Attachment D Securities instruments and Commissions AMD 3.xlsx

XLSX spreadsheet 18 KB Posted

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Securities Liquidation for the Funds Management Branch of the Bureau of the Fiscal Service
Solicitation number
2033H620R00006
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File Type Posted
Amd 3 Question and Answer.pdf PDF
Attachment A - Security Requirements (Amd 2).pdf PDF
2. Clauses PWS Award Determination (Amd 2).pdf PDF
Attachment E - Quotation Instructions (Amd 2).pdf PDF
Amd 1 Question and Answer.docx DOCX document
Attachment E - Quotation Instructions (Amd 1).TJS.docx DOCX document
2. Clauses PWS Award Determination (Amd 1) TJS.docx DOCX document
Attachment D Securities instruments and Commissions.xlsx XLSX spreadsheet
Appendix 1 - Historical Securities Liquidation Information.pdf PDF
Attachment A Security Requirements.pdf PDF
Attachment E - Quotation Instructions.pdf PDF
Attachment B - Bureau of the Fiscal Service Security Rules of Behavior.pdf PDF
2033H620R00006.pdf PDF
Attachment C - Non-Disclosure Agreement.pdf PDF
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Table 1

Attachment D -Securities Instruments & Commissions (Amd 3)
2033H620R00006
#Securities/ InstrumentsNotes or Identification of Contractor/SubcontractorsBase Period 09/19/2020 - 09/18/2021
Commission RatesOption Period 1

09/19/2021 - 09/18/2022 Commission Rates Option Period 2 09/19/2022 - 09/18/2023 Commission Rates Option Period 3 09/19/2023 - 09/18/2024 Commission Rates Option Period 4 09/19/2024 - 09/18/2025

Commission RatesNotes/Comments/Details
1Common StocksUnit Fixed Price ($) multiplied against number of shares (securities) sold
2Warrant AUnit Fixed Price ($) multiplied against number of shares (securities) sold
3Warrant BUnit Fixed Price ($) multiplied against number of shares (securities) sold
4Closed End Funds & Exchange Traded Funds (ETFs)*Unit Fixed Price ($) multiplied against number of shares (securities) sold
5Commodities, and Future Contracts*Unit Fixed Price ($) multiplied against number of shares (securities) sold
6Preferred StocksUnit Fixed Price ($) multiplied against number of shares (securities) sold
7Options: Equity Options, ETF Options, Index Options*Unit Fixed Price ($) multiplied against number of shares (securities) sold
8Open End Mutual Funds, Mutual Funds, Money Markets, and Unit Investment Trusts (UITs).*Unit Fixed Price ($) multiplied against number of shares (securities) sold
9Debt Securities - Nine (9) Securities or Less*Unit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold
10U.S. Treasury Securities*Unit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold
11U.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
12Thinly Traded Domestic Corporate Debt.*Unit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold
13Foreign Securities: US Dollar Euro NotesUnit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold
14Foreign Securities: Unit Ben IntUnit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold
#Securities/ InstrumentsNotes or Identification of Contractor/SubcontractorsBase Period 09/19/2020 - 09/18/2021
Commission RatesOption Period 1

09/19/2021 - 09/18/2022 Commission Rates Option Period 2 09/19/2022 - 09/18/2023 Commission Rates Option Period 3 09/19/2023 - 09/18/2024 Commission Rates Option Period 4 09/19/2024 - 09/18/2025

Commission RatesNotes/Comments/Details
15Foreign Securities: Trust UnitsUnit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold
16Foreign Securities: Dollar Subordinate, Dollar OID Notes, Global Depository Receipt (GDR)Unit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold
17Foreign Government Debt Securities, Foreign Corporate Debt Securities, and Senior Dollar NotesUnit Fixed Rate (%) multiplied by total sale amount of the security(ies) sold
18Non-Public Instruments: Private Stocks, Warrants, Ownership Units, and Debt Securities*Unit Fixed Price ($) multiplied against number of shares (securities) sold
19Rule 144 Transactions*Unit Fixed Price ($) multiplied against number of shares (securities) sold
20

tc={501AE60C-4957-4102-AC4B-C3551D54F473}: [Threaded comment]

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Comment:

This is the additon for AMD 3Low Priced Securities with a Market Price of $1.00 or LowerA. Unit Fixed Rate (%) multiplied by total Principal value over $5,000.00 (USD)
B. Flat fee ($) per transaction for Principal value between $2,500.00 (USD)and $4,999.99 (USD)
C. Flat fee ($) per transaction for Principal value below $2,499.99 (USD)
ADDITIONAL FEES
#Additional FeesNotes or Identification of Contractor/SubcontractorsBase Period 09/19/2020 - 09/18/2021 Fee or
Hourly RateOption Period 1 09/19/2021 - 09/18/2022 Fee or Hourly RateOption Period 2 09/19/2022 - 09/18/2023 Fee or Hourly RateOption Period 3 09/19/2023 - 09/18/2024 Fee or Hourly RateOption Period 4 09/19/2024 - 09/18/2025 Fee or Hourly RateNotes/Comments/Details
1Funds Transfer (Wire/ACH) Domestic/InternationalFixed Price ($) per Security per transaction $20.00(Domestic) /

$50.00 (International)

2Ticket Charge(s)Fixed Price ($) per Security per transaction
3Coupon CollectionFixed Price ($) per Security per transaction
4Return Check FeeFixed Price ($) per Security per transaction
#Additional FeesNotes or Identification of Contractor/SubcontractorsBase Period (12 Mo.) - Fee or
Hourly RateOption Period 1 09/19/2021 - 09/18/2022 Fee or Hourly RateOption Period 2 09/19/2022 - 09/18/2023 Fee or Hourly RateOption Period 3 09/19/2023 - 09/18/2024 Fee or Hourly RateOption Period 4 09/19/2024 - 09/18/2025 Fee or Hourly RateNotes/Comments/Details
5Shipping Fees for physical securitiesFixed Price ($) per Security per transaction
6Safe Keeping of Custodial ServicesFixed Price ($) per Security per transaction
7Investment Banking ServicesFully Loaded Labor Rate per hour multiplied by number of hours for authorized investement banking
8SEC FeeUnit Fixed Rate (%) multiplied by total sale amount of the security(ies) soldCurrent SEC FEECurrent SEC FEECurrent SEC FEECurrent SEC FEECurrent SEC FEE
9Contractor &/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 dateFully Loaded Labor Rate per hour multiplied by number of authorized hours for market research
For Total Price Comparison Purposes OnlyBase Period 09/19/2020 - 09/18/2021Option Period 1
09/19/2021 - 09/18/2022Option Period 2
09/19/2022 - 09/18/2023Option Period 3
09/19/2023 - 09/18/2024Option Period 4
09/19/2024 - 09/18/2025Overall Total for Comparison
Total of Dollars Quoted above:$0.00$0.00$0.00$0.00$0.00$0.00
Total of %Quoted above:0.00%0.00%0.00%0.00%0.00%0.00%
Total Evaluated Price for Comparison Purposes only:$0.00

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