Attachment_A_-Securities_Instruments_&_Commissions.xlsx

XLSX spreadsheet 13 KB Posted Jun 5, 2019

Attached to: Securities Liquidation
Solicitation number: 2033H619R00002
Issued by: Department of the Treasury Bureau of the Fiscal Service

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Amendment_0003_Template.pdf	PDF	Jul 11, 2019
Amendment_0002.pdf	PDF	Jul 8, 2019
Amendment_0001_.pdf	PDF	Jun 14, 2019
Attachment_B_-_Subcontracting_Plan_v10-18.docx	DOCX document	Jun 5, 2019
Attachment_C.docx	DOCX document	Jun 5, 2019
Attachment_D_-_Small_Business_Participatoin_Plan.docx	DOCX document	Jun 5, 2019
2033H619R00002.pdf	PDF	Jun 5, 2019

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Table 1

	#	Securities/ Instruments	Notes or Identification of Contractor/Subcontractors	Base Period 03/19/2020 - 03/18/2021
Commission Rates	Option Period 1

03/19/2021 - 03/18/2022 Commission Rates Option Period 2 03/19/2022 - 03/18/2023 Commission Rates Option Period 3 03/19/2023 - 03/18/2024 Commission Rates Option Period 4 03/19/2024 - 03/18/2025 Commission Rates

	1	Common Stocks	Unit Fixed Price ($) multiplied against number of shares (securities) sold
	2	Warrant A	Unit Fixed Price ($) multiplied against number of shares (securities) sold
	3	Warrant B	Unit Fixed Price ($) multiplied against number of shares (securities) sold
	4	Closed End Funds & Exchange Traded Funds (ETFs)*	Unit Fixed Price ($) multiplied against number of shares (securities) sold
	5	Commodities, and Future Contracts*	Unit Fixed Price ($) multiplied against number of shares (securities) sold
	6	Preferred Stocks	Unit Fixed Price ($) multiplied against number of shares (securities) sold
	7	Options: Equity Options, ETF Options, Index Options*	Unit Fixed Price ($) multiplied against number of shares (securities) sold
	8	Open End Mutual Funds, Mutual Funds, Money Markets, and Unit Investment Trusts (UITs).*	Unit Fixed Price ($) multiplied against number of shares (securities) sold
	9	Debt Securities - Nine (9) Securities or Less*	Unit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold
	10	U.S. Treasury Securities*	Unit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold
	11	U.S. Government Agency Debt Securities, Domestic Corporate Debt Securities, Municipal Debt Securities, and Brokered CDs.*	Unit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold
	12	Thinly Traded Domestic Corporate Debt.*	Unit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold
	13	Foreign Securities: US Dollar Euro Notes	Unit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold
	14	Foreign Securities: Unit Ben Int	Unit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold
	#	Securities/ Instruments	Notes or Identification of Contractor/Subcontractors	Base Period (12 Mo.) -
Commission Rates	Option Period 1

(12 Mo.) - Commission Rates Option Period 1 (12 Mo.) - Commission Rates Option Period 1 (12 Mo.) - Commission Rates Option Period 1 (12 Mo.) - Commission Rates

15	Foreign Securities: Trust Units	Unit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold
16	Foreign Securities: Dollar Subordinate, Dollar OID Notes, Global Depository Receipt (GDR)	Unit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold
17	Foreign Government Debt Securities, Foreign Corporate Debt Securities, and Senior Dollar Notes	Unit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold
18	Non-Public Instruments: Private Stocks, Warrants, Ownership Units, and Debt Securities*	Unit Fixed Price ($) multiplied against number of shares (securities) sold
19	Rule 144 Transactions*	Unit Fixed Price ($) multiplied against number of shares (securities) sold

	ADDITIONAL FEES
	#	Additional Fees	Notes or Identification of Contractor/Subcontractors	Base Period 03/19/2020 - 03/18/2021 Fee or
Hourly Rate	Option Period 1 03/19/2021 - 03/18/2022 Fee or Hourly Rate	Option Period 2 03/19/2022 - 03/18/2023 Fee or Hourly Rate	Option Period 3 03/19/2023 - 03/18/2024 Fee or Hourly Rate	Option Period 4 03/19/2024 - 03/18/2025 Fee or Hourly Rate
	1	Funds Transfer (Wire/ACH) Domestic/International	Fixed Price ($) per Security per transaction $20.00(Domestic) /

$50.00 (International)

	2	Ticket Charge(s)	Fixed Price ($) per Security per transaction
	3	Coupon Collection	Fixed Price ($) per Security per transaction
	4	Return Check Fee	Fixed Price ($) per Security per transaction
	#	Additional Fees	Notes or Identification of Contractor/Subcontractors	Base Period (12 Mo.) - Fee or
Hourly Rate	Option Period 1 03/19/2021 - 03/18/2022 Fee or Hourly Rate	Option Period 2 03/19/2022 - 03/18/2023 Fee or Hourly Rate	Option Period 3 03/19/2023 - 03/18/2024 Fee or Hourly Rate	Option Period 4 03/19/2024 - 03/18/2025 Fee or Hourly Rate
	5	Shipping Fees for physical securities	Fixed Price ($) per Security per transaction
	6	Safe Keeping of Custodial Services	Fixed Price ($) per Security per transaction
	7	Investment Banking Services	Fully Loaded Labor Rate per hour multiplied by number of hours for authorized investement banking
	8	SEC Fee	Unit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold	Current SEC FEE	Current SEC FEE	Current SEC FEE	Current SEC FEE	Current SEC FEE
	9	Contractor &/or Third Party Market Research Services & Reports for liquidating privately-held obligations that are not listed on any stock exchange and securities that have been held by an agency beyond their expiration date	Fully Loaded Labor Rate per hour multiplied by number of authorized hours for market research

&"Times New Roman,Bold"&14Attachment A - Securities/Instruments & Commissions

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