 1, 2009 (the “Base
Indenture”), providing for the issuance from time to time of its Securities (as defined in the Base Indenture), to be issued in one or more series as therein provided; 

WHEREAS, Sections 2.01, 3.01 and 9.01 of the Base Indenture provide that the Company, when authorized by an Establishment Action (as
defined in the Base Indenture), and the Trustee may, without the consent of the Holders (as defined in the Base Indenture) of Securities, enter into one or more supplemental indentures, in form satisfactory to the Trustee, to establish the form or
terms of Securities of any series permitted by the Base Indenture; 
 WHEREAS, pursuant to the terms of the Base Indenture, the
Company desires to provide for the establishment of a new series of its Securities to be known as its 5.875% Senior Notes due 2023 (the “Notes”), the form and substance of such Notes and the terms, provisions and conditions thereof
to be set forth as provided in the Base Indenture and this Supplemental Indenture (together, the “Indenture”); 

WHEREAS, the Company has duly authorized the creation and issuance of such Notes under the Base Indenture, and has duly authorized the
execution and delivery of this Supplemental Indenture to modify the Base Indenture and to provide certain additional provisions as hereinafter described; and 
 WHEREAS, the Company has requested that the Trustee execute and deliver this Supplemental Indenture, and all requirements necessary to make this Supplemental Indenture a valid instrument in accordance
with its terms, and to make the Notes, when executed by the Company and authenticated and delivered by the Trustee, the valid and legally binding obligations of the Company, and all acts and things necessary have been done and performed to make this
Supplemental Indenture enforceable in accordance with its terms, and the execution and delivery of this Supplemental Indenture has been duly authorized in all respects. 

 W I T N E S S E T H: 

NOW, THEREFORE, for and in consideration of the premises contained herein, each party agrees for the benefit of each other party and for
the equal and ratable benefit of the Holders of the Notes, as follows: 
 ARTICLE I 

DEFINITIONS 
 SECTION 1.01. Capitalized Terms. Capitalized terms used but not defined in this Supplemental Indenture shall have the meanings ascribed to them in the Base Indenture. 

SECTION 1.02. References. References in this Supplemental Indenture to article and section numbers shall be deemed to be
references to article and section numbers of this Supplemental Indenture unless otherwise specified. 
 SECTION 1.03.
Definitions. For purposes of this Supplemental Indenture, the following terms have the meanings ascribed to them as follows: 
 “Attributable Debt” in respect of a Sale and Leaseback Transaction means, as of any particular time, the present value (discounted at the rate of interest implicit in the terms of the
lease involved in such Sale and Leaseback Transaction, as determined by the Company in good faith) of the obligation of the lessee thereunder for net rental payments (excluding, however, any amounts required to be paid by the lessee, whether or not
designated as rent or additional rent, on account of maintenance and repairs, services, insurance, taxes, assessments, water rates or similar charges and any amounts required to be paid by the lessee thereunder contingent upon monetary inflation or
the amount of sales, maintenance and repairs, insurance, taxes, assessments, water rates or similar charges) during the remaining term of that lease (including any period for which that lease has been extended or may, at the option of the lessor, be
extended). 
 “Base Indenture” has the meaning provided in the recitals. 

“Change of Control” has the meaning provided in Section 4.02. 

“Change of Control Repurchase Event” has the meaning provided in Section 4.02. 

“Comparable Treasury Issue” has the meaning provided in Section 4.01. 

“Comparable Treasury Price” has the meaning provided in Section 4.01. 

“Consolidated Net Tangible Assets” means the total of all the assets appearing on the consolidated balance sheet of the
Company and its Subsidiaries, less the following: (A) current liabilities; (B) intangible assets such as goodwill, trademarks, trade names, patents and unamortized debt discount and expense; and (C) appropriate adjustments on account
of minority interests of other Persons holding stock in any Subsidiary of the Company. 
 “Debt” means
indebtedness for money borrowed. 
 “Depositary” has the meaning provided in Section 2.03. 

“Domestic Subsidiary” means a Subsidiary formed under the laws of, or conducting its principal operations within, the
United States or any State or territory thereof. 

  
 2 

 “Guarantee” means any obligation, contingent or otherwise, of any Person
directly or indirectly guaranteeing any Debt or other obligation of any other Person and, without limiting the generality of the foregoing, any obligation, direct or indirect, contingent or otherwise, of such Person (i) to purchase or pay (or
advance or supply funds for the purchase or payment of) such Debt or other obligation of such other Person (whether arising by virtue of partnership arrangements, or by agreement to keep-well, to purchase assets, goods, securities or services, to
take-or-pay, or to maintain financial statement conditions or otherwise) or (ii) entered into for purposes of assuring in any other manner the obligee of such Debt or other obligation of the payment thereof or to protect such obligee against
loss in respect thereof, in whole or in part; provided that the term “Guarantee” does not include endorsements for collection or deposit in the ordinary course of business. The term “Guarantee” used as a verb has a
corresponding meaning. 
 “Independent Investment Banker” has the meaning provided in Section 4.01.

 “Indenture” has the meaning provided in the recitals. 

“Interest Payment Date” has the meaning provided in Section 2.04. 

“Investment Grade” has the meaning provided in Section 4.02. 

“Issue Date” means July 12, 2013. 
 “Lien” means any mortgage, pledge, lien, encumbrance, charge or security interest of any kind, excluding certain liens relating to taxes, easements and similar liens arising in the
ordinary course of business. 
 “Moody’s” has the meaning provided in Section 4.02. 

“Notes” has the meaning provided in the recitals. 

“Primary Treasury Dealer” has the meaning provided in Section 4.01. 

“Principal Property” means any manufacturing plant or other similar facility owned by the Company or any Domestic
Subsidiary, the book value of the real property, plant and equipment of which (as shown, without deduction of any depreciation reserves, on the books of the owner or owners) is not less than two percent of Consolidated Net Tangible Assets except
(A) any such plant or facility which the Board of Directors determines is not of material importance to the total business conducted, or assets owned, by the Company and its Domestic Subsidiaries as an entirety or (B) any portion of any
such plant or facility which the Board of Directors determines not to be of material importance to the use or operation thereof. 
 “Purchase Price” has the meaning provided in Section 4.02. 

“Rating Agency” has the meaning provided in Section 4.02. 

“Rating Category” has the meaning provided in Section 4.02. 

“Rating Date” has the meaning provided in Section 4.02. 

  
 3 

 “Ratings Event” has the meaning provided in Section 4.02. 

“Redemption Date” has the meaning provided in Section 4.01. 

“Reference Treasury Dealer” has the meaning provided in Section 4.01. 

“Reference Treasury Dealer Quotations” has the meaning provided in Section 4.01. 

“Regular Record Date” has the meaning provided in Section 2.04. 

“Remaining Life” has the meaning provided in Section 4.01. 

“S&P” has the meaning provided in Section 4.02. 

“Sale and Leaseback Transaction” means any arrangement with any Person providing for the leasing to the Company or any
Domestic Subsidiary of any Principal Property or portion thereof (except for temporary leases for a term, including any renewal thereof, of not more than 36 months and except for leases between the Company and a Subsidiary or between Subsidiaries),
which Principal Property (or portion thereof) has been or is to be sold or transferred by the Company or such Domestic Subsidiary to such Person. 
 “Subsidiary” means with respect to any Person, any corporation, association or other business entity of which more than 50% of the outstanding voting stock is owned, directly or
indirectly, by such Person and one or more Subsidiaries of such Person (or combination thereof). Unless otherwise specified, “Subsidiary” means a Subsidiary of the Company. 

“Substitute Rating Agency” means a “nationally recognized statistical rating organization” within the meaning
of
 Section 3(a)(62) of the Exchange Act, selected by the Company (as certified by a resolution of the Board of Directors) as a replacement agency for Moody’s or S&P, or both of them, as the case may be. 

“Supplemental Indenture” has the meaning provided in the preamble. 

“Treasury Rate” has the meaning provided in Section 4.01. 

“Voting Stock” has the meaning provided in Section 4.02. 

ARTICLE II 

GENERAL TERMS AND CONDITIONS OF THE NOTES 
 SECTION 2.01. Designation and Principal Amount. The Notes are hereby authorized and are designated the 5.875% Senior Notes due 2023, initially limited in aggregate principal amount to
$500,000,000. The Notes issued on the date hereof pursuant to the terms of this Indenture shall be in an aggregate principal amount of $500,000,000, which amount shall be set forth in the Company Order for the authentication and delivery of the
Notes pursuant to Section 3.03 of the Base Indenture. In addition, the Company may issue, from time to time in accordance with the provisions of this Indenture, additional Notes having the same terms and

  
 4 

 
conditions as the Notes issued on the date hereof in all respects (except for the payment of interest accruing prior to the issue date of such additional Notes), so that such additional Notes
shall be consolidated and form a single series with the Notes issued on the date hereof and shall be governed by the terms of the Indenture. 
 SECTION 2.02. Maturity. The principal amount of the Notes shall be due and payable on August 15, 2023. 
 SECTION 2.03. Form and Payment. 
 The Notes shall be issued in
substantially the form set forth on Exhibit A hereto and shall have the terms set forth in such form and shall initially be Global Securities for purposes of the Base Indenture. The Notes shall be issued in fully registered 
book-entry form
without coupons in denominations of $2,000 and integral multiples of $1,000 in excess thereof. 
 The Depositary in respect of
the Notes represented by Global Securities shall be The Depository Trust Company. The Global Securities representing the Notes shall be deposited with, or on behalf of, the Depositary and shall be registered in the name of its nominee,
Cede & Co. Except as otherwise set forth in Section 3.05 of the Base Indenture, the Global Securities may be transferred, in whole and not in part, only to another nominee of the Depositary or to a successor of the Depositary or its
nominee. 
 The Trustee shall act as Paying Agent for the Notes. The Company may choose to pay interest by mailing checks or
making wire or other electronic funds transfers. All money paid by the Company to any Paying Agent that remains unclaimed at the end of two years after the amount is due to Holders shall be repaid to the Company, subject to any applicable abandoned
property laws. After such two-year period, Holders may look only to the Company for payment and not to the Trustee, any other Paying Agent or anyone else. The Company may also arrange for additional payment offices, and may cancel or change these
offices, including any use of the Trustee’s Corporate Trust Office. The Company may appoint and change the Paying Agent without prior notice to the Holders. 
 SECTION 2.04. Interest. Interest on the Notes shall accrue at the rate of 5.875% per annum, subject to adjustment pursuant to Section 2.05. Interest on the Notes shall accrue from
July 12, 2013 or the most recent Interest Payment Date to which interest was paid or duly provided for. Interest on the Notes shall be payable semiannually in arrears on February 15 and August 15, commencing on February 15, 2014
(each an “Interest Payment Date”), to the Holders in whose names the Notes are registered at the close of business on the February 1 and August 1, as the case may be, immediately preceding such Interest Payment Date (each a
“Regular Record Date”). Interest on the Notes shall be computed on the basis of a 360-day year comprised of twelve 30-day months. 
 SECTION 2.05. Payment of Additional Interst Based on Rating Events. The interest rate payable on the Notes will be subject to adjustments from time to time if either Moody’s or S&P
or, in either case, any Substitute Rating Agency thereof downgrades (or subsequently upgrades) the debt rating assigned to the Notes, in the manner described below. It shall be the obligation of the Company to promptly notify the Trustee of any
change in interest 

  
 5 

 
rate payable on the Notes pursuant to this Section 2.05. Such notice shall be given by delivery to the Trustee of an Officers’ Certificate, on which the Trustee may conclusively rely.
The Officers’ Certificate shall state that the interest rate borne by the Notes has been adjusted in accordance with this Section 2.05 and shall set forth (a) the amount of the related increase or decrease of interest rate,
(b) the new interest rate borne by the Notes, and (c) the amount of interest that shall be due and payable on the next succeeding Interest Payment Date. The Trustee shall have no obligation (i) to monitor the debt rating assigned to
the Notes, (ii) to determine whether any change to the interest rate payable on the Notes is required by this Section 2.05, or (iii) to determine the interest rates applicable to the Notes. 

If the rating from Moody’s (or any Substitute Rating Agency thereof) of the Notes is decreased to a rating set forth in the
immediately following table, the interest rate on the Notes will increase such that it will equal the interest rate payable on the Notes on the Issue Date of the Notes plus the percentage set forth opposite the applicable rating from the table
below: 
  

					
	Moody’s Rating*	  	Percentage	 
	 Ba1
	  	 	0.25	% 
	 Ba2
	  	 	0.50	% 
	 Ba3
	  	 	0.75	% 
	 B1 or below
	  	 	1.00	% 

  

	*	Including the equivalent ratings of any Substitute Rating Agency. 

 If the rating from S&P (or any Substitute Rating Agency thereof) of the Notes is decreased to a rating set forth in the immediately following table, the interest rate on the Notes will increase such
that it will equal the interest rate payable on the Notes on the Issue Date of the Notes plus the percentage set forth opposite the applicable rating from the table below: 

 

					
	S&P’s Rating*	  	Percentage	 
	 BB+
	  	 	0.25	% 
	 BB
	  	 	0.50	% 
	 BB-
	  	 	0.75	% 
	 B+ or below
	  	 	1.00	% 

  

	*	Including the equivalent ratings of any Substitute Rating Agency. 

 If at any time the interest rate on the Notes has been adjusted upward and either Moody’s or S&P (or, in either case, a Substitute Rating Agency thereof), as the case may be, subsequently
increases its rating of the Notes to any of the threshold ratings set forth above, the interest rate on the Notes will be decreased such that the interest rate for the Notes equals the interest rate payable on the Notes on the Issue Date of the
Notes plus the percentages set forth opposite the applicable ratings from the tables above in effect immediately following the increase. If Moody’s (or any Substitute Rating Agency thereof) subsequently increases its rating of the Notes to Baa3
(or its equivalent, in the case of a Substitute Rating Agency) or higher, and S&P (or any Substitute Rating Agency thereof) increases its rating to BBB- (or its equivalent, in the case of a Substitute Rating Agency) or higher, the interest rate
on the Notes will be decreased to the interest rate payable on the Notes on the Issue Date. In addition, the interest rates on the Notes will permanently cease to be subject to any adjustment described above (notwithstanding any subsequent decrease
in the ratings by either or both Rating Agencies) if the Notes become rated 

  
 6 

 
A3 and A- (or the equivalent of either such rating, in the case of a Substitute Rating Agency) or higher by Moody’s and S&P (or, in either case, a Substitute Rating Agency thereof),
respectively (or one of these ratings if the Notes are only rated by one Rating Agency). 
 Each adjustment required by any
decrease or increase in a rating set forth above, whether occasioned by the action of Moody’s or S&P (or, in either case, a Substitute Rating Agency thereof), shall be made independent of any and all other adjustments. In no event shall
(1) the interest rate for the Notes be reduced to below the interest rate payable on the Notes on the Issue Date or (2) the total increase in the interest rate on the Notes exceed 2.00% above the interest rate payable on the Notes on the
Issue Date. 
 No adjustments in the interest rate of the Notes shall be made solely as a result of a Rating Agency ceasing to
provide a rating of the Notes. If at any time fewer than two Rating Agencies provide a rating of the Notes for a reason beyond the Company’s control, the Company will use its commercially reasonable efforts to obtain a rating of such Notes from
a Substitute Rating Agency, to the extent one exists, and if a Substitute Rating Agency exists, for purposes of determining any increase or decrease in the interest rate on the Notes pursuant to the tables above (a) such Substitute Rating
Agency will be substituted for the last Rating Agency to provide a rating of the Notes but which has since ceased to provide such rating, (b) the relative rating scale used by such Substitute Rating Agency to assign ratings to senior unsecured
debt will be determined in good faith by an Independent Investment Banker appointed by the Company and, for purposes of determining the applicable ratings included in the applicable table above with respect to such Substitute Rating Agency, such
ratings will be deemed to be the equivalent ratings used by Moody’s or S&P, as applicable, in such table and (c) the interest rate on the Notes will increase or decrease, as the case may be, such that the interest rate equals the
interest rate payable on the Notes on the Issue Date plus the appropriate percentage, if any, set forth opposite the rating from such Substitute Rating Agency in the applicable table above (taking into account the provisions of clause
(b) above) (plus any applicable percentage resulting from a decreased rating by the other Rating Agency). For so long as only one Rating Agency provides a rating of the Notes, any subsequent increase or decrease in the interest rate of such
Notes necessitated by a reduction or increase in the rating by the Rating Agency providing the rating shall be twice the percentage set forth in the applicable table above. For so long as none of Moody’s, S&P or a Substitute Rating Agency
provides a rating of the Notes, the interest rate on the Notes will increase to, or remain at, as the case may be, 2.00% above the interest rate payable on the Notes on the Issue Date. 

Any interest rate increase or decrease described above will take effect from the first day of the interest period during which a rating
change requires an adjustment in the interest rate. If Moody’s or S&P (or, in either case, a Substitute Rating Agency thereof) changes its rating of the Notes more than once during any particular interest period, the last change by such
Rating Agency will control for purposes of any interest rate increase or decrease with respect to the Notes pursuant to this Section 2.05 relating to such Rating Agency’s action. 

If the interest rate payable on the Notes is increased as described in this Section 2.05 the term “interest,” as used with
respect to the Notes, will be deemed to include any such additional interest unless the context otherwise requires. 

  
 7 

 SECTION 2.06. No Sinking Fund. The provisions of Article XII of the Base
Indenture shall not be applicable to the Notes. 
 ARTICLE III 

ADDITIONAL COVENANTS 
 In addition to the covenants set forth in Article X of the Base Indenture, the Company also covenants and agrees for the benefit of Notes, but not Securities of any other series, as follows: 

SECTION 3.01. Limitation on Liens. The Company shall not, and will not permit any of its Domestic Subsidiaries, directly or
indirectly, to issue, assume or guarantee any Debt if that Debt is secured by any Lien upon any Principal Property (or portion thereof) of the Company or of any Domestic Subsidiary of the Company or any shares of stock or Debt of any of its Domestic
Subsidiaries, whether owned on June 1, 2009 or thereafter acquired, without effectively securing the Notes equally and ratably with that Debt, so long as such Debt is so secured. The foregoing restriction does not apply to: 

(i) Liens on any property acquired, constructed or improved by the Company or any Domestic Subsidiary of the Company after
June 1, 2009, which are created or assumed contemporaneously with or within three years after its acquisition, or completion of construction or improvement (or within six months thereafter pursuant to a firm commitment for financing
arrangements entered into within that three-year period) to secure or provide for the payment of the Purchase Price or cost thereof, or Liens existing on any property at the time of its acquisition; 

(ii) Liens existing on any property, shares of stock or indebtedness acquired from a Person merged with or into the
Company or a Domestic Subsidiary of the Company after June 1, 2009; 
 (iii) with respect to any corporation
that becomes a Domestic Subsidiary of the Company after June 1, 2009, Liens on property of, or shares of stock or indebtedness issued by, any such corporation existing at the time it becomes a Domestic Subsidiary and not incurred in connection
with or in anticipation of such corporation becoming a Domestic Subsidiary; 
 (iv) Liens to secure Debt of a
Domestic Subsidiary owed to the Company or Debt of one of the Domestic Subsidiaries of the Company owed to another Domestic Subsidiary of the Company; 
 (v) Liens in favor of governmental bodies to secure partial, progress, advance or other payments pursuant to any contract or statute; 

(vi) any Lien existing on June 1, 2009; or 

(vii) Liens for the sole purpose of extending, renewing or replacing Debt, in whole or in part, secured by any Lien
referred to in the foregoing clauses (i) to (vi), 

  
 8 

 
inclusive; provided, however, that the principal amount of Debt secured by that Lien shall not exceed the principal amount of Debt so secured at the time of such extension, renewal
or replacement, and that such extension, renewal or replacement shall be limited to the property that secured the Lien so extended, renewed or replaced (plus improvements on such property). 

The limitation on Liens described in this Section 3.01 shall not apply to the issuance, assumption or guarantee by the Company or
any Domestic Subsidiary of the Company of Debt secured by a Lien which would otherwise be subject to the foregoing restrictions up to an aggregate amount which, together with all other Debt of the Company and of the Domestic Subsidiaries of the
Company secured by Liens (not including Liens permitted under the foregoing exceptions) and the Attributable Debt with respect to Sale and Leaseback Transactions existing at that time (other than Sale and Leaseback Transactions in which the property
involved would have been permitted to be subject to a Lien under clause (i) above), does not exceed 10% of Consolidated Net Tangible Assets. 
 SECTION 3.02. Limitation on Sale and Leaseback Transactions. The Company and the Domestic Subsidiaries of the Company are prohibited from entering into Sale and Leaseback Transactions
unless: 
 (i) the Company or such Domestic Subsidiary of the Company would be entitled to incur Debt secured by
a Lien on the Principal Property to be leased without equally and ratably securing the Notes, pursuant to clauses (i) - (vii) under Section 3.01 above; or the Attributable Debt with respect thereto would be an amount permitted under the
last paragraph of Section 3.01 above; or 
 (ii) the Company or such Domestic Subsidiary of the Company
shall, within 180 days of the effective date of any such arrangement, apply an amount equal to the proceeds from such Sale and Leaseback Transaction to the payment or other retirement of Debt that ranks senior to or equal with the Notes (other than,
in either case, Debt owed by the Company or any Subsidiary), or to the purchase of other Principal Property. 
 SECTION 3.03.
Limitation on Guarantees. The Company and the Domestic Subsidiaries of the Company are prohibited from entering into any agreement pursuant to which any such Domestic Subsidiary of the Company guarantees the payment of Debt incurred by
the Company without providing that the Notes be equally and ratably guaranteed by such Domestic Subsidiary of the Company. 

ARTICLE IV 

REDEMPTION OF THE NOTES 
 SECTION 4.01. Optional Redemption. The Company may redeem the Notes, at its option, at any time in whole, or from time to time in part. If the Notes are redeemed prior to May 15, 2023,
the redemption price for the Notes to be redeemed will equal the greater of: 
 (i) 100% of the principal amount
of the Notes to be redeemed; or 

  
 9 

 (ii) the sum of the present values of the remaining scheduled payments of
principal and interest on the Notes to be redeemed, exclusive of interest accrued to the date of redemption, discounted to the date of redemption on a semi-annual basis (assuming a 360-day year consisting of twelve 30-day months) at the applicable
Treasury Rate plus 50 basis points, 
 plus, in each case, accrued interest to the date the Notes are redeemed (the
“Redemption Date”). 
 If the Notes are redeemed on or after May 15, 2023, the redemption price for the
Notes to be redeemed will equal 100% of the principal amount of such Notes, plus accrued interest to the Redemption Date. 
 For
purposes of determining the optional redemption price, the following definitions are applicable: 
 “Comparable Treasury
Issue” means the United States Treasury security selected by an Independent Investment Banker as having a maturity comparable to the remaining term (the “Remaining Life”) of the Notes that would be utilized, at the time of
selection and in accordance with customary financial practice, in pricing new issues of corporate debt securities of comparable maturity to the remaining term of the Notes. 
 “Comparable Treasury Price” means, with respect to any Redemption Date, the average of the Reference Treasury Dealer Quotations obtained by the Company for that Redemption Date, after
excluding the highest and lowest of such Reference Treasury Dealer Quotations, or, if the Company is unable to obtain at least four such Reference Treasury Dealer Quotations, the average of all Reference Treasury Dealer Quotations obtained by the
Company. 
 “Independent Investment Banker” means J.P. Morgan Securities LLC or Merrill Lynch, Pierce,
Fenner & Smith Incorporated and their respective successors, as selected by the Company or, if such firms are unwilling or unable to select the applicable Comparable Treasury Issue or the applicable ratings scale for any Substitute Rating
Agency, an independent investment banking institution of national standing appointed by the Company. 
 “Reference
Treasury Dealer” means J.P. Morgan Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated and their respective successors, and two other independent investment banking institutions of national standing appointed by
the Company (each, a “Primary Treasury Dealer”); provided, however, that if any of the foregoing shall cease to be a Primary Treasury Dealer, the Company shall substitute therefor another Primary Treasury Dealer.

 “Reference Treasury Dealer Quotations” means, with respect to each Reference Treasury Dealer and any
Redemption Date for the Notes, the average, as determined by the Company, of the bid and asked prices for the Comparable Treasury Issue, expressed in each case as a percentage of its principal amount, quoted in writing to the Trustee by the
Reference Treasury Dealer at 3:30 p.m., New York City time, on the third business day preceding the Redemption Date. 

  
 10 

 “Treasury Rate” means, with respect to any Redemption Date, (i) the
yield, under the heading which represents the average for the immediately preceding week, appearing in the most recently published statistical release designated “H.15(519)” or any successor publication which is published weekly by the
Board of Governors of the Federal Reserve System and which establishes yields on actively traded United States Treasury securities adjusted to constant maturity under the caption “Treasury Constant Maturities”, for the maturity
corresponding to the Comparable Treasury Issue (if no maturity is within three months before or after the Remaining Life, yields for the two published maturities most closely corresponding to the Comparable Treasury Issue shall be determined and the
Treasury Rate shall be interpolated or extrapolated from such yields on a straight line basis, rounded to the nearest month) or (ii) if such release (or any successor release) is not published during the week preceding the calculation date or
does not contain such yields, the rate per annum equal to the semi-annual equivalent yield to maturity of the Comparable Treasury Issue, calculated using a price for the Comparable Treasury Issue (expressed as a percentage of its principal amount)
equal to the Comparable Treasury Price for such Redemption Date. The Treasury Rate shall be calculated on the third Business Day preceding such Redemption Date. 
 SECTION 4.02. Purchase of Notes Upon a Change of Control Repurchase Event. If a Change of Control Repurchase Event occurs, unless the Company has exercised its right to redeem the Notes as
described under Section 4.01 above, the Company will be required to make an offer to each Holder of the Notes to repurchase all or any part (in a principal amount of $2,000 and in integral multiples of $1,000 in excess thereof) of that
Holder’s Notes at a repurchase price (the “Purchase Price”) in cash equal to 101% of the aggregate principal amount of the Notes repurchased plus any accrued and unpaid interest on the Notes repurchased to, but not including,
the date of repurchase. Within 30 days following any Change of Control Repurchase Event or, at the Company’s option, prior to any Change of Control, but after the public announcement of the Change of Control, the Company will mail a notice to
each Holder, with a copy to the Trustee, describing the transaction or transactions that constitute or may constitute the Change of Control Repurchase Event and offering to repurchase the Notes on the payment date specified in the notice (the
“Repurchase Date”), which date will be no earlier than 30 days and no later than 60 days from the date such notice is mailed. The notice shall, if mailed prior to the date of consummation of the Change of Control, state that the
offer to purchase is conditioned on a Change of Control Repurchase Event occurring on or prior to the payment date specified in the notice. The Company will comply with the requirements of Rule 14e-1 under the Exchange Act, and any other securities
laws and regulations thereunder to the extent those laws and regulations are applicable in connection with the repurchase of the Notes as a result of a Change of Control Repurchase Event. To the extent that the provisions of any securities laws or
regulations conflict with the Change of Control Repurchase Event provisions of the Notes, the Company will comply with the applicable securities laws and regulations and will not be deemed to have breached the Company’s obligations under the
Change of Control Repurchase Event provisions of the Notes by virtue of such conflict. 
 On the Repurchase Date following a
Change of Control Repurchase Event, the Company will, to the extent lawful: 
 (i) accept for payment all the
Notes or portions of the Notes properly tendered pursuant to the Company’s offer; 

  
 11 

 (ii) deposit with the Paying Agent an amount equal to the aggregate Purchase
Price in respect of all the Notes or portions of the Notes properly tendered; and 
 (iii) deliver or cause to be
delivered to the Trustee the Notes properly accepted, together with an Officers’ Certificate stating the aggregate principal amount of Notes being purchased by the Company. 

The Paying Agent will promptly deliver to each Holder of Notes properly tendered, the Purchase Price for the Notes, and the Trustee will
promptly authenticate and mail (or cause to be transferred by book-entry) to each Holder a new Note equal in principal amount to any unpurchased portion of any Notes surrendered. 

The Company will not be required to make an offer to repurchase the Notes upon a Change of Control Repurchase Event if a third party
makes such an offer in the manner, at the times and otherwise in compliance with the requirements for an offer made by the Company and such third party purchases all Notes properly tendered and not withdrawn under its offer. 

For purposes hereof, the following definitions are applicable: 
 “Change of Control” means the occurrence of any one of the following: 
 (i) the direct or indirect sale, lease, transfer, conveyance or other disposition (other than by way of merger or consolidation), in one or a series of related transactions, of all or substantially all of
the assets of the Company and its Subsidiaries taken as a whole to any Person (including any “person” (as that term is used in Section 13(d)(3) of the Exchange Act)) other than to the Company or one of its Subsidiaries; 

(ii) the consummation of any transaction (including, without limitation, any merger or consolidation) the result of which
is that any Person (including any “person” (as that term is used in Section 13(d)(3) of the Exchange Act)) becomes the “beneficial owner” (as defined in Rules 13d-3 and 13d-5 under the Exchange Act), directly or indirectly,
of more than 50% of the outstanding Voting Stock of the Company, measured by voting power rather than number of shares; 
 (iii) the Company consolidates with, or merges with or into, any Person, or any Person consolidates with, or merges with or into, the Company, in any such event pursuant to a transaction in which any of
the outstanding Voting Stock of the Company or such other Person is converted into or exchanged for cash, securities or other property, other than any such transaction where the shares of the Voting Stock of the Company outstanding immediately prior
to such transaction constitute, or are converted into or exchanged for, a majority of the Voting Stock of the surviving Person immediately after giving effect to such transaction; 

(iv) the first day on which the majority of the members of the Board of Directors cease to be Continuing Directors; or

 (v) the adoption of a plan relating to the liquidation or dissolution of the Company. 

  
 12 

 “Change of Control Repurchase Event” means the occurrence of both a Change
of Control and a Ratings Event. 
 “Continuing Director” means, as of any date of determination, any member of
the Board of Directors who (1) was a member of such Board of Directors on the date of this Supplemental Indenture or (2) was nominated for election or elected to such Board of Directors with the approval of a majority of the Continuing
Directors who were members of such Board of Directors at the time of such nomination or election. 
 “Investment
Grade” means a rating of Baa3 or better by Moody’s (or its equivalent under any successor Rating Categories of Moody’s), a rating of BBB- or better by S&P (or its equivalent under any successor Rating Categories of S&P)
and the equivalent Investment Grade credit rating from any additional Rating Agency or Rating Agencies selected by the Company. 

“Moody’s” means Moody’s Investors Service Inc., and its successors. 

“Rating Agency” means (1) each of Moody’s and S&P and (2) if either of Moody’s or S&P ceases
to rate the Notes or fails to make a rating of the Notes publicly available for reasons outside of the control of the Company, a Substitute Rating Agency thereof. 
 “Rating Category” means (i) with respect to S&P, any of the following categories: BBB, BB, B, CCC, CC, C and D (or equivalent successor categories); (ii) with respect to
Moody’s, any of the following categories: Baa, Ba, B, Caa, Ca, C and D (or equivalent successor categories); and (iii) the equivalent of any such category of S&P or Moody’s used by another Rating Agency. In determining whether the
rating of the Notes has decreased by one or more gradations, gradations within Rating Categories (+ and - for S&P; 1, 2 and 3 for Moody’s; or the equivalent gradations for another Rating Agency) shall be taken into account (e.g.,
with respect to S&P, a decline in a rating from BB+ to BB, as well as from BB- to B+, will constitute a decrease of one gradation). 
 “Rating Date” means the date that is 60 days prior to the earlier of (i) a Change of Control or (ii) public notice of the occurrence of a Change of Control or of the intention
by the Company to effect a Change of Control. 
 “Ratings Event” means the occurrence of the events described
in (a) or (b) of this definition on, or within 60 days after the earlier of, (i) the occurrence of a Change of Control or (ii) public notice of the occurrence of a Change of Control or the intention by the Company to effect a
Change of Control (which period shall be extended so long as the rating of the Notes is under publicly announced consideration for a possible downgrade by any of the Rating Agencies): (a) if the Notes are rated by both Rating Agencies on the
Rating Date as Investment Grade, the rating of the Notes shall be reduced so that the Notes are rated below Investment Grade by both Rating Agencies or (b) if the Notes are rated below Investment Grade by at least one Rating Agency, the ratings
of the Notes by both Rating Agencies shall be decreased by one or more gradations (including gradations within Rating Categories, as well as between Rating Categories) and the Notes are then rated below Investment Grade by both Rating Agencies.

 “S&P” means Standard & Poor’s, a division of The McGraw-Hill Companies, Inc., and its
successors. 

  
 13 

 “Voting Stock” of any specified “person” (as that term is used in
Section 13(d)(3) of the Exchange Act) as of any date means the capital stock of such person that is at the time entitled to vote generally in the election of the board of directors of such person. 

ARTICLE V 

EVENTS OF DEFAULT 
 In addition to the Events of Default set forth in Section 5.01 of the Base Indenture, the Notes, but not Securities of any other series, shall also be subject to the following Events of Default:

 (i) a failure by the Company to repurchase Notes tendered for repurchase following the occurrence of a Change
of Control Repurchase Event in conformity with Section 4.02 above; and 
 (ii) a failure by the Company or
any of its Subsidiaries to pay any Debt, within any applicable grace period after final maturity or the acceleration by the holders thereof, if the total amount of such Debt unpaid or accelerated exceeds $60,000,000. 

ARTICLE VI 

MISCELLANEOUS 
 SECTION 6.01. Ratification of Base Indenture. The Base Indenture, as supplemented by this Supplemental Indenture, is in all respects ratified and confirmed, and this Supplemental Indenture
shall be deemed part of the Base Indenture in the manner and to the extent herein and therein provided. 
 SECTION 6.02.
Trust Indenture Act Controls. If any provision hereof limits, qualifies or conflicts with the duties imposed by Section 310 through 317 of the Trust Indenture Act, the imposed duties shall control. 

SECTION 6.03. Conflict with Indenture. To the extent not expressly amended or modified by this Supplemental Indenture, the
Base Indenture shall remain in full force and effect. If any provision of this Supplemental Indenture relating to the Notes is inconsistent with any provision of the Base Indenture, the provision of this Supplemental Indenture shall control.

 SECTION 6.04. Governing Law. THIS SUPPLEMENTAL INDENTURE AND THE NOTES SHALL BE GOVERNED BY, AND CONSTRUED IN
ACCORDANCE WITH, THE LAWS OF THE STATE OF NEW YORK. 
 SECTION 6.05. Successors. All agreements of the Company in
the Base Indenture, this Supplemental Indenture and the Notes shall bind its successors. 

  
 14 

 SECTION 6.06. Counterparts. This instrument may be executed in any number of
counterparts, each of which so executed shall be deemed to be an original, but all such counterparts shall together constitute but one and the same instrument. 
 SECTION 6.07. Trustee Disclaimer. The Trustee makes no representation as to the validity or adequacy of this Supplemental Indenture or the Notes other than the Trustee’s Certificate of
Authentication. The recitals and statements herein and in the Notes are deemed to be those of the Company and not the Trustee. The Trustee shall not be accountable for the use by the Company of the proceeds of the Notes. 

[Signature Page Follows] 

  
 15 

 IN WITNESS WHEREOF, the parties to this Supplemental Indenture have caused it to be duly
executed as of the day and year first above written. 
  

					
	ALLEGHENY TECHNOLOGIES INCORPORATED
			
		 	By:	 	 /s/ Elliot S. Davis

		 		 	Name: Elliot S. Davis
		 		 	Title: Senior Vice President, General Counsel, Chief Compliance Officer and Corporate Secretary
	
	 THE BANK OF NEW YORK MELLON,
     as Trustee

			
		 	By:	 	 /s/ Francine Kincaid

		 		 	Name: Francine Kincaid
		 		 	Title: Vice President

 [Signature Page to the Fourth Supplemental Indenture] 

 EXHIBIT A 
 UNLESS THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY, A NEW YORK CORPORATION (“DTC”), TO THE COMPANY OR ITS AGENT FOR REGISTRATION OF TRANSFER,
EXCHANGE OR PAYMENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME OF CEDE & CO. OR IN SUCH OTHER NAME AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF DTC (AND ANY PAYMENT IS MADE TO CEDE & CO. OR TO SUCH OTHER ENTITY AS
IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF DTC), ANY TRANSFER, PLEDGE OR OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL INASMUCH AS THE REGISTERED OWNER HEREOF, CEDE & CO., HAS A BENEFICIAL INTEREST HEREIN.

 THIS NOTE IS A GLOBAL SECURITY WITHIN THE MEANING OF THE INDENTURE HEREINAFTER REFERRED TO AND IS REGISTERED IN THE NAME OF A DEPOSITARY OR A
NOMINEE THEREOF. THIS NOTE MAY NOT BE TRANSFERRED TO, OR REGISTERED OR EXCHANGED FOR NOTES REGISTERED IN THE NAME OF, ANY PERSON OTHER THAN THE DEPOSITARY OR A NOMINEE THEREOF AND NO SUCH TRANSFER MAY BE REGISTERED, EXCEPT IN THE LIMITED
CIRCUMSTANCES DESCRIBED IN THE INDENTURE. EVERY NOTE AUTHENTICATED AND DELIVERED UPON REGISTRATION OF TRANSFER OF, OR IN EXCHANGE FOR OR IN LIEU OF, THIS NOTE SHALL BE A GLOBAL SECURITY SUBJECT TO THE FOREGOING, EXCEPT IN SUCH LIMITED CIRCUMSTANCES.

 Form of Global Security Representing the Notes 
 [FACE OF NOTE] 
  

			
	 5.875% Note due 2023
	  	CUSIP 01741RAF9
		
	 No.    
	  	$        

 ALLEGHENY TECHNOLOGIES INCORPORATED, a Delaware corporation (the “Company”, which term includes
any successor under the Indenture hereinafter referred to), for value received, promises to pay to [the order of [—]][if global notes: CEDE & CO.], or its registered assigns, the principal
sum of [—] DOLLARS ($[—])[if global note: the amount set forth on the Schedule of Exchanges of Interests in the Global Note attached hereto] on [—]. 
  

			
	 Interest Rate:
	  	5.875% per annum (subject to adjustment asset forth in Section 2.05 of the Supplemental Indenture referred to within)
	 Interest Payment Dates:
	  	February 15 and August 15, commencing
		  	February 15, 2014
	 Regular Record Dates:
	  	February 1 and August 1

 Reference is hereby made to the further provisions of the Note set forth on the reverse hereof, which
will for all purposes have the same effect as if set forth at this place. 

 IN WITNESS WHEREOF, the Company has caused this Note to be signed manually or by facsimile
by its duly authorized officers. 
  
  

					
	Date:	 	ALLEGHENY TECHNOLOGIES INCORPORATED
			
		 	By:	 	  

		 		 	Name:
		 		 	Title:

  

			
	Attest:	 	  

		 	Name:
		 	Title:

 This is one of the Securities of the series designated therein referred to in the within mentioned
Indenture. 
  

					
		 	THE BANK OF NEW YORK MELLON,
		 	    as Trustee
			
		 	By:	 	  

		 		 	Authorized Signatory

  
 3 

 [REVERSE SIDE OF NOTE] 

ALLEGHENY TECHNOLOGIES INCORPORATED 
 5.875% Senior Note due 2023 
  

	1.	Principal and Interest. 

The Company promises to pay the principal of this Note on August 15, 2023. 

The Company promises to pay interest on the principal amount of this Note on each Interest Payment Date, as set forth on the face of this
Note, at the rate of 5.875% per annum. The rate at which the Company shall pay interest on the principal amount of this Note on each Interest Payment Date will be subject to adjustment in accordance with Section 2.05 of the Fourth
Supplemental Indenture, dated as of July 12, 2013 (the “Supplemental Indenture”), between the Company and The Bank of New York Mellon, as Trustee. 
 Interest will be payable semiannually (to the Holders of record of the Notes at the close of business on each Regular Record Date, as set forth on the face of this Note, immediately preceding the Interest
Payment Date) on each Interest Payment Date, commencing February 15, 2014. 
 Interest on this Note will accrue from the
most recent date to which interest has been paid on this Note (or, if there is no existing default in the payment of interest and if this Note is authenticated between a Regular Record Date and the next Interest Payment Date, from such Interest
Payment Date) or, if no interest has been paid, from July 12, 2013. Interest will be computed on the basis of a 360-day year of twelve 30-day months. 
  

	2.	Indenture. 

 This Global
Security is one of a duly authorized issue of securities of the Company (herein called the “Notes”) issued under the Indenture, dated as of June 1, 2009 (the “Base Indenture”, and, together with the Supplemental Indenture,
the “Indenture”), between the Company and The Bank of New York Mellon, as Trustee, as supplemented by the Supplemental Indenture. Capitalized terms used herein are used as defined in the Indenture unless otherwise indicated. The terms of
the Notes include those stated in the Indenture and those made part of the Indenture by reference to the Trust Indenture Act. The Notes are subject to all such terms, and Holders are referred to the Indenture and the Trust Indenture Act for a
statement of all such terms. To the extent permitted by applicable law, in the event of any inconsistency between the terms of this Note and the terms of the Indenture, the terms of the Indenture will control. 

The Notes are general unsecured obligations of the Company. The Indenture limits the original aggregate principal amount of the Notes to
$500,000,000, but additional Notes may be issued pursuant to the Indenture, and the originally issued Notes and all such additional Notes vote together for all purposes as a single class. 

	3.	Redemption and Repurchase; Discharge Prior to Redemption or Maturity. 

 This Note is subject to redemption by the Company at any time, as further described in the Indenture. This Note is subject to repurchase by the Company at the option of the holder upon the occurrence of a
Change of Control Repurchase Event (as defined in the Supplemental Indenture). There is no sinking fund or mandatory redemption applicable to this Note. 
 If the Company deposits with the Trustee money or U.S. Government Securities sufficient to pay the then Outstanding principal of, premium, if any, and accrued interest on the Notes to redemption or
maturity, the Company may in certain circumstances be discharged from the Indenture and the Notes or may be discharged from certain of its obligations under certain provisions of the Indenture. 

 

	4.	Registered Form; Denominations; Transfer; Exchange. 

 The Notes are in registered form without coupons in denominations of $2,000 principal amount and any multiple of $1,000 in excess thereof. A Holder may register the transfer or exchange of Notes in
accordance with the Indenture. The Company or Security Registrar may require a Holder to furnish appropriate endorsements and transfer documents and to pay any taxes and fees required by law or permitted by the Indenture. Pursuant to the Indenture,
there are certain periods during which the Company will not be required to issue, register the transfer of or exchange any Note or certain portions of a Note. 
  

	5.	Defaults and Remedies. 

If an Event of Default (other than certain bankruptcy defaults), as defined in the Indenture, occurs and is continuing, the Trustee or the
Holders of at least 25% in principal amount of the Notes then Outstanding may declare all the Notes to be due and payable. If certain bankruptcy defaults with respect to the Company occur and are continuing, the Notes automatically become due and
payable. Holders may not enforce the Indenture or the Notes except as provided in the Indenture. The Trustee may require indemnity satisfactory to it before it enforces the Indenture or the Notes. Subject to certain limitations, Holders of a
majority in principal amount of the Notes then Outstanding may direct the Trustee in its exercise of remedies. 
  

	6.	Amendment and Waiver. 

Subject to certain exceptions, the Indenture and the Notes may be amended, or default may be waived, with the consent of the Holders of a
majority in principal amount of the Outstanding Notes. Without notice to or the consent of any Holder, the Company and the Trustee may amend or supplement the Indenture or the Notes to, among other things, cure any ambiguity, defect or
inconsistency. 
  

	7.	Authentication. 

 This
Note is not valid until the Trustee signs the certificate of authentication on the other side of this Note. 

  
 5 

	8.	Abbreviations. 

 Customary
abbreviations may be used in the name of a Holder or an assignee, such as: TEN COM (= tenants in common), TEN ENT (= tenants by the entireties), JT TEN (= joint tenants with right of survivorship and not as tenants in common), CUST
(= Custodian) and U/G/M/A/ (= Uniform Gifts to Minors Act). 
 The Company will furnish a copy of the Indenture to any Holder upon written
request and without charge. 

  
 6 

 ASSIGNMENT FORM 
 To assign this Note, fill in the form below and have your signature guaranteed: 
 I or we assign
and transfer this Note to: 
  
  

(Print or type name, address and zip code and social security or tax ID number of assignee) 

and irrevocably appoint
                                         
                                         
                               agent to transfer this Note on the books of the Company. The
agent may substitute another to act for him. 
  

							
	Dated:
                                         
   	  	Signed:	  	  

		  		  	(Sign exactly as your name appears on the other side of this Note)

 Signature Guarantee: 
 (Signature must be guaranteed by a participant in a recognized Signature Guarantee Medallion Program or other signature guarantor program reasonably acceptable to the Trustee) 

  
 7 

 SCHEDULE OF EXCHANGES OF INTERESTS IN THE GLOBAL SECURITY 

The initial principal amount of this Global SECURITY is $[—]
([—] DOLLARS). The following increases or decreases in this Global Security have been made: 
  

									
	 Date of
 Exchange
	  	 Amount of decrease

in Principal Amount
 of this Global
 Security
	  	 Amount of increase in

Principal Amount of
 this Global Security
	  	 Principal Amount of

this Global Security
 following such decrease
 or increase
	  	
Signature of authorized officer of Trustee

or Notes Custodian

	     
	  		  		  		  	
	     
	  		  		  		  	
	     
	  		  		  		  	

  
 8

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